EARTH SCIENCES IN THE 21ST CENTURY

RIVER ECOSYSTEMS: DYNAMICS,

MANAGEMENT AND CONSERVATION

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EARTH SCIENCES IN THE 21ST CENTURY
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 EARTH SCIENCES IN THE 21ST CENTURY

RIVER ECOSYSTEMS: DYNAMICS,

MANAGEMENT AND CONSERVATION

HANNAH S. ELLIOT
AND
LUCAS E. MARTIN
EDITORS

Nova Science Publishers, Inc.

New York
Copyright ©2011 by Nova Science Publishers, Inc.

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Library of Congress Cataloging-in-Publication Data

River ecosystems : dynamics, management and conservation / [editors] Hannah

S. Elliot and Lucas E. Martin.
p. cm.
Includes index.
ISBN 978-1-62257-022-5 (E-Book)
1. Stream ecology. 2. Water pollution. 3. Stream conservation. 4.
Stream restoration. I. Elliot, Hannah S. II. Martin, Lucas E.
QH541.5.S7R59 2010
333.91'62--dc22
2010047116

Published by Nova Science Publishers, Inc. † New York

 CONTENTS
Preface vii
Chapter 1 River Ecology and Stream Restoration 1
Zhao-Yin Wang and Bao-Zhu Pan
Chapter 2 Ecological Assessment of Mediterranean Streams
and the Special Case of Temporary Streams 109
M.M. Sánchez-Montoya, R.Gómez, M.L. Suárez
and M.R.Vidal-Abarca
Chapter 3 Historical Change and Management of the Floodplain
Forests of the Middle Elbe River 149
Brack W. Hale and Michael S. Adams
Chapter 4 From “All Stakeholders” to Balanced Process
in Participatory Planning: A Practical, Stepwise Ethics 179
Wouter T. de Groot and Jeroen F. Warner
Chapter 5 Volga River: Pollution, Water Quality, Toxic
Contamination and Fish Health 203
T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova
Chapter 6 Ecohydrology-Based Planning as a Solution to Address
an Emerging Water Crisis in the Serengeti Ecosystem
and Lake Victoria 233
Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta
and Eric Wolanski
Chapter 7 Temporary Streams: The Hydrology, Geography,
and Ecology of Non-Perennially Flowing Waters 259
Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer
Chapter 8 Evaluation of Non-Point Sulfate Contamination in River Basins 291
Akira Haraguchi
Chapter 9 Relation between River Management and Economic
Growth in Urban Regions 301
Tadanobu Nakayama , Ying Sun and Yong Geng
Index 313
 PREFACE

Management and restoration of river ecosystems are based on an understanding of the

relations between physical, chemical and biological processes at varying time scales. This
new book examines river ecology, disturbances of the ecology and restoration strategies.
Topics discussed include the social side of river management; historical change and
management of the floodplain forests of the Middle Elbe River; pollution, water quality, toxic
contamination and fish health of the Volga River and the relationship between river
management and economic growth in urban regions.
Chapter 1 - Management and restoration of river ecosystems are based on an
understanding of the relations between physical, chemical, and biological processes at
varying time scales. Often, human activities have accelerated the temporal progression of
these processes, resulting in unstable flow patterns and altered biological structure and
function of stream corridors. This chapter discusses river ecology, disturbances of the
ecology, and restoration strategies.
Chapter 2 - Freshwater ecosystems play a primary role in the biosphere, which justifies
interest in the assessment their health or condition. One important component of the
biological assessment of stream conditions is evaluating the direct or indirect effects of
human activities or disturbances. Most biological assessments are based on the concept of
comparing current conditions to natural conditions in the absence of human disturbance.
In Europe, increasing water quantity and quality problems have led to the development of
an integrated approach for water management systems, including all water-related impacts,
which resulted in the Water Framework Directive (WFD) in 2000. The Reference Condition
Approach concept has been adopted by the WFD as it requires the evaluation of the
ecological status and this may be expressed as a deviation from the near natural reference
condition. According to the WFD, reference conditions should be linked to stream typology,
and reference sites should present the full range of conditions expected to occur naturally
within a given stream type.
In the Mediterranean streams context, a methodology to select reference sites based on
the application of twenty a priori criteria that reflect the characteristics of Mediterranean
streams and their most frequent disturbances, has been a critical step for the establishment of
Mediterranean reference conditions. Subsequently, the development of a typology of
Mediterranean streams resulted in five ecotypes (four permanents and one temporary),
viii Hannah S. Elliot and Lucas E. Martin

showed that stream classification schemes based on environmental variables need to be

validated by biological variables.
The WFD establishes that ecological status must be classified into five quality classes
(high, good, moderate, poor and bad) by means of biological indicators. In this context, a
study that analysed the sensitivity of diverse macroinvertebrate metrics to a multiple stressor
gradient, which includes the pressures in a Mediterranean area, revealed that the IBMWP and
ICM-11indices ensure a proper classification of the ecological status of Mediterranean
streams. However, much less is known about the physico-chemical quality of these streams.
An important conclusion drawn from studies conducted in Mediterranean streams
indicates the difficulty in assessing temporary streams as regards both biological and
physicochemical quality. The diverse macroinvertebrate communities within this type of
streams, mainly due to the wide variability in hydrology conditions, could justify further
division into subtypes. In relation to physico-chemical quality, temporal streams show an
important spatial and temporal variability in solute concentrations. Both low surface flow and
spatial intermittency reinforce the effects of differences in advection, water residence time,
biological community structure, sediment-water interactions or environment redox conditions
through stream channels. By way of example, all these factors influence the rates of the
biogeochemical processes involved in the nutrients cycle. Consequently, biogeochemical
process rates and reactions will have a patchy distribution in temporary streams. At the same
time, this local stream-channel environmental conditions change over time as flow discharge
changes, which increases the variability of physicochemical quality on the temporal scale.
Chapter 3 - The present volume contains eight chapters on river management. The
background of most of them is formed by river flood risk, which is usually assumed to
increase in the near future due to climate change. ‘Room for the Rivers’ is the general
catchword for the new policies in Europe that aim to move away from harnessing the rivers
between ever-higher dikes and instead give the rivers more horizontal space to drain their
waters.
Room-for-river policies will intensify the social aspects of river management in two ways
– one negative, one positive. On the negative side, giving more space to rivers will often
imply that land will have to be given back to rivers or that land use will have to change:
houses in floodplains will have to be removed or be made flood-proof, famers may have to
extensify their operations and confront lower land values, and recreationists may find their
forest ‘ecologically flooded’ when they arrive with their picnic baskets.
On the positive side in the majority of cases, giving space back to rivers results in a re-
naturalization of the riverine landscape and a restoration of ecological process and species
diversity. This as such is already a great benefit for conservation, recreation and quality of life
in riparian communities.
Additionally, this natural quality improvement may also be sold to outsiders such as
urban tourists and house seekers, generating local economic benefits. And finally, room-for-
river policies offer a window of opportunity to riparian villages, towns and cities to re-
connect to their rivers in new designs of river fronts and river-based activities.
On the local level, this pattern of both negative and positive potential impacts of the new
river policies may give rise to integrated room-for-river packages in which social costs and
social benefits are mixed into net win-win designs for both river managers and communities.
This has been the source of inspiration for the EU-funded ‘Freude am Fluss’ project on which
much of the material presented in this special issue has been based.
 Preface ix

Chapter 4 - Floodplain forests are vital to the functioning of river ecosystems. They
support the rich diversity characteristic of these systems, play an important role in nutrient
cycling, and serve as an ecotone between the terrestrial and aquatic biomes. This chapter
explores the changes that have taken place in the floodplain forest community of the Middle
Elbe River over the last 50 years, examining the role that altered river dynamics, herbivore
pressure, human management, and invasive species have played in shaping the current
forests. It also looks at the development of the UNESCO Flusslandschaft Elbe Biosphere
Reserve, which now manages much of the Middle Elbe's ecosystem, and the influence the
biosphere reserve's activities have on the forests. The authors’ research indicates that the
floodplain forests, currently dominated by pedunculate oak (Quercus robur) and field maple
(Acer campestre), have undergone a shift in community composition since the 1950’s,
including a loss of more flood tolerant species. The authors’ results further suggest that
browsing is limiting regeneration. When examining the forests across the different
management zones, it appears that the core zone forests will likely experience an eventual
loss of oak dominance, whereas forestry practices in the buffer zones should maintain the oak
at a moderate level. American green ash (Fraxinus pennsylvanica), an introduced species, is
also more prevalent in the buffer zones. The different zones of the biosphere reserve currently
help maintain a more diverse mix of forest communities across the landscape. However,
without a restoration of a more natural flooding regime, early successional communities will
become increasingly rare. The biosphere reserve managers recognize this issue and are
currently pursuing several projects to help mitigate the loss of natural processes, including
setting back levees to increase the size of the active floodplain, restoring backwater lakes, and
removing introduced species.
Chapter 5 - In river management as in most other fields of environmental planning, “all
stakeholders” are supposed to somehow participate. But who will actually sit in, who will
actually have a voice? This question is of great consequence in practice, but underdeveloped
in literature.
Taking most of its examples from the field of river management, the present paper aims
to shed some light on the dark road that leads from “all stakeholders” to a balanced
representation of stakes in participatory, collaborative planning.
Their method is to develop the initially undifferentiated cloud of stakeholders through
five steps: (1) from all stakeholders to significant stakeholders, (2) framing reflection, (3)
representation of significant stakeholders, (4) setting a balanced scene, and (5) maintaining a
balanced process.
The authors then attach a number of categories, examples, reflections and sometimes a
few rules to each of these steps. This system serves as an informal ethics to improve the
quality and justifiability of who is to represent what in participatory planning.
Chapter 6 - The characteristic of current state of Volga river is given. Concentrations of
organic and inorganic toxic substances in water are reported. Basic clinical and postmortem
signs of fish intoxication are described; changes in the cellular structure of their organs and
tissues, as well as disturbances in hemogenesis, developing under the effect of toxic agents,
are characterized. The main disturbances to fish caused by the accumulation of microelements
in their organs and tissues are also considered. Based on dose–effect dependencies calculated
with respect to the total concentration of toxic substances, standardized to MPC, and fish
health criteria, cases that exceed the critical levels of pollutants are demonstrated for the
investigated river sections
x Hannah S. Elliot and Lucas E. Martin

Chapter 7 - The Serengeti ecosystem is often taken to be the 25000 km2 animal migration
area (Figure 1a). This includes the 14,763 km² Serengeti National Park (SNP), the Masai Mara
Reserve in Kenya, and a number of game controlled areas that form a buffer zones,
principally the Maswa, Ngorongoro, Loliondo, Ikorongo, Grumeti, and the Speke Gulf Game
Controlled Area (SGGCA) that, although tiny (95 km2), is potentially important because, if
human encroachment was removed, it would provide access for wildlife to the permanent
waters of Lake Victoria (Figure 1b). However this definition of the ecosystem ignores the
hydrology. The Serengeti ecosystem has only one perennial river, the Mara River. The Mara
River, together with a few scattered springs in the northern region of the SNP, is the only
source of water for migrating wildlife in the dry season in a drought year. Thus the source of
Mara River water in the dry season, namely the Mau forest in Kenya’s highlands, is also part
of the Serengeti ecosystem even if the migrating animals do not migrate to that area (Gereta et
al., 2002 and 2009).
Lake Victoria (Figure 1c) has a surface area of 96,000 km2. Its shores are shared by
Uganda, Kenya, and Tanzania. It drains 25 large rivers with a total catchment area of about
184,000 km2, supporting 30 million people. The lake is large enough (see below) to affect
rainfall over the Serengeti.
Chapter 8 - Temporary streams represent a significant yet understudied and particularly
vulnerable portion of river networks. While the vast majority of stream and river research to
date has focused on perennial flowing waters, recent work reveals that temporary streams are
not only abundant and widely distributed, but also play a significant role in the hydrological
and ecological integrity of lotic networks. In this chapter, we seek to summarize the current
state of the science of these ubiquitous portions of river networks while simultaneously
stressing the need for their future investigation. The authors begin by defining temporary
streams and their hydrology and highlighting their abundance and extent. We then consider
the ecological significance of temporary streams, including their role as faunal and floral
habitat providers, biogeochemical processors, and connectivity corridors within river
networks. The chapter concludes with a discussion of policy issues surrounding temporary
streams and the anthropogenic disturbances they face.
Chapter 9 - Sulfuric acid is discharged from acid sulfate soils or mining sites in the
watershed of rivers, and this sulfuric acid affects aquatic communities. In basins with coal
mining sites, sulfate migrates into river systems via mine drainage as well as via ground water
flow.
In order to evaluate the non-point contamination of sulfate via ground water into river
ecosystems, the authors analyzed the chemical properties of river water from the upper-most
basins to the river mouth at 1-2 km intervals.
The authors surveyed two rivers in the northern part of Kyushu Island, Japan. The
Ongagawa River basin has many abandoned coal mining sites and the SO42- /Cl-
concentration ratio (w/w) reached up to 7.0 in the middle basin, whereas the ratio in the
Chikugogawa River with few coal mining sites in the basin was constantly 1.0-2.0 in the
middle basin, in contrast to the extremely high value (20.0) at the upper-most basin of the
river because of the effect of sulfur emissions from active volcanoes. Thus, we found that the
SO42- /Cl- concentration ratio of river water with abandoned coal mining sites in its basin was
much higher than was the case with a river without coal mining sites in the basin. The SO42-
/Cl- concentration ratio reached a higher value in the basin of a tropical peat swamp forest
with acid sulfate soils in central Kalimantan, Indonesia, and the ratio can be used as a useful
 Preface ix

index for the qualitative evaluation of the non-point contamination of sulfates in river
systems.
Chapter 10 - Water stress in northern China has intensified water use conflicts between
upstream and downstream areas and also between agriculture and municipal/industrial sectors
year by year. In this study, the NIES Integrated Catchment-based Eco-hydrology (NICE)
model (Nakayama, 2008a, 2008b, 2010a, 2010b; Nakayama and Fujita, 2010; Nakayama and
Watanabe, 2004, 2006, 2008a, 2008b; Nakayama et al., 2006, 2007, 2010) was applied to the
Biliu River catchment, northern China, to estimate the carrying capacity of the water resource
there. The model reasonably backcasted the degradation of water resources such as river
discharge and groundwater after the completion of the reservoir in the middle reach of the
river. The normalized difference vegetation index (NDVI) calculated from NOAA/AVHRR
satellite image clearly showed vegetation degradation downstream of the reservoir.
Furthermore, statistical analysis of a decoupling indicator (OECD, 2001) based on the water
carrying capacity simulated by NICE and on the satellite data of vegetation index indicated
that water-related stress in Dalian city, where the economy has grown rapidly after the
completement of the reservoir, has increased in accordance with the environmental
degradation below the reservoir. These results indicate a close relationship between water
resource and economic growth, which has greatly affected ecosystem degradation and its
serious burden on the environment in the catchment. The simulated results also highlight the
linkage between urban development in Dalian and sustainable water resource management,
and this assessment of the interactions between the sites of water source and demand would
support decision-making on sustainable development in the catchment.
In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 1

RIVER ECOLOGY AND STREAM RESTORATION

Zhao-Yin Wang* and Bao-Zhu Pan

State Key Laboratory of Hydroscience and Engineering, Tsinghua University
Beijing, China

Management and restoration of river ecosystems are based on an understanding of the

relations between physical, chemical, and biological processes at varying time scales. Often,
human activities have accelerated the temporal progression of these processes, resulting in
unstable flow patterns and altered biological structure and function of stream corridors. This
chapter discusses river ecology, disturbances of the ecology, and restoration strategies.

1. RIVER ECOSYSTEMS
1.1. Spatial Elements of River Ecosystems

Ecosystems of rivers vary greatly in size. Taking a deeper look into these ecosystems can
help to explain the functions of landscapes, watersheds, floodplains and streams, as shown in
Figure1. In ecosystems movement between internal and external environments is common.
This may involve movement of materials (e.g. sediment and storm water runoff), organisms
(e.g. mammals, fish and insects) and also energy (e.g. heating and cooling of stream waters).
Many sub-ecosystems form a river ecosystem which, in turn, can also be part of a larger
scale landscape ecosystem. The structure and functions of the landscape ecosystem are in part
determined by the structure and functions of the river ecosystem. The river ecosystem may
have input or output relations with the landscape ecosystem, thus, the two are related. In order
to plan and design a river ecosystem restoration, it is vital to first investigate the relations
between the ecosystems. Landscape ecologists use four basic terms to define spatial structure
at a particular scale:

*
E-mail: [email protected]
2 Zhao-Yin Wang and Bao-Zhu Pan

1. Matrix - the land cover that is dominant and interconnected over the majority of the
land surface. Theoretically the matrix can be any land cover type but often is it forest
or agriculture.
2. Patch - a nonlinear area (polygon) that is less abundant than, and different from, the
matrix.
3. Corridor - a special type of patch that links other patches in the matrix. Usually, a
corridor is linear or elongated in shape, such as a stream corridor.
4. Mosaic - a collection of patches, none of which are dominant enough to be
interconnected throughout the landscape.

Terrestrial ecosystem

Primary
productivity

Aquatic
ecosystem

Mammal
Birds
Benthic invertebrates
River ecosystem

Figure 1. A river ecosystem consists of the terrestrial ecosystem and the aquatic ecosystem, which is
affected by and impacts on the landscape ecosystem through input and output (after FISRWG, 1997).

Figure 2. (a) Forest matrix in the suburbs of Beijing, China; (b) A township patch and a surrounding
stream corridor in Wasserburg, Germany; (c) Stream corridor (the Leinbach River in Germany) and
riparian forest matrix; and (d) Mosaic consisting of forest, lake, island, and hills (Banff, Canada).
 River Ecology and Stream Restoration 3

Figure 2. shows examples of a forest matrix, a city patch, a stream corridor, and a mosaic
consisting of a lake, island, forest and hills. One may see a matrix of mature forest, cropland,
pasture, clear-cuts, lakes, and wetlands on a landscape scale. However, on a river reach scale,
in a matrix of less desirable shallow waters, a trout may perceive pools and well sheltered,
cool, pockets of water as preferred patches and in order to travel safely among these habitat
patches, the stream channel may be its only alternative. The matrix-patch-corridor-mosaic
model is a very useful, basic way of describing structure in the environment at all levels.
When planning and designing ecosystem restoration, it is very important to always consider
multiple scales.
The stream corridor is an ecosystem with an internal and external environment (its
surrounding landscape). Stream corridors often serve as a primary pathway for the
aforementioned movement of energy, materials, and organisms in, through, and out of the
system. This may be accomplished by connecting patches and functioning as a conduit
between ecosystems and their external environment. Movement in, through, and out of the
ecosystem may be dictated by spatial structure, especially in corridors; conversely, this
movement also serves to change the structure over time. Thus, the end result of past
movement is the spatial structure, as it appears at any point in time. In order to work with
ecosystems at any scale it is paramount to understand the feedback loop between movement
and structure.
Many of the functions of the stream corridor are strongly interlinked with drainage
patterns. So, many people commonly use the term ‘watershed scale’, and it will also be used
in this chapter. A watershed is defined as an area of land that drains water, sediment, and
dissolved materials to a common outlet at some point along a stream channel (Dunne and
Leopold, 1978). Watersheds, therefore, occur at many different scales, ranging from the
watersheds of very small streams that measure only a few km2 in size to the largest river
basins, such as the Yangtze River watershed. The matrix, patch, corridor, and mosaic terms
can still be used to describe the ecological structure within watersheds. However, one could
further describe the watershed structure more meaningfully by also focusing on elements such
as upper, middle, and lower watershed zones, drainage divides, upper and lower hill slopes;
terraces; floodplains; estuaries and lagoons; and river mouths and deltas. Figure 3. displays
examples of (a) the upper watershed (the Yangtze River at the Shennongjia Mountain); (b) a
mountain stream (the Qingjiang River is a tributary of the Weihe River in the Yellow River
Basin); (c) an alluvial river (the Blue Nile at the confluence with the White Nile River); and
(d) an estuary (the Venice Lagoon at the Po River mouth).
The river corridor is a spatial element (a corridor) at the watershed and landscape scales.
Common matrices in stream corridors include riparian forest or shrub cover or alternatively
herbaceous vegetation. Examples of patches at the stream corridor scale are wetlands, forest,
shrub land, grassland patches, oxbow lakes, residential or commercial development, islands in
the channel, and passive recreation areas such as picnic grounds.
Figure 4. shows a cross section of a river corridor. The river corridor can be subdivided
by structural features and plant communities. Riparian areas have one or both of the following
characteristics: (1) vegetative species clearly different from nearby areas; and (2) species
similar to adjacent areas but exhibiting more vigorous or robust growth forms. Riparian areas
are usually transitional between wetland and upland
4 Zhao-Yin Wang and Bao-Zhu Pan

Figure 3. (a) Upper watershed of the Yangtze River at the Shennongjia Mountain; (b) the Qingjiang
River in the Yellow River Basin; (c) the Blue Nile at the confluence with the White Nile in Sudan; and
(d) the Venice Lagoon at the Po River mouth in Italy.

Hill prairie
Upland forest
Upland forest

Wet meadow
Riparian wet land and lake Open water

High
river
stage
Low river
stage
Main
Bluff Flood plain lake Island channel Backwater lake Bluff
Flood plain Flood plain
Corridor

Figure 4. A cross section of a river corridor, in which the river corridor is subdivided by structural
features and plant communities (after FIRSWG, 1997).

1.2. Biological Communities

The biological community of a river ecosystem is determined by the characteristics of

both terrestrial and aquatic ecosystems. The terrestrial ecosystem depends mainly on the plant
community and the aquatic ecosystem comprises aquatic plants, benthic invertebrates, and
vertebrates (fish, reptiles, and amphibians).
 R
River Ecology and Stream Restoration
R 5

1..2.1. Terrestrrial Ecosystem m

The terrestrial ecosystemm comprises thhe plant comm munity, amphibbians, reptiles, mammals
annd birds. The plant commuunity is an esssential basic element for the t stream ecoology. The
eccological integgrity of a riveer is directly reelated to the integrity
i and ecological
e chaaracteristics
off the plant coommunities that make up annd surround the t river. The biological coommunities
deepend on thesse plant comm munities as a valuable
v sourcee of energy. The
T plants alsoo provide a
phhysical habitaat and moderrate solar eneergy fluxes too and from the t surroundiing aquatic
eccosystem. Fig gure 5. showss the terrestriial plant comm munity by thhe upper Daduu River in
Siichuan Provinnce, China. Thhe high density of vegetatiion develops in i the valley and on the
sllopes, which provides
p the primary
p produuct for the aquuatic ecosysteem. The primaary product
foor ecology is provided
p by pllant communitties. Only a sm mall amount ofo this organic material is
sttored as abovee- and below-gground biomaass, while seneescence, fractiionation, and leaching to
thhe organic soil layer in the form of leavees, twigs and decaying rootts are the com mponents of
thhe annual loss of a significaant fraction off organic mattter. This annual loss of orgaanic matter
reepresents a major
m storage and
a cycling pool p of availabble carbon, niitrogen, phospphorus and
otther nutrients,, for it is richh in biologicaal activity of microbial floora and microfauna. The
chharacteristics of the plant communities
c d
directly influeence the diverrsity and integgrity of the
faaunal commu unities. In geeneral, complex floral coommunity suupports complex faunal
coommunities. The faunal coomposition is a function of the followingg habitat featurres of river
coorridors: 1) peermanent wateer; 2) high prrimary productivity and foood availabilityy; 3) spatial
annd temporal contrasts
c in coover types; 4)) critical micrroclimates; 5)) horizontal anda vertical
haabitat diversity; 6) effectiive seasonal migration rooutes; 7) highh connectivitty between
veegetated patchhes. Followingg disturbancess to the land, whether
w they be
b naturally occurring or
reesulting from human
h activityy, plant succession occurs, in which pionneer species well-adapted
too bare soil annd plentiful light are graddually replaced by longerr-lived speciees that can
reegenerate undeer more shadeed and protecteed conditions.. The most com mmon naturall sources of
diisturbance witthin a river vallley are floodiing and channel migration.

Fiigure 5. Terresttrial pant commmunity by the Daadu River in Sicchuan Province,, China. A highh density of
veegetation develo ops in the valleyy and on the sloopes, which proovides primary product
p for the aquatic
faaunal communitty.
6 Zhao-Yin Wang and Bao-Zhu Pan

Knowledge of natural succession in a stream corridor can be very useful for restoration
practitioners and should be taken advantage of by planting hardy, pioneer species to stabilize
an eroding bank, while planning for the eventual replacement of these species by longer-lived
and higher-succession species.In arid and semi- arid areas, water is vital for the fauna since
the only naturally occurring permanent sources of water present are the streams.
The high primary productivity and biomass of riparian areas is largely a result of these
moist environments, for the food sources and cover types of the surrounding areas are very
different from the riparian area. Stream corridors provide water, shade, evapotranspiration,
and cover, thus, ameliorating the temperature and moisture extremes of uplands. Nearly all
amphibians, many reptiles and mammals are found primarily in river corridors and riparian
habitats.

1.2.2. Aquatic Ecosystem

Stream biota are often classified into seven groups—bacteria, algae, macrophytes (higher
plants), protists (amoebas, flagellates, ciliates), micro-invertebrates (invertebrates less than
0.5 mm in length, such as rotifers, copepods, ostracods, and nematodes), macro-invertebrates
(invertebrates greater than 0.5 mm in length, such as mayflies, stoneflies, caddisflies,
crayfish, worms, clams, and snails), and vertebrates (fish, amphibians, reptiles, and mammals)
as shown in Figure 6. Undisturbed streams can contain a remarkable number of species. For
example, more than 1,300 species were found in a 2 km reach of a small German stream, the
Breitenbach, when a comprehensive inventory of stream biota was taken. The most important
elements of the aquatic ecosystem for river management are aquatic plants, benthic
invertebrates, and vertebrates (fish, reptiles, and amphibians).
Aquatic plants usually consist of mosses attached to permanent stream substrates and
macrophytes including floating plants，such as Eichoimia crassips, submerged plants, such
as Potamogeton, and emergent plants, such as Phragmites communis trirn (reed). These
plants provide primary productivity for the faunal community, and play an important role in
decontaminating the river water and providing multiple habitats for fish and invertebrates.
Bedrock or boulders and cobbles are often covered by mosses and algae. Figure 7. shows
microhabitats with moss on cobbles, submerged macrophytes species Potamogeton, floating
plants species Lemna minor L., and emergent plants species Phragmites communis trirn
(reed). Rooted aquatic vegetation may occur where substrates are suitable and high currents
do not scour the stream bottom. Luxuriant vascular plants may occur in some areas where
water clarity, stable substrates, high nutrients, and slow water velocities are present. Benthic
invertebrates collectively facilitate the breakdown of organic material, such as leaf litter, that
enters the stream from external sources.
Larger leaf litter is broken down into smaller particles by the feeding activities of
invertebrates known as shredders (insect larvae and amphipods). Other invertebrates filter
smaller organic material from the water, known as filterers (blackfly larvae, some mayfly
nymphs, and some caddisfly larvae); scrape material off the surfaces of bedrock, boulders,
and cobles, known as scrapers (snails, limpets, and some caddisfly and mayfly nymphs); or
feed on material deposited on the substrate, known as collectors (dipteran larvae and some
mayfly nymphs) (Moss, 1988). Some macro-invertebrates are predatory, known as predators,
such as dragonfly, which prey on small vertebrates. Figure 8. shows typical species of the five
groups with different ecological functions.
 River Ecology and Stream Restoration 7

light
coarse
particulate larger plants
organic (mosses, red
matter algae)

epilithic
fungi algae
dissolved
organic
matter microorganisms
flocculation
fine
particulate
organic
invertebrate matter
shredders microorganisms

invertebrate
vertebrate collectors invertebrate
predators predators

Figure 6. Stream eco-system and bio-community (after FISRWG, 1997).

Figure 7. Aquatic plants: (a) moss on cobbles; (b) Potamogeton; (c) Lemna minor L.; and (d)
Phragmites communis trirn.
8 Zhao-Yin Wang and Bao-Zhu Pan

Figure 8. Typical species of the five groups of benthic invertebrates with different functions in the food
chain: (a) Gomphidae (Dragonfly-predator); (b) Viviparidae (scraper); (c) Hydropsychidae (collector-
filterer); (d) Corbiculidae (collector-filterer); and (e) Haliplidae (shredder).

Fish are the apex predator in the aquatic system. Many restoration projects aim at
restoration of fish habitat. From the headwaters to the estuaries the composition of fish
species varies considerably due to changes in many hydrologic and geomorphic factors which
control temperature, dissolved oxygen, gradient, current velocity, and substrate. The amount
of different habitats in a given stream section is determined by a combination of these factors.
Fish species richness (diversity) tends to increase downstream as gradient decreases and
stream size increases. For small headwater streams, the gradient tends to be very steep and the
stream is small and environmental fluctuations occur with a greater intensity and frequency,
therefore, species richness is lowest (Hynes, 1970).
Some fish species are migratory and travel long distances to return to a certain site to
spawn. They have to swim against currents and go up over waterfalls, thus, showing great
strength and endurance. When migrating they move between saltwater and freshwater,
therefore, need to be able to osmoregulate efficiently (McKeown, 1984). According to their
temperature requirements, species may also generally be referred to as cold water or warm
water and gradations between. Salmonid fish prefer cold and highly oxygenated water, and,
therefore, can generally be found at high altitudes or northern climes. Salmonid populations
are very sensitive to change or deterioration of their habitat, including alteration of flows,
temperature, and substrate quality. They tolerate only very small fluctuations in temperature
and only reproduce under certain conditions. Their reproductive behavior and movements are
affected by almost undetectable changes in temperature. Usually a salmonid spawns by
depositing eggs over or between clean gravel, which remain oxygenated and silt free due to
upwelling of currents between the interstitial spaces. Salmonid populations, therefore, are
highly susceptible to many forms of habitat degradation, including alteration of flows,
temperature, and substrate quality.
 River Ecology and Stream Restoration 9

The general concern and interest in restoring habitats for fish by improving both quality
and quantity, is due to the widespread decrease in numbers of native fish species. With
ecological, economical, and recreational considerations in mind, the importance given to the
restoration of fish communities is increasing. In 1996 approximately 35 million Americans
went fishing for recreational purposes resulting in over $36 billion in expenditures (Brouha,
1997).
Since most recreational fishing is in streams, it is important to restore stream corridors.
Restoration activities have often been focused on improving local habitats, such as fencing or
removing livestock from streams, constructing fish passages, or installing instream physical
habitat. However, the success of these activities, demonstrated by research, has been very
small or questionable. Over its life span, a species needs many resources and has a great range
of habitat requirements which were not considered during the restoration.
Although the public are most interested in fish stocks, another goal of the stream
restoration is to preserve other aquatic biota. Of particular concern are freshwater mussels,
many species of which are threatened and endangered. Mussels are highly sensitive to habitat
disturbances. Some of the major threats faced by mussels are dams, which lead to direct
habitat loss and fragmentation of the remaining habitats, persistent sedimentation, pesticides,
and exotic species like fish and other mussel species which are introduced into the habitat.

1.2.3. Habitat
The diversity of available habitats directly influences the biological diversity and
abundance in streams. When a stream system is stably functioning, the diversity and
availability of habitats is promoted. This is one of the primary reasons stream stability is
always considered in river ecosystem restoration activities.
Figure 9. (a) shows the gravel and cobbles bed of Juma River near Beijing, which is very
stable even during flood events. The stable habitat is colonized by a biocommunity with high
diversity . Figure 9. (b) shows the Dabai River in the upper Yangtze River basin, which
channel bed has a very unstable due to high sediment load. There is few species in the Dabai
River and the biodiversity is low.
Under less disturbed situations, a narrow, steep-walled cross section provides less
physical area for habitat than a wider cross section with less steep sides, but may provide
more biologically rich habitat in deep pools. Habitat increases with stream sinuosity. A
uniform sand bed in a stream provides less potential habitat diversity than a bed with debris
dams, boulder cascades, rapids, step-pool sequences, pool-riffle sequences, or other types of
“structures”.
A river may be seen either as a single functioning entity or an ecosystem with
components which interact and have numerous connections between them. In order to restore
an ecosystem successfully, one must not forget these fundamental relations. Certain
topographic settings may be more likely than others to be subject to periodic, dramatic
changes in hydrology and related vegetation structure as a result of massive woody debris
jams. The structural aspects of vegetation may affect the functions of the stream ecosystems.
Vegetation and detritus influence the course of water in an undeveloped watershed. Balanced
interactions between terrestrial and aquatic systems result from the mobilization and
conservation of nutrients in complex patterns. Land uses such as agriculture and livestock
grazing and the flow patterns of water, sediment, and nutrients cause the characteristics and
distribution of vegetation to change.
10 Zhao-Yin Wang and Bao-Zhu Pan

Figure 9. (a) Gravel and cobbles bed of the Juma River near Beijing is stable, which is colonized by a
biocommunity with high diversity; and (b) The Dabai River in the upper Yangtze River basin is very
unstable due to high sediment load and has a very low biodiversity.

The most obvious roles of plants are those that affect fish and wildlife. At the landscape
level, the fragmentation of native cover types has had a negative impact on the wildlife
needing large areas of ongoing vegetation.
In some systems, small fractures in the continuity of corridors can greatly affect animal
movement and can negatively impact the conditions in a stream which permit it to host
certain aquatic species.
Narrow stream corridors that are essentially edge habitat may encourage generalist
species, nest parasites and predators, and where corridors have been established across
historic barriers to animal movement, they can disrupt the integrity of regional animal
assemblages (Knopf et al., 1988).
The conditions of nearby habitats must be taken into account when planning to restore
riparian areas. Carothers (1979) found that non-riparian birds frequently use the edges of
riparian areas as habitats.
However, smaller riparian birds carry out activities within the riparian area during the
breeding season and larger species often forage in nearby areas (Carothers et al., 1974). In
fact although the larger species may forage many miles away from the riparian area, they
would still depend on them critically (Lee et al., 1989).
If the conditions upstream of an ecosystem have been significantly altered by, for
example, a dam or any other water diversion project, it will be impossible to restore that
ecosystem to its natural, perfect condition. This stands even if complete restoration is a
possibility.
For example, the creation of areas of woody vegetation in the channel below several
dams in the Platte River Valley in Nebraska has significantly decreased areas of wet meadow
– an important habitat. The area has been declared a critical habitat for the Whooping Crane,
the Piping Plover, and the Interior Least Tern (Aronson and Ellis, 1979).

1.3. Ecological Conditions

Flow - Streams are distinguished from other ecosystems by a flow of water from
upstream to downstream. The micro- and macro- distribution patterns of many stream species
 River Ecology and Stream Restoration 11

are affected by the spatial and temporal characteristics of stream flow, such as fast versus
slow, deep versus shallow, turbulent versus laminar, and flooding versus low flows (Bayley
and Li, 1992: Reynolds, 1992; Ward, 1992).
Flow velocity affects the deliverance of food and nutrients to organisms, however, it can
also dislodge them and prevent them from remaining at a certain site. When a stream has a
very slow flow, the fauna on the banks and the bed are similar in composition and
configuration to those present in stagnant waters (Ruttner, 1963). High flows are cues for
timing migration and spawning of some fish. When fish detect high flows, some will migrate
and some will spawn.
Temperature - Water temperature can vary markedly in a stream system and between
different stream systems. It is a very important factor for cold blooded aquatic organisms for
it affects many of their physiological and biochemical processes.
Stream insects, for example, often grow and develop more rapidly in warmer portions of
a stream or during warmer seasons. Some species may complete two or more generations per
year at warmer sites yet only one or fewer at cooler sites (Sweeney, 1984; Ward, 1992). This
can also be applied to algae and fish for their growth rates increase with increased water
temperature (Hynes, 1970; Reynolds, 1992). Some species are only found in certain areas due
to the correlation between temperature and growth, development, and behavior.
Riparian Vegetation - Decreased light and temperature in steams can be a result of
riparian vegetation (Cole, 1994). When the flow of water is slow, direct sunlight can
significantly warm up the water, especially in the summer. In Pennsylvania, the average daily
stream temperatures increased by 12 oC when flowing through an open area in direct sunlight
but then decreased significantly during flow through 500 m of forest (Lynch et al., 1980).
However, during the winter, a lack of cover has the opposite effect and causes a decrease
in temperature. Sweeney (1992) found that temperature changes of 2 to 6 ºC usually altered
key life-history characteristics of some species. It has been observed that riparian forest
buffers help to prevent changes in natural temperature patterns and also to mitigate the
increases in temperature following deforestation.
Oxygen – Oxygen enters the water by absorption directly from the atmosphere and by
plant photosynthesis (Mackenthun, 1969). Mountain streams that do not receive a lot of waste
discharges are generally saturated with oxygen due to their shallow depth, constant motion,
and large surface area exposed to the air.
Aquatic organisms only survive because of the dissolved oxygen which, at appropriate
concentrations, enables them to reproduce and develop and gives them vigor. When oxygen
levels are low, organisms experience stress and become less competitive in sustaining the
species (Mackenthun, 1969).
Dissolved oxygen concentrations of 3 mg/L or less have been shown to interfere with fish
populations for a number of reasons (Mackenthun, 1969). When the oxygen needed for
chemical and biological processes exceeds the oxygen provided by re-aeration and
photosynthesis, the fish will die. Dissolved oxygen concentrations will decrease and may
even be depleted by slow currents, high temperatures, extensive growth of rooted aquatic
plants, algal blooms or high concentrations of aquatic matter (Needham, 1969).
Pollution that depletes the stream of oxygen has a marked effect on stream communities
(Odum, 1971). Major factors determining the amount of oxygen found in water are
temperature, pressure, salinity, abundance of aquatic plants, and the amount of natural
aeration from contact with the atmosphere (Needham, 1969). A level of 5 mg/L or higher of
12 Zhao-Yin Wang and Bao-Zhu Pan

dissolved oxygen in water is the level associated with normal activity of most fish (Walburg,
1971).
In streams filled with trout, the dissolved oxygen concentration has been shown, by
analysis, to be between 4.5 and 9.5 mg/L (Needham, 1969).
pH-value - Aquatic biota survive best when the water has a pH of 7, i.e. nearly neutral
hydrogen ion activity. If the pH changes, either becoming more acidic or more alkaline, the
stress levels increase and eventually species diversity and abundance decrease. In streams
under the stresses of various human activities, the pH often becomes more acidic and many
species suffer, as shown in Figure 10. (revised based on FISRWG, 1997).
One of the main causes for changes in the pH of aquatic environments is the increase in
the acidity of rainfall (Schreiber, 1995). Some soils have the ability to buffer pH changes;
however, those which cannot neutralize acid inputs cause environmental concerns.
Substrate - Substrate influences stream biota. Within one reach of a stream, different
species and different numbers of species can be seen among microinvertebrate aggregations
found in snags, sand, bedrock and cobbles (Benke et al., 1984; Smock et al., 1985; Huryn and
Wallace, 1987).
The hyporheic zone is the area of substrate which is under the substrate-water boundary
and is the main area for most benthic invertebrate species to live and reproduce. It may be
only one centimeter thick in some cases or one meter thick in other cases. The hyporheic zone
may form a large subsurface environment, as shown in Figure 11.
Stream substrates are composed of various materials, including clay, sand, gravel,
cobbles, boulders, organic matter and woody debris. Substrates form solid structures that
modify surface and interstitial flow patterns, influence the accumulation of organic materials,
and provide for production, decomposition, and other processes (Minshall, 1984).
Sand and silt are considered to be the least suitable substrates for supporting aquatic
organisms and provide for the fewest species and individuals. Rubble substrates have the
highest densities and the most organisms (Odum, 1971). If woody debris, from nearby trees in
forests and riparian areas, fall into the stream, the quantity and diversity of aquatic habitats is
increased (Bisson et al., 1987; Dolloff et al., 1994).
Nutrients and Eutrophication – Nitrogen, phosphorus, potassium, selenium, and silica,
are needed for plant growth. However, nitrogen and phosphorus, if found in surplus, may
cause an increase in the rate of growth of algae and aquatic flora in a stream. This process is
called eutrophication.
Eutrophication has been an environmental and ecological problem in China since the
1980s when the economy began to rapidly grow. If the excess organic matter is decomposed,
it can result in oxygen depletion of the water, it also can have terrible aesthetic consequences
the worst of which is the death of fish.
Eutrophication in lakes and reservoirs is indirectly measured as standing crops of
phytoplankton biomass, usually represented by planktonic chlorophyll-a concentration.
However, phytoplankton biomass is not generally the main component of plant biomass in
smaller streams because the growth of periphyton and macrophytes, which live on the stream
bed, is promoted by high substrate to volume ratios and periods of energetic flow. When there
are decreased flows and high temperatures, excessive algal mats develop and oxygen is
depleted due to eutrophication.
 River Ecology and Stream Restoration 13

Figure 10. Effects of acid rain on some aquatic species. As acidity increases (pH decreases) in lakes and
streams, some species are lost as indicated by the lighter colors (revised on the basis of FISRWG,
1997).

Figure 11. Schematic diagram of hyporheic zone.

14 Zhao-Yin Wang and Bao-Zhu Pan

1.4. Ecological Functions of Rivers

The main ecological functions of rivers are habitat, conduit, filter, barrier, source, and
sink. Ecological restoration is done in order to enable river corridor functions to be effectively
restored. However, the goals of restoration are not only to reestablish the structure or to
restore a particular physical or biological process. Section 1. emphasizes matrix, patch,
corridor, and mosaic as the most basic building blocks of physical structure at local to
regional scales. Ecological functions, too, can be summarized as a set of basic, common
themes that reappear in an ongoing range of situations.
Two characteristics are particularly important to the operation of stream corridor
functions:

(1) Connectivity-This is a measure of the dimensions of a stream corridor and how far it
continues (Forman and Godron, 1986). This attribute is affected by breaks in the
corridor and between the stream and adjacent land uses. Transport of materials and
energy and movement of flora and fauna are valuable functions promoted by a high
degree of connectivity in a stream between its natural communities.
(2) Width- In stream corridors, this refers to the distance across the stream and its zone
of adjacent vegetation cover. Width is affected by edges, community composition,
environmental gradients and disturbances/ disruptions in adjacent ecosystems,
including those with human activity. Average dimension and variance, number of
narrows, and varying habitat requirements are some example measures of width
(Dramstad et al., 1996).

1.4.1. Habitat Function

Habitat is a term used to describe an area where plants or animals (including people)
normally live, grow, feed, reproduce, and otherwise exist for any portion of their life cycle.
The important factors needed for survival such as space, food, water, and shelter are provided
by the habitat. As long as the conditions are suitable, many species use river corridors to live,
find food and water, reproduce, and establish viable populations. Population size, number of
species, and genetic variation are a few measures of a stable biological community, which
vary within known boundaries over time. Streams may positively affect these measures at
different levels. Since corridors are linked to small habitat patches, they have a great value as
habitats because they create large, more complex habitats with greater wildlife populations
and higher biodiversity.
In general, stream corridors are habitats for plants, fish, invertebrates, and amphibians.
For instance, the Fazi River is an urban stream in Taichong City, as shown in Figure 12. The
river has gravel bed with alternative lentic and lotic waters, Although the river is seriously
polluted in the upstream reaches several tens of species of macro-invertebrates, fish and birds
are found in the river. Habitat functions differ at various scales, and an appreciation of the
scales at which different habitat functions occur will help a restoration initiative succeed. The
evaluation of a habitat at larger scales, for example, may make note of a biotic community’s
size, composition, connectivity, and shape. To help describe habitat over large areas at the
landscape scale, the concepts of matrix, patches, mosaics, and corridors can be used.
Migrating species can be provided with their favorite resting and feeding habitats during
migration stopovers by stream corridors with naturally occurring vegetation.
 River Ecology and Stream Restoration 15

Figure 12. The Fazi River, an urban stream in Taichong City, provides habitats for benthic
invertebrates, fish and birds.

Some patches are too small for large mammals like the black bear which need great,
unbroken areas to live in. However, these patches may be linked by wide stream corridors to
create a large enough territory for bears. Assessing habitat function at small scales can also be
viewed in terms of patches and corridors.
It is also at local scales that transitions among the various habitats within the river can
become more important. Two basic types of habitat structure: interior and edge habitat can be
found in stream corridors. Connectivity and width greatly influence the functions of habitats
at the corridor scale.
A stream corridor provides a better habitat if it is wide and if it has greater connectivity.
Changes in plant and animal communities can be caused by river valley morphology and
environmental gradients, such as gradual changes in soil wetness, solar radiation, and
precipitation. Species usually find ideal habitats in broad, unfractured, and diverse streams,
rather than narrow and homogenous ones.
Factors such as climate, microclimate, elevation, topography, soils, hydrology,
vegetation, and human uses, cause the habitat conditions within a river to vary. When
planning to restore a stream, its width is of great importance to wildlife.
The size and shape of a stream corridor must be sufficiently wide for a species to
populate. This must be considered when trying to maintain a certain wildlife species. If the
corridor is too narrow, from the point of view of the species, it is as if there is a piece of the
corridor missing. Riparian forests provide diversity not only in their edge and interior habitats
but also offer vertical habitat diversity in their canopy, sub-canopy, shrub, and herb layers.
Within the channel itself, riffles, pools, glides, rapids, and backwaters all provide different
habitat conditions in both the water column and the streambed. These examples, all described
in terms of physical structure, yet again show that there is a strong correlation between
structure and habitat function.

1.4.2. Conduit Function

To act as a route for the flow of energy, materials, and organisms is known as the conduit
function, as shown in Figure 13. A stream is foremost a conduit that was formed by and for
collecting and transporting water and sediment. As well as water and sediment, aquatic fauna
and other materials use the stream corridor as a conduit. Since there is movement across as
well as along the stream and in many other directions, the corridor can be considered to have
16 Zhao-Yin Wang and Bao-Zhu Pan

lateral and longitudinal conduit functions. If the stream corridor is covered by a closed
canopy, then birds and mammals may cross over the stream through the vegetation. The food
supply for fish and invertebrates may be enriched or increased by the movement of organic
debris and nutrients from higher to lower floodplains. Corridors can act as pathways and
habitats at the same time for migratory or highly mobile wildlife. The migration of songbirds
from their wintering habitat in the neo-tropics to a summer habitat further north is made
possible by rivers together with other, useful habitats.
After all, birds can only fly a certain distance before they need to eat and rest. For rivers
to function effectively as conduits for these birds, they must be sufficiently connected and be
broad enough to provide the habitat required for migratory birds. The migration of salmon
upstream for spawning has been extensively investigated and is a well known example of the
movement of aquatic organisms and interactions with the habitat.
A conduit to their upstream spawning grounds is very important to the salmon which
mature in a saltwater environment. In the case of the Pacific salmon species the stream
corridor depends on the nutrient input and biomass of dying fish and plentiful spawning in the
upstream reaches. So, not only are conduits important for the movement of aquatic biota but
also for the transport of nutrients from ocean waters upstream.
Stream corridors are also conduits for the movement of energy, which occurs in many
forms. Heat is transported with flowing water along a stream, as shown in Figure 13. The
potential energy of the stream is provided by gravity, which alters and carves the landscape.
The corridor modifies heat and energy from sunlight as it remains cooler in spring and
summer and warmer in the fall. Stream valleys move cool air from high to low altitudes in the
evening, and, therefore, are effective air-sheds. The energy built up by the productivity of
plants in a corridor is stored as living plant material and it moves into other systems by leaf
fall and detritus.

Figure 13. A stream is a flow pathway for heat, water, and other materials, and organisms as shown for
a small tributary of the Songhua River in northeast China.
 River Ecology and Stream Restoration 17

Seeds may be carried for long distances by flowing water and then deposited. Whole
plants may be uprooted, transported, and then deposited, still living, in a new area by strong
floods.
Plants are also transported when animals eat and transport their seeds throughout
different parts of the river. Some riparian habitats depend on a continuous supply and
transport of sediment, although many fish and invertebrates can be harmed by excess fine
sediment.

1.4.3. Filter and Barrier Functions

Stream corridors may act as filters, allowing selective penetration of energy, materials,
and organisms, they may also act as a barrier to movement. In many ways, the entire stream
corridor serves beneficially as a filter or barrier that reduces water pollution, minimizes
sediment transport, and often provides a natural boundary to land uses, plant communities,
and some less mobile wildlife species as shown in Figure 14.
Movement of materials, energy, and organisms perpendicular to the flow of the stream is
most effectively filtered or barred, however, elements moving parallel to the stream corridor,
along the edge, may also be selectively filtered. The movement of nutrients, sediment, and
water over land is filtered by the riparian vegetation.
Dissolved substances, such as nitrogen, phosphorus and other nutrients, entering a
vegetated river valley, are restricted from entering the channel by friction, root absorption,
clay, and soil organic matter.
Edges at the boundaries of stream corridors begin the process of filtering. Initial filtering
functions are concentrated into a tight area by sudden edges. These edges tend to be caused
by disruptions and usually encourage movement along boundaries while opposing movement
between ecosystems. On the other hand, gradual edges promote movement between
ecosystems and increase filtering and spread it across a wider ecological gradient. Gradual
edges are found in natural settings and are more diverse (FISRWG, 1997).

Figure 14. A stream functions as a boundary of land uses, plant communities, and some less mobile
wildlife species.
18 Zhao-Yin Wang and Bao-Zhu Pan

1.4.4. Source and Sink Functions

Organisms, energy, and materials are supplied to the bordering area by rivers. Areas that
function as sinks absorb organisms, energy, or materials from the surrounding landscape. A
stream can act as both a source and a sink, as shown in Figure 15.
However, this is affected by the location of the stream and the time of year. Although
they may sometimes function as a sink, when flooding deposits new sediment there, stream
banks tend to act as a source, for example, of sediment to the stream.
Genetic material throughout the landscape is supplied by and moves through corridors,
which at the landscape scale, act as conduits or connectors to many different patches of
habitats.
Surface water, ground water, nutrients, energy, and sediment can be stored in stream
corridors, which then act as a sink and allow materials to be temporarily stored in the
corridor. Friction, root absorption, clay, and soil organic matter prevent the entry of dissolved
substances such as nitrogen, phosphorus, and other nutrients into a vegetated stream corridor.
Forman (1995) offers three sources and sink functions resulting from floodplain vegetation:
1) Decreased downstream flooding through floodwater moderation and/or uptake; 2)
Containment of sediments and other materials during flood stage, and 3) Source of soil
organic matter and water-borne organic matter.

Figure 15. A stream functions as a source providing organisms, energy, or materials to the surrounding
landscape, and also as a sink absorbing organisms, energy, or materials from the surrounding landscape.

1.5. Dynamic Equilibrium

Even in the absence of human disruptions, the ecological characteristics of stream

corridors, although consistent, are naturally and constantly changing in their structure,
 River Ecology and Stream Restoration 19

processes, and functions. Streams corridors show a dynamic form of stability. Stability is
regarded as the capability of a system to prevail within a range of conditions. This
phenomenon is referred to as dynamic equilibrium.
For a dynamic equilibrium to be preserved, the stream ecosystem must have an active
series of self-correcting mechanisms. External disruptions and stresses may be moderated
within a certain range of responses, by the ecosystem through these mechanisms, thus,
preserving a self-sustaining condition. The threshold levels associated with these ranges are
difficult to identify and quantify. If these levels are exceeded, the system can become
unstable. A new steady state position may take a long time to become established, however
this may be done if the stream is subjected to a series of adjustments.
Once the source of a disturbance is controlled or removed, a stream system can return to
its working condition in a reasonable amount of time. The fact that ecosystems restore
themselves after the removal of external stresses allows passive restoration. Removing the
stress and allowing the ecosystem to recover by itself is an economical and effective method
(see Chapter 9 for an example of ecosystem recovery after ammonia toxicity is reduced).
However, following a profound disruption and alteration, the time needed for a stream
corridor to heal itself could be several decades.
Even if a stream system does recover to equilibrium, it will be very different from before,
and its ecological value may be greatly decreased. When an analysis by restoration
practitioners shows that the recovery time will be long and questionable, they may decide that
the use of active restoration techniques to reestablish a more operable channel form and
biological community in a short time, may be viable. There are many difficulties with active
restoration. Planning, designing, and implementing methods to regain the original state of
dynamic equilibrium correctly are great challenges.
In some cases a disturbance may have such a great effect that the system may not be
capable of recovery. In which case the stress must be removed and active restoration may be
applied by repairing damage to the structure and function of the stream ecosystem. A stable
ecosystem must have a combination of resistance, resilience, and capacity to recover. If it can
keep its original form and functions, then it is resistant. The rate at which the ecosystem
returns to its original form is known as its resilience. The resilience of an ecosystem, re, may
be measured with the ratio of the stress, τ , over the time needed for the ecosystem to return
its original form, T:

τ
re = (1)
T

Recovery is the degree to which a system returns to its original condition after a
disturbance. Natural systems are able to recover and restore stability following disruptions
and disturbances. However, a system may not be able to recover if there is human activity as
well as natural disturbances.
A system may change yet still remain stable and in a good condition. When a large stable
system has small, local changes within it, it is described as having mosaic stability. A good
example would be a riparian system greatly disturbed by a 100-year flood. If this were to
occur in an area which was urbanized, then it would become a dangerous gap in a habitat that
is already rapidly decreasing and would separate and isolate cause populations of rare
20 Zhao-Yin Wang and Bao-Zhu Pan

amphibian species. However, that same system, in a less urbanized area may not be harmful
to amphibians but may just represent a mosaic of constantly shifting suitable and unsuitable
habitats in a naturally functioning, unconfined system. A landscape with mosaic stability is
not likely to need restoration, whilst one without would urgently need restoring.

2. ECOLOGICAL STRESSES
Ecological stresses are defined as the disturbances that bring changes to river ecosystems.
The ecological stresses are natural events or human-induced activities that occur separately or
simultaneously. The structure of a system and its capability of carrying out important
ecological functions may be changed by stresses, regardless of whether they act individually
or in combination. One or more characteristics of a stable system may be permanently
changed by a causal chain of events produced by a stress present in a river. For instance, land
use change may cause changes of hydrological and hydraulic features of the river, and these
changes may cause chages in sediment transportation, habitat, and ecology (Wesche, 1985).
Disturbances are not all of equal frequency, duration, and intensity and they may occur
anywhere within the stream corridor and associated ecosystems. A large number of
disturbances of different frequency, duration, intensity, and location may be caused by one
single disturbance. Once people understand the evolution of what disturbances are stressing
the system, and how the system reacts to those stresses, people can decide which actions are
needed to restore the function and structure of the stream corridor.
Disturbance occurs within variations of scale and time. Changes brought about by land
use, for example, may occur within a single year at the stream or reach scale (crop rotation), a
decade within the stream scale (urbanization), and even over decades within the landscape
scale (long-term forest management). Despite the fact that wildlife populations, such as the
monarch butterfly, remain stable over long periods of time, they may fluctuate greatly in short
periods of time in a certain area. Similarly, while weather fluctuates daily, geomorphic or
climatic changes may occur over hundreds to thousands of years.
Although it is not observed by humans, tectonic motion changes the landscape over
periods of millions of years. The slope of the land and the elevation of the earth surface are
affected by tectonics, such as earthquakes and mountain creating forces like folding and
faulting. Streams may alter their cross section or plan form in response to changes brought on
by tectonics. Great changes in the patterns of vegetation, soils, and runoff in a landscape are
caused by the quantity, timing, and distribution of precipitation. As runoff and sediment loads
vary, the stream corridor may change.

2.1. Natural Stresses

Climatic change, desertification, floods, hurricanes, tornadoes, erosion and

sedimentation, fire, lightning, volcanic eruptions, earthquakes, landslides, temperature
extremes, and drought are among the many natural events that have a negative impact on the
structure and functions of a river ecosystem. The relative stability, resistance, and resilience
of an ecosystem determine their response to a disturbance.
 River Ecology and Stream Restoration 21

Climate change may be illustrated with climate diagrams at meteorological stations. The
climate diagram was suggested by Walter (1985). In the diagram, temperature is plotted on
the left vertical axis and average total monthly precipitation on the right vertical axis.
Temperature and precipitation are plotted on different scales. Walter (1985) used 20
mm/month as equivalent to 10oC for the U.S. and Europe, but 100 mm/month is used as
equivalent to 10oC for a tropical rain forest. In this book, 30 mm/month equivalent to 10oC
for China. Very useful information, such as the seasonal fluctuation of temperature and
precipitation, the duration and intensity of wet and dry seasons, and the percentage of the year
in which the average monthly temperature is above and below 0oC, is summarized in this
climate diagram. When the precipitation line lies above the temperature line then, in theory,
there should be enough moisture for plants to grow. The potential evapotranspiration rate will
exceed the precipitation if the temperature line lies above the precipitation line. The more the
temperature line moves up and away from the precipitation line, the drier the climate will be.

Figure 16. Climate diagrams for the Tibet Plateau (at Lhasa), in which average monthly temperature is
plotted on the left vertical axis and average total monthly precipitation on the right vertical axis (10oC
is equivalent to 30 mm of precipitation).
22 Zhao-Yin Wang and Bao-Zhu Pan

Figure 17. A serious a drought that started in 1997 and lasted for 6 years killed many poplar trees in the
Kuye River basin in Inner Mongolia Autonomous Region, China. The trunks and branches die but the
root system is still alive. The roots sprouted and new branches grew after the climate became wetter
after 2004.

Global climate change can be represented by the climate change in the Tibet Plateau, as it
is the third pole of the earth. The distributions of decade average monthly temperatures and
total monthly precipitation are shown in each diagram in Figure 16. Between the 1960s and
1990s, the shape of the precipitation and temperature distributions has stayed the same.
However, the average temperature has risen by about 1oC. The winter dry period which
previously was from the beginning of October to the end of November, has extended from the
beginning of October to the middle of December. The ecology of rivers around the world is
affected by this climate change. As a consequence of global warming, continuous drought
occurred in northern China. Figure 17. shows that many poplar trees in the Kuye River basin,
which is a tributary of the Yellow River in northwest China, were killed by continuous
drought from 1997 to 2003. The trunks and branches die but the root system is still alive. The
roots sprouted and new branches grew after the climate became wetter after 2004.
Figure 18. shows that a sand dune in the Kubuqi desert in northwest China is moving
toward a seasonal stream. The riparian forest has been damaged and some reptiles and
amphibians have suffered. Desertification has become an environmental problem, which may
be a consequence of deforestation and climate change.

Figure 18. A sand dune in Kubuqi desert in northwest China is moving toward a seasonal stream.
 River Ecology and Stream Restoration 23

Figure 19. Wenjiagou Landslide in Mianzhu City buried the stream and vegetation.

Figure 20. (a) High sediment concentration in a stream in Taiwan, southeast China, which results in low
transparency, low dissolved oxygen, and sediment coating the substrate; (b) Turbid seawater with high
concentration of sediment impacts on fish and invertebrate communities.

A huge landslide may totally destroy the terrestrial and aquatic ecosystem of a river.
Figure 19. shows the Wenjiagou Landslide in Mianzhu City, Sichuan, China, which was
induced by the Wenchuan Earthquake on May 12, 2008. The total volume of the sliding body
was 81 million m3. The stream and vegetation on slopes were buried underneath the 180m
thick landslide. Both faunal and floral communities have been totally destroyed and the
restoration needs a long period of time.
24 Zhao-Yin Wang and Bao-Zhu Pan

Erosion and sedimentation often are the direct cause of ecology impairment. Figure 20.
(a) shows the high sediment concentration in a stream in Taiwan, southeast China, which
causes a strong stress on the aquatic biocommunity. The sediment results from intensive soil
erosion caused by a rainstorm. The high concentration results in low transparency, low
dissolved oxygen, and sediment coating the substrate. Benthic animals and fish may be killed
during the high concentration event. Figure 20. (b) shows the turbid seawater with a high
concentration of sediment on the east coast of Taiwan. The sediment is transported into the
ocean by debris flows and hyperconcentrated flows. Tidal current and waves bring the
sediment onto the shore and bays, which impacts on fish and invertebrate communities.
Stream ecology is influenced by certain animal activities. For example, beavers build
dams that cause ponds to form within a stream channel or in the floodplain. Figure 21. (a)
shows that a couple of beavers skillfully use natures building materials and construct a wood
dam with tree branches on the Spring Pond in Pennsylvania; and Figure 21. (b) shows the 3 m
high beaver dam forms a pond, which provides a good habitat for fish and birds. Without any
machines the beavers transported so much building materials and built the dam within several
months. The landlord of the Spring Pond, Mr. R. Devries pronounced that there is no way for
humans “could ever match their dam skills, their dam resourcefulness, their dam ingenuity,
their dam persistence, their dam determination and their dam work ethic”.
Of course the dam construction by beavers disturbs the stream ecology. The pond kills
much of the existing vegetation. Moreover, if appropriate woody plants in the floodplain are
scarce, beavers extend their cutting activities into the uplands and can significantly alter the
riparian and stream corridors. The sequence of beaver dams along a stream corridor may have
major effects on hydrology, sedimentation, and mineral nutrients (Forman 1995). Silts and
other fine sediments accumulate in the pond rather than being washed downstream. On the
other hand the aquatic ecological conditions are improved by the beaver dams. Water from
storm flow is held back, thereby affording some measure of flood control. Wetland areas
usually form, and the water table rises upstream of the dam. The ponds combine slow flow,
near-constant water levels, and low turbidity that support fish and other aquatic organisms.
Birds may use beaver ponds extensively.
Although the Pennsylvania Department of Environmental Quality found that “dams of
this nature are inherently hazardous and cannot be permitted”. The Department therefore
orders “to restore the stream to a free-flow condition by removing all wood and brush
forming the dams from the stream channel”. The beaver dam and the life of beavers on fish in
their “reservoir” is a part of the ecology, which increases the diversity of habitats. The
landlord Mr. R. Devries pronounced on behalf of the beavers that “the Spring Pond Beavers
have a right to build their unauthorized dams as long as the sky is blue, the grass is green and
water flows downstream. They have more dam rights than humans do to live and enjoy
Spring Pond. If the Department of Natural Resources and Environmental Protection lives up
to its name, it should protect the natural resources (Beavers) and the environment (Beavers'
Dams).
Riparian vegetation, in general, tends to be resilient. Despite the fact that a flood may
destroy a mature cottonwood forest, the conditions it leaves behind are usually those of a
nursery, so a new forest can be established, and, thus, the riparian ecosystem is increased
(Brady et al., 1985). Having developed characteristics such as high biomass and deep
established root systems, the riparian forest systems have adapted to many types of natural
stresses. Due to this adaptation, small and frequent droughts, floods, and other natural
 R
River Ecology and Stream Restoration
R 25

diisruptions are of little conseequence to the systems. Wheen an unexpeccted serious sttress occurs
likke fire, then the
t effect is only
o local andd does not afffect the comm
munity on a laarger scale.
H
However, the reesilience of thhe system can beb disrupted by
b widespreadd effects such as
a acid rain
annd indiscriminnate logging annd associated road buildingg. Soil moisturre, soil nutriennts, and soil
teemperature can n be critically changed by thhese and otherr disturbances, as well as othher factors.
Seeveral tens of o years are neededn for thhe recovery ofo a system affected by widespread
w
diisturbance.

Fiigure 21. (a) A couple of beaveers began to connstruct a dam with

w tree branches on the Springg Pond in
Peennsylvania, U..S.; (b) The 3 m high beaver daam forms a ponnd, which providdes a good habiitat for fish
annd birds.
26 Zhao-Yin Wang and Bao-Zhu Pan

2.2. Human-Induced Stresses

Human-induced stresses undoubtedly have the greatest potential for introducing enduring
changes to the ecological structure and functions of stream corridors. Physical disturbance
effects occur at any scale from landscape and stream corridor to stream and reach, where they
can cause impacts locally or at locations far removed from the site of origin. Activities such
as flood control, road building and maintenance, agricultural tillage, and irrigation, as well as
urban encroachment, can have dramatic effects on the geomorphology and hydrology of a
watershed and the stream corridor morphology within it. The modification of stream
hydraulics directly affects the system, causing an increase in the intensity of disturbances
caused by floods. Chemically defined disturbance effects, for example, can be introduced
through many activities including discharging sewage and wastewater (acid mine drainage
and heavy metals) into the stream. Ecological disturbance effects are mainly to the result of
the introduction of exotic species. The introduction of exotic species, whether intentional or
not, can cause disruptions such as predation, hybridization, and the introduction of diseases.
For instance, bullfrogs have been introduced into the western U.S., They reproduce
prodigiously and prey on numerous native amphibians, reptiles, fish, and small mammals and
cause biological problems in the ecosystem. Altering the structure of plant communities can
affect the infiltration and movement of water, thereby altering the timing and magnitude of
runoff events.
Dams - Ranging from small temporary structures to huge multipurpose structures, human
constructed barriers can have profound and varying impacts on stream corridors. The effect of
disturbances resulting from barriers used for river impoundment on water quality, sediment
transportation, and ecology are discussed extensively in Chapter 7. Barriers affect resident
and migratory organisms in stream channels. Power plants may kill fish when they swim
through the turbines. Figure 22. (a) shows that many birds are searching for dead fish at the
outlets of a hydro-power plant in Korea, which were killed when they swam through the
turbine; Figure 22. (b) shows that the Baozhusi Dam on the Bailong River in Sichuan
Province has cut off the river flow. The stream ecology of the lower reaches has been greatly
affected.

Figure 22. (a) Birds are searching for dead fish at the outlets of a hydro-power plant at which fish are
killed when they swim through the turbine; (b) The Baozhusi dam on the Bailong River has cut off the
flow and greatly affects the stream ecology in the lower reaches.
 River Ecology and Stream Restoration 27

The dam blocks or slows the passage and migration of aquatic organisms, which in turn
affects food chains associated with stream ecological functions. The Colorado River
watershed is a 627,000-km2 mosaic of mountains, deserts, and canyons. The watershed begins
at over 4,000 m in the Rocky Mountains and ends at the Sea of Cortez. Many native species
require very specific environments and ecosystem processes to survive. Under natural
conditions, the basin’s rivers and streams were characterized by a large stochastic variability
in the annual and seasonal flow levels. This hydrologic variability was a key factor in the
evolution of the basin’s ecosystems. Today over 40 dams and diversion structures control the
river system and result in extensive fragmentation of the watershed and riverine ecosystem.
Chanalization and water diversions - Like dams, channelization disturbs the stream
ecology, by disrupting riffle and pool complexes needed at different times in the life cycle of
certain aquatic organisms. The flood conveyance benefits of channelization and diversions are
often offset by ecological losses resulting from increased stream velocities and reduced
habitat diversity. Levees along rivers and diversion channels tend to replace riparian
vegetation. The reduction in trees and other riparian vegetation along levees result in changes
in shading, temperature, and nutrients. Hardened banks result in decreased habitat for
organisms that live in stream sediments, banks, and riparian plants. Figure 23. (a) shows that
the sediment banks of the lower Weihe River (the largest tributary of the Yellow River) have
been replaced by stone walls in order to control floods and stabilize the channel. Figure 23.
(b) shows that an urban stream in Beijing is reconstructed with concrete banks and channel
bed for controlling seepage. Most of macro-invertebrates, reptiles, and amphibians have
disappeared because the habitats for them have been covered with concrete.

Figure 23. (a) Hardened banks of the Weihe River; (b) Concrete banks and bed of an urban stream in
Beijing.
28 Zhao-Yin Wang and Bao-Zhu Pan

Figure 24. Water flow in the Minjiang River is cut off due to water diversion.

Water diversion from rivers impacts the stream ecology, depending on the timing and
amount of water diverted, as well as the location, design, and operation of the diversion
structure. Figure 24. shows that the water flow in the Minjiang River, which is a tributary of
the Yangtze River, is cut off due to water diversion. To exploit the hydro-power at low cost
many low dams have been constructed on the river and the river water is diverted through
pipelines and tunnels to the hydropower plants, which are located at several tens of kilometers
downstream. Because all water has been diverted the reaches between the dams and the
power plants became dry and all aquatic life were killed or seriously impacted. There are
many such hydro-power plants on the rivers in southwest China, and, more hydro-power
plants of such a type are being planned or are in construction. The management of stream
ecology in southwest China is facing a serious challenge.
Fragmentation of habitat - Some river training works result in the fragmentation and
isolation of habitats. Figure 25. shows the Yangtze River and numerous riparian lakes with
different sizes. Naturally these lakes connected with the Yangtze River and formed a huge
habitat in the past. Humans cut the connection for flood defense and aquatic farming, thus,
fragmenting the habitat. The fragmentation of habitat has resulted in deterioration of the
ecology and extinction of some species.

Figure 25. Isolation of riparian lakes along the Yangtze River results in fragmentation of habitat
(Satellite image from the web http://earth.google.com)
 River Ecology and Stream Restoration 29

140 River-linked lake

120

Number of species
Seasonally river-linked lake
100 Isolated lake
80
60
40
20
0
Emergent Floating- Floating Submerged Sum
Hygrophyte plants leaved plants plants
plants

100
90
River-linked
80
Isolated lake
Number of species

70
60
50
40
30
20
10
0
Oligochaeta Mollusca Aquatic Other faunal Sum
species

Figure 26. Comparison of species richness of aquatic plants and benthic invertebrates in isolated lakes
and river-linked lakes in the middle and lower Yangtze River basin (after Wang and Wang, 2008).

Cut-off of riparian lakes from the Yangtze River stressed the complex ecosystem in the
lakes and the river. Figure 26. shows a comparison of species richness of aquatic plants and
benthic invertebrates in isolated lakes and river-linked lakes in the middle and lower Yangtze
River basin (Wang and Wang, 2008). The connection of the isolated lakes with the Yangtze
River was cut off in the past decades, which has resulted in continuous reduction of species.
The cut-off also caused reduction of fish species. There are 101 fish species in the river-
linked Poyang Lake but only 57 and 47 fish species in the isolated Honghu Lake and
Zhangdu Lake.
An experiment was conducted in the Juma River in the suburbs of Beijing. In a backwater
area of the river two experimental plots, a large one with area of 100 m2 and a small one with
area of 4 m2, were separated from the neighboring water by steel sheet walls. The impact on
benthic invertebrates was monitored for 6 months.
Figure 27. shows the variation of the total abundance and species richness in the two
plots compared with those of the open water. In the first 40 days the differences between the
three kinds of habitats are inconsistent.
Nevertheless, it becomes clear after 40 days that both abundance and species number in
the closed plots reduced greatly. The abundance and richness in the small plot reduced to
almost zero. In the large closed plot the abundance has reduced by two thirds and the species
number reduced by one third (Duan and Wang, 2008). The results indicate that habitat
fragmentation is a serious stress on the ecosystem and must be considered in ecological
restoration of the river-lake complex system.
30 Zhao-Yin Wang and Bao-Zhu Pan

1400 Open water Large plot Small plot

1200

N (ind./ m2)
1000
800
600
400
200
0
0 20 40 60 80 100 120
T (day)

35 Open water Large plot Small plot

30
25
20
S

15
10
5
0
0 20 40 60 80 100 120
T (day)

Figure 27. The number density, N, and species number, S, of benthic invertebrates in fragmented
habitats (large plot area = 100 m2; small plot area = 4 m2) varying with the isolation time in
comparison with that in the neighboring open water (after Duan and Wang, 2008).

Mining - Gold placer mining in rivers has become an extreme intensive disturbance to the
stream ecology in southwest China. Figure 28.(a) shows placer mining in the Bailong River,
which is a tributary of the Jialing River in Sichuan Province. People are removing bed gravel
from the river for placer mining. The benthic invertebrate community is completely disturbed.
Moreover, mercury is used in the process, which has also resulted in water pollution.
Compared with gold mining, gravel mining is much more wide-spread. Since the 1980s,
gravel mining has become a serious ecological stress in many rivers throughout China, as
shown in Figure 28.(b). Gravel and coarse sand are mined for building materials. Gravel
mining causes loss of habitat for benthic biocommunities and loss of spawning ground for
many fish species. Lacking laws for controlling river sediment mining and attracted by great
economic benefit, sediment mining has developed so quickly that almost all streams are
stressed.
Surface mining also causes stresses on the river ecosystem. Exploration, extraction,
processing, and transportation of coal, minerals, and other materials have had and continue to
have a profound effect on stream corridors. Many rivers ecosystems remain in a degraded
condition as a result of mining activities. Such mining activity frequently resulted in total
destruction of the stream corridor. In some cases today, mining operations still disturb most
or all of entire watersheds. Figure 29. shows a gold mine in the Henan Province in central
China. Mercury was used to separate gold from the ore, therefore, mercury was also lost into
streams. Present-day miners using suction dredges often find considerable quantities of
mercury still resident in streambeds. Current heap-leaching methods use cyanide to extract
gold from low-quality ores. This poses a special risk if operations are not carefully managed.
 River Ecology and Stream Restoration 31

Figure 28. (a) Gold placer mining in the Bailong River, a tributary of the Jialing River in Sichuan; (b)
Gravel mining for building materials from the Qingjiang River, a tributary of the Yangtze River.

Figure 29. A gold mine in the Henan in central China causes pollution of the Yihe River.
32 Zhao-Yin Wang and Bao-Zhu Pan

Pollution – Point source pollution from industry and diffuse pollution from agriculture
(pesticides and nutrients) have the potential to disturb natural chemical cycles in streams, and,
thus, to degrade water quality and impact the ecosystem.
Figure 30. (a) shows waste water from a factory discharged into the Jialing River, a large
tributary of the Yangtze River in the Sichuan Province, and the seriously polluted river water.
Riparian vegetation and animals near the outlet have been killed. The frog shown Figure 30.
(b) has been killed due to the pollution. Heavy sewage discharge also causes stresses to the
bio-communities.
Figure 31. (a) show the pollution of a stream flowing through the Dalian City, which is
caused by uncontrolled sewage discharge. Fish and many other animals in the stream have
been killed by the pollution. Figure 31. (b) shows eutrophication of the Lijiang River at
Guilin, a famous tourism attraction for its beautiful landscape and streams. Sewage discharge
from the city causes pollution of the river water and blooming of phytoplankton and
macrophytes.
Toxic runoff or precipitates can kill streamside vegetation or can cause a shift to species
more tolerant of polluted conditions. This affects habitat required by many species for cover,
food, and reproduction. Aquatic habitat suffers from several factors.
Acid mine drainage can coat stream bottoms with iron precipitates, thereby affecting the
habitat for bottom-dwelling and feeding organisms. Precipitates coating the stream bottom
can eliminate places for egg survival. Fish that do hatch may face hostile stream conditions
due to poor water quality.
Chemical disturbances from agriculture are usually widespread, nonpoint sources.
Municipal and industrial waste contaminants are typically point sources and often chronic in
duration.
Secondary effects, such as agricultural chemicals attached to sediments, frequently occur
as a result of physical activities (irrigation or heavy application of herbicides). In these cases,
it is better to control the physical activity at its source than to treat the symptoms within a
stream corridor.

Figure 30. (a) Waste water from a factory is discharged into the Jialing River and seriously polluting
the river water; (b) A frog is killed due to the pollution.
 River Ecology and Stream Restoration 33

Figure 31. (a) Urban sewage polluting a stream flowing through the Dalian in northeast China; (b)
Eutrophication of the Lijiang River at Guilin, a famous tourism attraction for its beautiful landscape and
streams.

Urbanization – Urbanization in watersheds poses special challenges for stream ecological

management. Recent research has shown that streams in urban watersheds have a character
fundamentally different from that of streams in forested, rural, or even agricultural
watersheds.
Impervious cover directly influences urban streams by dramatically increasing surface
runoff during storm events by 2 to 16 times, with proportional reductions in ground water
recharge (Schueler, 1995). Figure 32. conceptually shows the effects of different amounts of
impervious cover on the water balance for a watershed.

40% evapotranspiration 38% evapotranspiration

10% 20%
runoff runoff

25% shallow 21% shallow

infiltration infiltration 21% deep
25% deep
infiltration
Natural Ground Cover infiltration 10%-20% Impervious Surface

30% evapotranspiration
35% evapotranspiration

30% 55%
runoff runoff

20% shallow 10% shallow

infiltration 15% deep infiltration 5% deep
infiltration infiltration
35%-50% Impervious Surface 75%-100% Impervious Surface

Figure 32. Effects of different amounts of impervious cover on the water balance for a watershed (after
FISRWG, 1997) .
344 Zhao-Yin Wang
W and Bao-Zhu Pan

Fiigure 33. Ripariian forest has beeen replaced byy buildings and the banks are hardened
h with concrete in
G
Guangyuan, Sichhuan.

The uniquee character of urban streamss often requirees unique resttoration strateggies for the
stteam corridor.. The peak diischarge assocciated with thhe bankfull fllow (1- to 2-yyear flood)
inncreases sharp ply in magnituude in urban streams. Sincce imperviouss cover prevennts rainfall
frrom infiltrating into the soill, less flow is available to recharge
r grouund water. Connsequently,
duuring extended periods withhout rainfall, baseflow leveels are often reduced in urbban streams
(SSimmons and d Reynolds, 1982).
1 Anothher modificatiion unique too urban streaams is the
innstallation of sanitary
s sewerrs underneath or parallel to the stream chhannel. The waater quality
off urban streamms during storm m events is coonsistently pooor. Urban storrm water runooff contains
m
moderate to high concentrattions of sedim ment, carbon, nutrients,
n tracce metals, hyddrocarbons,
chhlorides, and bacteria (Schhueler, 1987)). Large woody debris is an importantt structural
coomponent of many
m small rivvers, creating complex habiitat structure and
a generally making
m the
sttream more reetentive. In urbban streams, the t quantity of o large woodyy debris foundd in stream
chhannels is red duced due to the loss of riparian
r forestt cover, storm
m washout, annd channel
m
maintenance prractices (Mayy et al., 1997). Many river crossings cann become parttial or total
baarriers to upsstream fish migration,
m partticularly if thhe streambed erodes below w the fixed
ellevation of a culvert or a pipeline.
p The important rolle that riparian forests playy in stream
eccology often is i diminished in urban wateersheds since tree cover is often partiallyy or totally
reemoved alongg the stream as a a consequennce of develoopment (May et al., 1997). Figure 33.
shhows a tributaary of the Jialiing River (a tributary of thee Yangtze Rivver) flowing through
t the
G
Guangyuan thaat has been greeatly affected by urbanizatiion. Riparian forest has beeen replaced
by y residential buildings
b and the
t banks are hardened withh concrete. Thhe flow dischaarge in low
thhe flow seasonn has been reduuced due to water
w diversionn.
Agriculturee and land-usee change – Laand-use change is the most common c human-induced
sttress on the ecosystem. Aggricultural actiivities have generally
g resullted in encroaachment on
sttream corridors. Producerss often crop as much prodductive land as possible to t enhance
ecconomic returrns; therefore,, native vegettation is sacrifficed to increase arable areeas. As the
coomposition an nd distributionn of vegetatioon are alteredd, the interactiions between ecosystem
sttructure and function beccome fragmeented. Vegetaation removaal from streaam banks,
floodplains, an nd uplands oftften conflicts with the hydrrologic and geomorphic
g fuunctions of
 River Ecology and Stream Restoration 35

stream corridors. These disturbances can result in sheet erosion, rill erosion, and gully
erosion, reduced infiltration, increased upland surface runoff and transport of contaminants,
increased bank erosion, unstable stream channels, and impaired habitat. Tillage and soil
compaction interfere with the soil’s capacity to partition and regulate the flow of water in the
landscape, increase surface runoff, and decrease the water-holding capacity of soils. Tillage
also often aids in the development of a hard pan, a layer of increased soil density and
decreased permeability that restricts the movement of water into the subsurface. Disturbance
of soil associated with agriculture generates runoff polluted with sediment, a major nonpoint
source pollutant in the world. Pesticides and nutrients (mainly nitrogen, phosphorous, and
potassium) applied during the growing season can leach into ground water or flow in surface
water to stream corridors, either dissolved or adsorbed to soil particles. Improper storage and
application of animal waste from concentrated animal production facilities are potential
sources of chemical and bacterial contaminants to stream corridors. Tree removal decreases
the quantity of nutrients in the watershed since approximately one-half of the nutrients in
trees are in the trunks. Nutrient levels can increase if large limbs fall into streams during
harvesting and decompose. Conversely, when tree cover is removed, there is a short-term
increase in nutrient release followed by long-term reduction in nutrient levels. Removal of
trees can affect the quality, quantity, and timing of stream flows. If trees are removed, from a
large portion of a watershed, flow quantity can increase accordingly, and water temperature
can increase during summer and decrease in winter. Many of the potential effects of land use
change are cumulative or synergistic. Restoration might not remove all disturbance factors;
however, addressing one or two disturbance activities can dramatically reduce the impact of
those remaining. Simple changes in management, such as the use of conservation buffer strips
in cropland or managed livestock access to riparian areas, can substantially overcome
undesired cumulative effects or synergistic interactions.
Domestic livestock - Stream corridors are particularly attractive to livestock for many
reasons. They are generally highly productive and provide ample forage. Husbandry
development in a watershed has applied a unique stress on the ecosystem. For instance, the
riparian vegetation succession from herbaceous to shrubs has been delayed or even stopped
by grazing of livestock along the Ake River on the Qinghai-Tibet Plateau, as shown in Figure
34.(a). On the other hand, the activities of livestock have become an important element of the
river ecology. Excrement of cattle provides the main nutrient for the grassland. The positive
and negative effects of grazing of domestic livestock must be considered in any restoration
strategy. In many cases livestock swimming in a stream can result in extensive physical
disturbance and bacteriological contamination, as shown in Figure 34.(b).
Recreation and tourism - The amount of impacts caused by the recreation and tourism
industry depends on stream hydrology, soil type, vegetation cover, topography, and intensity
of use. Various forms of foot and vehicular traffic associated with recreational activities can
damage riparian vegetation and soil structure. All-terrain vehicles, for example, can cause
increased erosion and habitat reduction. At locations, reduced infiltration due to soil
compaction and subsequent surface runoff can result in increased sediment loading to the
stream (Cole and Marion 1988). In areas where the stream can support recreational boating,
the system is vulnerable to additional impacts. Propeller wash and water displacement can
disrupt and resuspend bottom sediment, increase bank erosion, and disorient or injure
sensitive aquatic species, as shown in Figure 35.
36 Zhao-Yin Wang and Bao-Zhu Pan

Figure 34. (a) Grazing pressure has been increased due to development of husbandry in the Tibet-
Qinghai Plateau; (b) Livestock swimming in a stream can result in extensive physical disturbance and
bacteriological contamination.

Figure 35. Recreational boating, cruise tours, propeller wash, and accidental spills can degrade stream
habitat.

Forestry-In addition to the changes in water, sediment, and nutrients loads to streams
because of logging practices (i.e. land-use change), forestry may have other impacts of river
ecosystems. Forest roads are constructed to move loaded logs to higher quality roads and then
to a manufacturing facility.
Mechanical means to move logs to a loading area (landing) produce “skid trails.” Stream
crossings are necessary along some skid trails and most forest road systems and are in
especially sensitive areas. Removal of topsoil, soil compaction, and logging equipment and
log skidding can result in long-term loss of productivity, decreased porosity, decreased soil
infiltration, and increased runoff and erosion. Spills of petroleum products can contaminate
soils. Trails, roads, and landings can intercept ground water flow and cause it to become
surface runoff.
 River Ecology and Stream Restoration 37

2.3. Introduction of Exotic Species

Biologically defined disturbance effects occur within species (competition, cannibalism,

etc.) and among species (competition, predation, etc.). These are natural interactions that are
important determinants of population size and community organization in many ecosystems.
Biological disturbances due to improper grazing management or recreational activities are
frequently encountered. The introduction of exotic flora and fauna species can introduce
widespread, intense, and continuous stress on native biological communities.
There are numerous examples worldwide of introduced species bringing about the
extinction of native organisms. The most dramatic have involved predators. An extreme
example is the deliberate introduction of the fish-eating Nile Perch (Lates nilotica) to Lake
Victoria, in East Africa, causing the extinction of dozens of species of small endemic cichlid
fish. Introduced cats, rats, and snakes have had a similar effect on island bird fauna (Dugeon
and Corlett, 2004).
Exotic animals are a common problem in many areas in the U.S. and China. Species such
as Cambarus Clarkaij have been introduced in many waters in south China. Without the
normal checks and balances found in their native habitat in North America and Japan,
Cambarus Clarkaij reproduces prodigiously and causes disturbance to the ecosystem. Figure
36. shows Cambarus Clarkaij. The species burrow in river levees and have caused many
breaches and flooding disasters. The rapid spreading of the species has caused rice harvest
reduction because the animals eat the rice paddies’ root. In some places Cambarus Clarkaij
has also caused prevalence of a disease.
Similarly introduction of the zebra mussel and bullfrog have imposed an intense stress on
native biological communities in the western U.S. Without the normal checks and balances
found in their native habitat in the eastern U.S., bullfrogs reproduce prodigiously and prey on
numerous native amphibians, reptiles, fish, and small mammals.

Figure 36. Cambarus Clarkaij has been introduced in many waters in south China, resulting in
ecological problems.
38 Zhao-Yin Wang and Bao-Zhu Pan

Golden mussel (Limnoperna fortunei) is an invasive filter species of macro-invertebrate.

Originally the species comes from south China, which has spread to various regions, including
Japan, Australia, Argentina, Thailand, India, Brazil and Europe (Darrigran et al., 2003). The
species colonizes habitats with water temperature between 8-35 Ԩ, flow velocity less than 2
m/s, water depth less than 10 m with or without sunlight, dissolved oxygen higher than 1.0
mg/L, and pH higher than 6.4 (Morton, 1982; Márcia, 2006; Darrigran and Damborenea,
2006). Golden mussels have unprimitive byssus threads, which allow them to attach onto
solid walls, especially human constructed water transfer tunnels and pipelines. Dense
attachment of golden mussels in drink water transfer tunnels and pipelines results in macro-
fouling (Yamada et al., 1997), causes high resistance to water flow and damage to pipeline
walls. This along with dead mussels decay harms the surrounding water quality (Darrigran,
2002; Guan and Zhang, 2005).
Golden mussels have a high reproduction rate. Due to the favorable conditions in water
diversion tunnels, cooling pipelines, pumps, and gate slots, golden mussel tends to colonize
these habitats, ultimately leading to damage to these facilities. Figure 37. shows colonization
of golden mussel in the water transfer tunnels in Shenzhen, southern China and attachment
golden mussel on the surface of a concrete fragment. The density of golden mussel
individuals is as high as to 20,000/m2. Golden mussel invasion causes a serious challenge to
water transfer projects that seek to solve issues such as the uneven distribution of water
resources and the problem of water shortages in northern China. The presence of golden
mussels results in quick and uncontrolled spread of the species.
Studies have been conducted to learn the golden mussels' biological characteristics in
order to find effective and sustainable strategies to control its invasion (Morton, 1977; Wang,
1997; Darrigran and Damborenea, 2006; Liu et al., 2006; Li et al., 2007).

Figure 37. Colonization of golden mussel on concrete walls in a water transfer tunnel and attachment of
golden mussel on a concrete fragment with high density.
 River Ecology and Stream Restoration 39

Many measures have been suggested to control golden mussels (Xu et al, 2009), such as
filter screen at the entrance of the water transfer systems (Darrigran, 2002), sand filter by
using proper size distribution of sand (Lou and Liu, 1958), adjustment of flow velocity to
restrain the attachment (Xiang, 1985), smooth pipe walls with anticorrosive coat to stop
attach (Luo, 2006), temperature control, electromagnetic treating, and dissolved oxygen
reducing (Morton,1975; Mcennulty et al., 2001), hot and dry environment (Iwasaki, 1977;
Darrigran, et al., 2004), sealing up the pipelines to block oxygen from entering (Liu, 2006;
Morton, 1977), hot water spraying to kill golden mussels (Morton, 1975), medicaments to kill
golden mussels rapidly (Yamada et al., 1997), culture species of fishes preying golden
mussels (Esteban et al., 2007), injecting certain steroids to disturb the normal spawning (John
and Peter, 2001), and artificial or mechanical clearance during overhaul periods.
Nevertheless, no effective and safe measures have been found to control the mussel. At
present artificial or mechanical clearance during overhaul periods is the only effective and
safe measure although it is expensive and causes intermittence of water supply.
Introduction of plant species may also cause stress on animal species. It was reported in
the China Daily on Aug. 14, 2003, that the natural habitat of giant pandas, rare animals living
mainly in China’s Qinling Mountain range, is being threatened by larch forests (Figure 38).
The story is as follows: “In recent years farmers in Sha-anxi province introduced larch trees
because of its low planting cost, high survival rate and quick maturation into useful timber.
However, the blind introduction of larch trees into the panda protection zones has severely
depleted the groves of bamboo, the food staple of pandas. Larch trees have large crowns
which can cause plants growing beneath them to die from a shortage of sunshine and water.
And larch seeds, spread by birds and the wind, grow quickly. This can seriously impact the
growth of surrounding plants. The introduction of larch into Qinling Mountain areas started in
the early 1980s. In Foping County, the major home of pandas, more than 1,333 hectares of
larch trees have been planted and the damaged bamboo forest cannot be recovered. The
situation is also worsening in other protection zones, such as Changqing and Yangxian. The
corridor linking panda clans in Ningshan and Foping has now been destroyed by larches. The
habitat was decreased and the animals will suffer from the lack of food. Experts warned that
the pandas will lose their home if the larch is not put under control, and the local government
is expected to take measures soon.”
Introduction of exotic species has inevitably occurred worldwide and this is accelerating
following economic and ecologic. Compared with faunal species, introduction of floral
species is quicker and more intensive because humans pay less attention to the negative
impacts of the introduction. The introduction of exotic species, whether intentional or not, can
cause disruptions such as hybridization and the introduction of diseases. Nonnative species
compete with native species for moisture, nutrients, sunlight, and space and can adversely
influence establishment rates for new plantings, foods, and habitat. In some cases, exotic
plant species can even detract from the recreational value of streams by creating a dense,
impenetrable thicket along the streambank.
Many exotic species have been introduced as consequences of human activities. For
instance, at least 708 floral species and about 40 faunal species have been successfully
introduced into China in the past century, among them several tens of species have caused
ecological problems. A lot of money has been spent to remove these species. The most
harmful species are Eupatorium adenophorum, Eichoimia crassips, Ambrosia artemisia L.,
and Spartina alterniflora.
40 Zhao-Yin Wang and Bao-Zhu Pan

Figure 38. Natural habitat of giant pandas is being threatened by introduction of larch trees and rapid
development of larch forests.

Spartina alterniflora was introduced from the U.S. in 1980 to control coastal erosion and
accelerate land creation in estuaries. The species may grow in salt marsh, because they
tolerate periodical tidal inundation and resist wave erosion. The species colonize silt coasts
very quickly and stabilize the coast with its dense roots. Nevertheless, the species dominate
silt coasts and estuaries, resulting in a great reduction in biodiversity. Many invertebrates and
fish cannot live in the shallow waters with Spartina alterniflor. The species has over to spread
the neighboring coastal areas. Coastal areas and estuaries dominated by reed (Phragmites
communis trirn) have been colonized and occupied by Spartina alterniflor. The fishery
harvest has been significantly reduced. Figure 39.(a) shows Spartina alterniflor in the
Yangtze River estuary.
Alien invasive species Eupatorium adenophorum originates from Mexico and was
introduced into south China from south Asia in the 1940s. The species has spread quickly in
southwest China and eliminated local species. The species is toxic and many cattle and sheep
have been killed. The area occupied by the species has increased to about 30 million ha (Li
and Wang, 2003). To remove the species from grassland is very difficult. Millions of dollars
have been lost due to husbandry loss and control of spreading of the species in Sichuan and
Yunnan Provinces. Figure 39.(b) shows the Eupatorium adenophorum in Yunnan Province in
southwest China.
Eichoimia crassip was introduced to control eutrophication in streams and lakes. The
species adsorb pollutants and nutrients in the water and may enhance the purification capacity
of the stream or lake. Nevertheless, the species spread too fast and fishery and water surface
recreation have been affected. Humans have to remove them from waters, which has caused
 River Ecology and Stream Restoration 41

economic losses up to several tens of millions of dollars. Figure 39.(c) shows Eichoimia
crassip spreading quickly in a polluted stream in Beijing.
Ambrosia artemisia L. and Ambrosia tritida L. entered China in the 1930s and spread
quickly since the 1980s and 1990s. The species produce a lot of pollen. In Shenyang in
northeast China the density of pollen in air in 1987 was 38 times of that in 1983 because of
introduction of the species. About 1.5% of the local people suffer from pollinosis. Millions of
dollars have been lost due to introduction of the species. Figure 39.(d) shows the Ambrosia
artemisia L. in northeast China.

Figure 39. (a) Spartina alterniflor in the Yangtze River estuary; (b) Eupatorium adenophorum in
Yunnan Province in southwest China; (c) Eichoimia crassip spreading quickly in polluted waters; (d)
Ambrosia artemisia L. in northeast China.

Introduction of exotic species is not always bad for the ecosystem. Hong Kong has
become a paradise of exotic species and most of these species have been naturalized in the
island. Hong Kong and the island of Dominica, in the Caribbean, probably had no inland
plant species in common 500 years ago. Today they share more than a hundred weeds of
human-dominated open habitats. The terms ‘alien’ is used to refer to species that originated
elsewhere but have become established in Hong Kong. Although people have introduced
many alien species by accident, others have been brought to a location deliberately, as crops,
ornamentals, livestock, or pets. Not all introduced species are aliens. In fact, reintroduction of
species to parts of their former range is an important conservation tool. Hong Kong’s total
vascular plant flora of approximately 2,100 species includes at least 150 naturalized aliens:
that is, species introduced from other parts of the world which have run wild in Hong Kong
42 Zhao-Yin Wang and Bao-Zhu Pan

(Dudgeon and Corlett, 2004). For faunal species, most of these aliens were brought to Hong
Kong by people, but some have spread on their own. Some of these have established wild
populations when they escaped, were abandoned or released. In Hong Kong the majority of
introduced species are confined to those areas where human influence is strongest and most
persistent. Indeed, in most residential and industrial areas, as well as the few sites still used
for intensive farming, alien species dominate the biota. In contrast, recognizable aliens are
rare or absent in most upland streams and hillside communities. Thus, the majority of aliens
are found in those places where the native flora and fauna has already suffered most as a
result of human activities. At present, the impact of the numerous alien plant and animal
species established in Hong Kong is, in most cases, hard to distinguish from the direct impact
of human activities on the habitats they occupy (Dudgeon and Corlett, 2004). The
introduction of alien species into Hong Kong has increased the biodiversity and has resulted
in no serious impacts on the local ecology. However, invasions by alien species are a
potential conservation management problem that has received almost no attention in Hong
Kong. Even if we ignore the risk posed by aliens to the ecology of Hong Kong, we have an
obligation to ensure that the territory does not become a stepping-stone for invasion
elsewhere.

3. ASSESSMENT OF RIVER ECOSYSTEMS

3.1. Indicator Species

Complete measurement of the state of a river ecosystem, or even a complete census of all
of the species present, is not feasible. Thus, good indicators of the system conditions are
efficient in the sense that they summarize the health of the overall system. The current value
of an indicator for an impaired river ecosystem can be compared to a previously measured,
pre-impact value, a desired future value, an observed value at an “unimpaired” reference site,
or a normative value for that class of river ecosystems. For example, an index of species
composition based on the presence or absence of a set of sensitive species might be generally
correlated with water quality. If a river is polluted some species may be absent and the
number of species may be less than that before the pollution. An index of indicator species
itself provides no information on how water quality should be improved. However, the
success of management actions in improving water quality could be tracked and evaluated
through iterative measurement of the index. An indicator species group is defined as a set of
organisms whose characteristics (e.g., number of species, presence or absence, population
density, dispersion, reproductive success) are used as an index of attributes or environmental
conditions of interest, which are too difficult, inconvenient, or expensive to measure for other
species (Landres et al., 1988). The 1970s - 1980s is a peak interest period using aquatic and
terrestrial indicator species for assessment of ecosystems. During that time, Habitat
Evaluation Procedures (HEP) were developed by the U.S. Fish and Wildlife Service, and the
use of management indicator species was mandated by law with passage of the National
Forest Management Act in 1976. Since that time, numerous authors have expressed concern
about the ability of indicator species to meet the expectations expressed in the above
definition. Landres et al. (1988) critically evaluated the use of vertebrate species as ecological
 River Ecology and Stream Restoration 43

indicators and suggested that rigorous justification and evaluation are needed before the
concept is used. Indicator species have been used to predict environmental contamination,
population trends, and habitat quality. The assumptions implicit in using indicators are that if
the habitat is suitable for the indicator it is also suitable for other species and that wildlife
populations reflect habitat conditions. However, because each species has unique life
requisites, the relationship between the indicator and its guild may not be completely reliable.
It is also difficult to include all the factors that might limit a population when selecting a
group of species that an indicator is expected to represent.

3.1.1. Selection of Indicator Species

Several factors are important to consider in the selection process of indicator species
(FISRWG, 1997):

1) Sensitivity of the species to the environmental attribute being evaluated. When

possible, data that suggest a cause-and-effect relation are preferred to mere
correlation (to ensure the indicator reflects the variable of interest);
2) Indicator accurately and precisely responds to the measured effect. High variation
statistically limits the ability to detect effects. Generalist species do not reflect
change as well as more sensitive endemics. However, because specialists usually
have lower populations, they might not be the best for cost-effective sampling. When
the goal of monitoring is to evaluate on-site conditions, using indicators that occur
only within the site makes sense. However, although permanent residents may better
reflect local conditions, the goal of many riparian restoration efforts is to provide
habitat for migratory birds. In this case, residents such as cardinals or woodpeckers
might not serve as good indicators for migrating warblers;
3) Size of the species home range. If possible, the home range should be larger than that
of other species in the evaluation area. Game species are often poor indicators simply
because their populations are highly influenced by hunting mortality, which can
mask environmental effects. Species with low populations or restrictions on sampling
methods, such as threatened and endangered species, are also poor indicators because
they are difficult to sample adequately;
4) Response uniformity in different geographic locations. Response of an indicator
species to an environmental stress cannot be expected to be consistent across varying
geographic locations or habitats. If possible, the response to a stress should be more
uniform than that of other species in different geographic locations.

In summary, a good indicator species should be in the middle on the food chain to
respond quickly and have relatively high stability, should have a narrow tolerance to stresses,
and should be a native species (Erman, 1991). The selection of indicator species should be
done through corroborative research.

3.1.2. Aquatic macro-invertebrates

Aquatic macro-invertebrates have been used as indicators of stream and riparian health
for many years. Perhaps more than other taxa, they are closely tied to both aquatic and
riparian habitat. Their life cycles usually include periods in and out of the water, with ties to
riparian vegetation for feeding, pupation, emergence, mating, and egg laying (Erman, 1991).
44 Zhao-Yin Wang and Bao-Zhu Pan

It is often important to look at the entire assemblage of aquatic invertebrates as an indicator

group. Impacts of stresses to a stream often decrease biodiversity but might increase the
abundance of some species (Wallace and Gurtz, 1986). Using benthic macro-invertebrates is
advantageous for the following reasons: 1) they are good indicators of localized conditions; 2)
they integrate the effects of short-term environmental variables; 3) degraded conditions are
easily detected; 4) sampling is relatively easy; 5) they are in the middle of the food chain and
provide food for many fish of commercial or recreational importance; and 6) macro-
invertebrates are generally abundant (Plafkin et al., 1989).
Field sampling of macro-invertebrates usually requires a combination of quantitative and
qualitative collection methods. The sampling may be performed for one site in a 100 m
stretch with representative areas of flow velocity, water depth, substrata composition, and
hydrophyte growth. For a segment of an investigated stream, collections were made in areas
with different current velocity, water depth, and different substrate sizes. At least three
replicate samples were collected at each sampling site at appropriate depths of 0.15 m of the
substrate with a kick-net (1 m ×1 m area, 420 μm mesh) if the water depth is less than 0.7 m.
A D-frame dip net may be used to sample along stone surfaces and in plant clusters. If the
water depth is greater than 0.7 m, samples may be collected with a Peterson grab sampler
with an open area of 1/16 m2. Replicate samples for each site are combined to form a
composite sample, amounting to at least a minimum area of 1m2 (Duan et al., 2007). The
cobbles sampled are generally scrubbed by hand to remove invertebrates and then discarded.
The debris and invertebrates are rinsed vigorously through a fine sieve with a 300 μm mesh.
Then the macro-invertebrates are taken from the debris and are placed in plastic sample
containers and preserved in 10% formaldehyde in the field.
Environmental parameters, including substrate composition, water depth, water
temperature, average current velocity, and dissolved oxygen concentration, are usually
measured and recorded in situ. Growth and cover proportion of aquatic hydrophytes are also
described. All macroinvertebrates are picked out of the samples and then identified and
counted under a stereoscopic microscope in the laboratory. Macroinvertebrates are identified
most to family or genus level except early-instar insects (Liu et al., 1979), and each species is
assigned to a FFG based on the literature (Plafkin et al., 1989; Barbour et al., 1999).

3.1.3. Fish
Fish are also used as indicator species. Some management agencies use fish species as
indicators to track changes in habitat condition or to assess the influence of habitat alteration
on selected species. Habitat suitability indices and other habitat models are often used for this
purpose, though the metric chosen to measure a species’ response to its habitat can influence
the outcome of the investigation. As van Horne (1983) pointed out, density or number of fish
may be misleading indicators of habitat quality. Fish response guilds as indicators of
restoration success in riparian ecosystems may be a valuable monitoring tool.
Hocutt (1981) states “perhaps the most compelling ecological factor is that structurally
and functionally diverse fish communities both directly and indirectly provide evidence of
water quality in that they incorporate all the local environmental perturbations into the
stability of the communities themselves.” The advantages of using fish as indicators are: 1)
they are good indicators of longterm effects and broad habitat conditions; 2) fish communities
represent a variety of trophic levels; 3) fish are at the top of the aquatic food chain and are
consumed by humans; 4) fish are relatively easy to identify; and 5) water quality standards
 River Ecology and Stream Restoration 45

are often characterized in terms of fisheries. However, using fish as indicators is inconvenient
because: 1) the cost of collection is high; 2) long term monitoring and a large number of
samplings are needed to have reliable results and statistical validity may be hard to attain; and
3) the process of sampling may disturb the fish community. Electrofishing is the most
commonly used field technique. Each collecting station should be representative of the study
reach and similar to other reaches sampled; effort between reaches should be equal. All fish
species, not just game species, should be collected for the fish community assessment. Karr et
al. (1986) used 12 biological metrics to assess biotic integrity using taxonomic and trophic
composition and condition and abundance of fish. The assessment method using fish as
indicator has been studied and applied in many large rivers (Plafkin et al., 1989).

3.1.4. Birds and Mammals

Birds and mammals are used as indicator species for both terrestrial and aquatic
ecosystems. Croonquist et al. (1991) evaluated the effects of anthropogenic disturbances on
small mammals and birds along Pennsylvania waterways. They evaluated species in five
different response guilds, including wetland dependency, trophic level, species status
(endangered, recreational, native, exotic), habitat specificity, and seasonality. The habitat
specificity and seasonality response guilds for birds were best able to distinguish those
species sensitive to disturbance from those, which were not affected or benefited. Edge and
exotic species were greater in abundance in the disturbed habitats and might serve as good
indicators there. Seasonality analysis showed migrant breeders were more common in
undisturbed areas, which, as suggested by Verner (1984), indicate the ability of guild analysis
to distinguish local impacts.
In general the advantages of using birds and mammals as indicator species are: 1) they
are good indicators of long-term effects and broad habitat conditions, including terrestrial and
aquatic ecosystems; 2) they are at the top of the food chain; 3) they are relatively easy to
identify; and 4) some restoration projects aim at restoration of endangered birds and
mammals. The disadvantages are: 1) the cost of collection is high; 2) long term monitoring is
needed to have reliable results; and 3) they are not sensitive to aquatic habitat conditions (e.g.,
hydrological changes or water pollution). Birds have been used as indicator species for
ecological assessment of wetlands.

3.1.5. Algae
Algae communities are also useful for bioassessment. Algae generally have short life
spans and rapid reproduction rates, making them useful for evaluating short-term impacts.
Sampling impacts are minimal to resident biota, and collection requires little effort. Primary
productivity of algae is affected by physical and chemical impairments. Algal communities
are sensitive to some pollutants that might not visibly affect other aquatic communities. Algal
communities can be examined for species, diversity indices, species richness, community
respiration, and colonization rates. A variety of nontaxonomic evaluations, such as biomass
and chlorophyll, may be used and are summarized in Weitzel (1979). Rodgers et al. (1979)
describe functional measurements of algal communities, such as primary productivity and
community respiration, to evaluate the effects of nutrient enrichment.
Although collecting algae in streams requires little effort, identifying for metrics, such as
diversity indices and species richness, may require considerable effort. A great deal of effort
may be expended to document diurnal and seasonal variations in productivity.
46 Zhao-Yin Wang and Bao-Zhu Pan

3.2. Metrics of Biodiversity

3.2.1. Richness and Abundance

If an indicator species group is selected, the ecosystem can be assessed by monitoring
some variables of the indicator species group, including the species richness, S; the number
density (or abundance), N, which is the total number of individuals per area; the biomass (the
total weight of all individuals) per area; and the number of individuals per area for each
species. Many parameters representing biodiversity of river ecosystems have been proposed.
The species richness, S, is the most widely used indice (Magurran, 1988) and the most
important characteristic of biodiversity:

S = total number of species in the samples from a sampling site. (2)

The ecological assessment and habitat conditions of streams may be mainly represented
by the species richness. In general, the samples should be identified to species level for all
species. Nevertheless, it is often not possible because to identity some species special
instruments and experienced biologists are needed. In this case these species may be
identified to genus level or family level. This does not affect the ecosystem assessment if the
samples before and after the disturbance are examined by the same biologist and to the same
level. A simple measure of richness is most often used in conservation biology studies
because the many rare species that characterize most systems are generally of greater interest
than the common species that dominate in diversity indices and because accurate population
density estimates are often not available (Meffe et al., 1994). In general there are more
species within large areas than within small areas. The relation between species richness, S,
and habitat area, A, follows a power function formula (Ricklefs, 2001) :

S = cAz (3)

where c and z are constants fitted to data. Analysis of species-area relations revealed that
most values of z fall within the range 0.20-0.35 for birds and fish, and within the range 0.05-
0.2 for benthic macro-invertebrates. For example, for the land-bird fauna of the West Indies,
species richness increases from only 16 within an area of 10 km2 to about 100 within an area
of about 100,000 km2. The relation between S and A is then (Ricklefs, 2001)

S = 10A0.24 (4)

The species richness increases with habitat area because habitat heterogeneity increases
with the size of the area (and resulting topographic heterogeneity) of islands in the west
Indies, and larger islands make better targets for potential immigrants from mainland sources
of colonization. In addition, the larger populations on larger islands probably persist longer,
being endowed with greater genetic diversity, broader distributions over area and habitat, and
numbers large enough to prevent chance extinction. The fish community, like birds, also
occurs in a large area of habitat and the sampling area must be large enough to a have reliable
value of S. As a comparison, the macro-invertebrate community is more localized and needs
much less sampling area for assessment of local ecosystems.
 River Ecology and Stream Restoration 47

Figure 40. Relation of the species richness in a sample and the sampling area at each site.

If a river ecosystem with high heterogeneity of habitat is assessed with macro-

invertebrates as indicator species, numerous sampling sites should be selected to represent
different habitat conditions. For each sampling site the sampling area may be one or several
m2. The work load increases with the sampling area, therefore, ecologists prefer small
sampling areas as long as a sufficient number of species can be sampled. Figure 40. shows the
relation of the number of species in a sample and the sampling area at each site (Duan et al.,
2007). The sampling area at each site should be at least 1 m2 for a relatively reliable value of
richness. The number density of individuals (abundance), N, is generally dynamic. If a bio-
community colonizes a habitat at time t0, the number density increases with time t and finally
reaches equilibrium after a period of time. A differential equation describing the dynamic
process of the number density growth is suggested (Ricklefs, 2001):

dN N
= rN (1 − )
dt K (5)

in which r represents the intrinsic exponential growth rate of the population when its size is
very small (that is, close to 0), and K is the carrying capacity of the environment, which
represents the number of individuals that the environment can support. This equation is called
the logistic equation. So long as N does not exceed the carrying capacity K, that is, N/K is
less than 1, the number density continues to increase, albeit at a slowing rate. When N
exceeds the value of K, the ratio N/K exceeds 1, dN/dt becomes negative, and the density
decreases. K is the eventual equilibrium size of number density growing according to the
logistic equation. Integration of the logistic equation yields

K
N=
K − N 0 − rt
1+ e
N0 (6)
48 Zhao-Yin Wang and Bao-Zhu Pan

where N0 is the number density of individuals at time t = 0. The logistic equation may be used
for a species, e.g., black carp in Tongting Lake, or for a bio-community, e.g., benthic macro-
invertebrates at a section of a stream. The abundance (density number) of a particular species
reflects the balance between a large number of factors and processes, variations in each of
which result in small increments or decrements in abundance. Population distribution models
account for the evenness (equitability) of distribution of species, which fit various
distributions to known models, such as the geometric series, log series, lognormal, or broken
stick. In a large sample of individuals, species often distribute themselves normally over the
logarithmic abundance categories.

3.2.2. Diversity Indices

Not all species should contribute equally to the estimate of total diversity, because their
functional roles in the community vary, to some degree, in proportion to their overall
abundance. Ecologists have formulated several diversity indices in which the contribution of
each species is weighted by its relative abundance. Three such indices are widely used in
ecology: Simpson's index, Margalef index and the Shannon-Weaver index. Simpson's index is

S 2
ni −1
D = [∑ ( )]
i =1 N2 (7)

in which ni is the number of individuals of the i-th species, and N is the total number of
individuals in the sample.
For any particular number of species in a sample (S), the value of D can vary from 1 to S,
depending on the evenness of species abundances.
The Margalef index is defined as the total number of species present and the abundance
or total number of individuals. The higher is the index, the greater the diversity. The Margalef
index M is given by (Margalef, 1957):

M = ( S − 1) / log eN (8)

The Shannon-Weaver index, developed from information theory and integrating the
species richness and evenness of the abundance distribution, is given by (Krebs, 1978):

S
ni ni
H = −∑ ln
i =1 N N (9)
The Shannon-Weaver Index provides no information on the total abundance of the bio-
community. For instance, samples from two sites have the same number of species, the
distributions are also the same but the density of individuals for site one is 10 ind/m2 and for
site two is 100 ind/m2. Eq. (9) gives the same values of H. The difference in population
density for the two cases is large, but it is not reflected by the values of H. Considering both
the abundance and biodiversity, the following bio-community index is suggested (Wang et
al., 2008b):
 River Ecology and Stream Restoration 49

S
ni ni
B = H ln N = − ln N ∑ ln
i =1 N N (10)

Macro-invertebrates census data from 9 sites along the East River in south China can be
used to illustrate these different methods of presentation, as listed in Table 1. (Wang et al.,
2008a). The East River is 562 km long and has a drainage area of 35,340 km2. The river is
one of the three major rivers of the Pearl River system – the largest system in South China.
The Fenshuba Dam is a hydropower project on the river dividing the upper and middle
reaches of the river and is 382 km from the river mouth. Figure 41. shows the variation of the
species richness, S, number density of individual invertebrates, N, Shannon-Weaver index, H,
and the bio-community index, B, from upper to lower reaches along the course. In general the
richness, S, the density, N, Shannon-Weaver index, H, and the bio-community index, B, of
benthic invertebrates reduce from the upper to the lower reaches. The Fenshuba Dam causes
instantaneous fluctuation in flow discharge and velocity, which strongly impact the
invertebrates. Therefore, only one species, Palaemonidae, which may survive the fluctuation,
was found at the site downstream of the dam. The impact of velocity fluctuation becomes
weak further downstream from the dam and exhibits no influence on the benthic invertebrates
at a distance of 80 km from the dam.

Table 1. Species of benthic macro-invertebrates at the sampling sites along the East
River

Sampling site Species and the number of animals of each species per area (Figure within the parentheses
is the number of individual animals of each species per square meter)
Shang-Pingshui Baetidae (30); Melaniidae, S.libertine (23); Chironomidae (two species 16); Ceratopsyche
sp.(7); Aphropsyche sp. (5); Elmidae (3); Corydalidae，Protohermes (3); Corbiculidae
C.nitens (2); Polycentropodidae, Neureclipsis (2); Caenidae (1); Helobdella (1);
Feng-Shuba Palaemonidae (9)
Dam
Yidu Leptophlebiidae, Paraleptophlebia (42); Chironomidae (21); Gomphidae (5); Siphlonuridae
(4); Hydropsychidae (4); Leptophlebiidae, Leptophlebia (2); Decapoda (2); Hydrobiidae
(2); Semisulcospira (1); Tipulidae, Hexatoma (1); Naucoridae (1); Corydalidae (1);
Caenidae(1)
Wuxing Natantia (44); Bellamya (10); Branchiura (3); Radix (2); Melanoides (2); Nepidae (1);
Limnodrilus (1); Coenagrionidae, Pseudagrion (1); Leptophlebiidae, Traverella (1);
Heptageniidae (1); Leptophlebiidae, Paraleptophlebia (1); Corbiculidae, C.nitens (1);
Noteridae (1); Whitmania (1); Hirudinea sp1.(1)；
Baipuhe Palaemonidae (40); Palaemonidae, Palaemon modestus (12); Gomphidae (2); Macromiidae
(2); Semisulcospira (2); Branchiura (2)
Huizhou Chironomidae (3 species 11); Coenagrionidae (two species 6)；Branchiura (4);
Paratelphusidae (1); Ilydrolus (1);Gomphidae (1); Platycnemididae (1); Ampullariidae (1)
Yuanzhou 0 (first sampling); Palaemonidae (9) (second sampling)
Dasheng 0 (first sampling); Palaemonidae (5) (second sampling)
Yequ Chironomidae (386); Simuliidae (18); Herpodellidae (4); Dytiscidae (3); Branchiura (3);
Creek Lumbriculidae (1); Psychodidae (1); Corduliidae, Epitheca marginata (1); Baetidae (1)
50 Zhao-Yin Wang and Bao-Zhu Pan

Figure 41. Species richness, S, number density of individual invertebrates per area, N, Shannon-weaver
Index, H, and the bio-community index, B, as functions of distance to the river mouth.

In the lower reaches the channel has been regulated with relatively uniform width and the
banks have been hardened with concrete and stones. Flow velocity in the channel is more
uniform than the upper reaches and the substrate consists of only sand. The sand bed is
compact, which provides no space for benthic animals to live and no shelter for the animals to
escape current. The richness, number density, and biodiversity and bio-community indices in
the lower reaches are very low or zero. Humans have reclaimed river bays, riparian lakes and
wetlands, and sluggish and backwater zones, which caused loss of habitat and made formerly
diversified habitats very uniform and unitary. In general, the biodiversity and bio-community
indices are proportional to the diversity of habitats. The habitat loss and low diversity of
habitats result in low bio-diversity and bio-community.
As indicated in the previous section biological diversity refers mainly to the number of
species in an area or region and includes a measure of the variety of species in a community
that takes into account the relative abundance of each species (Ricklefs, 1990). When
measuring diversity, it is important to clearly define the biological objectives, stating exactly
 River Ecology and Stream Restoration 51

what attributes of the system are of concern and why (Schroeder and Keller, 1990). Different
measures of diversity can be applied at various levels of complexity, to different taxonomic
groups, and at distinct spatial scales.
Overall diversity within any given level of complexity may be of less concern than
diversity of a particular subset of species or habitats. Measures of overall diversity include all
of the elements of concern and do not provide information about the occurrence of specific
elements. For example, measures of overall species diversity do not provide information
about the presence of individual species, such as Chinese sturgeon, or species groups of
management concern. Thus, for a specific ecological restoration project, measurement of
diversity may be limited to a target group of special concern.

3.2.3. Alpha and Beta Diversities

Diversity can be measured within the bounds of a single community, across community
boundaries, or in large areas encompassing many communities. Diversity within a relatively
homogeneous community is known as alpha diversity, or local diversity. Usually the diversity
indices obtained by examining the samples taken from one site are referred to as alpha
diversity. Diversity between communities in a region, described as the amount of
differentiation along habitat gradients, is termed beta diversity, or regional diversity. For
instance, the total number of species from numerous sites along a stream is the regional
diversity of the stream. Beta diversity may be large in river-lake connected habitats with high
heterogeneity, because some species colonize stream habitat and very different species may
live in the riparian lakes.
Noss and Harris (1986) note that management for alpha diversity may increase local
species richness, while the regional landscape (gamma diversity) may become more
homogeneous and less diverse overall. They recommend a goal of maintaining the regional
species pool in an approximately natural relative abundance pattern. The specific size of the
area of concern should be defined when diversity objectives are established.
A beta diversity index is given by the following formula:

M
β=
1 S
∑ mi
S i =1 (11)

in which M is the number of sampled habitats in a region, e.g., the middle reaches of the
Yangtze River; mi is the number of habitats, in which the i-th species is found; and S is the
total number of species found at all sampling sites in the region. If the species in all sites are
the same, or mi=M, the beta diversity index is 1. If all species occur at only one site, mi=1, the
beta diversity index equals M. The total number of species, S, in the region is then the product
of the average species richness by the beta diversity index. The ecological implication of beta
diversity may be seen from the example of preliminary assessment of aquatic ecology of the
source region of the Yellow River. The benthic macro-invertebrates were sampled at 8 sites
with different environmental conditions in the source region of the Yellow River from Aug. 7
to Aug. 15, 2009. Figure 42. shows the location of 8 sampling sites. Samples were taken from
5 sites from the Yellow River and riparian waters. In addition, samples were taken from a
small stream on the plateau, the Eling Lake and the Qinghai Lake. The sampling method is as
52 Zhao-Yin Wang and Bao-Zhu Pan

follows: 1) In mountain streams with gravel beds, the gravels were washed and sieved with a
kick-net with holes of 0.5 mm, and organic and inorganic detritus with macro-invertebrates
collected. The detritus was subsequently placed on a white tray, and the invertebrates were
collected. Invertebrate species were thereafter examined and identified to family or genus
level under a microscope. The sampled area was 1.5 m2 consists of three sub-sampling areas
in order to reflect diversified ecological conditions. After sampling, macro-invertebrates and
associated material were immediately preserved in ethanol and were subsequently processed
and identified in the laboratory (Duan et al, 2009). There is little pollution and the water
quality is very good. In general, the community of benthic invertebrates is different if the
environmental conditions are different. The main environmental factors for benthic
invertebrates are stream substrate, water depth, flow velocity, and water quality (Wang et al.,
2009). At the site 1①the Zequ River is a tributary of the Yellow River with meandering
channel. In its drainage area there are numerous swamps and rivulets with small but stable
flow. The rivulets wriggle on vast meadows with grass coverage almost 100%. The site of
streamlet represents the habitat type. Near the Yellow River by Kesheng town (site ②) there
is an oxbow lake (site ③), which is abandoned channel of the Yellow River and has been
cutoff from the river for a very long period of time. The site ④ is a riparian lake, which may
connect with the Yellow River during high floods. The Dari bay ⑤ is a riparian wetland
where the Yellow River flows from a normal channel to a very wide valley with shallow
water. The main water flow has a deep channel, but plume of low sediment concentration
drifts into the bay. The site ⑥ is a wetland by the Yellow River. The Eling Lake ⑦ is the
source of the Yellow River with a capacity of 10 billion m³. The pool level in the lake is not
stable depending on the incoming water and operation of a hydropower station just below it.
The water level had been rising since a month before the field investigation. The Qinghai
Lake ⑧ has brackish water with low concentration of salt. It is near by the source of the
Yellow River and represents a type of habitat in the region.
Table 2. lists the species of macro-invertebrates identified from the samples of each site
with the number density (ind/m2) of each species in the parentheses (Wang et al., 2010). The
taxa richness, or the number of species at each site, S, and the calculated biodiversity index B
are listed in the table. Altogether 48 species of macro-invertebrates belonging to 24 families
and 44 genera were identified. The average density and wet biomass of macro-invertebrates in
the eight sampling stations were 360 ind/m2 and 2.3934 g/m2, respectively. Insects were
predominant group, being 77.1% of the total in taxa number, 82.7% in density, and 88.6% in
wet biomass. Figure 43. shows the representative species of macro-invertebrate in the
sampling sites, which are dominant species or typical species at each site.
 River Ecology and Stream Restoration 53

N Qinghai Lake

Xining
8
Gonghe County
0 72.5 145 km
Lonyangxia Dam
Xi Yellow River

Xigou R.
Da aq
he uR
ba h Man .
eR glah
. eR Tongren County
.

R.
Duoqinankelang R. R . .
Eling Lake ianhe Baqu R
Qush

longwu
Zhaling Lake 6 7 Gannan Tibetan
Maduo County Qiemuqu autonomous
R.
Youer . prefecture
R
Dongqu R.

qu
Ze
u R.

Renaqu R.

Maqin County 1
qu
Duoq

Do
n .
Xikehe R
R.

Requ Xi gke 23
R. ke qu
qu R. Maqu County
R.
Yello H
w Riv eih
R.

R.
4 5 er eR

anhe
Kequ

Dari County .
u R.

u R.

Baih
g
Zhan

R.
Darileq

Haq

qu

e R.
Jia
Figure 42. Location of the 8 sampling sites in the source region of the Yellow River.

The taxa richness S and the index B at each site are not high. In other words, the
biodiversity of the sampling sites are not high. The streamlet and Qinghai Lake have only 6
species and both dominated by Amphipoda. The oxbow lake has the highest biodiversity,
with 20 species and bio-community index about 12. In general, cobble, gravel and aquatic
plants are the best substrates for benthic invertebrates. The oxbow lake, the isolated riparian
lake at Dari, and the Yellow River channel at meanders have relatively stable environment
and have multiple habitats with different substrates, therefore, they have high biodiversity.
The Dari bay is an open shallow water connecting the Yellow River, its substrate consists of
only fluid mud, and the sediment from the river drifting into the bay may change the fluid
mud surface layer, thus it has relatively low biodiversity. Moreover, the species composition
in the oxbow lake and riparian lake are quite different from the river and bay. These riparian
waters are important in aquatic biodiversity.
The value of beta diversity was calculated for the source region of the Yellow River. The
total number of sampled habitats is 8, so the value of M is 8 in Eq. (11). Calculation with the
sampled species from the 8 habitats yields the beta diversity equal to 5.33, which is 66.7% of
the maximum value.
As a comparison, field investigations were paid to the Juma River in the suburbs of
Beijing from Shidu to Yesanpo with a length of about 70 km. The river is a mountain stream
with beautiful landscapes and good aquatic ecology. The river reach from Shidu to Yesanpo
is a main tourist attraction for Beijing people.
54 Zhao-Yin Wang and Bao-Zhu Pan

Table 2. Species composition of macro-invertebrates with densities (ind/m2) in the

parentheses

No. Site Species composition S B

1 Streamlet Limnodrilus grandisetosus (2); Amphipoda (488); Baetis sp. (53);
6 3.04
Setodes sp. (5); Tipulidae (1); Eukiefferiella sp. (9)
2 YR Amphipoda (9); Acarina (2); Baetis sp. (3); Cinygmula sp. (4);
channel Ephemerella sp. (30); Leptonema sp. (36); Brachycentrus sp. (3);
Naucoridae (1); Simulium sp. (1); Culicidae (3); Clinotanypus sp.
17 9.86
(1); Eukiefferiella sp. (9); Orthocladius sp. (2); Cladotanytarsus
sp. (1); Dicrotendipes sp. (1); Parachironomus sp. (4);
Polypedilum sp. (2)
3 Oxbow Nematoda (300); Aulodrilus pluriseta (6); Radix lagotis (3); Radix
lake swinhoei (12); Hippeutis cantori (9); Hippeutis umbilicalis (36);
Amphipoda (93); Acarina (3); Caenis sp. (6); Dytiscidae (18);
11.8
Elmidae (3); Corixidae (15); Pyralidae (336); Procladius sp. (15); 20
4
Chironomus sp. (18); Cryptochironomus sp. (3); Microchironomus
sp. (3); Paratanytarsus sp. (3); Polypedilum braseniae (3);
Xenochironomus sp. (9)
4 Riparian Stylaria sp. (1); Limnodrilus sp. (2); Branchiura sowerbyi (2);
lake Radix ovata (4); Dytiscidae (8); Tipulidae (2); Culicidae (1);
Procladius sp. (2); Parametriocnemus sp. (2); Chironomus sp. 13 8.48
(10); Cryptochironomus sp. (1); Endochironomus sp. (1);
Paratanytarsus sp. (17)
5 Dari bay Limnodrilus sp. (3); Amphipoda (12); Tipulidae (1);
Psectrocladius sp. (17); Tvetenia sp. (8); Chironomus sp. (10); 7 6.72
Polypedilum sp. (13)
6 Eling
no benthic animals 0 -
Lake
7 Riparian Limnodrilus sp. (1); Amphipoda (464); Culicidae (4); Procladius
wetland sp. (1); Cricotopus sp. (10); Microchironomus sp. (3); 7 3.68
Rheotanytarsus sp. (75)
8 Qinghai Amphipoda (210); Culicidae (2); Ephydridae (2); Cricotopus sp.
6 5.32
Lake (105); Eukiefferiella sp. (19); Chironomus sp. (2)

Samples of benthic invertebrates were taken from 8 sites with different habitats,
including gravel bed with turbulent flow, riparian wetland with lentic water, branch channel
with low velocity flow, and pool behind weir. The substrates at the sampling sites were
different, varying from gravel, cobbles, sand and macrophytes. The average taxa richness for
the 8 different habitats was 19.4 and the highest taxa richness was 28. The total number of
species was 54. The average value of index B for the 8 habitats was 10 and the highest value
of B was 16. All the 8 habitats have high local biodiversity (alpha biodiversity). Nevertheless,
the species compositions at different sites were rather similar. The beta diversity for the Juma
River was only 2.7. The beta diversity for the source region of the Yellow River is two times
of the Juma River. Ecological management or restoration in the region must base on an
overall consideration of various habitats in the region.
 River Ecology and Stream Restoration 55

Figure 43. Representative species of macro-invertebrate from the sites 1,2,3,4, 5 and 8.

3.2.4. Indices of Biotic Integrity

3.2.4.1. Karr’s IBI

Fish represent the top of the aquatic food chain, and, thus, the quality and composition of
the fish community comprises the best measure of the overall health of the aquatic
community. This is because the fish community integrates the effects of the entire suite of
physical, chemical, and biological stresses on the ecosystem. A fish community index should
include at least one metric for each of the five attributes of fish assemblages (Simon and
Lyons, 1995): species richness and condition, indicator species, trophic function, reproduction
function, and individual abundance and condition.
Considering the foregoing considerations, Karr (1981) proposed and revised (Karr et al.,
1986) the Index of Biotic Integrity (IBI) to evaluate stream quality at the fish community
level. The Karr’s IBI is comprised of 12 metrics to define fish community structure.
56 Zhao-Yin Wang and Bao-Zhu Pan

Table 3. Karr’s Index of Biological Integrity (IBI) (after Karr et al., 1986)

Category Metrics Scoring Criteria

5 3 1
Species 1. Total number of fish species Expectations for metrics
Richness and 2. Number and identity of darter species 1-5 vary with stream
Composition 3. Number and identity of sunfish species size and region
4. Number and identity of sucker species
5. Number and identity of intolerant species
6. Proportion of individuals as green sunfish <5% 5-20% >20%
Trophic 7. Proportion of individuals as omnivores <20% 20-45% >45%
Composition 8. Proportion of individuals as insectivorous >45% 45-20% <20%
Cyprinids
9. Proportion of individuals as piscivores >5% 5-1% <1%
(top carnivores)
Fish 10. Number of individuals in sample Expectations vary with
Abundance stream size and region
and Condition 11. Proportion of individuals as hybrids 0% 0-1% >1%
12. Proportion of individuals with disease, 0-2% 2-5% >5%
tumors, fin damage, skeletal anlmalies
(DELT)

The index accounts for changes in fish community richness and allows for comparison of
fish community composition with values for similar-sized streams. The applicability of the
IBI concept has been demonstrated in a wide variety of streams types (Miller et al., 1988). As
recommended by Karr et al. (1986), IBI metrics require adjustment for the region to which
the index is applied. The basic components of Karr’s index are listed in Table 3. It is
recognized that stream size is an important factor when refining the IBI to a geographical
region. The definitions of the twelve metrics are described as follows (Karr et al., 1986,
Lyons, 1992):
Total number of species - The total number of species collected at a site, excluding
hybrids and subspecies. The number of fish species supported by streams of a given size in a
given region decreases with environmental degradation, if other features are similar.
Number of darter species – The total number of darter species (family Percidae)
collected, excluding hybrids. Darters are small benthic species that tend to be intolerant of
many types of environmental degradation. They are mainly insectivorous, and for many of
them riffles or runs are preferred habitats. These species are sensitive to degradation,
particularly as a result of their need to reproduce and feed in benthic habitats. Such habitats
are degraded by channelization, siltation, and reduction in oxygen content.
Number of sunfish species – The total of sunfish species (family Centrarchidae),
including rock bass (Amobloplites rupertris) and crappies (Pomoxis species), but excluding
hybrids and black basses (Micropterus salmoides). Sunfish are medium sized, mid-water
species, which tend to occur in pools or other shallow-moving water. Most, but not all, are
tolerant of environmental degradation. All feed on a variety of invertebrates, although some
larger adults may eat fish. Sunfish are included in the index because they are particularly
responsive to the degradation of pool habitats and to other aspects of habitat such as instream
cover.
Number of sucker species – The total number of sucker species (family Catostomidae)
collected, excluding hybrids. Suckers are large benthic species that generally live in pools or
runs, although a few species are common in riffles. Some species are intolerant of
environmental degradation, whereas others are tolerant. Most species feed on insects,
 River Ecology and Stream Restoration 57

although a few also eat large quantities of detritus or plankton. Suckers are included in the
index because many of these species are intolerant to degradation of habitat or chemical
quality. Also, the longevity of suckers provides a multiyear integrative perspective.
Number of intolerant species – The total number of species, excluding hybrids, which are
intolerant of environmental degradation, particularly poor water quality, siltation and
increased turbidity, and reduced heterogeneity (e.g., channelization). Intolerant species are
among the first to be decimated after perturbation to habitat or water quality, and the species
identified in metrics 2-4 may be included in this group.
Proportion of individuals as green sunfish – In the Midwestern U.S., the green sunfish
(Lepomis cyanellus) increases in relative abundance in degraded streams and may increase
from an incidental to the dominant species. Thus, this metric evaluates the degree to which
typically tolerant species dominate the community. In many other IBIs, tolerant species in the
sample are listed and the proportion of tolerant individuals in the sample is computed and
used as the metric in place of green sunfish.
Proportion of individuals as omnivores – The number of individuals that belong to
species with an adult diet consisting of at least 25% (by volume) plant material or detritus and
at least 25% live animal matter, expressed as a percentage of the total number of fish
captured. By definition, omnivores can subsist on a broad range of food items, and they are
relatively insensitive to the change in the food base of a stream caused by environmental
degradation. Hybrids are included in this metric if both of the parental species are considered
omnivores. The dominance of omnivores occurs as specific components of the food base
become less reliable, and the opportunistic foraging habits of omnivores make them more
successful than specialized foragers.
Proportion of individuals as insectivorous cyprinids – Cyprinids that belong to species
with an adult diet normally dominated by aquatic or terrestrial insects, expressed as a
percentage of the total number of fish captured. Although insectivorous cyprinids are a
dominant trophic group in streams in the midwestern U.S., their relative abundance decreases
with degradation, probably in response to variability in the insect supply, which in turn
reflects alterations of water quality, energy sources, or instream habitat. In other regions the
proportion of total insectivores to total individuals may provide better information for this
metric with a resetting of the scoring criteria.
Proportion of individuals as piscivores (top carnivores) – The number of individuals that
belong to species with an adult diet dominated by vertebrates (especially fish) or decapod
crusteacea (e.g., crayfish, shrimp), expressed as a percentage of the total number of fish
captured. Some species feed on invertebrates and fish as fry and juveniles. Hybrids are
included in this metric only if both of the parental species are carnivores. Viable and healthy
populations of top carnivores indicate a healthy, trophically diverse community.
Number of individuals in a sample – This metric evaluates populations and is expressed
as catch per unit of sampling effort. Effort may be expressed per unit area sampled, per length
of reach sampled, or per unit of time spent. In streams of a given size and with the same
sampling method and efficiency of effort, poorer sites are generally expected to yield fewer
individuals than sites of higher quality.
Proportion of individuals as hybrids – This metric is difficult to determine from historic
data and is sometimes omitted for lack of data. Its primary purpose is to assess the extent to
which degradation has altered reproductive isolation among species. Hybridization may be
common among cyprinids after channelization, although difficulties in recognizing hybrids
58 Zhao-Yin Wang and Bao-Zhu Pan

may preclude using this criterion with darters in addition to cyprinids. Sunfish also hybridize
quite readily, and the frequency of their hybridization appears to increase with stream
modifications.
Proportion of individuals with disease, tumors, fin damage, and skeletal anomalies
(DELT) – The number of individual fish with skeletal or scale deformities, heavily frayed or
eroded fins, open skin lesions, or tumors that are apparent from external examination,
expressed as a percentage of the total number of fish captured. DELT fish are normally rare
except at highly degraded sites.
Sampling of fish to determine these metrics is done on a reach basis. In Wisconsin, for
example, a stream reach is defined as a minimum of 35 times the mean stream width based on
at least 10 field measurements per site (Lyons, 1992). The results of the reach sampling are
combined to define a sampling site.

3.2.4.2. IBI Examples

Karr’s IBI concept has been adapted and modified from its midwestern U.S. beginnings
for application throughout the world. Some IBIs simply adjust the scoring criteria as
appropriate for their region of application, whereas other IBIs have combined new metrics
with Karr’s metrics. More than 40 fish metrics have been utilized in the various IBIs used in
the U.S. (Limnotech, 2009).The IBI developed for Taiwan (Wu et al., 2005) is an example,
where the majority of Karr’s original metrics (with slight modifications) were applied, but the
scoring criteria were modified (Table 4).
Other than the scoring criteria modifications, the main differences in the Taiwan IBI
versus Karr’s IBI are the use of all insectivores and consideration of numbers of hybrids or
exotic species rather than the proportion of hybrids. Exotic species are species that are present
in a region through introduction by man or have recent invasions that would not have been
possible without human intervention. The total IBI scores then yield the following biological
conditions categories: Non-impaired = 35-45, Slightly impaired = 23-34, Moderately
impaired = 15-22, and Severely impaired = 0-14.

Table 4. Index of Biological Integrity (IBI) for Taiwan (after Hu et al., 2005)

Category Metrics Scoring Criteria

5 3 1
Species 1. Total number of fish species ≥10 4-9 0-3
Richness and 2. Number of darter species ≥3 1-2 0
Composition 3. Number of sunfish species ≥2 1 0
4. Number of suckers species ≥2 1 0
5. Number of intolerant species ≥3 1-2 0
Trophic 6. Proportion of individuals as omnivores <60% 60-80% >80%
Composition 7. Proportion of individuals as insectivores >45% 45-20% <20%
Fish 8. Number of individuals in sample ≥101 51-100 0-50
Abundance 9. Number of hybrids or exotic species 0 1 ≥2
and Condition

Karr’s IBI and its many regional modifications for areas throughout the U.S. and around
the world have generally been well calibrated to small “wadable” streams, but applications in
larger rivers are less common (Lyons et al., 2001). Lyons et al. (2001) identified 7 IBIs
developed for use in large rivers, and then developed IBIs for use in large rivers in Wisconsin.
In this case large rivers are defined as having at least 3 km of contiguous river channel too
 River Ecology and Stream Restoration 59

deep to be effectively sampled by wading. Lyons et al. (2001) used fish assemblage data from
155 main-channel-border sites on 30 large warmwater rivers in Wisconsin (including 19 sites
on the Mississippi River) to construct, test, and apply a large river IBIs. Fourteen sites were
sampled more than once for a total of 187 samples. Watershed drainage areas for these sites
ranged from 349 to 218,890 km2. Lyons et al. (2001) used some of Karr’s original metrics
while adding several different metrics. A main difference is that instead of just considering
the proportion of individuals (i.e. numbers-based metrics) the large river IBI also considers
the proportion of fish by weight (i.e. biomass-based metrics). Such biomass-based metrics
best reflect the amount of energy flow across trophic levels and functional groups, whereas
numbers-based metrics indicate the diversity of pathways that energy could follow and the
potential for intra- and inter-specific interactions (Lyons et al., 2001).
The large river IBI for southern Wisconsin is listed in Table 5. Definitions of some of the
“new” metrics are given as follows (Lyons, 1992; Lyons et al., 2001):
Weight per unit effort – Weight (biomass) to the nearest 0.1 kg of fish collected per 1600
m of shoreline, excluding tolerant species.
Total number of native species - The total number of species collected at a site, excluding
hybrids (which are common among sunfish and certain minnow species) and exotic species.
Total number of riverine species – Number of species that are obligate stream or river
dwellers not normally found in lentic habitats.
Percent of individuals as simple lithophilous spawners - The number of individuals that
belong to species that lay their eggs on clean gravel or cobble and do not build a nest or
provide parental care, expressed as a percentage of the total number of fish captured. Simple
lithophilous species need clean substrates for spawning and are particularly sensitive to
sedimentation (embeddedness) of rocky substrates. Hybrids are included in this metric only if
both of the parental species are simple lithophilous species.
The total IBI scores then yield the following biological conditions categories: Excellent =
>80, Good = 60-79, Fair = 40-69, Poor = 20-39, Very Poor = <20. Lyons et al. (2001) found
that the Wisconsin large river IBI was comparable to IBIs developed for use in large rivers in
Ohio (including data for the Ohio River) and Indiana.
The fact that the IBI metrics in Table 5. reflect conditions on the Mississippi River and
Ohio River indicate that these metrics might be a good beginning point for developing IBIs
for the other large rivers of the world.

Table 5. Index of Biological Integrity (IBI) for large rivers in southern Wisconsin
(after Lyons et al., 2001)

Metrics Scoring Criteria

10 5 0
1. Weight of fish per unit effort > 25 kg 10-25 kg 0-9.9 kg
2. Total number of native fish species >15 12-15 0-11
3. Number of suckers species >4 3-4 0-2
4. Number of intolerant species >2 2 0-1
5. Number of riverine species >6 5-6 0-4
6. Proportion of individuals with disease, tumors fin damage, <0.5% 0.5-3% >3%
skeletal anlmalies (DELT)
7. Percent of individuals as riverine species >20% 11-20% 0-10%
8. Percent of individuals as simple lithophilous spawners >40% 26-40% 0-25%
9. Percent of insectivores by weight >39% 21-39% 0-20%
10. Percent of round suckers by weight >25% 11-25% 0-10%
60 Zhao-Yin Wang and Bao-Zhu Pan

3.2.4.3. Uses of the IBI

IBIs provide a valuable framework for assessing the status and evaluating the restoration
of aquatic communities. IBIs encompass the structure, composition, and functional
organization of the biological community. IBIs can be viewed as quantitative empirical
models for rating the health of an aquatic ecosystem, providing a single, defensible, easily
understood measure of the overall health of a river reach in question (Lyons et al., 2001). For
example, IBIs can be used to quickly identify both high-quality reaches for protection and
degraded sites for rehabilitation. While total IBI scores can provide the user with an
indication that a stream fish community is potentially degraded by environmental stressors,
the total score cannot provide the ability to identify which individual stressors are causing the
response. The same total IBI score can be reached by an infinite combination of individual
metric scores, each with its own environmental stressor. Thus, several researchers have
focused not on the final IBI score, but rather on how the individual metrics can be used to
describe the effects of anthropogenic stresses on the fish community (e.g., Manolakos et al.,
2007, O’Reilly, 2007, Novotny et al., 2008, Bedoya et al., 2009). If relations between stresses
and the fish community can be found ways to reduce these stresses and efficiently improve
the fish community can be derived.

3.3. Bio-Assessment

3.3.1.. Rapid Bioassessment

Rapid bioassessment techniques are most appropriate when restoration goals are
nonspecific and broad, such as improving the overall aquatic community or establishing a
more balanced and diverse community in the river ecosystem (FISRWG, 1997).
Bioassessment often refers to use of biotic indices or composite analyses, such as those used
by the Ohio Environmental Protection Agency (Ohio EPA, 1990), and rapid bioassessment
protocols (RBP), such as those documented by Plafkin et al. (1989).
The Ohio EPA evaluates biotic integrity by using an invertebrate community index that
emphasizes structural attributes of invertebrate communities and compares the sample
community with a reference or control community. The invertebrate community index is
based on 10 metrics that describe different taxonomic and pollution tolerance relations within
the macro-invertebrate community.
The rapid bio-assessment protocols established by the U.S. Environmental Protection
Agency were developed to provide states with the technical information necessary for
conducting cost-effective biological assessments (Plafkin et al., 1989). The RBP are divided
into five sets of protocols, three for macroinvertebrates and two for fish, as shown in Table 6.
The rapid bioassessment protocols RBP I to RBP III are for macroinvertebrates. RBP I is a
“screening” or reconnaissance-level analysis used to discriminate obviously impaired and
unimpaired sites from potentially affected areas requiring further investigation. RBP II and III
use a set of metrics based on taxon tolerance and community structure similar to the
invertebrate community index used by the State of Ohio.
 River Ecology and Stream Restoration 61

Table 6. Five tiers of the rapid bioassessment protocols (after Plafkin et al., 1989.)

Level Organism Level of Taxonomy/ Level of Expertise

Relative Level of Effort
or Tier Group Where Performed Required
Benthic Low; 1-2 hr per site (no One highly-trained
Ⅰ Order, family/field
invertebrates standardized sampling) biologist
Intermediate; 1.5-2.5 hr per One highly-trained
Benthic
Ⅱ site (all taxonomy Family/field biologist and one
invertebrates
performed in the field) technician
Most rigorous; 3-5 hr per One highly-trained
Benthic Genus or species/
Ⅲ site (2-3 hr of total are for biologist and one
invertebrates laboratory
lab taxonomy) technician
Low; 1-3 hr per site (no One highly-trained
Ⅴ Fish Not applicable
fieldwork involved biologist
Most rigorous; 2-7 hr per One highly-trained
Ⅵ Fish site (1-2 hr are for data Species /field biologist and 1-2
analysis) technicians

Both are more labor-intensive than RBP I and incorporate field sampling. RBP II uses
family-level taxonomy to determine the following set of metrics used in describing the biotic
integrity of a stream: 1) Species richness, 2) Hilsenhoff biotic index (Hilsenhoff, 1982), 3)
Ratio of scrapers to filtering collectors, 4) Ratio of Ephemeroptera/ Plecoptera/Trichoptera
(EPT) and chironomid abundances, 5) Percent contribution of dominant taxa, 6) EPT index,
7) Community similarity index, and 8) Ratio of shredders to total number of individuals. RBP
III further defines the level of biotic impairment and is essentially an intensified version of
RBP II that uses species-level taxonomy. As with the invertebrate community index, the RBP
metrics for a site are compared to metrics from a control or reference site.

3.3.2. Comparison Standard

With stream restoration activities, it is important to select a desired end condition for the
proposed management action. A predetermined standard of comparison provides a benchmark
against which to measure progress.
For example, if the chosen diversity measure is native species richness, the standard of
comparison might be the maximum expected native species richness for a defined geographic
area and time period. Historical conditions in the region should be considered when
establishing a standard of comparison. If current conditions in a river are degraded, it may be
best to establish the standard for a period in the past that represented more natural or desired
conditions. In some cases historical diversity might have been less than current diversity due
to changes in hydrology and encroachment of native and exotic riparian vegetation in the
floodplain (Knopf, 1986). Thus, it is important to agree on what conditions are desired prior
to establishing the standard of comparison.
For a hypothetical stream restoration initiative, the following biological diversity
objective might be developed. Assume that a primary concern in an area is conserving native
amphibian species and that 30 native species of amphibians have been known to occur
historically in the watershed. The objective could be to manage the river ecosystem to provide
and maintain suitable habitat for the 30 native amphibian species. River ecosystem restoration
efforts must be directed toward those factors that can be managed to increase diversity to the
62 Zhao-Yin Wang and Bao-Zhu Pan

desired level. Those factors might be the physical and structural features of the river
ecosystem.
Diversity can be measured directly or predicted from other information. Direct
measurement requires an actual inventory of the element of diversity, such as counting the
amphibian species in the study area. Direct measures of diversity are most helpful when
baseline information is available for comparing different sites. It is not possible, however, to
directly measure certain attributes, such as species richness or the population level of various
species, for various future conditions.
Predicting diversity with a model is generally more rapid than directly measuring
diversity. In addition, predictive methods provide a means to analyze alternative future
conditions before implementing specific restoration plans. The reliability and accuracy of
diversity models should be established before their use.

3.3.3. Classification Systems

The common goal of classification systems is to organize variation. Classification
systems include (FISRWG, 1997):

1. Geographic domain. The range of sites being classified varies from rivers of the
world to local differences in the composition and characteristics of patches within
one reach of a single river.
2. Variables considered. Some classifications are restricted to hydrology,
geomorphology, and aquatic chemistry. Other community classifications are
restricted to biotic variables of species composition and abundance of a limited
number of taxa. Many classifications include both abiotic and biotic variables. Even
purely abiotic classification systems are relevant to biological evaluations because of
the important correlations (e.g., the whole concept of physical habitat) between
abiotic structure and community composition.
3. Incorporation of temporal relations. Some classifications focus on describing
correlations and similarities across sites at one, perhaps idealized, point in time.
Other classifications identify explicit temporal transitions among classes, for
example, succession of biotic communities or evolution of geomorphic landforms.
4. Focus on structural variation or functional behavior. Some classifications emphasize
a parsimonious description of observed variation in the classification variables.
Others use classification variables to identify types with different behaviors. For
example, a vegetation classification can be based primarily on patterns of species co-
occurrence, or it can be based on similarities in functional effect of vegetation on
habitat value.
5. The extent to which management alternatives or human actions are explicitly
considered as classification variables. To the extent that these variables are part of
the classification itself, the classification system can directly predict the result of a
management action. For example, a vegetation classification based on grazing
intensity would predict a change from one class of vegetation to another class based
on a change in grazing management.

Comparison of the degraded system to an actual unimpacted reference site, to the ideal
type in a classification system, or to a range of similar systems can provide a framework for
 River Ecology and Stream Restoration 63

articulating the desired state of the degraded system. However, the desired state of the system
is a management objective that ultimately comes from outside the classification of system
variability.

3.3.4. Analyses of Species Requirements

Analyses of species requirements involve explicit statements of how variables interact to
determine habitat or how well a system provides for the life requisites of fish and wildlife
species. Complete specification of relations between all relevant variables and all species in a
river system is not possible. Thus, analyses based on species requirements focus on one or
more target species or groups of species.
In a simple case, this type of analysis may be based on an explicit statement of the
physical factors that distinguish good habitat for a species (places where it is most likely to be
found or where it best reproduces) from poor habitat (places where it is unlikely to be found
or reproduces poorly).
In more complicated cases, such approaches incorporate variables beyond those of purely
physical habitat, including other species that provide food or biotic structure, other species as
competitors or predators, or spatial or temporal patterns of resource availability. Analyses
based on species requirements differ from synthetic measures of system condition in that they
explicitly incorporate relations between “causal” variables and desired biological attributes.
Such analyses can be used directly to decide what restoration actions will achieve a desired
result and to evaluate the likely consequences of a proposed restoration action. For example,
an analysis using the habitat evaluation procedures might identify mast production (the
accumulation of nuts from a productive fruiting season which serves as a food source for
animals) as a factor limiting squirrel populations.
If squirrels are a species of concern, at least some parts of the stream restoration effort
should be directed toward increasing mast production. In practice, this logical power is often
compromised by incomplete knowledge of the species habitat requirements.
The complexity of these methods varies along a number of important dimensions,
including prediction of habitat suitability versus population numbers, analysis for a single
place and single time versus a temporal sequence of spatially complex requirements, and
analysis for a single target species versus a set of target species involving tradeoffs. Each of
these dimensions must be carefully considered in selecting an analysis procedure appropriate
to the problem at hand.

3.4 Habitat Evaluation and Modeling

3.4.1. Habitat Diversity

Habitat evaluation is an important aspect of bio-assessment. Habitat has a definable
carrying capacity, or suitability, to support or produce wildlife populations (Fretwell and
Lucas, 1970). The capacity depends, to a great extent, on the habitat diversity. A habitat
diversity index is needed to represent this characteristic. The physical conditions of stream
habitat are mainly 1) the substrate; 2) water depth; and 3) flow velocity (Gorman and Karr,
1978). Different physical conditions support different bio-communities and diversified
physical conditions may support diversified bio-communities. A habitat diversity index, HD,
is proposed as follows (Wang et al., 2008b):
64 Zhao-Yin Wang and Bao-Zhu Pan

H D = N h N v ∑α i
i (12)

where Nh and Nv are numbers for water depth diversity and velocity diversity, and α is the
substrate diversity, which is different for different substrates. For water depth less than 0.1 m
the habitat is colonized by species that like high concentrations of dissolved oxygen and
plenty of light. For water depth larger than 0.5 m the habitat is colonized by species that like
low light and dissolved oxygen. Many species may live in water with depths between 0.1-0.5
m. If a stream has three water areas: 1) shallow water, in which the water depth is in the range
of 0~0.1 m; 2) mid depth water, in which the water depth is in the range of 0.1~0.5 m; and 3)
deep water, in which water depth is larger than 0.5 m, and each of the three areas is larger
than 10% of the stream water surface area, Nh = 3. If a stream has only shallow water and
mid-depth water, and each of them is larger than 10% of the stream water surface area, Nh =
2. The value of Nh for other cases can be analogously obtained. For flow velocity less than 0.3
m/s the habitat is colonized by species that swim slowly. For velocity higher than 1 m/s the
habitat is colonized by species that like high velocities. Many species live in the current
between 0.3-1 m/s. If a stream has three water areas: 1) lentic area, in which the flow velocity
is smaller than 0.3 m/s; 2) mid-velocity area, in which the flow velocity is in the range of
0.3~1 m/s; and 3) lotic area, in which the velocity is larger than 1 m/s, and each of the three
areas is larger than 10% of the stream water surface area, Nv = 3. If a stream has only lentic
and mid-velocity areas, and each of them is larger than 10% of stream water, Nv = 2. The
value of Nv for other cases can be analogously obtained.
The selection of the critical values of water depth and velocity are determined by
studying the habits of species, mainly of macro-invertebrates. It is found from field
investigations that in the Yangtze River basin some species in the water depth between 0.1-
0.5 m are different from those in shallower or deeper water. Similarly, some species living in
the current range of 0.3-1 m/s are different from those in currents lower than 0.3 m/s or higher
than 1 m/s. Beauger et al. (2006) reported that the highest species richness and density were
found in various substrates where the velocity ranged between 0.3 and 1.2 m/s, and depths
ranged from 0.16 to 0.5 m. Below 0.3 m/s the riverbed tends to be filled and not very
productive, whereas above 1.2 m/s the current velocity acts as a constraint for most living
material. Undoubtedly, at lower depths, vegetation and animals are disturbed by light,
conversely at higher depths in which the primary productivity decreases, the bio-community
is disturbed due to light attenuation. At lower and higher depths and velocities, only those
species tolerant to the constraints may colonize the habitat.
Streambeds consisting of cobbles and boulders are very stable and provide the benthic
macro-invertebrates diversified living spaces. Therefore, cobbles and boulders are associated
with high habitat diversity. Stream flow over aquatic grasses has high velocity but the aquatic
grasses generate a low velocity canopy, moreover, the aquatic grasses themselves are also
habitat for some species. Thus, streams with aquatic grasses exhibit high habitat diversity.
Some species may move and live within the fluid mud layer and consume the organic
materials in the mud layer. The interstices in a fine gravel bed are small but sufficient for
some species.
A sand bed is compact and the interstices between sand particles are too small for big
benthic macro-invertebrates to move and live within them. If sand particles are moving as bed
 River Ecology and Stream Restoration 65

load the bed provides no stable habitat for animals. Therefore, moving sand is the worst
habitat for benthic macroinvertebrates. Based on this discussion and field investigations of 16
streams, the α -values for various substrates are listed in Table 7. It is well known that large
woody debris can substantially contribute to habitat quality in streams (Gippel, 1995; Abbe
and Montgomery, 1996), and, thus, a more generally applicable listing of α -values should
also include a value for stream substrates with large woody debris. However, large woody
debris does not often occur in Chinese streams, therefore, a rating for large woody debris has
not been determined and is not listed in Table 7. If a part of the streambed consists of one
substrate and another part consists of the another substrate and both parts have areas larger
than one tenth of the stream surface, the two α -values for the two kinds of substrates should
be summed.
However, if sand or silt fills the interstices of gravel the α -value should be taken as for
the substrate of sand or silt. If a streambed has three parts with different substrates: boulders
and cobbles, aquatic grasses, and fluid clay mud, and each of the three parts is larger than one
tenth of the total stream area, the sum of the α -values for the stream is ∑ α i = 6 + 5 + 3 = 14 .
i

If the streambed is covered by moving sand and gravel or the bed is very unstable, ∑α
i
i = 0.

Gorman and Karr (1978) also developed a Habitat Diversity Index combining the effects
of substrate, velocity, and depth. They showed that fish species diversity and richness were
strongly related to a combination of the effects of substrate, velocity, and depth. Their
substrate classification is similar to that proposed here with the main differences being in the
divisions of sediment sizes into the various classes, but a similar ordinal ranking is applied to
the substrate material.

Table 7. Substrate diversity, α , values for different substrates (after Wang et al., 2008b)

Substrate Boulders Aquatic Gravel Fluid clay Silt Sand Unstable

and grass (2-200 mm) mud (0.02 (0.2~2 sand, gravel,
cobbles (D<0.02mm) ~0.2 mm) and silt bed
(D＞200 mm) (0.02~20 mm)
mm)
α 6 5 4 3 2 1 0

They also developed class ranges for velocity and depth throughout a reach determined
by a weighting of point measurements. The index applied here takes a simpler approach to
considering the diversity of velocity and depth.
The biodiversity of streams depends not only on the physical conditions but also is
affected by food availability and water quality. Food availability is very different for different
species and should be studied separately.
Generally speaking, water pollution reduces the number of species but may not reduce
the density of pollution-tolerant species. Water quality is not an inherent feature of a habitat
and depends on human disturbances.
Therefore, water quality is not taken in the habitat diversity index. Water temperature
also is an important factor for stream ecology. However, the temperature does not vary much
in a reach of a stream unless a thermal discharge is present and it is not necessary to consider
66 Zhao-Yin Wang and Bao-Zhu Pan

it in the analysis of local habitat diversity. When habitat across different zones with great
temperature differences is studied, then temperature difference has to be considered in the
analysis.
High diversity of habitat supports high diversity of bio-community, which may be
illustrated with the sampling results of macro-invertebrates in several mountain streams in the
Xiaojiang River basin in Yunnan Province in southwestern China. Figure 44. shows the
relations between the habitat diversity, HD, and the species richness, S, the Shannon Weaver
index, H, and the bio-community index, B, for these streams.
In general, the higher is the habitat diversity, the higher are the species richness, the bio-
diversity, and the bio-community index. However, the species richness, S, has the best
relation with the habitat diversity clearly showing an increasing trend with habitat diversity.
The bio-community index, B, also linearly increases with the habitat diversity. The Shannon-
Weaver Index, H, increases with the habitat diversity, but the points around the HD ~ H curve
is rather scattered.
The results suggest that the species richness, S, and bio-community index, B, are suitable
ecological indicators for good habitat in streams that are not impaired by poor water quality.
Similar results also were obtained from a study on the East River basin in Guangdong
Province. Figure 45. shows the relations of the habitat diversity, HD, with the Shannon-
Weaver index, H, and bio-community index, B, for the East River.
The higher is the habitat diversity, the higher are the biodiversity and bio-community
indices. The bio-community index, B, increases with habitat diversity, HD, and the points of
B-HD relation are much closer to the curve than the relation of H-HD.

Figure 44. Species richness, S; Shannon-Weaver Index, H; and the bio-community index, B, as
functions of the habitat diversity index, HD.
 River Ecology and Stream Restoration 67

Figure 45. Relation between habitat diversity, HD, and Shannon-Weaver index, H (upper); and the
relation between habitat diversity, HD, and bio-community index, B (lower).

3.4.2. Habitat Evaluation Procedure

The Habitat Evaluation Procedures (HEP) can be used for several different types of
habitat studies, including impact assessment, mitigation, and habitat management. The HEP
provides information for two general types of habitat comparisons—the relative value of
different areas at the same point in time and the relative value of the same area at different
points in time.
The HEP is based on two fundamental ecological principles—habitat has a definable
carrying capacity to support wildlife populations, and the suitability of habitat for a given
wildlife species can be estimated using measurements of vegetative, physical, and chemical
characteristics of the habitat. The suitability of a habitat for a given species is described by a
habitat suitability index (HSI) constrained between 0 (unsuitable habitat) and 1 (optimum
habitat). HSI models have been developed and published (Schamberger et al., 1982; Terrell
and Carpenter), the U.S. Fish and Wildlife Service (USFWS, 1981) also provides guidelines
for use in developing HSI models for specific projects. HSI models can be developed for
many of the previously described metrics, including species, guilds, and communities
(Schroeder and Haire, 1993).
The fundamental unit of measure in The HEP is the Habitat Unit, computed as follows:

HU = AREA x HSI (13)

where HU is the number of habitat units (units of area), AREA is the areal extent of the
habitat being described (in km2), and HSI is the index of suitability of the habitat
(dimensionless). Conceptually, an HU integrates the quantity and quality of habitat into a
single measure, and one HU is equivalent to one unit of optimal habitat. The HEP provides an
assessment of the net change in the number of HUs attributable to a proposed future action,
such as a stream restoration initiative. A HEP application is essentially a two-step process—
68 Zhao-Yin Wang and Bao-Zhu Pan

calculating future HUs for a particular project alternative and calculating the net change as
compared to a base condition.

3.4.3. Habitat Modeling

Many habitat evaluation models have been developed. The Physical Habitat Simulation
Model was designed by the U.S. Fish and Wildlife Service primarily for instream flow
analysis (Bovee, 1982). The model allows evaluation of available habitat within a study reach
for various life stages of different fish species. The first component of the model is hydraulic
simulation for predicting water surface elevations and velocities at unmeasured discharges
(e.g., stage vs. discharge relations, Manning’s equation, step-backwater computations). The
second component of the model - habitat simulation integrates species and lifestage-specific
habitat suitability curves for water depth, velocity, and substrate with the hydraulic data.
Output is a plot of weighted usable area against discharge for the species and life stages of
interest.
Riverine Community Habitat Assessment and Restoration Concept Model is based on the
assumption that aquatic habitat in a restored stream reach will best mimic natural conditions if
the frequency distribution of depth and velocity in the subject channel is similar to a reference
reach with good aquatic habitat. Study site and reference site data can be measured or
calculated using a computer model. The similarity of the proposed design and reference reach
is expressed with three-dimensional graphs and statistics (Nestler et al., 1993, Abt, 1995). The
model has been used as the primary tool for environmental analysis on studies of flow
management for the Missouri River and the Alabama Basin.
SALMOD (Salmonid Population Model) is a conceptual and mathematical model for the
salmonid population for Chinook salmon in concert with a 12-year flow evaluation study in
the Trinity River of California using experts on the local river system and fish species in
workshop settings (Williamson et al., 1993, Bartholow et al., 1993). The structure of the
model is a middle ground between a highly aggregated classical population model that tracks
cohorts/size groups for a generally large area without spatial resolution, and an individual-
based model that tracks individuals at a great level of detail for a generally small area. The
conceptual model states that fish growth, movement, and mortality are directly related to
physical hydraulic habitat and water temperature, which in turn relate to the timing and
amount of regulated stream flow.
Habitat capacity is characterized by the hydraulic and thermal properties, which are the
model’s spatial computational units. Model processes include spawning, growth (including
maturation), movement (freshet-induced, habitat-induced, and seasonal), and mortality (base,
movement-related, and temperature-related). The model is limited to freshwater habitat for
the first 9 months of life; estuarine and ocean habitats are not included.

3.4.4. Suitability Indices

Suitability Indices are the core for habitat modeling, which may be illustrated for the
Chinese sturgeon (Yi et al., 2007). The life cycle of the Chinese sturgeon in the Yangtze
River mainly comprises spawning, hatching, and growth of 1 yr juvenile sturgeon. Brood fish
seek suitable spawning sites; fertilized eggs adhere to stone and hatch after about 120 to 150
h. Whelp sturgeon drift with the current, and grow slowly in the lower reaches of the Yangtze
River and river mouth. Juvenile sturgeons swim to the East China Sea and stay there until
they reach maturity.
 River Ecology and Stream Restoration 69

Therefore, analysis for the habitat quality of the Chinese sturgeon is based on basic
requirements of spawning, hatching, and juvenile and adult sturgeon growth.
In habitat modeling variables which have been shown to affect growth, survival,
abundance, or other measures of well-being of the Chinese sturgeon, are placed in the
appropriate component. Ten aquatic eco-factors, which mainly influence the habitat of the
Chinese sturgeon, are selected for the modeling as follows: 1) Water temperatures for adults
and juveniles (V1, °C); 2) Water depth for adults (V2, m); 3) Substrate for adults (V3); 4)
Water temperature for spawning (V4, °C); 5) Water depth for spawning (V5, m); 6) Substrate
for spawning and hatching (V6); 7) Water temperature during hatching (V7, °C); 8) Flow
velocity during spawning (V8, m/s); 9) Suspended sediment concentration during spawning
(V9, mg/l); and 10) The amount of eggs-predating fish in the studied year in comparison to a
standard year (V10). The suitable ranges and the Suitability Index (SI) curves of the ten main
eco-factors are determined based on biological research. By analyzing these eco-factors, a
habitat assessment model is developed which combines these factors and can be used for
assessing habitat changes caused by human activities and hydraulic processes. The habitat
suitability function for the Chinese sturgeon mainly considered the suitability for juvenile and
adult fish growth, spawning, and hatching.
Habitat Suitability Index:

HSI = min(CAd , CSp , CHa )

(14)

in which CAd represents the suitability for juvenile and adult growth, given by

C Ad = min(V1 , V2 , V3 ) (15)

CSp represents the suitability for spawning

CSp = min(V4 , V5 , V6 )
(16)

CHa represents the suitability for hatching

C Ha = V10 • min(V6 , V7 , V8 , V9 ) (17)

where V1 – V10 are the ten factors. The SI curve quantifies physical habitat such as water
temperature, flow velocity, and suspended sediment concentration. The habitat suitability
ranges from unsuitable (0) to optimal habitat suitability (1). The intermediate values represent
the suitability range based on a specified hydraulic variable.
Biological studies discovered that adult sturgeon distribution, spawning time, and
spawning site selection by brood fish, are mainly influenced by water temperature (V1, V4 ),
water depth (V2, V5) and substrate (V3, V6). The main eco-factors which influence hatching are
water temperature (V7), flow velocity (V8), substrate (V6), suspended sediment concentration
(V9), and the amount of the eggs-predating fish (V10). Water temperature is an essential factor
for hatching; flow velocity influences the distribution of eggs and their cohesiveness on the
70 Zhao-Yin Wang and Bao-Zhu Pan

river bed. Excessive suspended sediment concentration may cause sturgeon eggs to debond,
which then affects fertilization and hatching.
According to Chang (1999), 90% of sturgeon eggs suffer predation. The data sources
used to develop the SIS are listed in Table 8, and the SI curves are shown in Figure 46. The
value of V10 (the ratio of estimated brood sturgeon to eggs-predatory fish) is not shown in the
figure, because it depends on the physical conditions and the number of the eggs-predatory
fish in the previous year. In the modeling the value of V10 is assumed equal to 1.0, i.e. the
amount of eggs-predatory fish is the lowest in the record.

Table 8. Eco-factors for Chinese Sturgeon (after Yi et al., 2007)

Variables Eco-factors Results of Previous Research

The Chinese sturgeon can survive temperatures between 0 – 37°C;
13 – 25°C is suitable for growth, and 20 – 22°C is optimum. The
sturgeon becomes anorexic and stops growing when temperatures
fall to 9 – 6°C (NERCITA, 2004a). Research results indicate that
Water
the Chinese sturgeon grows well under a wide range of
Temperature
temperatures; feeding has been recorded from 8 – 29.1°C (Guo and
V1 (Adults and
Lian, 2001). Yan (2003) found that Chinese sturgeon prefer tepid
Juveniles)
water, anorexia results and growth almost stops when temperatures
are < 6°C and > 28°C, growth rate slows when temperatures are
near 10°C. 18 – 25°C is an optimum range for growth; sturgeon
will die when temperature is > 35°C. The optimum temperature for
juvenile sturgeon is 22 – 25°C (Zhang, 1998).
The Chinese sturgeon is distributed in areas with 9.3 – 40 m water
Water Depth depth; 90% of individuals are distributed at depths from 11 – 30 m;
V2
(Adults) 11 Chinese sturgeons detected in the Yanzhiba to Gulaobei reach
were distributed at depths from 9 – 19 m (Wei, 2005).
Juvenile and adult Chinese sturgeons have similar substrate
choices as with short-nose sturgeon in the US. Experiments show
that juvenile short-nose sturgeon prefer habitat in sand-mud
Substrate
V3 substrate or gravel substrate (Pottle and Dadswell, 1979). Chinese
(Adults)
sturgeon prefer to cruise along river channels with deep trenches
and sandy dunes, and are fond of resting in pools, backwaters, and
places varied terrain (Guo and Lian, 2001).
The spawning temperature for sturgeon is 17.0 – 20.0°C; spawning
will stop when temperature < l6.5°C (Hu et al., 1992). The average
temperature in the reaches downstream of the Gezhouba Dam
during the sturgeon spawning period is 15.8 – 20.7°C. About
Water 79.31% of fish are spread in the range of 17.5 – 19.5 °C; the
V4 Temperature average temperature of the original spawning sites in the upper
(Spawning) reaches of the Yangtze River is 17.0 – 20.2°C. Therefore, the
suitable spawning temperature for Chinese sturgeon is 17.0 –
20.0°C (Wei, 2003). Spawning occurs when temperature is 15.3–
20.5°C; the suitable range is 17.0 – 20.0°C, and the optimum in
18.0 – 20.0°C (Yang et al., 2007).
 River Ecology and Stream Restoration 71

Variables Eco-factors Results of Previous Research

More than 20 years’ of monitoring indicates that the length of new
spawning sites is about 30 km from the tail water area of Gezhouba
Water Depth
V5 Dam to Gulabei, with 10 – 15 m water depth (Guo and Lian,
(Spawning)
2001). The “stable spawning site of Chinese sturgeon” determined
by Deng et al. (1991) has a water depth in a range from 4 – 10 m.
Gravel and pebbles are present in Chinese sturgeon spawning sites
of (Li, 1999). The substrate of new spawning sites are composed of
Substrate
sand, grave with sand, gravel and stone, and gradually coarsen
V6 (Spawning
from left to right bank (Hu et al., 1992). The substrate of the
and hatching)
original centralized spawning sites of Chinese sturgeon was mainly
composed of stones and gravels (Xing, 2003).
The suitable temperature for hatching is 16 – 22°C, the optimum is
17 – 21°C. The hatching rate decreases when at temperature <
16°C; deformity rate increases at temperature > 23°C. The
Water
temperature should be stable when zoosperms are hatching,
V7 Temperature
abnormal fetation or death will occur with even small fluctuations
(Hatching)
in temperature of 3 – 5°C (NERCITA, 2004b). Water temperature
for cultivating fries should be between 12 – 29°C; the most suitable
temperature is 16 – 24°C (Wang et al., 2002).
Sturgeon prefer spawning areas with flow velocity of 0.08–0.14
m/s at the bottom, 0.43 – 0.58 m/s in the middle, and 1.15 – 1.70
m/s at the surface (Li, 2001). The surface flow velocity at
spawning areas is 1.1 – 1.7 m/s (Li, 1999). The flow velocity of
spawning areas during spawning season ranges from 0.82 – 2.01
m/s; 57.69% of fish are distributed between 1.2 – 1.5 m/s. When
spawning occurs during periods when water levels are falling, the
Flow
daily fluctuation range of flow velocity is 0.82 – 1.86 m/s, with an
V8 Velocity
average of 1.24 m/s. The daily maximum fluctuation range is 1.20
(Spawning)
– 2.33 m/s, with an average of 1.56 m/s. When spawning activity
occurs during periods when water levels are rising, the daily
fluctuation range of flow velocity is 1.17 – 2.01 m/s, with an
average of 1.55 m/s (Wei, 2005). According to 31 records from
1983 – 2000, the average flow velocity on spawning day was
between 0.81 – 1.98 m/s, and 81% took place in the range of 1.00 –
1.66 m/s (Yang et al., 2007).
The suspended sediment concentration in reaches downstream
from the Gezhouba Dam is between 0.073 – 1.290 kg/m3, with an
average of 0.508 kg/m3. About 66.67% of fish are distributed
between 0.3 – 0.7 kg/m3. When spawning activity occurs during
periods of falling water level, the daily average suspended
Suspended
sediment concentration varies between 0.17 – 1.29 kg/m3, with an
Sediment
V9 average of 0.52 kg/m3. When spawning activity occurs during
Concentration
periods of rising water levels, the daily average suspended
(Spawning)
sediment concentration varies between 0.41 – 1.02 kg/m3, with an
average of 0.61 kg/m3 (Wei, 2005). The suitable range of
suspended sediment concentration for Chinese sturgeon is 0.10 –
1.32 kg/m3. From 1983 – 2000, 15 of 31 spawning events were in
the range of 0.2 – 0.3 kg/m3 (Yang et al., 2007).
72 Zhao-Yin Wang and Bao-Zhu Pan

Figure 46. Suitability Index curves for habitat of Chinese sturgeon.

3.4.5. Vegetation-Hydroperiod Modeling

Vegetation-Hydroperiod Modeling is a very useful tool for habitat evaluation.
Hydroperiod is defined as the depth, duration, and fequency of inundation and is a powerful
determinant of what plants are likely to be found in various positions in the riparian zone, as
shown in Figure 47. In most cases, the dominant factor that makes the riparian zone distinct
from the surrounding uplands, and the most important gradient in structuring variation within
the riparian zone, is site moisture conditions, or hydroperiod. Formalizing this relation as a
vegetation-hydroperiod model can provide a powerful tool for analyzing existing distributions
of riparian vegetation, casting forward or backward in time to alternative distributions, and
designing new distributions.
 River Ecology and Stream Restoration 73

Figure 47. Soil moisture conditions determine the plant communities in riparian areas of the Nile River
in Sudan.

The suitability of site conditions for various species of plants can be described with the
same conceptual approach used to model habitat suitability for animals. The basic logic of a
vegetation-hydroperiod model is straightforward. It is possible to measure how wet a site is
and, more importantly, to predict how wet a site will be. From this, it is possible to estimate
what vegetation is likely to occur on the site.
The two basic elements of the vegetation-hydroperiod relation are the physical conditions
of site moisture at various locations and the suitability of those sites for various plant species.
In the simplest case of describing existing patterns, site moisture and vegetation can be
directly measured at a number of locations. However, to use the vegetation-hydroperiod
model to predict or design new situations, it is necessary to predict new site moisture
conditions. The most useful vegetation-hydroperiod models have the following three
components (FISRWG, 1997):

1) Characterization of the hydrology or pattern of stream flow- This can take the form
of a specific sequence of flows, a summary of how often different flows occur, such
as a flow duration or flood frequency curve, or a representative flow value, such as
bankfull discharge or mean annual discharge.
2) A relation between streamflow and moisture conditions at sites in the riparian zone-
This relation can be measured as the water surface elevation at a variety of
discharges and summarized as a stage vs. discharge curve. It can also be calculated
by a number of hydraulic models that relate water surface elevations to discharge,
taking into account variables of channel geometry and roughness or resistance to
flow. In some cases, differences in simple elevation above the channel bottom may
serve as a reasonable approximation of differences in inundating discharge.
74 Zhao-Yin Wang and Bao-Zhu Pan

3) A relation between site moisture conditions and the actual or potential vegetation
distribution- This relation expresses the suitability of a site for a plant species or
cover type based on the moisture conditions at the site. It can be determined by
sampling the distribution of vegetation at a variety of sites with known moisture
conditions and then deriving probability distributions of the likelihood of finding a
plant on a site given the moisture conditions at the site. General relations are also
available from the literature for many species.

In altered or degraded stream systems, current moisture conditions in the riparian zone
may be dramatically unsuitable for the current, historical, or desired riparian vegetation.
Several conditions can be relatively easily identified by comparing the distribution of
vegetation to the distribution of vegetation suitabilities.
The hydrology of the stream has been altered, for example, if stream flow has diminished
by diversion or flood attenuation, sites in the riparian zone may be drier and no longer
suitable for the historic vegetation or for current long-lived vegetation that was established
under a previous hydrologic regime. The inundating discharges of plots in the riparian zone
have been altered so that streamflow no longer has the same relation to site moisture
conditions; for example, levees, channel modifications, and bank treatments may have either
increased or decreased the discharge required to inundate plots in the riparian zone. The
vegetation of the riparian zone has been directly altered, for example, by clearing or planting
so that the vegetation on plots no longer corresponds to the natural vegetation for which the
plots are suitable. Temporal variability is a particularly important characteristic of many
stream ecosystems. Regular seasonal differences in biological requirements are examples of
temporal variability that are often incorporated into biological analyses based on habitat
suitability and time series simulations. The need for episodic extreme events is easy to ignore
because these are as widely perceived as destructive both to biota and constructed river
features. In reality, however, these extreme events seem to be essential to physical channel
maintenance and to the long-term suitability of the riverine ecosystem for disturbance-
dependent species. Cottonwood in riparian systems in the western U.S. is one well understood
case of a disturbance-dependent species. Cottonwood regeneration from seed is generally
restricted to bare, moist sites. Creating these sites depends heavily on channel movement
(meandering, narrowing, avulsion) or new flood deposits at high elevations. In some riparian
systems, channel movement and sediment deposition on flood plains tend to occur
infrequently in association with floods. The same events are also responsible for destroying
stands of trees. Thus, maintaining good conditions for existing stands, or fixing the location
of a stream’s banks with structural measures, tends to reduce the regeneration potential and
the longterm importance of this disturbance-dependent species in the system as a whole.
There is a large body of information on the flooding tolerances of various plant species.
Summaries of this literature include Whitlow and Harris (1979) and the multivolume Impact
of Water Level Changes on Woody Riparian and Wetland Communities (Teskey and
Hinckley, 1978; Walters et al., 1978; Lee and Hinckley, 1982; Chapman et al., 1982). This
type of information can be coupled to site moisture conditions predicted by applying
discharge estimates or flood frequency analyses to the inundating discharges of sites in the
riparian zone. The resulting relation can be used to describe the suitability of sites for various
plant species, e.g., relatively floodprone sites will likely have relatively flood-tolerant plants.
Inundating discharge is strongly related to relative elevation within the floodplain. Other
 River Ecology and Stream Restoration 75

things being equal (i.e., within a limited geographic area and with roughly equivalent
hydrologic regimes), elevation relative to a representative water surface line, such as bankfull
discharge or the stage at mean annual flow, can, thus, provide a reasonable surrogate for site
moisture conditions. Locally determined vegetation suitability can then be used to determine
the likely vegetation in various elevation zones.

4. RESTORATION STRATEGIES
“Leave it alone and let it heal itself.” In some cases, the best solution to a river ecological
problem might be to remove the stresses and “let it heal itself.” Unfortunately, in many cases
this process can take quite a long time. Therefore, the “leave it alone” concept is a difficult
approach for people to accept (Gordon et al., 1992). Restoration of the impaired river
ecosystem is necessary. According to the U.S. National Research Council (NRC, 1992),
restoration should involve the return of a given ecosystem to a state approximating that in
which it existed prior to disturbances.

4.1. Design of stream Restoration

Design of instream habitat restoration can be guided and fine tuned by assessing the
quality and quantity of habitat provided by the proposed design. It should be noted, however,
that the best approach to habitat recovery is to restore a fully functional, well-vegetated
stream corridor within a well-managed watershed. Man-made structures are less sustainable
and rarely result in a stable channel. Over the long term, design should rely on natural fluvial
processes interacting with floodplain vegetation and associated woody debris to provide high-
quality aquatic habitat. Structures have little effect on populations that are limited by factors
other than physical habitat. Newbury and Gaboury (1993) and Garcia (1995) adapted the
following procedures to restore instream habitat.

1. Select stream. Give priority to reaches with the greatest difference between actual
(low) and potential (high) fish carrying capacity and with a high capacity for natural
recovery processes.
2. Evaluate fish populations and their habitats. Give priority to reaches with habitats
and species of special interest. Is this a biological, chemical, or physical problem? If
a physical problem, do the following.
3. Diagnose physical habitat problems: Drainage basin -Trace watershed lines on
topographical and geological maps to identify sample and rehabilitation basins.
Profiles - Sketch main stem and tributary long profiles to identify discontinuities that
might cause abrupt changes in stream characteristics (falls, former base levels, etc.).
Flow - Prepare flow summary for rehabilitation reach using existing or nearby
records if available (flood frequency, minimum flows, historical mass curve).
Channel geometry survey - Select and survey sample reaches to establish the relation
between channel geometry, drainage area, and bankfull channel-forming discharge.
Quantify hydraulic parameters at design discharge. Rehabilitation reach survey-
Survey rehabilitation reaches in sufficient detail to prepare channel cross section
76 Zhao-Yin Wang and Bao-Zhu Pan

profiles and construction drawings and to establish survey reference markers.

Preferred habitat - Prepare a summary of habitat factors for biologically preferred
reaches using regional references and surveys. Identify multiple limiting factors for
the species and life stages of greatest concern. Where possible, undertake reach
surveys in reference streams with proven populations to identify local flow
conditions, substrate, refuges, etc.
4. Design a habitat improvement plan. Quantify the desired results in terms of hydraulic
changes, habitat improvement, and population increases. Integrate selection and
sizing of habilitation works with instream flow requirements. Select potential
schemes and structures that will be reinforced by the existing stream dynamics and
geometry. Test designs for minimum and maximum flows and set target flows for
critical periods derived from the historical mass curve.
5. Implement planned measures. Arrange for on-site location and elevation surveys and
provide advice for finishing details in the stream.
6. Monitor and evaluate results. Arrange for periodic surveys of the rehabilitated reach
and reference reaches, to improve the design, as the channel ages.

Evidence suggests that traditional design criteria for widespread bank and bed
stabilization measures (e. g., concrete grade control structures, homogeneous riprap) can be
modified, with no functional loss, to better meet environmental objectives and improve
habitat diversity. Weirs are generally more failure-prone than deflectors. Deflectors and
random rocks are minimally effective in environments where higher flows do not produce
sufficient local velocities to produce scour holes near structures. Random rocks (boulders) are
especially susceptible to undermining and burial when placed in sand-bed channels, although
all types of stone structures experience similar problems. Additional guidance for evaluating
the general suitability of various fish habitat structures for a wide range of morphological
stream types is provided by Rosgen (1996). Seehorn (1985) provides guidance for small
streams in the eastern U.S. Nowadays numerous design web sites are available (White and
Brynildson, 1967, Seehorn, 1985, Wesche, 1985, Orsborn et al., 1992, Orth and White, 1993,
Flosi and Reynolds, 1994). The use of any of these guides should also consider the relative
stability of the stream, including aggradation and incision trends, for final design. Hydraulic
conditions at the design flow should provide the desired habitat; however, performance
should also be evaluated at higher and lower flows. Barriers to movement, such as extremely
shallow reaches or vertical drops not submerged at higher flows, should be avoided. If the
conveyance of the channel is an issue, the effect of the proposed structures on stages at high
flow should be investigated. Structures may be included in a standard backwater calculation
model as contractions, low weirs, or increased flow resistance (Manning) coefficients, but the
amount of increase is a matter of judgment or limited by National Flood Insurance Program
ordinances. Scour holes should be included in the channel geometry downstream of weirs and
dikes since a major portion of the head loss occurs in the scour hole. Hydraulic analysis
should include estimation or computation of velocities or shear stresses to be experienced by
the structure. If the hydraulic analysis indicates a shift in the stage-discharge relation, the
sediment-rating curve of the restored reach also may change, leading to deposition or erosion.
Although modeling analyses are usually not cost-effective for a habitat structure design effort,
informal analyses based on assumed relations between velocity and sediment discharge at the
bankfull discharge may be helpful in detecting potential problems. An effort should be made
 River Ecology and Stream Restoration 77

to predict the locations and magnitude of local scour and deposition. Areas projected to
experience significant scour and deposition should be sites for visual monitoring after
construction. Materials used for aquatic habitat structures include stone, fencing wire, posts,
and felled trees.
Priority should be given to materials that occur on site under natural conditions. In some
cases, it may be possible to salvage rocks or logs generated from construction of channels or
other project features. Logs give long service if continuously submerged. Even logs not
continuously wet can give several decades of service if chosen from decay-resistant species.
Logs and timbers must be firmly fastened together with bolts or rebar and must be well
anchored to banks and bed. Stone size should be selected based on design velocities or shear
stress.

4.2. Instream Structures for Habitat Restoration

Artificial instream structures have been used to modify fish habitat conditions from about
the mid 1930s in the U.S. Since that time the use of these structures has gradually increased
worldwide. Such techniques have been increasingly used to rehabilitate habitat in rivers
impacted by channel works or adversely affected by regulation (Brookes and Shields, 1996).
It appears that the techniques were initially used to improve rivers, which had a recreational
value for salmonids, but more recently have been extended to degraded rivers also containing
non-salmonid species. Instream structures are just one of the more localized methods of
improving habitat. Common types of instream structures include weirs, deflectors, random
rocks, bank covers, substrate reinstatement, fish passage structures, and off-channel ponds
and coves. Habitat structures have been used more along cold water streams. In 1995, 1,234
structures were evaluated according to their general effectiveness, the habitat quality
associated with the given structure type, and actual use of the structures by fish (Bio West,
1995). The study concluded that instream habitat structures generally provided increased fish
habitat, but 18 percent of the structures need maintenance. Where excessive sediment delivery
occurs, structures have a brief lifespan and limited value in terms of habitat improvement.
The typical structures are listed in Table 9.

Table 9. Structural techniques used for instream habitat improvement (after Brookes
and Shields, 1996)
78 Zhao-Yin Wang and Bao-Zhu Pan

Species-Centered Restoration - Many angling organizations have used instream

structures to improve habitat for maximum production of salmonids and other game fish. In
the U.S. there has also been Federal involvement through agencies such as the U.S. Forest
Service and the U.S. Fish and Wildlife Service since the 1930s. There are a considerable
number of publications, which demonstrate how effective such projects can be for increasing
fish numbers and biomass. However, sometimes this type of work has been detrimental to
other species, such as beaver (NRC, 1992). Gore (1985) argues that restoration of macro
invertebrate communities is essential since they often form a substantial portion of the food
supply for fish. Maximizing habitat value for any single species is not the same as recreating
the biotic structure and function of a stream, involving consideration of a number of species
(NRC, 1992). A key characteristic of a productive stream is physical habitat diversity. It is
essential that there are appropriate ranges of water depths, water velocities, and substrate
types. Since cover is also important, consideration needs to be given to the riparian plant
community (Hunt, 1988). Suitable depths and velocities are needed for spawning habitat, but
if an appropriate substrate is absent then the habitat value is diminished for species, which
spawn on the bed. Likewise, if substrate has been reinstated without consideration of holding
pools for mature fish then the habitat value is again questionable. Many approaches have now
been developed to quantify habitat value. The approaches are based on the concept that
abundance of a particular species can be correlated with particular habitat requirements, For
example, the U.S. Fish and Wildlife Service Physical Habitat Simulation System Model is
useful for crude prediction and analysis of potential habitat improvement (Bovee and
Milhous, 1978).
Deflectors - Perhaps the most widely used structures for habitat improvement are current
deflectors. These function either to direct flow and eliminate accumulated sediment, or to
narrow a channel, thereby locally increasing the velocity and creating a scour pool with a
corresponding riffle downstream. Other effects include assisting the development of a
meandering thalweg within a straightened channel, protecting stream banks from erosion, and
encouraging the establishment of riparian vegetation through the formation of bars of
sediment.
Deflectors are commonly angled in a downstream direction at approximately 45 degrees
from the current (Wesche, 1985), although several different angles have been used depending
on the local circumstances (Cooper and Wesche, 1976). Double wing deflectors, which
consist of two current deflectors placed opposite each other at the same point in a reach, have
also been used (Seehorn, 1985). Shape is another consideration and varies from single
peninsular wing to a triangular wing (White and Brynildson, 1967). The latter shape has been
successful in certain circumstances in regulating the tendency for erosion of the bed and bank
behind the structure during high flows. The elevation of the water surface at low flow
generally determines the structure height and it has been found that to avoid excessive
damage to the structure itself during high flows the structure should not extend more than
0.15 to 0.30 m above the low flow elevation (Seehorn, 1985; Wesche, 1985). The distance
that the deflector protrudes into the channel will vary from site to site and depends on the
specific results desired. For example, in streams in the southeastern U.S., Seehorn (1985)
found that to have any effect the channel would need to be narrowed to a width
approximating the natural width. This width can be determined from adjacent or neighboring
natural reaches with a similar slope, flow regime, and bed and bank materials. Deflectors are
very effective at manipulating flow and creating the diversity of habitat required for fish and
 River Ecology and Stream Restoration 79

other biota. Figure 48. shows a spur dike extension on the Lijiang River, to promote the
formation of low velocity habitats. Patterns of scour and deposition are evident. Such
structures can be built in series, alternating from one bank to the other, to create a meandering
thalweg. Several authors have recommended a spacing of between five and seven channel
widths, corresponding to the natural pool-riffle spacing of some natural streams (White, 1975;
Everhart et al., 1975). This helps to formalize the low flow sinuous channel within an wide
flood channel (Brookes, 1995). Many of these structures demonstrated marked improvement
in fish population and the benthic macroinvertebrates. However, rarely have studies adopted a
more integrated approach of objectively assessing the potential hydraulic and geomorphologic
impacts at the outset, and most have been aimed at the restoration of single species. An
understanding of how deflectors typically function to provide habitat may aid in the selection
of building material and design. Whilst deflectors by design, create and maintain pool-riffle
sequences, they also provide zones of higher velocities. These areas are critical to some
species of fish and macro invertebrates. Swiftly moving water transports food and oxygen
into a river reach. To exploit these resources fish must either swim against the current at a
rather high cost of energy to maintain their position, or they must find sheltered areas close
enough to the fast water to derive the benefits of higher dissolved oxygen and food
availability. Although many organisms typical of high velocity reaches are physically adapted
to maintain position or spatial orientation, most species require ambush locations out of the
direct flow of water. In unaltered streams, organisms use velocity shelters provided by
undercut banks, boulders or large woody debris, but if these natural habitats are absent in
degraded reaches, current deflectors may provide them. Studies in large rivers and small
streams have shown that stone deflectors (groins, spur dikes) used for erosion control provide
aquatic habitat superior to stone blanket revetment, which is not as effective in creating the
juxtaposition of high and low velocity zones (Shields et al., 1995)

Figure 48. Spur dikes on the Lijiang River in south China used to promote the formation of low
velocity habitats.
800 Zhao-Yin Wang
W and Bao-Zhu Pan

Weirs - Weirs also increase habbitat diversitty through creation of pool-riffle

chharacteristics. Weirs construucted of locallly derived maaterial are relaatively low coost, and can
bee built from a variety of materials,
m incluuding logs, booulders, stonees, and gabionns. Wesche
(11985) covers various
v designns in detail. Weirs
W can be pllaced to breakk up the flow ofo the river
annd increase turbulence
t doownstream peerhaps scourinng a pool, whist w impoundding water
uppstream. Figure 49. illustrattes a weir placced on the Jum ma River in thhe suburbs of Beijing for
crreation and maintenance off a habitat withh stable low cuurrent and higgh depth of waater. In dry
seeasons the weiir maintains a depth of wateer for fish andd invertebrates to survive. Downstream
D
frrom weirs sediiment may be eroded to form m a scour holee and the sedim ment may be transported
t
foor a distance and
a deposit to form a riffle--like feature. Weirs
W have been also used to t impound
flow to allow fiish passage, too trap for gravvel spawning moving
m along high
h gradient streams, to
trrap finer sedim
ments, to aeratte the water, and
a to slow thhe flow, enabliing organic deebris to fall
ouut and enhancce invertebratee production (Wesche, 19885). Such struuctures extend across the
enntire width off the channel, although som me incorporatee a notch to locally concenntrate flow.
This type of sttructure is perhaps most effective for producing
p a pool-riffle patttern in low
ennergy streams. Habitat provvided by weirs can be particuularly valuablle in channelizzed streams
exxperiencing reelatively highh levels of errosion and deeposition. Coooper and Knight (1987)
coompared fish catches from pools below weirs used ass grade controol structures and a natural
sccour pools in n unstable, chhannelized sttreams in Miississippi. U.S S. Grade conntrol pools
prroduced greatter catches byy weight, morre fish of harvvestable size, and more staable length
frrequency distrributions than natural scourr holes. Coopper and Knighht (1987) specculated that
haabitat created by grade conntrol structurees was more stable
s than nattural scour hooles, which
unndergo frequeent cycles of filling and sccouring. This stability resuulted in more consistent
suuccessful spaw wning and reecruitment andd ultimately higherh yields. Weirs have been used
suuccessfully in many countrries to increase fish populattion within reelatively short periods of
timme (Gard, 19961, McCall and a Knox, 19978, Carling and a Kloslewskki, 1981, Shields et al.,
19995). Artificiaal pools creatted by weirs in New Mexiico, U.S. werre up to 70% greater by
voolume than naatural pools annd held 50% more
m trout withh twice the bioomass.

Fiigure 49. A weiir placed on the Juma River in the suburbs of Beijing
B for creaation and maintenance of a
haabitat with stablle low current and
a high depth of
o water. In dryy seasons the weeir maintains a depth
d of
w
water for fish and
d invertebrates to survive.
 R
River Ecology and Stream Restoration
R 81

There are also

a many exaamples of failuures (Wesche, 1985). The sttructure may fail f in high-
ennergy rivers, particularly
p at high flow and they tend too be unsuccesssful in enhanccing habitat
w
where there is an excessivelly high sedim ment load (Keoown, 1981). Structure
S failurre may not
neecessarily equ uate to failed habitat improovement. For example,
e rockk scattered froom a failed
deeflector may provide substtrate for inverrtebrates, restiing areas, or ambush sites for stream
fish. Other reassons for failurre to enhance biological poppulations include the blockkage of fish
paassage (Johnson, 1971) and a the lackk of an adeqquate food suupply (Rockeett, 1979).
M
Modification off Substrate - Boulders
B havee been placed in channels too provide covver for fish,
too improve the pool-riffle chharacteristics, to provide addditional habittat for rearingg fish or to
prrotect banks from
f erosion. Randomly
R plaaced boulders can enhance fish habitat suubstantially
(KKnox, 1982, Lere,
L 1982). Diamond-shap
D ed clusters off four boulderss are often used. A field
exxperiment wass conducted byy replacing thhe substrate wiith gravel, stonnes, sand and silt. Figure
500. shows the experiment inn the Juma Riiver in the subburbs of Beijiing. The highhest species
richness was ob btained with gravel
g substratte, proving thaat replacing suubstrate with gravel
g may
efffectively impprove the aquaatic ecology. In lowland streams where no endemic rock r exists,
laarge logs or wooden pilings may have ecoological advanntages over booulders. Wooddy debris is
a key componeent of aquatic habitats in saand-bed rivers (Shields and Smith, 1992)). Although
w
woody structurres do not lastt as long as roock, they provide a carbon source
s and maay be more
accceptable to organisms
o thaat have evolvved to live onn submerged woody debriss. Wooden
suubstrate may alsoa be cheaper and more readily
r availabble. From an ecological
e poiint of view
thhe placement of o more naturaal bed sediments may speedd recovery (Goore, 1985). Placement of
arrtificial materiials such as crrushed limestoone and quarryy rejects may also improve the habitat
foor fish and fo or macro-inveertebrates (Stuuart, 1960). ForF example, on the Afon Gwyfai in
W
Wales decoloniization of inveertebrates on a reinstated graavel bed was a gradual proccess, taking
abbout a year (B Brookes, 1988)). The stabilityy of reinstatedd gravel is a key
k issue. If thhe gravel is
unnstable, then thet diversity and
a abundance of species will w be less thhan for a stablle bed. In a
hiigh-energy ennvironment it may be neceessary to instaall structures to retain gravvels in situ
(CClaire, 1980). Also, where sediment
s loadss are too high due to upstreaam channel modification
m
orr land use ch hange then sppawning gravvels may becoome smothereed. This is a particular
prroblem in low w-energy lowlaand streams.

Fiigure 50. Experriment of replaccing substrate with

w gravel, stonnes, sand, and siilt in the Juma River
R near
Beijing.
82 Zhao-Yin Wang and Bao-Zhu Pan

Devices Providing Cover - Under natural circumstances undercut banks and overhanging
vegetation are important habitat features referred to as “cover”. Fish utilize cover for shade
and shelter. Figure 51. shows riparian trees and wood logs in the water that provide shade and
shelter for aquatic wildlife in the Jiuzhaigou Creek in the upper Jialing River basin, which
attract many fish in the river. Artificial devices may be fixed to the bed or banks to provide
additional cover. They include log overhangs, overhanging platforms, felled trees, which have
been anchored in place, and riprap (Claire, 1980). These have been demonstrated to be
particularly effective at increasing the number of trout in a reach (White, 1975).
Artificial “fish attractors” (a cover device made of brush, bundles of old tires) have been
used and extensively tested in North American reservoirs, but less attention has been paid to
rivers and streams. Wilbur (1978) found that materials used to construct the attractor
determined which species exploited the created habitat. Brush and attractors made from the
branches of trees were reported to be somewhat more successful in attracting fish than
attractors constructed of other materials. Anecdotal evidence indicates that the spacing and
configuration of branches may play an important role in attracting fish, so some consideration
of plant species is needed when brush piles or tree reefs are used as cover in streams.
Engineered Log Jams - Woody debris within a stream can often influence the instream
channel structure by increasing the occurrence of pools and riffles. As a result, streams with
woody debris typically have less erosion, slower routing of organic detritus (the main food
source for aquatic invertebrates), and greater habitat diversity than straight, even-gradient
streams with no debris. Woody debris also provides habitat cover for aquatic species and
characteristics ideally suited for fish spawning.

Figure 51. Riparian trees and wood logs in the water provide shade and shelter for aquatic wildlife and
attract many fish in the Jiuzhaigou Creek in upper Jialing River basin.
 River Ecology and Stream Restoration 83

Reintroduction of woody debris, or log-jams, has been extensive, but limited

understanding of woody debris stability has hampered many of these efforts. Engineered log
jams can restore riverine habitat and in some situations can provide effective bank protection.
Even in large alluvial channels that migrate at rates of 10 m/yr, jams can persist for centuries,
creating a mosaic of stable sites that in turn host the large trees necessary to initiate stable
jams (Abbe et al., 1997). Engineered log jams are designed to emulate natural jams and can
meet management or restoration objectives such as habitat restoration and bank protection.
After learning about the uncertainty and potential risks of creating man-made log jams,
landowners near Packwood, Washington, U.S. decided the potential environmental,
economic, and aesthetic benefits outweighed the risks. An experimental project consisting of
three engineered log jams was implemented to control severe erosion along 420 m of the
upper Cowlitz River. Five weeks after constructing the log jams, the project experienced a 20-
year return period flood (850 m3/s). The engineered log jam remained intact and met design
objectives by transforming an eroding shoreline into a local depositional environment
(accreting shoreline). Approximately 93 tons of woody debris that was in transport during the
flood was trapped by the jams, alleviating downstream hazards and enhancing structure
stability (Abbe et al., 1997). Landowners have been delighted by the experiment.

4.3. Stream Restoration

In some cases, it might be desirable to divert a straightened stream into a meandering

alignment for restoration purposes. For cases where the designed channel will carry only a
small amount of bed material load, bed slope and channel dimensions may be selected to
carry the design discharge at a velocity that will be great enough to prevent suspended
sediment deposition and small enough to prevent erosion of the bed. Increasing the sinuosity
of a stream may create better habitats for faunal communities. Meanders can then be created
with length ranges from 4 to 9 times the channel widths. Meanders should not be uniform.
For instance, the incised, straightened channel of the River Backwater in the U.K. was
restored to a meandering form by excavating a new low-level floodplain about 50 to 65 feet
wide containing a sinuous channel about 16 feet wide and 3 feet deep (Hey, 1995).
Preliminary calculations indicated that the bed of the channel was only slightly mobile at
bank-full discharge, and sediment loads were low.
For small rivers restoration practices also involve change of the channel dimensions, in
which the average values for width and depth of the channel were determined in the design.
These determinations are based on the imposed water and sediment discharge, bed sediment
size, bank vegetation, resistance, and average bed slope. However, both width and depth may
be constrained by site factors, which the designer must consider once stability criteria are met.
Perhaps the simplest approach to selecting channel width and depth is to use dimensions from
stable reaches elsewhere in the watershed or from similar reaches in the region. A reference
reach is a reach with a desired biological condition, which will be used as a target to strive for
when comparing various restoration options. A reference reach used for stable channel design
should be evaluated to make sure that it is stable and has a desirable ecological condition. In
addition, it must be similar to the desired project reach in hydrology, sediment load, and bed
and bank material. Often a stable reach upstream of or downstream from the reach to be
restored is selected as the reference reach.
84 Zhao-Yin Wang and Bao-Zhu Pan

Stabilization of the bed and banks – Stabilization of the bed and banks is often required
for eco-system restoration. Plants may be established on upper bank and floodplain areas
using traditional techniques for seeding or by planting bare-root and container-grown plants.
However, these approaches provide little initial resistance to flows, and plantings may be
destroyed if subjected to high water before they are fully established. Cuttings, pole plantings,
and live stakes taken from species that sprout readily (e.g., willows) are more resistant to
erosion and can be used lower on the bank (Figure 52).
In addition, cuttings and pole plantings can provide immediate moderation of flow
velocities if planted at high densities. Often, they can be placed deep enough to maintain
contact with adequate soil moisture levels, thereby eliminating the need for irrigation. The
reliable sprouting properties, rapid growth, and general availability of cuttings of willows and
other pioneer species makes them particularly appropriate for use in bank revegetation
projects, and they are used in most of the integrated bank protection approaches.
Geotextile Systems - Geotextiles have been used for erosion control on road
embankments and other upland settings, or with plants placed through slits in the fabric. In
self-sustaining stream bank applications, only natural, biodegradable materials should be
used, such as jute or coconut fiber (Johnson, 1994).
The typical stream-bank use for these materials is in the construction of vegetated geo-
grids, which are similar to brush layers except that the fill soils between the layers of cuttings
are encased in fabric, allowing the bank to be constructed of successive “lifts” of soil,
alternating with brush layers. This approach allows reconstruction of a bank and provides
considerable erosion resistance.
Natural fibers are also used in “Fiber-Schines,” which are sold specifically for stream-
bank applications. These are cylindrical fiber bundles that can be staked to a bank with
cuttings or rooted plants inserted through or into the material. Vegetated plastic geo-grids and
other non-degradable materials can be used where geo-technical problems require drainage or
additional strength.
Tree revetments – Tree revetments are made from whole tree trunks laid parallel to the
bank, and cabled to piles or deadman anchors. Eastern red cedar (Juniperus Virginian) and
other coniferous trees are used on small streams, where their springy branches provide
interference to flow and trap sediment.
The principal objective to these systems is the use of large amounts of cable and the
potential for trees to be dislodged and cause downstream damage. Some projects have
successfully used large trees in conjunction with stone to provide bank protection as well as
improved aquatic habitat cut into the bank, such that the root wads extend beyond the bank
face at the toe (Figure 53).
The logs are overlapped and/or braced with stone to ensure stability, and the protruding
rootwads effectively reduce flow velocities at the toe and over a range of flow elevations
(Figure 54).
A major advantage of this approach is that it reestablishes one of the natural functions of
large woody debris in streams by creating a dynamic near-bank environment that traps
organic material and provides colonization substrates for invertebrates and refuge habitat for
fish. The logs eventually rot, resulting in a more natural bank. The revetment stabilizes the
bank until woody vegetation has matured, at which time the channel can return to a more
natural pattern.
 River Ecology and Stream Restoration 85

Figure 52. The reliable sprouting properties, rapid growth, and general availability of cuttings of
willows and other pioneer species re-vegetate the banks quickly (after FISRWG, 1997).

Figure 53. Large trees and stone are used to provide bank protection (after FISRWG, 1997).

Figure 54. The protruding rootwads effectively reduce flow velocities at the toe (after FISRWG, 1997).
86 Zhao-Yin Wang and Bao-Zhu Pan

4.4. Artificial Wetlands

Artificial wetlands have been created for ecological restoration. Wetland-loss has become
a problem in many river systems as a result of sediment reduction, railway and highway
construction, and drainage system development. The floral communities and faunal
communities in the wetlands suffer from development and wetland-loss. To restore the
wetland ecology artificial wetlands, for instance green tree reservoirs, are applied. Greentree
reservoirs are shallow, forested flood-plain impoundments usually created by building low
levees and installing outlet structures. They are usually flooded in early fall and drained
during late March to mid-April. Draining prevents damage to over-story hardwoods (Rudolph
and Hunter, 1964). Most existing green tree reservoirs are in the southwestern U.S. The green
tree reservoirs provide habitat for many animal species. The flooding of green tree reservoirs
differs from the natural flood regime. Green tree reservoirs are typically flooded earlier and at
depths greater than would normally occur under natural conditions. Over time, modifications
of natural flood conditions can result in vegetation changes, lack of regeneration, decreased
mast production, tree mortality, and disease. Proper management of Green tree reservoirs
requires knowledge of the local system-especially the natural flood regime and sediment
transport and deposition. Figure 55. shows an artificial wetland in the suburbs of Seoul, South
Korea. Many birds have colonized the new habitat just a few years after the artificial wetland
was created. In the meantime the wetland also attracts tourists. Is it certain that the species
richness, number density, and other biodiversity indices of benthic invertebrates and fish will
increase if river-linked riparian lakes or wetlands are created? A comparative study was
performed to answer these questions with samples taken from a river-lined lake - Zengjiang
Bay, a low flow area of the Zengjiang River channel at Zhengguo, and an isolated riparian
lake - Xizhijiang Oxbow Lake in the East River basin (Wang et al., 2008a). Figure 56. shows
the geographical locations of Zengjiang Bay, Zhengguo, and Xizhijiang Oxbow Lake. The
Zengjiang River is a tributary of the lower reaches of the East River. Substrate in the main
channel of the Zengjiang River consists of sand. No benthic invertebrates were found in the
sample from the river at Zhengguo.

Figure 55. An artificial wetland in the suburbs of Seoul South Korea.

 River Ecology and Stream Restoration 87

Zengjiang Bay is like a riparian lake with a 100 m wide outlet connecting the river. The
river carries fine suspended sediment into the bay which is deposited there. A mud layer
covers most of the bay, and some hydrophytes have colonized parts of the bay. The flow
velocity and water depth in the bay vary in the range of 0–0.5 m/s and 0-3 m, respectively.
Zengjiang Bay provides multiple habitats for benthic invertebrates. The species richness of
samples taken from the bay is 31, and the abundance of individual invertebrates is 343
ind/m2. The calculated Shannon-Weaver index and bio-community index are H = 2.58 and B
= 15.05, both the highest value in the East River. There are many fish species in the bay.
Table 10. lists the species from the three sites, which shows that the river-lined riparian
wetland has much higher species richness than those from the river and isolated riparian
lakes. The Xizhijiang Oxbow Lake was a section of the Xizhijiang River Channel, which
flows into the East River at Huizhou, but became an oxbow lake since an artificial cutoff in
the 1980s. It is separated from the Xizhijiang River by a highway, as shown in Figure 56.(b).
Part of the lake has been converted into a fishpond.
Because of the separation there is almost no flow velocity in the lake, while the
separation also cut off the fine sediment supply to the lake. The substrate consists mainly of
sand, which has remained unchanged for 20 years since the cut off. There is no mud layer in
the lake. Analysis of samples from the lake indicates that the species richness is only 3 and
the number density is 22 ind/m2. The Shannon-Weaver index and biocommunity index are H
= 0.89 and B= 2.76, which are much lower than those for Zengjiang Bay. To develop the
oxbow lake into a good habitat for benthic invertebrates and fish, the lake should again be
connected with the river, allowing fine sediment to be carried into the lake and a mud layer to
form. The connection will also increase the flow velocity and exchange of lake water with
river water.
In the lower East River if riparian waters are created similar to Zengjiang Bay the
ecology in the river may be greatly improved. One example is to reconnect the Xizhijiang
Oxbow Lake with the river. The lake water may exchange with the river water and fish and
invertebrates may spend a part of their life cycle in the lake and other parts of their life cycle
in the river.

Table 10. Species richness and abundance of macro-invertebrates from river-linked

riparian lake Zengjian Bay, the main stem channel of the Zengjiang River at Zhengguo
and a separated riparian lake – the Xizhijian Oxbow Lake

Zengjiang Corbiculidae C.fluminea (113); Chironomidae (four species 44);

Bay Elmidae， Stenelmis (25); Ceratopogonidae Bezzia (25); Corixidae (21);
Limnodrilus (23); Semisulcospira (20); Libellulidae (14); Ephemeridae
(11); Bellamya Purificata (8); Macromiidae (6); Bellamya sp1 (5);
Branchiura (4); Coenagrionidae Pseudagrion (4); Gomphidae,
Trigomphus (3); Ampullariidae (2); Psephenidae (2); Hydrophilidae
Hydrobius (2); Tabanidae (2); Lepidoptera (1); Acariformes (1);
Gomphidae, Sinictinogomphus (1)；Palaemonidae (1); Tricladida (1);
Baetidae (1); Heptageniidae (1); Parafossarulus (1); Elmidae (1)
Zhengguo 0
Xizhijiang Palaemonidae (13); Chironomidae (7); Hydrophilidae, Laccobius (2)
Oxbow Lake
88 Zhao-Yin Wang and Bao-Zhu Pan

Figure 56. Location and shape of (a) Zengjiang Bay and (b) Xizhijiang Oxbow Lake.

4.5. Riparian Vegetation Restoration and Food Patches

Vegetation is a fundamental controlling factor for river eco-functions. Habitat, conduit,

filter/barrier, and source/sink functions are all critically tied to the vegetative biomass
amount, quality, and condition. Restoration designs should protect existing native vegetation
and restore vegetative structure to result in a contiguous and connected stream corridor.
Numerous shrubs and trees have been evaluated as restoration candidates, including willows
(Svejcar et al., 1992, Anderson et al., 1978); alder, serviceberry, oceanspray, and vine maple
(Flessner et al., 1992); Sitka and thin leaf alder (Java and Everett, 1992); paloverde and honey
mesquite (Anderson et al., 1978); and many others. Selection of vegetative species may be
based on the desire to provide habitat for a particular species of interest. The current trend in
restoration, however, is to apply a multi-species or ecosystem approach.
The large-scale restoration of forest in the U.S. was undertaken by the Tennessee Valley
Authority in conjunction with reservoir construction projects in the southern U.S. during the
1940s. Roads and railways were relocated outside the influence of the maximum pool
elevation, but they were placed on embankments. The Tennessee Valley Authority was
concerned that the roads and railways would be subject to wave erosion during periods of
extreme high water. To reduce that possibility, agricultural fields between the reservoir and
the embankments were planted with trees. At Kentucky Reservoir, approximately 4 km2 of
trees were planted, mostly on hydric soils adjacent to tributaries of the Tennessee River.
Because the purpose of the planting was erosion control, little thought was given to recreating
natural patterns of plant community composition and structure. Trees were evenly spaced in
rows, and planted species were apparently chosen for maximum flood tolerance. As a result,
the studied stands had an initial composition dominated by bald cypress, green ash, red
maple, and water tolerant species, but they did not originally contain many of the other
common bottomland forest species, such as oaks.
 River Ecology and Stream Restoration 89

Figure 57. Reforestation of the desert in the middle reaches of the Yellow River.

In the middle reaches of the Yellow River to the north part of the Loess Plateau in China,
a desert named the Maousu Desert extends over thousands of square kilometers. Very high
rates of erosion occurred in the area, which impaired the terrestrial vegetation and caused
detriment to al the river ecology. Great efforts have been made for erosion control in this area.
Figure 57. shows the reforestation of the desert land. As a result of reforestation the sediment
yield has greatly reduced, a plant community has developed, and some animals find their
habitats in the area. Finally, the river ecology has improved.

Plant Community Restoration

Non-native vegetation can prevent establishment of desirable native species or become an
unwanted permanent component of vegetation. For example, kudzu can kill forest species
planted on out pasture grasses and weeds. Restoration work should restore natural patterns of
plant community distribution by comparing with a reference plant community (Brinson et al.,
1981,Wharton et al., 1982). Large-scale restoration work sometimes includes panting of
understory species, particularly if they are required to meet specific objectives such as
providing essential components of endangered species habitat. However, it is often difficult to
establish understory species, which typically are not tolerant to full sun, if the restoration area
is open. Where understory species are unlikely to establish themselves for many years, they
can be introduced in adjacent forested sites, or planted after the initial tree growth to create
appropriate understory conditions. Understory species seeds are commonly broadcast by
hydroseeding, requiring a special tank truck with a pump and nozzle for spraying the mixture
of seeds, fertilizer, binder, and water (Figure 58). A wider range of seed species can be
planted more effectively with a seed drill towed behind a tractor (Haferkamp et al., 1985).
Where access is limited, hand planting or aerial spreading of seeds might be feasible. In the
past, stream corridor planting programs often included nonnative species selected for their
rapid growth rates, soil binding characteristics, ability to produce abundant fruits for wildlife,
or other perceived advantages over native species.
90 Zhao-Yin Wang and Bao-Zhu Pan

Figure 58. Hydroseeding of a streambank for restoration of understory riparian vegetation. Special tank
trucks carrying seed, water, and fertilizer are used in the revegetation efforts (after FISRWG, 1997).

These actions sometimes have unintended consequences and often prove to be extremely
detrimental (Olson and Knopf, 1986). As a result, many local agencies discourage or prohibit
planting of nonnative species within wetlands or prohibit planting streamside buffers. It may
be feasible in some cases to focus restoration actions on encouraging the success of local
seed-fall to ensure that locally adapted populations of vegetation are maintained on the site
(Friedman et al., 1995).

Nest Structures
Loss of riparian or terrestrial habitat in stream corridors has resulted in the decline of
many species of birds and mammals that use associated trees and tree cavities for nesting or
roosting. The most important limiting factor for cavity-nesting birds is usually the availability
of nesting substrate (von Haartman, 1957), generally in the form of snags or dead limbs in
live trees (Sedgwick and Knopf, 1986). Snags for nest structures can be created using
explosives, girdling, or topping of trees. Artificial nest structures can compensate for a lack of
natural sites in otherwise suitable habitat since many species of birds will readily use nest
boxes or other artificial structures. For example, along the Mississippi River in Illinois and
Wisconsin, U.S., where nest trees have become scarce, artificial nest structures have been
erected and constructed for double-crested cormorants using utility poles (Yoakum et al.,
1980). In many cases, increases in breeding bird density have resulted from providing such
structures (Strange et al., 1971, Brush, 1983). Artificial nest structures can also improve
nestling survival (Cowan, 1959).
Nest structures must be properly designed and placed, meeting the biological needs of the
target species (FISRWG, 1997). They should also be durable, predator-proof, and economical
to build. Design specifications for nest boxes include hole diameter and shape, internal box
volume, distance from the floor of the box to the opening, type of material used, whether an
internal “ladder” is necessary, height of placement, and habitat type in which to place the box.
Other types of nest structures include nest platforms for waterfowl and raptors; and tire nests
for squirrels. Specifications for nest structures for riparian and wetland nesting species
 River Ecology and Stream Restoration 91

(including numerous Picids, passerines, waterfowl, and raptors) can be found in many sources
including Yoakum et al. (1980), Kalmbach et al. (1969), and various state wildlife agency and
conservation publications.

Food Patches
Food patch planting is often expensive and not always predictable, but it can be carried
out in wetlands or riparian systems mostly for the benefit of waterfowl. Environmental
requirements of the food plants native to the area, proper time of year for introduction,
management of water levels, and soil types must all be taken into consideration. Some of the
more important food plants in wetlands include pondweed (Potamogeton spp.), smartweed
(Polyhonum spp.), duckweeds (Lemna spp.), coontail, alkali bulrush (Scirpus paludosus), and
various grasses. Two commonly planted native species include wild rice (Zizania) and wild
millet. Details on these species can be found in Yoakum et al. (1980).

4.6. Restoration of Impounded and Channelized Streams

Damming of rivers may greatly change the hydrology, morphology and ecological
conditions. Reservoir operation alters the flow of water, sediment, organic matter, and
nutrients, resulting in both direct physical and indirect biological effects in tailwaters and
downstream riparian and floodplain areas. Stream corridors below dams can be partially
restored by modifying operation and management approaches.

Figure 59. Fish ladder on the Bonneville Dam on the Columbia River. More than 1 million salmon
swim through the fish ladder to pass the dam to upstream spawning grounds every year.
92 Zhao-Yin Wang and Bao-Zhu Pan

The modification of operation approaches, where possible, in combination with the

application of properly designed and applied best management practices, can reduce the
impacts caused by dams on downstream riparian and floodplain habitats. Partial restoration of
stream corridors below dams can be achieved by designing operation procedures that mimic
the natural hydrograph. Modifications include scheduling releases, and making seasonal
adjustments in pool levels and in the timing and variation of the rates of drawdowns (USEPA,
1993).
Adequate fish passage around dams, diversions, and other obstructions may be a critically
important component of restoring healthy fish populations to previously degraded rivers and
streams. However, designing installing, and operating a fish passage facility and the flows
necessary for operation are generally site specific. Figure 59. shows the fish ladder on the
Bonneville Dam on the Columbia River, U.S. More than 1 million salmon swim through the
fish ladder to pass the dam to upstream spawning grounds every year.
Channelization and diversions represent forms of hydrologic modification commonly
associated with most principal land uses, and their effects should be considered in all
restoration efforts. In some cases, redesign of channel modifications to restore preexisting
ecological characteristics is needed. All of the urban channels in Beijing have been
channelized with concrete bed and banks. Riparian plant community and benthic invertebrates
have lost their habitat and the water quality has become worse. It is planned to replace the
concrete bed and banks with soil and stones, providing habitat for invertebrates. It is
estimated that a high water quality may be maintained with only half of the water
consumption.
Modifications of existing projects, including operation and maintenance or management,
can improve some negative effects without changing the existing benefits or creating
additional problems. Levees may be set back from the stream channel to better define the
stream corridor and reestablish some or all of the natural floodplain functions. Setback levees
can be constructed to allow for overbank flooding, which provides surface water contact with
streamside areas such as floodplains and wetlands.
Instream modifications such as uniform cross sections or armoring associated with
channelization or flow diversions may be removed, and design and placement of meanders
can be used to reestablish more natural channel characteristics. In many cases, however,
existing land uses might limit or prevent the removal of existing channel or floodplain
modifications.

4.7. Restoration of Ecosystems Disturbed by Other Stresses

Exotic Species - Restoration of ecosystems disturbed by exotic species is difficult. Some

land uses have actually introduced exotics that have become uncontrolled, while others have
merely created an opportunity for such exotics to spread. Again, control of exotic species has
some common aspects across land uses, but design approaches are different for each land use.
Control of exotics in some situations can be extremely difficult and may be impractical if
large areas or well-established populations are involved. Use of herbicides may be tightly
regulated or precluded in many wetland and streamside environments, and for some exotic
species there are no effective control measures that can be easily implemented over large
areas (Rieger and Kreager 1990). Where aggressive exotics are present one should avoid
 River Ecology and Stream Restoration 93

unnecessary soil disturbance or disruption of intact native vegetation, and newly established
populations of exotics should be eradicated.
Controlling exotics can be important because of potential competition with established
native vegetation, colonized vegetation, and artificially planted vegetation, in restoration
work. Exotics compete for moisture, sunlight, and space and can adversely influence
establishment rates of new plantings. To improve the effectiveness of revegetation work,
exotic vegetation should be cleared prior to planting; nonnative growth must also be
controlled after planting. One must also understand the physical characteristics of the native
vegetation for successful establishment, For example, native vegetation in the midwestern
U.S. has learned to grow under conditions of low nutrient supply, and, thus, use of fertilizers
often just promotes weed growth (Neal O’Reilly, Hey and Associates, personal commun).
General techniques for control of exotics and weeds are mechanical (e.g., scalping or tilling),
chemical (herbicides), and fire.
Agriculture - In agricultural areas when terraces and a waterway are installed in the
nearby cropland, the scene depicts an ecologically deprived landscape. Nutrient and water
flow, sediment trapping during floods, water storage, movement of flora and fauna, species
diversity, interior habitat conditions, and provision of organic materials to aquatic
communities are just a few of the functional conditions affected by these structural attributes.
Restoration design should establish functional connections within and external to stream
corridors, landscape elements such as remnant patches of riparian vegetation, prairie, or forest
exhibiting diverse or unique vegetative communities; productive land that can support
ecological functions; reserve or abandoned land; associated wetlands or meadows; systems;
ecologically innovative residential areas; neighboring springs and stream systems;
ecologically innovative residential areas; and fauna (field borders, windbreaks, waterways,
grassed terraces, etc.) offer opportunities to establish these connections. An edge (transition
zone) that gradually changes from one land use into another will soften environmental
gradients and minimize disturbance.
Urbanization often is the strongest disturbance to river ecosystems. The development of
residence areas may severely impair the riparian vegetation and aquatic biocommunities.
Seven restoration tools can be applied to help restore urban streams (FISRWG, 1997;
Schueler, 1987). The best results are usually obtained when the following tools are applied
together.
Tool 1: Partially restore the predevelopment hydrological regime. The primary objective
is to reduce the frequency of bankfull flows by constructing upstream stormwater detention
ponds that capture and detain increased storm water runoff for up to 24 hours before release
(i.e., extended detention).
Tool 2: Reduce urban pollutant pulses. A second need in urban stream restoration is to
reduce concentrations of nutrients, bacteria, and toxics in the stream, as well as trapping
excess sediment loads. Generally, three tools can be applied to reduce pollutant inputs to an
urban stream: storm water retrofit ponds or wetlands, watershed pollution prevention
programs, and the elimination of illicit or illegal sanitary connections to the storm sewer
network.
Tool 3: Stabilize channel morphology. Over time, urban stream channels enlarge
resulting in severe bank and bed erosion. Therefore, it is important to stabilize the channel,
and if possible, restore equilibrium channel geometry. In addition, it is also useful to provide
undercuts or overhead cover to improve fish habitat. Depending on the stream order,
94 Zhao-Yin Wang and Bao-Zhu Pan

watershed impervious cover, and the height and angle of eroded banks, a series of different
tools can be applied to stabilize the channel, and prevent further erosion. Bank stabilization
measures include imbricated riprap, brush bundles, and soil bioengineering methods, such as
willow stakes and bio-logs and rootwads.
Tool 4: Restore instream habitat structure. Most urban streams have poor instream habitat
structure, often typified by indistinct and shallow low flow channels within a much larger and
unstable storm channel. The goal is to restore instream habitat structure that has been blown
out by erosive floods. Key restoration elements include the creation of pools and riffles,
deepening of the low flow channels, and the provision of greater structural complexity across
the streambed. Typical tools include the installation of log check-dams, stone wing deflectors
and boulder clusters along the stream channel.
Tool 5: Reestablish vegetative banks and riparian cover. Vegetative banks and riparian
cover are essential components of the urban stream ecosystem. They stabilize banks, provide
woody debris and detritus, and shade the stream. Therefore, the fifth tool involves
reestablishing the vegetative banks and riparian cover plant community along the stream
network. Figure 60. shows an urban stream in Beijing where layer of soil is placed on the
hardened channel bed and banks, thus a vegetation bank and aquatic high plants have
developed.
Tool 6: Protect critical stream substrates. A stable, well sorted streambed is often a
critical requirement for fish spawning and secondary production by aquatic insects. The bed
of urban streams, however, is often highly unstable and clogged by fine sediment deposits. It
is often necessary to apply tools to restore the quality of stream substrates at points along the
stream channel. Often, the energy of urban storm water can be used to create cleaner
substrates - through the use of tools such as double wing deflectors and flow concentrators. If
thick deposits of sediment have accumulated on the bed, mechanical sediment removal may
be needed.

Figure 60. A layer of soil is placed on the hardened channel bed and banks on an urban stream in
Beijing, and a vegetation bank and aquatic high plants have developed.
 River Ecology and Stream Restoration 95

Tool 7: Allow for recolonization of the stream community. It may be difficult to

reestablish the fish community in an urban stream if downstream fish barriers prevent natural
recolonization. Thus, the last urban stream restoration tool involves the judgment of a fishery
biologist to determine if downstream fish barriers exist, whether they can be removed, or
whether selective stocking of native fish is needed to recolonize the stream reach.

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In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 2

ECOLOGICAL ASSESSMENT OF MEDITERRANEAN

STREAMS AND THE SPECIAL CASE OF
TEMPORARY STREAMS

M.M. Sánchez-Montoya*, R. Gómez, M.L. Suárez

and M.R. Vidal-Abarca
Department of Ecology and Hydrology, University of Murcia,
Murcia, Spain

ABSTRACT
Freshwater ecosystems play a primary role in the biosphere, which justifies interest
in the assessment their health or condition. One important component of the biological
assessment of stream conditions is evaluating the direct or indirect effects of human
activities or disturbances. Most biological assessments are based on the concept of
comparing current conditions to natural conditions in the absence of human disturbance.
In Europe, increasing water quantity and quality problems have led to the
development of an integrated approach for water management systems, including all
water-related impacts, which resulted in the Water Framework Directive (WFD) in 2000.
The Reference Condition Approach concept has been adopted by the WFD as it requires
the evaluation of the ecological status and this may be expressed as a deviation from the
near natural reference condition. According to the WFD, reference conditions should be
linked to stream typology, and reference sites should present the full range of conditions
expected to occur naturally within a given stream type.
In the Mediterranean streams context, a methodology to select reference sites based
on the application of twenty a priori criteria that reflect the characteristics of
Mediterranean streams and their most frequent disturbances, has been a critical step for
the establishment of Mediterranean reference conditions. Subsequently, the development
of a typology of Mediterranean streams resulted in five ecotypes (four permanents and
one temporary), showed that stream classification schemes based on environmental
variables need to be validated by biological variables.

* Corresponding author: María del Mar Sánchez-Montoya. Department of Ecology and Hydrology. University of
Murcia. E-30100. Murcia. Spain. E-mail: [email protected]
110 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

The WFD establishes that ecological status must be classified into five quality
classes (high, good, moderate, poor and bad) by means of biological indicators. In this
context, a study that analysed the sensitivity of diverse macroinvertebrate metrics to a
multiple stressor gradient, which includes the pressures in a Mediterranean area, revealed
that the IBMWP and ICM-11indices ensure a proper classification of the ecological status
of Mediterranean streams. However, much less is known about the physico-chemical
quality of these streams.
An important conclusion drawn from studies conducted in Mediterranean streams
indicates the difficulty in assessing temporary streams as regards both biological and
physicochemical quality. The diverse macroinvertebrate communities within this type of
streams, mainly due to the wide variability in hydrology conditions, could justify further
division into subtypes. In relation to physico-chemical quality, temporal streams show an
important spatial and temporal variability in solute concentrations. Both low surface flow
and spatial intermittency reinforce the effects of differences in advection, water residence
time, biological community structure, sediment-water interactions or environment redox
conditions through stream channels. By way of example, all these factors influence the
rates of the biogeochemical processes involved in the nutrients cycle. Consequently,
biogeochemical process rates and reactions will have a patchy distribution in temporary
streams. At the same time, this local stream-channel environmental conditions change
over time as flow discharge changes, which increases the variability of physicochemical
quality on the temporal scale.

1. INTRODUCTION
Freshwater ecosystems play a primary role not only in the biosphere as they support
unique and complex ecological communities, but also in the defining and functioning of
surrounding terrestrial ecosystems. They also play a key role in fresh water as a human
resource. Consequently, there has been growing interest in the design methodologies to assess
or monitor the “health”, “status” or “conditions” of freshwater ecosystems (Bailey et al.,
2004).
In the 20th century, environmental problems have increased from sewage discharge in the
first decennia to today’s climate change (Verdonschot, 2000). Traditionally, water quality
programs were mainly based on chemical and physico-chemical parameters, but recently
there has been a trend towards the adoption of biological methods (bioassessment) to assess
river conditions because effects on biota are usually the final point of environmental
degradation and pollution of rivers (Norris and Thoms, 1999).
Biological assessment is defined as the systematic use of biological responses to assess
changes in the environment for the purpose of using this information to define a water quality
control program (Matthews et al., 1982). The biological response is measured by using
biological indicators (Verdonschot and Moog, 2006). Benthic macroinvertebrates have been
widely used as indicators of water quality in river management because, apart from their
many advantages over using other organisms, they are affected not only by natural changes in
the rivers, but also by the chemicals and physical factors induced by human activities (i.e.,
Rosenberg and Resh, 1993).
The bioassessment of freshwater ecosystems has evolved through a variety of approaches
(Bailey et al., 2004). In the first decade of the 20th century, biological assessment mostly
used simple straightforward techniques relating to organic waste pollution. Of these
 Ecological Assessment of Mediterranean Streams … 111

methodologies, the saprobic approach and indices have been widely used in many central and
eastern European countries (Verdonschot and Moog, 2006).
The term river health has been widely used in ecological literature as a general approach
to freshwater ecosystems conditions. Assessment of river health involves comparisons.
Indicators thought to represent river health are generally compared between sites that are
thought to be similar in the absence of degradation (Norris and Hawkins, 2000). In this
context, a new biological assessment approach emerged; the Reference Condition Approach
(RCA; Bailey et al., 2004). This approach measures the variability in the biota among sites in
Reference Condition (RC). The RCA has three key features: a) it defines and quantifies
ecosystem health, b) it explains some variations among healthy ecosystems, and c) the
deviation of a test site from RC is a measure of the effect of stressors on the ecosystem. There
are different interpretations of the term “Reference Condition” (see Stoddard et al., 2006), but
one of the multiple definitions is “the condition that is representative of a group of minimally
disturbed sites (reference sites) organized by selected physical, chemical, and biological
characteristics” (Reynoldson et al., 1997). With the RCA, an array of reference sites
characterises the biological condition of a region. Then a test site is compared to an
appropriate subset of reference sites.
Two different widely used procedures for the establishment of RC are multimetric and
multivariate methods. These approaches are similar in terms of their data collection methods,
but differ in the way reference sites are selected, test sites are classified and test site
assessments are made (Resh et al., 2000). On the one hand, multimetrics are attractive
because they produce a single score that is comparable to a target value and they include
ecological information. On the other hand, multivariate methods offer the advantage of
requiring no prior assumptions in either creating groups out of reference sites or comparing
test sites with reference groups (Reynoldson et al., 1997).

2. ECOLOGICAL ASSESSMENT OF EUROPEAN STREAMS: THE WATER

FRAMEWORK DIRECTIVE
In Europe, increasing water quantity and quality problems have led to the development of
an integrated approach for water management systems that includes all water-related impacts.
This resulted in the amendment of the Water Framework Directive in 2000
(WFD2000/60/EC; European Commission, 2000) (Achleitner et al., 2005).
One of the main objectives of this Directive is to achieve “good ecological status” in all
water bodies of the European Union until 2015 by applying an integrated approach for water
management and avoiding the deterioration of the present status of water bodies.
The RCA has been adopted by the WFD as it requires the evaluation of Ecological Status
evaluation and this may be expressed as a deviation from the near-natural reference
conditions. According to the WFD, RC should be linked to stream typology, while reference
sites should present the full range of conditions expected to occur naturally within a given
stream type. Ecological status is shown as a new tool to measure the ecosystem functioning
and health integrity of aquatic systems, and acts as a useful tool for its management and
improvement (Munné and Prat, 2009).
112 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

The ecological status measure in this directive acknowledges the importance of aquatic
biota as well as the hydromorphological and physico-chemical quality elements for its
assessment. Before the WFD, water quality monitoring programmes in most EU Member
States were based mainly on chemical and physical variables. Only around half the
programmes included biological parameters in their river quality assessments and
classifications (Hering et al., 2003).
In recent years, several research projects and working groups have published useful
studies into the assessment of streams in Europe and the proper implementation of the WFD.
For example, the AQEM (Hering et al., 2004) and STAR projects (Buffagni and Furse, 2006)
concentrated on the use of macroinvertebrates as a biological quality element, while the
REBECCA project (Solheim and Gulati, 2008) focussed on the relationships between
chemical status and ecological status of surface waters. On the other hand, The ECOSTAT
working group (CIS WG 2.A. ECOSTAT, 2004) established very useful guidance to support
the implementation of the WFD.

2.1. Definition of Stream Typology

Classification of freshwater ecosystems is essential in the development of biological

assessment frameworks (Gibson et al., 1996; Gerritsen et al., 2000). Ideally, classifications
should identify groups of undisturbed (reference) sites where comparable biological
communities might be found, thereby partitioning the natural variation of measurements of
ecological quality (e.g., Resh et al., 1995; Dodkins et al., 2005).
In Europe, there has been renewed interest in the regionalization or typology of aquatic
ecosystems with the publication of the WFD. Many classification schemes have been used to
test the concordance between landscape patterns and the structural and functional aspects of
biological communities. For instance, two distinct methods have been used to classify sites: a
bottom-up approach using biological communities and a top-down approach based on
environmental criteria. The WFD proposes the latter approach, and acknowledges two
systems for river classification (Systems A and B). Both systems are based on the division of
Europe into ecoregions proposed by Illies (Illies and Botosaneanu, 1963). System A
differentiates waterbodies according to the classes determined by using three environmental
descriptors: altitude, size and geology, whereas System B is based on five obligatory (latitude,
longitude, altitude, size, geology) and several optional variables.
Verdonschot and Nijboer (2004) established three major stream types in Europe:
Mountain, Lowland and Mediterranean. However, this classification may be insufficient for
capturing the variability present in streams influenced by the Mediterranean climate
(Sánchez-Montoya et al., 2007). Furthermore and in the ECOSTAT working group context,
different Geographical Intercalibration Groups (GIG), which have been developed in five
areas of Europe with similar natural conditions (Nordic, Central/Baltic, Alpine, Eastern
Continental and Mediterranean), have established different river types in each area.
 Ecological Assessment of Mediterranean Streams … 113

2.2. Establishing Reference Conditions

The European WFD establishes the need to define stream type-specific reference
conditions to identify high ecological status. Many authors have defined the term RC (e.g.
Davies, 1994; Hughes, 1995; Reynoldson et al., 1997; Chovarec et al., 2000; Bailey et al.,
2004; Stoddard et al., 2006), and they all emphasise that this condition corresponds to a state
of very low environmental pressure or degradation. Although several methods have been
proposed to establish the RC (extensive spatial survey, predictive modelling, historical data,
paleo-reconstruction and expert judgement), extensive spatial surveys are one of the most
widely used approaches in rivers and streams (e.g., Wallin et al., 2003). Following this
method implies that a sufficient number of undisturbed or minimally disturbed sites are
available in a specific stream type to establish the RC by statistic measures, such as median
values or arithmetic means. Irrespectively of the method followed by the EU Member States,
the WFD expects the approaches to provide a high level of reliability.
The recognition and selection of reference sites is a critical step in the design of the
extensive spatial surveys to establish RC (Reynoldson and Wright, 2000; Bailey et al., 2004)
because these sites are the baseline for comparing test sites (e.g., Reynoldson et al., 1997,
Norris and Thoms, 1999; Bailey et al., 2004). Reference sites selection is commonly founded
on a priori established criteria (Barbour et al., 1996; Reynoldson et al., 1997; Stoddard et al.,
2006) based on the different pressures derived from human activities that may affect the
ecological status, and can distinguish a reference site from a pressure-exposed site (Hering et
al., 2003). Reference sites must fulfil specific operational criteria that easily indicate the
absence of exposure stressors (Bailey et al., 2004). The factors chosen to be included in the a
priori criteria attempt to define the least amount of environmental disturbance caused by
human activities. Thus when establishing criteria, the goal is to explicitly define the reference
or acceptable healthy ecosystem (Bailey et al., 2004).
After the a priori selection, site validation must be applied to confirm and refine the
selection of reference sites (Barbour et al., 1996) because certain kinds of disturbances are
difficult to detect with the common screening methods used (Nijboer et al., 2004). A review
of the criteria used to select reference sites in different regions carried out by Sánchez-
Montoya et al. (2009a) shows that the most relevant criteria for streams and rivers relate to
riparian vegetation, diffuse and point sources, channel morphology, and hydrological
conditions and regulations. However other aspects such as introduced species,
biomanipulation, presence of wildlife, catchment vegetation, and macroinvertebrate and
habitat composition were not considered by most of the reviewed authors.
After the selection of reference sites, the RC of a specific metrics or parameters could
correspond to the median value (reference value) of all the reference sites belonging to a
specific type (Pollar and van de Bund, 2005).

2.3. Quality Class Boundaries and Macroinvertebrare Metrics

According to the WFD, ecological status must be classified into five quality classes (high,
good, moderate, poor and bad). In order to ensure comparability of such monitoring systems,
each Member State shall express their result as ecological quality ratios (EQR) to be able to
classify ecological status. These ratios shall represent the relationship between the values of
114 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

the observed biological parameters and the values of these parameters in the reference
conditions (reference value). The ratio shall be expressed as a numerical value of between
zero and one, where high ecological status will take values close to one, otherwise values
close to zero will represent bad ecological status (European Commission, 2000; 2003). The
boundary between good and moderate status is especially important because it sets the targets
for the restoration plans within the programmes of measures of those water bodies that fail the
environmental objectives of achieving good ecological status (Heiskanen et al., 2004).
The definition of class boundaries is a crucial step for implementing the WFD (e.g.,
Buffagni and Furse, 2006). The 25th percentile of the distribution of the reference values used
to be selected as the upper anchor that defines the class boundary between high and good. The
best adjustment of the different regressions (e.g., linear or exponential) by means of the
adjusted regression coefficient (r2) between the metric and a specific or multiple stressor
gradient must be studied. When the best adjustment between the metric and the stressor
gradient is achieved by linear regression, the width of the four remaining classes is evenly
spaced over the remaining interval (European Commission, 2003). If, however, the
relationship is not linear, an equitable division of the EQR is not appropriate. In such cases,
the stressor gradient value corresponding to the class boundary between high and good
(established by the 25th percentile) is calculated. Starting from this value, the rest of stressor
gradient is divided into four equitable fragments, and the class boundary is the EQR value
which coincides with these four established intervals.
The European Commission suggests the use of multimetric approaches for establishing
ecological status (Hering et al., 2006), and proposes the use of multimetric indices to detect
diverse types of pressures (i.e., organic, hydromorphological alteration, acidification, etc.).
The multimetric approach attempts to provide an integrated analysis of the biological
community of a site by deriving a variety of biological measures and knowledge of a site’s
fauna (Karr, 1981; 1999).
In addition, predictive models (multivariate approach), based on the simulation of the
biological community using discriminating environmental variables, have also been
developed in Europe; for example, SWEPAC (Johnson and Sandin, 2001), PERLA (Kokeš et
al., 2006) and MEDPACS in Mediterranean streams in Spain (Poquet et al., 2009).
Finally, the use of functional trait approaches as one of the most promising tools
emerging for biomonitoring freshwater ecosystems must be emphasised (Menezes et al.,
2010). Along these lines, Pollard and Yan (2010) indicate that the use of trait-based measures
have two potential strengths; traits are thought to be universal across large spatial scales, and
they provide a foundation for understanding how functional traits characteristics are expected
to respond to environmental gradients.
Those authors demonstrated in this recent work that the studied trait-base assemblage
metrics, clinger relative richness and abundance were more consistently associated with a
pressure gradient, in this case a sediment gradient, than the comparable identity-base metrics,
EPT relative richness and abundance.
 Ecological Assessment of Mediterranean Streams … 115

3. ECOLOGICAL ASSESSMENT OF MEDITERRANEAN

STREAMS IN SPAIN
In Spain, the transposition of the WFD in December 2003 implied the adoption of
ecosystemic management of water ecosystems. Most of Spain has a Mediterranean climate
and in Spain, as in other Mediterranean regions, water has been one of the limiting factors of
economic activity for many years, even in large rivers (Prat and Munné, 2000).
In general, European Mediterranean streams have a long history of flow regulation,
intensive agriculture land use and diverse sources of pollution (e.g., Gasith and Resh, 1999).
This intense exploitation of water has meant that the natural flow regimen and its quality are
significant disturbed following an increasing gradient from headwater to the mouth in most
streams and rivers. In this context, Mediterranean streams in Spain are not an exception (see
Sánchez-Montoya et al., 2005).
The Mediterranean climate is characterised by seasonal variation in precipitation and
temperature, with hot, dry summers and cold, wet winters. The discharge regime of
Mediterranean-type streams follows this rainfall pattern and, consequently, exhibits both
seasonal and annual variability (Gasith and Resh, 1999). Therefore, streams in Mediterranean
areas are shaped by sequential, predictable, seasonal events of flooding and drying over an
annual cycle. These natural high disturbance levels result in the ubiquitous presence of
resilient and relatively persistent macroinvertebrate communities (Aguiar et al., 2002).
In this context, the Guadalmed Project (1998-2005) focusses on evaluating the ecological
status of Mediterranean rivers in accordance with the WFD (Prat, 2004), and has shed light on
the assessment of Mediterranean streams. Although the multimetric approach has proved an
important part of the project, a predictive model was also developed, namely MEDPACs
(Poquet et al., 2009).
It is likely because of the novelty in biological assessments in European Mediterranean
countries that most of the studies done in this context refer to biological quality elements, and
specifically to benthic macroinvertebrate communities, while hydromorphological and
physico-chemical elements received less attention. In line with this, this chapter concentrates
on biological assessment by using macroinvertebrates as a biological quality element.

3.1. Mediterranean Stream Types and Their Concordance with

Macroinvertebrate Assemblages

In Spain, there has been a tradition of regionalization studies (see Margalef, 1983; García
de Jalón and González del Tánago, 1986). Recently, a typology for all Spanish territory has
been developed by CEDEX (2005), a Spanish civil engineering agency. This typology, which
uses system A as suggested by the WFD, classified Spanish watercourses into 33 different
stream types. Exclusively in the Mediterranean catchments context, there are also several
works. Vidal-Abarca et al. (1990) and Munné and Prat (2004) developed regionalization
processes in two different Mediterranean catchments. The latter work tested the two WFD
typology approaches (Systems A and B), and concluded that the ecotypes obtained by System
B better reflect ecological processes because key environmental factors, such as hydrological
and climatic variables, are considered.
116 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

In the Guadalmed project context, Bonada et al. (2004) did a preliminary work to develop
an optimal typology for Spanish Mediterranean streams. Based on this work, a second
regionalization was developed (Sánchez-Montoya et al., 2007) which includes a larger
number of sites and new environmental variables.
All these aforementioned works used the top-down approach based on environmental
criteria for river classification. However, it must be emphasised that only the typology by
Sánchez-Montoya et al. (2007) studied the macroinvertebrate reference communities in each
environmental stream type for the purpose of analysing the concordance between
environmental and biological classifications. This study was carried out in 33 catchments
located along a latitudinal, thermal and pluviometric gradient on the Spanish eastern coast and
the Balearic Islands (Figure 1). The study area is influenced by the Mediterranean climate,
with significant spring and autumn rainfalls. A total of 162 sites were used to define stream
ecotypes (environmental types). The selected sites were considered the least disturbed reaches
in the chosen streams, ranging from totally undisturbed to moderately disturbed.

Figure 1. Spatial distribution of the five environmental ecotypes (n=162) according to system B. (from
Sánchez-Montoya et al., 2007).

To define stream ecotypes, three of the five obligatory variables proposed by the WFD
for System B (altitude, geology and size) were considered. Moreover, 13 optional variables
were analysed that could provide useful information about Mediterranean streams, which
 Ecological Assessment of Mediterranean Streams … 117

were grouped into four classes: hydrological, morphological, geological and climatic (Table
1). All these environmental variables used were not influenced by human activities.
After removing two variables because they highly correlated with other variables, a
principal components analysis (PCA) was performed on the environmental variables groups.
Two new variables (Axes 1 and 2) were obtained for each group of environmental variables.
Later, a K-means analysis was performed using the derived PCA variables to classify sites
into stream ecotypes. This analysis concluded that the five-group classification showed the
greatest ecological and spatial coherence, while a step-wise discriminant analysis (Wilks’s
Lambda method) revealed the importance of hydrological variables in explaining among-
group variance, followed by the geological, morphological and climatic variables. There were
five ecotypes: four were perennial and one was temporary. Table 2 shows the main variables
defining the five ecotypes.

Table 1. Environmental variables used to characterise ecotypes. Variables marked with

an asterisk were later removed because they were highly correlated with other variables
within the same group (from Sánchez-Montoya et al., 2007)

Groups of
Factors Description
variables
Discharge Average of annual discharge (m3 s-1)
Hydrological Hydrological state Code for hydrological state (see Table 3)
Dry period percentage % of year discharge is equal to 0
Temperature Annual average of air temperature (ºC)
Climatic
Precipitation Annual rainfall (mm)
Surface carbonate geology % of coverage in the drainage area
Geological Surface siliceous geology % of coverage in the drainage area
Surface evaporate geology % of coverage in the drainage area
Altitude Meters above sea level
Drainage slope Slope/total drained area
Morphological Distance from the origin* Meters
Surface drainage area Total drainage area (km2)
Stream order* Strahler method

In order to validate these previously defined ecotypes, macroinvertebrate communities

from true reference sites were used. Reference sites were selected by applying the
Mediterranean Reference Criteria (see Section 3.2 of this chapter). All the sampling sites
included in Ecotype 5 (large watercourses) evidenced significant human disturbance, resulting
in no reference macroinvertebrate communities being found. As a result, top-down versus
bottom-up comparison could not be made for these watercourses.
Macroinvertebrate family composition differed between the four defined Mediterranean
stream ecotypes according to the IndVal analysis, where siliceous headwater high altitude
streams (Ecotype 3) indicator taxa consisted mostly of EPT taxa commonly found in soft-
water high-altitude streams, and Ecotype 2 taxa characteristic of the middle courses of
streams with a lentic type habitat. This result reveals that these ecotypes are of some
ecological significance.
118 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Table 2. Average and standard deviation (in parentheses) values of some environmental
variables used to establish the five Mediterranean stream ecotypes (modified from
Sánchez-Montoya et al., 2007)

% % % Hydrological Stream Definition of

Ecotypes Altitude (m)
Siliceous Carbonate Evaporite state order ecotypes
Intermittent/E
1 27 (38) 69 ( 37) 4 (6) 645 (523) 1.1 (± 0.3) Temporary
phemeral
Evaporite
2 13 (22) 67 (21) 19 (11) Perennial 446 (266) 1.9 (± 0.8) calcareous at
medium altitude
Siliceous
3 97 (7) 3 (7) 0.1 (0.4) Perennial 1177 (589) 1.3 (± 0.6) headwaters at
high altitude
Calcareous
headwaters at
4 9 (17) 88 (17) 2 (4) Perennial 840 (343) 1.7 (± 0.9)
medium and
high altitude
Large
5 20 (31) 70 (28) 9 (4) Perennial 239 (187) 4.3 (± 0.7)
watercourses

Figure 2. Non-Metric Multidimensional Scaling (NMDS) ordination of the reference sites based on the
Bray-Curtis similarities. Labels identify the stream groups defined by UPGMA, and symbols identify
ecotypes obtained by System B (from Sánchez-Montoya et al., 2007).

The top-down classification, performed by the UPGMA classification using Bray–Curtis

distances, discriminated 10 biological groups. The majority of biological groups were small
and belonged to temporary streams, and the remaining ecotypes presented a good
correspondence with the biological group. Therefore, the main difference between the
 Ecological Assessment of Mediterranean Streams … 119

communities defined from the top-down versus the bottom-up approaches was found for
Ecotype 1, or temporary streams, as shown by the non-metric multidimensional scaling
(NMDS) ordination of the reference sites (Figure 2). Finally, the analysis of similarities
(ANOSIM) revealed significant differences in the assemblage composition among the four
stream ecotypes. Therefore, it can be concluded that these Mediterranean ecotypes, along
with the presented ecological coherence, are suitable for performing an intercalibration of the
quality class boundaries in the WFD context.

3.2. Selection of Reference Sites in Mediterranean Streams

In the Guadalmed project context, a list of 20 a priori criteria was proposed (Table 3) to
ensure the proper selection of reference sites in Mediterranean streams based on their
characteristics and the most frequent disturbances (Sánchez-Montoya et al., 2009a). These
criteria, defined in this work as Mediterranean reference criteria (MRC), belong to six
different categories: riparian vegetation zone, introduced species, point sources of pollution,
diffuse sources of pollution, river morphology and habitat conditions, and hydrological
conditions and regulation. The 20 apriori criteria include a wide range of human uses and
disturbances on streams in our study area, as well as some general aspects on naturalness that
must be present if a site is to be considered a reference site. The spatial scale of application
was sub-basin (upstream to the site) for all the criteria. With this approach, only those sites
that fulfil all 20 criteria can be considered reference sites. In order to apply both this
screening method and a validation process, the same study area and sites as in the
aforementioned regionalization work were studied (162 sites in 33 basins).
After applying the MRC, a good number of the sites (92 of 162, 57%) fulfilled all 20
criteria and were considered reference sites in this a priori selection. Reference sites were
found for all stream types, except for large watercourses. In general, the most limiting criteria
were those relating to natural land use and to dry land farming, which affected more than 20%
of the sites. This finding was expected because, traditionally, agriculture has been a very
important productive sector in Mediterranean Europe (Allen, 2001), where dry and irrigated
farm lands are significantly more frequent than in other European countries (MIMAN, 2000).
Moreover, disturbances caused by the presence of reservoirs, retention of sediments, exotic
species and irrigated farming affected a considerable percentage of sites, unlike the
canalisation, adequate substrates and grazing criteria which all the sites fulfilled.
In order to refine and confirm the a priori selection of reference sites by applying the
MRC, a macroinvertebrate community was used for validation purposes by applying the
reliable biological threshold as defined by Alba-Tercedor and Sánchez-Ortega (1988). The
threshold was the value of the IBMWP >100, considered a high quality class indicator. For
this purpose, the macroinvertebrate community from the reference site was sampled on three
sampling occasions (spring, summer and autumn, 2003). Finally, in order to be considered a
reference site in the final selection, the a priori reference sites had to fulfil the biological
validation criterion on the three sampling occasions.
120 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Table 3. List of 20 criteria proposed for the selection of reference site of Mediterranean
streams (from Sánchez-Montoya et al. 2009a)

Elements Criteria
1. Cover and composition appropriate for the type and geographical location of the
Riparian
river.
vegetation
2. Lateral connectivity between river and riparian corridor is maintained (no
zone
cultivation and significant impervious area in riparian zone).
Introduced 3. No significant impairment by exotic plant or animal species on autochthonous
species species
4. No dumping of urban effluents
Point sources
5. No dumping of industrial effluents
of pollution
6. No irrigation return channel for floodwater farming
7. Dry land farming < 20% of drainage area (cereal, vineyard and tree crops as
olive ) and not connected to riparian vegetation zone
8. Intensive irrigated farming < 3% in drainage area (rice field, irrigated vineyard
Diffuse and others irrigated fruit tress) and not connected to riparian vegetation zone
sources of
pollution and 9. Urban use < 0.7 % in drained area
land uses 10. Burned vegetation < 7% in drainage area at least seven years ago and not
connected to riparian vegetation zone
11. No evidence of intensive use of grazing
12. Natural land uses > 80% in drainage area
River 13. Representative diversity of substrate materials appropriate for the type
morphology 14. No canalization (stream bottoms and stream margins must not be fixed)
and habitat 15. No transversal structures “dams” (no retention of sediments)
conditions 16. No sand or gravel extraction
17. No water diversion for irrigation or other purpose
Hydrological 18. No alterations of the natural hydrograph and discharge regime (reservoirs,
conditions and hydroelectric…)
regulation 19. No effect of inter-basin water transfer
20. Natural level of groundwater (aquifer not affected by over-exploitation)

As a result of applying the validation process, all 92 a priori reference sites exceeded the
threshold value on the three sampling occasions, and were selected as true reference sites in
the final selection. This result validates the application of MRC for selecting true reference
sites in Mediterranean streams.

3.3. Biological Assessment of Mediterranean Streams: Best

Macroinvertebrate Metrics and Quality Class Boundaries

One main WFD approach is the use of biotic indicators (phytobenthos, macrophytes,
macroinvertebrates and fish) in stream assessment. However, biological quality monitoring of
rivers is not a long-standing tradition in some Mediterranean countries like Spain.
There is a general consensus about the value of macroinvertebrates as water quality
biological indicators (Chessman and McEvoy, 1998); therefore, the community structure of
 Ecological Assessment of Mediterranean Streams … 121

benthic invertebrates has been frequently used in environmental monitoring and assessments
of aquatic systems (Reynoldson and Metcalfe-Smith, 1992).
Another important point in assessing ecological status is the identification of metrics that
can detect one or several types of human perturbation.
Diverse macroinvertebrate indices have been proposed to assess the water quality in
Mediterranean streams and rivers (see Munné and Prat, 2009) based on qualitative and
quantitative data. Although abundance measures (quantitative data) are explicitly demanded
in the WFD, these are known to have high variances and are rarely used in multimetric
approaches (Barbour et al., 1999). Particularly in Mediterranean streams and rivers, it has
been proved that abundance metrics discriminate worse different levels of degradation than
the presence-abundance metrics given the strong fluctuation of the hydrologic regimens in
these streams that produce a high variability in taxa abundance (Pinto et al., 2004).
A recent study carried out in Mediterranean catchments in Spain (Sánchez-Montoya et
al., 2010) compared the sensitivity of diverse metrics to a multiple stressor gradient in
Spanish Mediterranean streams and its influence on the assessment of ecological status for the
purpose of selecting the best macroinvertebrate metrics based on their response to this
stressor gradient.
Seven qualitative metrics were studied: two single metrics (the number of families
(NFAM) and the number of Ephemeroptera, Plecoptera and Trichoptera families (EPT)),
three indices (the Iberian Biological Monitoring Working Party Index (IBMWP), the IBMWP
value/number of families (IASPT), the Biological Monitoring Water Quality (T-BMWQ), and
two multimetrics indices (the ICM-9 and the ICM-11a).
ICM-9 is a multimetric index proposed by the Mediterranean Geographical
Intercalibration Group (Med-GIG) as an appropriate index for Mediterranean streams
(European Commission, 2007). ICM-11a, also called IMMi-L, developed from the Spanish
experience in the Med-GIG, and has been recently developed specifically for
macroinvertebrate communities inhabiting Mediterranean river systems (Munné and Prat,
2009). In Spain, the IBMWP index (Alba-Tercedor and Sánchez-Ortega, 1988; Alba-
Tercedor et al., 2004) is the most widespread and extensive index employed in Mediterranean
rivers; indeed, the Spanish Environmental Ministry proposed this index to assess ecological
status in Spanish Mediterranean streams (MMARM, 2008).
For this purpose, a total of 193 sites belonging to 35 catchments on the Iberian
Mediterranean coast were studied. These sampling sites represent different grades of
degradation, ranging from undisturbed (reference sites) to highly disturbed according to the
number of fulfilled reference criteria as defined by Sánchez-Montoya et al. (2009a). Non-
reference sites showed a combination of several pressures, of which the most frequent were
those relating to non-natural land uses, diffuse sources of pollution and flow regulation.
To create the stressor gradient, a PCA was performed using 27 different variables
belonging to the various categories (physico-chemical, land uses, hydrological variables and
quality indices) studied for all the sampling sites.
The analysis of the response of the seven metrics to the stressor gradients by linear and
exponential regressions revealed that the exponential regression coefficients for all the
studied metrics were higher than the linear coefficients, indicating an exponential relationship
between metrics and the environmental alteration. The two studied multimetric indices
presented higher regression coefficients than the three indices and the two metrics, which
depicts a better response to the stressor gradient in the Mediterranean streams under study.
122 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

This finding supports the knowledge that a single metric responds well to specific pressures,
but that multimetric indices provide an integrated analysis of the biological community and
are capable of detecting multiple stressors.
The results obtained in this work support the knowledge that the IBMWP, widely used in
Spain, is suitable for biological quality assessment in Mediterranean streams because of the
high regression coefficient obtained. Since the European Commission suggests the use of
multimetric indices, and based on the results obtained in this work, the use of the ICM-11
multimetric index for Mediterranean streams is also recommended.
The WFD emphasises that the natural variability of quality elements in high status
(pristine) needs to be quantified. Therefore, natural variation of macroinvertebrate metrics
may be taken into account to select suitable metrics for ecological status assessment. Ignoring
natural variability can confound the detection of anthropogenic environmental changes
(Clarke and Hering, 2006). Accordingly, a robust biodiversity metrics should show low
natural variability if compared to any change taking place as a result of human disturbance
(e.g., Johnson, 1998; Sandin, 2003; Springe et al., 2006). As the spatial variability of quality
elements is reduced by the type-specific reference condition approach, temporal variability is
the main aspect to be analysed.
Temporal variation in macroinvertebrate communities is often high in stream systems
given flow and habitat variation (e.g., Feminella, 1996; Townsend et al., 1997), among other
factors. Such fluctuations are expected to be higher in areas with relatively high
environmental variability, which is the case of those areas influenced by a Mediterranean
climate (Bêche and Resh, 2007).
This subject was studied in the work of Sánchez-Montoya et al. (2009b), where both the
seasonal and interannual variations of the macroinvertebrates communities in reference sites
and their effect on macroinvertebrate metrics in Mediterranean streams types were studied.
To detect seasonal changes, 88 reference sites belonging to four Mediterranean ecotypes
defined by Sánchez-Montoya et al. (2007) in 23 catchments were used, and a subset of 14
reference sites belonging to two Mediterranean ecotypes were studied for interannual change.
Eighteen macroinvertebrate metrics belonging to different categories (richness, index,
multimetric index, tolerance/intolerance and diversity), which are widely used in assessing
running waters, were calculated for all the reference sites on each sampling occasion.
In order to select robust metrics, the calculation of the coefficient of variation (CV)
revealed that all the metrics for all stream types were low (< 50%). The lower seasonal CV
values (< 15.3%) were observed for taxa richness (S) and macroinvertebarate indices (ICM-
11, IBMWP and IASPT) in all the stream types. In general, the seasonal CV values for each
metrics were similar in all four stream types. Therefore, these results corroborate the
suitability of both the IBMWP and ICM-11a given their low natural variability.
It must be taken into account that given the possible differences in the taxonomic
composition among the different stream types, class boundaries must be calibrated separately
for each stream type. In the study of Sánchez-Montoya et al. (2010), the quality class
boundaries for the IBMWP, and for the ICM-11a in different Mediterranean stream types,
were calculated.
 Ecological Assessment of Mediterranean Streams … 123

4. ECOLOGICAL ASSESSMENT OF MEDITERRANEAN

TEMPORARY STREAMS
Temporary rivers are not restricted to arid regions and occur in most terrestrial biomes
between 84ºN and S latitude (Larned et al., 2010). Notwithstanding, temporary and ephemeral
streams are the dominant drainage systems in arid and semiarid zones (Boulton and Suter,
1986).
Temporary streams may be defined as bodies of fresh water that undergo a recurrent dry
phase of varying length that is sometimes predictable in terms of both its time of onset and
duration (Williams, 1996). Therefore, temporary rivers are characterised by repeated onset
and flow cessation of flow, and by complex hydrological dynamics in the longitudinal
dimension which influence biotic communities and nutrient and organic matter processing
(Larned et al., 2010).
It must be considered that temporary streams are subdivided into intermittent and
ephemeral streams depending on their dry-period condition. According to the classification of
Uys and O’Keeffe (1997), flow disappears in intermittent streams, but still water continues to
be present; yet conversely to ephemeral streams, water disappears and dry stream beds occur.
In temporary streams, the main factors influencing the aquatic assemblages include the
frequency and duration of disturbance events and their predictability (e.g., Stanley
et al., 1997; Gasith and Resh, 1999).
Unlike temperate rivers, a feature of Mediterranean and other temporary streams is
hydrological intermittency (Gasith and Resh, 1999; Acuña et al., 2005), which strongly
influences the structure and functioning of aquatic ecosystems. As in other arid streams
(Fisher et al., 1982) under base flow conditions, temporary Mediterranean streams usually
have a discontinuous surface flow through a series of relatively permanent segments
separated by dry stretches. For example, in the province of Murcia in southeast of Spain,
which is the driest part of the Iberian Peninsula and probably of Europe, approximately 98%
of mapped watercourses are temporary and ephemeral streams (Gómez et al., 2005).
This intermittent surface flow pattern is obliterated during high-flow periods (usually
after rainstorms) when the surface flow along the reach channel is continuous. The length of
dry stretches normally increases in summer when evapotranspiration increases and discharge
declines.
Although these systems are the most abundant fluvial ecosystem types in many
Mediterranean areas, they are less understood than permanent streams given the complexity
of these systems, and since this hydrological complexity makes the biological,
hydromorphological and physico-chemical evaluations of the ecological assessment of
temporary streams difficult.

4.1. Biological Assessment of Mediterranean Temporary Streams

In the biological assessment context, the study of the effect of hydrology on

macroinvertebrate metrics in temporary Mediterranean streams is quite a recent task (e.g.,
Álvarez et al., 2001; Morais et al., 2004; Bonada et al., 2007, Sánchez-Montoya et al., 2007;
Argyroudi et al., 2008) given hydrological complexity and methodological difficulties.
124 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

However, the WFD urges the ecological assessment of temporary streams apart from
permanent streams.
Although the responses of macroinvertebrate communities to flow permanence have been
widely reported, no consensus has been reached as to there being differences between
macroinvertebrate compositions in temporary and permanent streams. Some authors detected
no significant differences in the biological compositions of these systems (e.g., Boulton and
Suter, 1986; Williams, 1996; del Rosario and Resh, 2000), while others found great
differences in their macroinvertebrate communities in Mediterranean regions (e.g., Maamri et
al., 2005; Sánchez-Montoya et al. 2007). In this frame, and also in the WFD context, the first
problem arises when a typology of Mediterranean streams that considers temporary streams
must be established.
The study of Sánchez-Montoya et al. (2007), carried out in reference Mediterranean
streams in Spain, showed different macroinvertebrate family compositions (using abundance
and presence/absence data) between temporary and remaining permanent streams belonging
to three predetermined ecotypes (see Figure 2), which justifies the division of temporary
streams as a specific ecotype. This distinction was also made by the ECOSTAT
intercalibration group for Mediterranean rivers (Buffagni and Furse, 2006; European
Commission, 2005) by establishing a typification for the Mediterranean at the European level
where five river types were determined (four permanents and one temporary; see Munné and
Prat, 2009). Nonetheless to our knowledge, this classification does not include a validation
using biological communities.
Generally, on the other hand, permanent streams present higher values of taxon richness
and some macroinvertebrate metrics than neighbouring temporary streams (Williams 1996,
Meyer and Meyer 2000, Morais et al., 2004). Buffagni et al. (2009) reported that an increase
in lentic conditions is associated with a decrease in the quality metrics value. This finding
must be considered when the reference values of temporary streams are established because
this “natural” low value may be confused with anthropogenic perturbation and lead to
underestimating ecological quality.
In this frame, a study into macroinvertebrate communities in reference conditions in
different Mediterranean stream types (Sánchez-Montoya et. al., 2009b) confirmed the
aforementioned finding since the median and 25th percentile of the studied metrics values
(Number of Ephemroptera, Plecoptera and Trichopetra, the IBMWP index, the IASPT index
and Number of families) were lower for temporary streams than for the three remaining types
of permanent streams (Figure 3).
The temporary stream type included in this work underwent intense drought periods, and
pool habitats frequently disconnected from riffles predominated. The degree of habitat
connectivity may influence assemblage richness and diversity, and low taxa richness should
be expected in disconnected habitats (Bonada et al., 2006) because low connectivity results in
low richness given the exchanges of matter, energy and organism that are constrained
between parches (Ward et al., 1999). Besides, it must be considered that spatial heterogeneity
increases from ephemeral to intermittent and to permanent sites because higher flows increase
available refuges and substrate diversity (Bonada et al., 2007), and higher richness taxa are
expected with increases in this heterogeneity. As disconnected pools could be a refuge for
some tolerant lentic macroinvertebrates from desiccation (i.e., OCH) but probably not for
rheophilic macroinvertebrates (i.e. EPT) (e.g. Brown and Brussock, 1991), lower taxa
richness (family level) and EPT richness (relating to OCH richness) values in temporary
 Ecological Assessment of Mediterranean Streams … 125

streams are expected (Bonada et al., 2006; Sánchez-Montoya et al., 2007). Regarding the
IBMWP, the high EPT families score in this index (mean value = 8.4) compared with the
OCH families (mean = 4.9), explain the lower IBMWP values in temporary streams in the
RC. In conclusion, lower metric values in the RC in temporary streams, if compared to
permanent streams, must be attributed to natural differences in macroinvertebrate
communities.

Figure 3. Boxplots for NFAM, EPT, IBMWP and IASPT values of four stream-types (T1: Temporary
stream, T2: Evaporite calcareous permanent stream, T3: Siliceous permanent headwaters and T4:
Calcareous permanent headwaters). Boxes are interquartiles ranges (25th percentile to 75th percentile),
rangers bars show maximum and minimum values and lines represent medians (modified from
Sánchez-Montoya et al., 2009a).

Figure 4. Distribution of the EQR values of reference sites in four stream types (T1: Temporary stream;
T2: Evaporite calcareous permanent stream, T3: Siliceous permanent headwaters and T4: Calcareous
permanent headwaters). The median values (central line), 25th and 75th percentile values (box) and the
maximum and minimum values are shown (modified from Sánchez-Montoya et al., 2010).
126 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Another important finding that arises from the study of Sánchez-Montoya et al. (2007)
must be considered to classify quality-class boundaries into different types: while permanent
ecotypes generally hold an exclusive macroinvertebrate community, temporary streams
include many biological groups. These findings are expected because all the sites belonging
to the temporary ecotype were intermittent or ephemeral, and hence underwent intense
drought, usually in summer. Therefore, they underwent expansion and contraction processes
which could affect the physico-chemical properties of water, and subsequently the
composition of macroinvertebrate assemblages (e.g., Resh et al., 1988; Williams, 1996; Lake,
2000; Acuña et al., 2005). An additional point to consider is that drought events can lead to
the stream channel drying up partially or completely; in fact, the studied intermittent streams
showed different stages of drying and the presence of different macrohabitats (from a riffle-
pool sequence to isolated pools) that influence the composition of macroinvertebrate
assemblages (e.g., Logan and Brooker, 1983; Bonada et al., 2006).
This wide variability in the reference macroinvertebrate community in temporary stream
was confirmed when the EQR (Ecological Quality Ratio) reference values of the different
metrics and indices were analysed (Sánchez-Montoya et al., 2010) owing to the higher
variability of the EQR reference values in the temporary stream type than in the remaining
permanent types. Figure 4 illustrates the distribution of the reference sites EQR values in four
stream types for three metrics (EPT, IBMWP and ICM-11a). In all the metrics, the variation
of the temporary stream types was greater than the rest of the permanent streams.
Several studies have indicated a possible difference between intermittent and ephemeral
streams based on macroinvertebrate composition data and metrics (Bonada et al., 2007;
Argyroudi et al., 2009). Furthermore, Meyer et al. (2003) detected decreasing species richness
of benthic macroinvertebrate communities at increasing intermittency in karstic stream
systems, which was not attributed to physico-chemical or structural variables.
An additional important factor to consider as a source of variation in Mediterranean
temporary streams is the high salinity of some streams as flow crosses salt-rich rocks. These
saline streams have marked a difference in taxonomic macroinvertebrate composition
compared to their freshwater counterparts in the same regions (Moreno et al., 1997; 2001;
Mellado et al., 2008, Arribas et al., 2009).
In conclusion, the wide variability in biological communities in temporary streams may
justify a further division of this ecotype into subgroups to ensure the proper application of the
WFD methodology. This subdivision may relate to the varying permanence of superficial
flows in intermittent and ephemeral streams and natural salinity.

4.2. Physico-Chemical Assessment of Mediterranean Temporary Streams

Specific physico-chemical quality elements are required for the determination of high and
good status. For the other status classes, the conditions of the physico-chemical elements are
expected to be consistent with the achievement of values for the biological quality elements.
Estimates of the physico-chemical reference conditions for the developed regions should
reflect the natural characteristics of the watersheds of interest. According to the WFD, the
physico-chemical parameters supporting the biological elements are: thermal and oxygenation
conditions, salinity, nutrient conditions and acidification status.
 Ecological Assessment of Mediterranean Streams … 127

The use of physico-chemical indicators for ecological assessments entails having to

previously establish the physico-chemical reference conditions, as the same as the biological
indicators. Chemical parameters (pH, conductivity, dissolved oxygen or nutrient content,
among others) are markedly affected by both biotic and abiotic variables which, in turn, may
change through space and time. Variation in aquatic nutrient loading relates to watershed
geology, vegetation, atmospheric inputs and land use (Hynes, 1975), but variation in nutrient
concentration has also been observed on smaller scales in aquatic systems (e.g., Pringle,
1990; Martí and Sabater, 1996; Dahm et al., 1998; Dent and Grimm, 1999; Kemp and Dodds,
2001; Lewis et al., 2007). However, despite the fact that variation at this scale is likely to
affect the local abundance and distribution of organisms, microbial activity and primary
production (Pringle, 1990; Sabater et al., 2000; Rees et al., 2006) this scale of variation is less
well studied. Physico-chemical parameters are subject to spatial and temporal variability in all
aquatic ecosystems, rivers and streams. However the grade of variability increases when we
analyze temporary streams.
On the other hand, it has been widely acknowledged that establishing physico-chemical
criteria in streams is acutely difficult because a considerable amount of monitoring data are
required to refine indications about them (Dodds and Welch, 2000). In this sense, the
handicap of temporary streams lies in that they are less studied than more temperate streams.
Despite their abundance, temporary streams have been historically neglected by ecologists
(Larned et al., 2010). This section focusses on considerations into the spatial and temporal
variability in solute concentrations, mainly nutrients, as an important element of chemical
status.
. In temporary streams, fluctuating low flows create a distinctive mosaic of local
environmental conditions (advection, water residence time, oxidising and reducing
conditions, sediment-water interactions, etc.) and biological processes (Stanley and Boulton,
1995; Valett et al., 1996; Lewis et al., 2006; Henry and Fisher, 2003; Lillebo et al., 2007)
which may directly affect the chemical environment. Organic matter decomposition,
nitrification (a source of nitrate), denitrification (a sink of nitrate) or biological uptake, are all
biological processes affected by changes in local stream-channel environmental conditions,
which are also implicated in the water nutrient content in un-impacted streams (e.g., Sabater
et al., 2000; Strauss et al., 2002; Arango et al., 2008).
Besides biotic factors, both low surface flow and spatial intermittency reinforce the effect
of abiotic heterogeneity through stream channels that affect solute concentrations. For
instance, Gómez et al. (1994) found a direct relationship among the patchy distribution of
stream Fe-rich sediments, soluble P concentrations and algae distribution in an arid stream
wetland of southeast Spain.
Since flow and advection in temporary streams are lower, and as opportunities for biotic
and abiotic interactions are more plentiful, spatial variability in solute concentrations
increases, as several studies carried out in arid zones have demonstrated (e.g., Lewis et al.,
2006; 2007). In a temporary Mediterranean stream in southeast Spain (the Chicamo stream),
Gómez et al. (2009) analysed differences in spatial and seasonal variability in the N and
chloride concentrations between reaches with differing hydrological regimes (permanent vs.
intermittent), under different hydrological conditions (baseflow, high flow and drought).
These authors discovered that both, spatial and seasonal variability were higher in the
intermittent reach than in the permanent reach as a result of the surface flow’s more
fluctuating conditions. Then, it is important to consider the acute spatial variability in the
128 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

physico-chemical properties of temporary streams when monitoring programmes have to be

designed to correctly select the number and locations of survey points.
Besides in temporary streams, the local stream-channel environmental conditions that
influence spatial variability in chemical conditions may change over time as flow discharge
changes (Stanley and Boulton, 1995; Martí et al., 1997; Dahm et al., 1998; Dent and Grimm,
1999; von Schiller et al., 2008a), and increase global chemical variability. In fact, spatial
variability has been demonstrated to increase close to summer as flow discharge diminishes.
In a 10-km stretch of Sycamore Creek (Arizona, USA), variability in N concentrations
increased over successional time as flow discharge decreased and spatial patchiness increased
(Dent and Grimm, 1999). Similarly, Gómez et al. (2009) also described an increase in spatial
variability of the chloride and nitrate-N concentrations in the Chícamo stream (southeast
Spain) during drought.
In addition to the spatial variability problem, solute concentrations tend to be higher in
temporary streams as a result of the low surface discharge and the longer water residence time
(Gómez et al., 2009). Under these hydrological conditions, and because of limited dilutions
and lower surface stream areas, any source of solute inputs (such as bedrock) directly affects
stream water quality. In temporary streams, this effect is more patent than in those streams
with a higher surface discharge. This situation is, in turn, enhanced close to drought when
surface flow decreases (Gómez et al., 2009). Figure 5 presents a conceptual hydrochemistry
variability model in Mediterranean arid and semi-arid streams (Vidal-Abarca et al., 2004).
This model describes how variability in surface water hydrochemistry is expected to be low
under flood conditions given the homogenisation of local environmental conditions as flow
discharge increases. In this high surface discharge situation, the chemistry of surface waters,
that depend on rainfall volume and intensity, will be a good indicator of watershed geology
and land uses. As seasons pass, and as surface flow discharge decreases, hydrochemistry
variability increases and reaches its peak close to drought when an intermittent pattern of
surface flow appears (spatial fragmentation). At this moment are the to local streambed
conditions which determine the hydrochemistry of surface waters. At this moment,
hydrochemistry is not a good indicator of watershed conditions.
Lithology is an important source of variation in the physico-chemical properties of
surface waters within and across streams. In Mediterranean regions, lithology shows
important spatial heterogeneity. In fact in a small area, maybe of several kilometres, different
geological materials can be found which determine the heterogeneous bedrock nature of
streams. For example, in the province of Murcia, an arid area of southeast Spain, different
temporary streams (ramblas) have been categorised on a lithological basis (ramblas of marl,
limestone and metamorphic basins). These streams differ in structural parameters, hydrology,
biological communities and, more importantly, water chemistry terms (Gómez et al., 2005).
Differences in water chemistry (mainly sulphate, chloride and nitrate content) as a response to
changes in bedrock material can even be observed through the same stream (García, 2005;
Gómez et al., 2009). Figure 6 shows the spatial variability in the nitrate-N and chloride
concentrations in the Chicamo stream from head to mouth. This temporary stream located in
southeast Spain is characterised by two reaches with differing hydrology and lithology
(Gómez et al., 2009): a permanent reach in the upper part of the watershed dominated by
limestones and dolomites (C2 to C15 in Figure 6) and an intermittent middle-to-low reach in
the lower part of the watershed where Miocene-Keuper marls are the dominant lithological
 Ecological Assessment of Mediterranean Streams … 129

material (from C15 to C31 in Figure 6). The effect of both lithology and fluctuating low flows
on solute concentrations in the lower part of the stream is evident.

Figure 5. Conceptual model on hydrochemistry variability over seasons in arid and semi-arid streams
(modified from Vidal-Abarca et al., 2004).

Other authors also describe the wide range of physico-chemical features that characterise
Mediterranean temporary streams, including variability in salt content (mainly NaCl).
Temporary streams in the Mediterranean region are characterised by a wide range of
conductivity values, with classification ranging from freshwater streams to hypersaline
streams (Vidal-Abarca et al., 1995; Moreno et al., 1995; Moreno et al., 2001). Even within
saline streams, different categories can be established (e.g., Arribas et al., 2009.) Besides, it
has been observed that the temporary streams located in sedimentary watersheds are
characterised by a high nitrate-N content. Concentrations of up to 3 mg/l are not unusual in
un-impacted reaches or springs (García, 2005; Gómez et al., 2005). Along these lines, other
authors have also described high nitrate-N concentrations in Mediterranean streams of
sedimentary watersheds (Holloway et al., 1998; Dahlgren, 1994; Holloway and Smith, 2005).
These authors have demonstrated that bedrock containing considerable concentrations of
fixed nitrogen contributes a surprisingly large amount of nitrate to surface waters in certain
California watersheds, and to such an extent that even small areas of these rocks had a
profound influence on water quality. Our experimental and field data, obtained in several N-
rich arid streams from sedimentary watersheds (in preparation), agree with these results.
130 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Figure 6. Spatial variation of NO-3-N (black diamonds) and Cl- concentrations (grey squares) under
base-flow conditions through Chicamo stream (SE of Spain) from head to mouth. C1-C15 are sampling
points located in a limestone-dolomite permanent reach, whereas C16 to C31 are located in a marly
intermittent reach (from García, 2005).

As regards temperate rivers, diminished surface flows in temporary streams also heighten
the influence of vertical (hyporreic) and lateral components (parafluvial and riparian zones)
on solute and oxygen concentration. In Sycamore Creek, an arid stream of the Sonoran Desert
(USA), increased nitrate concentrations (and phosphorus) in areas where subsurface waters
come into contact with the surface (hyporheic upwellings) have been widely documented
(Grimm et al., 1991; Valett et al., 1994; Jones et al., 1995; Dent et al., 2001). In this N-limited
stream (Grimm and Fisher, 1986), the enhanced nitrate availability produce an increase in
primary producers biomass which, in turn, influenced surface water temperature, dissolved
oxygen, and dissolved organic carbon (DOC), among other physico-chemical parameters
(Fisher et al., 1998). Similarly, Gómez et al. (1995) described peak concentrations of nitrate
and ammonium, which were attributable to high nitrogen levels in lateral seepage water and
local groundwater discharge, respectively. These authors described changes in N
concentrations, which went from 0.31 to 2.02 mg/l NO3-N and from 0.24 to 1.32 mg/l NH4-N,
along a 20-m reach of a non-impacted arid stream wetland. Because of low discharge,
groundwater inputs, such as subsurface flows or lateral seepage, can locally change the local
water chemistry by nutrient or salt enrichment or by dilution.
Temporary Mediterranean streams are subject to disturbance by infrequent but intense
rainfall, which generates high flow pulses and occasional flash floods, and by drought periods
(Vidal-Abarca et al., 1992). These fluctuations disturb sediments and biota that process
material (Fisher et al., 1982; Ortega et al., 1991; Stanley et al., 1997; Vidal-Abarca, 2007)
which affect solute concentrations. On the other hand, hydrological fluctuations strongly
influence nutrient dynamics (Dahm et al., 2003; Bernal et al., 2005; Lillebo et al., 2007). In
particular, biotic uptake, an important driver of water nutrient content, may be influenced by
changes in discharge (Stream Solute Workshop, 1990; Peterson et al., 2001; Wollheim et al.,
2001), as reported in Mediterranean streams (Martí and Sabater, 1996; von Schiller et al.,
 Ecological Assessment of Mediterranean Streams … 131

2008a). Besides, and as a result of lower water velocities and higher water residence times in
summer, solute concentrations increase. Gómez et al (2009) described higher N and Cl
concentrations in an intermittent reach than in a permanent reach of the same arid
Mediterranean stream (the Chicamo stream) under base-flow conditions as a result of
differing hydrological conditions. In addition, solute concentrations increased close to
summer in the intermittent reach owing to lower surface flow, whereas the permanent reach
was hydrologically more stable and solute concentrations did not change (García, 2005). An
opposite effect on solute concentrations was described in Rio Calaveras (New Mexico, USA).
In this stream, Dahm et al. (2003) described how dissolved organic carbon (DOC)
concentrations decreased, as inputs from groundwaters diminished during drought. This
change in DOC availability favoured, in turn, autotrophs more than heterotrophs, with the
consequent impact on nutrient concentration.
Thus, chemical parameters are expected to be more variable over time in temporary
streams where surface flow discharge shows greater fluctuations than in permanent streams.

Table 4. Variability in physico-chemical parameters at different spatial and temporal

scales

Spatial scale Temporal scale

Local Variation up- to Variation across Daily Seasonal Inter-annual

variation * down-reach ** streams + variation variation x variation xx
++
Discharge (L/s) 1.2-10.5 0.3-20.0 0.8-3 9.1-70.9-8.4 3.4-11.1-18.1
Conductivity (mS/cm) 11.0-15.1 0.84-10.37 6.4-29.2 12.8-13.6-13.8
Chloride (meq/L) 28.2-138.0 1.64-43.6 56.4-18.6-33.8
Dissolved oxygen
0-25.4 4.3-20 12.3-8.6-9.1
(mg/L)
Oxygen saturation
90-140 40.4-222 129.4-97.4-95.2
(%)
Nitrate-N (mg/L) 1.4-3.5 2.3-29.5 0.05-1.8 1.5-3.6 8.8-2.8-5.8 2.8-2.4-2.6
Amonium-N (mg/L) 0.1-0.4 0.01-0.38 0.03-0.1 0.03-0.1-0.01 0.5-0.1-0.09
Orthophosphate- P
4.8-12 15.4-2219.2 0.5-6.0 8.0-9.0-5.0
(µg/L)

* Local variation in Chicamo stream under base-flow conditions through a 350 m-reach. Data are the
minimum and maximum average values (n= 3) from one date (extracted from Vidal-Abarca et al.,
2000).
** Variation in Chicamo stream through a non-impacted 10 km-reach, under base flow condition
(extracted from García, 2005).
+ Variation across non-impacted streams located in the province of Murcia under base-flow conditions.
Data are the minimum and maximum average values (n=18) from one date (extracted from Moreno
et al., 1995).
++ Daily variation in Chicamo stream. Data are average values from 4 dates and 6 points (extracted
from Vidal-Abarca et al., 2002). Discharge values of 0.0 (from pools) are discarded.
x
Variation in Chicamo stream through seasons: under base-flow conditions, after rainfall and under
post-drought conditions. Values are average data from n= 30, 14 and 15 points, respectively
(extracted from García, 2005).
xx
Inter-annual variation. Data are the mean values from one stream for 1994 (n=144); 1998 (n=126)
and 1999 (n=30). (extracted from Vidal-Abarca et al., 2004).
132 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Diel fluctuations in the physico-chemical parameters are also high in temporary streams
because of fluctuating surface water discharge. In an arid Mediterranean stream (southeast
Spain), Vidal-Abarca et al. (2002) found that the diel variations for water temperature,
dissolved oxygen and pH were higher than those for the annual cycle. However, salinity,
alkalinity and nutrient concentrations remained in the annual cycle. This is another important
aspect to consider when establishing the natural range of variation of solute concentrations in
temporary streams.
On the other hand, we must to be careful when considering expectations on seasonal
changes in solute concentrations. On an annual scale, Ortega et al (1988) and García (2005)
noted a drop in nitrate-N and chloride concentrations after rainfalls in relation to the base-
flow conditions, whereas they observed an increase in the summer months. These results
contradict those reported by others authors (e.g., Grimm, 1987; Dent et al, 2001; Martín et al.,
2004) who described increased N concentrations after rainfalls. This pattern of variation in N
concentrations has been termed by some authors as the “classic N cycle” (Martín et al., 2004).
Likewise, inter-annual variability is another very important aspect to consider, especially
in temporary streams, as pointed out by several authors (Martín et al., 2004; Vidal-Abarca
and Suárez, 2007; von Schiller et al., 2008a). Shorter-term variability in chemical
concentrations in streams and rivers can result from individual events, whereas longer-term
seasonal and inter-annual variability are both significant, and provide an indication of
environmental changes. The presence of trends in water chemistry provides insight into the
contributing factors behind these changes, such as climatic variation or changes in land use
and management (Potts et al., 2003).
Finally, Table 4 summarises the spatial and temporal variability data in some physico-
chemical variables extracted from different studies conducted in temporary streams of
southeast Spain. Just as spatial and temporal variability increases as the study scale does, the
study of a broader range of temporary streams from other regions is fundamental to gain a
global view of the wide-ranging variation of the physico-chemical features in temporary
streams.
In summary, all of these results highlight the importance of considering spatial and
temporal variation in solute concentrations and chemical conditions to better design
monitoring programme that adequately characterise temporary streams. Although this last
aspect may have been somewhat neglected, it is still an important consideration in stream
water monitoring programs. In addition, the European Water Framework Directive (WFD)’s
ultimate purpose is to determine the ecological and chemical statuses of surface waters, which
is another important reason to obtain more information on spatial and temporal variability in
temporary streams under chemical conditions.
In addition, the range of natural variation in temporary streams should be incorporated
into the quality standards for RC in surface waters, as other authors have indicated for
macroinvertebrate assemblages in Mediterranean streams (Sánchez-Montoya et al., 2007).

4.3. The Use of Functional Indicators

The WFD stipulates (European Commission, 2000) that the ecological quality of surface
waters should be quantified as “an expression of the quality of the structure and functioning
of aquatic ecosystems associated with surface waters”, where the term structure refers to the
 Ecological Assessment of Mediterranean Streams … 133

physical and chemical settings and to the biological structure of ecosystems. The idea
assumed by this directive, that measures of biological structure relate directly to ecosystem
functioning, is too simple (structure and functioning might not actually be linked) and
complex given the fact that linking structural properties of the community to ecosystem
processes is a major challenge in contemporary ecology (Sandin and Solimini, 2009). Young
et al. (2008) suggested that stressors may change the structure but not the function, both the
structure and function, or the function but not the structure. Thus, recently ecosystem
functioning has been suggested as a measure of ecosystem integrity and health to complement
ecosystem structures (through biological and physico-chemical indicators) that are usually
measured during routine monitoring (Gessner and Chauvet, 2002; Fellows et al., 2006).
Ecosystem functioning includes a considerable number of relationships (processes) among the
ecosystem’s biotic and abiotic elements, including those with adjacent ecosystems (terrestrial-
aquatic linkages), and it is expected to accurately reflect a broad range of catchments
disturbances (Bunn et al., 1999). The importance of these ecosystem processes are becoming
increasingly recognised by the WFD. In fact, today’s management programmes recognise the
importance of protecting ecosystem processes as another ecosystem biodiversity element.
The more commonly used measures of ecosystem functioning are leaf litter breakdown
rates, ecosystem metabolism (i.e., gross primary production; GPP and ecosystem respiration;
ER) or nutrient retention (nutrient uptake velocity), as well as biofilm biomass, growth
chlorophyll a concentration, the autotrophic index (biofilm ash-free dry mass/chlorophyll a)
and fungal biomass (i.e., Feio et al., 2010). The ecological importance of functional indicators
has inspired numerous empirical studies on its rates and controls, albeit mostly in a single
stream or among a few streams in a single region (e.g., Mulholland et al., 2001; Dodds et al.,
2002; Kemp and Dodss, 2002; Gücker and Boëchat, 2004; Wiegner et al., 2005; Bernot et al.,
2006; Roberts et al., 2007), and more recently across geographic regions (Bernot et al., 2010).
However, the number of studies carried out in temporary streams is much lower, and include
those on nutrient retention (Maltchik et al., 1994; Martí and Sabater, 1996; Martí et al., 1997;
Butturini and Sabater, 1998; von Schiller et al., 2008a) and metabolism (Mollá et al., 1994;
Guasch and Sabater, 1995; Guasch et al., 1995; Mollá et al., 1996; Suárez and Vidal-Abarca,
2000; Velasco et al., 2003; Acuña et al., 2004; 2005).
Likewise in recent years, a large number of studies on land use effects on stream
functional indicators have been conducted. Save a few studies carried out in the
Mediterranean region (Sabater et al., 2000; Martí et al., 2004; Martí et al., 2006; von Schiller
et al., 2007; 2008b; Gutiérrez-Cánovas et al., 2009), the analyses of the influence of
anthropogenic stressors on stream ecosystem functioning have practically been limited to
temperate regions of North America (e.g., Haggard et al., 2005; Meyer et al., 2005; Houser et
al., 2005; Johnson et al., 2009; Bernot et al., 2010). However, studying the influence of
stressors on stream function across landscapes and climates (geographic regions) is critical to
develop a global view of how land use affects the health and integrity of streams (Bernot et
al., 2010). A more profound study of Mediterranean temporary streams would improve
knowledge on the effect of land use changes on stream functioning given the specific features
characterising Mediterranean streams (von Schiller et al., 2008b): natural deficit of water
resources with marked hydrological fluctuations (including drought), a longer history of
human impact than temperate streams, and watersheds with mixed land uses that conform a
very patchy landscape.
134 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

As we can find a wide range of hydrologically different streams under the term
Mediterranean, several critical questions may be better addressed in temporary Mediterranean
streams before using functional indicators. For instance, how low and intermittent surface
flow affects ecosystem processes such as nutrient uptake, ecosystem metabolism or organic
matter breakdown; how drought affects all these processes; and the effect of salinity on them.
Many of the aspects highlighted in the previous section can be applied to help provide a
better understanding of why a wide spatial and temporal variability in the functional
processes in Mediterranean temporary streams can be expected. Physico-chemical factors
(nitrate-N and ammonium-N availability, dissolved oxygen concentration, pH, etc.) and the
biotic environment determine the rate and reactions of ecosystem processes (MacClain et al.,
2003). Similarly,, ecosystem processes (organic matter breakdown, N-nitrification,
denitrification, and in general nutrient uptake measures, GPP, ecosystem respiration) affect
the physico-chemical environment. Both are linked but describe different aspects of the same
entity. Thus, is not unexpected, as suggested for the case of solute concentrations, that spatial
and seasonal variability in ecosystem processes will be higher in intermittent streams than in
permanent streams.
In several streams located in a single Mediterranean catchment, von Schiller et al.
(2008b) found that NH4- demand (measured as uptake velocity Vf) decreased along the
gradient from forested-to-urban-dominated watershed, primarily in response to increases in
the stream water nutrient concentration. However, our results of NO3+ and NH4- demand (Vf),
obtained in two Mediterranean temporary streams (SE Spain), differed through a similar
gradient of land use change, but through the same channel (i.e., from head to mouth) (Arce
and Gómez, in preparation). NO3+ and NH4- demand did not decrease through the stream
channel, with impacted reaches (down-reaches) showing similar N demand to un-impacted
reaches (up-reaches). In fact in one of the studied streams, NH4- demand even increased in
impacted reaches if compared with non-impacted reaches. In addition, NO3+ uptake showed
no sign of saturation (O´Brien and Dodds, 2010), which could be expected if we consider the
high NO3+ concentrations of these down-reaches (average values of 3-21mg/L) the high
concentrations of N added (50 mg/l), and the “expected vulnerability” of temporary streams
to N inputs given their scarce flow and limited biota (Dahm et al., 2003; von Schiller et al.,
2008a; Gómez et al., 2009).
Hydrological intermittency may have a strong influence on both ecosystem processes and
nutrient dynamics (Dahm et al., 2003; Bernal et al., 2005; Lillebo et al., 2007). In particular,
biotic uptake (nutrient uptake length) may be influenced by changes in discharge (Stream
Solute Workshop, 1990; Peterson et al., 2001; Wollheim et al., 2001), as reported in
Mediterranean streams (Martí and Sabater, 1996; von Schiller et al., 2008a). However, the
effect of drought on ecosystem processes is not well-known.
By way of example, the effects of drought on N retention in streams and rivers are less
thoroughly documented than effects of floods (Kern et al., 1996; Koschorreck, 2005).
Although some studies have examined the effect of drought and rewetting on N cycling (N-
mineralisation, denitrification) (e.g., Qiu and Mc Comb, 1996; McIntyre et al., 2009a; 2009b;
Fierer and Schimel, 2002), there are no studies available on the effect of drought on N uptake,
or metabolism. In this sense, some authors (e.g., Amalfitano et al., 2007) have suggested an
inherent resistance to drying of part of the benthic bacterial community in Mediterranean
temporary rivers, which may better adapt to frequent drying-rewetting events if compared to
stream bed microorganisms that rarely undergo extreme fluctuations in moisture content
 Ecological Assessment of Mediterranean Streams … 135

(Fierer and Schimel, 2002). Similarly, von Schiller et al (2008a) revealed how seasonal
variability in nutrient retention in a intermittent stream was unexpectedly lower than in a
permanent stream, which suggests the high resilience of the biological communities
responsible for nutrient uptake.
Another poorly studied aspects of Mediterranean temporary streams is to know how
salinity affects ecosystem functioning. In the Mediterranean region, one of the human
stressors on aquatic systems is the dilution of its natural salinity content. The expansion of
irrigated surface land has resulted in increasing dilution stress that affects the biological
structure of streams (Gómez et al, 2005; Velasco et al., 2006). Along these lines, Gutiérrez-
Cánovas et al. (2009) analysed the effect of dilution stress on the functioning of a saline
Mediterranean stream, and showed that although the metabolic rates and biomass of
consumers were greater under disturbance conditions (dilution), no significant differences
between disturbance or non-disturbance conditions were found given their strong dependence
on the seasonal cycle. However, autotrophic biomass was clearly affected, with changes in
community species composition under the impacted conditions.
These results support the idea that more studies are needed in temporary streams to
provide further knowledge of ecosystem functioning and the effect of anthrophogenic
stressors on them. This necessity becomes even greater if we consider that on a global scale,
more streams and rivers have being affected in its hydrological conditions by natural or
human-induced changes. In parallel to surface discharge reduction, increased water salinity
occurs as a result of lower dilution. This fact is expected to affect an increasing number of
streams and rivers in different regions as surface discharge will decrease. Thus, the effect of
salinity on stream ecosystem functioning could be considered a research priority in temporary
Mediterranean streams.
Finally by considering the unique properties of temporary streams (Larned et al., 2010),
and the still scarcity of functional studies (in relation to driver factors and the effect of
stressors), we finish with a call for conservation, resource management and research
investment efforts that address their preservation. Studying temporary streams allows us to
learn more about their functioning under fluctuating hydrological conditions, a situation
which is likely to occur given the expected global climatic change. As Larned et al. (2010)
pointed out, the primary objectives for effective temporary river management are the
preservation or restoration of aquatic-terrestrial habitat mosaics and natural flow
intermittence, and the identification of flow requirements for highly valued species and
processes.

CONCLUSIONS
Many studies carried out in Mediterranean streams have reported useful classifications of
stream-types in this area, however fewer works have validated the needed correspondence
between environmental typology and biological communities. Most of typologies agreement
with the division of temporary and permanent in different stream types due to their different
biological communities. Lower values for several metrics as EPT, NFAM and IBMWP in
temporary streams, if compared to permanent streams, must be attributed to the natural
differences in macroinvertebrate communities.
136 M. M. Sánchez-Montoya, R. Gómez, M.L. Suárez and M. R. Vidal-Abarca

Also a specific methodology to select reference sites in Mediterranean streams has been
developed. Its application indicates that, due to the multiple stressors present in
Mediterranean areas, not reference sites are found at “large watercourses” which are located
at the main course at low altitude. In this case, less restrictive criteria must be established.
Recent studies point out the wide variability in biological communities in temporary
streams. This may justify a further division of this ecotype into subgroups to ensure the
proper application of the WFD methodology. This subdivision may relate to the varying
permanence of superficial flows in intermittent and ephemeral streams and natural salinity.
To consider spatial and temporal variation in solute concentrations and chemical
conditions, is critical for designing better monitoring programs to adequately characterize
temporary streams and to determine the ecological and chemical status. In addition, the range
of natural variation should be incorporated into the quality standards for reference conditions
in surface waters.
Functional variables may be especially useful in situations where there is a stronger
response among those organisms not usually included in stream assessments (e.g., fungi and
bacteria) than the commonly used invertebrates, macrophytes and fish indicators; to detect
early signs of degradation in high quality sites. However, we believe that more studies must
be carried out, especially in temporary Mediterranean streams, to obtain functional indicators
to be used as an effective, applicable tool for streams and rivers management.
Finally, in the framework of the global climatic change predictions, studies conducted in
temporary streams are essential to make predictions on the spatial and temporal variability in
the structure and functioning of the aquatic ecosystems at a wider global scale.

ACKMOWLEDGMENTS
This work was made possible by the GUADALEMD 2 project (REN20001-3438-C07-
01) financed by the Spanish Ministry of Science and Technogly, the MIRAGE project (P7-
ENV-2007-1) financed by the European Commission, and the I+D project (CGL2010-21458)
financed by the Spanish Ministry of Science.

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Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 3

HISTORICAL CHANGE AND MANAGEMENT OF THE

FLOODPLAIN FORESTS OF THE MIDDLE ELBE RIVER

Brack W. Hale1 and Michael S. Adams2

1
Department of Math and Natural Science, Franklin College Switzerland,
Sorengo, Switzerland
2
Botany Department, University of Wisconsin-Madison, Madison, Wisconsin, USA

ABSTRACT
Floodplain forests are vital to the functioning of river ecosystems. They support the
rich diversity characteristic of these systems, play an important role in nutrient cycling,
and serve as an ecotone between the terrestrial and aquatic biomes. This chapter explores
the changes that have taken place in the floodplain forest community of the Middle Elbe
River over the last 50 years, examining the role that altered river dynamics, herbivore
pressure, human management, and invasive species have played in shaping the current
forests. It also looks at the development of the UNESCO Flusslandschaft Elbe Biosphere
Reserve, which now manages much of the Middle Elbe's ecosystem, and the influence the
biosphere reserve's activities have on the forests. Our research indicates that the
floodplain forests, currently dominated by pedunculate oak (Quercus robur) and field
maple (Acer campestre), have undergone a shift in community composition since the
1950’s, including a loss of more flood tolerant species. Our results further suggest that
browsing is limiting regeneration. When examining the forests across the different
management zones, it appears that the core zone forests will likely experience an eventual
loss of oak dominance, whereas forestry practices in the buffer zones should maintain the
oak at a moderate level. American green ash (Fraxinus pennsylvanica), an introduced
species, is also more prevalent in the buffer zones. The different zones of the biosphere
reserve currently help maintain a more diverse mix of forest communities across the
landscape. However, without a restoration of a more natural flooding regime, early
successional communities will become increasingly rare. The biosphere reserve managers
recognize this issue and are currently pursuing several projects to help mitigate the loss of
natural processes, including setting back levees to increase the size of the active
floodplain, restoring backwater lakes, and removing introduced species
150 Brack W. Hale and Michael S. Adams

INTRODUCTION
Natural river floodplain forest systems in Europe have almost completely been destroyed
by extensive modification of European rivers and their floodplains (BRFME2002). Remnant
systems are valuable ecologically, as well as socially. In general, they represent some of the
most diverse habitats in the temperate zones, are highly productive, and provide a multitude
of services, such as water filtration, flood control, recreation, wildlife habitat, and migration
corridors (Petts 1990; Pinay and others 1991; Ward and Stanford. 1995; Décamps 1996;
Dister 1996; Costanza and others 1997). Some of the few remaining systems in Europe have
begun to receive legal protections, e.g. the Lower Oder National Park, the Alluvial Zone
National Park on the Danube, and the Flusslandschaft Elbe Biosphere Reserve. Despite
protections, remnant systems face a multitude of threats, including the loss of the natural
flooding regime, logging, introduced disease and species, and altered levels of herbivory
(Dynesius and Nilsson 1994; Dister 1996; Scherzinger 1996; Tickner and others 2001). To
conserve and protect these and other remnant areas properly, we must better understand how
such systems function and how they respond to potential threats. This chapter reviews basic
floodplain forest ecology before examining the floodplain forests of the Middle Elbe and the
changes that have occurred there over the last fifty years. Additionally describes the
development of the Flusslandschaft Elbe Biosphere Reserve and analyzes the impact the
biosphere reserve model has had on the forests. Lastly, it presents some exemplary
management practices the biosphere reserve implements to maintain the health of the forests.

Temperate Floodplain Forests

River floodplain forests are known in the literature as alluvial forests, bottomland
hardwood forests, or riparian forests. They represent some of the most diverse and productive
systems on this planet, but also some of the most threatened (Brinson 1990; Malanson 1993;
Christensen and others 1996; Décamps 1996; Ward 1999). The natural hydrologic regime,
characterized by periodic flood-pulses, is the major factor shaping natural floodplain forests.
The floodplains often include natural levees along the banks of a river, behind which a ridge-
swale topography dominates—the result of historical shifts in the river channel (Brinson
1990). The small variations in elevation above the river translate into large differences in the
frequency and duration of flooding at a given location. This, in turn, greatly influences the
type of vegetation that can grow there. Flood-tolerant species compete well at the lower
elevations, where flooding events are more common and of longer duration. Species with less
flood tolerance are restricted to higher elevations sites, such as ridges, levees, and terraces.
(Brinson 1990; Naiman and Décamps 1997). The deposition of sediments with the flood
pulses can slowly increase the elevation of a site above the river and groundwater, allowing
succession from more to less flood-tolerant species (Barnes 1997). Thus, in contrast to many
upland forests, where light availability and shade tolerance often drive forest ecology (Oliver
and Larson 1996; Scherzinger 1996), floodplain forest composition and succession are
determined primarily by flooding. Hall and Harcombe (1998) demonstrated that flooding can
 Historical Change and Management of the Floodplain Forests … 151

even alter a species’ shade tolerance. However, succession is not unidirectional in these
systems; extreme flooding events can reset community development on the floodplain (Junk
and others 1989; Naiman and Décamps 1997; Yin 1998). The net result of these dynamic
processes is a diverse mix of species and communities for which floodplain forests are well-
known.

Functions and Values of the Floodplain Forests

Floodplain forests contribute greatly to the ecological health and the functioning of the
entire river-floodplain system (Décamps 1996). The diverse flora provides habitat and forage
for numerous species of insects, reptiles, amphibians, birds, and mammals; during flood
periods, they also play the same role for many species of fish and other aquatic organisms
(Petts 1990; Gore and Shields Jr. 1995; Piegay and Landon 1997). During difficult periods,
such as regional drought, these forests can serve as refugia (Ware 1955; Naiman and
Décamps 1997). They also serve as seasonal migration corridors, most notably for migratory
bird species (Junk and others 1989; Petts 1990; Naiman and Décamps 1997). Floodplains also
play an important role in the storage of floodwaters, as well as the recharge of local
groundwater (Pinay and others 1991). The forests also filter surface and shallow groundwater
and contribute to nutrient cycling while water is stored on or as it flows through the
floodplain. They moderate levels of nutrients such as nitrogen and phosphorus arriving from
uplands and upstream, as well as trap sediments running off from upland sources (Peterjohn
and Correll 1984; Pinay and others 1991; Lowrance 1999). The forests also serve as a source
of a variety of forms of organic carbon, which provides food for river organisms and in its
largest form (large woody debris) also traps sediments (Petts 1990; Ward and Stanford. 1995;
Décamps 1996; Piegay and Landon 1997).
These functions are not just important from an ecological perspective, but they are also
services for human societies (Costanza and others 1997; Ewel 1997; Postel and Carpenter
1997). The diversity of plants and animals in these areas provides economic and cultural
benefits, such as bird watching, fishing, hunting, and timber. In areas where runoff from
farms and settlements often contain excessive levels of nutrients and sediments, the filtering
functions of floodplain forests help counteract cultural eutrophication of receiving water
bodies. Furthermore, the floodwater storage capacity of these forests is important for
protecting downstream settlements in floodplain areas from extreme flooding events. The lack
of active floodplains along the Elbe created dangerous flooding situations for human
settlements, which resulted in significant loss of human life and property during the 2002
floods (WWF Deutschland 2009). Finally, where communities draw water from riverine
aquifers, the groundwater-recharge function of natural floodplain forests is invaluable.

Human Interventions in River-Floodplain Forests

Human activities have increasingly affected temperate floodplains. Tockner and Stanford
(2002) estimate that in North America (excluding Alaska and N. Canada) approximately 46%
of the floodplain is “intensely cultivated”; in Europe, the corresponding figure is 79%.
Humans have become significant forces shaping the floodplain system and detrimental ones
with respect to the ecological health of the forests. In North America, over half of the forested
152 Brack W. Hale and Michael S. Adams

wetlands have been destroyed; in Europe, natural floodplain losses approach 95% (Tockner
and Stanford 2002).
The major impacts stem from engineering works in the river and on the floodplain, such
as dams and levees. Forest conversion, timber harvests, introduced diseases, invasive species,
and altered levels of herbivory also threaten the forests. Successful conservation of remnant
floodplain forests must concern itself with these potential threats.
River engineering works disrupt the natural flow regime of river systems and their
floodplains. Dams moderate natural high and low flow events downstream, thus depriving
floodplain forests of their most important disturbance (Décamps and others 1988; Sparks
1995; Poff and others 1997). Dams also trap sediments, which causes the river downstream to
incise into its bed (Brinson 1990; Dister 1996; Poff and others 1997). This lowers the
elevation of the river with respect to the floodplain and drops groundwater levels. Both of
these impacts further exacerbate the decrease in flooding caused by upstream water retention.
Wing dams and other river training works also contribute to bed erosion. Levees, in contrast,
prevent floodwaters from inundating those parts of the floodplain that lie behind the levees
(Gergel 2002).
All of these alterations modify the rejuvenation of the existing forest community by
either decreasing or eliminating periodic floods. Consequently, the forest community shifts to
later successional stages, losing pioneer stages and diversity (Johnson and others 1976;
Barnes 1997; Poff and others 1997). The changes in the hydrologic regime can render these
systems more susceptible to invasive species as well (Poff and others 1997; Cowell and Dyer
2002). These changes in the vegetative community can then cascade through the wildlife of
the region, further stressing already threatened species (Naiman and Décamps 1997; Knutson
and Klaas 1998; Nolet and Rosell 1998).
Timber harvests in the floodplain may provide economic benefits to surrounding
communities (Petts 1990; Ewel 1997), but they also represent disturbances that create gaps in
the forest and increase the amount of light reaching the lower layers. The exact nature of the
impact from a harvest depends on the type of harvest (Lockaby and others 1997). Clearcuts
typically have the greatest effect on species composition and shift regeneration toward shade
intolerant species (Dister 1996; Scherzinger 1996; Meadows and Stanturf 1997; Messina and
others 1997). Harvests such as group and single-tree selection tend to favor more shade
tolerant species. Trees that remain on site after these partial harvests sometimes suffer from
either direct damage from harvests or indirect impacts from increased exposure to light or to
greater wind intensities (Meadows and Stanturf 1997; Kozlowski 2002). Although harvests
provide a disturbance that may enhance the reproduction of shade intolerant species, they also
provide an opportunity that invasive species can exploit (Knutson and Klaas 1998). Harvests
can also, at least temporarily, decrease primary productivity, evapotranspiration, nutrient
cycling, and the filtering of overland flow (Brinson 1990; Shepard 1994; Lockaby and others
1997).
Introduced diseases and species present another set of threats to the floodplain forests.
Dutch elm disease, a fungal disease native to Asia, has decimated major elm species in
Europe and North America over the last century.
One of the most affected communities has been the temperate floodplain forests, where
elm species were historically dominant canopy species (Dunn 1986; Wagner 2000). Since the
1920’s, Dutch elm disease has affected elm populations in Europe, particularly the small-
leaved elm (Ulmus minor), which historically has been a major species in German river
 Historical Change and Management of the Floodplain Forests … 153

floodplain forests (Scherzinger 1996; Schütt and others 2002). Elms infected with the disease
typically die before they reach 40 years, preventing them from attaining a dominant position
in canopy (Dornbusch 1988). The gaps created by dead elms can lead to increased shrub
density in the understory (Dunn 1986).
Invasive species are also a growing concern in floodplain forests in the temperate zones
(Tickner and others 2001) . Invasive species can typically take advantage of the altered
disturbance regimes of the floodplain forests more readily than many of the native species
(Planty-Tabacchi and others 1995).
Invasive species can potentially alter the structure and composition of forests, as well as
to reduce regeneration of native species. In their review of exotic and invasive species trends,
Schnitzler and others (2007) found several exotic tree species present in European riparian
forests; these included box elder (Acer negundo), Tree of Heaven (Ailanthus altissima), green
ash (Fraxinus pennsylvanica), honey locust (Gleditschia triacanthos), and black locust
(Robinia pseudoacacia).
Herbivory is also considered one of the major factors shaping natural communities
(Naiman and Décamps 1997). Over the last several centuries, North American and Western
European societies have systematically extirpated major predators and encouraged large
herbivore populations through land cover changes and hunting practices (Scherzinger 1996;
Waller and Alverson 1997). Human activities have led to a large increase in herbivore
populations in German forests, in particular the roe deer, Capreolus capreolus (Briedermann
and others 1986; Schwartz 1988; Scherzinger 1996).
Studies have shown that deer browsing can hinder tree regeneration, alter forest
composition (Gill and Beardall 2001; Harmer 2001; Partl and others 2002), and at least one
study demonstrates that browsing tolerance is more important than shade tolerance in forests
with excessively high deer densities (Collins and Carson 2003).

The Elbe and the Middle Elbe

As seen in Figure 1, the Elbe flows 1094 km from its source in the Giant Mountains
(Krkonoše) of the Czech Republic to Cuxhaven, where it enters the North Sea with an annual
average discharge of 861 m3/s (Simon and others 2005). The Elbe catchment measures
148,248 km2, with two-thirds in Germany, one third in the Czech Republic, and some very
small areas in Poland and Austria (International Commission for the Protection of the Elbe
2005). The river is typically divided into three main sections: the Upper Elbe, which runs
from the source to Schloss Hirschstein in Germany; the Middle Elbe, which continues until
the Geesthacht Weir; and the Lower (tidal) Elbe, which completes the course to the North Sea
at Cuxhaven.
The Elbe has not been channelized and remains relatively undeveloped, compared to
other major European rivers, such as the Rhine and Danube (Reichhoff 1991a). Still, existing
islands and sand bars were removed at the turn of the 19th century, and many meanders were
shortened (Jüngel 1993); it is estimated that the entire Elbe has lost 119 km since the 16th
century (Simon and others 2005).
The river also possesses wing dams and other channel training structures, many of which
fell into disrepair during the Cold War (Dörfler 1996). Although the Middle Elbe is free
flowing, its flow regime has been affected by the multitude of dams in the upper watershed,
which have at least partially been responsible for a decrease in flooding during the second
half of the 20th century (van der Ploeg and Schweigert 2001; Helms and others 2002) and an
154 Brack W. Hale and Michael S. Adams

increase in the level of low flows (Simon and others 2005). Levees were first built as early as
the 1100’s by settlers to the Middle Elbe. Today 730 km of levees line the Middle Elbe,
preventing floods from reaching 3285 km2 (approximately 80%) of formerly active
floodplains (Bräuer and Lozán 1996; Simon and others 2005).
The Middle Elbe possesses a temperate climate with an annual temperature of 8.7 °C,
ranging from 0°C in the winter to 18.5°C in the summer (Ständige Arbeitsgruppe der
Biosphärenreservate in Deutschland 1995); average annual precipitation is approximately 550
mm. At Aken, the discharge rate averages 431 m3/s (Bergemann 2006). The highest flows
along the Middle Elbe typically occur in springtime, with an average high flow of 1650 m3/s
(Simon and others 2005). Flows decrease throughout the summer and fall, reaching an
average low flow of 158 m3/s. Nonetheless, floods can occur throughout the year due to snow
melt, heavy precipitation events, and/or ice jams.
The forests of the middle Elbe represent the largest remaining floodplain forest complex
of Central Europe (Reichhoff 1991b). They are typically classified under the Braun-
Blaunquet system (Braun-Blanquet 1965) with two main associations: the Weichholzaue
(Salici-Populetum), which represents the pioneer community of multiple willow (Salix spp.)
and poplar (Populus spp.) species; and the Hartholzaue (Fraxino-Ulmetum Subass. Acer
campestre), which is dominated by four species: pedunculate oak (Quercus robur), the small-
leaved elm, the common European ash (Fraxinus excelsior), and the field maple (Acer
campestre).
On drier sites, hornbeam (Carpinus betulus) and linden (Tilia cordata) are also present.
Although European floodplain forests have fewer species than their North American
counterparts, they are still considered the most diverse forests in Europe (Schnitzler and
others 2003). Further, they possess a high level of biodiversity: more than 40 mammal
species, 35 fish species, and over 280 bird species have been recorded in the Middle Elbe
region (Dornbusch and Dornbusch 1991; Adams and others 2001)
 Historical Change and Management of the Floodplain Forests … 155

Figure 1.The Elbe River.

FOREST CHANGE SINCE THE 1950’S

The co-existence of high levels of human activity along the Middle Elbe with the remnant
forest complexes raises important questions about how these forests are responding to the
human pressures. This section will first look at how the forests have changed since the 1950’s
and then consider the role the development of the biosphere reserve has played.
To examine how the floodplain forests have changed since the 1950’s, we selected sites
in the active floodplain, not behind the levee system (Boxed area in Figure 1. and Table 1)
and in areas studied by Passarge (1953, 1956). We sampled each site using the random pairs
method, a plotless survey technique developed by Cottam and Curtis (1956), which provides
quantitative data on forest structure and composition. We collected data at sampling points
along randomly located transects that ran perpendicular to the flow of the river. To avoid edge
effects, we did not sample the 25 m near the forest edge. We also did not sample in areas that
had been recently harvested, as they lacked an overstory and only consisted of planted mixes
of oak, ash, and elm. At each point, we collected data on species, diameter at basal height
(dbh), and distance between pairs of individuals for both the tree and understory layers. These
data allow for the estimation of frequency, stem density, and basal area (tree layer) for the
sites. The tree layer consisted of stems with a dbh greater than 10 cm and the understory as
stems taller than 1.5 m and with a dbh of 1-10 cm. We treated individuals with multi-stems as
one entity. In all, we sampled forty points per site.

Table 1. Study sites

Site Management Yeara Management commentsb

156 Brack W. Hale and Michael S. Adams

Zone
East 1 core 1961(90) Stands range in age from 85 – 165 years; some
trees over 250 yrs.
West 1 core 1955(79/90) Stands range from 40 to
over 220 years
West 2 core 1961(79/90) Stands range from 40 to 220 yrs.
East 2 buffer 1961 Stands range from 30 – 135 yrs
East 3 buffer 1961 Stands range from 45 – 135 yrs.
West 3 buffer 1926 Stands approximately 80 years old; some trees
150-200 yrsc.
a
year established as Naturschutzgebiet (conservation reserve); year established as core zone in
parentheses.
b
source: Haideburg, Lödderitz, and Wörlitz Forestry Bureaus
c
data were not available for all of study site

Historical Data
For the historical analysis, we compared our data with those of Passarge (1953; 1956).
The 1953 study provides data on the floodplain forests in the so-called Middle German Dry
Area (the western half of the MEBR) and the 1956 study provides data on the forests of the
eastern half of the MEBR. Passarge collected data using methods typical of German
ecologists, the Braun-Blanquet School. This methodology differs from the methodology of
the Wisconsin School we used and provides data in a different, less quantitative form. Site
selection is generally subjective, as the investigator typically chooses a representative area for
the community of interest (Kreeb 1983). It uses one large quadrat for forested areas (typically
400 m2) per relevé and collects data on a species (visually) estimated cover. Cover estimates
are given in categories (e.g. +, 1-5). Multiple relevés analyzed provide a measure of
frequency (Stetigkeit).

Data Comparison And Analysis

For analysis purposes, we transformed the data from the tables in Passarge’s studies into
importance values for the species. The studies provided data on both cover and frequency. We
calculated average cover values where necessary, and then converted the cover and frequency
values into relative cover and frequency, respectively. We summed the relative cover and
frequency to produce an importance value. We averaged IV’s from both the 1953 and 1956
studies. To create comparable IV’s from our data, we assumed relative dominance (basal
area) for the tree layer and relative density for the understory to be proxies to Passarge’s
relative cover. We calculated frequency and relative frequency based on site-level data, rather
than point-level data, as would be typical with the Wisconsin methods. We summed the
appropriate relative abundance measure with relative frequency for species to yield an IV.
For our data, we calculated summary data statistics based on site-level data, including
average basal area per tree, basal area per hectare, tree stem density, and understory stem
density. Since Passarge’s studies do not contain comparable information, we provide
estimates from Dornbusch (1988), which contains basal area and density estimates for the
Steckby-Lödderitz forest from 1971. For each time period, we also calculated several
measures of diversity for both the tree layer and the understory: number of species, the
Shannon index (H’), and Pielou’s J, a measure of evenness (Ludwig and Reynolds 1988).
 Historical Change and Management of the Floodplain Forests … 157

We also calculated IV’s for groups of species based on life-history traits and other traits
of interest. These include shade tolerance, flood tolerance, two measures of ecological
quality, and a measure of herbivory. Appendix 1 provides a summary of the species and their
respective classifications. We divided species into three classes of shade based on available
literature: tolerant, intermediate, and intolerant (Schnitzler and others 1992; Wagner 1995;
Grubb and others 1996; Niinemets and Kull 1998; Kollmann and Grubb 2001; Atkinson and
Atkinson 2002; Schütt and others 2002; Tallantire 2002). We divided species into similar
groupings of flood tolerance, again based on the available literature (Schnelle 1981; Dister
1984; Frye and Grosse 1992; Schnitzler and others 1992; Siebel and Bouwma 1998;
Rothmaler 1999; Atkinson and Atkinson 2002; Schütt and others 2002; Tallantire 2002). One
measure of ecological quality derived from a work by Hermy and others. (1999), which
analyzed ancient forest remnants in Europe and determined a group of “ancient forest
species,” species common in forests that are several hundred years old. The other measure of
ecological quality derived from “Hemerobie” rankings, a measure of a species’ preference for
human disturbed habitats (Bundesamt für Naturschutz 2002). Based on these ranking, we
classified a species as more common in relatively natural (high conservation), moderately
disturbed (intermediate), or disturbed habitats (low conservation), depending on the average
hemerobie value. For an indicator of herbivory by roe deer, we classified plant species as
palatable, intermediate, or unpalatable, based on the literature (Bobek and others 1979; Gill
1992; Verheyden-Tixier and others 1998; Gill 2000; Gill and Beardall 2001; Harmer 2001;
Atkinson and Atkinson 2002; Partl and others 2002; Schütt and others 2002). Finally, for the
understory, we also examined changes in a grouping of species armed with thorns or other
herbivore defenses, as another potential indicator of herbivory (Rothmaler 1999; Schütt and
others 2002).

Changes in the Tree Layer

The forests of the Middle Elbe have been heavily managed for centuries (Wagner 2000;
Schmidt 2002). In the last couple of decades, management has shifted its emphasis toward
using and restoring natural processes and species. The importance values for the species in
the tree layer demonstrate that some large changes have taken place (Table 2). Four species
dominated the 1950’s forests: European ash, pedunculate oak, small-leaved elm, and field
maple. In contrast, pedunculate oak strongly dominates today’s forests, although European
ash and field maple remain somewhat dominant despite large decreases in their importance.
The small-leaved elm has decreased greatly in importance and no longer rates as a
dominant species. Although the oak is not particularly shade tolerant, it is flood and drought
tolerant (Dister 1984; Schütt and others 2002). Thus, it is very competitive in the floodplain
forests once established. Oak’s increase in dominance relates not only to its own life history
characteristics, but also to the loss of the small-leaved elm from Dutch elm disease and
possibly to competition between the European and the (introduced) green ash. The other
common elm species, European white elm (U. laevis), has remained relatively constant. There
has been a large increase in the importance of the introduced American green ash, as well as
hybrid poplars and horse chestnut (Aesculus hippocastanum). It is also interesting to note that
the overall importance of the genus Fraxinus has not changed. Dominant species were not the
only species showing changes. Wild apple (Malus sylvestris) and bird cherry (Prunus padus)
have both experienced decreases. These species are both typical floodplain trees and not
especially shade tolerant (Bundesamt für Naturschutz 2002; Schütt and others 2002). Thus,
158 Brack W. Hale and Michael S. Adams

they would be less competitive in the current floodplain where flooding disturbances have
decreased in magnitude and frequency. On the other hand, sycamore maple, which is shade
tolerant but less flood-tolerant, has increased (Bundesamt für Naturschutz 2002). We were
unable to judge historical changes in several species, as they were absent from Passarge’s
(1953; 1956) studies; these include green ash, horse chestnut, and the hybrid poplars. A
researcher employing the Braun-Blanquet system to investigate the native floodplain forests
would have likely avoided sites containing these species. Nonetheless, historical forestry
records indicate that all three species were present in the 1950’s (Wagner 2000; Schmidt
2002).
The difference in methods explains, at least in part, the differences in the diversity
measures from Passarge (1953, 1956) and our data (Table 3). The present forests showed a
greater level of diversity than the forests in the 1950’s. Excluding non-tree species, the
current forests possess seven more species than recorded 50 years ago. The Shannon index is
similar for both time periods, but the evenness measure has experienced a large decrease,
which relates to the large increase in oak dominance and the mortality of a large number of
elms.

Table 2. Importance Values for the Tree Layer: (species with increased values are
bolded)

Species 1950's current

Fraxinus excelsior 41.9 22.3
Quercus robur 41.3 57.3
Ulmus minor 33.8 10.3
Acer campestre 30.7 23.2
Ulmus laevis 14.2 14.1
Carpinus betulus 10.7 10.1
Malus sylvestris 9.6 3.6
Tilia cordata 8.2 4.0
Prunus padus 5.6 1.7
Acer pseudoplantanus 1.8 6.5
Pyrus pyraster 1.7 1.8
Fraxinus pennsylvanica 0.0 17.7
Populus spp. 0.0 7.8
Aesculus hippocastanum 0.0 4.8
Betula pendula 0.0 2.1
Rhamnus cathartica 0.0 2.0
Fraxinus spp.1 41.9 39.9
1
Sum of F. excelsior and F. pennsylvanica

Table 3. Community Composition Indicators for the Floodplain Forests

 Historical
H Chaange and Management of thhe Floodplain Forests
F … 159

Tree
T Understoory
1
1950’s 2000a 1950’s 2000
Species rich
hness 1
11 18 (21) 14 19
H’ 2.05 2.01 (1.96) 2.11 2.17
J 0
0.85 0.68 (0.66) 0.80 0.74
a
Figures in parentheses includee all woody speecies measured with a dbh > 10
F 1 cm. The figures outside
y tree species.
include only

Table 4. prrovides data onn several basicc measures off forest structuure for the currrent MEBR
floodplain foreests. Data froom Dornbuschh (1988) from m 1971 indiccate that basaal area has
inncreased over 30 years, whhereas stem densities have likely been stable, s althouggh they are
mpare directly, given differennt estimation methodologie
diifficult to com m s.

Tablle 4. Forest Ch
haracteristicss of the Midd
dle Elbe Flood
dplain Forestss

Characteriistic Dornbuuscha Cuurrent

Average basal
b area per trree (dm2) NA 144.9
Basal areaa per ha (m2 * ha
h -1) 31.1 366.7
-1
Density (sstems * ha ) 2449
514b
Understory ms * ha-1)
y density (stem 2441 (569c)
a
Data are from 1971
D 1 and are foor Steckby-Loeddderitz forest; data
d are for all woody
w species greater than
4 cm dbh.
b
i
includes all stem
ms of an individdual
c
a
assumes a conseervative averagge of 5 stems forr Corylus avellaana, Crataegus spp., and Sambbucus nigra.

Fiigure 2. Changees in Selected Life-History

L Traaits of the Tree Layer.
L

An examin nation of the life history chharacteristics of the tree laayer also reveealed some
innteresting tren
nds (Figure 2)). Despite thee changes in the
t flow regim me over the last
l several
deecades, we diid not detect a major shift in flood toleerance in the tree layer; hoowever, the
oaak’s dominan nce could massk any potential shifts, duee to its flood tolerance. Hoowever, its
cuurrent dominaance is more human-driven
h t
than ecologicaally, as oak sppecies were thhe preferred
160 Brack W. Hale and Michael S. Adams

species in Mittelwald systems (Scherzinger 1996; Wagner 2000). Perhaps a more expected
result was the increase in the importance of shade-tolerant species, which indicates a shift
toward a later successional stage. As discussed earlier, shade tolerance should become more
important as flooding disturbances decrease, canopy disturbances decrease, and competition
for light becomes the driving factor in the understory. Our examination of the two
biodiversity measures also indicates some deterioration in the quality of the tree layer (i.e.
decrease in ancient forest species and increase in low conservation value). This likely relates
to Passarge’s site selection and his probable avoidance of three species that are lower in
conservation value and not considered ancient forest species (green ash, horse chestnut, and
hybrid poplars).

Changes in the Understory

Perhaps more indicative of community change are the shifts occurring in the understory.
As regeneration is largely allowed to occur naturally, the understory is less influenced by
active human management of the forest (though we will discuss an exception below).
However, the composition of the understory is also a partial function of the overstory
(Messina and others 1997), so historical management continues to influence understory
dynamics to some extent. The regeneration trends we see in the understory point to an
uncertain future. First, the current density of individuals is low (Table 3). While it is true that
typical floodplain forests often demonstrate low understory densities (Jones and others 1994;
Kellison and others 1998), the mortality of a significant portion of the canopy in recent
decades due to Dutch elm disease should have increased density of the understory (Dunn
1986). Indeed this appears to be the case on other rivers experiencing a large loss of elms,
such as the Rhine and the Wisconsin (Schnitzler 1994; Hale and others 2008). Jones and
others (1994) mentioned that periodic droughts and increased populations of large herbivores
could lower sapling densities—factors, which both apply to the current situation on the Elbe.
Table 5. provides the importance values for the species in both time periods and gives
insight into another issue of regeneration. Neither of the dominant species, the small-leaved
elm and hawthorn (Crataegus spp.) can become canopy species: small-leaved elm, which
usually succumbs to Dutch elm disease within 40 years (Dornbusch 1988) and hawthorn, a
small tree species at best. In contrast, signs of regeneration of the overstory dominant,
pedunculate oak, were absent in our survey, although several saplings were noted outside of
the sample area. Thus, barring human intervention, the oak will likely experience a large
decrease in importance over the next centuries. Only a few tree species currently possess
moderate levels of regeneration: field maple, which can reach considerable sizes in this area
(Passarge 1953), and the two ash species. Several species not detected in the 1950’s, such as
American green ash, silver birch (Betula pendula), wild cherry (Prunus avium), white elm,
and buckthorn, are now present at low levels in the understory. In contrast, several species
such as common dogwood (Cornus sanguinea), bird cherry (Prunus padus), and spindle
(Euonymus europaea) have all declined.

Table 5. Historical Changes in Understory Importance Values (species with increasing

values are bolded)

Species 1950's current

 Historical
H Chaange and Management of thhe Floodplain Forests
F … 161

Ulmus min nor 775.7 388.6

Crataeguss spp 1
18.7 366.3
Cornus sanguinea 1
18.0 111.3
Acer camp pestre 1
17.1 200.1
Prunus paadus 1
14.0 2.9
Corylus avvellana 1
13.0 9.44
Euonymuss europaea 1
12.7 2.22
Fraxinus excelsior
e 9
9.1 144.0
Prunus spiinosa 8
8.2 7.6
Sambucus nigra 3
3.7 9.1
Species 1
1950's cuurrent
Tilia cordaata 3
3.2 7.3
Carpinus betulus
b 2
2.5 7.1
Quercus roobur 2
2.3 0.0
Acer pseuddoplantanus 1
1.7 6.8
Fraxinus pennsylvanica
p 0
0.0 100.7
Ulmus laevis 0
0.0 6.0
Betula penndula 0
0.0 2.44
Prunus avium 0
0.0 2.44
Rhamnus cathartica
c 0
0.0 2.22
Acer plata
anoides 0
0.0 1.8
Malus sylvvestris 0
0.0 1.8
Ulmus sppp. 7
75.7 444.6
Fraxinus spp.
s 9
9.1 244.7

Fiigure 3. Changees in Selected Life-History

L Traaits of the Understory.

The shift in
i species traaits provides further
f indicaation of large shifts in the floodplain
foorest community (Figure 3).. As expected,, there was a strong
s decreasse in the numbber of flood
toolerant speciess with a concuurrent increasee in both floood intermediatte and intoleraant species.
These results reeflect the increeases in sycam
more maple, hoornbeam, and linden regeneeration—all
reelatively flood intolerant— —as well as the decreasse/absence off oak and bird b cherry
reegeneration, which
w are botth typical flooodplain speccies. This shifft in flood toolerance is
162 Brack W. Hale and Michael S. Adams

common on regulated rivers (Schnitzler 1994; Barnes 1997; Knutson and Klaas 1998; Hale
and others 2008). Further, these increases also contribute to the large increase in the number
of shade tolerant species, which suggests a shift toward a later successional forests
(Scherzinger 1996). The diversity indices (Table 3) indicated a similar to increasing levels of
biodiversity over the last fifty years. However, it is important to keep in mind that some of
this difference relates to the different sampling methodologies. Examining the ancient forest
species and the conservation value groupings (Figure 3), we see a different picture. These
measures, likely less biased by sampling methods, suggest that biodiversity is lower than it
was fifty years ago. The importance of ancient forest species has declined and the importance
of lower conservation value species has increased. As with the tree layer, the increase in low
conservation species relates in part to the sampling methodology of the data from the 1950’s,
as green ash is present in the understory. It is also important to note that the ancient forest and
conservation value measures reflect human values more so than necessarily ecological ones
(Scherzinger 1996). Given the simultaneous use of the forests for wood production,
recreation, and preservation, we likely need to accept a compromise between a forest
representative of “old-growth” and one more characteristic of anthropogenic disturbance.
Figure 3. confirms another important factor shaping the forest—deer browsing. The indices
here show a large decrease in the importance of species preferred by roe deer, as well as an
increase in species that possess significant deterrents to herbivory, such as thorns. These
findings highlight the need to control the roe deer population, which has thus far been a
difficult task. Our results also highlight the presence of the introduced green ash, which has
become a noteworthy component of the forest. It appears to compete with the native ash
species, and perhaps in some cases, has outcompeted it in the past, due to the green ash’s
greater flood tolerance (Wagner 2000). However, an eradication program could be expensive,
require a large effort, and may in the end still be unsuccessful. Furthermore, its removal from
core zones would require a change in the “no intervention” policy, which could open the door
for other interventions into the core zone forests. WWF Deutschland has also documented the
prevalence of green ash in the area of one of its major projects (WWF Deutschland 2010).
One of the problems they mention with the spread of green ash is that it could jeopardize the
protected status of areas where it has become dominant; both European and German State
laws limit the percentage of non-native species in designated protected areas.

MANAGEMENT INFLUENCES
The problems highlighted above in our historical analysis comprise the challenges that
the managers of the Flusslandschaft Biosphere Reserve face in the conservation of these
important floodplain forest remnants. In the following sections, we discuss the development
of the biosphere reserve, its influence on the floodplain forest, and some of the management
approaches it is using to deal with the issues.

The Development of the Biosphere Reserve

 Historical Change and Management of the Floodplain Forests … 163

The Flusslandschaft Elbe (River-landscape Elbe) Biosphere Reserve had its origins in a
small biosphere reserve established in 1979 in one of the core forest areas, the Steckby-
Lödderitz Forest (Dornbusch 1991) located on the Elbe between Dessau and Magdeburg. In
1990, one of the last acts of the German Democratic Republic’s legislature expanded this
reserve into the Middle Elbe Biosphere Reserve, which spanned 78 km of the Middle Elbe
and approximately 25 km of the Mulde and 12 km of the Saale tributaries; it encompassed
43,000 ha, of which 30% was floodplain forest. In 1997, the Middle Elbe Biosphere Reserve
was again expanded to the Flusslandschaft Elbe Biosphere Reserve, moving beyond the
borders of the German state of Saxony-Anhalt to cross five German states, encompass 400
km of the Elbe and over 370,000 ha of the Elbe’s floodplain (BRFME 2009; DUNESCO
2010). UNESCO, through its Man and Biosphere program, has a network of 408 biosphere
reserves in 94 countries (Man and Biosphere Programme 2002). The biosphere reserve model
is one with general ecological applicability, including river-floodplain systems. Nonetheless,
few biosphere reserves worldwide specifically protect temperate river-floodplain forests. As a
UNESCO Biosphere Reserve, the Flusslandschaft Elbe’s main goals are to protect the
biodiversity and ecological functions of the reserve, to protect the cultural resources within
the reserve, and to promote the sustainable use of the reserve’s resources (Ständige
Arbeitsgruppe der Biosphärenreservate in Deutschland 1995). The land in the reserve is a mix
of public and private land. All land falls into one of four zones. The core zone must be state-
owned land and excludes all human uses. The buffer zone also must be state-owned, but
allows extensive and sustainable uses of its resources. The transition zone (or the “zone of the
harmonious cultural landscape” in German) can be either state or private land and is where
most human use is concentrated. Finally, the regeneration zone is degraded land (e.g. former
military installations) that is being rehabilitated for eventual reclassification as a buffer or
core zone (Ständige Arbeitsgruppe der Biosphärenreservate in Deutschland 1995).
Management Analysis

Due to the relatively young age of most of the River Landscape Elbe Biosphere Reserve,
we focus our analysis on the forests of Middle Elbe Biosphere discussed above. We use the
data collected above to examine potential differences between the core and buffer
management zones. To do so, we pooled data from each site within the respective zone (Table
1) and calculated summary data measures, such as mean basal area per tree, average percent
of large tree (dbh > 60 cm) per site, basal area per hectare, tree stem density, and understory
stem density. To test for statistical differences in these measures, we used a Wilcoxin signed
rank test (SPLUS). We calculated the same measures of diversity for the zones, as we did in
the historical analysis. The evaluation of IV’s and species traits follows the same method
described above. However, since this analysis solely applies to the data we collected, we
calculated IV’s as follows: for the tree layer, the IV is the sum of relative density and relative
dominance (basal area); for the understory, the IV is the sum of relative density and relative
frequency. Also, since the MEBR has only been in existence for the past 20 years, we limit
our discussion primarily to the understory, which is the layer most likely to show a difference
over this time scale (Hall and Harcombe 2001). Our data also permit a rigorous analysis of
community composition. We tested for significant differences in community composition of
both layers across zones using multi-response permutation procedures (MRPP) in PC-ORD
with a rank-transformed Sørensen distance matrix (McCune and Mefford 1999). MRPP is a
statistical technique to assess significant differences in the composition of two or more groups
164 Brack W. Hale and Michael S. Adams

(Biondini and others 1985; McCune and Grace 2002). As a non-parametric method, it does
not rely on the assumption of a normal distribution, which ecological data often do not
possess. Finally, we performed an indicator species analysis in PC-ORD using both species
and trait groupings to identify potential indicators for a zone. Indicator species analysis is a
technique that calculates an indicator value (0-100) for species (or traits) across specific
groupings; then, a Monte Carlo method determines statistical significance (Dufrêne and
Legendre 1997; McCune and Grace 2002). For all statistical analyses, we set the alpha value
at 0.05.

Comparison Across Zones

Since their establishment, core zones have been exempt from direct human influences,
whereas the buffer zone forests are still managed and harvested, albeit in a sustainable
manner. Further, previous land use likely influenced the current zonation. One of the most
striking differences between zones is the shape of the size-distribution curve (Figure 4). The
core zone exhibits a distribution that has a relatively negative exponential shape, which is
generally indicative of an uneven-aged forests (Lorimer and Krug 1983; Messina and others
1997) and has been noted in both old-growth and maturing secondary growth bottomland
forests (Nixon and others 1977; Robertson and others 1978). The shape of the distribution
deviates from the negative exponential shape in the smallest size-class. Lorimer and Krug
(1983) suggest that such deviations may relate to canopy disturbances or deer browsing, both
of which apply to these forests.
At least one of the sites experienced timber harvests immediately before establishment as
a “total reserve,” and as we noted in the previous section, deer browsing has increased in the
Middle Elbe forests. The core zones also possess more stems in the largest size-classes,
demonstrating the greater age of parts of those forests. In contrast, the buffer zone forests
demonstrate a more normal-shaped distribution, which is more indicative of a more even-
aged stand (Lorimer and Krug 1983). Indeed, the forests of the buffer zone span a much
smaller age-range than their core zone counterparts (Table 1).
Despite the differences in size-class distributions and disturbance regimes, we do not see
any variation in canopy cover across zones (Table 6). This likely relates to two factors.
First, the sampling methodology excluded recently harvested areas that would have
lowered the canopy cover for buffer zones. Second, the core zone possesses remnant poplar
stands that were planted in the 1950’s for wood production, whereas equivalent stands in the
buffer zone have generally been converted to other stand types (Kützner 2000; Schmidt
2002). In natural Central European floodplain forests, poplar stands represent an early stage
of succession (Dister 1996; Schnitzler and others 2003).
Since the trees in the core zone stands have matured, the stands are starting to degenerate
and thus possess a more open canopy.
In some respects, the remnant poplar stands replace some of the successional dynamics
loss to the decreased flooding regime. As poplars are extremely shade intolerant, they do not
reproduce under any canopy, and are thus replaced by more shade tolerant, later-successional
species. This parallels the natural progression that usually takes place from early-successional
willow and poplar communities.
 Historical
H Chaange and Management of thhe Floodplain Forests
F … 165

Currently, the Elbe lackss large areas where

w such eaarly successionnal stands couuld develop
naaturally due too decreased flooding,
fl channnel training structures
s and a lack of sannd bars and
isslands (Gurneell and Petts 2002; Puhlmaann and Jährrling 2003). Thus, T these sttands have
fuunctioned surrrogates for theeir natural counnterparts.

Fiigure 4. Size (cm

m) Class Distribbution across Management
M Zoones.

Tab
ble 6. Site and
d Forest Charracteristics accross Manageement Zones

Characteriistic Core (nn=3) Buffer (n=3)

B
Average distance
d from river (m) 308 3
321
Average canopy
c cover (%%) 93 9
92
Average basal
b area per trree (m2) 0.143 0
0.155
Average % of large treess (dbh > 60 cm
m) 11.9 1
14.6

Pedunculatte oak is less dominant

d in thhe core zones than in the buuffer (Table 7)). Although
thhe oak will rem main the dom minant species in the tree laayer for decaddes to come (bbarring any
m
major disease or insect outbbreak), it willl likely slowlyy decrease inn importance in i the core
zoones and evenntually cease to be a majoor canopy speecies there, should s no largge external
diisturbances occcur that would greatly increease light reacching the undeerstory.
In its placee, we will likeely see the forrests of the coore zone domiinated by mapple and ash
sppecies, as well as with modderate levels of hornbeam, lindens, and white w elms. Hoowever, the
oaaks will likely y persist in thhe buffer zonnes, as they arre commonly replanted after harvests
allong with a mixture
m of ashhes and elms, and receive some protection from deerr browsing
(KKützner 2000;; Schmidt 20002). The tree layer of the core c zones also contains more
m of the
tyypical natural floodplain speecies, such as higher levelss of the Europpean ash, wild apple, and
166 Brack W. Hale and Michael S. Adams

wild pear. In contrast, the tree layer of the buffer zones contains higher levels of introduced
species, such as green ash and horse chestnut, an indication of greater forestry impacts. The
diversity indices and analyses do not indicate major differences between the two zones (Table
8).
The results from the understory provide stronger indications of a divergence in the
trajectories of core and buffer zones (Table 9). The buffer zone has a higher understory
density, reflecting the likely higher light levels of the understory, given the lower basal area
and tree layer density in the buffer zones. Although neither the MRPP nor the Spearman rank
correlation analysis indicates significant differences between the understories of the core and
buffer zones, our results suggest that perhaps given more time, these two communities will
become more different. A greater proportion of the understory in the buffer zones belongs to
elm and hawthorn species, neither of which can become canopy species. Elms are one of the
species typically replanted after harvests in the buffer zones, which may explain part of their
larger abundance in this part of the floodplain. Higher levels of deer browsing may explain
the hawthorns’ abundance, as we discuss below. Of the remaining tree species, only field
maple shows a moderate level of reproduction, suggesting some problems for the future of the
buffer zone stands.
However, the artificial regeneration that occurs in the buffer zones should offset this
trend with respect to oak and European ash. In contrast, the core zones exhibit lower levels of
elms and hawthorns in the understory, although they are still present at high levels. Moderate
regeneration is present for field maple, linden, and European ash. An indicator species
analysis found that two species are significantly correlated with the core zones, European ash
(indicator value=59, p=0.04) and linden (indicator value=50, p=0.01). Linden’s presence in
the core zone sites used for the study derives from pre-core zone plantings, and thus is not a
result of natural ecological processes; however, its level of regeneration likely demonstrates
the decrease in flooding in the core zones. European ash’s indicator status for the core zone
represents, however, a positive sign for those areas.
Table 7. Tree Layer Characteristics across Management Zones

Species basal area density (ha-1) IV 200

(m2 *ha-1)
Core Buffer Core Buffer Core Buffer

Quercus robur 16.5 16.9 68.1 72.6 67.9 80.6

Acer campestre 5.2 3.9 52.7 40.2 32.7 29.0
Fraxinus excelsior 5.2 4.4 52.2 19.8 32.6 21.3
Fraxinus pennsylvanica 3.1 4.3 26.6 31.4 17.9 26.4
Populus spp. 4.0 0.0 8.3 0.0 13.5 0.0
Tilia cordata 0.7 0.0 16.4 0.0 7.9 0.0
U. laevis 1.8 0.8 8.6 7.4 7.9 5.6
Ulmus minor 0.4 0.3 16.4 19.3 7.2 9.5
A. pseudoplatanus 0.4 0.8 10.5 5.2 4.9 4.5
 Historical Change and Management of the Floodplain Forests … 167

Malus sylvestris
0.4 0.0 2.5 0.0 2.0 0.0
Corylus avellana 0.1 0.0 4.2 0.0 1.7 0.0
Pyrus pyraster
0.2 0.0 1.5 0.0 1.1 0.0
Carpinus betulus
0.1 2.4 1.6 15.0 0.9 13.4
Aesculus hippocastanum
0.1 0.8 1.1 3.3 0.7 3.8
Crataegus spp.
0.0 0.1 1.5 3.5 0.6 1.8
Cornus sanguinea
0.0 0.0 1.1 0.0 0.4 0.0
Acer platanoides
0.0 0.0 0.0 0.9 0.0 0.5
Betula pendula
0.0 0.1 0.0 2.8 0.0 1.4
Prunus padus
0.0 0.2 0.0 2.7 0.0 1.7
Rhamnus cathartica
0.0 0.0 0.0 0.9 0.0 0.5
TOTAL 38.4 34.9 273.0 225.0 200 200

Table 8. Community Composition Indicators between Management Zones

Tree Layer Understory

Core Buffer Core Buffer
Average S 10 9 10 11
Average H’ 1.81 1.52 1.87 1.77
Average J 0.78 0.70 0.82 0.74
Species ranking p<0.05 p<0.05
MRPP p>0.05 p>0.05

Table 9. Understory Characteristics across Management Zones. Significant indicator

species bolded

density (ha-1) frequency IV200

Species Core Buffer Core Buffer Core Buffer
(n=3) (n=3)
Ulmus spp. 77 51 39% 52% 46.5 53.0
Crataegus spp. 73.8 63.1 35% 40% 43.5 54.3
Acer campestre 42.8 10.4 16% 16% 22.7 13.4
density (ha-1) frequency IV200
Species Core Buffer Core Buffer Core Buffer
(n=3) (n=3)
Fraxinus excelsior 21.7 5.0 14% 6% 14.5 5.8
Corylus avellana 11.8 5.5 20% 3% 14.3 4.2
Tilia cordata 14.4 0.0 16% 0% 13.3 0.0
Fraxinus pennsylvanica 13.8 3.6 11% 11% 10.5 7.3
Cornus sanguinea 15.2 6.5 9% 14% 9.7 10.2
A. pseudoplatanus 10.5 5.8 6% 18% 6.8 11.5
Prunus spinosa 9.6 2.8 6% 5% 6.5 4.1
Sambucus nigra 0.0 10.7 10% 15% 5.1 13.1
Prunus avium 1.8 0.0 5% 0% 3.0 0.0
Carpinus betulus 2.8 6.0 2% 8% 2.2 7.0
1668 B
Brack W. Halee and Michael S. Adams

Malus syllvestris 0.0 0.0 2% 0% 1.3 0.0

Betula peendula 0.0 2.8 0% 3% 0.0 2.8
Euonymu us euonymus 0.0 1.4 0% 3% 0.0 2.0
Prunus padus 0.0 3.6 0% 15% 0.0 9.1
Rhamnuss cathartica 0.0 1.4 0% 3% 0.0 2.0
TOTAL 295 179 190%
% 211% 200 200

As Figuree 5. shows, both zones have similarr levels of flood tolerannt species,
deemonstrating that both mannagement strategies still muust cope with external impaacts on the
foorests, such as the changes ini the river’s flow
f regime. The
T higher valuue of flood inttolerants in
thhe core zoness represents thhe relict standds of linden in the core zone,z which continue
c to
reeproduce welll. Species wiith intermediaate shade toleerance make up the majorrity of the
unnderstory in both
b zones, altthough perforrming an Indiccator Species Analysis on life history
trraits revealed that intermeediate shade tolerance (inndicator valuee=54.1, p=0.003) was a
siignificant indiicator for the core zones. The
T lack of eaarly successioonal species inn both will
coontinue to bee a problem, as disturbancces from floods remain at a decreased level. The
abbundance of shade
s tolerant species shoulld increase in their place, as
a successionaal processes
prroceed. Altho ough we expeected to see higher
h levels of
o shade tolerrant species in i the core
zoones, the harv vests in the core
c zones prrior to the coore zone desiignation, as wellw as the
reelatively openn poplar standds have not yet y created ana environmennt where shadde tolerant
sppecies dominaate.
A surprisinng result is thhe apparent higher
h level of deer browsiing in the buuffer zones,
suuggested by th he higher prooportion of booth unpalatable species andd armed speciees in those
arreas. As deer often
o prefer younger standss where undersstory vegetatioon is denser, this
t finding
iss intriguing (S
Scherzinger 1996). In our previous paraagraph, we suuggested theree are more
eaarlier-successiional stands inn our core zonne sampling. However,
H buffeer zones contaain a higher
nuumber of you unger stands asa a whole, ass timber harveests continue to take place there on a
reegular basis.
The core zones,
z on the other
o hand, haave been harvvest-free for over thirty yeaars and will
reemain so in the future. Fuurther, buffer zones, by naature, often boorder agricultuural fields,
w
which also atttract deer (Scherzinger 19996). While our finding is a relativelly positive
inndication for the
t core zone forests, its im mplications forr the buffer zoones will requuire further
m
monitoring and
d potential adjuustments to deeer control pollicies.

Fiigure 5. Life Hiistory Groups inn the Understoryy across Managgement Zones.
 Historical Change and Management of the Floodplain Forests … 169

The differential impact of deer browsing may also be one explanation for the diversity
results of the buffer zone understory, which had a lower evenness and a lower overall
diversity (Table 8). The buffer zone forests also had a lower importance of species with a
higher conservation value. Logging impacts and impacts from higher recreational use of the
forests could also contribute to decreased levels of biodiversity in the buffer zones (Dister
1996; Cole and Spildie 1998; Leung and Marion 1999; Sutherland and others 2001).
However, these forests also have fewer species with a lower conservation value and
approximately the same amount of ancient forest species. Thus, while there are several
indications that the core zones are indeed reserves of higher quality forests, the buffer zone
forests also maintain some level of ecological quality.

OTHER MANAGEMENT ACTIVITIES

As noted in the introductory section of this chapter, river-floodplains are dynamic
systems in their natural state. Periodic flood and drought events drive geomorphic and
ecological changes on the floodplain that support the characteristic diversity of organisms and
habitats. When human interventions alter the flow regime, many natural renewal processes
cease to operate. Thus, the Middle Elbe has experienced changes in flow regimes due to
dams, which have reduced the importance of flood tolerance among the flora of the
floodplain; a fixation of its channel, which prevents channel migration and floodplain
renewal; and the construction of a system of levees, which also disrupts flooding and renewal
processes on the floodplain (Puhlmann and Jährling 2003). The biosphere reserve managers
have recognized these threats and have undertaken (and are undertaking) some exciting
projects to help mitigate the impact of activities that fall outside of their sphere of control).
We conclude this chapter with a summary of two of these projects.
EU-LIFE Project

The EU-LIFE project was initiated in the Klieken floodplain of the Middle Elbe
Biosphere Reserve in 2001 to address several major problems (Puhlmann and Jährling 2003).
In the area of Kurzer Wurf, a quasi backwater had been created in the 1930’s, when a channel
was built to bypass a meander in the Elbe. The original channel was left partially intact, but
disconnected upstream from the main river flow. This had negative impacts on the structure
of the river, as well as the local flora and fauna. To restore the old meander, the original
connection to the main channel was restored.
Due to shipping interests and concern about impacts of this measure on low flows in the
main channel, the channel level of the restored connection was set 0.5 m below the mean
water level (BRFME 2002). This way during low flow periods, water does not flow through
the old meander and remains in the main channel to maintain adequate depths for ships.
Nonetheless, during normal and flood flows the old meander now experiences typical river
flows.
An additional benefit was the creation of an area suitable for core zone designation on the
island (Matzwerder) created by the restored connection. Additionally, the Klieken floodplain
has a large backwater (Alte Elbe) that was suffering from severe eutrophication due to runoff
from the surrounding farmland. Since no new backwaters are able to form naturally and since
170 Brack W. Hale and Michael S. Adams

the rate of eutrophication had increased rapidly due to fertilizer run-off, it was decided that
the lake would be restored by dredging and that a 40m buffer would be built to protect the
restored lake (Puhlmann and Jährling 2003). The initial results from these projects have been
very positive.

WWF Great Project

One of the major issues of the Elbe floodplain is the large area that no longer floods due
to levee construction. In areas where local flood protection is no longer necessary for the
human settlements, leaving the levees intact prevents vital floodwaters from reaching the
natural ecological systems.
Further, on a larger scale, the floodwater buffering capacity of the floodplain remains
unnecessarily reduced, which could otherwise protect downstream settlements from floods.
Perhaps in no area is this more noticeable than the levee bisecting the Lödderitzer Forest—the
original core of the biosphere reserve and one of the largest stands of floodplain forests along
the Middle Elbe. The idea of shifting this levee back further in the floodplain dates back to at
least 1994 (Jährling 1994).
As of 2009, this project will become a reality. Working together with WWF, the
Biosphere Reserve has won local support and approval to set back 7 km of levees running
through this area (WWF Deutschland 2009). When completed, 600 ha of floodplain will be
reconnected to the flow regime of the Elbe, which will help restore the forests, meadows, and
backwaters that are located there.
Further, this area will also represent an additional 600 ha of floodwater storage space
when the next major flood occurs. This levee project is one part of WWF’s “great project”
(Grossprojekt) on the Elbe that also includes the restoration and reforestation of former
military lands and the creation of 9000 ha of interconnected, active floodplains.
CONCLUSION
The floodplain forests of the Middle Elbe have experienced great changes over the past
50 years, relating to decreased flooding levels, forestry management practices, increased
levels of herbivory, and introduced disease and species. Historical forest composition and
structure was a product of intensive forest management and flood regime. Forest management
exaggerated the presence of the pedunculate oak, which shared dominance with two other
floodplain species, common ash and the small-leaved elm (Figure 6). In the last 50 years, the
decrease in flooding, changes in forest management policies (including the establishment of a
biosphere reserve), and Dutch elm disease have altered the floodplain communities.
Pedunculate oak has benefited greatly from the changes and become the dominant species in
both management zones. The current tree layer differs across zones, primarily in the much
greater presence of the exotic green ash in the buffer zone. However, we anticipate that, with
time, differences should become more pronounced. Both communities will experience
increasing populations of less-flood tolerant species, such as sycamore maple. The core zones
may see the oak eventually disappear as a dominant species, whereas forestry practices should
sustain its presence in the buffer zones. In general, different management practices in the core
and buffer zones will maintain a greater diversity of forest types and successional stages
 Historical Change and Management of the Floodplain Forests … 171

across the region, which will be important for preserving the wide range of flora and fauna
that characterize the region and the biosphere reserve (Dornbusch and Dornbusch 1991).
Management staff will continue to face challenges from herbivory and the spread of exotic
species. However, the decrease in flooding regime remains the dominant factor driving
changes in these forests, and mitigating its effect will remain much more difficult.

Figure 6. Successional dynamics of floodplain forests along the Middle Elbe River. Part A derives from
Passarge (1953) and describes the former successional process. Part B presents the current (solid line)
and possible future (dotted line) successional dynamics for forests in the core and buffer zones of the
Biosphere Reserve. Font size and shading of species names reflect their relative dominance in the
community. *indicates both the dominance of both common and green ashes.

APPENDIX 1.
Ancient
Shade Flood Conservation Roe Deer Herbivore
Forest
Tolerance Tolerance Value Palatability Defenses
Species Species
Acer campestre intermediate intermediate yes high low no
Acer platanoides high low no low low no
Acer
high low no low low no
pseudoplantanus
Aesculus
high intermediate no low low yes
hippocastanum
Betula pendula low low no intermediate intermediate no
Carpinus betulus high low no intermediate high no
Prunus avium intermediate intermediate no high low yes
Cornus
intermediate intermediate yes high high no
sanguinea
Corylus avellana intermediate low yes high high no
Crataegus spp intermediate intermediate yes intermediate low yes
Euonymus high low yes high high yes
172 Brack W. Hale and Michael S. Adams

europaea
Fraxinus
intermediate high no low intermediate no
excelsior
Fraxinus
intermediate high no low intermediate no
pennsylvanica
Malus sylvestris low intermediate yes high high yes
Prunus padus intermediate intermediate no high intermediate no
Populus spp. low high no low low no
Prunus spinosa intermediate intermediate no high low yes
Pyrus pyraster low intermediate yes high high yes
Quercus robur low high no high high no
Rhamnus
high intermediate yes high low yes
cathartica
Sambucus nigra low low no low high no
Tilia cordata intermediate low yes intermediate intermediate no
Ulmus laevis high high yes intermediate low no
Ulmus minor intermediate high yes intermediate low no

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Chapter 4

FROM “ALL STAKEHOLDERS” TO BALANCED

PROCESS IN PARTICIPATORY PLANNING: A
PRACTICAL, STEPWISE ETHICS

Wouter T. de Groot1 and Jeroen F. Warner2

1
Professor, Centre for the Sustainable Management of Resources, Faculty of Science,
Radboud University, Nijmegen, the Netherlands, and Centre of Environmental Sciences,
Faculty of Science, Leiden University, Leiden, the Netherlands
2
Senior Researcher, Centre for the Sustainable Management of Resources, Faculty of
Science, Radboud University, Nijmegen, Netherlands, and Centre of Disaster Studies,
Wageningen University, the Netherlands

ABSTRACT
In river management as in most other fields of environmental planning, “all
stakeholders” are supposed to somehow participate. But who will actually sit in, who will
actually have a voice? This question is of great consequence in practice, but
underdeveloped in literature.
Taking most of its examples from the field of river management, the present paper
aims to shed some light on the dark road that leads from “all stakeholders” to a balanced
representation of stakes in participatory, collaborative planning.
Our method is to develop the initially undifferentiated cloud of stakeholders through
five steps: (1) from all stakeholders to significant stakeholders, (2) framing reflection, (3)
representation of significant stakeholders, (4) setting a balanced scene, and (5)
maintaining a balanced process.
We then attach a number of categories, examples, reflections and sometimes a few
rules to each of these steps. This system serves as an informal ethics to improve the
quality and justifiability of who is to represent what in participatory planning.

Keywords: stakeholder analysis, participation, multi-stakeholder platforms, collaborative

planning, joint planning, community-based planning, river management, river policy.
180 Wouter T. de Groot and Jeroen F. Warner

INTRODUCTION
From clean air to fish stocks and rural landscapes, environmental goods contain values on
many levels and for many people. On the local level, these goods are used and cherished by
inhabitants, farmers, recreationers and many others. And on the higher, supra-local scale,
environments hold values for national biodiversity, economy and culture. River systems and
river landscapes are a prime example of this multi-value and multi-stakeholder phenomenon,
playing as they do important roles in production systems, cultural identities, species and
ecosystem diversity, water balances, recreation, transport and so on. In this chapter, we will
take our examples from the river management field but the issues we will discuss are
applicable to basically all types of environmental and landscape planning.
In the last decennia, Western democracies have become more ‘deliberative’. The role of
the state as the paternalistic and rational representative of ‘everybody’ and the common good
is not taken for granted anymore, giving rise to all sorts of forms of ‘co-management’, ‘multi-
stakeholder planning’, ‘participatory decision-making’ and so on. New challenges accompany
this shift. River management authorities and professionals, for instance, long used to the idea
of rational embodiment of all values in their comprehensive planning methods and culture,
have to unlearn many explicit and tacit routines, and find new ways to relate to communities
and citizens.
These new ways are not only technical. Many challenges of participatory planning are
ultimately ethical. For instance, if the river authority still sees it as its duty to embody all
values in its river policy and project designs, does giving a voice to local communities and
user groups not automatically amount to double-counting, in fact giving a double weight to
local interests? Or, if the authorities would withdraw to only a role of process facilitators,
who will represent the supra-local ‘system rationality’ of rivers and the supra-local values that
rivers have? Or, if the authorities would take it upon themselves to represent these supra-local
values, how can the authorities act as facilitator and as a representative of values at the same
time? Or, if the river authorities would withdraw to only that role of supra-local value
representation, would that not inscribe automatic conflict in any of its interactions with local
communities? And apart from all that, how to know and prevent that the local voice may
dominated by a only few articulate interests? It is against this background that in the overview
of Decoster (2008), an “acute sense of ethics” is listed among the key qualities of the
planning professional.
In the present paper, we will focus on one problem that holds a key position and that is at
the same time scarcely discussed in the literature. This is a problem of balancing, namely of
how to prevent that some actors get a disproportionate say in the process, at the cost of others.
Therefore, we will seek to gain conceptual ground and tease out some of the practical ethics
of who is a stakeholder and who will participate in the planning process.
On that basis, we present some suggestions for the balancing act that is often one of the
most decisive, even if least visible, roles of the planning professional in a participatory
context. For ease of reading and memory, these suggestions will be ordered in a stepwise
manner. This is not to say that all steps should be followed in a rigid manner. There is a logic
to begin with step 1, of course, but already step 2 may result in a revisit of step 1. And step 5,
“maintaining a balanced process” is of course not literary a step but more like a continuous
activity.
 From “All Stakeholders” to Balanced Process … 181

Underlying the ethical challenge of the balancing act are a number of conceptual issues of
what in fact are “stakeholders” and “participants”. Parti-cipation, from the Latin, is ‘taking
part’. Much literature refers to ‘stakeholders’ while in fact they mean participants. Clearly,
however, not all stakeholders can or will take part in a public planning process, and other
actors may participate even without holding a significant stake. What does it then mean when
it is characteristically said that “the” or “all’’ stakeholders should or did “participate” in a
planning process? All too often, it means that choices of inclusion and exclusion have been
obfuscated, since all stakeholders are usually too many to participate. For this reason, we will
pay much attention here to unpack the distinction between stakeholders and participants.
Having gained this conceptual ground, elements of a practical ethics of balanced
representation will become visible with greater clarity than in the often opaque routines of
planning practice.
We do acknowledge that social and political life often benefits from conceptual opacity,
e.g. because fungible words may smoothen relationships, buy time, enhance creativity and
obscure winners and losers, as opposed to conceptual transparency that may promote conflict
and innovation (Harrison and Hoberg 1994; Bal and Halffman 1998). The planning
professional, however, should be able to make a conscious choice between the one way or the
other, and conceptual clarity is prerequisite for that capacity.
The structure of the chapter follows the stepwise approach. The next section starts out
with a definition of the key terms and then explores some ethical ramifications of mainstream
ideas on who is stakeholder and who should be invited to take part in the planning process.
The subsequent section focuses on the first step along the way that leads to balanced
representation, namely the identification of significant stakeholders. We then illustrate some
of the subtle language games played in public planning, which is one aspect of the significant
stakeholders issue and leads to the ‘framing reflection’ step 2 in our practical ethics. The next
section moves on to step 3, focusing on who may be seen as representing the stakes selected
as significant, both separately and as a (balanced?) group. Subsequently we discuss the step
towards actual participants in the planning process. Finally we focus on some of the issues
involved in keeping up the representation balance in the heat of the ongoing participation
process.

STAKEHOLDERS, PARTICIPANTS, ETHICS

Ultimately, everybody is a stakeholder in everything. Just like the ‘five handshakes’
game linking everyone to everyone else on earth, everyone is linked to different degrees to
any particular policy topic. In environmental policies, the physical effects of decisions can be
surprisingly wide, most clearly illustrated by the interdependencies around CO2 emissions.
Financial effects of government decisions ultimately regard all taxpayers. ‘Stakeholder’ thus
is a catch-all concept. In the past decades, various pieces of legislation have started from a
concept of participation in which all stakeholders can be participants. The 1998 South African
water law, for example, states that all stakeholders may participate, leading to some 50
million potential participants in water policymaking. Similarly, the stakeholder identification
clause of in article 14 of the European Union’s Water Framework Directive (WFD) prescribes
182 Wouter T. de Groot and Jeroen F. Warner

the “active involvement” of all interested parties, thus inviting all 360 million or so
Europeans to any planning table in the Union.
The waters at the confluence of “stakeholders” and “participants” are muddy. As said,
this may sometimes allow good political fishing but it obscures the fact that between these
two categories lie pertinent practical and ethical issues of representation, inclusion and
exclusion. De facto, organizers of participatory processes do not want everyone to show up
and sit in. Even the famed democracies of the ancient Greek city states did not allow
everyone to participate. Men without property, women and slaves were excluded from the
agora. Any participatory process not only means an opening up of the range of actors, but
also a closing (Stirling 2008), if only to keep numbers manageable. Balanced participation
requires that some rather than all should be involved, representing others who have other
business. Since the term ‘stakeholder’ does not define anybody in or out unless a qualifier is
added (primary/secondary stakeholders, salient/latent stakeholders etc.), we need additional
concepts to denote who is or should be in or out.
Let us start out with the current definitions of stakeholders and participants in connection
with public policy problems. For the purposes of the present article, we will broadly follow
Hemmati (2000), Mikalsen and Jentoft (2001), Margerum (2002), the World Bank (Borrini-
Feyerabend et al. 2004) and most other mainstream literature, defining that

“stakeholders are any group or individual who can affect or be affected by the problems
1
at hand or the possible solutions”.

Note the terms of ‘affect’ and ‘be affected’. Stakeholders are found on both sides of
problems and solutions. On the side causally downstream of the problems and solutions, they
are the actual and potential recipients, the victims, the beneficiaries. On the upstream side,
they are the actors that actually or potentially cause the problems or solutions, e.g. directly
cause the problem, indirectly cause the problem, facilitate the solution or may block it. Allan
(2005) uses the term ‘problemshed’ to denote the (spatially and temporally) linked actors and
factors that affect or are affected by a problem or policy.
The only drawback of this stakeholder definition is that it suffers from misplaced
concreteness at one point. For instance, if we say that sustainability is an important policy
goal we do define a stake. But where is the affected group? Are “future generations” a group?
They do not exist yet, so how could they hold a stake and participate in planning? Likewise
with biodiversity. If its conservation is stated as a policy objective, we acknowledge that there
is a morally considerable stake out there in nature, but who is the stakeholder? The great risk
connected to these questions is that stakes that cannot readily be seen as held by some
concrete, addressable actor group are not considered to enter the stakeholder list or are
dropped at a very early stage. Getting them safely on the list and keeping them there long
enough to take part in Step 1 of our practical ethics requires a first focus on relatively abstract
stakes rather than too concrete stakeholders. Supporting this idea, our formal definition of
stakeholders is:
stakeholders are any morally considerable entity representing a stake (interest) that can
affect or be affected by the problems at hand or the possible solutions.

1
Charmingly, this definition is the opposite of the original meaning, in which the stakeholder was the uninterested
party holding the stakes for parties engaged in a bet or a duel (Mitchell 2001).
 From “All Stakeholders” to Balanced Process … 183

Moreover, the overview list compiled to prepare a planning process may well be a mix of
stakes and stakeholders both. It is better to start out with a somewhat incoherent inventory of
stakes (recreation, mining, drinking water, gender, biodiversity, farming, health, children etc.)
and stakeholders than with a too limited list of only stakeholders. Our stepwise procedure in
the coming sections takes care of a sensible route from stakes to participants.
We take the definition of participants from its literal meaning and define that in public
planning,
participants are any group or individual who actually sit in (around the table or behind the
curtain) to witness and discuss the diagnosis, analysis and explanation of a public problem or
the designs of its possible solutions.
In river management, problems are typically written in terms of water quality, flood risk,
drought vulnerability, landscape quality loss, degradation of ecosystem services or
biodiversity loss. Possible solutions are typically the well-known physical options of
pollution abatement, river regulation and river renaturalization, added to which are all sorts of
social and institutional changes (i.e. changes in rules or organizations) needed to realize the
physical options in practice (De Groot 1998).
Some literature does make a difference between stakeholders and participants but then
fails in thinking through the ethical ramifications of the distinction. One illustration is the
otherwise excellent overview by Mikalsen and Jentoft (2001) of mainstream stakeholder
theory developed in business management. Who out of the stakeholder category will come to
count as actual participants? Their answer is that this depends on “stakeholder salience”.
Salience is scored according to three criteria:
• legitimacy (having an interest, i.e. a legal or moral claim)
• power (i.e. the degree to which the actor can affect success of the plan; ‘primary’
stakeholders are essential to success, ‘secondary’ stakeholders are not)
• urgency (not defined by Mikalsen and Jentoft).
Mikalsen and Jentoft then propose to score the stakeholders on these three criteria and define:
• “definitive stakeholders” as those with a plus on all criteria,
• “expectant stakeholders” as those with two plusses,
• “latent stakeholders” as those with only one,
• and the stakeholders highest on the list become participants.

There are problems with this approach. If we differentiate between primary and
secondary stakeholders this way, victims of a decision who have little power can never be
defined a primary stakeholder and participate, regardless of the degree to which they are
affected. The whole of the coastal population around the Gulf of Mexico would this way be
excluded from participating in deliberations on the BP oil disaster. To take an example from
river management, a loud-mouthed local political boss whose cellar might become somewhat
moist due to a possible rise of the groundwater level would have all plusses and be invited to
participate, while a poor household whose whole house may be demolished due to a dike
relocation would never be included. This may be already dubious for business management; it
is morally fatal for public policies.
A second illustration of ethical ramifications is offered in Brugha and Varvasovszky’s
(2000) review of stakeholder analysis. After the identification of stakeholders, the analysis
starts with data collection (usually by interviews) and then proceeds to study
184 Wouter T. de Groot and Jeroen F. Warner

• the stakeholders’ involvement in the issue

• the stakeholders’ degree of influence
• the stakeholders’ interest in the issue
• the impact of the issue on the stakeholder and
• the position of the stakeholder in the issue (i.e. whether they are supportive, non-
mobilized or opposed to possible solutions).

In Brugha and Varvasovszky’s approach, the information on the position of the actor is
used to find the “optimum fit” between the policy-proposing organization and the
stakeholders. This optimum fit is that marginal actors should be monitored, supportive
stakeholders should be involved and opposing stakeholders should be defended against.
Brugha and Varvasovszky’s work stands in a perspective of effective manipulations to push a
desired policy change through. Whatever this may be, it is not an ethics of public
participation.
All this highlights the importance of stakeholder analysis and especially of stakeholder
selection, which defines the in-group of participation. This is the subject of the coming
sections.

STEP 1: SIGNIFICANT STAKES AND STAKEHOLDERS

How to arrive at a good first list of stakes and stakeholders as potential participants in the
planning process? We will here call significant stakes and stakeholders all those that are
affected or affecting the problem or solutions above a certain threshold. Significant stakes and
stakeholders form the long-list out of which planning participants will be short-listed later.
Often, stakes and stakeholders have a simple, one-to-one connection, such as between the
stake of ‘recreation’ and the stakeholder group ‘recreationers’. In such a case we can put the
stakeholders on the list, with the advantage of concreteness. Recreationers can be talked with,
for instance. But if stakeholders are not clearly visible yet (e.g. in stakes such as
biodioversity, sustainability, cost efficiency etc.), we should retain the stakes and worry about
their representation only later (in step 3).
Roughly, identification of significant stakes and stakeholders may be carried out on three
levels of precision. The first level is to simply follow the experts’ own insights in the problem
situation and the possible solutions. The second level consists of interviews with informants
and stakeholders, in which respondents may point at others who might also be affecting or
affected (Brugha and Varvasovszky 2000).
The third level of precision in stakes and stakeholder identification uses more or less
formal frameworks. These frameworks often emphasize either the ‘affected’ (victims) or the
‘affecting’ (causers) side of the stakeholders category. A comprehensive classification of all
ecosystem services of a landscape, for instance (e.g. De Groot 1992: 229) can easily be
connected to affected stakeholders. Kessler’s (2003) regional planning framework SEAN-
ERA starts out from such a classification. By contrast, Imperial (1999), in a paper on
ecosystem-based planning based on the work of Ostrom (the Institutional Analysis and
Development Framework, IADF), focuses on the affecting side of the stakeholders group,
involving all those who make decisions affecting the ecosystem. His framework does include
 From “All Stakeholders” to Balanced Process … 185

equity as an evaluation criterion, however, as if to make good for neglecting the affected
parties. De Groot’s (1998) framework called Problem-in-Context covers both the affected and
affecting sides of environmental problems. The affected stakeholders are represented through
their connection with impact variables such as health, incomes, well-being, biodiversity and
sustainability, while the affecting stakeholders are identified by a causal sub-framework
called Action-in-Context. This includes an ‘actors field’ analysis in which actors that directly
cause environmental change (‘primary’ actors such as farmers, tourists, transporters) are
connected to ‘secondary’ actors, defined as those influencing the actions of the primary
actors, by way of exerting power over the latters’ options and/or motivations for action. Then
follow the tertiary actors, and so on. This structure of affecting stakeholders may run all the
way from, say, floodplain farmers to absentee landowners, banks, urban NGOs, government
agencies and so on. All these actors affect the problem; hence all may be significant
stakeholders. The advantage of formal frameworks such as SEAN-ERA, IADF or Action-in-
Context is that they help avoid the trap of privileging known, articulate and well-organized
groups and ignoring less vocal, non-human or unborn stakeholders. The relatively abstract
nature of frameworks may also help avoid slipping from abstract stakes to concrete
stakeholders too quickly. If for instance a policy proposal entails an incentive for farmers to
switch from food production to a non-food crop, food production is an affected stake. The
connected stakeholders, however, are not the farmers but rather the general public, which (if
significant) might be represented in this case by the ministry of agriculture, e.g. if national
food self-sufficiency is a policy goal.
The real world, as always, tends to resist the neat objectivity of methods and frameworks.
To mention one example, stakeholder analysis tends to work with identities that appear to
reasonably label a group, e.g. farmers or recreationers. People can be categorized along many
dimensions however, e.g. economic, occupational, demographic, geographic or cultural.
Which dimension is most appropriate for the problem at hand? Moreover, the stakeholder
identities themselves are not static. In developing countries, for example, fishermen may also
be part-time taxi drivers, and industrial laborers next month. Also the project itself may
impact on actor identities, e.g. when dam oustees become street peddlers. Finally, problems
are dynamic, and also new solutions (and, alas, new problems) may crop up in rapid
succession. With that, the whole array of affected and affecting stakeholders shifts. We will
pay more attention to this in Step 5.
Step 1 in our practical ethics of participant selection is rounded off by applying a
threshold level to select significant stakes and stakeholders from among the often wide range
of all stakes and stakeholders. Such a threshold will usually have been applied already in an
implicit way during the identification process. For instance, any river management project is
bound to cost public money and with that, all taxpayers are affected stakeholders, formally. It
is however quite possible that they have never been taken up in the first inventory at all, for
two reasons. First, we may assume that the river authority, mandated as it is through a
democratic process and bound to its budget, will take care of the need to search for cost-
effective solutions. Second, the level of being affected is too low to be of ethical relevance;
for 2 dollar per taxpayer, for instance, you don’t call them all stakeholders. In such a case, the
abstract stake of cost efficiency is connected to only the river authority as stakeholder. This
example shows that any justifiable selection of significant stakeholders involves good reasons
as well as good inclusion threshold levels. We cannot specify here what good reasons and
good levels exactly are. We assume that once planners are aware of the need of justifiability
186 Wouter T. de Groot and Jeroen F. Warner

at these points, great progress is already achieved compared to the usually implicit selection.
In other words, we assume that once a concept such as exclusion reasons is made explicit,
planners and other actors will more or less automatically grasp that these reasons should be
coherent and applied even-handedly. As for the threshold levels of inclusion, it may be noted
that high levels result in few significant stakeholders and low levels in many. Inclusion
threshold levels do not need to be the same on both sides of the problem. A high threshold on
the affected stakeholders side combined with a low level on the affecting stakeholders side
will tend to result in a planning process with much voice to the powerful stakeholders that can
make or break solutions. This can be justified if the interests of affected stakeholders are well
protected (e.g. by law) and implementation of solutions is so difficult that a concerted effort
of affecting stakeholders is needed. The reverse can also be true, of course. In other words,
justifiable levels of inclusion are levels in context.

STEP 2: THE FRAMING REFLECTION

Step 1 of our practical ethics has resulted in a ‘long list’ of significant stakes and
stakeholders out of which participants will later be selected. Step 2 amounts to taking a self-
critical look at this result. If we have a certain situation with flood risk, farmers, biodiversity,
floodplains and communities, shall we call this a river management problem? Or a spatial
planning problem? Or also a landscape quality problem? And possibly a poverty problem or a
gender problem too? Such decisions bring whole groups of stakeholders in or out. Moreyra
and Warner (2008) have called attention to the deep impacts of what problems and projects
are framed to be. Problems and solutions are not simply givens out there in the world. They
are to a large extent constructed by the analyst or by actors. Any framing of a problem lifts
specific physical, social and normative elements out of the real world and puts them in a box,
a narrative of its own that defines certain actors, problems, powers and resources in and
defines others out. As Stirling (2008) puts it, “framing thus raises important queries both for
analytic and participatory appraisal. (..). It reveals the enormous latitude for inadvertent, tacit
(or deliberate, covert) influence of power.” Framing can be a deliberate political act, making
or breaking linkages between dissimilar policy areas, and bringing whole new sets of affected
or affecting stakeholders in. At Lent, a village facing the city of Nijmegen situated on a
hydraulic bottleneck in the river Waal (Netherlands), a dike relocation was proposed by the
river authority, which would require the demolition of several houses and therefore generated
fierce citizen protest. In the course of the negotiations with Nijmegen city, a new bridge over
the river Waal was made contingent on the dike relocation. This framing of solutions made it
very inconvenient for the river authority to accept alternative options tabled by citizen groups,
since many powerful actors in and around Nijmegen were connected to the bridge and were
now all ‘framed in’ as stakeholders.
The events at Lent are an example of causal framing of solutions, in which solution
elements are made dependent on each other. Causal framing can also concern the problem
itself, declaring what connects to what in its causes or its impacts. Framing may also address
the spatial and temporal characteristics of problems and solutions, e.g. the boundary between
local and external worlds, or the scenarios that a solution should be a solution for. In Dutch
river policies, for instance, many proposals have been rejected off-hand because they were
 From “All Stakeholders” to Balanced Process … 187

not “robust”, meaning they might have to be redesigned at some future point in time. This
point in time is defined as the moment that risk models might begin to predict that a mythical
flood of 18,000 cubic meters per second in the Waal could conceivably hit the nation. At
present, risk models do not predict such a risk at all; the 18,000 cubic meters are typically
framing, namely a (convenient) belief presented as objective truth. Being able to do such a
thing is ‘framing power’.
One type of framing is of special relevance to river management. It addresses the urgency
and certainty of facts and values, and is depicted in Figure 1. The figure is a quadrant
visualizing that values (goals, interests) at stake in the problem may be contested or
uncontested, and the facts on which the problems and solutions are based, e.g. the river’s
expected peak flow, can be certain or uncertain. Each combination defines a frame, one
example being the ‘politicization frame’ that occurs when facts are treated as certain but
values are contested. Each frame is characterized by its own natural type and level of
stakeholder participation. For instance in times of crisis, participation is limited for the simple
reason that participation takes time. Note that Figure 1 may be read in both causal directions.
If we reason from the axes to the centre, the figure specifies the frame that follows from the
circumstances. If facts and values are uncontested, we arrive in the crisis frame. Debated
values and uncertain facts call for a deliberative approach, in which many stakeholders are
marked as significant and invited to participate. This direction of reading the figure is also
followed, for instance, by Hisschemöller and Hoppe (1998) who call this debated/uncertain
type of problems ‘wicked problems’ and argue that these are very suitable for deliberative
learning processes. Likewise according to Bulkeley and Mol (2003), participation should help
bridge the gap between scientifically defined facts and values of environmental problems and
the facts and values of experienced, place-based knowledge. Funtowicz and Ravetz (1993)
commend ‘post-normal science’ including lay and expert participants.

VALUES
Not debated Debated
Certain Crisis frame Politicization frame
Imposition; no time for debate, Struggle over values, activist
security professionals act. citizens and lobby groups dominate.
FACTS Uncertain Managerial frame (risk Deliberative frame
management) Experts and lay people learn
Controlled decision-making by together.
experts, lay people may be
consulted.

Figure 1. The participation framing matrix. Levels of contestation on facts and values defines a frame.
And the reverse: who-ever has the power to define a frame therewith defines what can be contested.
From the frames follow the degrees of stakeholder involvement. Based on Warner (2008).

The relationships in the Figure work the other way around too, however. In order to get a
decision out fast, planners may seek to frame a problem situation as a crisis situation, so that
extensive participation is naturally unnecessary or even undesirable. The framing of a
problem as a security (crisis) issue is a surefire way to eliminate participation. It suggests
agreement on values and facts – the house is on fire now, bring in the firemen, we’ll talk
about collateral damage later. Wolsink (2003) has revealed the persistent efforts in the
Netherlands to introduce “special” or “emergency” legislation to exclude citizens and
188 Wouter T. de Groot and Jeroen F. Warner

alternatives from decisions that are given national status because of security or other
overriding concerns. Such ‘securitization’ (Warner 2008) constructs a problem such that there
is no need to involve stakeholders as participants. Water safety issues offer many examples
but so do the war on terrorism, the war on drugs and many others.
If it is impossible to push a crisis frame through, the next option is to declare that we all
agree on the values (goals) and only the facts are uncertain. This ‘managerial frame’ puts the
problem in the hands of experts, who become privileged participants. If value differences are
framed to be relevant in the problem situation, the ‘politicization’ and ‘deliberation’ frames
dominate. A political problem reflects a divergence of values without facts being greatly
contested. Political issues may be fundamentally un-decidable and go down to the wire
relying on the voting rules of representative democracy – which is why those who benefit
from the status quo are unlikely to politicize an issue. Douglas and Wildawsky (1982) have
shown how ‘blame frames’ work to politicize risk issues, including flood risk issues.
Identifying a problem often implicates attributing blame: identifying a culprit who has
occasioned the trouble. From a participation perspective, there is something to be said for
non-attribution of blame, even though blame may be obvious. De-politicization opens up the
deliberation frame and may be the only viable way of getting the otherwise accused party to
the planning table. Finally, those who are interested in a deliberative process rather than a
quick decision or a politicized blaming game, do wise to frame a problem as ‘wicked’, with
both facts and values under debate. This is precisely what participation facilitators do when
they woo their hoped-for participants. If this frame is not true enough, however, participants
are likely to drop out later, when nothing much appears to be at stake, really.
What is the relevance of this relatively theoretical issue for our practical roadmap to
travel from “all stakeholders” to actual participants? The relevance is that in most cases of
public planning, the agency that performs the identification of significant stakeholders is
usually at the same time an agency with much framing power. The river authority is an
example. This brings a duty of a broader, ethical reflection on how the problem has been
framed. What people may have been excluded due to our view of what constitutes the
problem and the feasible range of solutions? Are we so eager to get things done that we have
framed the problem in a crisis frame? Do we present uncertain facts as if they are
scientifically undisputable in order to keep the planning in a managerial frame and retain our
power to deal with the problem? Are we so afraid of the irrationalities of politics that we have
kept value discrepancies under the carpet? Or are we so eager to show a modern, deliberative
frame that we present the simplest issues as in need of extensive debate? In other words, are
we able to really justify our reasons and inclusion threshold levels of who is a significant
stakeholder?
This reflection constitutes Step 2 on the road to a balanced representation of stakeholders.
It may or may not result in a revisit of step 1. In any case, one result is a much better story to
explain the selection of significant stakeholders to the outside world.

STEP 3: STAKES AND STAKEHOLDERS REPRESENTATION

Future generations and dolphins have no telephone. National authorities may be too busy
to sit at every local planning table. Women or the illiterate may never show up. Downstream
 From “All Stakeholders” to Balanced Process … 189

stakeholders may be too far away. Reasons such as these often work for such groups to de
facto fall off the list of significant stakeholders, even though the formal (and morally proper)
definition of stakeholders does not exclude actors who just happen to be hard to hear. We will
discuss four sources of morally problematic exclusion here, namely distance in space,
distance in time, abstract interest and socio-economic factors.
Moreyra and Warner (2007) and Wester et al. (2007) have shown how the geographic
delineation of problems and solutions can exclude key stakeholders in practice. In river
management this may concern downstream affected communities, upstream affecting
communities and the representatives of wider, basin-scale rationality. Current thinking in
integrated water management seeks to overcome these problems by promoting the river basin
(watershed) as the best level of decision-making. Administrative boundaries are hard to
ignore however, and on a more principled note, also river basins have downstream
communities and upstream affecting actors, e.g. through the hydrological cycle that spans the
oceans and economic dependencies. The harbors of Hamburg and Antwerp are certainly
significant stakeholders for large-scale planning in the Rotterdam harbor, for instance (which
is not to say that they should also be shortlisted as participants, of course). Moreover, should
local river planning be discouraged for the sole reason that it is local? It would rather seem
wise to have methods to represent significant non-local stakeholders in the local process.
Not only geographic distance but also the shadow of the past (cultural heritage) and the
shadow of the future hang over present deliberations. Should past and future actors be
excluded because they are mute? Should abstract interests such as keeping options open for
future generations be ignored because they are difficult to represent? Finally, many people
and policies also recognize the intrinsic values of nature. How should these be represented?
And how about spiritual values (e.g. holy sites, water for baptism, the river as spirit) that do
not appear to be owned by any stakeholder group? Here again, rather than quietly dropping
these interests from the stakeholders list, the problem of stakeholder representation should be
tackled.
The ideology of deliberation assumes that citizens can actively raise, defend or withdraw
their stakes. But many in society cannot. A critical school of participation scholars argues that
due to the political economy, the poorest have very few degrees of freedom, so that they
continue to end up in the most vulnerable location, e.g. geographically (next to the city dump
or in the lowest part of the floodplain). Deliberative processes tend to favor the well-educated
and well-paid, and should be actively protected against their intrinsic drift to exclude the
socio-economically weak segments of society. Liberal-reformist authors such as Edmunds
and Wollenberg (2002) have taken on board the lack of a level playing field, the need to
represent non-organized stakeholders and the need to open up space for unheard voices. In
Sweden, for example, marginalized groups are actively targeted to be involved in health care
decisions that affect them (Tritter and McCallum 2005). In step 1 of the process from
stakeholders to participants, the formal definition of stakeholders should be rigidly adhered
to. Then in step 3, the question that takes priority is: how may the significant stakes and
stakeholders identified in step 1 be represented in the envisaged participatory process? Thus
in step 3, we travel from a list of significant stakes and stakeholders to a list of persons and
organizations that will be invited to the planning table. We start out with an overview of types
of representation in deliberative contexts, and some of the risks involved in each.
190 Wouter T. de Groot and Jeroen F. Warner

Representation by Government Organizations (GOs)

GOs are often stakeholders directly, mainly as affecting ones, if they hold some power
over the issue in question. GOs may also serve to represent general public or system-level
interests on the ‘affected’ side, e.g. standing in for the general taxpayer or consumer, or
representing basin-wide river management interests. In GOs, the ‘affected’ and ‘affecting’
roles are often combined (because representing the affected common good is legitimating
public power). A well-known risk here is that often, only the affected side of the GO
(represented by some nice, participatory person) will participate in a planning process, but
that later in the planning process, the necessary funding and permits turn out not to be
forthcoming, even if these are to be issued by the same GO. Early involvement of the other,
affecting side (‘power side’) of the GO, e.g. represented by some higher-up bureaucrat, may
prevent this. Another solution may be to represent the GO not only in nice persons but also on
formal paper (see below).

Representation by Interest Organizations

Constituents may often establish organizations for purposes of representation of one or

more of their interests. In developing countries these are often called POs (people’s
organizations), e.g. a farmers PO or village PO. Labor unions, farmer unions, chambers of
commerce, local interest groups and many others are of the same nature. Other interest
organizations work specifically for the provision of some collective good, e.g. drinking water,
recreation or river transportation. For all those, the distinction with NGOs (below) is
important because of the constituent control (e.g. one vote for each member) or government
control that limits risks of elite capture. A major risk inherent in the participation of interest
organizations is rigid defense of the narrowly defined interest that is their raison d’être. POs
are often established for economic issues only. Many others are typically the sectorial
agencies of drinking water, forestry, transport and so on. All of them have to take care not too
deviate too far from these primary objectives. The issue here is often what in fact is and
should be represented. Do the organizations defend the daily means by which they achieve
their objectives (zoning regulations, water purification, protected areas, roads construction
etc.), or the objectives themselves (safe drinking water, biodiversity, urban connectivity etc.)?
Organizations tend to stick rigidly to their means, while the art of participation and successful
conflict resolution is to focus organizations (and people) on their objectives rather than their
positions or, in the words of Mitchell (2001) on what they really need.

Representation by Non-Governmental Organizations (NGOs)

Representation of stakes and stakeholders by NGOs is a widespread phenomenon,

especially for voiceless stakeholders (nature, children, future generations etc.) and broadly
subscribed interests that are too narrow to base a PO on (cultural interests, recreational
interests etc.). NGOs are typically free-floating elite organizations that ‘land on’ a certain
issue, without significant constituent control. This voluntary enthusiasm has practical
advantages for participation, but elite capture of the issue is ever a risk. Extreme examples are
 From “All Stakeholders” to Balanced Process … 191

found where capture is easy (e.g. due to very low literacy and power levels of the real
stakeholders) as well as attractive (e.g. because of legal rights of the stakeholders). A well-
known extreme case in point is when indigenous people are ‘represented’ by a local political
boss under NGO cover, who in fact mainly represents his own wallet and power position. On
the other extreme are the broad public-based NGOs representing ’unattractive’ stakeholders
such as WWF standing in for the interest of nature. Even in such cases, surprises are possible,
e.g. when in the Maaswerken project (Netherlands) an environmental NGO clashed with local
protesters over what in fact ‘nature’ meant: new wilderness or nature in the traditional,
arcadian landscape (Warner 2008).

Representation by Informal Leaders

Communities often have local heroes who are popular participants. On the other hand,
many social scientists have warned against the naïve assumption that communities exist at all
(Agrawal and Gibson 1999). A town may have a business community, an ethnic community,
a football community, a neighborhood community a church community and so on, but is the
town itself a community? And these sub-communities, do they in fact function as
communities with respect to the problem at hand, e.g. town planning or river management?
Communities often exist around specific functions such as football, business or religion, and
the implicit mandates of their leaders often apply to these functions only. Moreover, local
leaders often wear multiple hats, giving everybody a hard time to get a clear picture of what
in fact they represent.2 One remedy against this risk, of course, is to be fully aware of it, find
out what the informal leaders in fact lead, and be very selective in the final decision to invite
the leader to participate. A different tactic is the full opposite, namely to invite all leaders of
all sub-communities that may be present locally, and hope that this number may somehow
represent the enigmatic community as a whole. In the Philippines, the rainforest was
sometimes effectively defended by committees that did not only comprise the forestry
ministry but also the leaders of the military, the church, the university, the farmers and others,
however remote from the actual problem of forest protection.

Representation by Sampled Individuals

Obviously, citizens can enter participation processes without representing anything but
themselves. We are concerned here however, with the question of whom to invite explicitly
into a relatively small planning group. In that context, individual citizens should be selected
as some form of sample from some category of significant stakeholders. Questions then are
(1) what are the most significant categories? and (2) what size and type of sample will it be?
Both of these questions are very difficult to answer, but a conscious handling of the dilemmas

2
In the Nete basin in Belgium, 13 groups were carefully selected according to their relation to the river. But this did
not at take into account that several participants wore multiple hats. For example, someone can be a Ministerial
representative in the daytime and an environmental activist in the evening (Verhallen 2007). In the Netherlands, one
member of the Consultative Group Inner City Deventer, a stakeholder forum discussing plans for bypasses of the
river IJssel, was also a professional process facilitator in two other river interventions further upstream and
downstream, as well as a local politician.
192 Wouter T. de Groot and Jeroen F. Warner

will already help much to avert risks of later under-representation and over-representation.
Categories are notoriously fluid and hard to define, especially when we use the citizen sample
to represent ‘difficult’ categories that are not represented already by the institutional entities
(GO, NGO, interest organizations).
One way to go about this problem, as with the informal leaders, is to forget about all
categories and seek to directly represent the diversity of the community as a whole. The
sampling strategy then could be to ‘snowball’, i.e. to start out from a small number of
community informants and through them identify named individuals that are thought to be
typical for community sub-interests and sub-cultures.3

Representation on Paper

Participatory planning exercises, focusing as they do in informal and face to face

interactions between participants, often neglect that stakeholders may also be represented on
paper. This is especially feasible for stakes that fulfill two conditions, namely that they are (a)
hard to get at the planning table and (b) relatively static and expressible in a formal manner.
Many of those formal, on-paper expressions of stakes are in fact available to support multi-
scale governance, in the form of regulations and standards issued by higher government levels
(EU, national government etc.).
A well-known example in Dutch river management is the flood discharge condition put
by the national river authority on river reaches. The rule says something like ”I do not care
much about what you do to the floodplain here, as long as you create a lowering of the flood
water level of so many centimeters compared to the present”. Recently, this rule has become
accompanied by a portable hydraulic model that can calculate the flood level effect of
floodplain measures in a matter of minutes. This has proven to be of great value for local
floodplain design groups.
Other ‘paper representation of stakes’ may focus on general community aspects that may
be surveyed and summarized, as were for instance public attitudes towards nature and river
management that were represented on paper in a visioning exercise in Beunigen, the
Netherlands (Swanenvleugel 2008). Finally, stakes that are difficult to represent may demand
a specific effort to be translated into criteria and represented on paper. One example is the
‘playability’ of environments for children. Tremendous damage has been done all over
Europe because bureaucracies think that what children need, if anything, are fixed seesaws
and other playthings in stead of unregulated green space. In many public planning cases,
playability should be discussed and laid down in a number of straightforward criteria.
‘Representations on paper’ will often require personal back-up in order to avoid that the paper
becomes dead paper in the process. This may be a task of the participation facilitator or a
specifically assigned person (e.g. the survey or playability researcher).
3
Such citizens may not realize fully in which ways they are attached to the problem at hand, e.g. the river.
Unconventional ways have been found to engage people. The Centre for Sustainable Management of Resources at
Radboud University, Netherlands, organized a poetry and song writing contest to enlist people’s attachment to the
river Waal. As part of a visioning exercise, the same group used photographs to support people in discovering their
floodplain landscape use and preferences (Swanenvleugel 2008). In Lodz, Poland, photography, film and amateur
journalism facilitated by the European-funded SWITCH program for sustainable urban water management
(www.switchurbanwater.eu) engaged people who would otherwise have remained passive, so that they could
become participants.
 From “All Stakeholders” to Balanced Process … 193

Politicians and Business

Politicians and private market parties may sometimes be member of one of the above
categories. A mayor or counselor may, for instance, be respected to such an extent that he
may be one of the informal leaders. Likewise, a businessman may be detached from his own
wallet enough to represent, say, the recreation interest as part of the common good. As
categories, however, we include politics and business only last here. This has to do with
models of democracy, as will be discussed below. We do not go into issues of representation
here, assuming that the categories are usually organized enough to not create representation
problems.

Whom to Actually Invite as Participant?

Up till now in the present section, we have discussed some ideas of how these significant
stakes and stakeholders might be represented in a participatory setting. The next question to
be addressed is: who will actually be invited to sit in? It is here that important issues of
balance come to the fore. How may be group of participants be assembled such that not only
each significant stake is represented individually, but also such that the group is a whole
represents the problem situation as a whole? It is beyond our reach to offer a sophisticated
ethics here. Obvious criteria, however, are:
• evenhandedness (equal thresholds of significance for being invited)
• active protection of the less articulate and voiceless
• avoidance of over-representation through different channels (e.g. the same stake
represented by government and an interest organization and an informal leader)
• transparency (e.g. of invitation criteria and representation roles)
• consistency.

The last criterion needs some further explanation. We do so under the next two headings.

Consistency: Models of the Common Good

If we have a good sample of individual people with attribute X (e.g. ten people with the
attribute of being a farmer), can then also the organization that groups people around that
attribute (e.g. the farmers union) be stakeholder too? The answer depends much on the
researcher’s often implicit ‘model of the common good’.
An individualistic (typically Anglo-Saxon) view on the individual versus the common
good would tend to assume that the sum of individual goods equals the common good (hence
either the farmers or the farmers union should be stakeholder), while a less individualistic
vision, as often taken in France for instance, would tend to assume a more principled
difference between the individual and the common good and would therefore tend to see both
the farmers and their organization as stakeholders. Participation facilitators should be
transparent on this point, and coherent, treating all common goods on the same footing.
194 Wouter T. de Groot and Jeroen F. Warner

Consistency: Models of Democracy

In the Habermasian ideal of democracy as a form of total deliberation, all parties

communicate freely with each other, irrespective of their functions in society. In more
traditional models of democracy, public life is divided into functional spheres with different
roles and different internal rules. These spheres may be defined, for instance, as (a) politics,
(b) the market and (c) civil society. Roles and rules then are, for instance, decision-making
and one-man-one-vote, material production and competition, and immaterial production and
voluntary deliberation, respectively. In this traditional model of democracy, participation is
seen as a process in which the central coordination bodies of the state (roughly, the
bureaucracy) reach out to civil society. Participation then excludes politics and business; it is
an open space designed to give more voice to civil society.
Participatory processes can be coherently organized in both models of democracy. The
high rule is that the game should be played coherently. In the traditional model, politics and
business have their place outside the participation arena and should not be allowed halfway
in. And the other way around in the Habermasian model, political actors and business actors
are to be invited transparently and fully.4

STEP 4: SETTING A BALANCED SCENE

The preceding step on the road to from all stakeholders to balanced process has generated
a list of desired participants in a planning project. Step 4 is centered at the period in which the
project moves from its preparatory to its dynamic phase.
Two questions prevail at this point. First, overlooking the list of invitees, can we expect a
sufficiently level playing field in the sense that all of them will have enough voice to be
heard? Second, participants have been invited, but how do they respond to the invitation?
Should other people be invited (or de-invited) as a response to who in fact shows up in the
first planning sessions? Grouped under the heading of ‘setting a balanced scene’, these two
issues will be discussed in this section.

Should the Intellectual Playing Field Be Leveled?

People may show up at participatory meetings, but are they knowledgeable? Mohapi
(2003) tells the story of a man who had been to several stakeholder platform meetings on
river management, and then when he finally dared to speak, asked the chairman to please
explain what a stakeholder platform was. Is that problematic? Should people be
knowledgeable? Let’s first clear two easy cases out of the way. Participants should be
knowledgeable on the planning issue if and insofar (a) this is psychologically or socially
conditional for them to participate at all, and (b) if they are supposed to represent a
4
Out of the Habermasian model, forms of joint planning may ensue that de-emphasize civil society and with that,
fall outside the rubric of public participation. In the successful model of WaalWeelde (Scholten 2009) , for instance,
14 municipalities work jointly on the design of room-for-river plans along the Waal river, represented by their
political leaders (aldermen). Business parties participate actively in this process, but public participation is a
relatively minor concern, even though creative efforts were made, e.g. through the internet.
 From “All Stakeholders” to Balanced Process … 195

knowledgeable group. But in other cases, how knowledgeable should participants be? If, say,
a housewife with good verbalizing capacity sits in to represent housewives in a neighborhood
planning process, how much should she know about neighborhood planning? Why worry
about leveling the playing field in such a case? The more she comes to know about planning,
the less representative she will be. A principled idea that the whole intellectual playing field
should be leveled has a nicely emancipatory, democratic appeal. It tends to have an
exclusivist result, however, because the time and funds to educate everybody are usually
unavailable. The notorious effect then is to reinforce the common practice that experts first
decide on the basic issues and then involve participants merely discuss details of
implementation. In other words, the leveling of playing fields is a subtle matter that should
not be dominated by our own intellectualist idea that everybody should be intellectualized,
and neither by the experts’ ideas that experts know best. Too many river projects have been
planned on ancient graves or holy sites, have sought to ‘improve’ a landscape that local
people appreciate very much, and have ignored local knowledge and local ways of conflict
resolution. This being said, a careful consideration of capacities and knowledge gaps can lead
to the conclusion that the intellectual playing field should be leveled to at least some extent
before balanced participation may be expected. In such cases, mutual learning can be set up
as a joint process of experts and local people teaching each other (Warner and Simpungwe
2003; see also step 1 in the Joint Planning Approach at www.jointplanning.eu), in which
experts and participants update each other on what the river means to them and what may be
the major challenges and opportunities. Another method is to first create an ‘experts-free
zone’ in which local people inform each other in the presence of the participation facilitator,
which is intended to result in a more equivocal and self-confident local voice.

Participants behind the Curtain

Our definition of participants allows actors to participate in planning outside the public
planning sphere. As Long (2001) puts it, participation is any action that social actors
undertake to alter their conditions of living, whether or not it fits the box designed by
initiators of public planning. Especially powerful affecting stakeholders may prefer not to
been seen while participating in the planning process, and use other channels to influence
planning outcomes or decision-making. In itself there is nothing sinister about the fact that,
say, the landowner on whose land an intervention is planned, or the bank who will act as a
guarantor, or a national conservation NGO use their contacts in the polity or bureaucracy to
state their position. The legitimacy of such actions depends largely on the prevailing concept
of democracy. In the Habermasian ideal of ‘total deliberation’, in which government and
basically all stakeholders are supposed to ‘co-produce’ policies, the powers behind the scenes
would need to be uncovered for balanced analysis and be drawn into the deliberation process.
If this fails (as it usually does), participatory processes framed in the Habermasian ideal run a
severe risk, since those who do participate may be led to believe that their preference will be
translated into policy more or less automatically. Then finding that there are other, invisible
circuits of decision-making is experienced as a breach of trust, which has led to many
196 Wouter T. de Groot and Jeroen F. Warner

instances of conflict (Stirling 2008; Margerum 2002).5 In the more traditional democracy
model of separation of spheres, participation facilitators may say that what they are doing is
trying to hear the voices of civil society and possibly help design a unified civil society plan
or proposal, separate from the economic powers of the market and the decision-making
responsibility of the political councils. Intermediate positions may be found as well (the most
common of which is to involve as many affecting stakeholders as possible) but here again,
consistency and transparency are of the essence.

Uninvited Guests

The major objective of the process of stakeholder analysis and participant invitation
(Steps 1-3) is justifiable exclusion. A well-known phenomenon in practice is that of the
uninvited actor showing up, claiming to be the representative of a stake unjustifiably ignored,
or claiming to be the better representative of a non-ignored stake, or claiming nothing at all
but being interested nevertheless. What to do? First of all, an impartial evaluation of the
claim, of course. If no reasons for a rectification of invitations are found, one thing to do is to
sit back and make the best of it, except when the additional presence turns out to be too
disruptive.

Invited But No Show

As Moreyra and Wegerich (2006: 10) put it, “actors most of the times take what is at
hand, transform and reshape interventions towards reaching their individual or collective
goals”. Participation has a demand side, resulting in the invitations of Step 3. But it has a
supply side too; invited participants must be willing to show up. Three reasons prevail why
invited actors may decline to participate.

(1) Some stakeholders may prefer to be left out for principled reasons. The judiciary, for
instance, guards its independence and shies away from any planning (lawmaking)
involvement. Its position, roughly, is: “You bring us the conflict, then we’ll see”.
Banks have the same rule of not wanting to sit in the planning seat: “You bring us the
business plan, then we’ll see”. Usually, these positions are so well-known that these
actors, even though they may be identified as strongly significant affecting
stakeholders, are never invited to begin with.
(2) Other actors may prefer to stay out of the public participation process because they
prefer to use other avenues of influence. Some of them will participate behind the
scenes (see above). Others will in fact participate but prefer to do so on paper (see
above; the position is: “go ahead, you know our rules”). Activist groups such as
Greenpeace may feel that the give and take that comes with participatory
negotiations is a risk for their public role. Finally, less powerful stakeholders may

5
One such silent insider suddenly became visible when an alderman in Arnhem mentioned, during a public
consultation on the planning of a neglected neighborhood, that the landowner would have veto power. The
alderman's slip of the tongue made the participants lose faith in the whole exercise.
 From “All Stakeholders” to Balanced Process … 197

prefer to deploy the ‘weapons of the weak’ (Scott 1985), e.g. civil disobedience,
boycott, delay, spreading rumors, and sometimes violence. In the evidence-based
Rules Of Successful Practice designed by Margerum (2002), it is stated that giving
all participants veto power over the plans to be made can significantly change the
motivations of this category of actors, drawing them into the participation process
and increasing the chances of implementation.
(3) Finally, actors may have no alternative avenue of influence and yet stay out of the
participatory process. This could be called true non-participation and constitutes the
most severe threat to the legitimacy of any public planning process. Factors that play
a role lie at the benefit side as well as the cost side of participation. On the benefit
side, an issue may simply not important or urgent enough for the actor, or the degree
of influence that the actor perceives to possibly have may be too low. On the cost
side, the actor may have difficulties to find the necessary time and may feel
uncomfortable in the participatory situation, e.g. because of low verbalization
capacity.6

Reflection and Remediation of Invited vs. Actual Participants

The preceding paragraphs have already supplied some thoughts and remedies concerning
invited versus actual participants. The high rule is again that conscious reflections will
already help much to take justifiable action. For instance, there is a great difference between
an uninvited guest that only takes up an extra chair and some extra coffee, and an uninvited
guest that dominates discussions. And as said about the problem of participants behind the
scenes, much will hinge around a consistent and transparent handling of the model of
democracy that the participatory process builds on. Participants that are invited but do not
show up are the most intrinsically problematic group. Some general remedies do exist,
however. One of them is to combine issues. People mail fail to show up first on neighborhood
water issues, then again on neighborhood parks, then again on neighborhood crime and so on,
but they may show up for integrated neighborhood renewal in which all issues are discussed.
An allied solution is to avoid framing the problems from the start, and involve people from
the beginning in the full agenda of deliberation, in a process of joint problem finding and joint
problem framing. This may well lead to a broadening of issues, e.g. from narrow river
management to broad river landscape planning. This in turn may open up new avenues for
success also for the original river management challenge, because issues become tradable in
package deals. River widening may for instance be combined with floodplain development
that includes new nature and recreational areas (Swanenvleugel 2008).

STEP 5: MAINTAINING A BALANCED PROCESS

Step 4 has served to get a balanced process of participatory or joint planning in motion.
The process will be a dynamic one, however, in which different phases, newly proposed

6
Other actors may feel the reverse in the latter respect; to have the opportunity to do one’s citizen’s duty or to
express one’s views is often felt as a joy in itself, irrespective of possible benefits (Warner and Verhallen 2005).
198 Wouter T. de Groot and Jeroen F. Warner

solutions and changing contexts require reconsiderations of what are significant stakes and
who are desired participants. Although repeated reconsiderations cannot be called a ‘step’ in
the literal sense, we have labeled it as Step 5 in our practical ethics. Windsor (1999) likens a
participation process to a bus in which the number of seats does not match the number of
passengers. He also maintains, however, that this problem can usually be solved in a balanced
manner, using a mix of competition and cooperation, through which “some minimally
satisfactory solution is found, such as standing in the aisle or changing seats periodically.” In
the present section, we will meet both the “aisle” and “changing seats” phenomena.

Dynamic Invitation Connected to Project Phasing

Public planning processes go through phases such as problem identification, setting the
rules of the game, visioning the outcomes, inventory of options for solutions, design of the
draft plan, assessment of funding opportunities and constraints, and so on (see for instance the
joint planning approach on www.jointplanning.eu). Considerations of whom to invite to
participate may regard the process as a whole (see preceding section) but may also be left to
vary according the phase. A wide representation of citizens, for instance, may be desirable in
the visioning phase but a burden during funding searches and negotiations. The benefits of
efficiency are obvious here, but so should be the risks to final effectiveness and legitimacy. In
river planning in Tiel (the Netherlands), for instance, enthusiastic citizen groups felt cheated
when excluded from later planning phases, without justifiable reasons known beforehand or
even after the fact. One solution, in the vein of Windsor’s (1999) “standing in the aisle”, is to
form a broad pool of participants and then include the ways of phase-wise selection out of this
group in the discussion of the rules of the game very early in the planning cycle.

Dynamic Invitation Connected to Shifts in Problemshed

The features of the problemshed (problems, possible solutions and the connected
stakeholders) may shift during the planning process. This may be due to gradual learning and
reframing, e.g. on causes of the problem, its long-term impacts or the directions that solutions
may go. It may also result from more drastic changes such as when issues are combined in
order to enhance participation (see preceding section) or when solutions are proposed that
have impacts on groups or regions there were hitherto not identified as stakeholders, e.g.
when one community proposes to divert polluted streams of noisy flyroutes over the
territories of another community. New solutions may also bring new affecting stakeholders
into view, and the reverse may be true as well if solutions vanish from the scene.

Dynamic Invitation Connected to Actual Representation

People may have been invited as representing stake X, but will often turn out to in fact
represent more or less than X. The NGO member standing in for future generations may turn
out to be an ardent angler too, for instance.
 From “All Stakeholders” to Balanced Process … 199

The representative of farmers may turn out to be opposed to his own organic colleagues
who in fact have no voice though this participant, and so on. Balanced representation may
therefore require repair actions, adding and excluding participants along the way, in order to
rectify over or under-representation.

Dynamics of Actual Participants

Irrespective of invitations, actual participants may drop in or out during the process. This
may be due to ‘forum shopping’, reflecting the strategic behavior of actors, dipping their feet
into a process here and there and assessing the odds of a achieving the desired outcome for
them.
Stakeholders usually expect invitations even if they repeatedly decide not to come. They
may find different planning phases more interesting than others, and appreciate the space to
drop in again. Examples were observed in river visioning meetings in the Nete in Flanders
and Dhünn/Wupper, Germany (Verhallen 2008 and Pochwyt 2008, respectively). In other
instances, actors dropping in unexpectedly may be incited by social entrepreneurs who start to
engage with a project at the interface between project and project-affected people (Long
2001).
A well-known phenomenon is that in late project phases, participants may be stirred into
action – gatecrashing the party – when the project reaches their back garden. Reverse cases
have been described as well, e.g. by Roth et al. (2008) when actors take the initiative at a very
early project stage and spend great energies to stay in the lead.
The “acute sense of ethics” required of the participation facilitator (Decoster 2008) to
keep the balance of representation in some justifiable equilibrium is especially essential
during the heat of the participation process. The initial stakeholder analysis and round of
invitations (Steps 1 to 4) can often be given some degree of systematic, open and multi-
person thought. In the course of an ongoing participation process, however, these guarantees
for balance are in much shorter supply. The facilitator will often be the only one making the
balance decisions, and find himself under strong pressures to make the process a ‘success’
without too many questions asked.7 Step 5 is the most difficult one for the participation
facilitator in practice.

CONCLUSION
Most of the inspiring concepts and practices of relatively radical participatory planning
and management (e.g. Borrini-Feyerabend et al. 2004) originate from experiences in
developing countries or, to put is more precise, from contexts of morally and factually weak
government, where creating space for power sharing and locally based co-management is
both more necessary and more possible than in Western countries.

7
As a result, any willing participant who speaks the language may find himself to be welcomed in an ongoing
planning process, even if he doesn’t represent anything. This has been the experience of one of the present authors
on several occasions in participation processes on Dutch river works. After presenting himself, he was included
without any discussion. This would have been impossible in the early (Step 1 to 4) phases of the participant
selection.
200 Wouter T. de Groot and Jeroen F. Warner

In these Western societies, the division of roles between politics, bureaucracy, business
and civil society requires much more careful consideration than the catch-all nets cast by
participation facilitators in developing countries. Above this empirical South/West distinction
hovers the theoretical tension between the Habermasian view of social actors pursuing
consensus in open dialogue vs the Marxian view of conflict between vested interests and
stakeholder groups that are framed into passivity by the ruling ideology. We have tried to find
a flexible middle ground in these tensions – first by applying relatively objectifying (hence
inclusive) ways to identify significant stakeholders and then by supplying a number of
practicable concepts and rules to keep the balance between the stakeholder voices, including
those of the voiceless, in the process. The justifiability of the representation decisions made
during the analyses and discussions should not be sought first in the Habermasian, Marxian or
any other theoretical vision but in the policy principles and the deeper, ‘constitutional’ rules
of the society where the participatory planning process is acted out. Principles of equity
(sustainability, protection of nature and the poor etc.) are often expressed with sufficient
clarity at that level.
Overall, our method has been to develop the undifferentiated cloud of ‘stakeholders’ and
‘participants’ first into a few conceptual steps (significant stakeholders – framing reflection -
invited stakeholders (participants) – actual participants – participants in the process) and then
attach a number of categories, examples, reflections and sometimes a few rules to each of
these. We hope that this system, though certainly not constituting any formal ethics, will
serve to improve the quality and justifiability of the decisions of who is to represent what in
participatory planning.

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In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 5

VOLGA RIVER: POLLUTION, WATER QUALITY,

TOXIC CONTAMINATION AND FISH HEALTH

T. I. Moiseenko1, N. A. Gashkina1 and Yu. N. Sharova2

1
V.I.Vernadsky Institute of Geochemistry and Analytical Chemistry, RAS
Kosygin Street 19, Moscow, GSP-1, 119991 Russia
2
Institute of Water Problems of the North, Karelian Scientific Center, Russian Academy
of Sciences, prosp. A. Nevskogo, 50, Petrozavodsk, 185003 Russia

ABSTRACT
The characteristic of current state of Volga river is given. Concentrations of organic
and inorganic toxic substances in water are reported. Basic clinical and postmortem signs
of fish intoxication are described; changes in the cellular structure of their organs and
tissues, as well as disturbances in hemogenesis, developing under the effect of toxic
agents, are characterized. The main disturbances to fish caused by the accumulation of
microelements in their organs and tissues are also considered. Based on dose–effect
dependencies calculated with respect to the total concentration of toxic substances,
standardized to MPC, and fish health criteria, cases that exceed the critical levels of
pollutants are demonstrated for the investigated river sections.

Keywords: Volga River, pollution, water quality, metal bioaccumulation, fish pathology.

INTRODUCTION
The Volga is the longest river of Europe. It flows through the western part of the Russia.
It is Europe's longest river, with a length of 3,690 kilometres (2,293 miles), and forms the
core of the largest river system in Europe. Because of the building of dams for hydroelectric
power, the Volga is navigable for most of it's 2,293 km (3,692m) length. Тhe Volga river
basin which comprises 40% of the population of Russia, 45% of the country’s industry and
50% of its agriculture. The biggest environmental problems stem from major industrial
complexes, big dams, large cities and maintaining navigability. The problem being faced now
204 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

is that this system and all of the associated infrastructure is inefficient. Domestic and
industrial wastewaters, air-borne pollution of the catchment area, as well as non-sewerage
effluents from settlement areas find their way to this water basin. Several studies have
proved the contamination of water and accumulation of heavy metals, oil products, polycyclic
aromatic hydrocarbons, polychlorirozak biphenyl’s, dioxins, and other chemical compounds
in bottom sediments (especially in the places of industrial effluents discharge)
(Anthropogenic Impact…, 2003; State Report…, 2002, 2003). Water quality problems are
most severe in European Russia, especially in the Volga Basin. Of all water withdrawn from
natural sources in Russia, 33 percent comes from the Volga. About half of that water returns
to the Volga as polluted discharge, accounting for 37 percent of the total volume of such
material generated in Russia. The Volga's water does not meet the norms for drinking water
and is unsuitable for fish farming or irrigation. The data on water contamination with toxic
substances in the Volga River basin are discrepant due to several reasons (different time
periods used for the analysis, non-coinciding sampling points, insufficient capacity of
measurement instruments, etc.). In the late 1980s and early 1990s, numerous government
committees were formed to clean up the Volga. Few of the resulting restorative programs
have been implemented, however, and the Volga remains under ecological stress. Lately, due
to the overall economic crisis and general industrial decay in the country, the input of
pollutants to the Volga River has largely decreased. However, certain studies show that the
level of water contamination remains high (Rozenberg, Krasnoshchekov, 1996; State
Report…, 2002, 2003). One of the ecological consequences of water contamination with toxic
substances in the Volga River basin and unsatisfactory water quality are very frequent cases
of fish intoxication. Analysis of scientific papers dealing with the concentration of toxic
substances and morbidity in fish in the Volga River basin shows that the situation is alarming.
In 1965–1974, 334 cases of mass death of fish have been registered; in 1975–1985, 574 cases;
1986–1988 witnessed mass death of fish caused by 200 emergency and unit discharges of
pollutants (Rozenberg, Krasnoshchekov, 1996).The attention of numerous researchers was
attracted by very frequent incidences of myopathy (muscle exfoliation) and eggshell
weakening in Volga–Caspian sturgeon. In spite of appreciable scientific and practical interest
to the problem of the Volga River contamination with toxic elements and diseases in fish
caused by such contamination, there are no system studies aimed at assessing the
ecotoxicological situation within the investigated river basin.
Main objectives of study:

• To identify the modern levels of contamination of the Volga River water by toxic
substances – metals and organic micropollutants;
• To study the accumulation of metals in fish as a consequence of increased
concentration of metals in the water environment;
• To reveal the main pathological manifestations of chronic intoxication in fish of the
Volga River;
• To assess the ecotoxicological consequences of increased toxic elements in water and
the ecosystem health of Volga River on the basis of the pathological investigation of
fish;
• To discuss critical levels of water pollution, and compare them with existing levels of
pollution.
 Volga River 205

MATERIALS AND METHODS

In August and September of 2000–2002, comprehensive studies were carried out in 13
sections of the River Volga (Figure 1): the Ivankovskoe reservoir (I, II, III) of the Upper
Volga; the Gorkovskoe (IV, V, VI) and Kuibyshevskoe reservoirs (VII, VIII) in the Middle
Volga; and the course (IX, X, XII) and delta (XII, XIII) of the Lower Volga. Water was
sampled for determination of the concentrations of toxic substances (metals and toxic organic
compounds). Fish were examined to study their physiological state in order to reveal different
forms of pathology and organ dysfunction. Water samples were always taken at the precise
sites where fish were caught for examination. The bream Abramis brama (L.), the most
widespread fish species in the Volga River basin, was used as a bioindicator. It is a benthic
fish that does not make long-distance migrations, which enabled the collection of material for
examination from limited sections of the river.

Figure 1. Location of the sections on the Volga River where the investigation was carried out.
206 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Water chemistry. In total, 31 water samples were taken in 13 sections of the Volga River
and reservoirs. Water samples were collected into Nalgen® Polyethylene bottles (1l and 60
ml). Bottles were cleaned in the laboratory and rinsed twice with lake water before sampling.
After sampling, all samples were kept cool (approximately +4oC) in dark containers and were
delivered to the laboratory within 1–3 days.
The analyses carried out on the water samples were as follows. The pH was measured
using a Metrohm®pH-meter; conductivity (20oC) by Metrohm®-conductivity; alkalinity
using the Gran titration method; and natural organic matter content by the Mn oxidation
method. Microelement concentrations were determined using the atomic-absorption in
graphite furnace method (GFAAS, "Perkin-Elmer - 5000" model, HGA-400, AAnalyst-800,
Corp., Norwalk, USA). Hg was determined using atomic fluorescence (Fl, model Merlin®).
Standard solutions with appropriate concentrations for each element were made from 1000
ppm AAS stock standards (Merk, Darmstadt, Germany). In addition, for determination of Hg,
Mo, V, Se elemental analysis of the water was carried out by the inductively coupled plasma
method using a "Plasma Quad 3" mass-spectrometer manufactured by Fisons Electronic
Elemental Analysis (United Kingdom).
"Acidic" and "alkaline" extractions of the water samples (in glass bottles) were obtained
with methylene chloride under field conditions. Concentrations of organic micropollutants in
these extracts were determined by gas chromatography using a "QP-5000" chromate-mass-
spectrometer manufactured by Shimadzu (Japan). The quality of the analytical results was
repeatedly tested by intercomparisons during the course of the project (Hovind, 2000; 2002;
Makinen, 2002).
An integrated impact dose is determined by summing the excess for each revile
concentration of toxic compound to their MPCfishery as follows:
Itox-1 = ∑(Ci /MPCfishery.)
Itox is the integrated toxicity index; Ci is concentration registered in water; MPCfishery is
MPC for toxic substances accepted in Russia for fishery and aquatic life.
According to Russian rules of water protection, the water quality may be considered good
if Itox is no more than one (0 <Itox-1 ≤1).Water quality may be considered good if Itox-1 is no
more than one.
Bioaccumulation. For determination of the metal content of the bodies of fish,
subsamples from a minimum of five individual fish from every site were collected from the
gills, liver, kidneys, muscle and skeleton. Samples of fish organs and tissues for metal
analyses were dried to their constant weight at 105oC. Dry samples were prepared for analysis
by wet digestion in ultrapure nitric acid (10 ml acid for 1 g of tissue). The content of Ni, Co,
Cd, Cr, Mn, Pb, Cu, Zn, Al, Sr in fish was determined on an atomic absorption spectrometer,
using a graphite furnace HGA-400. Duplicate analyses were used for the purpose of quality
control.
In analyzing essential elements (Cu, Zn, Co) additional information about climatic
variation along Volga River was also used, that is sums of annual temperature exceeding
+10oC taken from climatic map.
Fish pathology. This was aimed at revealing the effects of toxic substances. Fish were
studied at 13 river sections; the minimum number of fish observed was 50 of the same age
(from 4+ to 6+ years old); all were free of internal parasites in the time period of the
investigation (August and early September).
 Volga River 207

Blood samples are taken from live fish tail artery using methods described elsewhere. In the
blood samples thus taken, hemoglobin concentration, erythrocyte sedimentation rate (ESR),
erythrocyte and leukocyte concentration. Blood smear examination allows the analysis of red
blood composition, differential blood count, and the detection of occurrence of pathologic
blood corpuscles. (Ivanova, 1976; Krylov, 1980). Macrodiagnostics to determine fish health
were carried out under field conditions. The clinical and pathological anatomical signs of
intoxication and any abnormalities were documented on the basis of visual examination of the
fish during the first hour after fishing.
In the process of visual examination, special attention paid to the following: the intensity
of color, the state of pigment (cells–melanophores); the total amount of mucus on the fish
body; the state of squama, opercula, oral cavity, anus; the cases of hyperemia, subcutaneous
hemorrhages, sores, or hydremia of the body; deformation of skull and skeleton bones; the
state of eye crystalline lens and cornea. When the opercula are opened, branchiae are
examined, in particular, their color, the presence and the amount of mucus, the state of
branchial petals (accretion, adhesion, dilatation, or thinning down). After the abdominal
cavity is dissected, the state of fish muscles is studied (color, consistence, hemorrhages,
attachment to bones), as well as the presence of exudate in the abdominal cavity, the amount
of cavitary fat, its color and density. The topographic location of viscera (liver, kidneys,
gonads, spleen, heart, stomach, intestines), their dimensions, color, density, edges,
hemorrhages, zones of necrosis, etc. are studied. Mucous membranes of dissected stomach
and intestines are examined, in addition to cerebrum, paying special attention to filling of
vessels, their color and density. For more precise microdiagnostics, the organs of fish with
overt signs of pathology were removed for histological analysis. Histological sections were
prepared in the laboratory according to the standard method (Bucke, 1994). For satisfactory
histological preparations only freshly killed fish were considered. Gills, kidneys, liver, and
gonads were handled rapidly to prevent degenerative changes within the specimen. They were
carefully dissected from the body, cut into blocks of <1 cm3 and placed in a fixative (Bouin's
fluid). Histopathological alterations of organs were evaluated under a light microscope
(450×). Diagnosis of disease was confirmed on the basis of histopathological observations.
The percentage of sick fish in the stock of each local polluted zone was documented. Fish
were detected at various stages of disease ranging from initially insignificant pathological
organ changes to serious compromise of the organism. In the process of macrodiagnostics,
three stages of disease can be identified (0 denotes healthy individuals):

(1) Low-level disturbance, not threatening the life of the fish;

(2) Medium-level disturbances, causing a critical state in the organism;
(3) Distinct signs of intoxication leading to inevitable death of the organism.

The overall index of morbidity in fish in a given zone of contamination can be presented
as:

Z = (N1 + 2N2 + 3N3) /Ntot.

Here Z is the morbidity index for fish, 0 ≤ Z ≤ 3; N1, N2, and N3 are the numbers of fish in the
first, second, and third stages of the disease, respectively; and Ntot is the total number of fish
208 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

examined in the local contamination zone, including healthy individuals. If none of the fish in
a given body of water demonstrates any signs of intoxication, then Z = 0. The value of Z will
increase with an increase in both the number of sick fish and the severity of their diseases.
Statistics. Statistical data processing was carried out using the regression analysis; the
significance of correlation coefficients was determinated by t-criteria.

CHARACTERISTIC OF VOLGA BASIN AND ANTHROPOGENOUS LOADS

Geography and Hydrology. The Volga Basin comprises four geographical zones: the
dense, marshy forests; the forest steppes; the steppes; and the semi-desert lowlands. It rises in
the Valdai Hills of Russia, 225m above sea level north-west of Moscow. It also passes
through a chain of small lakes. The Volga and its tributaries form the Volga river system,
which drains an area of about 1.35 million square kilometres in Russia. The course of the
Volga is divided into three parts: the upper; the middle; and the lower Volga. Starting as a
small stream, it becomes a bigger river when it is joined by some of its tributaries. The major
tributaries are the Oka, the Belaya, the Vyatka, and the Kama, each of which is longer than 1
000 km and has a catchment area exceeding 100 000 km2.
The variation range of water discharge is great: from13420 m3/c in flood time, 94 m3/c in
winter low water and 188 m3/c in summer low water in the Upper Volga to 56500 m3/c in
flood time, 380 m3/c in winter low water and 600 m3/c in summer low water in the Lower
Volga (Edelstein, 1998).
The Volga’s flow is regulated by reservoirs. They accumulate about 70% Volga’s flow.
The morphometric characteristics of reservoirs are represented in the Table 1. The fierst two
of them are included in the Upper Volga, the next tree – in the Middle Volga and the last two
– in the Lower Volga. The Oka river falls after the Gorkovskoe reservoir and increases flow
in two times, also the Kama river falls into the Kuibyshevskoe reservoir and increases flow in
two times.

Table 1. The main characteristics of reservoirs in Volga river (compiled from (Edelstein,
1998))

Reservoir Year of Volume, Area, Maximum Length, Volume Coefficient

creation km3 km2 depth, km water of water
km dropping cycle,
through 1/year
dam,
km3/year
Ivankovskoe 1937 1.1 327 19 120 9.2 7.9
Ribinskoe 1941 25.4 4550 28 112 30.1 1.4
Gorkovskoe 1955 8.8 1590 22 430 46.8 6.0
Cheboksarskoe 1981 4.6 1080 13 340 109.5 24.3
Kuibyshevskoe 1957 57.3 5900 41 510 234.9 4.2
Saratovskoe 1969 12.9 1831 33 336 230.6 19.1
Volgogradskoe 1961 31.4 3117 41 524 236.1 8.0
 Volga River 209

The Volga’s major distributary, the Akhtuba, runs parallel to the main river on its way
towards the Caspian Sea. Above Astrakhan, the Buzon River, another main distributary of the
Volga, marks the start of the Volga Delta. The mouth of the river is situated on the Caspian
Sea at 28m below sea level. As the Volga approaches the Caspian Sea it divides into a delta
comprised of about 275 channels covering about 12000 km2. The Volga Delta has a length of
about 160 kilometres. It includes 555 channels and small streams. It is the largest estuary in
Europe. It is the only place in Russia where pelicans, flamingoes, and lotuses may be found.
The Volga freezes for most of its length for three months each year. Some of the biggest
reservoirs in the world can be found along the river.
At the Caspian Sea the Volga is an important source of water for the sea and its famous
sturgeon fishery. The Beluga sturgeon is the largest fish found in the Volga. But the water
that flows into the Caspian has been used many times upstream by the factories and the
farmers.
Anthropogenic impacts. Over half of Russia's industry is located within its drainage. The
biggest environmental problems stem from major industrial complexes, big dams, large cities
and maintaining navigability. Although the extensive development of the Volga has made a
major contribution to the Soviet economy, it also has had adverse ecological consequences.
The Volga basin is under pressure from human activities, industrial waste and chemical
pollution being the most serious.
The industrial potential of the Volga basin is high and represent all industrial sectors. The
most dangerous chemical and petrochemical industries come to the front, in Volga basin main
capacities of oil processing (60%) and petrochemistry (70%) of Russia are concentrated. The
central region specializes on production of plastic, chemical fibres, lacquers and paints,
synthetic dyes, goods of home chemistry, the southern region – mineral fertilizers, caustic
soda, polyvinylchloride and caprolactam. 14 enterprises produce pesticides. Should be noted
that in 2000 9.3 million tons agricultural production were tested on pesticides and 47
thousand tons (or 0.35%) ones contented pesticides above permitted concentration
(Rozenberg, 2009). The machine-building complex comes to the front too, but from 1991 to
2000 emissions of contaminations to the atmosphere have reduced in about 4.5 times and
dump of contaminations to Volga – in about 3 times. The fuel and energy complex give
maximum emissions to the atmosphere which have reduced in 1.7 times by 2000 (Rozenberg,
2009). The metallurgical complex don’t be a ruling one in the Volga basin. The forest,
woodworking and pulp and paper industries allocate in the north of Volga basin. Total and
comparative dump of polluted water from all industrial source into Volga river are presented
in the Table 2. Although the dump of polluted water has been reduced about on one third by
2000, load of wastes per unit of area and per one inhabitant has remained still high as
compared with all Russian territory.
But most pollution in the Volga River watershed comes from nonpoint sources, or
sources that are not easily traced back to a specific “point” like a wastewater treatment or
industrial plant. In the Volga River watershed, nonpoint sources include areas used to land-
apply manure, feedlots and pastures, and improperly connected or failing septic systems.
Rainwater and snowmelt can wash waste from livestock (confined and pastured), pets, and
wildlife into the river. To reduce the amount of fecal matter reaching the river, changes in
waste and land management will be needed. It will take time to make these changes and to see
the effects.
210 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Table 2. Total and comparative dump of polluted water into Volga river (compiled from
(Rozenberg, 2009))

Region 1991 2000

Total from Per unit Per one Total from Per unit Per one
all pollution of area, inhabitant, all pollution of area, inhabitant,
source m3/km2 m3/person source m3/km2 m3/person
Upper Volga 901 3633 241 496 2000 133
Region 1991 2000
Total from Per unit Per one Total from Per unit Per one
all pollution of area, inhabitant, all pollution of area, inhabitant,
source m3/km2 m3/person source m3/km2 m3/person
Middle Volga
without Oka 4005 7783 218 2533 4923 138
and Kama 9844 13357 238 5997 8137 145
with Oka 11221 7484 219 7028 4688 137
with Oka and
Kama
Lower Volga 1234 4330 158 913 3202 116
All Volga
Basin 6140 5861 205 3942 3763 132
without Oka 13356 6572 213 8437 4151 134
and Kama
with Oka and
Kama
Russia 27798 1628 16 20291 1188 12

The system of dams and reservoirs has blocked or severely curtailed access for such
anadromous species as the beluga sturgeon (famous for the caviar made from its roe) and
whitefish (belorybitsa), which live in the Caspian Sea but spawn in the Volga and other
inflowing rivers, and it has fundamentally altered the habitat of the nearly 70 species of fish
native to the river. These changes—along with pollution by industrial and municipal
effluents.
As a result of climate change and an increase in the Volga’s water temperature, fish like
Kilka, a small, Caspian herring, have spread out. This shows that global warming does have a
big impact on the river’s ecosystem. More than 200 new species now live in the Volga
permanently.

WATER CHEMISTRY AND CONCENTRATIONS OF TOXIC SUBSTANCES

IN WATER

Water chemistry. Water chemistry not much differs along Volga river. pH values indicate
a neutral reaction (the variation range is 6.2-8.0). Mineralization of water is low juding on
electroconductivity which slightly increase on averige from 195 μSm/cm in the Upper Volga
to 364 μSm/cm in the Lower Volga (Table 3).
 Volga River 211

Table 3. Concentration of microelements and their MPC values (μg/l) and also pH,
conductivity (χ), calcium in water of Volga river (dash denotes the values below the
detection limit; here and in tables 2, 3, 4, X is the average value; Min is the minimum
value; Max is the maximum value)

Parameter, Upper Volga Middle Volga Lower Volga MP

element Х Min-Max Х Min-Max Х Min-Max C
pH 7.7 7.5-7.9 6.8 6.2-7.0 7.4 6.8-8.0
χ, μSm/sm 195 165-268 255 226-280 364 357-387
Ca, mg/l 29 25-40 36 32-38 35 32-37
Hg <0.05 - <0.05 - <0.05 - 0.01
Cd 0.13 0.08-0.20 0.13 <0.02-0.62 0.13 0.02-0.26 5
Pb 0.46 0.02-0.80 <0.02 - 1.72 1.00-3.20 6
Al 272.3 190-400 31.7 8.20-70.9 820.5 440-1480 300
Sr 101.1 85.0-120 190.8 95.7-289 521.3 469-568 400
Ni 1.78 1.20-2.50 1.72 <0.5-5.58 2.22 1.60-3.30 10
Mn 101.6 72.0-150 62.4 12.9-111 27.7 22.7-35.7 10
Zn 3.73 1.30-5.40 1.36 <1-5.11 5.58 2.60-8.70 10
Cu 2.14 1.20-3.80 2.21 0.94-5.68 1.70 1.30-2.30 1
Cr 0.83 0.29-1.70 0.75 0.49-1.18 0.60 0.47-0.75 70
Co 0.31 <0.2-0.60 0.16 0.14-0.19 0.60 0.30-1.30 10
As 2.8 1.8-4.7 1.0 0.7-1.4 1.8 1.2-3.2 50
Mo 0.20 0.16-0.23 0.62 0.43-0.82 0.43 0.38-0.49 1
V 1.36 0.98-1.65 1.21 0.85-1.71 2.35 1.95-2.59 1
Se 0.50 <0.5-0.55 0.84 <0.5-1.16 0.81 <0.5-1.17 2

The calcium and hydrocarbonates dominate in the ion composition, although in the
southern region – Lover Volga concentration of more mobile aquatic migrants Na+, Cl- and
also SO42- increase till 15, 26 and 40 mg/l accordingly. The average values of permanganate
oxidation and colour index are distributed as follows: in the Upper Volga – 18 mgO/l and
97oPt-Co, in the Middle Volga – 10 mgO/l and 48oPt-Co and in the Lower Volga – 15 mgO/l
and <40oPt-Co. That means contration of both easy oxidizable organic matter and total and
bioavailable nutrients increase toward southern region.
Metals and metalloids. The microelement concentrations in the water were relatively low
in the investigated river sections: the concentrations of Mo, Cd, Co, and Cr were less than 1
μg/l, those of Se and Pb varied from less than 1 to 1.7 μg/l, those of Ni, V, and Cu varied
from less than 1 to 2.8 μg/l; the concentration of Zn varied from 1 to 6.2 μg/l; and that of As
from 1 to 4.2 μg/l (Table 3). Relatively high concentrations of Mn and Sr were observed. The
concentration of mercury did not exceed the accuracy of its determination using our technique
(< 0.05 μg/l).
Relatively low concentrations of the investigated elements (especially Zn, Ni, Cd and Cu)
can be explained by the absence of ferrous and non-ferrous metallurgical plants in the region
under consideration, as well as by the overall decrease in the level of Volga River water
contamination observed after the recent economic crises.
212 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Comparison of the element concentrations in the Volga River with the respective
"background" values for overland flow in European Russia (Petrukhin et al., 1989; Burtseva
et al., 1991) showed that the concentration of As was higher than its "background" value in
all the investigated areas; the concentrations of Ni and Cd exceeded the background level near
the dam of the Kuibyshevskoe Reservoir; whereas the "background' concentrations of Cu and
Se were exceeded in the central part of the Gorkovskoe Reservoir.
It is a well-known fact that zones of atmosphere and land contamination can be found
within the catchment areas of the Kuibyshevskoe, Saratovskoe and Volgogradskoe reservoirs,
as well as in the Lower Volga (Anthropogenic impacts, 2003). This probably explains the
exceeding of "background" concentrations by such elements as V, Se, Pb, Ni, and Co. The
concentration of Mn in the Ivankovskoe and Gorkovskoe reservoirs, as well as the
concentrations of V and Cu in the Kuibyshevsoe Reservoir, the Lower Volga and the Volga
River delta, were higher than the respective MPC values (List of Fishery standards, 1999),
established for fishery water bodies.
Thus, the pattern of element concentration distribution within the investigated areas reflects,
primarily, overall diffuse pollution, which is formed against the background of the natural
geochemical input of microelements –and is mainly due to pollutant discharge by fuel and
energy plants and general economic activity within the catchment area.
Toxic organic compounds. Dangerous organic substances include oil products, cyclohexane
and cyclopentadiene and their derivatives, sebacic acid ether, xylene, phthalates, and dioxanes
(Table 4). A high level of water contamination with alkyl derivatives of dioxane was revealed
in the Gorkovskoe Reservoir.
Owing to large-scale application of polymer products, phthalates (used as plasticizing
agents), and xylene (used for phthalic acid production) were observed in all the investigated
sections of the Volga River (especially in the Gorkovskoe Reservoir and the delta
downstream of Astrakhan). Dibutyl phthalate, whose concentration in the water varied from
1.3 to 55.7 μg/l (its MPC for fisheries is only 1 μg/l), deserves special attention.
The MPC for oil products was not exceeded in the investigated sections of the Volga
River except near the dam of the Gorkovskoe Reservoir, which is probably affected by
effluents from petrochemical enterprises located upstream of the Gorkovskoe Reservoir near
Yaroslavl city.
Dangerous substances such as chlororganic compounds were not found in the
investigated sites, which could be explained by their absence from the water or by their low
concentrations (not exceeding the "sensitivity threshold" of the applied method). Analysis of
scientific papers and data collected by the Hydrometeorological Service of Russia has shown
that, in individual samples of Volga water, the concentrations of certain dangerous substances
(such as DDT, DDE, alpha-hexachloran, and gamma-hexachloran) exceed the MPC. In 2002,
these substances were also found in the Kuibyshevskoe Reservoir (State Report, 2003).
Thus, both organic and inorganic pollutants, for which the Toxicological Harmfulness Value
has been established, are found in the Volga River water.
 Volga River 213

Table 4. Concentration of toxic organic substances and their MPC values (μg/l) in water
of Volga river

Toxic organic substances Upper Volga Middle Volga Lower Volga MPC
Х Min-Max Х Min-Max Х Min-Max
Hydrocarbons of oil
products:
Alkanes 12.0 1.45-19.3 31.4 6.2-114 10.0 0.9-17.7
Alkenes 0.1 0-0.4 1.6 0.7-4.0 0.5 0.2-1.8
Total 12.1 1.45-19.7 33.0 6.2-118 10.5 0.9-19.5 50
Monatomic saturated 0.8 0-2.0 1.3 0-5.1 1.1 0.1-4.6 500
alcohols
Ethers of carboxylic acids:
Dioctyl cebacate 3.9 0-11.6 0 0 0 0 1
Toxic organic substances Upper Volga Middle Volga Lower Volga MPC
Carbocyclic compounds:
Cyclohexane and its 0 0 0 0 0.1 0-0.8 10
derivatives
Cyclopentadiene and its 0 0 0 0 0.4 0-1.0 10
derivatives
Aromatic compounds:
Xylene 0.3 0-1.0 1.3 0-2.5 0.5 0.2-1.3 50
Isopropyl benzene 0 0 0 0 0.1 0-02 100
Orthophthalic acids ethers:
Dibutyl phthalate 2.8 1.3-4.5 25.2 5.7-55.7 32.1 9.6-44.5 1
Dioctyl phthalate 11 4.0-17.7 18.6 0-47.2 1.1 0.5-2.3 10
Heterocyclic compounds:
Derivatives of 1,3-dioxane 0 0 27.6 2.0-81.7 0 0 10
Sum of chlororganic
pesticides (DDT, DDE, α-
hexachloran, γ- 0 0 0.01 0-0.04 0 0 0.01
hexachloran)

METALS IN FISH AS A REFLECTION OF WATER POLLUTION

The concentrations of metals in fish can reflect levels of pollution more accurately than
the indices of contaminant content in water (Moor, Rammamoorthty, 1983; Spry, Wiener,
1991; Moiseenko, Kudryavtseva, 2002). A group of non-essential elements (Hg, Cd, and Pb)
is most dangerous for living organisms. The concentrations of these metals in the
environment is increasing steadily (Dirilgen, Doğan; 2002; Friedmann et al., 2002; Gochfeld,
2003; Moiseenko et al., 2006).
Mercury. The concentration of Hg in bream organs and tissues varied from less than
0.001 to 0.127 μg/g dry weight (Table 5). This metal accumulates most intensely in the liver,
kidneys, and muscles, as confirmed by data presented in the scientific literature (Moore,
Rammamoorthty, 1983; Friedmann et al., 2002; Gochfeld, 2003). The highest concentrations
of Hg were revealed in bream caught in several sections of the Middle Volga, which is
subject to the heaviest anthropogenic load. Comparison of the data obtained by the authors
with those from other scientific papers showed that the limits within which the concentration
of Hg in bream muscles and liver can vary are comparable with those determined for Lake
Balaton (Farkas et al., 2003) and certain water bodies in the Czech Republic (Svobodova et
214 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

al., 1999). Similar values were cited for certain freshwater and sea fish inhabiting water
bodies of the USA (Watras et al., 1998).

Table 5. Concentration of microelements in the organs and tissues of the investigated

breams (μg per 1 g of dry weight). Here Sx is the standard error

Upper Volga Middle Volga Lower Volga

Element Х±Sх Min-Max Х±Sх Min-Max Х±Sх Min-Max
1 2 3 4 5 6 7
gills
Hg 0,011±0,001 0,005-0,022 0,011±0,002 0,004-0,035 0,005±0,001 0,001-0,015
Cd 0,05±0,01 0,01-0,19 0,01±0,00 0,01-0,04 0,20±0,03 0,05-0,42
Pb 0,33±0,07 0,05-0,46 0,04±0,01 <0,01-0,16 0,07±0,01 <0,01-0,17
Al 52,9±6,7 14,7-110,3 9,38±0,91 4,38-17,3 106,6±15,2 34,6-199
Sr 128±4 96-163 299±24 167-458 790±46 394-1095
Ni 0,23±0,03 0,03-0,48 1,32±0,32 0,30-4,79 1,18±0,14 0,40-2,36
Mn 89,0±5,1 52-134 61,5±3,4 45,0-87,2 28,9±1,4 18,0-39,0
Zn 82,0±1,7 67,4-94,2 81,2±1,8 72,3-90,6 81,4±1,5 75,5-94,4
Cu 2,31±0,07 1,60-2,82 1,95±0,08 1,31-2,63 4,22±0,29 2,91-6,99
Cr 0,28±0,04 0,04-0,66 0,14±0,01 0,06-0,25 0,70±0,14 0,21-2,08
Co 0,10±0,02 <0,01-0,30 0,55±0,05 0,17-0,83 0,32±0,07 <0,01-0,98
muscles
Hg 0,019±0,003 <0,001-0,041 0,049±0,005 0,023-0,092 0,031±0,004 0,014-0,066
Cd 0,03±0,01 <0,01-0,09 <0,01 <0,01-0,02 0,04±0,02 <0,01-0,22
Pb 0,07±0,02 <0,01-0,18 0,06±0,01 <0,01-0,13 0,02±0,00 <0,01-0,06
Al 4,17±0,54 0,91-7,16 1,54±0,18 0,65-2,79 2,38±0,27 1,06-4,11
Mn 4,10±0,38 1,02-6,89 3,12±0,19 1,98-4,44 1,24±0,15 0,33-2,43
Ni 0,13±0,03 <0,01-0,51 0,22±0,02 0,10-0,43 0,26±0,03 0,12-0,60
Sr 4,63±0,27 2,79-6,21 9,74±1,08 5,15-19,3 16,2±3,28 1,40-42,2
Zn 17,5±0,50 14,1-21,7 20,0±0,9 15,3-25,9 25,0±1,2 17,1-32,5
Cu 0,67±0,03 0,40-0,91 0,75±0,07 0,34-1,24 1,07±0,07 0,67-1,61
Cr 0,10±0,02 <0,01-0,34 0,04±0,01 <0,01-0,10 0,18±0,03 0,05-0,48
Co 0,03±0,01 <0,01-0,10 0,18±0,02 0,01-0,28 0,15±0,02 0,02-0,30
liver
Hg 0,053±0,005 0,027-0,086 0,048±0,009 0,011-0,127 0,054±0,010 0,001-0,103
Cd 0,25±0,04 <0,01-0,67 0,26±0,04 0,11-0,69 0,35±0,06 0,01-0,59
Upper Volga Middle Volga Lower Volga
Element Х±Sх Min-Max Х±Sх Min-Max Х±Sх Min-Max
1 2 3 4 5 6 7
liver
Pb 0,25±0,07 0,01-0,75 0,19±0,04 0,04-0,66 0,06±0,01 0,01-0,15
Al 6,62±1,01 1,59-15,7 6,55±1,02 1,86-14,1 6,06±0,92 3,05-14,3
Sr 0,53±0,08 0,16-1,53 0,82±0,12 0,05-1,66 1,81±0,55 0,46-8,03
Ni 0,20±0,04 <0,01-0,56 0,19±0,03 0,03-0,41 0,33±0,04 0,12-0,63
Mn 8,27±0,34 5,72-11,1 6,93±0,38 4,97-8,94 6,23±0,44 3,56-9,00
Zn 99,7±5,4 51-143 79,6±6,4 51-140 110±10 58-205
Cu 46,7±4,4 7,4-79,8 35,5±7,5 10,3-114,2 89,3±10,4 29,8-155
Cr 0,19±0,05 <0,01-0,73 0,07±0,01 0,02-0,16 0,20±0,04 0,02-0,50
Co 0,09±0,01 <0,01-0,27 0,21±0,03 0,06-0,43 0,16±0,02 <0,01-0,32

Cadmium. The literature cites a high degree of Cd accumulation in living organisms,

which is indicative of environmental pollution on local and regional scales (Conto-Cinier et
al., 1997). The most intense accumulation of Cd in all the physiological systems of fish was
observed for those inhabiting the Lower Volga (Table 5). The accumulation of Cd in fish
 Volga River 215

muscles testifies to long-term pollution of the body of water with this metal (McGeer et al.,
2000). The maximum Cd concentration (up to 5.66 μg/g dry weight) was recorded in the
kidney. Unfortunately, there are few studies devoted to the analysis of accumulation of this
metal in fish kidneys. The concentration of Cd in fish kidneys closely correlates with its
concentration in other systems of the fish organism, such as the liver (r = 0.78, p<0.005),
skeleton (r = 0.71, p<0.01), and gills (r = 0.56, p<0.1), which demonstrates penetration of Cd
into the fish from contaminated water.
Lead. The maximum concentration of Pb in bream was observed in the Upper and Middle
Volga (Table 5). Pb is most intensely accumulated by the kidneys, liver, and muscle (the
respective concentrations were up to 1.3, up to 0.75, and up to 0.18 μg/g dry weight). It is
difficult to explain why, under conditions of a higher concentration of Pb in the Lower Volga
water, the maximum accumulation of this element was observed in fish inhabiting the Upper
and Middle Volga. This is probably a manifestation of the cumulative effect of river
contamination in previous years. In Lake Balaton, the concentration of Pb in bream muscles
was higher: 1.6 μg/g dry weight (Farkas et al., 2003). Aluminum. According to data from
Rosseland et al. (1990), a high concentration of Al in the environment (both in dissolved and
suspended forms) ensures its intense accumulation in fish (especially in the gills). The
maximum concentration of Al in the water and in organs and tissues of bream was observed
in the Lower Volga (Tables 3. and 5). Accumulation of Al could be traced in all the body
systems of fish, but the highest concentrations of this metal were observed in the gills and
skeleton. Bioaccumulation of Al in these organs is demonstrated by the following regression
equations:

Algills = 0.072 Alwater + 22.4, r = 0.90, p<0.001;

Alskeleton = 0.007 Alwater + 7.19, r = 0.74, p<0.01.

The close dependence of Al in fish gills on Al in water can be explained by the fact that,
in the process of breathing, water is filtered through the gills of the fish, and Al settles onto
the gill surface. Coagulation of Al on the surface of the gill epithelium, in addition to its
inclusion in epithelial cells, has been demonstrated (Rosseland et al., 1990). Strontium. This
element participates in metabolic processes with Ca. Being more labile and active, Sr
gradually disturbs the normal calcification of the skeleton and causes pathological
disturbances in bone tissue (Chowdhuury et al., 2000). The highest concentration of Sr in
bream inhabiting the Volga basin was found in the Lower Volga sections, where the
concentration of Sr in the water was maximal (Table 5), reaching 1500 μg/g dry weight in
fish skeleton and 1100 μg/g dry weight in the gills. Sr accumulates not only in fish bones but
also in fish muscles, liver, and kidneys. The dependence of the Sr content of bream organs
and tissues on its concentration in water can be approximated by the following equations:

Srgills = 1.52 Srwater – 25.0, r = 0.99, p<0.001;

Srmuscles = 0.026 Srwater + 2.98, r = 0.74, p<0.01;
Srliver = 0.003 Srwater + 0.191, r = 0.79, p<0.005;
Srkidneys = 0.006 Srwater + 0.672, r = 0.95, p<0.001;
Srskeleton = 1.94 Srwater - 73.6, r = 0.98, p<0.001.
216 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

It should be emphasized that the Sr/Ca ratio in water varied along the river course; it was
1/289 in the Upper Volga, 1/186 in the Middle Volga, and 1/66 in the Lower Volga water. In
addition to the increase in the absolute value of Sr concentration in the water from the Upper
to the Lower Volga, its relative concentration in fish organisms increased even more, which
testifies to the replacement of Ca by Sr in bream bones. For example, the Sr/Ca ratio in bream
gills was 1/516 in the Upper; 1/266 in the Middle; and 1/83 in the Lower Volga. The
respective values for bream skeleton were 1/798, 1/384, and 1/116. Thus, Sr features a high
bioaccumulation capacity. Nickel. The concentration of this metal in the muscles and liver of
bream inhabiting the Volga River did not exceed 0.60 μg/g dry weight; for kidneys, the value
was somewhat higher (Table 5). Ni accumulates intensely in fish, mainly in the gills and
kidneys (Moiseenko, Kudryatseva, 2002). The ability of this metal to accumulate is
confirmed by the regression dependencies between the concentration of Ni in the water and in
Volga bream organs and tissues (with the exception of the skeleton):

Nigills = 0.343 Niwater + 0.197, r = 0.68, p<0.025;

Nimuscles = 0.086 Niwater + 0.058, r = 0.82, p<0.005;
Niliver = 0.051 Niwater + 0.155, r = 0.73, p<0.01;
Nikidneys = 0.206 Niwater + 0.477, r = 0.76, p<0.01.

Thus, the accumulation of Ni in fish organisms depends on its concentration in the water,
but the concentration of this metal in the water and fish of the Volga River is low.
Manganese. Mn is usually considered to be of low toxicity. According to Musibono and Day
(1999), Mn reduces the toxicity of such elements as Cu and Al, i.e. Mn possesses antagonistic
properties in multicomponent water contamination. Mn is irregularly distributed in the Volga
River water: the concentration of Mn in the Upper Volga was much higher than in the Lower.
The concentration of Mn in fish organisms changes similarly: the most intense accumulation
of Mn was observed in bream inhabiting the Upper Volga, and the maximum amount of this
metal was found in the bream gills and skeleton (Table 5). A significant correlation was
revealed between the concentration of Mn in fish organisms and in the respective water (for
gills, r = 0.68, p<0.025; for muscles, r = 0.67, p<0.025; for liver, r = 0.61, p<0.05). A close
correlation was also revealed between the values of Mn concentration in different tissues and
organs of the same fish individual, which testifies to synchronous bioaccumulation of this
metal depending on its concentration in the water. Zinc, chromium, copper, and cobalt. These
are essential elements. No distinct patterns could be traced in the distributions of Zn, Cr, and
Co concentrations in the Volga River water. As a rule, Cu, Zn and Co accumulate in fish
liver, where active metabolic processes take place. Their maximum concentration was found
in the livers of Lower Volga bream (Table 5). It is well established that the rate of metabolic
processes in fish is determined by the ambient temperature. If the concentrations of
microelements in the water are similar, the rate of their bioaccumulation can depend on the
temperature conditions. The availability of essential elements to functionally vital organs of
bream inhabiting the Lower Volga is probably affected by the intensification of metabolic
processes in warmer water. A correlation was found between the concentrations of Cu, Zn,
and Co in fish muscles and the sum of annual temperatures exceeding 10°C (Figure 2),
whereas no such correlation could be established between the concentrations of the above
elements in the fish organs and in water.
 Volga River 217

Figure 2. Dependence of essential element concentrations in muscles (µg per 1 g of dry weight) on the
sum of temperature values exceeding +10oC (Σt>10oC).

Multimetal penetration. The accumulation of microelements in fish organs and tissues

causes microelementoses, i.e. changes in the ratio of microelement concentrations in fish
organs and tissues. A high correlation was established between the concentrations of certain
elements in the bream organs, which testifies to the effect of pollution on the increase in the
concentrations of the investigated microelements in fish gills:

Sr→(r = 0.87, p<0.001)←Cd→(r = 0.96, p<0.001)←Al→(r = 0.78, p<0.005)←Cr,

and in fish kidneys:

Cr→(r = 0.53, p<0.1)←Sr→(r = 0.75, p<0.01)←Cd→(r = 0.55, p<0.1)←Ni→(r =

0.72, , p<0.05)←Со.

This group of elements accumulates mainly in fish inhabiting the Lower Volga.
Accumulation in fish liver of Hg→(r = 0.61)←Zn is observed in the Middle Volga, whereas
accumulation of Mn→(r = 0.59)←Pb in fish gills and liver is typical of the Upper Volga.
218 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Bone tissues in the investigated fish demonstrated a high degree of correlation between
the concentrations of the following elements:

Pb→(r = 0.66, p<0.025)←Hg → (r = 0.79, p<0.005)←Ni.

↑
Сd→(r = 0.79, p<0.005)←Cu→(r = 0.87, p<0.0015)←Sr.
↓
(r = 0.76, p<0.01)←Zn.

The correlations established between the concentrations of essential and non-essential

microelements prove their joint penetration into the fish organism as a result of multimetal
pollution. Based on the analysis of the element distributions in bream and the joint
penetration of certain microelements into them, Sr-Cd-Al-Cr-Ni anthropogenic
hydrogeoformation can be singled out in the Lower Volga; Hg-Zn hydrogeoformation in the
Middle Volga; and Mn-Pb hydrogeoformation in the Upper Volga.

FISH PATHOLOGY
Various deviations from the physiological norm were found in all the fish of investigated
river sections.
Gills. In some cases, the gills were pale (their normal color is scarlet) with a clearly
distinct anemic ring along the gill arc. The largest number of fish with an anemic ring was
caught in the Gorkovskoe Reservoir and in the Lower Volga (downstream of Astrakhan).
Epithelium desquamation in secondary lamellae (Figure 3.c), swelling of the distal parts
of filaments, and shortening, curvature, and fusion of secondary lamellae (Figure 3.b) were
observed, which resulted in the transformation of the rigidly structured gill into an
unstructured mass, with the distal filament alone still functioning. Congestive phenomena
(stasis) were found in most of the respiratory lamellae, which is related to the violation of
capillary conductivity. Vast hemorrhages were observed between filaments and secondary
lamellae (Figure 3.d). In certain filaments, the secondary lamellae were completely destroyed.
Extensive lammelar hypertrophy with some proliferation from the bases of the secondary
lamellae was recorded.
Liver. Changes in the liver color, dimensions, and texture were observed. All the bream
caught in different river sections had increased loose-textured liver with color varying from a
mosaic light-brown to pale yellow. In some cases, the liver was liquified; it had clearly
distinct parts of necrosis or pronounced signs of atrophy. All the examined fish demonstrated
signs of liver disease of differing degrees of severity. Frequent visible disturbances of this
organ were typical of fish caught in the Gorkovskoe (up to 92.6% of the fish) and
Kuibyshevskoe (up to 54.5% of the fish) reservoirs, as well as in certain sections of the Lower
Volga (Table 4). Morphological and functional changes in the liver manifested themselves in
the form of lipoid dystrophy (Figure 4.b) and hydropic dystrophy (Figure 4.c), which are
symptoms of progressive hepatopathy. In the case of intensified intoxication, lipid and
hydropic dystrophy of hepatocytes were often found. Hydropic dystrophy is a variation of
protein dystrophy and is related to the disturbance of protein and water exchange. In this case,
 Volga River 219

the permeability of cell membranes increases, vacuoles appear in the cytoplasm due to water
ingress, the cellular organelles are destroyed, while the cell itself becomes filled with water
and dies. In the case of lipoid dystrophy, fat occlusions, which almost completely fill the
cells, appear in the hepatocytes. Diffuse disruptions of bream liver, accompanied by
disturbances in the morphological structure of liver lobules and pronounced necrosis of liver
tissue, were also diagnosed. Mechanisms of lipoid and protein dystrophy development are
similar. Frequently, they develop under the conditions of the organism intoxication or
accompany hypoxia. In some microscopic sections, complete necrosis (not that of a "hotbed"
character) of the liver tissue was observed (Figure 4.d). Interstitial proliferative inflammation
related to hepatocyte necrosis and the appearance of inflammation infiltrates were also
diagnosed. In the process of their development, the cells of the infiltrates transform into
collagenous fibres of connective tissue. As a result, a thick connective-tissue capsule can
appear around the zone of necrosis. Such progressive necrosis and structural reorganization of
the tissue can contribute to post-necrotic hepatic cirrhosis, leading, in turn, to hepatic failure.
Vast zones of parenchymal hemorrhage, destruction of blood corpuscles and blood vessel
walls, as well as proliferation of connective tissue around the blood vessels, were revealed.
Signs of chronic congestive hyperemia in liver veins were found. They testify to varicose
veins and capillaries, a decrease in blood pressure, and blood flow deceleration. As a result,
the supply of the tissues with blood becomes disturbed, and tissue hypoxia occurs. All these
processes taking place together can lead to congestive edema. Disturbances revealed in the
liver cell structure entail the development of first sclerosis, and then cirrhosis.
Kidneys. The largest number of fish with pathological disturbances in the kidneys was caught
in certain areas of the Gorkovskoe and Kuibyshevskoe reservoirs (Table 4). Pathological
disturbances in the kidney tissue manifested themselves in fibrosis, where vast connective-
tissue accretions substituted zones of necrosis in the canaliculi and interstitial tissue. In
medicine, similar histopathology is typical of interstitial nephritis (fibroelastosis). In the
connective tissue between the kidney canaliculi, pronounced interstitial inflammation (a
diffuse infiltrate composed of blood cells) was observed (Figure 5.f). Signs of congestive
hyperemia in the veins were revealed. Severe degeneration of adipose tissue was also
diagnosed (Figure 5.d). In this case, the adipose tissue had a clearly formed structure;
lipocytes were organized in groups ("lobules", separated from each other by membranes with
blood vessels). The following disturbances were found: destruction of lymphoid tissue
(Figure 5.b); proliferative inflammation (Figure 5.c), with zones of necrosis surrounded by
thick connective-tissue capsules, separating the disturbed zone from normally functioning
tissue and preventing the proliferation of pathology; and the occurrence of interstitial
substances in the kidney parenchyma (Figure 5.b), causing compression of healthy tissue,
which, in the long run, can lead to the organ atrophy.
220 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Figure 3. Pathological changes in the gills of bream (arrowed): a – normal structure (F – filament, L -
lamellae), х160; b – extensive lamellar hyperplasia with fusion of secondary lamellae, х320; c –
separation of epidermis at base of secondary lamellae, х320; d – hemorrhage, х160.

Figure 4. Pathological changes in the liver of bream (arrowed), х320: a – normal structure; b – lipoid
dystrophy; c – hydropic dystrophy; d – karyopycnosis and necrosis of hepatocytes; e – inflammation; f
– breakdown of blood cells.
 Volga River 221

Figure 5. Pathological changes in kidneys of bream (arrowed), х320: a – normal structure; b – necrosis
of the hematopoietic tissue; c – proliferative inflammation with fibrosis of the hematopoietic tissue; d –
lipoid degeneration; e – interstitial inflammation; f – hemorrhage.

Gonads. At the time of the examination, gonads were at stage II–III of development. In
some cases, their form and texture were abnormal. Their growth was uneven. Some parts of
gonads were replaced by nonfunctional connective tissue. Twisting of the gonads was typical,
mostly in males. In females, uneven development of fish eggs was observed.
Hematology. Pathology developed simultaneously with disturbances in vitally important
organs of the fish. The "norm" of hematological indices is different for each fish species.
According to the data presented by Zhiteneva et al. (1989), the concentration of hemoglobin
in the blood of healthy bream varies from 92.0 to 101.0 g/l. A 15% to 30% decrease in
hemoglobin concentration is a signal of fish disease, which can be caused by both invasive
and toxic agents. For bream inhabiting the Volga River basin, a value of 90 g/l is adopted as
the lower boundary of the "norm" of natural variability in hemoglobin concentration. The
largest number of fish whose hemoglobin concentration was lower than the norm, was caught
in a certain site of the Lower Volga and in the Gorkii Reservoir.
Toxic substances affect not only hemoglobin concentration but also change the leukogram
and red blood cell composition (Ivanova, 1976; Zhiteneva et al., 1989). Studies have shown
that, in different sites of the Volga River, the ratio between different forms of blood cells of
bream changes. The highest percentage of immature forms of erythrocytes was found in blood
smears of fish caught in the Lower Volga, which is in agreement with the low hemoglobin
concentration in the blood. Changes in the leukogram of the bream manifested themselves in
an increase in the relative amount of neutrophils and monocytes, especially in fish from
certain sections of the Lower Volga and the Gorkovskoe Reservoir (Table 6). In the blood
smears, different pathological forms of erythrocytes (lacy erythrocytes, poikilocythemia,
vacuolization of the cytoplasm, pycnosis of the cell nuclei, amitosis of the cell nuclei, etc.)
were found. The changes revealed in hematological parameters of the examined fish confirm
the development of toxicoses in fish inhabiting the Volga River basin.
Thus, fishes caught in the Volga basin had visible clinic and postmortem symptoms of
intoxication. The degree of disturbances in their organs varied from hardly visible to
pronounced deep degenerative changes, increasing the risk of death of the individual.
222 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Table 6. Characteristics of the physiological state of fishes caught in the Volga river

Parameter Upper Volga Middle Volga Lower Volga

Х Min-Max Х Min-Max Х Min-Max
Z 1.54 1.33-1.71 1.97 1.71-2.11 1.45 1.00-1.74
Percentage of the fishes
demonstrating second and 44.3 37.7-52.4 72.9 53.6-85.2 41.8 20.0-64.1
third stages of the disease
Percentage of the fishes
demonstrating 56.5 41.0-64.3 68.4 46.4-92.6 29.5 18.2-44.4
pathological disturbances
in the liver
Percentage of the fishes
demonstrating 25.4 21.4-28.6 59.9 32.1-80.0 9.4 0-25.6
pathological disturbances
in the kidneys
Hemoglobin (Hb), mg/l 103 81-124 96 52-126 88 56-122
Percentage of the fishes
with Hb not exceeding 90 15.2 0-37.5 22.0 11.8-40.0 54.3 9.1-80.0
mg/l
Leucocytes:
lymphocytes, % 87.5 82-93 85.8 68-94 64.7 29-93
monocytes, % 1.0 0-2 1.5 0-5 3.7 0-10
neutrophiles, % 11.3 5-14 12.6 5-29 31.6 6-66
including foamy, % 7.7 2-11 6.0 1-20 16.2 3-34
Erythrocytes:
mature forms, % 94.1 89.9-96.6 94.1 85.5-99.9 92.6 76.1-99.8
young cells, % 5.9 3.4-10.1 5.9 0.1-14.5 7.4 0.2-23.9

ECOTOXICOLOGICAL ASSESSMENT WATER QUALITY

OF VOLGA RIVER

The most common approach to setting environmental regulations, in Russia as well and
other country has been based largely on the assessment of chemical attributes of anthropogenic
pollution. The system of water quality assessment is based on the concept of Maximum
Permissible Concentration (MPC) or Guideline Concentration (GC) of pollutants in the water.
At present, the ecotoxicological approach to estimating of water quality gradually meets the
approval of more and more researchers. Ecotoxicological assessment of water quality is
aimed at obtaining an integrated assessment of water quality, based on symptoms of
disturbance in the ecosystem (in situ). The term “ecosystem health” is increasingly used in
scientific literature of the past decades. Aquatic ecosystems are stressed in all levels, ranging
from individual and up to the population and community levels. For ecosystem health
assessment the following four definitions have been used: i) cellular health, which describes
the structural integrity of cellular organels and the maintenance of biochemical processes; ii)
individual health, which presents structural and morphological health and functioning in
 Volga River 223

terms of physiology of the entire organism; iii) population health, which measures the
sustainability and maintenance of a population of a particular species; iv) community health,
which describes a group of organisms and the relationships between species in that group.
Each method has its limitations and advantages, and the type of method used defines how we
interpret the effect of a stressor on ecosystem health (Cairns, 1990; Rapport, 1992, 1995;
Calow, 1992; Cash, 1995; Arttril, Depledge, 1997; Elliott et al., 2003). In general, indicators
at the biochemical and physiological levels provide information on the functional status of
individual organisms, while intermediate-level responses, such as histopathological condition,
are indicative of the structural integrity of tissues and organs. Community and population
level measurements integrate the responses to a variety of environmental conditions, and
therefore may be less reflective of contaminant-induced stress in comparison to the level of
organisms (Hinton, Lauren, 1990; Fober, Fober, 1994; Newman, Jagoe, 1996). Many groups
of organisms can be used as indicators of environmental and ecological change. But
numerous publications attest that fish (in situ) is a good indicator of environmental change
and ecosystem health, especially in case of toxic water pollution (Cash, 1995; Wrona, Cash,
1996; Wong, Dixon, 1995; Simon, 2000; Whitfield, Elliott, 2002; Moiseenko, 2005). Fish
occupy the top level in the trophic system of aquatic ecosystems. Pathological changes in fish
organ enable us to determine the toxicity of water and the potential danger of man-entering
substances in water. Fish, in comparison with invertebrate, are more sensitive to many
toxicants and are the convenient test-object for indication of ecosystem health. Our results
show that water quality and living conditions for aquatic species in the Volga River are
unsatisfactory. Based on the prevalence of signs of intoxication in test-organism fish
(Abramis brama (L.), we can conclude that the ecosystem health conditions are quite
dramatic and give a clear signal of the need to decrease toxic pollution. The main question for
environmental management is the level to which pollution loading must be reduced to achieve
reference conditions and to preserve ecosystem health.
To answer this question, we need to accomplish three tasks (Moisenko et al., 2006):

1. Determinate how hydro-chemical information on water quality can be interpreted in

terms of a unified parameter, which could reflect the real impacts of the dose taking
into account contaminant complexes (multi-pollution);
2. Assign criteria for ecosystem health that informatively reflect the impacts of
pollution;
3. Determine critical levels of water pollution and required load reductions based on a
dose–effect relationship.

An integrated impact dose. In rivers and reservoirs, aquatic organisms are exposed to a
mixture of all toxicants. It is important to find a numerical parameter describing the total toxic
impact on fish. The integrated impact dose of contaminants is determined by their number,
concentration, toxic properties of each and aquatic medium – pH, Ca, TOC (Forstner,
Wittman, 1983). The values of Maximum Permeation Concentrations (MPC) largely differ by
country, in spite of the fact that experimental research techniques to establish the MPCs are
universal. In Russia, the MPC values for Cu, V and some other elements are possibly
underestimated, whereas the MPCs for Cd, As and some other elements are possibly
overestimated. For example, in Canada for Cu and Cd guideline values are 2-4 and 0.01-0.06
μg/l accordingly in dependence of CaCO3, for As it is equal 5 μg/l; in the Netherlands the
224 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

MPC value for Cu, V and Cd are 3.8, 5.1 and 2 μg/l accordingly. (Can. Water Qual.
Guidelines, 1994; Env. Quality Obj., 2001; Bioassey meth. aquatic org., 1985;
Methodological recommendations., 1998). Because the Volga River is in Russia we used data
on the toxicological properties of each toxicant based on the MPC adopted in Russia (see
Tables 3 and 4). For the investigated areas of the Volga basin Figure 6. presents the total
exceedance of the actual concentrations of toxic elements over their respective MPC values.
For inorganic compounds, the maximum concentration values, standardized to the respective
MPCs, are typical of Mn, V, and Cu. Water contamination with metals (from 13 to 20 units)
is typical of the Upper Volga (I, II, III). For the whole set of toxic elements, the most heavily
contaminated areas were found in the Gorkovskoe Reservoir (sites IV, V, VI) and the Lower
Volga (IX, X, XI, XII, XIII). In the middle and lower courses of the Volga, the toxic
properties of water were due to its contamination with organic compounds (mainly with
phthalic acid ethers), the sum of the exceedance factors of which reaches 70.
Criteria of ecosystem health. The different types of pathology and dysfunction diagnosed
in the bream result from comprehensive chronic impact of numerous toxic substances, found
in the Volga River water, on the fish organisms. Histological analysis of fish organs and
tissues revealed serious disturbances in the morphology and function of the liver and kidneys,
as well as in the hematopoietic system; many of these disturbances are irreversible. These
pathologies are based on the physiological reactions through disturbing the homeostasis and
proper functioning of vital biological processes.
Determination of the critical levels of water contamination requires numerical biological
criteria, which also adequately reflect the effect of toxic substances in the water. Thus, the
following biological parameters were used as criteria for fish and ecosystem health (the
average weighted for individual river sections):

i) the percentage of fish in which the second or third stages of diseases were diagnosed;
ii) the Z-index defined above;
iii) the percentage of fish with hemoglobin concentration below 90 g/l ;
iv) the low levels of neutrophils in the blood, etc.

Figure 6. Sum of the concentrations of toxic substances divided by the respective MPC values for the
investigated sections of the Volga River (1 - microelements; 2 - organic compounds).
 Volga River 225

Dose–effect dependencies and critical levels. Basing on dose–effect dependencies

(between numerical indices of fish health and the chemical parameters of water quality, in
particular the total concentration of toxic substances in the water standardized to MPC), the
critical levels of water contamination can be determined. The dose–effect dependencies were
plotted for the above biological parameters.
The following factors are assumed to have affected the results: i) the biased nature of the
values of MPC, to which the pollutant concentrations were standardized in the process of the
integral dose determination (especially for toxic organic compounds); ii) the underestimation
of synergetic effects and the presence of other presumably toxic substances in the water,
which could also have a negative impact on fish organisms; iii) the persistent effect of toxic
substances over the whole lifespan of the fish, the range and concentration of which could be
different in different years and seasons; iv) the subjective character of expert evaluation;
measurement errors; small samples obtained, etc. However, despite the complexity of the
synchronous studies that were carried out and the necessity of accounting for numerous
factors, reliable dependencies were obtained. These dependencies confirm that the morbidity
in fishes inhabiting the Volga River basin is related to the occurrence of various toxic
substances in the water (Figure 7).

Figure 7. Dependencies of Z (a) and the percentage of fish demonstrating the second and third stages of
disease (b) on the total concentration of toxic substances standardized to MPC values.
226 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

Table 7. Dependence of characteristics of the physiological state of fish on the

concentration of hazardous substances in the water (dash denotes absence of
reliable data)

Toxic elements Blood characteristics (у)

and compounds Average Hb Hb not exceeding 90 Neutrophiles, %
(х) g/l
Dibutyl phthalate y = -5.6Ln(x) + - -
107.2
r=0.65**
V y = 112.0e-0.12x y = 52.0Ln(x) + 16.9 y = 6.2e0.58x
r=0.58* r=0.68*** r=0.58*
Рb y = 98.2e-0.07x y = 21.7x + 21.9 y = 10.3x + 9.48
r=0.64** r=0.79**** r=0.88***
Percentage of the fishes demonstrating different pathologic
disturbances in: (у)
The whole organism The liver The kidneys
Hydrocarbons of y = 8.63Ln(x) + y = 10.1Ln(x) + 24.6 y = 0.53x + 16.4
oil products 32.4 r=0.56* r=0.74***
r=0.53*
Dibutyl phthalate y = 0.63x + 38.5 - -
r=0.61*
Dioctyl phthalate y = 0.78x + 45.3 y = 1.17x + 37.9 y = 1.41x + 13.6
r=0.59* r=0.70*** r=0.87****
Derivatives of y = 0.47x + 48.7 y = 0.53x + 45.0 y = 0.81x + 20.2
1,3-dioxane r=0.62** r=0.59* r=0.87****
Сu y = 8.73x + 34.3 y = 10.7x + 25.9 -
r=0.52* r=0.57*
Mn - y = 24.9Ln(x) - 47.2 y = 0.38x + 5.08
r=0.76*** r=0.68***
*-р<0.05, **-р<0.01, ***-р<0.005, ****-р<0.001

Among the various negative ambient factors that cause pathologic disturbances in fish
organs and tissues, it is very difficult to single out the most important factors. Table 7.
presents the dependencies between the parameters of fish morbidity and the concentrations of
toxic substances in the water. Depletion of certain blood parameters is most significantly
related to the impact of V and Pb, whereas pathological disturbances in the fish liver and
kidneys are associated with the negative effects of dioctylphthalate, derivatives of dioxane,
and oil products, as well as those of Cu and Mn.
The accumulation of toxic metals can also enhance (and, in certain cases, even directly
cause) pathologies in fish. Therefore, the relationship between the accumulation of
microelements in fish and pathological disturbances in the organs and tissues of bream in the
Volga River basin was analyzed. The increase of metals in the water medium may bring
adverse effects on fish health. The surplus of trace elements in the organism initiates some
specific diseases: Hg causes neurological effects, Cd and Pb have carcinogenic properties, Sr
 Volga River 227

leads to pathology of bone tissues, Cu to anemia, etc. (Conto Cinier et al., 1997; Patriarca et
al., 1998; Vatras et al., 1998; Musibono, Day, 1999).
Organisms have mechanisms of metal detoxification by induction of metallothionein
synthesis. These proteins bind specifically to neutral essential trace elements, such as Zn and
Cu, as well as to potentially toxic metals such as Cd and Hg (Phillips, 1995; Linde et al.,
2001). The effects of metal accumulation on fish and their pathologies, without the necessity
of explaining the internal metabolism of metals, is the key purpose for our data.
Notwithstanding the low sensitivity of the method applied, which prevented
determination of the concentration of Hg in the water, the accumulation of this metal in fish
was observed, especially in the Middle Volga. A reliable correlation was established between
Hg accumulation in fish kidneys (Hgkidneys) and pathologic disturbances in this organ (Pat.,
%), as well as Z:

Pat.kidneys = 210 Hgkidneys – 9.68, r = 0.81, p<0.005;

Z = 53.8 Hgkidneys + 0.029, r = 0.85, p<0.005.

Thus, irrespective of the fact that the concentration of Hg in the investigated water was
lower than the analytical detection limit (less than 0.05 μg/l), its accumulation in the organism
can cause pathogenic disturbances in fish.
A reliable correlation was also established between the accumulation of Cd in fish gills
(Cdgills) and hematologic parameters of fish –such as the concentration of hemoglobin in the
blood (Hb), and neutrophils (N) in the leukocyte count.

Hb = -104 Cdgills + 103, r = 0.87, p<0.001;

N = 34.5 Cdgills + 3.35, r = 0.88, p<0.001.

As mentioned above, the accumulation of Cd in the organism is accompanied by an

increase in the concentrations of some other elements. Most probably, the joint accumulation
of several toxic elements in the fish organism entails a decrease in the concentration of
hemoglobin in the blood and the development of anemia, accompanied by an increased
percentage of neutrophils in the leukocyte count. In addition, a correlation between the
concentration of Pb in fish kidneys (Pbkidhey) and pathological disturbances in this organ
(Patkidney) was established.

Pat.kidneys = 53.2 Pbkidneys + 17.2, r = 0.54, p<0.1.

All this testifies to the fact that accumulation of metals (especially Hg and Cd) leads to
pathological conditions in fish. Thus, the increase in the metal concentrations in the Volga
River basin results in their accumulation in fishes, leading to the development of
microelementoses and pathologic disturbances in fish organs and tissues.
The established critical levels of water contamination remain open for discussion. The
studies carried out by the authors have shown that the water quality and ecosystem health in
all the investigated river sections are unsatisfactory, and that critical levels of water
contamination are exceeded. Approximation of the dependencies into the area of low values
of the water quality standard (less than 1 unit) shows that the percentage of fish in which the
second or third stage of disease was diagnosed was equal to about 10% (Figure 7).
228 T. I. Moiseenko, N. A. Gashkina and Yu. N. Sharova

The dose–effect dependencies clearly show that total pollution of the Volga River must
be significantly decreased, by at least 5–7 times, first for toxic contaminants. These studies
have confirmed the high information value of the ecotoxicological approach to the assessment
of water quality and ecosystem health. Note that ecotoxicological studies were carried out for
the Volga River basin for the first time, and many important river sections or reservoir areas
were not investigated. In this respect, our studies could be considered "screening analysis of
the ecotoxicological situation," but at the same time, they substantiate the information content
of methodological solutions and the necessity of the continuation of large-scale studies in this
field in the future.

CONCLUSION
The Volga is the longest river of Europe. Large-scale contamination of the Volga River
basin is caused by its geographical position within the most economically developed region of
Russia. Domestic and industrial wastewaters, air-borne pollution of the catchment area, as
well as non-sewerage effluents from settlement areas find their way to this water basin.
Numerous elements and their compounds that have a toxic effect on living organisms
were found in the water samples taken within the investigated sections of the Volga River.
Among inorganic substances, V, Cu, and Mn play the most important role in the formation of
the general ecotoxicological situation. As for organic compounds, a high level of water
contamination with phthalic acid ethers and dioxane derivatives was first recorded. In the
investigated sections of the Upper Volga, water contamination with metals prevails; in the
Middle and Lower Volga, contamination with organic xenobiotics prevails. The highest levels
of the total exceedance of the actual substances concentration over the respective MPC values
were observed for the Gorkovskoe Reservoir and certain sections of the Lower Volga.
Morphological and functional disturbances in the organs and tissues of fishes testify to their
intoxication. Most of the fishes with different forms of pathology and dysfunction were
caught in the Gorkii Reservoir and in certain sections of the Lower Volga (downstream of
Astrakhan).
Results of the research testify to the fact that the examined fish individuals are subject to
the effect of multicomponent “chronic” water contamination. Numerous registered
disturbances (necroses, neoplasms) are referred to as irreversible. However, hypertrophy,
hyperplasia, and encapsulation, accompanying the above disturbances, are structural and
functional bases of adaptive reactions aimed at surviving of fish under the conditions of
subtoxic aquatic environment.
Hemathologic characteristics of the examined fishes confirm the fact of their intoxication.
Symptoms of anemia and increased concentration of neutrophiles and monocytes were found.
All this is the response of the organism to unfavorable habitat conditions. On certain blood
smears, numerous pathological forms of blood cells (laky erythrocytes, poikilocythemia,
vacuolization of the cytoplasm, pycnosis of the cell nuclei, amitosis of the cell nuclei, etc.)
were found. They testify to disturbances in the system of hemogenesis of fish caused by toxic
substances.
Based on the dose–effect dependences, it has been found that diseases of fish are caused
by water contamination with toxic substances. The negative impact of organic xenobiotics on
 Volga River 229

the fish liver and kidneys has been demonstrated, in addition to the negative impact of certain
microelements (e.g. vanadium, lead and some other ones) on the hemogenesis system. The
studies that were carried out confirm the high information value of the ecotoxicological
approach to the assessment of the ecological state of water bodies, as well as the necessity of
establishing more reliable MPC values and maximum permissible “Toxicological
Harmfulness Value”. Note that ecotoxicological studies were carried out for the Volga River
basin for the first time, and many important river sections or reservoir areas were not
investigated. In this respect, our studies can rather be called “screening analysis of the
ecotoxicological situation,” but at the same time, they are convincing for substantiating the
information content of methodological solutions and the necessity of continuation of large-
scale studies in this field in the future.

ACKNOWLEDGMENTS
The work was supported by the Russian Foundation for Basic Research (Projects no 10-
05-00854).

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In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 6

ECOHYDROLOGY-BASED PLANNING AS A
SOLUTION TO ADDRESS AN EMERGING WATER
CRISIS IN THE SERENGETI ECOSYSTEM AND
LAKE VICTORIA

Bakari Mnaya*1, Yustina Kiwango2, Emmanuel Gereta3

and Eric Wolanski4
1
Tanzania National Parks (TANAPA), Arusha, Tanzania
2
Lake Manyara National Park, TANAPA, Arusha, Tanzania
3
Dept. of Biology, NTNU, Realfagbyget, N-7491, Trondheim, Norway; and
Tanzania National Parks (TANAPA), Arusha, Tanzania
4
Australian Centre for Tropical Freshwater Research,
James Cook University, Townsville, Australia

1. INTRODUCTION
The Serengeti ecosystem is often taken to be the 25000 km2 animal migration area
(Figure 1a). This includes the 14,763 km² Serengeti National Park (SNP), the Masai Mara
Reserve in Kenya, and a number of game controlled areas that form a buffer zones,
principally the Maswa, Ngorongoro, Loliondo, Ikorongo, Grumeti, and the Speke Gulf Game
Controlled Area (SGGCA) that, although tiny (95 km2), is potentially important because, if
human encroachment was removed, it would provide access for wildlife to the permanent
waters of Lake Victoria (Figure 1b). However this definition of the ecosystem ignores the
hydrology. The Serengeti ecosystem has only one perennial river, the Mara River. The Mara
River, together with a few scattered springs in the northern region of the SNP, is the only
source of water for migrating wildlife in the dry season in a drought year. Thus the source of
Mara River water in the dry season, namely the Mau forest in Kenya’s highlands, is also part

* Corresponding author. E-mail: [email protected], Tanzania National Parks (TANAPA), PO Box 3134, Arusha,
Tanzania
234 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

of the Serengeti ecosystem even if the migrating animals do not migrate to that area (Gereta et
al., 2002 and 2009).
Lake Victoria (Figure 1c) has a surface area of 96,000 km2. Its shores are shared by
Uganda, Kenya, and Tanzania. It drains 25 large rivers with a total catchment area of about
184,000 km2, supporting 30 million people. The lake is large enough (see below) to affect
rainfall over the Serengeti (Figure 2).

Figure 1a. Map of the Serengeti ecosystem showing the Serengeti National Park (SNP) and the buffer
zones including hunting and game reserves and managed conservation areas in Kenya and Tanzania.
The Mara River is the main source of drinking water for the migrating animals in the dry season in a
drought year. The future of this water is threatened by deforestation of the Mau forest and by irrigation
farming in Kenya. The Mau forest is also the source of water for the Ewaso Ngiro River which flows
east of the Serengeti ecosystem. Water monitoring sites: 1 = Mara River at Kogatende; 2 = Grumeti
River at road crossing; 3 = Mbalageti River at Lake Magadi; 4= Mara River at Mara Mine; 5 = Ewaso
Ngiro River at Ketri bridge near (another) Lake Magadi. The arrows and months show the wildebeest
migration in the Serengeti-Mara ecosystem during 1999–2000 (simplified from Thirgood et al., 2004).
 Ecohydrology-Based Planning as a Solution to Address … 235

Figure 1b. The proposed extension of SNP to Lake Victoria covers the Speke Gulf Game Controlled
Area (SGGCA) and includes about 15 km2 of papyrus wetlands located mainly at the mouth of rivers,
and a strip of inshore lake waters (Source: Google image, 2008).

Figure 1c. Map of the drainage area of Lake Victoria, showing the location and approximate boundaries
of the Serengeti National Park (SNP) and Rubondo Island National Park (RNP).
236 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

The Serengeti ecosystem is drained by the Mara, Grumeti and Mbalageti rivers that all
flow westward into Lake Victoria. The Mara River passes through SNP in the far north, at
1,300 to 1,500 meters of elevation, and drains a total of 10,300 km², most of which is in
Kenya. The Grumeti River, with a catchment area of 11,600 km², drains much of the wooded
savannah of the central and northern hills, much of which is inside the park’s boundaries. To
the south, in an area of treeless grasslands and hills lying between 1,600 and 1,660 meters in
elevation, the Mbalageti River drains 2,680 km², nearly all within the park. River flows were
gauged (Brown et al., 1981) and found to vary greatly with the seasons. After the rains,
discharges decrease exponentially to base flows maintained by ground water seepage. In the
1970s the Mara River reached base flow four months after the rains end, whereas as a result
of deforestation and irrigation in Kenya (Figure 1) base flow in 2004-2005 was reached after
only one month. The Grumeti and Mbalageti rivers typically decline to essentially zero flow
within a few weeks. Thus during much of the dry season, the only water remaining in the
Grumeti and Mbalageti rivers is stagnant pools tens to hundreds of meters long and usually
less than a meter deep, siltation being reduced by stirring by hippos. Whether there is
exchange of water, or not, between water holes through groundwater is unknown.

2. RAINFALL LAND LAKE VICTORIA WATER LEVEL

Serengeti rainfall data were collected on a monthly basis from January 1960 to December
2006 from 232 stations, typically 10% being operational at any one time during that period
(Wolanski and Gereta, 2001).

Figure 2. Relative mean annual rainfall distribution.

 Ecohydrology-Based Planning as a Solution to Address … 237

The mean annual rainfall over the Serengeti was not distributed uniformly (Figure 2); it
was greatest in the northern and western corners of the SNP, in the Ngorongoro, and least in
the southern grasslands, which are in the rain shadow of the Ngorongoro mountains. The
presence of Lake Victoria with its higher rainfall explains the higher rainfall over the
westernmost region of SNP and surrounding areas.

Figure 3. Time-series plot for 1899-2007 of the Southern Oscillation Index (SOI), Lake Victoria water
level as (a) observed (a) and (b) what it should have been if Uganda did not overdraw water since the
year 2000 (Kiwango and Wolanski, 2008), and the mean annual rainfall over Lake Victoria and the
Serengeti.

Mean rainfall over the SNP in the period 1960-2006 was 468 ± 127 mm y-1 with a large
interannual variability (± 127 mm y-1) that was not correlated with the Southern Oscillation
Index (S.O.I., which is a measure of the El Nino – La Nina phenomenon; Figure 3; Wolanski
et al., 1999; Wolanski and Gereta, 2001). However wet years (highest 10% rainfall) and
238 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

extreme drought years (lowest 10% rainfall) generally, but not always, occurred during El
Nino and La Nina events, respectively. The interannual variability of rainfall is thus not
attributable uniquely to the El Nino – La Nina phenomenon, and depends on a number of
atmospheric teleconnections including the Quasi-Biennal Oscillation (McIntyre, 1993; Jury et
al., 1994; Jury, 1996).
Rainfall over the Serengeti fluctuated seasonally (Table 1). Rainfall was bimodal, with
the major peak in April and a secondary peak in December. There was a large interannual
variation, as evidenced by the maximum monthly rainfall being several times larger than the
mean monthly rainfall and by the minimum monthly rainfall being several times smaller than
the mean monthly rainfall.

Table 1. Mean, maximum, and minimum rainfall (mm month-1) over the Serengeti. The
data were spatially averaged and cover the period 1960-2006

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Mean 50.5 48.3 66.0 75.3 38.9 14.5 8.9 9.7 14.2 21.2 48.2 63.0
Max 192.3 170.0 149.3 153.8 107.1 49.7 69.9 28.4 50.6 82.0 117.5 266.0
Min 14.2 16.8 15.2 16.2 9.3 0.0 0.7 2.0 0.0 3.5 9.0 6.7

The mean rainfall over Lake Victoria in the period 1960-2006, calculated using
Nicholson and Yin (2001) model based on the history of elevation of lake Victoria (Figure 3),
was 1749 ± 270 mm y-1, which is much higher than that over the Serengeti during the same
period. Rainfall over the Serengeti is weakly correlated with that over Lake Victoria (R2=0.5;
p>0.05). Mean rainfall over lake Victoria during the period 1899-1959 was smaller (1610 ±
220 mm y-1), suggesting increasing rainfall over the last 46 years. Rainfall over Lake Victoria
also showed large interannual variability (Figure 3), which is not correlated with the S.O.I.
(R2 = 0.3). The mean lake rainfall contributes 82% of the total inflow; the remaining 18% is
contributed from river inflow. Of the outflow, 76% is due to evaporation from the lake and
the remaining 24% is the natural outflow forming the White Nile River at Jinja (Scheren et
al., 2000; COWI, 2002).
The water level of Lake Victoria has fluctuated in the last century, but no decrease has
been as drastic as that from 2000 to 2006 (Figure 3). The water level shows a discontinuity in
1961, though the SOI for that year does not show a large El Nino phenomenon. The lake level
started dropping anomalously in 2000 (lines a and b in Figure 3) and in October 2006, the
lowest lake level in 83 years was recorded, just 16 mm above that of 1923. In 1959, the Owen
Falls dam (now known as the Nalubaale dam) was constructed for hydroelectricity
generation, transforming Lake Victoria into a huge reservoir. The operation of this dam was
based on an “Agreed Curve” (based on agreements in 1949, 1953 and again in 1991 between
Uganda and Egypt), whereby the dam outflow was to mimic the natural flow (Kull, 2006).
Thus the lake level fluctuated in time but remained that determined by natural conditions. In
2000 the new Kiira dam was completed at Jinja, also for hydroelectricity generation. Because
the Kiira and Nalubaale dams operate in parallel, more water is needed to generate
hydroelectricity at the two dams at the same time and thus it became impossible for Uganda
to adhere to the ‘‘Agreed Curve’’; the White Nile River discharge was increased by 30% to
50% (Figure 4), and the lake level dropped as a result (Awange et al., 2007; Kiwango and
Wolanski, 2008).
 Ecohydrology-Based Planning as a Solution to Address … 239

Figure 4. Scatter plot of the Lake Victoria water levels versus the measured outflow from Lake Victoria
at Jinja that forms the Nile River discharge in 2000-2005, demonstrating the overdrawing of water
above the allowable discharge as set by the ’Agreed curve’. (Source: DWD, Uganda).

3. RAINFALL AND VEGETATION

These rainfall patterns are clearly reflected in vegetation, with the boundary between
wooded savannah and grassland moving southward during the wetter decades (Gereta et al.,
2004). Nonetheless, other factors may influence this boundary shift, including a change in
man-made fires and the discouragement of poaching of elephants (Gereta et al., 2004).

4. RAINFALL, SALINITY, AND ANIMAL MIGRATION

The interannual variability of rainfall controlled the interannual spatial and temporal
variability of the migration of large ungulates (Gereta and Wolanski, 1998; Wolanski et al.,
1999). The spatial variability is directly determined by the rainfall, the wet season dispersion
area of the migrating herds of both zebra and wildebeest in the southern grassland increases
(decreases) with larger (smaller) rainfall (Figure 5). In turn the size of the dispersion area
determines the available nutrition (Mduma et al., 1998), mineral nutrition being a key reason
why the animals migrate in the SNP (McNaughton, 1979, 1985, 1988, 1990; McNaughton et
al., 1998). The ponded surface waters in the southern grasslands become highly saline at the
end of the wet season before drying out during the dry season (Figure 6). The timing of this
high salinity is controlled by rainfall during the wet season. The onset of the northward
migration away from the southern grassland into the wooded savannah at the start of the dry
season is controlled by the high salinity because the animals leave the grassland when the
water becomes too saline (salinity > 5 psu) to be drinkable by mammals, and this happens
even if there is still fodder available. The timing of this migration can be predicted up to one
240 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

month in advance in a dry year and three months in advance in a wet year, with an accuracy
of a few days, from a rainfall-evaporation-salinity model (Wolanski and Gereta, 2001).

Figure 5. Spatial distribution of the wildebeest and zebra during the 1971 wet season, and of the
wildebeest during the 1993 wet season. 1971 and 1993 were respectively a wet year and a dry year.
Rainfall in 0.1 mm month-1. Note that the animals migrated southward during the wet season in greater
numbers during a wet year than a dry year.
 Ecohydrology-Based Planning as a Solution to Address … 241

Figure 6. Salinity (psu) of surface waters in the SNP in April 1996, near the end of the wet season.

5. WATER QUALITY IN PONDED WATERS

The water quality of the stagnant water pools in the dry season is very poor as the waters
are highly eutrophicated by animal dung. Algae and suspended solids (mainly organic
detritus) restrict the photic zone to the top 2 cm of the water column, and this creates a strong
temperature stratification (~ 2 oC m-1). The dissolved oxygen concentration (DO) fluctuated
widely (by up to 11.5 mg l_1) as a function of time, mechanical stirring and aeration by
animals, mainly hippos, and the presence of fringing wetlands (Wolanski and Gereta, 1999;
Gereta et al., 2004). The DO cycle can be modeled (within an accuracy of 0.3 mg l-1) by
assuming (Figure 7) that the four dominant processes were photosynthesis and respiration by
algae near the surface, trapping by wetlands, decomposition of dead organic matter on the
bottom, and stirring/aeration by hippos (Mnaya et al., 2006). The rate of DO decline from the
decay of dead organic matter was equal to the rate of DO removal by algal respiration at
night. Anoxia (DO=0) and hypoxia (DO < 2 mg l-1) occur commonly, especially at night and
near the bottom. Since every water pool differs in size, in the extent of fringing wetlands,
animal dung, and resident hippo population, the diurnal DO cycle is different for each pool,
and this in turn impacts the utilization by wildlife of individual pools; this introduces
patchiness in the biodiversity.
242 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

Figure 7. Sketch of the processes controlling hypoxia in dry season, stagnant water ponds in the SNP.

6. WATER QUALITY AND FISHERIES

Because of poor water quality in the dry season the SNP surface waters are thus
hospitable to only the hardiest species of aquatic flora and fauna, with the exception of the
Mara River, which is flowing and does not suffer anoxia or hypoxia. The biodiversity of flora
and fauna in these waters remains largely unexplored. Recent discoveries by Farm (2000)
revealed a new species of fish, Barbus serengetiensis (Teleostei: Cyprinidae). The fish was
found in shallow streams and rivers with gravel or sand substrata. The specimens were
collected in streams where visibility was less than 10 cm. At present the distribution of this
new species is only known from the Orangi River (a tributary of the Grumeti River) and some
of its tributaries: the Pololeti, Seronera, Ngarenanyuki and Nyabogati Rivers, all of which are
located in the centre of SNP. The Mara River, being perennial, supports a much larger fish
population. The current level of fish stock in the Mara River is not established, but research
work by TAFIRI shows that most of the fish species that have disappeared from Lake
Victoria are now found in Mara River. Such genera include Oreochromis and Esculenta.
Some rare species like ctenopoma murici are also found in this river. Apart from being a good
habitat for rare species, the river is an important breeding ground for fish.
Outside the SNP, the fishing activities are sometimes intense but only at subsistence
level. People use local fishing gear to catch fish for food and to earn some money. Average
 Ecohydrology-Based Planning as a Solution to Address … 243

income from fishing is about TAS 10,000 per head per day. If the Mara River dries (see
below), the fishing community will be denied of this income. Additionally, the inhabitants of
this area will be denied of the food that is very rich in nutrients. And above all, the potential
for improved fish production is immense.

8. IMPORTANCE OF PAPYRUS TO PREVENT EUTROPHICATION

OF LAKE VICTORIA, PROVIDE FOOD SECURITY,
AND DECREASE POACHING IN THE SNP

The watershed of Lake Victoria includes vast wetlands, both within the catchments and
along the shores of the lake, most of which are composed of monotypic stands of papyrus
plant covering about 10235 km2 (Kansiime and Nalubega, 1999; Kiwango, 2007). Papyrus is
a large herbaceous sedge species with a culm growing up to a height of 5 m (Jones and
Muthuri, 1985). Fringing papyrus wetlands are an important buffer zone protecting the lake
from eutrophication. Growing papyrus absorb organic nutrients from both water and sediment
and thus trap nutrients especially nitrogen and phosphorus (Gaudet, 1979; Kassenga, 1997;
Kansiime and Nalubega, 1999; Azza et al., 2000; Kyambadde et al., 2004; Gichuki et al.,
2005). During senescence, the papyrus plants accumulate nutrients in their root zones and the
decaying papyrus release nutrients back in the water (Asaeda et al., 2002). About one third of
the dead biomass is deposited back in the wetland; the rest is lost to elution, rain and
decomposition (Gaudet, 1977; Muthuri and Jones, 1997). Denitrification is the only process
in the nitrogen cycle that permanently removes nutrients (Kansiime and Nalubega, 1999).
Lake Victorian papyrus wetlands can remove up to 53% annual nitrogen input by
denitrification alone, while potentially, above-ground biomass harvest can remove 26% and
19% annual nitrogen and phosphorus input per year respectively (Kiwango and Wolanski,
2008).
Papyrus wetlands are also important to the ecology of the tilapia fish, by providing a
refuge for the juveniles (Mnaya and Wolanski, 2002). Although the commercial fish in the
lake is the Nile Perch, this fish does not depend on the papyrus wetlands as does the tilapia.
The tilapia supports the artisanal fisheries. The decrease of the lake level (2000 – 2006)
lowered the water level below that of the intake at Kiira dam and stopped the water
extraction. Unseasonal large rainfalls occurred in November–December 2006 and in January–
February 2007. The lake level rose by 1 m in the first six months of 2007 and inundated the
papyrus wetlands again (Figure. 3). Studies observed that the papyrus at Mlaga Bay had
recovered fully by September 2007. The papyrus survived 18 months of exposure because the
peat that the rhizome and roots grew into retained enough moisture at 0.5–1 m depth for the
plant to remain alive. If un-seasonal large rainfall did not occur, as it did, the lake level would
not have risen and over time the peat in the papyrus wetlands would have dried out and the
papyrus died. The above-ground papyrus biomass would either be burned for land clearance
for cultivation, access to the lake, settlements, and removal of pest animals (Awange and
Ong’ang’a, 2006), or would have decayed and ultimately ended up in the lake. Kiwango and
Wolanski (2008) showed that if the wetlands in the lake basin did dry and the dead plant
matter did end up in the lake, it would be equivalent to 18,500 years of nutrient inputs to the
lake, greatly accelerating eutrophication. Alternatively, if the papyrus was burned, 4.1 * 105
244 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

tonnes, (i.e. 17% of the annual input of N into the lake, thus also increasing the lake
eutrophication) would end up into the lake, and 5.2 * 107 tonnes of CO2 would be released to
the atmosphere, which is about 5% of the CO2 released by the catastrophic peat and forest
fires in Indonesia during 1997 (Pege et al., 2002).
During December 2000 and December 2006, fish larvae were sampled each night at the
same location in front of papyrus wetlands at Mlaga Bay, Rubondo Island National Park
(RNP) following the method of Mnaya and Wolanski (2002). The substrate of the papyrus
wetlands at Mlaga Bay was underwater in 2000; it was exposed in 2006 when it thus offered
no refuge to the fish. The fish larvae recruitment at that site decreased by 80% from 2000
(10.6 fish per sample ± 13.4) to 2006 (2.4 ± 1.5). This decrease is statistically significant
(t(23) = 2.967, p < 0.05).
In 2005–2006 the newly exposed shorelines of Lake Victoria were quickly encroached
for settlements, grazing, and cultivation and the exposed papyrus wetlands were replaced by
agricultural crops (Awange and Ong’ang’a, 2006). Thus the cconsequences of water level
decrease due to overdrawing at water by Uganda include exposing shores which are
encroached for settlement, grazing and cultivation, a loss of the buffering offered by the
papyrus, and the threat to the tilapia artisanal fisheries. The impoverished people living along
the lake’s shore depend on tilapia for their livelihood and food security; these are the people
who do not have access to the Nile Perch (Odada et al., 2004) and whose food security is
compromised by drying of wetlands by the overdrawing of water for hydroelectricity in
Uganda between 2000 and 2006. This threat to the food security may also threaten the
Serengeti because it may lead to increased poaching in the SNP as people look for protein, in
a similar manner that the collapse of the artisanal coastal fisheries in Guinea in the late 1990s
by allowing commercial trawlers over the nearshore artisanal fishing grounds, lead to the
empoverished, artisanal fishermen switching to poaching for bushmeat.
The long-term survival of the Serengeti may thus depend on maintaining tilapia artisanal
fisheries and the papyrus wetlands along the shores of Lake Victoria. Maintaining the
fisheries requires preventing eutrophication, and this may be facilitated by sustainably
harvesting papyrus above-ground biomass for the purpose of nutrient removal (Kansiime and
Nalubega, 1999; Kiwango and Wolanski, 2008). This harvesting of papyrus plants for the
purpose of nutrient removal requires careful timing. This is because depending on the age of
the plants, only 5–20% of the total nutrients may be stored in harvestable parts of the plants
(Wetzel, 1975). About 5.69 * 104 kg N year-1 and 9.38 * 103 kg P year-1 can be removed by
harvesting the above ground biomass in a 0.92 km2 papyrus wetland area (Kansiime and
Nalubega, 1999). The above-ground biomass of papyrus is 4.77 * 103 tonnes km-2, while its
nutrients content is 1.30% for N and 0.21% for P. Thus if all the above-ground papyrus of
Lake Victoria was harvested in one year, this would remove 6.3 * 105 tonnes N year-1, or
about 30% of the annual load of N to the lake. For P, the average nutrient content in
aboveground biomass is 1.02 * 105 tonnes P year-1. About 5.34 * 105 tonnes P year-1 enter
the lake (COWI, 2002). The amount of P that could be removed by harvesting all the above-
ground biomass of papyrus wetlands is thus equal to 19% of the annual input of P. If there
was no more input of P, the time scale required for removing the P from the lake if all
papyrus wetlands were harvested is 2 years. Therefore, regular harvesting of the above-
ground biomass of papyrus plants and removing this organic matter for use in the watershed
may be a practical alternative for removing nutrients from the lake, thus reducing Lake
Victoria’s eutrophication. It would extend to the scale of Lake Victoria the practice of
 Ecohydrology-Based Planning as a Solution to Address … 245

harvesting emergent plants from ponds in urban settings to remove nutrients from the water
(Zalewski, 2002).

9. THE KEY ROLE OF THE MAU FORESTS TO MAINTAIN

THE SERENGETI MIGRATION

The Mau Forest is a high rainfall area (1400 mm y-1) of high elevation (3000 m asl.) on
the steep slopes of the Mau escarpment which forms part of the western slope of the Rift
Valley in the western highlands of Kenya (Figure 1). It is one of the few remaining moist
forests in Kenya. This forest regulates water run-off, maintains perennial flow in rivers,
prevents soil erosion, limits downstream siltation, and prevents flooding (Dwasi, 2002;
Gereta et al., 2002 and 2009). The need to preserve the Mau Forests was noted by the colonial
government, hence, its gazettment as early as 1902 specifically for the protection and
conservation of water catchment areas. Besides supporting an abundant wildlife, by providing
water in the dry season the Mau forest also supports the flamingos in Lake Nakuru and the
lesser flamingos in Lake Natron. Though gazetted, the forest is increasingly destroyed by
encroachment, both legal and illegal. For example during the 1970s the Mau forest covered
about 50% of the Lake Nakuru catchment basin, at present only about 10% remains forested.
The Mara River catchment is a trans-boundary catchment with 65% of it in Kenya and
the remaining in Tanzania. The forested area of the Mara River in the Mau escarpment
covered 752 km2 in 1973 and only 493 km2 in 2000 and deforestation is continuing to 2010
though at a decreased rate (Figure 8).
On leaving the Mau forest, the Mara River passes through an irrigation area that extracts
up to 75% of its dry season flow, it then enters the Masai Mara Reserve and then it turns
southwestward and crosses the SNP before entering Masarua swamp and finally draining into
Lake Victoria. The lower portion of the Mara River in Tanzania is a dry plain of lower
elevation of about 1300 m asl. receiving between 700 mm and 1200 mm of rainfall per year
with high evapotranspiration and considerable water loss. The Mara River has been gauged
daily in 1970-1974 and in 2004-2006.
The Ewaso Ngiro River drains a similar area of the Mau forest as the Mara River. It flows
initially nearly parallel to the Mara River before turning southeastward toward Lake Natron.
It was gauged in 1948-1990.
Hydrologic studies (Gereta et al., 2009) found that the dry season flow in the Mara River
increased by 20% from 1960 to 1990, possibly due to an increase in rainfall (see above). In
2005 however the dry season flow of the Mara River was 68% smaller than the dry season
flows in the 1970s. This can be attributed to deforestation of the Mau forest and irrigation just
upstream of the Masai Mara Reserve (Figure 1). Hydrology models suggest that if the 1948
and 1972 droughts re-occurred (when the Mara River never stopped flowing) the Mara River
in SNP would dry out for 2 months and 1 month, respectively (Gereta et al., 2009).
246 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

Figure 8. Landsat photograph of January 12, 2000, of the Mau forest in the Mara River catchment,
together with the forest limit in 1973 (black kine; source: Landsat) and in 2010 (yellow line; source:
Google image). Note that the rate of deforestation has decreased in recent years but has not stopped.

To study the evolution of the Serengeti ecosystem under various scenarios of climate
change and human-induced drying out of the Mara River in drought, the ecohydrology model
of Gereta and Wolanski (2002) was used. The ecohydrology model has three trophic layers.
The bottom trophic layer is the grass, which grows when watered and withers in the absence
of rainfall. The grass is grazed by herbivores. The herbivores calve once a year. The
herbivores can die from poaching (for which data are available from the Park Warden),
starvation (in the dry seasons) and disease (mainly in the dry season; Mduma et al., 1999).
The carnivores prey upon the herbivores. The model ecosystem is divided in two areas. Area
A (the southern grasslands) is used by the herbivores in the wet season. Area B (the northern
region along the Mara River in the Park and in the Masai-Mara National Reserve) is the dry
season refuge for the herbivores. At the start of the dry season the herbivores migrate from
area A to area B; they return to area A at the start of the wet season. The migration results in
an additional mortality of the herbivores. The model bulks together all herbivores and all
carnivores. It is necessary for model calibration to scale the herbivore population by that of
the wildebeest, and the carnivore population by that of the lions, because data are available on
the number of wildebeest and lions. It is thus assumed that the wildebeest form a constant
proportion of the herbivore population, and the lions a constant proportion of the carnivore
population. In this way, other carnivores, such as hyenas, are also implicitly included. The
availability of grass for food for the migrating ungulates was controlled by rainfall. The water
 Ecohydrology-Based Planning as a Solution to Address … 247

availability was controlled by the hydrologic model of Brown et al. (1981), and only kicks in
during a drought to estimate if the animals have insufficient water for drinking, this did not
happen in historical conditions 1960-2000 for which data are available. The model equations
are of the Lotka-Volterra type for biomass at each trophic level, they express mass
conservation (see Gereta et al., 2002 and 2009; Gereta and Wolanski, 2008).
The model reproduces successfully (line a in Figure 9) the observations of Packer and
Gereta (unpubl. data), Wolanski et al. (1999), and Serneels and Lambin (2001), on the
number of wildebeest (and lions; not shown) between 1960 and 1999. The model was also
successful in reproducing the 20% die-off of wildebeest during the 1993 drought (Mduma et
al., 1999). Predation by lions is predicted to be of secondary importance for the herbivore
population dynamics in the Serengeti ecosystem. The model reproduces Mduma et al. (1999)
observations that the population of herbivores is limited by the availability of water and
forage, and thus fluctuates inter-annually as a result of rainfall. It is apparent that the
population of wildebeest did not reach a quasi-steady state (i.e. a population > 1 million
animals) until 1976.
The model suggests (line a in Figure 9) that the Serengeti ecosystem should remain stable
in the future provided that the rainfall will be within the range of that experienced historically
and provided that Mau forest remains forested as in the 1970s (Figure 2), and that it should
remain stable in the face of climate change (Gereta et al., 2002).

Figure 9. Time series plot of the (●) observed and predicted wildebeest population for historical rainfall
patterns in the year 1960-2006 repeated in the future and for (a) 1972 hydrologic conditions in the Mara
River, (b) 2006 hydrologic conditions in the Mara River, and (c) if the animal migration was stopped by
providing drinking water throughout the ecosystem.

The model suggests that if the droughts of 1948 or 1972 would occur again, with the present
levels of deforestation of the Mau forest and of use of Mara River water for irrigation in
Kenya, the Mara River would dry out; as a result the herbivore population would collapse
from the lack of drinking water (line b in Figure 9). This model also suggests that providing
drinking water to the animals at artificial water holes spread throughout the ecosystem would
248 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

lead to decadal time-scale booms and busts of the herbivore population (line c in Figure 9).
The model thus suggests that the Serengeti ecosystem stability is maintained by the annual
migration that partitions the ecosystem in rainfall-fed, seasonally used, compartments, and
that it requires a perennial Mara River to survive droughts. It is thus necessary to maintain
perennial flow in the Mara River, and this requires remediation measures in Kenya.

10. THE MARA RIVER BASIN HUMAN HEALTH STATUS

With a rapidly growing human population all along the Serengeti ecosystem, human and
wildlife interests are increasingly interconnected. It is important to use socio-economic
benefits from the Serengeti to improving human health. According to surveys that covered the
three districts through which the Mara River traverses in Tanzania, the most common water
related diseases and their average levels of incidence are malaria 40%, schistomiasis 17%,
diarrhoea 16%, dysentery 8%, typhoid 5%, and skin infections 2% (Serengeti District Health
Profile Report of 2001).
Malaria (water-related), schistomiasis (water-based) and diarrhoea (water-borne) are thus
the most threatening diseases in this area. Mortality rates of malaria and diarrhoea for infants
up to 5 years of age reach 19% and 5% respectively.
If the present mismanagement of the Mara River in Kenya continues unhindered and the
river stops flowing, water will only remain in stagnant pools. This is likely to increase the
incidence and mortality rates of some diseases, particularly diarrhoea, dysentery and skin
infections because they are associated with personal and general hygiene. The
formation/creation water pockets, instead of water flowing in the river, would provide a
favourable environment for the spread of diseases like malaria and Schistomiasis.
The Tanzanian Government’s water policy is intended to ensure proper protection and
equitable use of water sources for both social and economic development for the benefit of all
communities. The Government has been involving various communities in the processes of
planning, selection of appropriate technology, construction, contribution and management of
water projects. In addition, the Government has been encouraging the participation of
institutions such as TANAPA, non-governmental organizations, private institutions, religious
organizations and the public in improving the provision of water services in the country.
Provision of safe and clean water has reached 50% of rural population and 73% of urban
population. Rural water supply efforts that have been taken of the Government in this
connection include construction, expansion and rehabilitation of existing water projects as
well as exploration of new water projects in some regions. Efforts have also been made to
promote rainwater-harvesting technology as an extra source of water in some areas. In
addition, communities have been sensitized to manage and rehabilitate their water projects
through training, seminars and workshops.

11. PAPYRUS RESTORATION DEMONSTRATION PROJECT

Rubondo Island National Park (RNP) in the south-western corner of Lake Victoria has
totally protected papyrus wetlands. Outside the national park these sites have been destructed
 Ecohydrology-Based Planning as a Solution to Address … 249

in large scale, and the remaining are in danger of disappearance if the current trends continue.
Subsequently, many fishing camps are deliberately located very near the protected area and
heavily populated to try to capture more fish as they move outside the park, and even illegally
fish inside the park boundaries. RNP is unceasingly conducting anti-poaching patrols and
poaching is unrelenting. To provide a long term solution, RNP is now promoting papyrus
wetlands rehabilitation outside the park in collaboration with Nkome village in Geita district
to stimulate the fisheries outside the park, reduce the fish poaching inside the RNP, raise the
income of the local people, while using these constructed wetlands will help clean the waste
waters entering the lake from the catchments. The socio-economic situation on the ground is
difficult as rapid human population growth, environmental destruction, fisheries decline, food
insecurity and poverty are pressing issues of the day. Papyrus wetlands are generally not
appreciated ecosystems. Misuse of the papyrus wetlands range from farming all the way to
the waterline, washing clothes, dishes and bathing in the lake, pasturing domestic animals,
clearing and burning, establishment of settlements, waste dumping sites and poisoning. Beach
Management Units (BMUs) working under the Fisheries Department generally has the
mandate to oversee on the protection of the beaches and control of fisheries in their respective
areas. In practice, except for RNP, Lake Victoria is entirely open access as far as the fisheries
and the wetlands are concerned.
The rehabilitation project was implemented during a time of conflicting policies – people
were encouraged to farm the wet areas during drought periods, conflicting with the Fisheries
policy which protected the area for fish habitats. In Tanzania there is no wetlands policy. Any
serious wetland conservation work would likely face opposition from the local communities
through farmers who want the area for farming, fishermen who use illegal fishing methods,
and the general population who wants wetlands products for different uses. However,
evaluation of the situation around RNP shows that there is high potential for cooperation from
the communities if conservation education is given and support to wetlands
conservation/rehabilitation is granted at the local levels. This is what our pilot project aimed
to achieve. Observation shows that there are local people who are well equipped with the
skills of rehabilitation/restoring wetlands. Their experience and collaboration is important for
scientific wetland rehabilitation projects. A populated village 10 km from RNP was selected
as a pilot site because the readiness of the community to engage in environmental
conservation and management, as well as a strong community leadership to oversee on it. The
local people will ultimately take ownership in the prospect of earning an income in a few
years time from fisheries and biofuels. The rehabilitation site is an old wetland that had been
destroyed. It is sheltered from strong winds and sloping gently. It is located near the local
market and near the ship landing site. Hundreds of people flood the vicinity of the area on
Mondays and Thursdays, which are market days, and thus the site has an important
educational value.
Villagers removed invasive vegetation from the plot, and then the earth, compacted by
human activities, was dug by a tractor. Spoon-shaped creeks were constructed that run across
the swamp from high to low elevation to bring water and small fish to most parts of the plot.
We planted Cyperus papyrus spaced 1m x 1m apart, thus creating a papyrus fringed habitat
for fish. We carefully included some substrate material when transplanting the papyrus so as
to bring to the new site meiofauna and invertebrates to seed the new created swamp. Other
species planted include Typha sp., Mimosa sp. Half of the land was not in water except in the
built-in creeks; when the water level rises, the wetland can migrate there naturally. In these
250 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

dry areas, we planted grass species, to attract worms and other small animals which are food
for fish. The grasses were placed at the back of the plot so as to ensure maximum utilization
of the whole plot by fish. We fenced the area, placed a signboard to warn people to keep
livestock away. An MoU was drafted between RNP and Nkome village, which was to take
ownership and responsibility of removing invading hyacinth, guarding the area, and
managing it while earning the income after about a year when the papyrus matured. RNP
provided scientific expertise and supervise the harvest of above ground papyrus biomass for
biofuel for the villagers. A year into the project the papyrus vegetation was healthy and
expanding, bird life had returned, juvenile tilapia fish were abundant, the vegetation was
harvested as biofuel and the swamp allowed to regenerate. Several other villages have already
requested a similar papyrus wetlands rehabilitation project in their area.

12. THE LINK BETWEEN INTERNAL WAVES, EUTROPHICATION, FISH

KILLS, AND PAPYRUS
Lake Victoria is density stratified, with warm, oxygenated water at the surface and
colder, anoxic waters at the bottom (Newell, 1960; Myanza, unp. data). The upper layer, the
epilimnion, is separated by a transitional layer, the thermocline, from the lower layer, the
hypolimnion. The thermocline of Lake Victoria was at 40 m depth in the 1960s (Newell,
1960) and 20 m at present (Okaronon and Wadanya, 1991; Myanza et al., 2006; Rutagemwa
et al., 2006).
Strong wind induces internal waves in the thermocline (interface), disturbing its position
(Wetzel, 1983; Myanza et al., 2006). In the main part of Lake Victoria the lake is open water
with no islands to block the flow of wind fetch. There the wind causes a surface set-up
downwind and a surface set-down upwind, causing the interface to fall downwind and rise
upwind. An upwelling occurs at the upwind side of the lake. Past researchers have noted the
internal waves of Lake Victoria from occasional cross-lake transects, but the measurements at
monthly or quarterly intervals are too infrequent to quantify the dynamics and importance of
these waves. It is known however that these waves can bring nutrients and anoxic waters to
the surface (COWI, 2002, Gikuma-Njuru and Hecky, 2005). The anoxic waters cause fish
kills (Wetzel, 1983; Ochumba and Kibaara, 1989; World Bank, 1996).
These waves may be wind-driven. Assuming that the lake is a two-layer system with a
top and bottom layer separated by a sharp thermocline, with a top layer of thickness h1, the
wind over the lake will downwell the thermocline on the downwind side of the lake and lift
the thermocline towards the surface on the upwind side. The wind required for the
thermocline to surface can be estimated from the Wedderburn number (Stevens and
Lawrence, 1997)

W = g h12 Δρ / L u*2 ρ (1)

where g is the acceleration due to gravity, L is the length of the lake along the wind direction,
u* is the wind-driven kinematic shear stress in water, ρ is the density of water and Δρ is the
change of density across the thermocline. Upwelling occurs when W < 1 (Stevens and
Lawrence, 1997; Kaplan et al., 2003; Talavera and Richardson, unp. data).
 Ecohydrology-Based Planning as a Solution to Address … 251

For Lake Victoria, the thermocline is predicted to surface under a sustained wind of
constant direction for several days with a speed of at least 5 m s-1. Since a westward wind of
such speed is common, an upwelling should occur commonly on the east side of the lake.
This sustained upwelling is not observed. The reason is the land-lake breeze which prevents a
recirculating flow to develop near the shore in open waters (COWI, 2002).
However, not all of the lake is open waters. Around RNP, the islands form an archipelago
that blocks the large-scale circulation and the Wedderburn number approach is not applicable.
A situation similar to that studied in oceanic islands (e.g. Wolanski et al., 2004) may apply.
Island-generated internal waves do not travel around the island and upwelling is
topographically-driven and occurs at local scales especially around headlands. The difference
between these two upwelling mechanisms is huge: the wind-driven lake-wide internal wave is
basin-scale, i.e. tens of km. The topographic internal wave is at the scale of an island, i.e. a
few km. Such internal waves were measured at RNP from 2002 to 2006 by using temperature
data loggers (Figure 10; see also Kiwango, 2007). Upwelling typically occurs for about 200
hours in a year at one location; the thermocline reached near the surface for several days
during a major upwelling event; the upwelling events were localized and patchy. This island-
generated patchiness makes it difficult to characterize the upwelling dynamics in the
southwest region of Lake Victoria where islands are scattered widely. The historical
minimum temperature value for Lake Victoria as measured at 60 m depth and reported by
Lehman et al (1998) is 23.5 oC observed in 1990 and 1992. Such low temperature,
characteristic of deep Lake Victoria waters, were observed at five of the six measurements
sites at Rubondo Island for the total of 679 hours (i.e 1.3 % of the time) in 2002-2006. In fact,
we observed the coldest water ever reported for Lake Victoria during an upwelling that lasted
for 12 hours (Figure 10).

Figure 10. Time-series plot of the temperature at 2 m depth Kasenye1, RN. Coldest water mass for this
study was observed at 21.79 oC for 2 hours. The upwelling lasted for 12 hours.
252 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

Even when the internal wave does not reach the surface, it brings deep, nutrient-rich,
anoxic waters close to the surface within the reach of wind-mixing. Thus some nutrients
become available for productivity in the biological active surface layer of the lake water.
Such a process is beneficial in oligotrophic lakes where the surface layer is depleted of
nutrients, such as Lake Villarria in central Chile (Meruane et al., 2007) and Lake Tanganyika
(Naithani et al., 2007). But for Lake Victoria, which is already threatened by severe
eutrophication problem, this upwelling exacerbates the problem because it recycles back to
the surface layer the nutrients that were lost from that surface layer and stored in the bottom
layer.
When anoxic, bottom waters are upwelled by internal waves into surface waters, they
shock and possibly kill large fish that do not quickly react and swim to the surface to seek
oxygen-rich water. Such fish kills were observed in patches around Rubondo and in the
south-western part of Lake Victoria almost every year since the early 1980s (Kaoneka and
Mlengeya, unp. data; TANAPA, unp. data; Rutagemwa et al., 2006; Borner, pers. comm.).
Fish die-offs are mostly of Nile Perch, which surfaced quickly from deeper water in large
numbers and died. Usually the stomach (not the swim bladder) was inverted and pressed out
of their mouths. Die-offs in shallow waters were also witnessed, which affected other
organisms as well, including tilapia. Poison as a cause of the fish kills was ruled out by
laboratory investigation of the dead fish samples taken to Veterinary Investigation Center in
Mwanza (Kaoneka and Mlengeya, 2000).

13. THE IMPORTANCE OF ANNEXING SPEKE GULF INTO SERENGETI

NATIONAL PARK
The 5 km wide Speke Gulf Game Controlled Area (SPGCA) separates Lake Victoria
from the western corridor of the SNP (Figures 1a and 1b). The SPGCA is bordered by
Robana and Mbalageti Rivers to the north and south respectively. The shore of the Speke
Gulf is typically a wetland which supports dense vegetation including papyrus and typha
communities. Currently there are two villages located within the Speke Gulf GCA and the
people are engaged in a range of economic activities including agriculture, fisheries, tourism,
livestock keeping and small–scale trade. Wildlife hunting is not permitted. Given that the
Mara River may dry out in the future due to water resources mismanagement in Kenya, Speke
Gulf provides an alternative permanent source of water for wildlife.
Wild animals (especially elephants) have for years continued trespassing on these village
in SGGCA in search of water Available evidence indicates increased human – wildlife
conflicts of various nature and dimensions, including human death. As human population and
activities continue to expand in the area, so are the chances of conflicts from wildlife in
search of water from Lake Victoria and therefore it is only logical that separate one
population (wildlife or humans) from another. TANAPA is considering resettling the villages
outside the SGGCA and annexing the area in the SNP (Figure 1b). While this may not solve
the problem of a lack of water in the northern region of the SNP should the Mara River dry
out in the future, it will lessen the negative impact of such a man-made drought on the
Serengeti ecosystem.
There are additional socio-economic benefits for this annexation. It would ease human -
wildlife conflicts and protect papyrus wetlands breeding grounds for fish (Mnaya et al., 2006;
 Ecohydrology-Based Planning as a Solution to Address … 253

Kiwango and Wolanski, 2008), replenishing fish stocks in the nearby village fishing grounds
and guaranteeing food security for the empoverished local population. Also, this annexation
will also facilitate lake–based tourism, offering both rich terrestrial and aquatic tourism
experiences. This would diversify tourism products for the SNP in the line with the Serengeti
National Park General Management Plan (2006).

14. THE MANAGEMENT OF INTERNATIONAL WATERS

The future of the Serengeti ecosystem depends on solving water resources management
issues of both Lake Victoria and the Mara River. For Lake Victoria the key issues are the
overdrawing of water by Uganda as well as the conservation of the papyrus wetlands by
Tanzania, Uganda and Kenya, including sustainable harvesting to combat eutrophication. For
the Mara River the key issues are deforestation of the Mau forest in Kenya and overdrawing
of Mara River water for irrigation in Kenya. Thus the future of the Serengeti ecosystem is
very much an international issue. To guarantee the future of the Serengeti ecosystem, a
transboundary management plan is needed for both Lake Victoria and for the Mara River,
compatible with ecohydrology principles. There is no legal mechanism for this.
Currently, there are efforts encouraged by Norway to establish an authority that will
manage and ensure sustainable utilization of Nile basin waters. In February 2002 a meeting of
Ministers responsible for water sector was held in Cairo to discuss a draft on institutional and
legal system to oversee the utilization and development of the Nile Basin waters. The
Tanzanian Government through the Ministry of Water and Livestock continues to follow up
on efforts to establish the Nile Basin Authority. Furthermore, the Ministry is proposing to use
this Nile River template to establish a legal institution for the development of the Mara River
Basin. While this issue has been discussed by the East African Community, there has been no
support from Kenya to establish such a legal Authority. There is little room for optimism so
far because, while the deforestation of the Mau forest has slowed down, irrigation is
increasing and Mara River water is over-allocated in Kenya (Nile Basin Initiative, 2008).
Indeed it can be feared that no international agreement is likely for the Mara River in view of
the example of Uganda unilaterally deciding to overdraw water from Lake Victoria since
2000 over what was agreed by an international agreement (‘The Agreed Curve’) to increase
hydroelectricity production and as a result to decrease the water level by more than 2 m (see
lines a and b in Figure 3; Kiwango and Wolanski, 2008), without considering the
environmental and socio-economic consequences for Kenya and Tanzania who also share the
lake. There is thus no precedence in the East African Community for a country to have to
consider its neighbours in using international waters. In addition, the experience in East
Africa (e.g. Mtahiko et al., 2006) shows that, as long as the true cost of water is not charged
to users – commonly cost recovery rates in irrigation amount to only 20-25 % of true costs
(Lutz et al., 1999) - irrigators will have no qualm about drying out a river. There is no clear
mechanism at present to prevent this scenario to develop in the Mara River, given the
ambiguities in Kenya’s Water Act 2002 about the need to maintain environmental flows for
the whole river, and given the limitations of technical and financial resources facing Kenya’s
Ministry of Water (Mumma, 2005).
254 Bakari Mnaya, Yustina Kiwango, Emmanuel Gereta and Eric Wolanski

The fate of the Serengeti ecosystem remains on a knife’s edge until a water management
plan for Lake Victoria and the Mara River, based on ecohydrology principles, is signed by
Uganda, Kenya and Tanzania.
The fate of Lake Victoria ecosystem is even more tenuous because it involves land-use
over much of Tanzania, Kenya, and Uganda. As the lake eutrophication increases due to poor
land-use in the catchment area, the anoxic layer will continue rising towards the surface, from
> 50 m in 1961 to as low as 35 m in 1990, and 20-30 m in 2005 (Hecky et al., 1994, 1996;
Kaufman, 1992; Lehman et al., 1998; Mugidde, 1993; Ochumba and Kibaara, 1989; Reinthal
and Kling, 1994; World Bank, 1996; Rutagemwa et al.,.2006). The anoxic layer being closer
to the surface, the internal waves will more frequently upwell nutrients to the surface waters,
thus accelerating the eutrophication of Lake Victoria.

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In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 7

TEMPORARY STREAMS:
THE HYDROLOGY, GEOGRAPHY, AND ECOLOGY
OF NON-PERENNIALLY FLOWING WATERS

Owen T. McDonough 1,2, Jacob D. Hosen 1,2

and Margaret A. Palmer 1
1
Chesapeake Biological Laboratory,
University of Maryland Center for Environmental Science, Solomons, MD, USA
2
Behavior, Ecology, Evolution, & Systematics Program,
University of Maryland, College Park, MD, USA

ABSTRACT
Temporary streams represent a significant yet understudied and particularly
vulnerable portion of river networks. While the vast majority of stream and river research
to date has focused on perennial flowing waters, recent work reveals that temporary
streams are not only abundant and widely distributed, but also play a significant role in
the hydrological and ecological integrity of lotic networks. In this chapter, we seek to
summarize the current state of the science of these ubiquitous portions of river networks
while simultaneously stressing the need for their future investigation. We begin by
defining temporary streams and their hydrology and highlighting their abundance and
extent. We then consider the ecological significance of temporary streams, including their
role as faunal and floral habitat providers, biogeochemical processors, and connectivity
corridors within river networks. The chapter concludes with a discussion of policy issues
surrounding temporary streams and the anthropogenic disturbances they face.

INTRODUCTION
Temporary streams are channels that lack surface flow during some portion of the year.
Positioned at the interface between fully aquatic and fully terrestrial ecosystems, they are
among the most abundant, widely distributed, and dynamic freshwater ecosystems on Earth
260 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

[Comin and Williams 1994; Poff 1996; Williams 1996; Larned et al. 2010]. Cumulatively,
they account for a significant proportion of the total number, length, and discharge volume of
the world’s rivers [Dodds 1997; Tooth 2000; Larned et al. 2010]. Temporary streams range in
size from the smallest of episodically flowing zero-order rivulets with small drainage basins,
to seasonally flowing headwaters, to higher order river reaches that are spatially disconnected
at some portion of the year.
Research to date suggests that these temporary waters are not only abundant, but
ecologically valuable [Meyer et al. 2003; Nadeau and Rains 2007; Larned et al. 2010],
serving as animal and plant habitat, zones of nutrient and carbon processing, and connectivity
corridors intimately linked to both the watersheds they drain and the river networks to which
they are episodically connected. Despite periodic discontinuities in surface flow, temporary
streams are intimately linked - both hydrologically and ecologically - to their watersheds and
perennial waters [Cummins and Wilzbach 2005; Nadeau and Rains 2007]. Yet, temporary
streams have been “historically neglected” by scientists and society at large [Larned et al.
2010]. They are understudied relative to continuously flowing perennial streams [Robson et
al. 2008], poorly mapped [Meyer and Wallace 2001], and faced with numerous anthropogenic
disturbances [Dodds et al. 2004; Brooks 2009]. Moreover, it is expected that streams will
become increasingly more temporary due to global climate change [Lake et al. 2000; Palmer
et al. 2008; Brooks 2009]. Increased awareness and knowledge of their extent and integral
ecologic and hydrologic role in river networks should aid in their management and protection.
Here, we review the current state of knowledge about temporary stream hydrology,
geography, and ecology and demonstrate their essential role within river networks. We review
the anthropogenic disturbances they face and the challenges with respect to protecting them.

HYDROLOGY
Hydrology is perhaps the most fundamental driver of physical, chemical, and biological
processes in streams and is often considered a “master variable” controlling geomorphology,
substrate stability, faunal and floral habitat suitability, thermal regulation, metabolism,
biogeochemical cycling, and the downstream flux of energy, matter, and biota [Power et al.
1988; Resh et al. 1988; Poff and Ward 1989; Poff 1996; Poff et al. 1997; Dodds et al. 2004].
Flow magnitude, frequency, duration, timing, and rate of change together characterize a
stream’s flow regime [Poff et al. 1997]. Unlike larger streams and rivers, temporary streams
have a flow regime defined by periodic drying and wetting that places them at a unique
interface between fully terrestrial and fully aquatic environments. Their position at this
terrestrial-aquatic ecotone sets them apart from continuously flowing portions of river
networks in that they can support both land- and water- based ecosystem functions and
services.
Streams may be defined according to their surface hydrologic flow duration as either
perennial or temporary (also known as “non-perennial”) [Hansen 2001]. Under normal
circumstances, perennial streams flow throughout the year, whereas temporary streams lack
surface flow for some portion of the year. Temporary streams are classified as either
intermittent or ephemeral. Intermittent streams flow seasonally in response to snowmelt
and/or elevated groundwater tables resulting from increased periods of precipitation and/or
 Temporary Streams 261

decreased evapotranspiration. The groundwater table is above the bed of an intermittent

stream during some portions of the year (Figure 1c) and below it during others (Figure 1d).
During periods of seasonal surface flow, the groundwater table is above the bed, and the
intermittent stream receives a baseflow supply whereby it is a gaining stream – that is, it
gains water from groundwater (Figure 1c). During dry seasons and/or dry conditions, the
groundwater table is below the channel bed, and the channel lacks a source for baseflow
(Figure 1d). Under these low groundwater table conditions, the intermittent channel is a
losing stream – that is, it loses water to groundwater (Figure 1d). Ephemeral streams are
those that only flow during and in immediate response to precipitation events. The
groundwater table is situated below the streambed of an ephemeral stream throughout the
entire year such that the channel never receives groundwater discharge and, in turn, lacks a
baseflow source (Figure 1e,f). As a result, ephemeral streams are always losing streams.

Figure 1. Channel cross-sectional schematic showing perennial, intermittent, and ephemeral streams
under high and low groundwater table conditions. Dashed line indicates groundwater table elevation.
Arrows indicate surface water and groundwater flowpaths. a) Perennial – High Groundwater: gaining
stream. b) Perennial – Low Groundwater: gaining stream. c) Intermittent – High Groundwater: gaining
stream. d) Intermittent – Low Groundwater: losing stream. e) Ephemeral – High Groundwater: losing
stream. f) Ephemeral – Low Groundwater: losing stream.

Temporary streams may also be spatially discontinuous where surface water is present at
some reaches of an individual tributary, but absent at others. The result is a pattern of
longitudinal surface water patchiness along the tributary. Such fragmentation may result from
drying and subsequent hydrologic isolation of pools along a tributary or downwelling
portions of the streambed where all surface flow is subducted to subsurface flow, or
262 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

hyporheic, pathways before re-emerging in upwelling zones at some distance downstream.

Drying in a temporary stream with a pool-riffle geomorphology begins with reduced flow
through the reach. As drying persists, water levels become lower, surface flow ceases in
riffles altogether, and a series of separated pools results. Depending on the severity of drying
as well as depth of pools, surface water may be lost entirely [Labbe and Fausch 2000] (Figure
2). Longitudinally isolated pools are especially common in arid climates and regions defined
by strong seasonal wet and dry periods. Anthropogenic groundwater abstraction for
municipal, agricultural, and industrial use may also lead to lowered regional groundwater
tables and subsequent longitudinal isolation of pools along rivers [Dodds et al. 2004]. Even in
the absence of surface flow, temporary streams may contain hyporheic flowpaths that serve as
habitat refugia from drying, zones of biogeochemical processing, and hydrologic connections
to downstream waters.

Figure 2. Contraction of a stream reach under increasingly dry conditions. Arrows indicated surface and
groundwater flowpaths. A) Surface hydrologic connectivity exists throughout the reach such that pools
are connected via riffles. B) As drying persists, riffles dry and pools contract until they are
geographically isolated. C) If drying persists long enough, all surface water may be lost to either
groundwater reserves or evapotranspiration.

GEOGRAPHY
Abundance and Extent

Temporary streams are among the most abundant, widely distributed, and dynamic
freshwater ecosystems on Earth [Comin and Williams 1994; Poff 1996; Williams 1996;
Larned et al. 2010]. Collectively, they account for a significant proportion of the total
number, length, and discharge volume of the world’s rivers [Dodds 1997; Tooth 2000; Larned
et al. 2010]. While they are most abundant in arid and semi-arid regions, temporary streams
 Temporary Streams 263

are also commonly found throughout the globe between 84 deg N and 84 deg S latitude
[Larned et al. 2010].
Ephemeral and intermittent streams are often positioned at the headwaters of river
networks [Dodds et al. 2004] (Figure 3). Headwaters are formed by watersheds draining small
parcels of land and, in turn, small volumes of water. As a result, headwaters are more
susceptible to drying than downstream reaches because they have smaller drainage areas with
less recharge potential for baseflow maintenance [McMahon and Finlayson 2003; Fritz et al.
2008]. Moreover, headwater catchments are often less pervious than downstream portions of
watersheds, in turn resulting in minimal storage capacity to maintain baseflow [Burt 1992]
and subsequent formation of temporary streams [Dodds et al. 2004; Levick et al. 2008;
Brooks 2009] ranging from small ephemeral rills and gullies to larger, more well-developed
intermittent channels. A study in Chattahoochee, Tennessee (USA) found, for instance, that
78% of the stream reaches within a watershed were headwaters, and that a majority of those
headwaters were temporary [Hansen 2001]. In temperate regions, summer drought conditions
can result in “summer-dry” headwaters. With increased precipitation and/or decreased
evapotranspiration, dry headwaters rewet and account for a substantial portion of the drainage
network. In fact, the temporary portion of river networks may often exceed the length of
permanently flowing reaches [Dieterich and Anderson 1998].

Figure 3. Typical transition from temporary to perennial streams at the headwaters of a river network.
Ephemeral and intermittent reaches are a zone of network expansion under wetting conditions and
contraction under drying conditions. [Modified from symbols courtesy of the Integration and
Application Network (ian.umces.edu/symbols/), University of Maryland Center for Environmental
Science].

Headwater rewetting results from a combination of increased soil saturation, shallow

subsurface flow, a general rise of the groundwater table, and subsequent expansion of the
active drainage network. Gomi et al. [2002] refer to the headwaters of river networks as
“transitional channels.” The transitional channels are zones of drainage network expansion
264 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

and contraction under wet and dry conditions respectively (Figure 3). In mesic regions with a
more continuously wet climate, transitional channels may be short, ephemeral rills that flow
in immediate response to heavy rain events. The length of individual temporary channels is
likely to be much longer in more xeric climates, including desert and prairie stream networks
[Dodds et al. 2004].
Although a global inventory of temporary streams has not yet been compiled, several
national and regional estimates exist and collectively underscore their abundance. Headwater
streams cumulatively account for the greatest portion – perhaps as much as 80% - of stream
length within river networks [Leopold et al. 1964; Meyer et al. 2003; Lowe and Likens 2005].
In the United States (excluding Alaska), it is estimated that ephemeral and intermittent
streams, many of which are located at the headwaters, total 3,200,000 km of stream length, or
nearly 60% of cumulative stream length [Nadeau and Rains 2007]. In the arid and semi-arid
southwestern United States, temporary streams account for > 80% of the entire network
[Levick et al. 2008]. Over 50% of the Australian mainland is drained by temporary streams
[Williams 1983] (Figure 4), much of which are located in the southeast of the continent [Lake
et al. 1986]. Due to the marked wet/dry seasonal precipitation pattern in the Mediterranean
climate, nearly half of the river network in Greece is temporary [Tzoraki and Nikolaidis
2007]. With respect to specific watersheds, Hansen [2001] found that > 70% of the Chattooga
River network (southeastern USA) is temporary, and Doering et al. [2007] estimated nearly
50% of the Tagliamento River drainage (northeastern Italy) does not flow continuously.

Figure 4. Brachina Creek, Flinders Ranges (South Australia) – one of countless temporary streams
draining the Australian mainland. [Photo: A. Boulton].

In addition to headwater channels of river networks, some higher order branches –

perhaps 4th and even 5th order [McBride and Strahan 1984] – exhibit temporary surface flow.
Not surprisingly, temporary streams are common in more arid climates (e.g., desert and
prairie streams) or regions with a pronounced dry season (e.g., streams in Mediterranean
climates) [Gomez et al. 2009]. As a region enters a period of drought or a dry season, surface
 Temporary Streams 265

water is lost to both evapotranspiration and groundwater storage. The result is a retreating
stream “front” characterized by longitudinally discontinuous surface flow [Larned et al.
2010]. Riffles dry and pools contract such that they become geographically separated [Fisher
et al. 1982; Stanley et al. 1997] (Figure 2). Upon return of wetter conditions – a result of
increased precipitation, decreased evapotranspiration, decreased groundwater abstraction, or
some combination therein – an advancing stream “front” reconnects the previously
fragmented tributary. In arid regions, a single large rain event can rapidly reconnect the
network [Gomez et al. 2009].

Mapping

It has long been recognized that commonly used stream maps grossly underestimate
actual stream length [Mueller 1979; Meyer and Wallace 2001]. The scale at which drainage
networks are mapped can dramatically affect the total number and length of streams that are
identified. With decreasing map resolution, fewer and only increasingly larger streams tend to
be indicated [Miller et al. 1999]. Temporary streams are often individually small and
therefore the most likely to be omitted as map resolution decreases [Roy et al. 2009]. Meyer
and Wallace [2001], for instance, showed that the total stream length within the Coweeta
Creek watershed (North Carolina, USA) on a coarse resolution 1:500,000 scale topographic
map was only 3% of the length indicated on a standard United States Geological Survey
(USGS), higher resolution 1:24,000 scale map. They also found that lower order streams (i.e.,
headwater, intermittent, and ephemeral streams) were more likely than higher order perennial
channels to be unmapped at the coarser resolution.
Yet even 1:24,000 scale maps – the most common source of drainage network data in the
United States - may still omit the uppermost reaches and thereby significantly underestimate
total stream length within a watershed. Studies in temperate North America have shown that
1:24,000 scale maps can exclude nearly all temporary streams, resulting in >70% omission of
actual stream length [Hansen 2001; Heine et al. 2004; Roy et al. 2009]. Studying the Arroyo
de los Frijoles catchment in the arid southwestern United States, Leopold et al. [1964] found
that contour patterns resulted in a network with nearly 260 first order channels, yet 1:24,000
scale maps identified no stream channels within the entire watershed. The researchers further
identified 86 ephemeral channels in just one of the first order streams by physically walking
its length [Leopold et al. 1964].

ECOLOGICAL SIGNIFICANCE
Because temporary streams exist at an interface between aquatic and terrestrial
ecosystems they represent an “intimate ecological linkage” between the stream and its
watershed [Cummins and Wilzbach 2005]. They provide valuable habitat to a wide variety of
plant and animal species and function as biogeochemical hot spots that retain, process, and
transform carbon, nutrients, and particulates. They are hydrologically and ecologically linked
to perennial and other temporary waters with which they exchange matter, energy, and
organisms.
266 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

Habitat Provision

It has long been recognized that temporary streams support a wide diversity of life [Stehr
and Branson 1938]. Positioned at a terrestrial-aquatic ecotone, they provide unique habitat
[Meyer et al. 2007]. Fauna and flora, both terrestrial and aquatic, have developed adaptations
and life histories to cope with these hydrologically dynamic reaches where habitat can shift
rapidly from high velocity, well-oxygenated riffles to stagnant, isolated pools to completely
dry streambed and back. Among the many factors controlling biological communities in
temporary streams, patterns of flow may be the most important [Poole et al. 2006]. Both
animals and plants are faced with periodic and often rapid disappearance and reappearance of
vast areas of habitat in streams that alternate between wet and dry states.

ANIMAL HABITAT
Temporary streams support a variety of fauna including macroinvertebrates, fishes,
amphibians, and streamside mammals, reptiles, and birds. Whether serving as sites of
oviposition, spawning, rearing, refugia from drying, or dietary hot spots, temporary streams
harbor a wide diversity of animal life. While these channels undoubtedly harbor a rich
diversity of micro- and meiofauna (e.g., microbes, biofilms, rotifers, crustaceans), here we
focus our discussion on macrofauna habitat provision and adaptations in temporary streams.

Macroinvertebrates

While macroinvertebrate abundance and taxa richness are generally lower in ephemeral
and intermittent streams relative to permanent waters [Clifford 1966; Williams and Hynes
1976b; Williams 1996; but see Flinders and Magoulick 2003], temporary streams may also
support rare or unique species [Dieterich and Anderson 2000]. Lower species richness is
widely attributed to the more extreme conditions and variable habitat found in temporary
streams [Boulton and Suter 1986] and may also be related to reduced aquatic habitat area as
the result of drying (i.e., species-area effects) [Lake 2000]. Studying stream intermittency and
macroinvertebrate assemblage diversity in the Great Plains (central USA), Fritz and Dodds
[2005] developed a stream harshness index based upon a suite of hydrologic flow regime
variables. They found that harshness indices were high in intermittent streams, low in
perennial streams, and negatively related to macroinvertebrate diversity and species richness
[Fritz and Dodds 2005].
Although they lack continuous surface water, temporary streams may harbor robust
and/or endemic aquatic or semi-aquatic macroinvertebrate communities [Feminella 1996;
Dieterich and Anderson 2000; Stout and Wallace 2003; Robson et al. 2005; Williams 2005;
Collins et al. 2007] and often share a common pool of macroinvertebrate taxa with perennial
streams [Boulton and Lake 1992, Feminella 1996, del Rosario and Resh 2000, Shivago 2001,
Smith et al. 2003, Collins et al. 2007, Arscott et al. 2010]. Moreover, some studies have found
that temporary streams harbor a unique set of macroinvertebrate taxa not found in nearby
perennial reaches [Feminella 1996; Dieterich and Anderson 2000]. Other studies, however,
 Temporary Streams 267

have found little or no difference between temporary and perennial stream macroinvertebrate
communities [Beugly and Pyron 2010; Robson et al. 2008].
Why do some temporary streams boast uniquely adapted macroinvertebrate assemblages
while others do not? One study attributed the lack of temporary stream-adapted
macroinvertebrates to a lack of nearby permanent surface water refugia, length of drying
period, and a lack of climate predictability [Arscott et al. 2010] whereby an unpredictable
pattern of intermittency renders adaptation to drying unlikely. Several studies have reported
general similarities between perennial and temporary streams with a limited number of taxa
endemic to temporary reaches [Shivago 2001; Williams et al. 2004; Beche et al. 2006; Storey
and Quinn 2008; Arscott et al. 2010]. It seems likely that rather than a duality where
temporary stream communities are either unique to or largely shared with perennial streams,
there exists a gradient of similarity depending on a variety of local conditions including
hydrology, geomorphology, climate, competition, and predation.
Many macroinvertebrates - especially insects - in temporary stream reaches possess
physiological and/or behavioral traits allowing them to persist even after surface flow has
ceased [Williams and Hynes 1977; Towns 1985; Williams et al. 2004; Bonada et al. 2006;
Storey and Quinn 2008]. Survival strategies used by temporary stream dwelling
macroinvertebrate taxa are numerous, and Williams [1998] provides an excellent review of
macroinvertebrate persistence strategies in temporary streams. Here, we discuss two strategies
that are particularly important: 1) survival in refugia and subsequent colonization and 2)
resistance to desiccation.

Survival in Refugia and Colonization

There are numerous permanent water refugia that macroinvertebrates use to persist when
surface water disappears from stream channels. For example, some insects as well as
miofaunal invertebrates have the ability to burrow down to the hyporheic zone [Stanford and
Ward 1988; Palmer et al. 1992; Collins et al. 2007], though this may not be a viable survival
tactic if drying occurs too rapidly and/or bed sediments are too coarse for burrowing [Boulton
and Stanley 1995]. Additionally, isolated pools represent particularly valuable refugia from
stream drying [Boulton 1989]. Special adaptations to survival in isolated pools may be
required because these habitats often become depleted in dissolved oxygen over time.
Researchers studying isolated pools along arid stream reaches have found chironomid larvae
(non-biting midges) that utilize hemoglobin to tolerate low oxygen conditions [Williams and
Hynes 1976; Boulton 1989; Stanley et al. 1994]. Some Ephemeroptera (mayflies) taxa are
equipped with specialized gills to tolerate low oxygen levels [Boulton 1989; Miller and
Golladay 1996]. Other macroinvertebrate taxa found in oxygen-depleted temporary streams
can directly breathe atmospheric air. These include Coleoptera (beetles) [Boulton 1989;
Stanley et al. 1994; Williams 1998], Hemiptera (true bugs) [Stanley et al. 1994; Williams
1998], and Tipulidae (craneflies) [Williams 1998].
Shorter cohort production intervals and rapid larval development enabling adults to
disperse before severe channel drying allow macroinvertebrates to use nearby perennial
waters as spatial refugia or terrestrial life stages as temporal refugia. The Plecopteran
(stoneflies) Riekoperla naso accomplishes this by rapidly developing from an egg to a mature
flying adult [Towns 1985]. Studying macroinvertebrate assemblages in a seasonally
intermittent stream in the Great Plains (central USA), Fritz and Dodds [2004] identified the
Ephemeropteran (mayflies) Fallceon quilleri, having an 18-day life cycle, and the chironomid
268 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

(non-biting midges) Cricotopus sp., having a 6-day life cycle. Temporary stream dwelling
Hemiptera (true bugs) larvae may mature quickly and abandon temporary reaches as flying
adults [Williams and Hynes 1976]. Macroinvertebrates using such refugia can re-colonize
temporary reaches quickly after surface flow resumes. Intermittent prairie stream-dwelling
macroinvertebrate communities have been observed to reappear within one week of resumed
surface flow [Fritz 1997].
Boulton [1989] sampled eight over-summering refuges including dried leaf litter, crayfish
burrows, receding pools, a nearby permanent lake, rotting wood and bark, dry substrate from
riffles and pools, and the hyporheic zone. Of the refugia surveyed, a majority of taxa were
found in isolated pools, yet both pool and riffle substrata also harbored significant proportions
of the total taxa. Overall, nearly 50% of taxa recorded were found in areas lacking
freestanding water [Boulton 1989].

Resistance to Desiccation
Another adaptation to stream drying is the use of desiccation resistant life stages
[Williams and Hynes 1976b; Williams 1996]. Evidence for survival as dormant eggs has been
found for Diptera (flies) [Williams and Hynes 1976; Stubbington et al. 2009], Ephemeroptera
(mayflies) [Boulton 1989], and Plecoptera (stoneflies) taxa [Dieterich and Anderson 1995].
Towns [1985] identified leptocerid caddisflies, which are known for depositing terrestrial egg
masses, in an Australian temporary stream. Smith et al. [2003] found certain Trichoptera
(caddisflies) taxa were able to aestivate as adults during dry periods. Boulton [1989] found
that dormant water penny beetles under dry rocks became active after being submerged in
water. Plecoptera (stoneflies), Trichoptera (caddisflies), and Ephemeroptera (mayflies) taxa
may persist as embryos in dry streambeds, and some oligochaetes survive dry conditions as
cysts [Williams and Hynes 1976]. Some chironomid (non-biting midges) taxa can survive
drought in desiccation-resistant cocoons [Griswold et al. 2008].
Drought intolerant macroinvertebrates unable to locate viable refugia during dry
conditions, however, may die and provide carbon and nutrient subsidies to riparian
consumers, thereby linking temporary stream and terrestrial ecosystems [Williams 1987].

Fishes

Streams that lack surface water for some portion of the year may not seem like ideal
habitat for fish species. However, when temporary reaches of a river network rewet,
flowpaths re-emerge and allow for fish passage into once fragmented or disconnected
segments. Under these conditions, fishes are able to migrate from perennial waters into newly
accessible habitats, including floodplains and temporary reaches, where dietary resources may
be largely untapped, competition can be low, and conditions amenable for spawning and
juvenile rearing may exist [Erman and Leidy 1975; Erman and Hawthorne 1976; Hartman
and Brown 1987; Junk et al. 1989; Dodds et al. 2004; Wigington et al. 2006; Colvin et al.
2009]. Murdock et al. [2010] observed large schools of fish inhabiting recently re-connected
pool habitats in an intermittent portion of a prairie stream (Kings Creek, Kansas, USA) only 3
days after being reconnected via surface flow to a perennial reach. In Sycamore Creek
(Arizona, USA), Stanley [1993] found that longfin dace (Agosia chrysogaster) built nests
earlier in the breeding season and in greater numbers in recently rewetted intermittent stream
 Temporary Streams 269

reaches relative to perennial reaches, thereby suggesting a preference for the temporary
reaches. Wigington et al. [2006] found that coho salmon (Oncorhynchus kisutch) smolts
overwintered in intermittent reaches and were larger than their counterparts that overwintered
in perennial reaches or river mainstems. Everest [1973] and Kralik and Sowerwine [1977]
also found that intermittent streams often serve as critical refugia for juvenile salmonids
during periods of high winter discharge in Pacific Northwestern (USA) streams.
In the upper Williamette River valley (Oregon, USA), agriculture and river regulation
have reduced river floodplains to intermittent watercourses. Although these temporary waters
are largely the result of anthropogenic modification of the watershed and stream network, 13
fish species – 90% of which were native – were found to inhabit them [Colvin et al. 2009].
Moreover, newly hatched and juvenile fishes were found in the intermittent streams,
suggesting these seasonally available reaches offered conditions suitable for spawning and
rearing [Colvin et al. 2009]. Yet, Colvin et al. [2009] also found that intermittent stream fish
species richness decreased as distance of the intermittent stream to the closest perennial reach
increased, suggesting that sites more distant from perennial waters may be less suitable fish
habitat. Fish may take anywhere from hours to weeks to colonize newly re-wetted temporary
stream reaches, largely depending on the distance of the temporary water to a permanent
source [Larimore et al. 1959; Dodds et al. 2004]. Temporary stream reaches closer to
perennial waters are likely to be wetter longer and more easily accessed upon wetting and
later abandoned upon drying.
Streams in the Great Plains region of the United States represent particularly harsh
environments with rapid transitions between flooding and drying [Dodds et al. 2004]. Fishes
within these temporary streams are adapted to a harsh hydrologic flow regime and can
migrate to permanent waters, reproduce rapidly, and persist in isolated pools with poor water
quality [Pauloumpis 1958; Labbe and Fausch 2000]. Research has shown that fishes in
isolated pools are able to withstand low dissolved oxygen concentrations and elevated water
temperatures up to nearly 40 deg C [Erman and Leidy 1975; Mundahl 1990]. Fishes may also
survive drought conditions by migrating downstream to perennial reaches [Harrel et al. 1967].
Fishes surviving in perennial stream reaches and/or pools readily re-colonize temporary
reaches when surface water connectivity resumes [Reeves 1979].

Amphibians

As their name implies, amphibians (amphíbios [Greek]: amphi = both, bio = life) inhabit
both land and water. Stream reaches alternating between wet and dry states can therefore
serve as ideal habitat for animals adapted to a combination of terrestrial and aquatic life.
Temporary headwaters may provide ideal habitat for salamander breeding where episodic
flow results in the lack of significant fish populations and, in turn, decreased resource
competition and predation pressure [Wilkins and Peterson 2000]. Supporting this, spring
salamanders (Gyrinophilus porphyriticus) (Figure 5A) and two-lined salamanders (Eurycea
bislineata) (Figure 5B) have been found in greater abundances in fishless headwater, albeit
perennial, streams than in perennial streams with predatory fishes [Barr and Babbitt 2002;
Lowe and Bolger 2002]. Wilkins and Peterson [2000] found fishless, non-channelized spring-
fed seeps in the Pacific Northwestern United States supported both larval and adult Columbia
torrent salamanders (Rhyacotriton kezeri) (Figure 5C). In a study of over 30 perennial and
270 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

intermittent streams in northern California (USA), coastal giant salamanders (Dicamptodon

tenebrosus) and black salamanders (Aneides flavipunctatus) were found to be significantly
more abundant along intermittent stream reaches which were shaded, damp, and
hydrologically disconnected from perennial sites [Welsh et al. 2005]. Collectively, these
conditions result in ideal sites for egg deposition and predator avoidance.

Figure 5. Examples of salamander species that may be found in either temporary streams or fishless
perennial headwaters. A) Spring salamander (Gyrinophilus porphyriticus) [Photo: J. Butler] B)
Northern two-lined salamander (Eurycea bislineata) [Photo: M. Jennette] C) Columbia torrent
salamander (Rhyacotriton kezeri) [Photo: M. Leppin].

Anurans, like salamanders, tend to inhabit temporary stream reaches for both predator
avoidance and dietary resources. In an intermittent stream in west-central Kentucky (USA),
pickerel frog (Rana palustris) and American toad (Bufo americanus) females were found to
selectively oviposit in areas where few if any fishes were present [Holomuzki 1995].
Moreover, tadpoles of both species reduced their activity in the presence of fishes by
detecting fish chemical cues and preferentially inhabited areas of the stream most inaccessible
to swimming fishes (e.g., channel margins and isolated pools) [Holomuzki 1995]. Inger and
Colwell [1977] compared distributions of anuran species in perennial and temporary forested
streams in northeastern Thailand and noted that amphibians inhabited temporary sites in
significantly greater numbers relative to permanent reaches. They also found that certain frog
species (e.g., Rana nigrovittata and Rana pileata) were essentially confined to small
intermittent streams [Inger and Colwell 1977]. In a study of algal quality as a dietary resource
in perennial and temporary Australian streams, Peterson and Boulton [1999] found that
tadpoles were better able to digest algae from newly rewetted temporary reaches, suggesting a
higher quality of algal dietary resources in temporary versus permanent waters.
 Temporary Streams 271

Streamside Mammals, Birds, and Reptiles

In addition to temporary channels themselves, riparian zones along ephemeral and

intermittent streams may provide habitat and dietary resources for mammals, birds, and
reptiles. When temporary streams dry, isolated pools often result. Fragmentation of stream
reaches into pools effectively traps and increases the density of aquatic organisms including
invertebrates, amphibians, and fishes [Boulton and Lake 1992]. As a result, pools become
dietary hot spots where food may be obtained at minimal energy cost by riparian mammals,
birds, and snakes [Metzger 1955; Tramer 1977; Kephart 1982; Dowd and Flake 1985].
The corridors of temporary streams may also serve as preferential edge habitat for a
number of species. In the xeric southwestern United States, for instance, it is estimated that
80% of all animals use temporary stream riparian habitat and/or dietary resources at some life
stage, and that greater than 50% of breeding bird species nest primarily in temporary stream
riparian habitats [Krueper 1993].
Seidman and Zabel [2001] found that intermittent portions of a California (USA) stream
network supported similar amounts of bat activity as perennial reaches. Similarly, Ozark big-
eared bats (Plecotus townsendii ingens) were found to forage heavily along intermittent
streams in Oklahoma (USA) [Clark et al. 1993]. Sonoran mud turtles (Kinosternon
sonoriense) were found to be thriving alongside intermittent mountain stream corridors in
New Mexico (USA) [Stone 2001]. Birds, including red-tailed hawks (Buteo jamaicensis) and
Gila woodpeckers (Melanerpes uropygialis), depend on ephemeral stream riparia in arid
Arizona (USA) for nesting sites found only in these terrestrial-aquatic interfaces [Johnson and
Lowe 1985].

PLANT HABITAT
As well as providing valuable wildlife habitat, temporary streams and their riparia harbor
substantial floral communities, particularly in arid or semi-arid regions. Streambed and
streamside vegetation plays a significant role in temporary stream ecosystem structure and
function. Within-channel and riparian vegetation which are both heavily influenced by flow
regime [Poff et al. 1997], provide channel and bank roughness, buffer high flows, stabilize
banks, mitigate wind and water erosion, and trap particulates [Levick et al. 2008]. Because
temporary streams generally have a larger channel edge-to-width ratio than perennial
channels, the proportion of the streambed and riparian zone that can be colonized by
vegetation is often greater in temporary reaches compared to those that flow year-round [Fritz
et al. 2006].
In semi-arid and arid regions, temporary streams and their riparia are often the only
places in the watershed with soil moisture levels necessary to support a substantial plant
community. As such, ephemeral and intermittent stream corridors may be hot spots of plant
diversity and abundance relative to their watersheds [Warren and Anderson 1985]. Studying
summer dry streams in northern California (USA), Waters et al. [2001] found that the mean
number of plant species in the herbaceous layer along channels as narrow as 0.9 to 1.3m was
significantly greater than the mean in upland sites. Temporary stream channels themselves
can also be zones where terrestrial plants can establish. McBride and Strahan [1984] found
272 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

that woody species including willow (Salix sp.), Fremont cottonwood (Populus fremontii),
and mule fat (Baccharis viminea) readily established in gravel bars in a seasonally
intermittent stream in northern California (USA). However, flow regime extremes of summer
drought and channel-scouring winter floods led to plant mortality and loss on the gravel bars
[McBride and Strahan 1984].
Temporary streams and riparia may also maintain diverse soil seed banks and support
unique plant species and high plant diversity. The seed banks of temporary streams in arid
regions may support wetland plant communities during portions of the year when moisture
levels are sufficient for hydric species [Brock and Rogers 1998; Goodson et al. 2002;
Stromberg et al. 2005; Capon 2007; Stromberg et al. 2009]. Studying the species composition
of perennial and temporary stream seed banks in the Hassayampa River (Sonoran Desert,
Arizona, USA), Stromberg et al. [2009] found that an ephemeral site nearly 50km from the
closest downstream perennial reach harbored hydric seeds. Stromberg et al. [2009] also found
that some xeric species were endemic to ephemeral but not perennial portions of the
Hassayampa river network. In a study of the spatially intermittent Cienega Creek (Sonoran
Desert, Arizona, USA), Stromberg et al. [2009b] found that during wetter portions of the
year, ephemeral reaches boasted vegetative species richness levels equal to and sometimes
greater than those in perennial reaches. But, a similar Sonoran Desert study found that as
stream flows became more intermittent, diversity and cover of herbaceous species along the
channel declined [Stromberg et al. 2007]. Studying moss and liverwort distributions in
forested headwater stream networks throughout the United States, Fritz et al. [2009] found a
general pattern of greater species bryophyte richness in temporary streams relative to those
that flowed year-round.
As flow regime shifts from perennial to temporary, vegetation composition shifts toward
increasingly drought-tolerant species, vegetative cover declines, trees give way to shrubs, and
canopy height and cover decline [Leenhouts et al. 2006; Stromberg et al. 2007]. Working in
temporary streams in the Sonoran Desert (Arizona, USA), Stromberg et al. [2005] studied the
response of streamside herbaceous vegetation to changes in stream flow permanence. They
found that streamside herbaceous cover and species richness declined continuously across
gradients of flow permanence during the early summer dry season, and that composition
shifted from hydric to mesic species at sites with more intermittent flow [Stromberg et al.
2005].

Biogeochemical Cycling

The biogeochemical functions of temporary streams include cycling of elements and

compounds, particle retention, and organic matter transformation and transport [Levick et al.
2008]. Biogeochemical cycling occurs primarily through chemical transformations mediated
by redox potentials. Reduction and oxidation reactions are governed by the soil profile, wind,
and hydrology [Brinson et al. 1995]. As active zones of cyclical wetting and drying,
temporary stream sediments are marked by alternating anoxic and oxic periods and, in turn,
alternating reducing and oxidizing conditions. The pattern of temporary stream intermittency
(i.e., the timing, duration, and frequency of surface flow) is likely to govern many in-stream
processes, particularly biogeochemical rates.
 Temporary Streams 273

Biogeochemical “hot spots” are areas that show disproportionately high reaction rates
relative to the surrounding matrix. “Hot moments” are short periods of time that show
disproportionately high reaction rates relative to longer intervening time periods [McClain et
al. 2003]. Wetting-drying cycles create hot spots and hot moments [McClain et al. 2003] and
have been shown to increase nitrate loss in soils [Patrick and Wyatt 1964; Reddy and Patrick
1975; Tanner et al. 1999; Eaton 2001; Venterink et al. 2002] via a coupled nitrification-
denitrification process. Aerobic soils present during dry conditions promote nitrification of
ammonia [Qiu and McComb 1996]. Under saturated conditions, soils become anaerobic,
nitrate delivery to sediment microbial communities is increased, and the nitrate substrate is
reduced via denitrification [Holmes et al. 1996]. Baldwin and Mitchell [2000] have observed
this dry–wet / nitrification–denitrification coupling in river floodplains, and Pinay et al.
[2007] observed high denitrification rates in a European floodplain rewetted via rainfall and
flooding following a dry period. Given their cyclic dry–wet nature, temporary stream
sediments are likely to function similarly to episodically inundated floodplains and prove to
be biogeochemical hot spots undergoing hot moments where microbial respiration and
denitrification rates are enhanced. While literature is sparse on how patterns of stream
intermittency govern such rates, increased denitrification rates have been observed during
high moisture conditions in temporary streams [Fisher et al. 2001; Rassam et al. 2006].
Re-wetting of dry soil can kill up to 50% of that soil’s microbial biomass via osmolysis
[Kieft et al. 1987], in turn resulting in release of carbon and nutrients [Marumoto et al. 1982].
Shortly after this initial loss of soil microbial biomass, water, carbon, and nutrient availability
may then stimulate rapid increases in microbial biomass [Kieft et al. 1987] and microbial
processing (e.g., N mineralization, nitrification, denitrification) [Davidson et al. 1990; Fisher
and Whitford 1995].
Temporary streams may also function as zones of carbon storage and processing [Towns
1985; Dieterich and Anderson 1998; Halwas and Church 2002; Acuna et al. 2004]. At the
most distal branches of river networks, headwater temporary streams have a small average
width and, in turn, significant canopy cover and subsequent allochthonous organic matter
loading [sensu Vannote et al. 1980]. Shallow water, low stream power, and a generally high
number of in-channel retentive structures can lead to increased sediment retention in
temporary reaches [Dieterich and Anderson 1998]. Sediment retention can in turn trap
organic matter via burial [Brinson et al. 1995], particularly in channels dominated by fine
sediments [Herbst 1980; Metzler and Smock 1990]. Furthermore, organic matter
decomposition rates within temporary streams are often slow relative to breakdown rates in
perennial streams [Tate and Gurtz 1986; Fritz et al. 2006]. Slow rates of decomposition are
due in part to periods of desiccation [Tate and Gurtz 1986], low microbial growth rates during
dry conditions [Witkamp and van der Drift 1961], negligible or no physical breakdown of
organic matter under low or no flow conditions, and reduced macroinvertebrate shredder
densities [Kirby et al. 1983; but see Hill et al. 1988]. Significant allochthonous loading
coupled with high retention and low decomposition rates result in the buildup of in-stream
organic matter. Dry seasons or drought conditions have resulted in significant organic matter
buildup in temporary streams [Larned 2000; Acuna et al. 2004].
Large standing stocks of benthic organic matter (BOM) may fuel heterotrophic activity
when channels rewet [von Schiller et al. 2008]. Organic material stored in small streams can
be broken down and transformed into forms more bioavailable to biota in perennial
downstream waters [Richardson et al. 2005]. Although coarse particulate organic matter
274 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

(CPOM) may accumulate during dry periods, temporary streams characterized by seasonal
flow may actively flush CPOM standing stocks downstream, especially if flow resumes
rapidly [Gurtz et al. 1988; Hill et al. 1992; Acuna et al. 2004]. In addition to flood-induced
flushing, organic matter may be exported from temporary streams via leaching or wind- or
baseflow-mediated displacement [Brinson et al. 1995].

Connectivity

Despite temporal and/or spatial discontinuities in surface flow, ephemeral and

intermittent streams are intimately linked hydrologically and ecologically to their watersheds
and to perennial waters [Cummins and Wilzbach 2005; Alexander et al. 2007; Nadeau and
Rains 2007]. Larned et al. [2010] define hydrologic connectivity as “the presence or absence
of flowpaths between persistent patches of aquatic habitat” while Freeman et al. [2007]
expand the definition, referring to it as “the water-mediated transport of matter, energy, and
organisms within or between elements of the hydrologic cycle.” Although only connected
episodically via surface flow to perennial waters, temporary streams, like perennial flowing
waters, can move substantial amounts of water, nutrients, sediments, and animal and plant
propagules throughout watersheds and waterways. Connections between temporary and
permanent or other temporary waters can be longitudinal (channel ÅÆ channel), lateral
(channel ÅÆ floodplain), vertical (channel ÅÆ groundwater), and temporal (across time)
[Ward 1989; Freeman et al. 2007] (Figure 6).

Figure 6. Four dimensions of connectivity within lotic ecosystems (after Ward 1989). a) longitudinal
connectivity (channel ÅÆ channel). b) lateral connectivity (channel ÅÆ floodplain). c) vertical
connectivity (channel ÅÆ groundwater). d) temporal connectivity (across time). [Modified from
symbols courtesy of the Integration and Application Network (ian.umces.edu/symbols/), University of
Maryland Center for Environmental Science].

Temporary streams act as carbon delivery pathways critical to the ecological integrity of
river networks. Carbon is an important energy source for aquatic organisms, forming the base
of food webs in lotic networks. Considering their abundance and periodic connectivity to
permanent downstream reaches, Fritz et al. [2006] hypothesize that temporary headwaters are
major downstream contributors of organic matter. Moreover, research has shown that
temporary waters, including streams and floodplains, although only episodically connected to
the larger river network, can be significant sources of organic carbon to rivers. Studying
 Temporary Streams 275

anabranching channels (sections of a river or stream that divert from the main channel or stem
and rejoin the main stem downstream) episodically connected to the Macintyre River
(southeastern Australia), Thoms [2003] and Thoms et al. [2005] found that these temporarily
connected reaches not only make up as much as 87% of the river length, but that they are
significant contributors of dissolved organic carbon (DOC) to the river mainstem. The
amount and timing of organic carbon exported from temporary streams is a function of the
pattern of hydrologic connectivity, streambed hydraulic conductivity, soil organic matter,
benthic organic matter and woody debris, rate and state of organic matter decomposition, and
allochthonous and autochthonous carbon inputs [Lee et al. 2004].
Ephemeral and intermittent streams may also transport nutrients throughout river
networks. Alexander et al. [2007] quantified water and nitrogen transport from headwater
streams to downstream waters. They found that headwaters, including ephemeral and
intermittent tributaries, contributed approximately 70% of the mean annual water volume and
65% of the nitrogen flux to second order streams [Alexander et al. 2007]. Additional research
on the role of temporary streams on downstream nutrient loading, however, is sparse.
Temporary streams may also serve as connectivity corridors for both animal and plant
species. Surface flow in ephemeral and intermittent streams enables movement of obligate
aquatic animals (e.g., fishes, invertebrates lacking a terrestrial and/or flying adult stage) and
hydrochorous plants (those with seeds that disperse via water) into otherwise disconnected
waters. Moreover, the riparian corridors along temporary streams can serve as migratory
pathways for a variety of animal species. Dispersal throughout temporarily flowing portions
of river networks allows for genetic exchange between subpopulations that are isolated for
some portion of the year as well as opportunities for recolonization of periodically
disconnected and/or uninhabitable reaches or pools [Levick et al. 2008]. Dispersal between
temporarily connected waters may also allow for geneticexchange between otherwise isolated
subpopulations, thereby enhancingmetapopulation genetic diversity and persistence. Some
plant species exist along river networks as metapopulations [Menges 1990], with flow-
mediated seed dispersal helping to maintain subpopulation connectivity. Meyer et al. [2007]
warn that the loss of connectivity between small headwaters – including ephemeral and
intermittent reaches – and larger downstream waters will detrimentally impact the
biodiversity not only of the headwaters themselves, but of the entire river network.
Even in the absence of surface hydrologic connectivity, ephemeral and intermittent
streams can contribute water, carbon, and nutrients to perennial streams. Surface water in
temporary streams can be transferred to groundwater reserves or hyporheic flowpaths [Fisher
and Grimm 1985; Belnap et al. 2005; Izbicki 2007]. This subsurface water may reemerge
downstream in perennial waters or springs where it can be an important source of baseflow,
energy, and nutrients [Fisher and Grimm 1985].

ANTHROPOGENIC DISTURBANCES
Because of their small size, large edge-to-width ratio, and intimate linkage to the
catchments they drain, temporary streams are likely to be more sensitive to disturbance than
larger perennial streams [Bull 1997]. Adding to their risk is the fact that temporary streams
are often unmarked on standard topographic maps and have been “historically neglected” by
276 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

ecologists [Larned et al. 2010]. And, perhaps not surprisingly, temporary streams often
receive less regulatory protection than perennial reaches, and less mitigation may be required
for their degradation [Johnson et al. 2009]. In fact, a recent Supreme Court case in the United
States ruled that streams must either be “relatively permanent, standing or flowing” or
significantly impact the biological, chemical, or physical integrity of perennial waters in order
to be protected from dredge and fill under the US Clean Water Act [Rapanos v. United States
2006]. As a result of all these factors, temporary streams represent particularly vulnerable
ecosystems.

Direct Disturbance

Direct anthropogenic disturbance to temporary streams may result from numerous

activities including water abstraction, livestock grazing, land clearing, timber harvesting, flow
diversion, agriculture, road construction, channelization and loss of riparian vegetation /
floodplain connectivity, damming, urbanization, mountaintop mining, and even burial. These
disturbances tend to cause alteration of the natural flow regime, loss of faunal and floral
habitat, impaired water quality, and/or physical channel / floodplain modification [Dodds et
al. 2004]. Many intermittent prairie streams in the Great Plains (central USA) that once
meandered through native grasslands have been anthropogenically straightened to more
efficiently drain extensive cropland or urban areas [Dodds et al. 2004]. The same is likely
also true for once naturally braided channels in the Coastal Plain region of the eastern United
States [Walter and Merritts 2008]. The result of these actions is an altered hydrology from
seasonally intermittent to more ephemeral and an increase in sediment, nutrient, and
contaminant export relative to native prairie streams [Dodds et al. 2004].
Furthermore, increased groundwater abstraction and flow diversion for municipal,
agricultural, and industrial use can lead to excessive stream drying, loss of connectivity
corridors, and elimination of pool refugia for animals [Uys and O’Keeffe 1997; Webb and
Leake 2006]. Groundwater abstraction from the Ogallala High Plains aquifer in the Great
Plains (central USA) has led to a lowering of the water table and resultant intermittency in
streams that until recently were perennial [Dodds et al. 2004]. Impoundments including dams
and farm ponds along temporary stream reaches disrupt connectivity of the lotic system and
migratory and dispersal pathways for both plants and animals [Fausch and Bestgen 1997;
Dodds et al. 2004].
Urbanization and mountaintop mining, in particular, may also lead to ephemeral,
intermittent, and small headwater stream loss – often via direct burial. Elmore and Kaushal
[2008] investigated the impact of urbanization on stream loss and found that 70% of streams
with drainage basins < 260 ha (1 mi2) within Baltimore City, Maryland (USA) were lost due
to burial. Modeling stream length and hydrologic permanence in Hamilton County, Ohio
(USA), Roy et al. [2009] reported 93% and 46% county-wide decreases in ephemeral and
intermittent channel length, respectively, in urban versus forested catchments. Mountaintop
mining may also result in temporary stream burial [Palmer et al. 2010]. In the central
Appalachian ecoregion of the United States, mountaintops are commonly removed to access
buried coal. Excess rock, or mine “spoil,” is pushed into nearby valleys where it buries
existing streams. Particularly vulnerable to these valley fills are small, temporary headwaters.
 Temporary Streams 277

Indirect Disturbance

Climate change is perhaps the most significant indirect anthropogenic disturbance facing
temporary streams. Because temporary stream hydrology is tightly linked to patterns of
temperature and precipitation, these waters are particularly sensitive to climatic changes. Both
the frequency and intensity of drought and, in turn, stream drying are predicted to increase
under current climate change scenarios [Lake et al. 2000; Palmer et al. 2008; Brooks 2009]
(Figure 7). Moreover, climate change models predict more variable temperature and
precipitation patterns that will lead to increased frequency of flow extremes (e.g., flooding
and drying) [Lake et al. 2000], thereby fundamentally altering natural flow regimes in
temporary streams and, in turn, stream structure and function [sensu Poff et al. 1997]. Such
changes will be exacerbated in urban areas where flow variability is already enhanced
compared to forested regions [Nelson et al. 2008]. Schindler [1997, 2001] suggests that global
climate change will cause increased evapotranspiration in much of North America, in turn
resulting in increased temporary stream occurrence, particularly among headwaters. Refined
modeling and forecasting efforts aid in the prediction of climate change impacts on temporary
waters and should help guide proactive management plans. Yet, long-term monitoring will be
necessary to accurately document the impacts on temporary stream hydrology and ecology
[Conly and van der Kamp 2001].

Figure 7. Headwater stream reach near the Speed River in southern Ontario, Canada. A) Stream with
surface water present under average autumn climatic conditions (2008). B) Stream lacking surface
water during an excessively dry autumn (2007). [Photos: C. Febria]

Human-induced intermittency, both direct and indirect, will have clear and significant
impacts on the ecology of stream networks [Brooks 2009]. Increased intermittency and
fragmentation of temporary waters can lead to fishery declines, loss of migratory pathways
and ecosystem connectivity, disrupted downstream flow regimes, loss of biogeochemical
processing capacities, and degradation of the ecological integrity of stream networks as a
whole [Larned et al. 2010]. Lack of connectivity between once linked reaches or pools can
lead to population bottlenecks within species unable to encounter and reproduce with
conspecifics [Labbe and Fausch 2000]. Maintaining connectivity within temporary stream
networks is critical for the conservation of populations and biodiversity [Labbe and Fausch
2000]. Direct anthropogenic induced intermittency resulting in rapid transitions from
permanent flow regimes to temporary surface flow patterns is common and becoming more
frequent [Fu et al. 2004; Bernard and Moetapele 2005; Qi and Luo 2005; Hao et al. 2008].
278 Owen T. McDonough, Jacob D. Hosen and Margaret A. Palmer

Indirect human-induced intermittency resulting from climate change will occur gradually and
in line with broad drying patterns [Larned et al. 2010].

CONCLUSION
Temporary streams have a unique hydrologic flow regime that places them at an interface
between land and water. Although often poorly mapped, recognized, and protected, they are
abundant, ubiquitous, and critical to the ecological health of lotic networks. Collectively,
temporary streams provide invaluable animal and plant habitat, hot spots for biogeochemical
processing, and corridors of hydrologic and ecologic connectivity throughout river systems.
Yet, they are faced with a multitude of direct and indirect anthropogenic disturbances to their
hydrology, ecology, and even existence.
Temporary streams have been historically neglected [Larned et al. 2010] – not only with
respect to scientific study – but more critically as ecosystems vital to the physical, chemical,
and biological integrity of entire river networks. The functions of temporary streams must be
recognized and valued in order to map, manage, and protect them properly [Levick et al.
2008]. Yet management and protection of ephemeral and intermittent streams - and arguably
all small streams – is hindered by the lack of viable assessment methods and reasonable
ecological expectations [Fritz et al. 2008]. There exists, therefore, a need for methods to
scientifically study the structure and function of temporary streams. Considering their
abundance, studies of the cumulative impacts of temporary streams and their loss on the
chemical, physical, and biological integrity of lotic networks are also needed.

ACKNOWLEDGMENTS
Support for this work came in part from the United States Department of Agriculture
Natural Resources Conservation Service Conservation Effects Assessment Project (CEAP)
Wetlands component and from the University of Maryland College Park Behavior, Ecology,
Evolution, & Systematics (BEES) Graduate Program. We thank B. Laub, C. Febria, and M.
Bezerra for their helpful comments and reviews.

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In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 8

EVALUATION OF NON-POINT SULFATE

CONTAMINATION IN RIVER BASINS

Akira Haraguchi*
The University of Kitakyushu, Hibikino 1-1, Wakamatsu, Kitakyushu 808-0135, Japan

ABSTRACT
Sulfuric acid is discharged from acid sulfate soils or mining sites in the watershed of
rivers, and this sulfuric acid affects aquatic communities. In basins with coal mining sites,
sulfate migrates into river systems via mine drainage as well as via ground water flow.
In order to evaluate the non-point contamination of sulfate via ground water into
river ecosystems, we analyzed the chemical properties of river water from the upper-most
basins to the river mouth at 1-2 km intervals.
We surveyed two rivers in the northern part of Kyushu Island, Japan. The Ongagawa
River basin has many abandoned coal mining sites and the SO42- /Cl- concentration ratio
(w/w) reached up to 7.0 in the middle basin, whereas the ratio in the Chikugogawa River
with few coal mining sites in the basin was constantly 1.0-2.0 in the middle basin, in
contrast to the extremely high value (20.0) at the upper-most basin of the river because of
the effect of sulfur emissions from active volcanoes. Thus, we found that the SO42- /Cl-
concentration ratio of river water with abandoned coal mining sites in its basin was much
higher than was the case with a river without coal mining sites in the basin. The SO42- /Cl-
concentration ratio reached a higher value in the basin of a tropical peat swamp forest
with acid sulfate soils in central Kalimantan, Indonesia, and the ratio can be used as a
useful index for the qualitative evaluation of the non-point contamination of sulfates in
river systems.

Keywords: acid sulfate soil, Chikugogawa River, coal mining, non-point pollution,
Ongagawa River, river basin.

*
E-mail: [email protected]
292 Akira Haraguchi

INTRODUCTION
Pyrite is distributed widely in the sediments and bedrocks around the world. One of the
serious environmental problems caused by pyrite oxidation is the formation of acid mine
drainage (AMD) from mine site spoils. Mining operations produce large amounts of waste
tailings, which are usually deposited in open-air impoundments. Waste tailings containing
metal sulfates such as pyrite lead to the production of acid rock drainage, which contaminates
the environment with heavy metals and sulfuric acid. Many reports describe the effects of
sulfuric acid from mine wastes on vegetation and ecosystems (e.g., Meyer et al. 1999,
Bachmann et al. 2001, and Werner et al. 2001). Acid mine drainage containing a high
concentration of sulfuric acid causes aquifer pollution with a high groundwater sulfate
concentration, a low pH and enhanced heavy metal contents, e.g., Ni, Co, Cu, Pb, As or Zn
(Andersen et al. 2001).
In former open-cut brown coal mining areas dating from the early 20th century, for
example in The Lower Lusatian lignite mining district in Germany, there still remain many
open mining casting lakes with high concentrations of sulfuric acid and extremely high
acidity (pH = 1.5 - 2.5). Sulfuric acid derives from the mine spoils surrounding the lakes, and
the continuous supply of sulfuric acid into the lake accelerates the acidification of the lake
water. Furthermore, at this point most of the areas have not been reclaimed. An advanced
method of open-cut mining of brown coal using a conveyer bridge dump can prevent the
pyrite oxidation by maintaining the stratigraphy of the Tertiary strata to the greatest degree
possible (Wisotzky and Obermann 2001). However, the rehabilitation of vegetation after open
mining in such areas is difficult because of the contamination by pyrite of the topsoil.
Pyrite is deposited primarily in marine systems, and hence environmental problems
caused by pyrite oxidation after agricultural peatland development usually appear in coastal
peat swamps. Hall et al. (2006) investigated the distribution of sulfidic sediments in inland
wetlands within a river basin and evaluated the risk of sulfuric acid as well as heavy metal
contamination in that river basin after water table drawdown in the wetlands. They
demonstrated that sulfidic sediments appear in some mires and exposure of sediments to the
atmosphere can lead to the oxidation of pyritic minerals and the production of acid.
Accumulated sulfuric acid after pyrite oxidation causes acidification not only of the soil
but also of the surrounding environments. Discharged sulfuric acid from the soil causes the
acidification of river water and subsequent effects on the littoral zone. He et al. (1997)
showed that acid mine drainage strongly affects acidity and heavy metals in river water in a
basin with mining sites. Johnson and Thornton (1987) showed that Cu, Zn and As
concentrations of river water that is affected by acid mine drainage increased in the high-
precipitation season (winter), implying that these contaminants discharged into the river via
surface drainage. Olías et al. (2004) demonstrated that sulfate ion as well as heavy metals
concentrations of river water exhibited maximum values at the first rainfall event after dry
season. The first rainfall after dry season provoked redissolution of sulfate salts that had
precipitated during the dry season due to the intense weathering of the pyrite.
There are many abandoned coal mining sites in the northern part of Kyushu Island, Japan,
and the contamination of acids and heavy metals has been evident in some parts of the river
basin. Mine drainage water discharges from the open wellhead as well as through ground
water flow, and the effect of discharged water via ground water flow is not easily evaluated.
 Evaluation of Non-Point Sulfate Contamination in River Basins 293

In order to estimate the effects of mine drainage discharged via the ground water system on a
river basin, we monitored the river water chemistry in a basin with high spatial resolution. We
monitored the river water of the Ongagawa River, which has several former coal mining sites
within its basin, at ca. 1-2 km intervals, and as a comparative reference we monitored the
river water of the Chikugogawa River, which has few coal mining sites within its basin. Then
we evaluated the effects of coal mine drainage from the abandoned coal mining sites on the
freshwater systems, including effects via ground water with reference to sulfate
contamination.
The method used in this analysis has been used for the evaluation of sulfuric acid
contamination in the tropical peat swamp forest area in Central Kalimantan, Indonesia
(Haraguchi 2007; Haraguchi et al. 2007) after a land use change to agricultural purposes and
the consequent peat decomposition. It is evident that the pH of the bottom layer of the coastal
peat in the tropical peat swamp forest maintained a lower pH value compared to that for the
peat cores in the upper basin of the river (Haraguchi et al. 2000; Haraguchi et al. 2005).
Sulfuric acid produced from pyrite oxidation was able to lower the pH of the bottom layer of
the peat to a value lower than that of the bottom peat layer in the upper basin of the river
(Haraguchi et al. 2005). The concentration of SO42- in the peat pore water at the bottom layer
of peat in the coastal peat is much higher than that for the peat in the upper basin (Haraguchi
et al. 2005). This implies that the bottom layer of the coastal peatlands is strongly affected by
the sulfuric acid originating from pyrite oxidation within the mineral sediment under the peat
layer. Effects of sulfuric acid discharge from non-point sources on the freshwater system have
been evaluated in this tropical peat swamp forest that is strongly affected by sulfuric acid
contamination after pyrite oxidation by measuring river water chemistry at 1-3 km intervals
within the basin. Using the same method used in the tropical peat swamp forest, we
investigated the effects of non-point sulfate sources from abandoned coal mining sites on
river ecosystems in northern Kyushu.

METHODS
Study Sites

The Ongagawa River (origin of the main stream: 33° 28' 28" N, 130° 48' 30" E, 978m
a.s.l.; river mouth: 33° 54' 00" N, 130° 39' 42" E) is located in the northern part of Kyushu
Island, Japan (Figure 1). The total length of the main stream of the Ongagawa River is 61 km,
and the total area of the basin including all tributaries is 1,026 km2. The largest tributary is the
Hikosangawa River (origin: 33° 28' 03" N, 130° 55' 03" E, 742m a.s.l.) and it connects to the
main stream of the Ongagawa River at a point 19 km upstream from the mouth of the river.
The Ongagawa River and the Hikosangawa River originate from a mountainous area with a
forested basin, and run through an agricultural land system mainly used as paddy fields, and
then flow within the urbanized area in the lower basin. The averaged annual precipitation of
Kama in the upper most basin of the river (33˚ 28' 32.65" N, 130˚ 48' 39.67" E, 502 m a.s.l.)
is 2,355.8 mm (data from the Japan Meteorological Agency between 1971 and 2000). About
36 % of the annual precipitation was within June and July.
294 Akira Haraguchi

Figure 1. Map showing the area studied in northern Kyushu, Japan, and the investigated rivers:
Ongagawa River and Chikugogawa River.

The Chikugogawa River (origin of the main stream: 33° 05' 10" N, 131° 11' 57" E,
1140m a.s.l.; river mouth: 33° 05' 06" N, 130° 24' 37" E) is located in the north-western part
of Kyushu Island (Figure 1). The total length of the main stream is 143 km, and the river
basin area is 2860 km2. The largest tributary is the Kusugawa River (origin: 33° 05' 55" N,
131° 15' 49" E, 1256m a.s.l.) and it connects to the main stream of the Chikugogawa River at
a point 77.5 km from the river mouth. The origin of the Chikugogawa River is within the
Aso-Kuju volcanic mountain area, and the land use of the middle basin of the river is
predominantly paddy fields and orchards. The river then flows through an urbanized area in
the lower basin of the river. Areas downstream from the floodgate of the river (Chikugo-
oozeki located 24.5 km from the river mouth) are affected by sea water inundation. Averaged
annual precipitation in Bougatsuru, the uppermost basin of the Kush River (33˚ 05' 36.34" N,
131˚ 15' 50.34" E; 1240 m a.s.l.), is 2724.6 mm (data from the Japan Meteorological Agency
between 1971 and 2000). About 36 % of the annual precipitation occurs within June and July.

Analytical Methodology

In the present study, we investigated the spatial variation in concentrations in river water
of the Ongagawa River and the Chikugogawa River, in order to clarify the spatial distribution
of sulfate contamination along the entire river basin.
In the Ongagawa River, surface river water was sampled at 83 points (including a
tributary, the Hikosangawa River) at 1 - 2 km intervals every month from May 2002 to May
2006. In the present analysis, we used the data from April 2005 to March 2006 ranging from
the river mouth to the uppermost basin of the Ongagawa River (50 sampling points), which
was obtained from the data base of Ongagawa River water chemistry.
In the Chikugogawa River, we investigated surface river water chemistry at 157 sampling
points ranging from the river mouth up to 139km upstream (origin of a tributary, the Kusu
 Evaluation of Non-Point Sulfate Contamination in River Basins 295

River). Water samples were collected at ca. 1 km intervals from the Chikugogawa River three
times on 22 August, 13 November and 17 December 2008.
We collected 100 mL of surface water at each sampling point using a ladle from the
riverside or with a water sampler from bridges. Samples were transported to the laboratory
within one day and kept at 5 ˚C. The electrical conductivity (EC) and pH values were
measured within 24 hours after sampling and before filtration. Within 24 hours after
sampling, approximately a 10 mL sample was filtered with a cellulose acetate membrane
filter (MILLIPORE, 0.22 μm) and kept at 5 ˚C before measurement of major ion
concentrations. We measured major cations (NH4+, Na+, K+, Mg2+, Ca2+) and anions (NO2-,
NO3-, Cl-, SO42-, PO43-) with an ion chromatograph (DX-120, Dionex). Among measured
parameters, we used Cl- and SO42- for the present analysis of sulfate contamination in the
river basin.

Existing Data for the Rivers in a Tropical Peat Swamp Forest

Data for the rivers in a tropical peat swamp forest in Central Kalimantan, Indonesia, were
used as a reference point for the rivers in northern Kyushu (Haraguchi 2007; Haraguchi et al.
2007). Water chemistry of two rivers in a tropical peat swamp forest, the Sebangau River and
the Kahayan River, was surveyed in September 2003, 2004 (dry season) and March 2004,
2005 (rainy season). The Sebangau River originates in a peat swamp forest to the west of
Palangkaraya City. Whole catchments of the Sebangau River are covered by peatlands, and
hence the river water contains high concentrations of humic substances (dark brown color)
and background pH is 3.5-4.0. Six main tributaries flow into the main stream of the Sebangau
River. Six main canals have been connected to the Sebangau River from the eastern part of
the main stream. Water samples were collected from the river mouth to Kya (uppermost part
of the river at 177 km from the river mouth), including points in the Paduran canal (artificial)
and four natural tributaries (the Paduran, Bangah, Rasau, and Bakung Rivers).
The Kahayan River originates at Kahukung Mountain and flows east of Palangkaraya
City (224 km from the river mouth). Most of the peat land is distributed downstream of the
Kahayan River from Palangkaraya City, and hence concentrations of humic substances in the
river water are much lower than those found in the Sebangau River, and pH of the water
around Palangkaraya City is 5.5-7.0, higher than in the Sebangau River. Five main canals
from the western part and also five canals from the eastern part have been connected to the
main stream of the Kahayan River downstream from Palangkaraya. The Rungan River
merges 235 km upstream from the river mouth. Data for the Kahayan River and the Rungan
River were obtained up to 326 km and 333 km from the river mouth, respectively, but this
paper presents only the data for the Kahayan River from the river mouth to326 km from the
river mouth including four artificial canals (Pangkoh, Kanamit, Basarang, and Pulangpisau).
Data from the river mouth to the 45.1 km point as well as that for Kanamit Canal are missing
for September 2003.
Water samples were collected at the center of each river at intervals of every 1.0-3.0 km
along the rivers. Each water sample was directly collected from a boat by using a ca. 1,000 ml
plastic tub at each sampling point. Water temperature, pH and EC (electrical conductivity) of
the collected water were measured just after the water sampling by using a portable pH meter
(D-25, Horiba Co. Ltd., Kyoto, Japan) and EC meter (ES-12, Horiba Co. Ltd., Kyoto, Japan).
296 Akira Haraguchi

Water samples were filtered within 12 hours after sampling using a 0.45 μm cellulose acetate
membrane filter (Advantec Co. Ltd., Tokyo, Japan) and stored in 2.0 ml plastic tubes at room
temperature before chemical analysis. Major cations (NH4+, Na+, K+, Mg2+, Ca2+) and anions
(NO2-, NO3-, Cl-, SO42-, PO43-) were determined using an ion chromatograph (Dionex Model
DX-120, Japan Dionex Co. Ltd., Tokyo, Japan). Among measured parameters, we used Cl-
and SO42- for the analysis of sulfate contamination in the river water.

RESULTS AND DISCUSSION

The ratio of SO42-/Cl- of the river surface water of the Ongagawa River registered
constantly in the range 1.0-1.5 in the upper most basin (40-58 km from the river mouth), and
increased to 6.0-7.0 downstream from the point 40 km from the river mouth (Figure 2.a). The
ratio fluctuated, showing three local maximum values at 32-33 km, 19-23 km and 2-6 km
from the river mouth. The ratio at the river mouth, although determined two times, showed
the lowest value comparable to the ratio of seawater. Seasonal differences were observed,
however, spatial distribution of the ratios revealed an almost uniform distribution irrespective
of the investigated season.
The ratio of SO42-/Cl- in the river surface water of the Chikugogawa River exhibited an
extremely high value in the uppermost basin, whereas the ratio constantly registered in the
range 1.0-2.0 in the area downstream from the point 125 km from the river mouth (Figure
2.b). The values for the estuary of the Chikugogawa River (downstream from the point 20 km
from the river mouth) remained lower in comparison to the ratio of the seawater. The lower
values for SO42-/Cl- in the estuary revealed seawater inundation at least 20 km from the river
mouth, nearly to the floodgate at the 24.5 km point. Although investigation of the
Chikugogawa River has been done only three times, the spatial distribution of the SO42-/Cl-
ratio revealed rather uniform results irrespective of seasonal difference.

Figure 2. Sulfate ion/chloride ion (w/w) ratios of the river water in northern Kyushu, Japan: (a) the
Ongagawa River from April 2005 to March 2006 (12 times) and (b) the Chikugogawa River on 22
August, 13 November, and 17 December 2008 (3 times).
 Evaluation of Non-Point Sulfate Contamination in River Basins 297

The Ongagawa River basin has many abandoned coal mining sites, and the SO42-/Cl- ratio
(w/w) reached as high as 7.0 in the middle basin, whereas the ratios in the Chikugogawa
River, which has few coal mining sites in its basin, were constantly in the range 1.0-2.0 in the
middle basin, except for the extremely high value (20.0) at the uppermost basin of the river.
The upper basin of the Chikugogawa River is in a volcanic region, and consequently the
effects of sulfur emission from the active volcanoes as well as the effects of high
concentrations of sulfate in spring waters affect the river water, resulting in the higher ratio of
SO42-/Cl-. Thus we found that the SO42-/Cl- ratio of the river water adjacent to abandoned coal
mining sites was much higher than was the case with a river without coal mining sites in the
basin. Pyrite contamination is found in the sediments abandoned after coal mining, and pyrite
is thus distributed widely in former coal mining sites. Oxidation of pyrite in such coal mining
sites produces sulfuric acid, which is dissolved in the water discharged from the coal mining
sites (mine drainage). The SO42-/Cl- ratios for the Ongagawa River water showed rather broad
peaks throughout the middle basin of the river, implying the sulfate contamination in the river
water is due to non-point sources, probably via the ground water flow system. Compared to
the sulfate contamination from the coal mining sites, sulfate discharges from the volcanic area
are rather due to a point source. Some part of sulfate would migrate to the river water via
ground water flow, because the SO42-/Cl- ratios in the Chikugogawa River registered higher
values from the origin to the point 15 km downstream from the origin. However, the SO42-/Cl-
ratio at the origin of the Chikugogawa River was extremely high, and thus most of the sulfate
migrates to the water directly from the volcanic sites via surface water flow or from spring
water. Sulfuric acid produced by pyrite oxidation affects not only the soil itself but also river
and lake water systems after discharge from acid sulfate soil (Monterroso and Macías 1998,
Blunden et al. 2001). It has been reported that pyrite-containing rocks such as volcanic rocks
affect the sulfate ion concentration in stream water discharged from these pyrite-containing
rocks (Igarashi et al. 2003). In the tropical peat swamp forest area, peat has decomposed
because of a change in land use to agriculture, and the peat layer thickness decreased after
this shift. Pyrite included in the sediment under the peat layer is oxidized by the diffused
oxygen from the atmosphere via a thin peat layer, and sulfuric acid is thus discharged from
the peat land. Water discharged from canals into the main stream of the Sebangau River and
the Kahayan River revealed lower pH results, compared to the values found for the
mainstream water of the rivers (Haraguchi 2007), implying that sulfuric acid migrates from
the canals to the main stream of the rivers as a point source. In the dry season, the SO42-/Cl-
ratios in the Sebangau River showed a maximum at the 100 km point (Figure 3.a). The ratios
decreased from the 100 km point to the 45 km point and then fluctuated around 0.18, the
same value found in the sea water, from the 45 km point to the river mouth. Increases in the
SO42-/Cl- ratio values downstream from the 135 km point implied that the effect of pyrite on
the river water chemistry appeared downstream from the point 135 km from the river mouth.
In the rainy season, the ratios showed the same tendencies as in the dry season, however, the
ratios were much higher than during the dry season (Figure 3.b). The SO42-/Cl- ratios started
to increase from the point ca. 110 km from the river mouth. The maximum values were found
45 km from the river mouth and 55 km downstream, in comparison to the results uncovered
in the dry season. The effect of seawater appeared only in the lower basin in the rainy season
because of the high water level of the river, and in addition the SO42-/Cl- ratios were
extremely high in the rainy season, compared to those found in the dry season. The SO42-/Cl-
ratios in the Kahayan River in the dry season reached a maximum at a point ca. 275 km from
298 Akira Haraguchi

the river mouth (Figure 3.c). The ratios decreased from the 275 km point to about the 150 km
point. The ratio increased a little downstream at that point, and then the same value as in
seawater was found from the 50 km point to the river mouth. Increases in SO42-/Cl- ratios
downstream from the 150 km point implied that the effect of pyrite on the river water
chemistry appeared downstream from the point 150 km from the river mouth, although the
ratios were higher even in the upper stream of the river up to 330 km from the river mouth. In
the rainy season, the ratios exhibited extremely high values in the lower basin of the river
(Figure 3.d). The SO42-/Cl- ratios started to increase from ca. 110 km from the river mouth,
and the maximum appeared at 50 km from the river mouth, much as it did in the Sebangau
River. The SO42-/Cl- ratios were slightly higher between the points 240 and 330 km from the
river mouth of the Kahayan River in the rainy season, and also relatively higher results were
observed in this part of the river during the dry season. Population in this area of the basin is
higher than in other areas, and thus these results may occur because of sulfate discharge from
the urbanized area. Intensive land use changes from peat swamp forest to urbanization in the
area could also be accelerating pyrite oxidation in the basin.

Figure 3. Sulfate ion/chloride ion (w/w) ratios of the river water in Central Kalimantan, Indonesia: (a)
the Sebangau River in the dry season in September 2004 and 2005 (2 times), (b) the Sebangau River in
the rainy season in March 2004 and 2005 (2 times), (c) the Kahayan River in the dry season in
September 2004 and 2005 (2 times) and (d) the Kahayan River in the rainy season in March 2004 and
2005 (2 times).
 Evaluation of Non-Point Sulfate Contamination in River Basins 299

The SO42-/Cl- ratio can be used as a parameter for estimating the contribution of pyritic
sulfate to river water chemistry, and this parameter demonstrated that sulfuric acid loading
from pyrite oxidation had appeared from the river mouth up to a point 135-150 km upstream
in both the rivers in the tropical peat swamp forest. Water of the mainstream of the rivers as
well as water discharged from artificial canals into the mainstream in the rainy season showed
much higher acidity and a higher SO42-/Cl- ratio than they did in the dry season. This implies
that the discharge of pyritic sulfate from peat swamp forests into the freshwater system is
much higher in the rainy (high water table) season than the dry (low water table) season.
Water in the canals in the rainy season was found to be highly acidic (pH = 2.0-3.0).
Sulfuric acid pollution in open mining casting lakes after brown coal mining is a serious
environmental problem in some areas of Europe. Surface mining of brown coal may have
severe impacts on the quality of surface and underground waters due to the possible formation
of acid mine drainage. Pyrite oxidation and secondary reactions may result in a solution pH <
2 and large concentrations of SO42-, Fe and Al in the leaching water. At sites with low proton
buffer capacity, there is a concern that the toxicity of Al and heavy metals may restrict
reforestation efforts (Schippers et al. 2000). When carbonate is distributed in the basin, H+
formed by pyrite oxidation is rapidly buffered by CaCO3. However, pyrite oxidation
accompanied by carbonate weathering forms gypsum and this affects the hydrological
properties of the aquifer (Ritsema and Groenenberg 1993).
Contamination by sulfate of a river system is observed in many ecosystems, including
peatlands, mangroves and mining sites. Parts of the discharged water contaminated with
sulfate flow into river system via ditches as point sources and in such cases the discharging
process is easy to determine. However, sulfate migration via ground water system is
complicated and it is not easy to evaluate its effects on river systems. The ratio of SO42-/Cl-
yielded higher values in the basin of the tropical peat swamp forest with acid sulfate soils, as
well as in the abandoned coal mining sites. Consequently, the ratio is commonly used as an
index for the qualitative evaluation of non-point contamination of sulfate in river systems.
Quantitative analyses of sulfate contamination of river systems, as well as impacts of sulfate
contamination on the freshwater community, are the next steps in our research.

ACKNOWLEDGMENTS
This research was supported by the Greenery Fund and the River Fund in charge of the
Foundation of River and Watershed Environmental Management (FOREM), JSPS Grant-in-
Aid for Scientific Research (A) (18208019 to MT), and the Research Fund by the Seven-
Eleven Midorino Kikin.

REFERENCES
Andersen, M. S., Larsen, F. and Postma, D. (2001) Pyrite oxidation in unsaturated aquifer
sediments, reaction stoichiometry and rate of oxidation. Environtal Science and
Technology 35:4074-4079.
300 Akira Haraguchi

Bachmann, T. M. , Friese, K. and Zachmann, D. W. (2001) Redox and pH conditions in the

water column and in the sediments of an acidic mining lake. Journal of Geochemical
Exploration 73:75-86.
Blunden, B., Indraratna, B. and ASCE Member (2001) Pyrite oxidation model for assessing
grownd-water management strategies in acid sulfate soils. Journal of Geotechnical and
Geoenvironmental Engineering 127:146-157.
Hall, K. C., Baldwin, D. S., Rees, G. N. and Richardson, A. J. (2006) Distribution of inland
wetlands with sulfidic sediments in the Murray-Darling Basin, Australia. Science of the
Total Environment, 370: 235-244.
Haraguchi, A., Shimada, S. and Takahashi, H. (2000) Distribution of Peat and its Chemical
Properties around Lahei in the Catchment of the Mangkutup River, Central Kalimantan.
TROPICS 10:265-272.
Haraguchi, A. (2007) Effect of sulfuric acid discharge on the river water chemistry in peat
swamp forests in Central Kalimantan, Indonesia. Limnology 8: 175-182.
Haraguchi, A., Akioka, M. and Shimada, S. (2005) Does pyrite oxidation contribute to the
acidification of tropical peat? ― a case study in a peat swamp forest in Central
Kalimantan, Indonesia. Nutrient Cycling in Agroecosystems, 71:101-108.
Haraguchi, A., Limin, S. H. and Darung, U. (2007) Water chemistry of Sebangau River and
Kahayan River in Central Kalimantan, Indonesia. TROPICS 16:123-130.
He, M., Wang, Z. and Tang, H. (1997) Spatial and temporal patterns of acidity and heavy
metals in predicting the potential for ecological impact on the Le An river polluted by
acid mine drainage. Science of the Total Environment, 206: 67-77.
Igarashi, T., Hataya, R. and Oyama, T. (2003) Estimation of pyrite oxidation rate by sulfate
ion discharged from a catchment. Journal of Geochemical Exploration 77:151-165.
Johnson, C. A. and Thornton, I. (1987) Hydrological and chemical factors controlling the
concentrations of Fe, Cu, Zn and As in a river system contaminated by acid mine
drainage. Water Research, 21: 359-365.
Meyer, G., Waschkies, C. and Hüttl, R. F. (1999) Investigations on pyrite oxidation in mine
spoils of the Lusatian lignite mining district. Plant and Soil 213:137-147.
Monterroso, C. and Macías, F. (1998) Drainage waters affected by pyrite oxidation in a coal
mine in Galicia (NW Spain): composition and mineral stability. Science of the Total
Environment 216:121-132.
Olías, M., Nieto, J. M., Samiento, A. M., Cerón, J. C. and Cánovas, C. R. (2004) Seasonal
water quality variations in a river affected by acid mine drainage: the Odiel River (South
West Spain). Science of the Total Environment, 333: 267-281.
Ritsema, C. J. and Groenenberg, J. E. (1993) Pyrite oxidation, carbonate weathering, and
gypsum formation in a drained potential acid sulfate soil. Soil Science Society of America
Journal 57:968-976.
Schippers, A., Jozsa, P.-G., Sand, W., Kovacs, Z. M. and Jelea, M. (2000) Microbiological
pyrite oxidation in a mine tailings heap and its relevance to the death of vegetation.
Geomicrobiology J. 17:151-162.
Werner, F., Bilek, F. and Luckner, L. (2001) Impact of regional groundwater flow on the
water quality of an old post-mining lake. Ecological Engineering 17:133-142.
Wisotzky, F. and Obermann, P. (2001) Acid mine groundwater in lignite overburden dumps
and its prevention - the Rhineland lignite mining area (Germany). Ecological
Engineering 17:115-123.
In: River Ecosystems: Dynamics, Management and Conservation ISBN: 978-1-61209-145-7
Editors: Hannah S. Elliot and Lucas E. Martin © 2011 Nova Science Publishers, Inc.

Chapter 9

RELATION BETWEEN RIVER MANAGEMENT AND

ECONOMIC GROWTH IN URBAN REGIONS

Tadanobu Nakayama1,2,*, Ying Sun1 and Yong Geng3

1
National Institute for Environmental Studies (NIES), 16-2 Onogawa, Tsukuba,
Ibaraki 305-8506, Japan
2
Centre for Ecology and Hydrology (CEH), Crowmarsh Gifford, Wallingford,
Oxfordshire, OX10 8BB, United Kingdom
3
Chinese Academy of Science, Shenyang 110016, China

ABSTRACT
Water stress in northern China has intensified water use conflicts between upstream
and downstream areas and also between agriculture and municipal/industrial sectors year
by year. In this study, the NIES Integrated Catchment-based Eco-hydrology (NICE)
model (Nakayama, 2008a, 2008b, 2010a, 2010b; Nakayama and Fujita, 2010; Nakayama
and Watanabe, 2004, 2006, 2008a, 2008b; Nakayama et al., 2006, 2007, 2010) was
applied to the Biliu River catchment, northern China, to estimate the carrying capacity of
the water resource there. The model reasonably backcasted the degradation of water
resources such as river discharge and groundwater after the completion of the reservoir in
the middle reach of the river. The normalized difference vegetation index (NDVI)
calculated from NOAA/AVHRR satellite image clearly showed vegetation degradation
downstream of the reservoir. Furthermore, statistical analysis of a decoupling indicator
(OECD, 2001) based on the water carrying capacity simulated by NICE and on the
satellite data of vegetation index indicated that water-related stress in Dalian city, where
the economy has grown rapidly after the completement of the reservoir, has increased in
accordance with the environmental degradation below the reservoir. These results
indicate a close relationship between water resource and economic growth, which has
greatly affected ecosystem degradation and its serious burden on the environment in the
catchment. The simulated results also highlight the linkage between urban development
in Dalian and sustainable water resource management, and this assessment of the
interactions between the sites of water source and demand would support decision-
making on sustainable development in the catchment.

*
Tel.: +81-29-850-2564; Fax: +81-29-850-2584; E-mail address: [email protected]
302 Tadanobu Nakayama, Ying Sun and Yong Geng

1. INTRODUCTION
Water stress in northern China has intensified water use conflicts between upstream and
downstream areas and between agriculture and the municipal/industrial sectors (Nakayama et
al., 2006; Nakayama, 2010b). Some researchers stated that China’s environmental pressure
already exceeds its carrying capacity of this densely populated land (Niu and Harris, 1996;
Varis and Vakkilainen, 2001).
Over 20 000 smaller catchments in China play an important role in supporting the local
development and maintaining local ecosystem functions (Geng et al., 2010), but few studies
have looked at changes in water and heat dynamics, mainly on account of the lack of data for
quantifying complex phenomena related to human activities.
The Biliu River catchment (2814 km2) is located in the southern part of Liaoning
province, a heavy industrial base in northeast China (Figure 1). The Biliu has a total length of
156 km, and is the primary water source for Dalian city, which has a population of over six
million people and thousands of industries. Dalian has a maritime climate and inherently little
fresh water supply. Its fast economic growth has been supported by increased consumption of
water from further field (Figure 2). Though Dalian entered a high-growth period and GDP
increased more than tenfold during 1992–2007 thanks to overseas funding (Dalian Planning
Committee, 2001), water consumption increased much more slowly and the conflict between
water supply and demand has tended to worsen in recent years (Zhang and Xiong, 2006). The
shortage of urban water greatly influences the development of the city and the lives of its
residents, and has become the main obstruction to sustainable development of economy and
society (Han et al., 2008).

Figures 1. Location of study area and elevation in the Biliu River catchment and Dalian city. Bold black
line is the border of catchment.
 Relation between River Management and Economic Growth in Urban Regions 303

Since the completion of the Biliu Reservoir in 1984, most of the water has been piped to
Dalian, and the catchment has changed from water-rich to water-poor (Figure 2c), as
evidenced by drying out of the downstream river, groundwater fall, and seawater intrusion, all
seen in other regions of northern China also (Qian and Zhu, 2001; Ren et al., 2002;
Nakayama et al., 2006; Nakayama, 2010b). In recent years, Dalian government made a local
circular economy implementation plan in Dalian city in 2006, which aimed to cut water
consumption about 20% per million GDP (RMB) in 11th five-year plan for Dalian city’s
economic and social development (Dalian City Government, 2006). How to meet the water
demands of its swelling city and industry without undermining both its own agriculture and
the local ecosystem is the biggest challenge for the Dalian government.
The objective of this research was to evaluate the linkage between urban development in
Dalian and sustainable water resource management in the Biliu River catchment. First, we
applied the process-based NIES Integrated Catchment-based Eco-hydrology (NICE) model to
the Biliu River catchment to estimate the changes in water resources since the completion of
the Biliu Reservoir. Secondly, we used NOAA/AVHRR satellite image analysis to evaluate
the simulated result relative to the environmental degradation in the lower region of source
area. Thirdly, we statistically analyzed a decoupling indicator based on the estimated water
carrying capacity to evaluate water-related stress against economic development in Dalian.
This assessment of the interactions between the sites of water source and demand will support
decision-making on sustainable development in the catchment.

Figure 2. Annual time-series of GDP and water consumption at Dalian city after the completement of
Biliu Reservoir (Dalian Water Resource Bureau, 2007a); (a) GDP and water consumption in the entire
Dalian city, (b) GDP and water consumption in the urban area of the city, and (c) water intake from
Biliu Reservoir, respectively. GDP and water consumption were plotted as the values based on those in
1985 (value at 1985 = 100) in Figures 2 (a)-(b). Rainfall anomalies at the reservoir are also plotted in
the right y-axis in Figure 2 (c).
304 Tadanobu Nakayama, Ying Sun and Yong Geng

2. METHOD
2.1. NICE Model

Our group has developed the NICE (NIES Integrated Catchment-based Eco-hydrology
model) series of process-base catchment models applicable to natural, agricultural, and urban
regions in the catchment (Nakayama, 2008a, 2008b, 2010a, 2010b; Nakayama and Fujita,
2010; Nakayama and Watanabe, 2004, 2006, 2008a, 2008b; Nakayama et al., 2006, 2007,
2010). The NICE models connect surface-unsaturated–saturated water processes and land-
surface processes describing variations in phenology based on MODIS (Moderate Resolution
Imaging Spectroradiometer) satellite data (Figure 3). The submodels consider water and heat
fluxes from the ground to the surface; for example, the gradient of hydraulic potentials
between the deepest layer of unsaturated flow and the groundwater level; the effective
precipitation calculated from actual precipitation, infiltration into the upper soil moisture
store, and evapotranspiration; and the seepage between river water and groundwater. Details
are available in Nakayama and Watanabe (2004).

Figure 3. NIES Integrated Catchment-based Eco-hydrology (NICE) model.

 Relation between River Management and Economic Growth in Urban Regions 305

2.2. Satellite Analysis

The NDVI was calculated from NOAA/AVHRR satellite data with a resolution of 1.1 km
collected over East Asia during 1984–2007. The original data were downloaded from
WebPaNDA (2008) and re-sampled to change the resolution by the nearest neighbor method.
The data area was selected to match the simulation area (39.35°–40.50°N, 122.05°–
123.00°E). To minimize the effects of clouds and atmospheric contaminants, we used
composite data within a 10-day or monthly period that had the fewest clouds, as identified by
the highest NDVI value. The NDVI was calculated as:

NDVI = (NIR − RED) ( NIR + RED) (1)

where RED is band 1 (visible, 0.58–0.68 µm), and NIR is band 2 (near-infrared, 0.725–1.10
µm). NDVI can be used as an indicator of vegetation stress, particularly that due to water
shortage (Singh et al., 2003). The important point of this paper is that economic growth in the
urban area (through water consumption) has a close relationship with environmental
degradation in the water source area (downstream of Biliu River catchment) shown in the
NDVI trend in the following.

2.3. Statistical Analysis of Decoupling Indicator

To identify impacts of social activities (=driving force) and their pressures such as water
consumption and economic growth on the environment, we used a decoupling indicator
procedure to analyze them in Dalian city. The OECD has developed procedures to decouple
environmental pressures from economic growth (OECD, 2001). A decoupling indicator is
calculated from the ratio of Pressure to Driving Force at the end to the value at the start of a
given time period:

Decoupling indicator = 1 – (EP/DF)end of period / (EP/DF)start of period (2)

where EP is environmental pressure and DF is driving force. The decoupling indicator is

zero or negative in the absence of decoupling, positive in the relative decoupling, and has a
maximum value of 1 when environmental pressure reaches zero (absolute decoupling). EP is
the annual Biliu-derived water consumption in all of Dalian or in the urban area of Dalian in a
time series from 1985 to 2007, and the water consumption of heavy industries or light
industries derived from the Biliu River from 2001 to 2007. DF is the GDP in Dalian or in the
urban area. In our analysis of the impact of water abstraction from the Biliu River on the
environment in the catchment, EP is the NDVI as an index of environmental degradation and
DF is water supply from the Biliu River.
306 Tadanobu Nakayama, Ying Sun and Yong Geng

3. INPUT DATA AND BOUNDARY CONDITIONS FOR SIMULATION

3.1. Input Data

Six-hour reanalysis data with a resolution of 1° × 1° were assimilated with daily

observation data of solar radiation, precipitation, temperature, humidity, and wind speed at a
weather station operated by Dalian Water Resource Bureau (2005–2006) and Yingkou City
Government (2005–2006) (Table 1) to create grid data with a resolution of 1 km, and to input
into each grid cell for a 2005–2006 simulation by interpolating these parameters in inverse
proportion to the distance back-calculated in each cell. The mean elevation of each 1-km grid
cell was calculated by using the spatial average of a global digital elevation model (DEM;
GTOPO30) with a horizontal grid spacing of 30 arc-seconds (approximately 1-km mesh) (US
Geological Survey, 1996) throughout the Biliu River catchment (Figure 1). Vegetation class
and soil texture were categorized and digitized into 1-km mesh data from the Vegetation and
Soil Maps of China (1:4 000 000) (Chinese Academy of Sciences, 1988) and the Soil Map of
Dalian (1:100 000) (Liaoning Geology Investigation Agency, 2007). The geological
structures were decided from scanned and digitized geological material (Geological Atlas of
China, 2002) to divide geological structures into four types as described by Nakayama et al.
(2010). Digital land cover data produced by the Chinese Academy of Sciences (CAS) (1988)
based on Landsat TM data from the early 1990s were categorized and divided into 1-km mesh
data for the simulation. Details are given in Nakayama and Watanabe (2008b). Forest, grass,
and scrub cover the mountainous and hilly areas in the upper catchment. Cultivated fields are
widely distributed in the valley and lower regions. The water consumption in Dalian during
1985–2007 was compiled from statistical data (Dalian Water Resource Bureau, 2000–2007).
Annual GDP data during 1985–2007 came from the Dalian Planning Committee (2001), the
Dalian City Government (1990–2007), and the Dalian Bureau of Statistics (2002–2007).
Details are available in Nakayama et al. (2010).

3.2. Boundary Conditions and Running Simulation

At the upstream boundaries, the reflecting condition on the hydraulic head was used in
the groundwater flow submodel on the supposition that there is no inflow from the mountains
in the opposite direction (Nakayama and Watanabe, 2004). At the southern sea boundary
(Yellow Sea), a variable head was set by using observed monthly data (T-1 in Table 1; Dalian
Water Resource Bureau, 2005–2006). The simulation area is 60 km wide by 110 km long on
the basis of the Albers (WGS 1984) co-ordinates, covering almost all of the Biliu River
catchment (Figure 1). The area was divided into a grid of 60 × 110 blocks with a grid spacing
of 1 km in the horizontal directions and into 20 layers with a weighting factor of 1.1 (finer at
the upper layers) in the vertical direction. The upper layer was set at 2 m depth, and the 20th
layer was defined as an elevation of 200 m below sea level. Simulations covering 1 January
2005 to 31 December 2006 were run for calibration. A time step of Δt = 1 h was used.
Simulations were validated against observed river discharge at 5 points, groundwater level at
3 points, and soil temperature and moisture at 1 point (Dalian Water Resource Bureau, 2005–
2006; Yingkou City Government, 2005–2006) (Table 1).
 Relation between River Management and Economic Growth in Urban Regions 307

Table 1. Lists of observation stations for validation

No. Point Name Type Lat. Lon. Elev.(m)

R-1 Xiao Shipeng Rainfall Gage 40°17.1' 122°27.0' 199.0
R-2 Meng Jiadian Rainfall Gage 40°14.6' 122°31.5' 191.0
R-3 Kuang Donggou Rainfall Gage 40°10.3' 122°43.0' 233.0
R-4 Taiping Zhuang Rainfall Gage 40°8.7' 122°44.0' 227.0
R-5 Xi Pashan Rainfall Gage 40°7.3' 122°32.3' 115.0
R-6 Biliu Reservoir Rainfall Gage 39°49.2' 122°29.5' 53.0
No. Point Name Type Lat. Lon. Elev.(m)
R-7 Guiyunhua Village Rainfall Gage 39°55.7' 122°35.9' 80.0
R-8 Daiiang Village Rainfall Gage 40°1.7' 122°42.6' 219.0
R-9 Shifogou Village Rainfall Gage 39°47.6' 122°38.4' 84.0
R-10 Tianyi Rainfall Gage 39°54.6' 122°26.4' 133.0
R-11 Shuangta Village Rainfall Gage 39°46.2' 122°28.7' 27.0
R-12 Xiaosongjia Village Rainfall Gage 39°34.3' 122°32.8' 9.0
R-13 Jian Chang Rainfall Gage 40°1.7' 122°32.3' 91.0
W-1 Gaizhou Weather Data 40°23.7' 122°22.1' 8.0
W-2 Biliu Reservoir Weather Data 39°49.2' 122°29.5' 53.0
W-3 Zhuanghe Weather Data 39°42.0' 122°59.5' 3.0
W-4 Pulandian Weather Data 39°23.7' 121°58.0' 2.0
W-5 Dalian Weather Data 38°54.7' 121°36.1' 14.0
G-1 Jian Chang Groundwater Level 40°1.7' 122°32.3' 91.0
G-2 Biliu Reservoir Groundwater Level 39°49.2' 122°29.5' 53.0
G-3 Xiaosongjia Village Groundwater Level 39°34.0' 122°33.0' 9.0
D-1 Jian Chang River Discharge 40°1.7' 122°32.3' 91.0
D-2 Lingxi River Discharge 39°55.7' 122°35.9' 80.0
D-3 Biliu Reservoir River Discharge 39°49.2' 122°29.5' 53.0
Downstream of River Discharge
D-4 39°48.8' 122°29.6' 33.0
Biliu Reservoir (analyzed)
D-5 Xiaosongjia Village River Discharge 39°34.3' 122°32.8' 9.0
Soil Temperature
S-1 Jian Chang 40°1.7' 122°32.3' 91.0
and Moisture
T-1 Chengzitan Tidal Level 39°29.2' 122°33.9' 5.0

4. RESULTS
4.1. Hydrologic Cycles and Vegetation Change Affected by the Construction
of Biliu Reservoir

The simulated results of river discharge and groundwater level were firstly calibrated for
the Biliu River catchment during 2005–2006. NICE backcasted the river discharge
downstream of the reservoir after its completion from the total volume of water piped to
Dalian (Figure 4.a).
308 Tadanobu Nakayama, Ying Sun and Yong Geng

The simulated result clarified that the river discharge has decreased year by year since the
completion of the reservoir as water demand has increased in the urban area. It can be clearly
seen that most of the water in the river is already being used at the beginning of this century.
Because the rapid development of industry and urbanization and the increase in farmland
irrigation have also increased water demand to the limit of the carrying capacity (Varis and
Vakkilainen, 2001), the groundwater table has also declined in the floodplains of the river’s
downstream areas.
To study spatial patterns in NDVI trends in the catchment during 1984–2007, we
estimated the linear trend of annual mean NDVI over the study period using ordinary least-
squares regression (Figure 4.b).

Figure 4. Hydrologic cycles and vegetation change affected by the reservoir; (a) simulated river
discharge at downstream of the reservoir, and (b) spatial patterns in NDVI gradient in the entire
catchment during 1984-2007. Dashed-square is the border of simulation area as shown in Figure 1.

A significant decrease in the NDVI occurred primarily downstream of the reservoir, as

well as downstream of the Zhujiaweizi and Liuda reservoirs, which were built in 1968 and
1971 respectively (Dalian City Government, 2003). Downstream of the Zhujiaweizi Reservoir
and nearby, the NDVI decreased as a result of several effects, including a reduction in water
resources and rapid urbanization surrounding Zhuanghe city (Wang, 1997). Mountainous
areas upstream of the Biliu Reservoir have higher NDVI values than downstream areas. This
difference is closely related to the water shortage and seawater intrusion since the
construction of the Biliu Reservoir, which has greatly reduced crop growth and production in
coastal areas.
 Relation between River Management and Economic Growth in Urban Regions 309

4.2. Relationship between water resources and urban activity

The economy has grown faster than water consumption (Figure 2), which shows a
pronounced relative decoupling between economic growth and environmental pressure in
Dalian during 1992–2007. The consumption of water derived from the Biliu River shows a
relative decoupling from the GDP of the urban area (Figure 5.a). Decoupling indicator value
of the urban area was higher than that of the entire Dalian city in 1992–1993, 2003–2004, and
2006–2007, when the environmental pressure from local area was much less than that of
Dalian city, although the values in 1985–1988 were irregular owing to the start of dam
operation. The decoupling indicator values declined, were unstable, and were negative twice
in 8 years (1998–1999 and 2004–2005), although the Dalian government has increased the
water price several times to control water consumption (Dalian Water Resource Bureau,
2000–2007).

Figure 5. Annual trends of decoupling indicators between; (a) water consumption and GDP in the urban
area, and (b) NDVI and water consumption, respectively. Dashed-lines are least-square regression lines
estimated from annual decoupling indicators (bars).

The value dropped from 0.43 in 1993–1994 to –0.37 in 1998–1999, became positive at
0.33 again in 2003–2004, and then declined again. These trends show that the environmental
pressure of water consumption has increased with economic growth in the urban area,
although relative decoupling predominated, especially when the decoupling indicator value
was negative. The impact of water withdrawal from the Biliu Reservoir on environmental
degradation of NDVI (Figure 4.b) downstream is shown in Figure 5.b. The decoupling
indicator value gradually decreased from 0.75 (relative decoupling) in 1988–1989 to –0.25
(no decoupling) in 2006–2007 although the periods of 1985-1988 take irregular values due to
the start of dam operation and incorrect data. This shows increasing environmental
degradation with increasing abstraction of water from the Biliu River. These results indicate
that the environmental degradation in the Biliu River catchment will grow more serious with
economic growth in the coming years.

5. DISCUSSIONS AND CONCLUSIONS

NICE correctly backcasted the gradual decrease in water resources since the completion
of the reservoir in the middle of the catchment and its relation to the reduced NDVI
downstream of the reservoir. The environmental degradation downstream of the reservoir is
310 Tadanobu Nakayama, Ying Sun and Yong Geng

closely related to the decrease in river discharge and groundwater level (Figure 4), all
characteristic of catchments in northern China (Qian and Zhu, 2001; Ren et al., 2002;
Nakayama et al., 2006; Nakayama, 2010b). This degradation has been caused by the high
economic growth in Dalian and the resultant degradation of production-support and life-
support systems as indicated by the statistical analysis of decoupling indicators (Figure 5.a),
in the same ways as the previous research (Niu and Harris, 1996). This result implies that the
high increase of water consumption has not necessarily offset the high increase of GDP in the
urban area, which is the situation that water is yet insufficient in spite of the high economic
growth.
Unfortunately, the technique of saving water has not improved so much in this study area
because the cost of potable water is still cheap and therefore the economy depends greatly on
the water-derived consumption. In the same reason, the local companies do not want to afford
a higher price of desalination in addition to the difficulty to treat the solid wastes generated
from desalination process as well as the very limited landfill space. Decoupling analysis
between vegetation index and water consumption also showed water consumption dependent
industrial structure in Dalian city has caused deterioration in the downstream area of Biliu
River catchment with higher pace than the increasing water consumption (Figure 5.b). These
results indicate that the environmental pressure has not been considered in Dalian by either
municipal governments or enterprises as a matter of crisis for the carrying capacity of water
resources unlike more serious situation in other northern planes regions of China (Niu and
Harris, 1996; Varis and Vakkilainen, 2001), and that it is urgently necessary to find a better
strategy to achieve sustainable development.
As circular economy law by Chinese government and consequent policy by the municipal
government of Dalian City and Liaoning Province, orientation for more ecologically efficient
industries may seek for the industrial restructuring for sustainably eco-friendly industrial
structures (Dalian City Government, 2006). The multi-source water reasonable allocation in
the city would be an available solution to improve water use efficiency and achieve
sustainable development of urban water resources while minimizing adverse impacts on the
environment. The use of seawater, the reuse of treated wastewater, and the collection and use
of rainwater from roofs and urban pavements have been discussed by the local government
and are gradually increasing in Dalian (Han et al., 2008). It is further useful to predict the
allocation of multisource water under the benefit of socio-environment optimization, such as,
various scenarios like economic benefit maximization, green area maximization, and sewage
drainage minimization, et al. The interdisciplinary research compiling scientific assessment
and economic activities would provide shaper priority setting for the municipal governments
and enterprises on sustainable development in the catchment.

ACKNOWLEDGMENTS
The authors thank Dr. T. Fujita and Dr. N.C. Don, NIES for data analyses and
discussions. Some of the simulations in this study were run on an NEC SX-6 supercomputer
at the Center for Global Environment Research (CGER), NIES.
 Relation between River Management and Economic Growth in Urban Regions 311

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 INDEX

ammonium, 130, 134, 139, 141, 142, 145, 148,

A 286
amphibia, 20, 61, 62, 288
abatement, 183 amphibians, 4, 5, 6, 14, 20, 22, 26, 27, 37, 61,
abiotic parameter, 280 151, 266, 269, 270, 271, 288
abstraction, 262, 265, 276, 305, 309 amplitude, 258
access, x, 35, 89, 210, 233, 243, 244, 249, 276 anemia, 227, 228
accounting, 204, 225 anorexia, 70
acid, x, 12, 13, 25, 26, 103, 206, 212, 224, 228, anoxia, 242
291, 292, 293, 297, 299, 300 anus, 207
acidic, 12, 231, 299, 300 apex, 8
acidity, 12, 13, 292, 299, 300 appropriate technology, 248
adaptation, 24, 266, 267, 268 aquatic habitats, 12, 81
adhesion, 207 aquatic life, 28
adipose, 219 aquatic systems, 9, 111, 121, 127, 135
adipose tissue, 219 aquifers, 151
adjustment, 39, 56, 114 Argentina, 38, 201
adults, 56, 69, 267, 268 arithmetic, 113
adverse effects, 226 artery, 207
aesthetic, 12, 83 Asia, 40, 152, 312
Africa, 37, 202, 253, 254, 255, 257 assessment, vii, xi, 42, 45, 46, 51, 60, 63, 67, 69,
age, 156, 163, 164, 206, 244, 248 109, 110, 111, 112, 115, 120, 121, 122, 123,
agencies, 44, 78, 90, 185, 190 138, 141, 145, 146, 147, 174, 198, 222, 228,
agriculture, xi, 2, 9, 32, 35, 115, 119, 185, 203, 229, 231, 232, 255, 257, 278, 301, 303, 310
252, 269, 276, 297, 301, 302, 303 assimilation, 257
air temperature, 117 atmosphere, 11, 209, 212, 244, 292, 297
Alaska, 151, 264 atrophy, 218
alcohols, 213 attachment, 38, 39, 192, 207
algae, 6, 11, 12, 45, 127, 241, 270 attribution, 188
alien species, 41 Austria, 153
alkalinity, 132, 206, 231 authorities, 180, 188
alters, 16, 91, 174, 285 authority, 180, 185, 186, 188, 192, 253
aluminium, 230 avoidance, 160, 193, 270
American green ash, ix, 149, 157, 160 awareness, 260
ammonia, 19, 99, 273
314 Index

breakdown, 6, 133, 134, 140, 148, 220, 273

B breathing, 215
breeding, 10, 90, 242, 252, 268, 269, 271
backwaters, 15, 70, 169, 170
browsing, ix, 149, 153, 162, 164, 165, 166, 168,
bacteria, 6, 34, 93, 136, 137
169, 174, 176
banks, 11, 18, 27, 34, 50, 74, 77, 78, 79, 81, 82,
bryophyte, 272
84, 85, 92, 94, 150, 185, 271, 272, 282
building blocks, 14
barriers, 10, 26, 34, 95
bureaucracy, 194, 195, 200
base, 54, 57, 68, 75, 114, 123, 130, 131, 132,
business management, 183
190, 220, 236, 274, 294, 302, 304
beetles, 267, 268
behaviors, 62 C
Beijing, 1, 2, 9, 10, 27, 29, 41, 53, 80, 81, 92, 94,
100, 105, 107, 311 Ca2+, 295, 296
Belgium, 191 Cairo, 253
beneficiaries, 182 calcification, 215
benefits, viii, 27, 79, 83, 92, 151, 152, 181, 197, calcium, 211, 230
198, 248, 252 calibration, 246, 306
benthic invertebrates, 4, 6, 8, 15, 29, 30, 49, 52, canals, 295, 297, 299
53, 54, 86, 87, 92, 121, 145 candidates, 88
benzene, 213 capillary, 218
bioaccumulation, 203, 216, 230 caprolactam, 209
bioavailability, 230 capsule, 219
biochemical processes, 11, 222 carbon, 5, 34, 81, 130, 131, 140, 141, 146, 151,
biodegradable materials, 84 176, 257, 260, 265, 268, 273, 274, 275
biodiversity, 9, 10, 14, 40, 42, 44, 46, 48, 50, 52, carboxylic acid, 213
53, 54, 65, 66, 86, 98, 122, 133, 154, 160, 162, carboxylic acids, 213
163, 169, 174, 180, 182, 183, 185, 186, 190, Caribbean, 41
241, 242, 275, 277, 283, 285, 289 carnivores, 56, 57, 246
biofuel, 250 case studies, 286
biogeochemical processors, x, 259 case study, 142, 177, 257, 300
biological activity, 5, 172 Caspian Sea, 209, 210
biological processes, vii, 1, 11, 127, 224, 260 casting, 72, 292, 299
biological responses, 110 catchments, 115, 116, 121, 122, 133, 137, 143,
biomanipulation, 113 243, 249, 263, 275, 276, 279, 295, 302, 310
biomass, 5, 6, 12, 16, 24, 45, 46, 52, 59, 78, 80, cattle, 35, 40
88, 130, 133, 135, 148, 243, 244, 247, 250, cell membranes, 219
254, 256, 273, 283, 284 cellulose, 295, 296
biomonitoring, 114, 143, 146 Central Europe, 154, 164
biosphere, vii, ix, 109, 110, 149, 150, 155, 162, cerebrum, 207
163, 169, 170, 173, 175 challenges, 19, 33, 162, 171, 180, 195, 260, 281,
biotic, 14, 45, 60, 61, 62, 63, 78, 95, 100, 101, 312
102, 104, 120, 123, 127, 130, 133, 134, 138, checks and balances, 37
140, 142, 147, 279 Chicago, 100, 257
biotic factor, 127 children, 183, 190, 192
birds, 5, 10, 14, 15, 16, 24, 25, 26, 39, 43, 45, 46, Chile, 252, 256
86, 90, 96, 98, 104, 105, 151, 266, 271, 283 China, xi, 1, 2, 5, 12, 16, 21, 22, 23, 24, 28, 30,
blame, 188 31, 33, 37, 38, 39, 40, 41, 49, 66, 68, 79, 89,
blood, 207, 219, 220, 221, 224, 226, 227, 228 100, 102, 106, 286, 301, 302, 303, 306, 310,
bone, 215, 227 311, 312
bones, 207, 215, 216 Chinese government, 310
Botswana, 279 chlorine, 100
bounds, 51 chlorophyll, 12, 45, 133
Brazil, 38, 101 chromatography, 206
 Index 315

chromium, 216, 230 compression, 219

circulation, 251, 256 computation, 76
cirrhosis, 219 computer, 68
CIS, 112, 138, 148 conceptual model, 68
cities, viii, 203, 209 concordance, 112, 116
citizens, 187, 189, 191, 192 concreteness, 182, 184
city, 14, 15, 23, 32, 99, 191, 276, 295, 303, 306, conductivity, 127, 129, 206, 211, 218, 275
308, 310, 311, 312 conference, 202
civil society, 194, 196, 200 configuration, 11, 82, 140
clarity, 6, 181, 200 conflict, 180, 181, 190, 195, 196, 200, 302
classes, viii, 62, 65, 110, 112, 113, 114, 117, 126, conflict resolution, 190, 195
157, 164 Congress, 99, 102, 106
classification, viii, 62, 65, 109, 110, 116, 118, connective tissue, 219, 221
123, 124, 129, 184 connectivity, x, 5, 14, 15, 120, 124, 138, 148,
clean air, 180 178, 190, 259, 260, 262, 269, 274, 275, 276,
climate, viii, 15, 21, 22, 110, 138, 154, 210, 246, 277, 278, 279, 281, 285
247, 255, 256, 264, 267, 277, 278, 279, 280, connectivity corridors, x, 259, 260, 275, 276
282, 285, 286, 302 consensus, 120, 124, 200
climate change, viii, 22, 110, 210, 246, 247, 255, conservation, viii, 9, 35, 41, 46, 91, 135, 152,
277, 278, 280, 282, 285 156, 157, 160, 162, 169, 174, 176, 182, 195,
climates, 133, 262, 264 200, 234, 245, 247, 249, 253, 257, 277, 286
clustering, 102 constituents, 176
clusters, 44, 81, 94 constructed wetlands, 249, 256
CO2, 181, 244 construction, 24, 28, 76, 77, 84, 86, 88, 169, 170,
coal, x, 30, 276, 291, 292, 293, 297, 299, 300 190, 248, 276, 308
cobalt, 216 consumers, 135, 268
coding, 311 consumption, 92, 280, 282, 302, 303, 305, 306,
coefficient of variation, 122 309, 310
coffee, 197 containers, 44, 206
coherence, 117, 119 contaminant, 213, 223, 229, 276
Cold War, 153 contaminated water, 215
collaboration, 249 contamination, x, xi, 35, 36, 204, 207, 208, 211,
Collage, 100 212, 215, 216, 224, 225, 227, 228, 291, 292,
collateral, 187 293, 294, 295, 296, 297, 299
collateral damage, 187 Continental, 112
colonization, 38, 45, 46, 84, 99, 102, 267 contour, 265
color, 207, 218, 295 control measures, 92
combined effect, 285 cooling, 1, 38
commerce, 190 cooperation, 198, 249
commercial, 3, 44, 243, 244 coordination, 194
communication, 175 copper, 216, 230
compaction, 35, 36 cornea, 207
competition, 37, 93, 157, 160, 174, 194, 198, correlation, 11, 15, 43, 62, 166, 208, 216, 217,
267, 268, 269 218, 227
competitors, 63 cosmopolitanism, 100
complement, 133 cost, 28, 39, 43, 45, 60, 76, 79, 80, 180, 184, 185,
complexity, 51, 63, 94, 123, 225 197, 253, 271, 310
composition, ix, 5, 8, 11, 14, 34, 42, 44, 45, 53, covering, 209, 243, 306
54, 55, 56, 60, 62, 88, 97, 113, 117, 119, 120, creativity, 181
122, 126, 135, 149, 150, 152, 153, 155, 160, crises, 211
163, 170, 174, 175, 207, 211, 221, 272, 279, critical period, 76
300 critical state, 207
compounds, 204, 212, 213, 224, 226, 228, 272 critical value, 64
316 Index

crop, 20, 34, 185, 308 detection, 122, 142, 207, 211, 227
crops, 12, 41, 120, 244 detention, 93
crowns, 39 detoxification, 227
crystalline, 207 developing countries, 185, 190, 199, 200
cues, 11, 270 deviation, vii, 109, 111
cultivation, 120, 243, 244 diamonds, 130
cultural heritage, 189 diet, 57
cultural identities, 180 digestion, 206
culture, 39, 106, 180 disaster, 183
cure, 100 discharges, 11, 68, 73, 74, 204, 236, 292, 297
cyanide, 30 discontinuity, 178, 238
cycles, 32, 80, 136, 258, 273, 280, 308 discriminant analysis, 117
cycling, ix, 5, 134, 140, 141, 149, 151, 152, 260, diseases, 26, 39, 152, 204, 208, 224, 226, 228,
272 231, 248
cyclopentadiene, 212 dispersion, 42, 239
cytoplasm, 219, 221, 228 displacement, 35, 274
Czech Republic, 142, 153, 213, 232 dissolved oxygen, 8, 11, 12, 23, 24, 38, 39, 44,
64, 79, 127, 130, 132, 134, 142, 241, 256, 267,
269
D distribution, viii, 9, 10, 20, 34, 38, 39, 48, 69, 74,
89, 95, 98, 110, 114, 116, 126, 127, 164, 212,
danger, 223, 249 236, 240, 242, 257, 279, 292, 294, 296
data analysis, 61
divergence, 166, 188
data collection, 111, 183
diversity, viii, ix, 5, 8, 9, 10, 12, 15, 24, 27, 45,
data processing, 208 46, 48, 50, 51, 53, 54, 59, 61, 62, 63, 64, 65,
database, 312 66, 67, 76, 78, 80, 81, 82, 93, 102, 120, 122,
decay, 38, 77, 204, 241, 281
124, 142, 145, 149, 151, 152, 156, 158, 162,
decolonization, 81
163, 166, 169, 170, 177, 180, 192, 266, 271,
decomposition, 12, 127, 146, 241, 243, 254, 273, 272, 282, 283, 286
275, 286, 287, 293 DOC, 130, 131, 137, 275
decoupling, xi, 301, 303, 305, 309, 310
dominance, ix, 57, 149, 156, 157, 158, 159, 163,
Deer, 171, 172, 174
170, 171
deficit, 133 draft, 198, 253
deforestation, 11, 22, 234, 236, 245, 246, 247, drainage, x, 3, 26, 32, 49, 52, 59, 75, 84, 86, 104,
253, 254
117, 120, 123, 209, 235, 260, 263, 264, 265,
deformation, 207
276, 282, 285, 291, 292, 297, 299, 300, 310
degenerate, 164 drawing, 197
degradation, xi, 8, 56, 57, 104, 111, 113, 121,
drinking water, 183, 190, 204, 234, 247
136, 138, 177, 183, 276, 277, 301, 309, 310
drought, x, 20, 22, 124, 126, 127, 128, 130, 131,
Delta, 209 133, 134, 139, 145, 151, 157, 169, 183, 233,
democracy, 188, 193, 194, 195, 197, 202 234, 238, 246, 247, 249, 252, 263, 264, 268,
demography, 287
269, 272, 273, 277, 281, 282, 283, 285, 312
denitrification, 127, 134, 137, 142, 243, 273, 285
drugs, 188
Department of Agriculture, 97, 98, 99, 100, 101, drying, 115, 126, 134, 137, 139, 140, 146, 239,
104, 105, 278 244, 246, 253, 260, 261, 262, 263, 266, 267,
Department of the Interior, 103, 104
268, 269, 272, 273, 276, 277, 278, 279, 280,
deposition, 74, 76, 79, 80, 83, 86, 103, 150, 270
281, 285, 288, 303, 311
deposits, 18, 74, 94 duality, 267
depth, 11, 38, 44, 52, 63, 64, 65, 68, 69, 71, 72, dumping, 120, 249
80, 83, 87, 99, 208, 243, 250, 251, 256, 262,
dyes, 209
306
dynamic systems, 169
derivatives, 212, 213, 226, 228
desiccation, 124, 267, 268, 273
destruction, 30, 219, 249
 Index 317

Europe, vii, viii, 21, 38, 109, 111, 112, 114, 119,
E 123, 141, 150, 151, 152, 154, 157, 174, 175,
177, 192, 203, 209, 228, 299
earthquakes, 20
European Commission, 111, 114, 121, 122, 124,
East Asia, 305, 312
132, 136, 139, 148
ecological data, 164, 175
European Parliament, 139
ecological indicators, 43, 66
European Union, 111, 181
ecological information, 111
evaporation, 238, 240
ecological restoration, 29, 51, 86
evapotranspiration, 6, 21, 123, 152, 245, 261,
ecological structure, 3, 26
262, 263, 265, 277, 304
ecological systems, 170
evidence, 44, 82, 120, 197, 252
ecology, vii, 1, 5, 20, 22, 24, 26, 27, 28, 30, 34,
evolution, 20, 27, 62, 246, 289
35, 42, 48, 51, 53, 65, 81, 86, 87, 89, 97, 105,
exclusion, 181, 182, 186, 189, 196
133, 140, 142, 145, 150, 175, 231, 243, 256,
excretion, 99
260, 277, 278, 279, 280, 283, 284, 286, 289
exercise, 145, 192, 196
edema, 219
expenditures, 9
education, 249
expertise, 250
effluents, 120, 204, 210, 212, 228
exploitation, 115, 120
egg, 32, 43, 267, 268, 270
explosives, 90
Egypt, 238
exposure, 97, 99, 113, 152, 230, 231, 243, 292
elaboration, 257
external environment, 1, 3
electrical conductivity, 295
extinction, 28, 37, 46
electromagnetic, 39
extraction, 30, 120, 243
elephants, 239, 252
extracts, 206, 245
emergency, 187, 204
exudate, 207
emission, 297
empirical studies, 133
encapsulation, 228 F
endangered species, 43, 89
endurance, 8 facilitators, 180, 188, 193, 196, 200
energy, 1, 3, 5, 14, 15, 16, 17, 18, 57, 59, 79, 80, factories, 209
81, 94, 124, 209, 212, 260, 265, 271, 274, 275 faith, 196
engineering, 115, 152 families, 52, 121, 124, 125
England, 137, 289 farm land, 119
entrepreneurs, 199 farmers, 39, 180, 185, 186, 190, 191, 193, 199,
EPA, 60, 96, 102, 137, 140, 284 209, 249
epidermis, 220 farmland, 169, 308
epithelial cells, 215 farms, 151
epithelium, 215 fat, 207, 219, 272
equilibrium, 19, 47, 93, 199 fauna, 6, 11, 15, 37, 46, 93, 114, 148, 242, 266,
equipment, 36 280, 281, 289
equity, 185, 200 fencing, 9, 77
ERA, 184, 201 fertilization, 70
erosion, 20, 35, 36, 40, 76, 78, 80, 81, 82, 83, 84, fertilizers, 93, 209
88, 89, 93, 152, 271 fiber, 84, 176
erythrocyte sedimentation rate, 207 fiber bundles, 84
erythrocytes, 221, 228 fibers, 84
ESR, 207 fibrosis, 219, 221
ethanol, 52 filament, 218, 220
ethers, 213, 224, 228 filters, 17, 175
ethical issues, 182 filtration, 150, 295
ethics, ix, 179, 180, 181, 182, 184, 185, 186, 193, financial, 253
198, 199, 200 financial resources, 253
EU, viii, 112, 113, 138, 144, 169, 192 fires, 239
318 Index

fixation, 169 funding, 190, 198, 302

flooding, ix, 5, 11, 18, 37, 74, 86, 92, 115, 140, funds, 195
146, 149, 150, 151, 152, 153, 158, 160, 164, fungi, 136
165, 166, 169, 170, 177, 245, 269, 273, 277, fusion, 218, 220
279, 281
Floodplain forests, ix, 149, 151
floodplains, viii, 1, 3, 16, 34, 92, 150, 151, 152, G
154, 169, 170, 175, 177, 186, 268, 269, 273,
274, 308 GDP, 302, 303, 305, 306, 309, 310
floods, 17, 20, 24, 26, 27, 52, 74, 93, 94, 130, genetic diversity, 46, 275
134, 151, 152, 154, 168, 170, 272, 281 genus, 44, 46, 52, 157
flora, 5, 12, 14, 37, 41, 93, 151, 169, 171, 175, geography, 260
242, 266 geology, 112, 116, 117, 127, 128
flora and fauna, 14, 37, 42, 93, 169, 171, 242 geometry, 73, 75, 76, 93, 95
flow value, 73 Germany, 2, 143, 153, 176, 177, 178, 199, 206,
fluctuations, 8, 71, 130, 131, 132, 133, 134, 254, 292, 300
255 gill, 215, 218
fluid, 53, 64, 65, 192, 207 global climate change, 260, 277, 279
fluorescence, 206 global scale, 135, 136
food, 5, 6, 8, 11, 14, 16, 27, 32, 39, 43, 44, 45, global warming, 22, 210
55, 57, 63, 65, 78, 79, 81, 82, 91, 151, 185, gonads, 207, 221
232, 242, 244, 246, 249, 250, 253, 256, 271, google, 28
274, 280, 282, 285 governance, 192
food chain, 8, 27, 43, 44, 45, 55 governments, 310
food habits, 280 grades, 121
food production, 185 graphite, 206
food security, 244, 253, 256 grass, 24, 52, 65, 246, 250, 306
food web, 232, 274 grasses, 64, 65, 89, 91, 250
football, 191 grasslands, 236, 237, 239, 246, 276
force, 305 gravity, 16, 250, 257
Ford, 143 grazing, 9, 35, 37, 62, 119, 120, 244, 256, 276,
forecasting, 277 285
forest fire, 244, 257 Great Britain, 146
forest habitats, 280 Greece, 264
forest management, 20, 170, 175, 177 green alga, 257
formaldehyde, 44 grids, 84
formation, 78, 79, 95, 228, 248, 263, 292, 299, groundwater, xi, 120, 130, 143, 147, 150, 151,
300 152, 183, 236, 260, 261, 262, 263, 265, 274,
formula, 46, 51 275, 276, 286, 292, 300, 301, 303, 304, 306,
fouling, 38, 98, 102 307, 308, 310, 311, 312
fractures, 10 group variance, 117
fragments, 114 grouping, 157
framing, ix, 179, 181, 186, 187, 188, 197, 200 growth, 3, 11, 12, 39, 44, 47, 68, 69, 70, 84, 85,
France, 95, 176, 193, 202 89, 93, 104, 133, 162, 164, 174, 221, 231, 254,
freedom, 189 273, 288, 302, 305, 308, 309, 310, 312
frequency distribution, 68, 80 growth rate, 11, 47, 70, 89, 273
freshwater, 8, 9, 68, 97, 99, 104, 110, 111, 112, Guangdong, 66
114, 126, 129, 137, 143, 214, 230, 231, 232, guidance, 76, 112
255, 257, 259, 262, 279, 283, 286, 293, 299 guidelines, 67
Freshwater ecosystems, vii, 109, 110 Guinea, 244
friction, 17 Gulf of Mexico, 183
fruits, 89
functional changes, 218
 Index 319

H I

harbors, 189 ideal, 15, 62, 194, 195, 268, 269

hardwood forest, 150, 175, 177, 178 identification, 135, 181, 183, 184, 185, 188, 198
hardwoods, 86 identity, 46, 56, 114, 145
harvesting, 35, 175, 244, 248, 253, 276 ideology, 189, 200
hazardous substances, 226 image, xi, 28, 235, 246, 301, 303
hazards, 83 image analysis, 303
health, vii, ix, 42, 43, 55, 60, 109, 110, 111, 133, immigrants, 46
138, 139, 142, 144, 145, 148, 150, 151, 183, impact assessment, 67
185, 189, 203, 204, 207, 222, 223, 224, 225, impairments, 45
226, 227, 228, 229, 230, 231, 232, 278 incidence, 248
health care, 189 income, 243, 249, 250
health condition, 223 independence, 196
heavy metals, 26, 204, 292, 299, 300 India, 38, 312
height, 78, 90, 94, 155, 243, 272 indirect effect, vii, 109
hematopoietic system, 224 individuals, 12, 38, 46, 47, 48, 56, 57, 58, 59, 61,
hemoglobin, 207, 221, 224, 227, 267 68, 70, 155, 160, 192, 207, 208, 228
hemorrhage, 219, 220, 221 Indonesia, x, 244, 257, 291, 293, 295, 298, 300
hepatic failure, 219 induction, 227
hepatocytes, 218, 220 industrial restructuring, 310
heterogeneity, 46, 47, 51, 57, 124, 127, 128, 139, industrial sectors, xi, 209, 301, 302
145, 147 industries, 209, 302, 305, 310
highlands, x, 233, 245 industry, 32, 35, 203, 209, 303, 308
historical data, 113 infants, 248
history, 11, 96, 104, 115, 133, 157, 159, 168, inflammation, 219, 220, 221
238, 283, 289 infrastructure, 204
Holocene, 177 injure, 35
homeostasis, 224 insects, 1, 11, 44, 56, 57, 94, 104, 151, 267
Hong Kong, 41, 98, 102 insecurity, 201, 202, 249
host, 10, 83 institutional change, 183
hot spots, 143, 265, 266, 271, 273, 278, 284 institutions, 248
House, 96, 105 integrity, x, 5, 10, 45, 60, 61, 95, 99, 100, 101,
humidity, 306 102, 104, 111, 133, 138, 140, 142, 222, 259,
Hunter, 86, 103, 286 274, 276, 277, 278, 281
hunting, 43, 151, 153, 234, 252 intelligence, 200
hurricanes, 20 interest groups, 190
husbandry, 36, 40 interface, 138, 143, 199, 250, 259, 260, 265, 278,
hybrid, 157, 160 284
hybridization, 26, 39, 58 interference, 84, 288
hydrocarbons, 34 interstitial nephritis, 219
hydroelectric power, 203 intervention, 58, 160, 162, 195, 311
hydrogen, 12 intoxication, ix, 203, 204, 207, 208, 218, 221,
hydrological conditions, 113, 119, 127, 128, 131, 223, 228
135, 144 intrinsic value, 189
hydrophyte, 44 invasions, 42, 58, 177
hygiene, 248 invertebrates, 6, 14, 16, 17, 27, 40, 43, 44, 46, 47,
hyperemia, 207, 219 48, 49, 50, 51, 52, 54, 56, 57, 61, 64, 66, 79,
hyperplasia, 220, 228 80, 81, 82, 84, 86, 87, 92, 98, 105, 121, 136,
hypertrophy, 218, 228 249, 267, 271, 275, 280, 282, 283, 285, 287
hypothesis, 177, 285 investment, 135
hypoxia, 219, 241, 242 ion-exchange, 281
Iowa, 285
320 Index

iron, 32 leadership, 249

Iron Curtain, 172 learning, 83, 95, 187, 195, 198, 201, 202
irrigation, 26, 32, 84, 98, 120, 204, 234, 236, 245, learning process, 187, 202
247, 253, 254, 308 legal protection, 150
islands, 3, 46, 153, 165, 250, 251 legislation, 181, 187
isolation, 28, 30, 57, 97, 261, 283 lens, 207
issues, 38, 162, 180, 181, 188, 190, 193, 194, Lepidoptera, 87
195, 197, 198, 249, 253 lesions, 58
Italy, 4, 264, 280 levees, ix, 27, 37, 74, 86, 92, 149, 150, 152, 154,
169, 170, 174
LIFE, 169
J life cycle, 14, 27, 43, 68, 87, 267
light, ix, 5, 11, 64, 115, 148, 150, 152, 160, 165,
Japan, x, 37, 38, 106, 206, 291, 292, 293, 294, 166, 174, 176, 177, 179, 207, 218, 255, 305
295, 296, 301, 311, 312 limestone, 81, 128, 130
Java, 88, 99 lipoid, 218, 220, 221
journalism, 192 literacy, 191
judiciary, 196 liver, 206, 207, 213, 214, 215, 216, 217, 218,
justification, 43 220, 222, 224, 226, 229
juveniles, 57, 69, 177, 243 liver disease, 218
livestock, 9, 35, 41, 209, 250, 252, 276
K living conditions, 223
local conditions, 43, 267
K+, 295, 296 local government, 39, 310
Kenya, x, 233, 234, 236, 245, 247, 248, 252, 253, logging, 25, 36, 105, 150
254, 255, 257, 287 longevity, 57
kicks, 247 Luo, 39, 100, 101, 277, 286
kidney, 215, 219 lying, 236
kidneys, 206, 207, 213, 215, 216, 217, 219, 221, lymphocytes, 222
222, 224, 226, 227, 229 lymphoid, 219
kill, 26, 32, 39, 89, 252, 273 lymphoid tissue, 219
Korea, 26, 99
Kyushu Island, x, 291, 292, 293, 294
M

L magnitude, 26, 34, 77, 158, 260

major issues, 170
lakes, ix, 3, 12, 13, 28, 29, 40, 50, 51, 86, 87, majority, viii, x, 2, 42, 58, 118, 168, 259, 263,
105, 139, 146, 149, 208, 231, 252, 255, 258, 268
292, 299, 312 malaria, 248
laminar, 11 mammal, 154
landings, 36 mammals, 1, 5, 6, 15, 16, 26, 37, 45, 90, 151,
landscape, viii, ix, 1, 2, 3, 10, 14, 16, 18, 20, 26, 239, 256, 266, 271, 284, 288
32, 33, 35, 51, 93, 112, 133, 143, 149, 163, man, 58, 83, 173, 194, 223, 239, 252
173, 180, 183, 184, 186, 191, 192, 195, 197, mangroves, 299
284, 288, 289 manufacturing, 36
landscapes, 1, 53, 100, 133, 174, 175, 180 manure, 209
larvae, 6, 244, 256, 267, 268 mapping, 282
larval development, 267 marsh, 40
laws, 30, 162 Maryland, 259, 263, 274, 276, 278
leaching, 5, 30, 274, 299 Masai Mara Reserve, x, 233, 245
lead, 9, 124, 126, 153, 191, 195, 197, 199, 219, mass, 75, 76, 133, 204, 206, 218, 230, 247, 251,
229, 244, 248, 262, 273, 276, 277, 292 287
 Index 321

materials, 1, 3, 12, 14, 15, 16, 17, 18, 24, 30, 31, moisture content, 134
64, 77, 78, 80, 81, 82, 84, 93, 120, 128, 311 Mongolia, 22
matrix, 2, 3, 14, 163, 187, 273 Montana, 100, 173
matter, 5, 11, 18, 57, 76, 124, 127, 148, 192, 195, Monte Carlo method, 164
209, 241, 243, 260, 265, 273, 274, 275, 286, morbidity, 204, 207, 225, 226
310 Morocco, 142
measurement, 42, 51, 62, 204, 225, 285, 295 morphology, 15, 26, 91, 93, 102, 113, 119, 120,
measurements, 45, 58, 65, 67, 106, 112, 223, 230, 141, 224
250, 251 morphometric, 208
median, 113, 124, 125 mortality, 43, 68, 86, 158, 160, 231, 246, 248,
medicine, 219 272, 288
Mediterranean, vii, viii, 109, 110, 112, 114, 115, mortality rate, 248
116, 117, 118, 119, 120, 121, 122, 123, 124, mosaic, 3, 14, 19, 27, 83, 127, 218
126, 127, 128, 129, 130, 132, 133, 134, 135, Moscow, 203, 208, 229, 230, 231
136, 137, 138, 140, 141, 142, 143, 144, 145, mucus, 207
146, 148, 264, 278, 279, 282, 288 multidimensional, 119
melt, 154 muscles, 207, 213, 214, 215, 216, 217
membranes, 207, 219 mussels, 9, 38, 39, 100
memory, 180 myopathy, 204
mercury, 30, 211, 230
Mercury, 30, 213, 229, 230, 232
metabolism, 133, 134, 136, 138, 139, 141, 142, N
144, 146, 148, 227, 260, 278
metals, 34, 204, 205, 213, 224, 226, 227, 228, Na+, 211, 295, 296
231, 292 NaCl, 129
meter, 12, 49, 144, 206, 236, 295 Namibia, 255
methodology, vii, 96, 97, 109, 126, 136, 144, National Research Council, 75, 102
156, 162, 164, 257 native species, 27, 39, 43, 59, 61, 89, 91, 153,
methylene chloride, 206 162
Mexico, 40, 80, 131, 202, 271 NATO, 231, 256
Mg2+, 295, 296 natural disturbance, 19, 281
microbial communities, 143, 145, 273 natural habitats, 79
microclimate, 15, 255 natural resources, 24, 200
microhabitats, 6 necrosis, 207, 218, 220, 221
microorganisms, 134 negative effects, 35, 92, 226
microscope, 44, 52, 207 neglect, 192
migrants, 211 Netherlands, 179, 186, 187, 191, 192, 198, 202,
migration, x, 5, 11, 14, 16, 27, 34, 101, 150, 151, 223, 255, 280
169, 229, 233, 234, 239, 246, 247, 248, 257, neutral, 12, 174, 210, 227
258, 299 neutrophils, 221, 224, 227
military, 163, 170, 191 New Zealand, 278, 287
mineralization, 143, 144, 254, 273, 281 NGOs, 185, 190
Miocene, 128 NIES Integrated Catchment-based Eco-hydrology
Mississippi River, 59, 90, 175, 178 (NICE) model, xi, 301, 303, 304
Missouri, 68, 174 Nile, 3, 4, 37, 73, 238, 239, 243, 244, 252, 253,
mixing, 252 254, 257
modelling, 113 NIR, 305
models, 44, 48, 60, 62, 67, 68, 73, 102, 114, 145, nitrification, 127, 134, 137, 142, 145, 146, 273,
173, 187, 193, 194, 245, 277, 304, 312 286
modifications, 58, 74, 86, 92, 106 nitrogen, 5, 12, 17, 18, 35, 129, 130, 137, 139,
MODIS, 304 140, 141, 142, 143, 144, 148, 151, 243, 255,
moisture, 6, 21, 25, 39, 72, 73, 74, 84, 93, 134, 275, 282, 285, 286, 287
243, 271, 272, 273, 281, 304, 306 no voice, 199
normal distribution, 164
322 Index

normalized difference vegetation index (NDVI), Paraguay, 101

xi, 301 parallel, 17, 34, 84, 135, 209, 238, 245
North America, 37, 82, 103, 104, 133, 136, 137, parasites, 10, 206
138, 139, 140, 141, 142, 143, 145, 146, 148, parenchyma, 219
151, 152, 153, 154, 177, 265, 277, 278, 279, parental care, 59
280, 281, 282, 283, 285, 286, 288, 289 participants, 181, 182, 183, 184, 186, 187, 188,
Norway, 233, 253 189, 191, 192, 193, 194, 195, 196, 197, 198,
nuclei, 221, 228 199, 200
nutrition, 239, 256 partition, 35
pasture, 3, 89
pastures, 209
O pathology, 203, 205, 206, 207, 219, 224, 227, 228
pathways, 16, 59, 262, 274, 275, 276, 277
oak dominance, ix, 149, 158 PCA, 117, 121
objectivity, 185 peat, x, 243, 257, 291, 292, 293, 295, 297, 299,
obstruction, 302 300
oceans, 189 percentile, 114, 124, 125
OH, 96, 97, 102 perennial flowing waters, x, 259, 274
oil, 183, 204, 209, 212, 213, 226 permeability, 35, 219, 254
Oklahoma, 271, 282 permit, 10, 163
omission, 265 pests, 101
Ongagawa River basin, x, 291, 297 petroleum, 36
opacity, 181 pH, 12, 13, 38, 127, 132, 134, 206, 210, 211, 223,
operations, viii, 30, 292 230, 292, 293, 295, 297, 299, 300
opportunities, 93, 127, 195, 198, 275 Philadelphia, 102, 258
optimism, 253 Philippines, 191
optimization, 256, 310 phosphate, 138
oral cavity, 207 phosphorous, 35
ores, 30 phosphorus, 5, 12, 17, 18, 130, 140, 151, 243
organ, 205, 207, 218, 223, 227 photographs, 192
organelles, 219 photosynthesis, 11, 140, 241
organic compounds, 205, 212, 224, 225, 228 phthalates, 212
organic matter, 5, 12, 17, 18, 91, 123, 134, 136, physical activity, 32
142, 206, 211, 241, 244, 255, 256, 272, 273, physical characteristics, 93, 104
274, 278, 282, 286 physical structure, 14, 15
organism, 124, 207, 215, 218, 219, 223, 226, 227, physical, chemical, vii, 1, 55, 104, 111, 260, 278
228 physico-chemical parameters, 110, 126, 130, 131,
organize, 62 132
organs, ix, 203, 206, 207, 213, 214, 215, 216, Physiological, 175
217, 221, 223, 224, 226, 227, 228 physiology, 223
oscillation, 256 phytoplankton, 12, 32, 256
ownership, 249, 250 pioneer species, 5, 6, 84, 85
ox, 8, 250, 266 plankton, 57, 256, 257
oxidation, 206, 211, 272, 292, 293, 297, 299, 300 plant growth, 12
oxidation rate, 300 plants, 4, 5, 6, 7, 10, 11, 14, 16, 17, 21, 24, 26,
oxygen, 11, 12, 39, 56, 64, 79, 99, 130, 131, 252, 27, 28, 29, 39, 53, 72, 73, 74, 84, 91, 94, 143,
267, 297 151, 211, 212, 243, 244, 266, 271, 275, 276
oxygen consumption, 99 plasticity, 176
platform, 194
P playing, 180, 189, 194, 195
pluralism, 202
Pacific, 16, 96, 98, 103, 269, 286 PM, 175
paints, 209 poetry, 192
 Index 323

Poland, 153, 192 protected areas, 162, 190

policy, x, 162, 179, 180, 181, 182, 184, 185, 186, protection, 39, 60, 83, 84, 85, 95, 165, 170, 191,
195, 200, 249, 259, 285, 310 193, 200, 206, 245, 248, 249, 260, 276, 278
policy issues, x, 259 proteins, 227
policy responses, 200 public interest, 201
political leaders, 194 public life, 194
politics, 188, 193, 194, 200, 201, 202 public policy, 182
pollen, 41 pulp, 209
pollutants, ix, 40, 45, 203, 204, 212, 222 pumps, 38, 255
pollution, vii, 17, 30, 31, 32, 42, 45, 52, 60, 65, purification, 40, 190
93, 101, 110, 115, 119, 120, 121, 175, 183, pyrite, 292, 293, 297, 299, 300
203, 204, 209, 210, 212, 213, 214, 217, 218,
222, 223, 228, 230, 257, 291, 292, 299
polycyclic aromatic hydrocarbon, 204 Q
polymer, 212
polyvinylchloride, 209 quality control, 206
ponds, 24, 77, 93, 174, 242, 245, 276, 289 quality improvement, viii, 174
pools, 3, 9, 15, 56, 70, 78, 80, 82, 94, 103, 124, quality of life, viii
126, 131, 138, 142, 236, 241, 248, 261, 262, quality standards, 132, 136
265, 266, 267, 268, 269, 270, 271, 275, 277,
285, 288 R
population, 37, 42, 46, 47, 48, 62, 63, 68, 76, 79,
80, 95, 106, 162, 183, 203, 222, 229, 230, 241, radiation, 15, 306
242, 246, 247, 248, 249, 252, 253, 277, 302 rain forest, 21, 282
population density, 42, 46, 48 rainfall, x, 12, 34, 115, 117, 128, 130, 131, 234,
population growth, 249 236, 237, 238, 239, 243, 245, 246, 247, 248,
population size, 37 255, 273, 292
porosity, 36 rainforest, 191
Portugal, 142, 144, 255 rangeland, 99
potassium, 12, 35 rationality, 180, 189
poverty, 186, 249 reaction rate, 273
power plants, 28 reactions, viii, 110, 134, 224, 228, 272, 299
power sharing, 199 reading, 180, 187
precipitation, 15, 20, 21, 22, 115, 154, 260, 263, reality, 74, 170
264, 265, 277, 292, 293, 294, 304, 306 recognition, 113
predation, 26, 37, 70, 267, 269 recommendations, 101, 224
predators, 6, 10, 37, 63, 153 reconstruction, 84, 113
predictability, 123, 267, 286 recovery, 19, 25, 75, 81, 136, 253, 285, 311
preparation, iv, 129, 134 recovery process, 75
preservation, 135, 162 recovery processes, 75
pressure gradient, 114 recreation, viii, 3, 35, 40, 150, 162, 180, 183,
prevention, 93, 100, 101, 106, 231, 300 184, 190, 193
principles, 67, 200, 201, 253, 254 recreational, 9, 35, 37, 39, 44, 45, 77, 169, 190,
probability, 74 197
probability distribution, 74 recreational areas, 197
producers, 130 rectification, 196
professionals, 180, 187 Reference Condition Approach, vii, 109, 111
project, viii, 10, 49, 51, 68, 77, 83, 100, 112, 115, regenerate, 5, 250
116, 119, 136, 138, 141, 147, 169, 170, 180, regeneration, ix, 74, 86, 149, 152, 153, 160, 161,
185, 191, 194, 199, 202, 206, 249, 250, 254, 163, 166, 174, 175, 279
257 regionalization, 112, 115, 116, 119
proliferation, 218, 219 regression, 114, 121, 122, 208, 215, 216, 308,
propagation, 97 309
324 Index

regression analysis, 208 runoff, 1, 20, 26, 32, 33, 34, 35, 36, 93, 151, 169,
regression equation, 215 280, 282, 311, 312
regression line, 309 rural population, 248
regulations, 113, 190, 192 Russia, 203, 206, 208, 209, 210, 212, 222, 223,
rehabilitation, 60, 75, 95, 98, 248, 249, 250, 292 228, 229, 230
reintroduction, 41
relevance, 185, 187, 188, 300
reliability, 62, 113 S
religion, 191
remediation, 248 safety, 188
repair, 199 saline water, 144
reproduction, 32, 38, 45, 55, 152, 166 salinity, 11, 126, 132, 134, 135, 136, 147, 239
requirements, 8, 9, 14, 63, 69, 74, 76, 78, 91, 135, salmon, 16, 68, 91, 92, 269, 288
284 salts, 292
researchers, 60, 204, 222, 250, 265, 302 saltwater, 8, 16
reserves, 163, 169, 175, 234, 262, 275 samplings, 45
resilience, 19, 20, 25, 135, 281, 287 saturation, 131, 134, 139, 263
resistance, 19, 20, 38, 73, 76, 83, 84, 134, 202, savannah, 236, 239, 255
267, 287 scaling, 119
resolution, 68, 265, 293, 305, 306 scarcity, 135
resource availability, 63 school, 189, 268
resource management, xi, 102, 135, 231, 279, science, x, 105, 187, 231, 259, 285
301, 303 scientific papers, 204, 212, 213
resources, 9, 79, 163, 186, 268, 270, 271 sclerosis, 219
respiration, 45, 133, 134, 141, 241, 273 sea level, 117, 208, 209, 306
response, 20, 43, 44, 45, 57, 60, 96, 101, 110, seasonal changes, 122, 132
121, 128, 134, 136, 138, 145, 163, 173, 194, seasonal flu, 21
228, 260, 264, 272, 283, 285, 287, 288 seasonality, 45
restoration, vii, viii, ix, 1, 6, 8, 9, 10, 14, 19, 20, security, 187, 244
23, 34, 35, 43, 44, 45, 54, 60, 61, 62, 63, 67, sediment, viii, 1, 3, 9, 10, 15, 17, 18, 20, 23, 24,
75, 78, 79, 83, 84, 88, 89, 90, 92, 93, 94, 95, 26, 27, 30, 34, 35, 36, 52, 53, 65, 69, 71, 74,
97, 104, 105, 114, 135, 149, 170, 176, 255, 76, 77, 78, 80, 81, 83, 84, 86, 87, 89, 91, 93,
256, 286, 287, 311 94, 110, 114, 127, 145, 243, 273, 276, 279,
restrictions, 43 280, 281, 283, 286, 293, 297
rhizome, 243 sedimentation, 9, 20, 24, 59, 254
rice field, 120 sediments, 18, 24, 27, 32, 80, 81, 119, 120, 127,
rights, 24, 191 130, 137, 142, 146, 150, 151, 152, 204, 267,
risk, viii, 30, 42, 175, 182, 183, 186, 187, 188, 272, 273, 274, 292, 297, 299, 300
190, 191, 195, 196, 200, 221, 275, 292 seed, 74, 89, 90, 174, 249, 272, 275, 279, 282
risk management, 187 seeding, 84
risks, 83, 189, 190, 192, 198 seedlings, 174
room temperature, 296 segregation, 141
root, 17, 18, 22, 24, 37, 84, 243, 254 selenium, 12
root system, 22, 24 self-sufficiency, 185
root zones, 243 seminars, 248
roots, 5, 22, 40, 243, 281 senescence, 5, 243
rotifers, 6, 266 sensitivity, viii, 110, 121, 146, 212, 227
roughness, 73, 271 Serengeti ecosystem, x, 233, 234, 236, 246, 247,
routes, 5 248, 252, 253, 254, 255, 258
routines, 180, 181 Serengeti National Park (SNP), x, 233, 234, 235
Royal Society, 279 services, 150, 151, 173, 176, 183, 184, 248, 260
rules, ix, 179, 183, 188, 194, 196, 198, 200, 206 settlements, 151, 170, 243, 244, 249
sewage, 26, 32, 33, 110, 310
 Index 325

shade, 6, 82, 94, 150, 152, 153, 157, 160, 162, spleen, 207
164, 168, 173, 175 Spring, 24, 25, 270
shape, 2, 14, 15, 22, 78, 88, 90, 136, 164, 278 sprouting, 84, 85
shear, 76, 77, 250 stability, 9, 19, 20, 43, 44, 76, 80, 81, 83, 84, 140,
sheep, 40 147, 248, 260, 282, 287, 300
shelter, 14, 50, 82 stabilization, 76, 94, 97
shock, 252 stakeholder analysis, 179, 183, 184, 185, 196,
shoreline, 59, 83 199
shores, x, 234, 243, 244 stakeholder groups, 200
shortage, 39, 302, 305, 308 stakeholders, ix, 179, 181, 182, 183, 184, 185,
showing, 8, 66, 134, 157, 196, 234, 235, 261, 186, 187, 188, 189, 190, 191, 192, 193, 194,
294, 296 195, 196, 198, 200, 201
shrimp, 57 standard deviation, 118
shrubs, 35, 88, 98, 104, 272 standard error, 214
signals, 255 starvation, 246
signs, ix, 136, 160, 203, 207, 208, 218, 223 stasis, 218
silica, 12 state, ix, x, 19, 42, 63, 75, 91, 113, 117, 118, 163,
silicon, 255 169, 177, 180, 194, 195, 203, 205, 207, 222,
silver, 160 226, 229, 247, 259, 260, 275
simulation, 68, 96, 114, 281, 305, 306, 308 states, 44, 60, 68, 163, 181, 182, 266, 269
simulations, 74, 256, 310 statistics, 68, 156
Singapore, 102 steel, 29
skeleton, 206, 207, 215, 216 steroids, 39
skin, 58, 248 stoichiometry, 299
slaves, 182 stomach, 207, 252
snakes, 37, 202, 271, 283 storage, 5, 35, 93, 151, 170, 263, 265, 273, 282,
SNP, x, 233, 234, 235, 236, 237, 239, 241, 242, 312
243, 244, 245, 252, 253 stormwater, 93
SO42-, x, 211, 291, 293, 295, 296, 297, 299 stratification, 241
social activities, 305 stress, xi, 11, 12, 19, 20, 24, 25, 29, 30, 34, 35,
social development, 303, 311 37, 39, 43, 77, 135, 141, 204, 223, 229, 250,
social organization, 96 301, 302, 303, 305
society, 189, 194, 196, 200, 260, 302 stressors, 60, 101, 102, 111, 113, 122, 133, 135,
SOI, 237, 238, 255 136
soil erosion, 24, 245 strontium, 230
soil particles, 35 structural variation, 62
soil seed bank, 272, 279 structure, vii, viii, ix, 1, 3, 9, 14, 15, 18, 19, 20,
soil type, 35, 91 26, 28, 34, 35, 55, 60, 62, 63, 68, 76, 77, 78,
solid waste, 310 80, 81, 82, 83, 88, 94, 96, 99, 110, 120, 123,
solution, 75, 182, 186, 190, 197, 198, 201, 230, 132, 135, 136, 138, 140, 142, 145, 146, 153,
249, 299, 310 155, 159, 169, 170, 174, 175, 181, 185, 203,
South Africa, 147, 181, 201, 202, 255, 257, 279, 219, 220, 221, 255, 256, 271, 277, 278, 281,
288 282, 285, 286, 287, 289, 310
South Dakota, 280 structuring, 72
South Korea, 86 subgroups, 126, 136
Spain, 109, 114, 115, 120, 121, 122, 123, 124, subsistence, 242
127, 128, 130, 132, 134, 138, 140, 143, 144, substrate, 6, 8, 12, 23, 24, 44, 50, 52, 53, 63, 64,
147, 300 65, 68, 69, 70, 71, 76, 77, 78, 81, 87, 90, 120,
specialists, 43 124, 244, 249, 260, 268, 273
specifications, 90 substrates, 6, 12, 53, 54, 59, 64, 65, 84, 94, 119
Speke Gulf Game Controlled Area (SGGCA), x, subsurface flow, 130, 261, 263
233, 235 succession, 5, 6, 35, 62, 140, 150, 164, 173, 178,
spindle, 160 185, 281, 311
326 Index

Sudan, 4, 73 thermal properties, 68

sulfate, x, 291, 292, 293, 294, 295, 296, 297, 299, thinning, 207
300 thoughts, 197
sulfur, x, 291, 297 threats, 9, 150, 152, 169
sulfuric acid, x, 291, 292, 293, 297, 299, 300 threshold level, 19, 185, 188
Sulfuric acid, x, 291, 292, 293, 297, 299 Tibet, 21, 22, 35, 36
Sun, v, 301, 312 time periods, 158, 160, 204, 273
Supreme Court, 276 time series, 74, 305
surface area, x, 11, 64, 234 tissue, 148, 206, 215, 219, 221, 231
surface layer, 53, 252 tornadoes, 20
surplus, 12, 226 tourism, 32, 33, 35, 252, 253
surrogates, 165 toxic effect, 228
survival, 14, 32, 39, 69, 90, 244, 255, 267, 268, toxic metals, 226, 227
284 toxic substances, ix, 203, 204, 205, 206, 224,
survival rate, 39 225, 226, 228
sustainability, 182, 184, 185, 200, 223 toxicity, 19, 206, 216, 223, 230, 231, 299
sustainable development, xi, 231, 301, 302, 303, trace elements, 226, 227
310 tracks, 68
Sweden, 189 trade, 252
swelling, 218, 303 training, 28, 152, 153, 165, 200, 248
Switzerland, 149 traits, 114, 138, 143, 147, 157, 161, 163, 168,
symptoms, 32, 218, 221, 222 267, 279
synthesis, 227, 279 trajectory, 285
transformation, 218, 272, 312
transformations, 140, 272
T transparency, 23, 24, 181, 193, 196
transport, 16, 17, 35, 83, 86, 99, 100, 180, 190,
Taiwan, 23, 24, 58, 99
272, 274, 275
Tanzania, x, 233, 234, 245, 248, 249, 253, 254, transportation, 20, 26, 30, 190
255, 256, 258 treatment, 143, 209, 231, 256
target, 51, 63, 76, 83, 90, 111
tumors, 56, 58, 59
taxa, 43, 52, 53, 54, 61, 62, 101, 117, 121, 122,
turbulence, 80
124, 266, 267, 268 turtle, 287
taxonomy, 61, 143 typhoid, 248
taxpayers, 181, 185
technician, 61
techniques, 19, 60, 77, 84, 93, 97, 107, 110, 145, U
146, 223
technology, 202, 248 U.S. Army Corps of Engineers, 106, 279
telephone, 188 U.S. Department of the Interior, 99, 101, 103,
temperature, 6, 8, 11, 20, 21, 22, 25, 27, 35, 38, 105
39, 44, 65, 68, 69, 70, 71, 106, 115, 130, 132, U.S. Geological Survey, 284, 312
138, 154, 206, 210, 216, 217, 241, 251, 255, UK, 146, 279, 282
277, 295, 306, 312 UNESCO, ix, 149, 163, 173, 176
Tennessee Valley Authority, 88 UNESCO Flusslandschaft Elbe Biosphere
tension, 200 Reserve, ix, 149
tensions, 200 uniform, 9, 43, 50, 83, 92, 296
terraces, 3, 93, 150 unions, 190
terrestrial ecosystems, 110, 259, 265, 268 United, 97, 100, 104, 105, 137, 175, 201, 206,
territorial, 98, 200 264, 265, 269, 271, 272, 276, 278, 279, 285,
territory, 15, 42, 115, 209 286, 287, 288, 301
terrorism, 188 United Kingdom, 206, 301
texture, 218, 221, 306
Thailand, 38, 270, 283
 Index 327

United States, 97, 100, 104, 105, 137, 175, 201, vulnerability, 134, 183
264, 265, 269, 271, 272, 276, 278, 279, 285,
286, 287, 288
urban, vii, viii, xi, 14, 15, 26, 27, 33, 34, 92, 93, W
94, 95, 120, 134, 185, 190, 192, 245, 248, 276,
277, 301, 302, 303, 304, 305, 308, 309, 310, Wales, 81
311, 312 walking, 265
urban areas, 276, 277, 311 war, 188
urban population, 248 Washington, 83, 95, 96, 97, 98, 101, 102, 103,
urbanization, 20, 34, 101, 104, 276, 281, 285, 104, 105, 106, 107, 137, 140, 174, 176, 229,
298, 308 254, 284, 288
USA, 96, 105, 128, 130, 131, 149, 173, 175, 206, waste, 11, 32, 35, 110, 209, 249, 256, 292
214, 259, 263, 264, 265, 266, 267, 268, 269, weapons, 197
270, 271, 272, 276, 281, 289 wear, 191
USDA, 95, 96, 98, 99, 104, 283, 284 web, 28, 76, 201, 202
web sites, 76
well-being, 69, 185
V West Indies, 46
Western countries, 199
validation, 101, 113, 119, 120, 124, 229, 307 Western Europe, 153
vanadium, 229 wetlands, 3, 45, 50, 86, 90, 91, 92, 93, 152, 174,
variables, viii, 46, 62, 63, 69, 73, 102, 109, 112, 235, 241, 243, 244, 248, 249, 250, 252, 253,
115, 116, 117, 121, 126, 127, 132, 136, 185, 255, 256, 257, 279, 280, 284, 287, 292, 300
266 wetting, 260, 263, 269, 272, 273, 288
variations, 20, 45, 48, 111, 122, 132, 137, 140, wilderness, 173, 191
142, 143, 147, 150, 300, 304 wildlife, x, 10, 14, 15, 16, 17, 20, 43, 63, 67, 82,
varicose veins, 219 89, 91, 95, 113, 150, 152, 175, 209, 233, 241,
vegetation, xi, 3, 5, 6, 9, 10, 11, 14, 15, 16, 17, 245, 248, 252, 254, 256, 271
18, 20, 23, 24, 27, 32, 34, 35, 43, 61, 62, 64, Wisconsin, 58, 59, 90, 101, 102, 106, 149, 156,
72, 73, 74, 75, 78, 82, 83, 84, 86, 88, 89, 90, 160, 172, 173, 174, 178
93, 94, 96, 99, 113, 119, 120, 127, 141, 146, withdrawal, 309
150, 168, 173, 174, 175, 176, 177, 239, 249, wood, 24, 82, 95, 104, 162, 164, 268
252, 271, 272, 276, 284, 287, 288, 292, 300, woodland, 174
301, 305, 308, 310, 311 work ethic, 24
vegetative cover, 272 working groups, 112
vehicles, 35 World Bank, 182, 250, 254, 256, 258
vein, 198 worldwide, 37, 39, 77, 163
velocity, 8, 11, 38, 39, 44, 49, 50, 52, 54, 63, 64, worms, 6, 250
65, 68, 69, 71, 76, 78, 79, 83, 87, 133, 134, worry, 184, 195
266
Venus, 99
vertebrates, 4, 6, 57 Y
vessels, 207, 219
vested interests, 200 Yale University, 202
veto, 196, 197 yield, 57, 58, 59, 89, 156
victims, 182, 183, 184
violence, 197 Z
viscera, 207
vision, 193, 200 Zimbabwe, 255
Volga river, ix, 203, 208, 209, 210, 211, 213, 222 zinc, 230
vote, 190, 194
voting, 188