doi:10.2489/jswc.68.5.

401

Impact of afforestation density on soil and

water conservation of the semiarid Loess
Plateau, China
Z. Guo and M. Shao

Abstract: On the Loess Plateau of China, deep rooted, fast-growing species, such as caragana (Caragana korshinskii Kom.), are widely used in afforestation projects. High planting
densities and soil water consumption has led to soil desiccation and degradation. We conducted a two-year (2002 to 2003) field experiment assessing the effect of caragana planting
density on plant growth and hydrological processes at the Shanghuang Eco-Experimental
station. Caragana canopy interception, surface runoff, soil loss, and changes in plant growth
and soil water content were determined for five planting densities ranging from 16 to 87
shrubs 100 m2 (1,076 ft2). Increases in the caragana canopy within the growing season and
greater planting densities resulted in higher canopy interception and in lower runoff and
soil loss. The soil water carrying capacity for the caragana amounted to 72 shrubs100 m2
when rainfall approaches the long-term average. A sustainable, managed planting density is
required that will balance soil water losses due to runoff, the plants water requirements, and
the water supply. In cases where soil desiccation has already occurred, conservation management plans should attempt to recharge the soil water in order to reverse soil degradation.
Key words: planting densityrain-fed conditionrunoffsediment loadsoil water carrying capacity for vegetationvegetation restoration
Historically, human activities on the
Loess Plateau of China, such as those
associated with overgrazing, vegetative denudation, and reclamation, have
frequently occurred in association with
local population increases. Intense and
poorly managed agricultural practices have
often caused a decline in the density of natural plant populations (Metcalfe and Kunin
2006). Consequently, the original vegetation has disappeared, and there has been a
decrease in the level of forest cover and in
the ability of forests to maintain a balanced
ecological system. This in turn has resulted
in serious soil and water losses and, consequently, has led to a continual degradation
of the natural environment.
Since 1950, large-scale afforestation has
been carried out on the Loess Plateau, and
great progress has been made in reversing
these problems. Tree species, selected for
their capacity to extend deep roots and for
fast growth, have been planted at initially
high planting densities in order to rapidly

JOURNAL OF SOIL AND WATER CONSERVATION

establish higher degrees of ground cover,

biomass, and yields, and thereby to quickly
realize ecological, economic, and social
benefits during vegetation restoration. To
meet evapotranspiration needs, it is advantageous that the roots of these plants can grow
quickly and thus take up water from considerable soil depths. For example, caragana
(Caragana korshinskii Kom.) roots penetrated
to 7.3 m (24 ft) and to 8.8 m (28.9 ft) in 8and 15-year-old stands, respectively (Cheng
et al. 2000). However, the depth to which
water permeates the soil can be limited
under the rain-fed conditions of this region
(Guo and Shao 2009). Thus, root depth can
exceed the depth of soil water recharge by
rainwater, leading to soil desiccation around
the rooting zone (Guo and Shao 2003a,
2003b; Wang et al. 2010). Consequently,
the combination of increased water use by
plants and low water recharge rates has led
to widespread soil deterioration occurring
on the Loess Plateau in the form of excessive
soil drying under both perennial grasses and

forests (Li et al. 1990; Yang 1996; Wang et

al. 2000; Li 2001; Chen et al. 2005). Such
soil deterioration can adversely affect the stability of forest ecosystems and the ecological,
economical, and societal benefits of forest
and other plant communities.
Managing an ecological system in order
to maximize the benefits of vegetation restoration for conservation of soil and water
requires a balance between (1) rapidly
increasing the density and the degree of
cover of forest and/or other plant communities in order to protect large areas of
land, thereby quickly and effectively reducing water and soil losses due to runoff and
erosion (this should be achieved regardless
of other factors such as landform, rainfall
amount, soil type, slope, vegetation type,
forest age, etc.) (Gifford 1976; Bosch and
Hewlett 1982; Khanna et al. 1999; Wang
and Cai 1999; Gardiol et al. 2003; van Dijk
and Bruijnzeel 2003; Zhou et al. 2006), and
(2) reducing soil water losses resulting from
excessive consumption by vegetation since
increasing plant density and degree of cover
also increases evapotranspiration (Guo and
Shao 2004; Oh et al. 2005), which can lead
to soil deterioration. Therefore, in a region
with limited natural resources, the vegetation restoration plans should consider the
vegetation carrying capacity of the area, i.e.,
the capability of the local natural resources to
support vegetation (Guo and Shao 2003a).
One of the main factors affecting vegetation restoration in a semiarid Loess Plateau
region, the vegetation carrying capacity in
these regions may also be described as the
soil water carrying capacity for vegetation,
i.e., the capability of the soil water resources
to support vegetation (Guo and Shao 2003a,
2003b). Therefore, the balance between
consumption, which may be expressed by
evapotranspiration (Flumignan et al. 2011),
and the supply of water to the soil should be
considered when restoring vegetation cover
in order to realize the goal of sustainable
management of soil and water resources.
However, availability of relevant data, such
Zhongsheng Guo is an ecologist and professor,
and Ming-an Shao is a soil physics expert and
professor at the State Key Laboratory of Soil
Erosion and Dry Land Farming on Loess Plateau,
Institute of Soil and Water Conservation, Northwestern A&F University, Chinese Academy of
Science, Yangling, Shaanxi Province, Peoples
Republic of China.

SEPT/OCT 2013VOL. 68, NO. 5

401

as plant height and diameter, canopy growth,

depth of the soil water infiltration front, root
zone water supply, and consumption of the
forest land at different planting densities but
similar site conditions, needed to determine
this balance is often limited.
Caragana is a perennial sandy grassland and
desert deciduous shrub species, indigenous
to and distributed throughout the northwest
of China and Mongolia (Wang et al. 2007).
Typically 2 m (6.6 ft) high when full grown,
the shrub is nitrogen (N)-fixing, drought tolerant, and thrives in the sandy and silt loam
soils of the Loess Plateau. Consequently, it
has been widely used in this region to control both desertification and soil erosion.
However, caragana may result in soil desiccation at depth (Wang et al. 2010). Since
caragana may adversely affect the soil water
balance, it is important to determine how
it may be managed at a sustainable level in
order to achieve both vegetation restoration
and conservation of soil and water.
Therefore, the objectives of this study
on caragana were to (1) determine how
planting density affected the canopy coverage and rainfall interception, (2) examine
the relationship between planting density
and water and soil losses, and (3) outline
constraints on artificial caragana forest restoration in a semiarid region.
Materials and Methods
Study Site. The study was carried out at the
Shanghuang Eco-Experimental Station (latitude 3559 to 3603 N, longitude 10626
to 10630 E) in the semiarid region of the
Loess Plateau in the eastern 20 km (12 mi)
from Guyuan County in the Ningxia Hui
Autonomous Region of western China. The
area is located in a hilly loess region with an
elevation range of 1,534 to 1,824 m (5,032.8
to 5,984 ft) and slope gradients of 0 to 10;
the slope gradient below the valley shoulder line is more than 25. The main soil type
is Huangmian soil (Calcaric Cambisol, FAO
UNESCO 1988) that is developed from loess
and is susceptible to soil and water losses,
which are serious in this region. The rainfall is
unevenly distributed in the year with a mean
annual precipitation of 416 mm (16.4 in), and
rainfall from June to September accounts for
64.7% of the total annual precipitation. The
coefficient of variation of precipitation among
the years from 1983 to 2001 was 23.8%, and
rainfall amounts ranged from 260 to 635 mm
(10.2 to 25.0 in), with a median rainfall amount

402

SEPT/OCT 2013VOL. 68, NO. 5

of 434 mm (17.1 in). Mean solar radiation is

5,342 MJ m2; annual average temperature is
7C (44.6F). Plant growing period is 152 days.
Groundwater level is more than 60 m (197 ft).
The experimental area was located in a
16-year-old caragana stand of about 20 ha
(49 ac) at the center of a west-facing slope
with a gradient of 0 to 15 at an elevation
of approximately 1,650 m (5,413 ft). The
stand comprised 8,700 caragana shrubs ha1.
Shrubs had a mean canopy projection area
of 0.71 m2 (5.4 ft2), a mean height of 1.03 m
(3.4 ft), a mean dry biomass of 1.04 kg (2.3
lb), and a mean stem diameter of 11.6 mm
(0.46 in), with an average of 34 stems per
shrub. Herbaceous plants growing under the
shrubs included Stipa bungeana, Heteropappus
attaicus, Artemisia giraldii, Lespedeza davurica,
and Thymus mongolicus.
Measurements. A preliminary investigation
of the existing caragana shrubs was made at
the study site in April of 2002.Within the
caragana stand at similar site conditions, five
similar 100 m2 (5 20 m) plots (1,076 ft2
[16.4 65.6 ft]) with almost the same conditions, including slope gradient (about 8),
slope direction (east by south), slope position
(in the middle of Heici Mountain), and soil
and vegetation type, were prepared with the
20 m (65.6 ft) side constructed down the
slope.The density of the existing caragana forest was 87 shrubs 100 m2. One plot retained
this planting density, while the other four were
thinned by cutting away the aboveground
caragana plant material to establish five field
experimental plots with five different planting densities of 87, 71, 51, 32, and 16 shrubs
100 m2. During the course of the experiment
from 2002 to 2003, caragana stems that grew
from the base of the cut shrubs were removed
when they had grown to a height of 5 to 10
cm (2.0 to 3.9 in) in order to maintain the
designated planting density.
Canopies Interception Measurements.
Daily and monthly rainfall data in the study
site from 1983 to 2001 were obtained from
the Shanghuang Eco-Experiment monitoring station, located at about 50 m (164
ft) from the study site. Three standard rain
gauges, 20 cm (7.9 in) in diameter, were
placed in cleared areas close to each plot to
measure rainfall outside the caragana forest.
Two to four additional shorter rain gauges
(20 cm [7.9 in] height, 20 cm [7.9 in] diameter) were placed under the sample shrubs
in the plots to measure throughfall. Canopy
interception was measured in each plot dur-

ing rainfall events. Canopy interception (CI)

of a single canopy was equal to the difference between the rainfall measured in the
areas without shrubs (P2) and that measured
beneath the canopy of the shrubs (P1); i.e.,
CI = P2 P1. (1)
The rate of canopy interception in a plot
(Cp) for a particular growth stage is given by
Cp = CI CD, (2)
(Guo and Shao 2004).
Plant Measurements. In each plot, 10
sample shrubs were selected to determine
plant growth characteristics and the canopy
coverage area. Four stems in every shrub
sample and 40 stems in each plot were
selected to determine the mean height
and stem diameter of the selected shrubs.
Measurements of height, basic diameter,
and canopy were made at every 15-day
interval during the growing period. Since
the shape of the caragana canopy projection
area is approximately elliptical, the maximum horizontal diameter of the crown was
measured in two directions, perpendicular
to each other. The projection area (PA) of a
caragana canopy is then given by
PA = a b , (3)
where a and b are the short and long radii
of the ellipse and is circumference ratio.
Canopies cover degree (CD) is then given by
CD = PA' n St ,

(4)

where CD is total degree of caragana shrub

canopies cover in a plot. PA' is the mean
projection area of the measured caragana
canopies within the plot, n is the number
of shrubs in the plot, and St is the plot area
(see table 1).
A shrub, to be used as a sample with
approximately the mean height and diameter of the shrubs within the plot, was selected
near a side boundary outside of each plot.
The aboveground parts of the shrub were
removed, and a hole was dug around the
base of the shrub (1 1 m in area and 5 m
deep) (3.3 3.3 ft area and 16.4 ft deep).
Mean root diameter and root biomass were
determined for soil depths of 0 to 10, 10 to
50, 50 to 100, 100 to 200, 200 to 300, 300

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Table 1
Slope gradients and canopy projection areas of the experimental plots with various planting
densities of caragana.

Planting density (shrubs 100 m2)

Item

87 71 51 32 16

Slope gradient ()
7.9
7.8
8.5
7.7
7
Projection area (m2) 99.2 99.1 99.1 99.3 99.4

to 400, and 400 to 500 cm (0 to 3.9, 3.9 to

20, 20 to 40, 40 to 79, 79 to 118, 118 to 157,
and 157 to 197 in).
In each plot, the dry biomass of the
herbaceous plants under the shrubs was
determined from representative samples,
which were cut and removed from four 1
1 m (39 39 in) quadrants and dried at
105C (221F), and from a visual assessment
of the overall coverage area of these plants.
Plots were investigated in the spring of the
following year to estimate the survival rate.
Runoff Measurements. One upper edge
and two side edges of the plots were bordered by cement boards, 50 cm (20 in) high,
set in the soil to a depth of 30 cm (11.8 in)
to form 100 m2 (5 20 m; 1,076 ft2) runoff plots. Slope gradient is given in table 1.
Runoff was funneled from the lower end of
the plot into a covered collection barrel. The
runoff volume was recorded after each rainfall event. The contents of the barrel were
then thoroughly mixed, and a 1 L (1.75 pt)
subsample was removed to determine the
sediment mass by weighing after drying in
an oven at 105C (221F); sediment concentration was calculated.
Soil Water Measurements. Two 4 m
(13 ft) long, aluminum access tubes were
inserted into the soil at the center of each
experimental plot with a 2 m (6.5 ft) contour distance between them. A neutron
probe, CNC503A (DR) (Beijing Nuclear
Instrument Company, Beijing), was used
for monitoring the field soil water content.
The neutron probe was calibrated for the
soil in the study area using standard methods
(Hauser 1984). The neutron probe detected
slow neutrons, which are in linear proportion to the soil water content (Evett et al.
2012). The calibration equation was

5 cm (2 in) depth. The soil water content

obtained for each measuring depth was taken
to be representative for the soil layer that
included the measuring point 10 cm (3.9
in) depth, apart from that for the 5 cm (2 in)
depth, which was taken to represent the upper
10 cm of soil. Neutron counts were made for
16 seconds. In addition, we measured the soil
water content before and after a rainfall event.
The depths of rainfall wetting for a rain
event were determined by comparing the
changes in soil water content with depth
before and after a rainfall event. Recharge
depth was equal to the distance from the surface to the intersection of the two soil water
content curves plotted a against soil depth.
There was no groundwater influence, and it
was assumed that there was no lateral flow
and that the simultaneous consumption of
water by growing plants during the rainstorm
would be negligible (Guo and Li 2009).
Soil water supply (SWS) was calculated from
SWS = P2 CI RF, (6)
where P2, CI, and RF express the sum of precipitation outside caragana shrub, canopies
interception, and runoff (mm), respectively.
Soil water consumption (SWC) was calculated from
SWC = initial soil water storage final soil
water storage + SWS.

(5)

Statistical Analysis. The significance of the

planting density effects on all the measured
parameters were analyzed using analysis of
variance (ANOVA) with SPSS 13.0 software.
Regression analysis was used to determine
the relationships between planting density
and other various attributes using the least
square method. Data were transformed when
necessary to obtain a linear relationship.

where A is the volumetric soil water content

expressed by percentage (%) and B is the ratio
of the neutron count in soil to the standard
count in water. Measurements were made
every 15 days to a depth of 4 m (13 ft) in
increments of 20 cm (7.9 in) starting at the

Results and Discussion

In every plot in 2002 and 2003, 100% of
the caragana shrub samples and stem samples survived.
Planting Density and Degree of Cover.
The degree of vegetative cover is an impor-

A = 55.76B + 1.89 ,

JOURNAL OF SOIL AND WATER CONSERVATION

tant index by which to express the function

of vegetation when considering conservation of soil and water. It reflects the degree of
plant growth and leaf area index and thus the
demands of the plant on soil water resources,
as well as the protection the plant gives to the
soil surface, thereby affecting soil erosion and
runoff (Wei et al. 2002).
We found that the same seasonal trends
in degree of cover occurred regardless of the
density of the caragana shrubs growing in the
experimental plots, and these corresponded
to the seasonal development of the caragana canopies. The degree of cover increased
gradually from 72% in 2002 and 74% in
2003 on the budding stage in mid-April to
82% in 2002 and 87% in 2003 on the fully
open leaf stage by the end of June, and the
max cover of 90% in 2002 and 88% in 2003
is reached by mid-July for the plots with a
density of 87 shrubs 100 m2 (1,076 ft2),
as shown in figure 1. The degree of cover
then remained relatively constant from midJuly to September. This degree of cover we
defined as the stable coverage degree (SCD).
The relationship between canopy cover
degree in 2002 (CD1) and in 2003 (CD2) and
time (t) was determined respectively to be
CD1 = 6,077.1 Ln(t) 63910, r 2 = 0.9427,
and CD2 = 4,293 Ln(t) 45167, r 2 = 0.8999,
where t expresses time in days.
The total basal diameter of the caragana
shrubs and their total degree of soil cover
would increase with planting density. The
mean basal diameter of the caragana shrubs
reduces from 9.3 mm (0.4 in) with a standard deviation of 2.2 mm (0.08 in) in 2002
and from 10.4 mm (0.4 in) with a standard
deviation of 2.3 mm (0.09 in) in 2003 in the
plot with a planting density of 16 shrubs 100
m2 (1,076 ft2) to 8.3 mm (0.3 in) with a
standard deviation of 1.62 mm (0.06 in) in
2002 and to 8.8 mm (0.3 in) with a standard
deviation of 1.8 mm (0.07 in) in 2003 in
the plot with a planting density of 87 shrubs
100 m2, as shown in figure 2. Furthermore,
the planting density (D) and the mean basal
diameter in the plots in 2002 (MBD1) and
in 2003 (MBD2) are linearly related, and the
relationship was determined respectively
to be MBD1 = 0.0131 D + 9.5848, r 2 =
0.9604, and MBD2 = 0.0227 D + 10.686, r 2
= 0.9445, where r 2 is the determinant coefficient, as shown in figure 2. Along with the
increase of the number of shrubs, plant competition for nutrients, soil water, and sunlight
increases (Zeide 2005). When the planting

SEPT/OCT 2013VOL. 68, NO. 5

403

Figure 1

Date

Sept. 16

Sept. 1

Aug. 17

Aug. 2

July 18

July 3

June 18

June 3

May 19

May 4

120
110
100
90
80
70
60
50
40
30
20
10

Apr. 4

Sept. 1

Aug. 17

Aug. 2

July 18

July 3

June 18

June 3

May 19

May 4

Degree of cover (%)

(b)

Apr. 19

120
110
100
90
80
70
60
50
40
30
20
10

Apr. 4

Degree of cover (%)

(a)

Apr. 19

The degree of vegetative cover is an important index by which to express the function of vegetation to conserve soil and water. The degree of cover
changed with time from (a) 72% to 90% in 2002 and from (b) 74% to 87% in 2003 in the caragana plot with a planting density of 87 shrubs 100 m2
in the growing season.

Date

Figure 2

(b)

14
12
10
8
6
4
2
0
0

20

40

60

80

100

Planting density (shrubs 100 m2)

Mean basal diameter (mm)

(a)

Mean basal diameter (mm)

The mean basal diameter of the caragana shrubs decreases with planting density. The relationship between mean basal diameter of caragana
shrubs and planting density in (a) 2002 and in (b) 2003 is shown in the graphs.

12
11
10
9
8
7
6
5
4
3
2
1
0

0 20 40 60 80 100

Planting density (shrubs 100 m2)

Figure 3

(b)

110
90
70
50
30
10
-10

0 20 40 60 80 100
120

Planting density (shrubs 100 m2)

404

SEPT/OCT 2013VOL. 68, NO. 5

Degree of cover (%)

(a)

Degree of cover (%)

The degree of cover increased with the plant density from (a) 17% to 72% in 2002 and from (b) 17% to 75% in 2003 at the beginning of the growing
period. Logarithmic relationships were found to exist between planting density and the degree of coverage.

120
100
80
60
40
20
0
-20

0 20 40 60 80 100

Planting density (shrubs 100 m2)

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Figure 4

(b)

1.2
1
0.8
0.6
0.4
0.2
0
0

20

40

60

80

Planting density (shrubs 100 m2)

density is low, individual shrubs can grow better since they are less likely to be shaded by
other shrubs and can thus receive more light
and also greater amounts of soil water and
nutrients are available to them. But the total
caragana shrub cover with a higher planting
density develops faster in the plots with higher
planting densities because of their higher total
degree of cover and higher total basic diameter. Hence we observed that the change in
the degree of cover of caragana shrubs during
the entire growing season was 18% in 2002
and 14% in 2003 for the experimental plots
with a higher planting density of 87 shrubs
100 m2, whereas it was only 9% in 2002 and
8% in 2003 for those with the low density of
16 shrubs 100 m2.
The degree of cover in a plot changes
with the plant density. The degree of cover
increased with the plant density from 17% in
the plot with a planting density of 16 shrubs
100 m2 (1,076 ft2) to 72% in the plot with a
planting density of 87 shrubs 100 m2 at the
beginning of the growing period in 2002, and
from 17% in the plot with a planting density of 16 shrubs 100 m2 to 75% in the plot
with a planting density of 87 shrubs 100 m2
at the beginning of the growing period in
2003, as shown in figure 3. Furthermore, the
incremental increases in the degree of cover
differed for the plots with various plant densities.The equations describing the relationships
between D and CD1 (2002) and CD2 (2003)
at the beginning of the growing period, fitted by regression, were found to be CD1 =
0.2877Ln(D) 0.5699, r2 = 0.8898, and CD2
= 0.2778Ln(D) 0.5545, r2 = 0.8735, where
the symbol of Ln expresses natural logarithm

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100

Stable coverage degree (%)

(a)

Stable coverage degree (%)

The degree of cover increased gradually from the budding in mid-April to the fully open leaf stage by the end of June, and then the degree of cover
remained relatively constant from mid-July to September. This relatively constant degree of cover we defined as the stable coverage degree (SCD).
The graph shows the SCD as a function of the planting density of caragana in (a) 2002 and in (b) 2003.

1.2
1
0.8
0.6
0.4
0.2
0

0 20 40 60 80 100

Planting density (shrubs 100 m2)

and Ln(D) is natural logarithm of planting

density. The equations are suggested only for
the range of the planting density from 16
shrubs 100 m2 to 87 shrubs 100 m2.
The SCD increased with the plant density
from 24% in the plot with a planting density of
16 shrubs 100 m2 (1,076 ft2) to 90% in the plot
with a planting density of 87 shrubs 100 m2 in
2002, and from 25% in the plot with a planting
density of 16 shrubs 100 m2 to 87% in the
plot with a planting density of 87 shrubs 100
m2 in 2003, as shown in figure 4. Logarithmic
relationships were found to exist between D
and SCD in the final stages of the growing season in 2002 (SCD1) and in 2003 (SCD2); the
relationship was given respectively by SCD1 =
0.33Ln(D) 0.6162, r2 = 0.9015, and SCD2=
0.3374 Ln(D) 0.6569, r2 = 0.9657.
Planting Density and Canopy Interception.
It is difficult to directly and accurately measure
stemflow in a dense caragana shrub because
the amount of stemflow is small and the main
stems are thin (mean diameter 11.6 mm [0.46
in]). However, canopy interception of the
caragana brush can be expressed as the difference between throughfall, measured inside
the brush, and the rainfall intensity measured
outside the brush.The storage of water within
the canopy is expressed using the canopy storage capacity (Wallace and McJannet 2008).
Generally, the amount of rainfall intercepted
by the canopy generally increases exponentially with increasing rainfall when the total
rainfall amount is smaller than or equal to the
canopy storage capacity; canopy interception
is approximately constant once the total rainfall amount exceeds this limit. The caragana
shrub is deciduous and in a state of defoliation

from October to May, during which time the

rainfall amount in any given rainfall event is
small; in this period, canopy storage capacity
is at its lowest, and the canopy interception is
also small. Canopy storage capacity increases
as foliage grows back during the early part
of the growing season. This corresponds to
the period when rainfall storms increase in
amount and intensity in our study area.
We determined that the canopy interception of dense caragana forest (87 shrubs 100
m2 [1,076 ft2]) changed from 0.25 mm (0.01
in) to 2.48 mm (0.1 in) during the growing
season of 2002, corresponding to rates of canopy interception of 5% to 53.6%. In 2003, the
canopy interception of dense caragana forest
changed from 0.25 mm (0.01 in) to 3.52 mm
(0.14 in), corresponding to rates of canopy
interception of 2.2% to 83.8%.
The importance of canopy interception is
that the water absorbed on the surfaces of the
leaves and branches is prevented from reaching the soil surface. Following a rainstorm,
much of this water is lost to evaporation.
With an increase in planting density from
16 shrubs 100 m2 (1,076 ft2) to 87 shrubs
100 m2, the quantity of branches and leaves
and biomass per unit ground area is also
increased, and thus canopy interception is
increased. Using measurements made in the
period from June 30 to August 15, 2002, as
an example, the accumulated canopy interception increased from 9.7 mm (0.4 in) in
the plot with a planting density of 16 shrubs
100 m2 to 33. 7 mm (1.3 in) in the plot with
a planting density from 16 shrubs 100 m2, as
shown in figure 5. The relationship between
cumulative canopy interception of one rain

SEPT/OCT 2013VOL. 68, NO. 5

405

Figure 5
With an increase in planting density from 16 shrubs 100 m2 to 87 shrubs 100 m2, the quantity
of branches and leaves per unit ground area is also increased, and thus canopy interception is
increased. The sum of canopy interception as a function of the planting density of caragana
between June 30 and August 15, 2002, is shown.

Canopies interception (mm)

40
35
30
25
20
15
10
50
0
0

20

40

60

80

100

Planting density (shrubs 100 m2)

Figure 6

Biomass (g m2)

An effect of reduced planting density on runoff and soil losses may occur due to potentially
increased coverage area and biomass of undergrowth species because the biomass of undergrowth species increases with planting density. The graph shows the effect of the planting
density of caragana on undergrowth species in 2002.

140
130
120
110
100
90
80
70
60
50
40
30
20
10
0

0 20 40 60 80 100

Planting density (shrubs 100 m2)

Legend
Fresh weight

Dry weight

event in a plot (Cp) and planting density (D)

was found to be Cp = 38.51 [1 + 6.63
exp(0.048 D)], r 2 = 0.982.
Planting Density and Runoff. Rainwater
is redistributed across the land surface by the
process of surface runoff, which is related to
the soil infiltrability. During rainfall events

406

SEPT/OCT 2013VOL. 68, NO. 5

in our study area, negligible evaporation of

the rainwater on the soil and plant surfaces
occurs due to the relatively low temperatures, greater air humidity, and lower air
vapor pressure deficit near the ground. Thus,
most of the rainwater that reaches the forest soil surface infiltrates into the soil or is

removed from the slope as overland flow. In

the period from April of 2002 to October
of 2003, there were only five rainfall events
that generated runoff in our plots; the runoff
amount ranged from 0.25 mm (0.01 in) to
1.56 mm (0.06 in).
Runoff occurs when rainfall or throughfall intensity is greater than the infiltration
rate. The infiltration rate of a soil is reduced
by the formation of a surface seal that occurs
due to the breakdown of surface aggregates
by raindrop impact and physicochemical dispersion and the blockage of soil pores by the
finer particles thereby produced (Agassi et
al. 1981). Canopy interception reduces the
kinetic energy of raindrops impacting the
soil surface, reducing the degree of aggregate
breakdown and compaction that causes surface sealing, and thus maintains higher soil
infiltration rates. Canopy interception also
reduces the volume of rainwater reaching
the soil surface. Furthermore, vegetation
cover increases surface roughness, which can
increase infiltration and impede overland
flow (Liu et al. 1987). These effects, which
all reduce surface runoff, are greater with
increased planting density. Thus, the total
runoff in the densely planted plots (4.4 mm
[0.2 in]) was 14.6% of that in the low density
plots in the period from 2002 to 2003 (see
table 2). Empirically we found that a logarithmic relationship between runoff (RF)
and planting density existed: RF = 78.454
16.899Ln(D), r 2 = 0.956.
Planting Density and Soil Loss. Overland
flow is one of the main causal agents leading
to severe soil erosion on the Loess Plateau.
Sediment concentrations were measured
only in 2003. In our study, increased planting density from 16 shrub 100 m2 (1,076
ft2) to 87 shrubs 100 m2 was associated with
reduced soil losses from 6.6 g 1,000 ml1 (0.2
oz 1.8 pt1) in the plot with the planting density of 16 shrub 100 m2 to 4 g 1,000 ml1
(0.1 oz 1.8 pt1) in the plot with the planting
density of 87 shrub 100 m2, reflected in the
lower sediment concentrations in the runoff
from the plots (see table 3). The relationship
between the sediment concentration in the
runoff (SC) and planting density was found
to be SC = 6.59 (1 + 1.15906 1013
D6.64321), r 2 = 0.9327.
Increased planting densities reduced soil
losses by reducing the kinetic energy of the
raindrops and, consequently, the detachment
of particles from the soil surface. Furthermore,
the reduction in overland flow rates reduced

JOURNAL OF SOIL AND WATER CONSERVATION

Table 2
Annual runoff amounts from plots of caragana with various planting densities.

JOURNAL OF SOIL AND WATER CONSERVATION

Planting density (shrubs 100 m2)

Runoff year

87

71

51

32

16

2002 (mm) 1.81 1.88 4.32 6.36 6.89

2003 (mm)
2.58
2.16
6.55
17.12
23.23
Total (mm)
4.39
4.04
10.87
23.48
30.12

Table 3
Examples of sediment concentrations (g L1) in runoff from plots of caragana with various planting densities during two rainfall events.

Planting density (shrubs 100 m2)

Event date

87

71

51

32

16

May 31, 2003

2.05
2.17
3.3
3.3
3.32
July 22, 2003 1.99 1.98 3.22 3.28 3.27
Total
4.04 4.15 6.52 6.58 6.59

Table 4
Results of the effect of pipe position, planting density, and soil depth on soil water content.

Item

Pipe Planting
position
density

The value of p 0.09

Year

Soil depth

Figure 7
The depths of rainfall wetting for a rain event were determined by comparing the changes of soil
water content with depth before and after a rainfall events and are equal to the distance from
the surface to the joint between two curves. The graph shows the change of soil water infiltration depth with time and the max depth of infiltration in the caragana forest in 2003.

Soil water content (%)

4 6 8 10
12 14
16
18
20
22 24
0
40
80

Soil depth (cm)

the carrying capacity of the runoff water

while increased surface roughness created
more tortuous flow paths enhancing deposition of suspended particles.
An effect of reduced planting density on
runoff and soil losses may also occur due
to potentially increased coverage area and
biomass of undergrowth species; averaged
biomass of undergrowth species increases
from 104.3 g (0.23 lb) (fresh weight) and 81
g (0.18 lb) (dry weight) 1 m2 (10.8 ft2) in
the plot with a planting density of 87 shrub
100 m2 (1,076 ft2) to 125 g (0.28 lb) (fresh
weight) and 97g (0.21 lb) (dry weight) 1 m2
in the plot with a planting density of 16 shrub
100 m2, as shown in figure 6.The relationship
between biomass of undergrowth species and
planting density of caragana is linear, but the
correlation coefficient is r 2 = 0.5507, lower
than that of the relationships among planting
and other attributes. The correlation is not
significant. Increased sunlight and greater
availability of water and nutrient resources
for these species may benefit their growth.
As noted above, the presence of such plants
may reduce the adverse effects of thinning
the caragana on soil and water losses.
Planting Density Effects on Water Balance.
The advantages of increased planting density
in reducing runoff water and soil losses are
evident from our data. However, while these
are notable benefits of caragana forest growth
in conserving soil and water resources, does
increased planting density always meet the
need of sustainable forest management?
The analyses of ANOVA show (see table
4) that the value of p for pipe position is 0.09
(more than 0.05), suggesting that the difference is not significant between two pipe
positions (duplicate) at the same soil depth
and plot in the same year; all the value of p
on the other factors are smaller than 0.05,
suggesting that the difference is significant
among different density plots, the two years,
and different soil depths, respectively.
The 384.8 mm (15.1 in) of rainfall in 2002
was 7.4% less than the mean annual rainfall of
416 mm (16.4 in) during 1983 to 2001. The
soil depth to which rainwater can penetrate is
dependent on the amount of rainfall and the
time following a rainfall event. The difference
among different planting densities is smaller than
20 cm (0.8 ft) (Guo and Shao 2009).The depths
of rainfall wetting for a rain event were the distance from the surface to the joint between the
changes in soil water content with depth before
and after rainfall events.We found that the depth

120
160
200

Legend

240

Apr. 21, 2003

July 14, 2003

280

Aug. 15, 2003

Aug. 30, 2003

Sept. 15, 2003

Oct. 1, 2003

Oct. 15, 2003

Nov. 1, 2003

320
360
400

of rainfall wetting for a rain event increases with

rainfall and time, and this ranged from the maximum water recharge depth of 170 cm (5.6 ft)
in 2002 to 210 cm (6.9 ft) in 2003, as shown in
figure 7, and to 290 cm (9.5 ft) in 2004 (Guo

and Shao 2009), which is less than our studied

depth (0 to 400 cm) (0 to 13.1 ft).
The root biomass reduced with soil depth,
as shown in figure 8. Although roots were
observed penetrating to a depth of more

SEPT/OCT 2013VOL. 68, NO. 5

407

Figure 8
The root biomass reduced dramatically with soil depth. Although roots were observed to
penetrate to a depth of more than 400 cm, the majority of the roots were in the upper 150 cm
layer of soil. The root biomass reduces exponentially with soil depth, and most of root biomass
is in the upper 150 cm soil. The graph shows the effect of soil depth on root biomass in the
caragana forest.

Root biomass (kg m1)

12
10
8
6
4
2
0

0 100 200 300 400 500

Soil depth (cm)

Figure 9
The rainfall amounts ranged from 260 to 635 mm with a mean annual precipitation of 416 mm
and a coefficient of variation of 23.8%. The rainfall is unevenly distributed in the year, and the
rainfall from June to September accounts for 64.7% of the total annual precipitation. The graph
shows the dynamics of average precipitation, precipitation in 2002, and precipitation in 2003
with month in the caragana forest.

250
200
150
100

Dec.

Nov.

Oct.

Sept.

Aug.

July

June

May

Apr.

Mar.

Feb.

50
Jan.

Precipitation (mm)

300

Month
Legend
Average precipitation

than 400 cm (13.1 ft), the majority of the

roots were in the upper 150 cm (4.9 ft) layer
of soil. The relationship between the root
biomass (RB) and soil depth (Z) was found
to be RB = 61.464Z1.1808, r 2 = 0.9962.

408

SEPT/OCT 2013VOL. 68, NO. 5

2002

2003

The volumetric soil water content in the

layer below the maximum water recharge
depth (measured between 380 cm [12.5 ft]
and 180 cm [5.9 ft] in 2002; 210 cm [6.9 ft]
in 2003) was found to be about 8%, which
is smaller than the upper limit of the wilting

point (8.6%). Other authors have indicated

that caragana can extract water held at higher
potentials (Cheng et al. 2009). Thus the caragana roots can take up soil water in the soil
layers from 0 to 400 cm (0 to 13.1 ft), but most
water can be taken from the moister upper layers (0 to 170 cm [5.6 ft] in 2002; 0 to 210 cm
[6.9 ft] in 2003), as shown in figure 8, and the
difference is small among planting densities.
Caragana grew most rapidly in July and
August of 2002, and during that time the
water requirement increased. However, the
soil water content of the entire soil profile
was about 8% after June 30, 2002, because the
monthly precipitation in July and August of
2002 was smaller than that of the average precipitation, as shown in figure 9. Caragana has
the ability to reduce its water requirements
by changing its color and dropping its leaves
in order to reduce transpiration and thus is
adapted to conditions of serious soil water
stress. However, until or even during such
times of stress, caragana can cause severe soil
drying (Cheng et al. 2009). Caragana almost
stopped growing in August of the wet year
2003 because of soil drying at the early growing stages before the rainy season came (on
August 5) , as shown in figure 10. Therefore,
to reduce soil degradation and to ensure
healthy plant growth conditions, the density
of caragana forests needs to be controlled.
The relationships between planting density
and soil water supply (i.e., the amount water
added to the root zone of the soil) and soil
water consumption (i.e., evapotranspiration,
evaporation, and the amount of water taken
up by the plants) are closely linked. The soil
water supply is linearly reduced with increasing planting density, whereas the relationship
between planting density and soil water
consumption is more accurately fitted by a
polynomial function, as shown in figure 11
(Guo and Shao 2004). In the growing season
of 2002, the soil water supply was equal to soil
water consumption at our study site when the
planting density was 72 shrubs 100 m2 (1,076
ft2), which is equivalent to the capacity of the
soil water to support this amount of vegetation (caragana shrub). During the growing
season, soil water content and soil water storage increased due to the balance between
water supply and water use; in 2003 soil water
storage increased by 180.6 mm (7.11 in) from
293.5 mm (11.6 in) in the end of growing
season in 2002 (November 29, 2002) or by
178.8 mm (7.04 in) from 295.3 mm (11.6 in)
at the beginning (April 13, 2003) to 474.1

JOURNAL OF SOIL AND WATER CONSERVATION

Figure 10
Soil water content accrues mainly from rain and changes with time and soil depth in the semiarid loess hilly region of China because there is no influence of groundwater level (more than
60 m), no lateral flow, and good permeability of loess soil. The graph shows the change of soil
water content with time and soil depth in (a) a 16-year-old caragana forest plot with a planting
density of 87 shrub 100 m2 in 2002 and in (b) a 17-year-old caragana forest plot with a planting
density of 87 shrub 100 m2 in 2003.

(a)

Soil depth (cm)

Soil water content (%)

4 6 8 10 12 14 16 18
0
40
80
120
160
Legend
200
Apr. 13, 2002
May 30, 2002
240
280
June 30, 2002
July 15, 2002
320
July 31, 2002
Aug. 15, 2002
360
Sept. 1, 2002
Sept. 15, 2002
400
Sept. 30, 2002
Oct. 15, 2002
Nov. 1, 2002

(b)

Nov. 29, 2002

Soil depth (cm)

Soil water content (%)

4
0
40
80
120
160
200
240
280
320
360
400

10 12

mm (18.7 in) in the end of growing season

(November 1, 2003), as shown in figure 9,
respectively, suggesting that when the rainfall
approaches to the maximum recorded annual
rainfall (634.7 mm [25 in] in 1984), such as in
2003, there will be an increase in soil water
storage in the upper soil.The soil water carrying capacity for caragana in 2003 is 87 shrubs
100 m2. The increased soil water storage in
2003 can be used by caragana in the following
year (Guo 2010). Because the annual rainfall
in 2003 was 623.3 mm (24.5 in), almost that of
the maximum recorded annual rainfall (634.7
mm [25 in] in 1984), which was considered
to be a 20-year event, and because the annual
rainfall in 2002 was close to the average rain-

JOURNAL OF SOIL AND WATER CONSERVATION

14 16 18

20 22 24

Legend
Apr. 13, 2003
May 15, 2003
June 15, 2003
July 14, 2003
Aug. 15, 2003
Sept. 15, 2003
Oct. 15, 2003

May 1, 2003
June 1, 2003
June 30, 2003
Aug. 5, 2003
Aug. 30, 2003
Oct. 1, 2003
Nov. 1, 2003

fall, the vegetation carrying capacity of the

soil water of 72 shrubs 100 m2 corresponds
to a stable cover degree of 75% that should be
taken as a standard to regulate the relationship
between soil water and plant growth at this
growing stage of caragana forest.
In order to carry out sustainable management of a caragana forest in rain-fed
conditions, the objective should be to
increase and equilibrate soil water storage in
order to improve forest health and reverse
soil degradation. The removal of excess vegetation is crucial to such a management plan.
For the year of 2002 in our study area, this
would be the difference between the existing
shrub density (87 shrubs 100 m2 [1,076 ft2])

and the optimal density (72 shrubs 100 m2),

i.e., 15 shrubs 100 m2 should be removed
in the process of vegetation management. A
greater degree of plant thinning may be necessary in order to increase soil water storage
levels, and a management plan may consider
the median rainfall or the number of drier
years rather than the mean precipitation.
Summary and Conclusions
Water is considered to be the key limiting
factor influencing vegetation restoration in
the arid and semiarid regions of the Loess
Plateau, China. Vegetative growth should be
limited in these areas in order to permit adequate soil water recharge. The upper limit of
planting density in such areas is the soil water
carrying capacity for the vegetation type.
We studied a 16-year-old growth of caragana, which was thinned to achieve various
planting densities. The results showed that
greater plant densities resulted in more rapid
canopy closure, which increased the amount
of rainfall intercepted by the canopies. Runoff
and overland flow rates were also reduced,
leading to smaller losses of water and soil
and indicating the importance of caragana
forests in the conservation of soil and water.
However, greater planting densities could
exacerbate the problems in the soil water
environment since higher levels of canopy
interception reduce the amount of rainwater
reaching the soil surface and larger numbers
of plants take up more water. In order to
carry out sustainable management of a caragana forest, plant water requirements should
not exceed the soil water supply. Based on
an average rainfall year, the maximum sustainable planting density in our study area
was 72 shrubs 100 m2 (1,076 ft2), which
would achieve water equilibrium. However,
more severe thinning may be required in
order to remediate existing dried soil layers,
to improve ecosystem health, and to account
for the frequency of drier than average years.
Acknowledgements
Thanks to two peer reviewers for their beneficial suggestions and David Warrington, professor at Northwestern A&F
University, Chinese Academy of Science, Yangling, Shaanxi
Province, Peoples Republic of China, for his help in revising
the paper. This study was supported by the National Science
Fund of China (Project 41071193, 41271539), and the Major
State Basic Research Development Projects of China (Project
G2000018605), the front line of the domain of the Institute
of Soil and Water Conservation, Chinese Academy of Sciences.

SEPT/OCT 2013VOL. 68, NO. 5

409

Figure 11
Soil water supply and consumption in the root zone soil are two important and interactional
processes that influence plant growth and soil water environment. The graph shows the soil
water supply and consumption as a function of the planting density of caragana during the
period from June 30 to August 15, 2002.

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