Contemporary Ecology Research in China: Wenhua Li

Wenhua Li
Editor-in-Chief
Contemporary
Ecology
Research in
China
Contemporary Ecology Research in China
Wenhua Li
Editor-in-Chief
Contemporary Ecology
Research in China
Higher
Education
Press 123
Editor-in-Chief
Wenhua Li
Institute of Geographic Sciences and Natural
Resources Research
Chinese Academy of Sciences
Beijing
China
Sponsors: State Key Laboratory of Urban and Regional Ecology

Key Laboratory of Ecosystem Network Observation and Modeling,
Chinese Academy of Sciences
ISBN 978-3-662-48374-9 ISBN 978-3-662-48376-3 (eBook)

DOI 10.1007/978-3-662-48376-3
Jointly published with Higher Education Press, Beijing, China

ISBN: 978-7-04-043706-5 Higher Education Press, Beijing, China
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Preface
China lies in the east of Asia with a vast expanse and extremely complex
geographical and natural conditions. In the territory of China, highly diversified
ecosystems with different plant species combinations had been formed and nur-
tured. These provide us an unusual natural laboratory to discover the rule of nature
and find out the way to harmonize the relationship between nature and human
beings. Thanks to our ancestors, during over 5000 years’ history, the Chinese
created a brilliant civilization in which the holistic thought and harmonic rela-
tionship between human and nature is the core of national philosophy. On the other
hand, China’s environment is characterized by its vulnerability and fragility, and
the situation varies very much with geographical conditions. Due to the soaring
population and the long history of cultivation in addition to the short-sighted
approach in exploitation of natural resources, many natural hazards and disasters
causing ecosystem degradation and destruction, soil erosion, desertification, pol-
lution, species extinction and lowering of biodiversity, etc. have occurred. This
situation is particularly severe since the last decades. Urgent need for ecological
studies of China is aroused under such circumstances.
General Review of the Development of Ecology in China
In the course of China’s long history, wealth of knowledge and theories on the
interactions between organisms and their environment have accumulated. Looking
back at the development of ecology in China, we may roughly divide it into the
following four phases, namely: primitive embryonic phase, fundamental ecological
study phase, ecosystem study phase, and contemporary ecological development
phase.
Primitive Embryo Phase
The traditional integrated philosophical thoughts to understand the world have long
existed since time immemorial. Quite a number of ancient treaties and books reflect
v
vi Preface
the great achievements of the ancient Chinese as regards their production and life.
For instance, they use the “San Cai” theory to explain the relationship between “the
heaven”, “the earth” and “human being”. The theory of “Ying Yang” has been
widely used to study the relationship between different components of the systems.
Many excellent ideas in this aspect were recorded in some early outstanding works.
For example, the four essays in Lü Shi Chun Qiu (Master Lü’s Annals) including
“Shang Nong” (“lay stress on agriculture”), “Ren Di” (“Capacity of soil”), “Bian
Tu” (“Work and ground”) and “Shen Shi” (“Fitness of the Season”), completed in
the third century B.C., can be claimed as China’s earliest agricultural treaties. The
book Qi Min Yao Shu (Important Arts for People’s Welfare) written by Jia Sixie
of the sixth century, summarized the systematic knowledge of farming, forestry,
animal husbandry, side-line production and fishery. Treaties and books on agri-
culture written over 2000 years have been handed down to the present day.
According to incomplete figures, 376 essays and books on agriculture in those 2000
years were published, but many of them were scattered or lost. They form a large
set of treatises with deep system and ecological thinking. Primitive but valuable
thoughts are important parts of brilliant Huaxia civilization and left us many world
important heritages. A few examples include rotation and intercropping systems in
agriculture, Dujiangyan Water Conservancy Project, and karez and check dam
engineering, dike-ponds, rice-fish integrated system, terrace planting, pastoral
nomadism, etc. Ecological thinking and many practices were not only important in
the ecological development of China, but also had important influence on the world.
Although a wealth of knowledge related to ecology had been accumulated and
scattered as a result of research carried out by individual scientists, ecology had
been in its embryo phase until the establishment of People’s Republic of China in
1949.
Fundamental Ecological Research Phase
Ecology as an independent branch of science obtained its rapid development after
1949. At the early stage of development, ecological research focused mainly on
autoecology, population, and community ecology. From the very beginning of
ecological research in China, Chinese scientists centered their research on practices
to solve the crucial problems of the country. These include the exploitation and
assessment of the suitability of habitat for cultivation of rubber plantation in tropical
areas; the research on rational exploitation and regeneration of forests in north-
eastern and southwestern mountain regions; the combating with desertification in
arid and semiarid land of northwestern China, and the construction of shelterbelt in
the Northern China plain; and to establish nature reserves in various regions to
conserve natural ecosystems, etc. Important contributions were made by the
interdisciplinary scientific expeditions organized by the Chinese Academy of
Sciences to carry out comprehensive survey to fill the gap of information including
all disciplines of biological and ecological conditions. In this period, many studies
were conducted at the community level. Based on the research, a great number of
articles and monographs were published. The publication of “Vegetation of China”
was a great event in the history of China’s ecology. It sums up the achievements of
Preface vii
vegetation research covering all the provinces of China and has made the classi-
fication of the vegetation systems and the Vegetation Map of China with
1:100 million scale.
During this period, the international exchange was limited to the Soviet Union
and other socialist countries. It should be recognized that the joint expedition and
training programs had played important roles in the initial stage of the development
of ecology in China.
Ecological Research Phase
Since the 1960s, Chinese ecologists started their research on the ecosystem or
biogeocenoses bases. With the help of experts from the former Soviet Union, China
built its first biogeocenological experiment station in the tropical forest of
Xishuangbanna, Yunnan Province in the early 1960s. With the suggestions of
ecological scientists, China delineated 15 nature reserves. In some of these nature
reserves, interdisciplinary observations and researches were conducted by experts
of relevant Universities and research institutes. Since the late 1970s, experimental
stations were established by the Academy of Sciences, Universities and some other
organizations. Fragmental observations and systematical studies on the structure,
function, and succession of these ecosystems were started. Although the develop-
ment of such long-term research was carried out rather slowly and sometimes
interrupted by some events, the ecosystem study did not stop and it was regenerated
later in the 1980s by upgrading it into a series of nationwide networks to carry out
observation and research on ecosystem. Special contribution was given to the
construction of Chinese Ecosystem Research Network (CERN) under the Chinese
Academy of Sciences. This program was started in 1988 and became prosperous in
the 1990s. Now, CERN consists of 40 field research stations for various repre-
sentative ecosystems involving agriculture, forest, grassland, lake, ocean, and city
areas in different part of China. For effective coordination and management of the
project, a general secretariat and several coordinating centers for water, soil,
atmosphere, and biology and a synthesis center were established.
In 2006 the Ministry of Science and Technology of China began to establish the
Chinese National Ecological Research Network (CNERN). Now a national network
has been set up, which consists of 51 field observation stations for different types of
ecosystems and one comprehensive research center. The project has carried out
observations about ecosystem change covering the main region of our county and
cross-department research and technology demonstration. Furthermore, the Chinese
Forest Ecosystem Research Network (CFERN) has established 33 filed stations
since March 2003. At the same time, works in the wetland and desert ecosystem
station network also made some progress, relying on related state research projects.
At present, the Chinese Wetland and Desert Ecosystem Research Network
(CWERN) and CDERN have established five and four field stations respectively.
The establishment of ecosystem network raised the study of ecology in China to a
new level, which not only provides a long-term platform for the study of
macro-scale ecological problems, but also promotes modernization of observation
instruments and means. If during the period of IBP, China missed the opportunity
viii Preface
of participation, then from the 1970s, during the implementation of the Man and the
Biosphere Program (MAB) of UNESCO, China has already become a country with
many active participants. The Cooperative Eco-Environmental Research Program
(CERP) sponsored by UNESCO through the fund of BMFT of Germany was one
of the biggest projects in MAB and played an important role in promoting the
progress of ecology and training the personnels. Another important event was the
establishment of Ecological Society of China in 1979.
Ecology for Sustainable Development
Since the second half of last century, especially during the first decade of
twenty-first century, due to the drastic increasing population, escalating needs for
consumption and short-sighted approach when exploiting natural resources, a long
list of hazards and disasters became glaringly apparent. In exploring the solutions to
the problems of sustainable development, contemporary ecological research expe-
rienced its revitalization and breakthrough, and a series of characteristic changes
have occurred. These include:
• From natural ecosystems to nature-socio-economic-complex systems;
• Expansion of the scope of research both in space and in time;
• From short-term qualitative description to long-term quantitative and experi-
mental research;
• From isolated plot study in limited areas to networking research covering many
regions and ecological zones;
• Differentiation of disciplines and emerging new scientific branches in ecology;
• The modernization of research facilities and instruments.
In this period, remote sensing, geographic information system, global posi-
tioning system (3S system) are widely implemented for access to accurate infor-
mation. Some ecological stations have been established as observation towers
equipped with many automated continuous observation apparatus. Many manipu-
lative experiments including free air CO2 enrichment, Throughfall Displacement
Experiment, Free air temperature enrichment, and ultraviolet-B variation are
established to explore responses of ecosystem processes, structure and function to
climate change. Isotope tracer method is used to study the rates of gross mineral-
ization, nitrification, immobilization, and consumption of soil N. In addition,
mini-rhizotron technique, dilution-plate method and denaturing gradient gel elec-
trophoresis are used to measure root dynamics and species composition of micro-
bial community in microbial ecology studies. Remote sensing satellites to detect the
regional greenhouse gas concentrations, the lidar technique to measure atmospheric
aerosol concentrations, as well as remote sensing inversion models are wide applied
to research carbon cycle. These modern equipments lay a solid foundation for the
continuous improvement of ecology.
In this phase, the hot spots of ecological research were concentrated on biodi-
versity conservation, global change, and sustainable development. These researches
have been listed in the National Key Fundamental Research Program and were
implemented by research institutes, universities, and related ministries/
Preface ix
administrations. With the advent of the twenty-first century, ecosystem rehabilita-

tion, environmental protection, and afforestation had become an urgent and enor-
mous strategic task and a fundamental plan for China in her seeking for survival
and development for the nation and a series of key ecological construction
programs had been implemented. These programs included the Natural Forestry
Protection Program (NEPP), Conversion of Cropland to Forest Land, Sheltbelt
Development Program in such regions as China’s “Three-North Region” and the
Yangtze River Basin areas; the Desertification Control Program in the vicinity of
Beijing and Tianjin; The Wildlife Conservation and Nature Reserves Development
Program; the Fast-growing and High-yield Timber Plantation Program. The
above-mentioned programs have been incorporated into the national economic and
social development plan and thus the ecology had increasingly become a bridge
linking science and development. It is necessary to point out that the Chinese
Society of Ecology, the National Natural Science Foundation of China, the National
Committee of IGBP, and the National Committee of IHDP of China have played
important roles in coordinating and promoting the ecological research in these
fields.
Brief Introductory Description and Analysis on Selected Areas

of Ecological Research
In recent years, the ecological research developed rapidly and covered a wide range
of topics. In this paper, we just select a few of them to give more detailed intro-
duction. These include biodiversity conservation, ecological research on global
change, restoration of degraded ecosystems, and desertification control and pro-
motion of sustainable development from concept to action, etc.
Biodiversity Conservation
China is a country with highly diversified fauna and flora. Since the funding of new
China, much research work has been undertaken on domestication, cultivation, and
breeding of wild plants and animals. The Chinese government attaches great
importance to wildlife conservation and has organized a series of nationwide
surveys focusing on conservation of wildlife and ecosystems. Much information
and a great number of data have been accumulated. With the support of UNEP, and
funded by GEF, a country-wide study on “China’s Biodiversity” was carried out. It
was a study of China’s plants, animals, and microorganisms and their environment
on the land and its marine waters. A comprehensive summary of accumulated
information about biodiversity conservation related to agriculture, forestry, animal
husbandry and fisheries, as well as the various activities involving many regions
over China related to biodiversity conservation and evaluations of their economic,
ecological, and social effects. More than 80 experts took part in the compilation and
appraisal of the national report.
x Preface
On the basis of long-term studies, a biodiversity-related database has been

developed. In order to facilitate the study on flora and fauna, Chinese Academy of
Sciences (CAS) has established a specimen collection system with 21 preservation
units, containing 16.23 million specimen accessions. Based on the specimen data,
CAS has established a comprehensive biodiversity information system (CBIS).
Since the beginning of the Eighth Five-year Plan, the Ministry of Science and
Technology has taken the study of biodiversity conservation as a national key
research program, and relevant departments have organized many researches on
artificial of endangered animals and plants. During the period of the “Eighth
Five-year Plan” (1991–1995), status quo and causes of damage to crucial ecosys-
tems, including forest, grassland, freshwater, and coral reef ecosystems, have been
carried out. A series of new methodologies of conservation biology such as
population viability analysis, DNA sequence analysis, and others has been imple-
mented in evaluating the threatened status of important species and its endanger
mechanisms. The result of such research provided a scientific basis for biodiversity
conservation especially for conservation of rare and endangered species as well as
the life-supporting ecosystems. During the period of the “Ninth Five-year Plan”
(1996–2000), the projects like “Study on Biodiversity Conservation in Key Areas
of China” and “Biodiversity Changes, Sustainable Use and Regional Ecological
Security in the Yangtze River Basin” have been included in the national key
program of basic research.
Until 2008, China had founded 2538 natural reserves with a total area of
148.94 million ha, accounting for 15.13 % of the total national land territory of
China. It has now formed a well-coursing national natural reserve network. The
gross area of the protected areas reaches to 17 % of the total territory land of China
which includes forest parks, cultural and natural heritages, scenery areas, wetland
parks, geological parks. Besides, an integrated ex-situ conservation system has also
been built in China, which includes zoos, botanical gardens, arboretums,
wildlife-breeding bases, crop germplasm banks, and animal germ cell banks.
Based on the ecological research, China has preliminarily established a system
of biodiversity conservation policies and regulations, including “Law of Wildlife
Protection” (1988), “Regulation on Nature Reserves” (1994), “Regulation of Wild
Plant Protection” (1997), “Regulations on Administration of Import and Export of
Endangered Wild Animals and Plants” (2006) and so on. In order to implement “the
Convention on Biological Diversity(CBD)”, the State Council established the CBD
Implementation Steering Committee in 1993, headed by the Ministry of
Environmental Protection (MEP) with 24 ministerial members. It is followed by
“the Joint-ministerial Conference for Species Resources Protection and
Management” founded in 2003 with 17 ministries, coordinated by MEP.
Meanwhile, an affiliated scientific body of “National Expert Commission for
Biological Species Protection” was established. Besides, China National
Biodiversity Protection Action Plan was issued by the Chinese government in 1994
and the updated National Biodiversity Strategy and Action Plan was officially
issued in 2010.
Preface xi
Global Change and Global Ecology

Research on alleviation and adaptation to global change has been a key area of
global change science since the end of the twentieth century. Chinese ecologists
have also actively taken part in relevant researches, such as the responses and
acclimation of ecosystem to global change, ecosystem C storage, processes
involved in the C cycle and their mechanisms, the observation and simulation of
ecosystem carbon, nitrogen and water fluxes, and the interaction between human
activities and global change, etc.
Chinese scientists have suggested to set up the Northeast China
Temperate-Grassland Transect in 1993, which was officially registered as the Fifth
Transect of the Global Change and Terrestrial Ecosystems (GCTE) by IGBP in
1994. Later, an assumption of creating the transect from the polar tundra to rain
forests along the east coasts of Eurasia Continent was promoted and its sector in
China was named the North-South Transect of Eastern China (NSTEC). In 2002,
the conception of China Grassland Transect (CGT) was proposed after the exten-
sive researches on terrestrial ecosystem C cycle and its driving mechanism in
China. It covers the main grassland types across the Northeast Plain, Inner
Mongolia Plateau, Loess Plateau and hinterland of Qinghai-Tibet Plateau from
Northeast to Southwest of China. Recently, an initiative has been made in coop-
eration with Euro-Asian Continental Grassland Transect (EACGT) with AsiaFlux.
An integrated observation and research network platform for ecosystem and global
change in Asia has been established, with the carrying out and achievement of the
A3 foresight program (CarbonEastAsia) among ChinaFLUX, JapanFlux, and
KoFlux.
Research on ecosystem C storage, process and mechanism of C cycle, and
C budget in China started basing on the inventory of vegetarian productivity,
biomass, soil census and experiments on organic fertility effect in the early 1960s.
Feng Zongwei, for the first time, quantified the biomass yield of main forest eco-
system types in China and characterized its distribution pattern in 1999, by com-
prehensively summarizing and analyzing the research data accumulated since the
1960s. Hence, a large number of studies assessed the C budget and C storage of
forests as well as grassland ecosystems in China by using the data of soil census and
forest inventory data. Recently, Piao Shilong analyzed the current terrestrial carbon
balance of China and the mechanisms of the involved processes during the 1980s
and 1990s using three different methods: estimation of biomass and soil carbon
inventories extrapolated by satellite greenness measurements, ecosystem models,
and atmospheric inversions.
The Chinese Terrestrial Ecosystem Flux Observation and Research Network
(ChinaFLUX) was established in 2001. A basic system of flux observations based
on eddy covariance technique and gas chromatography has been developed.
Continuous measurements on C and water vapor fluxes over typical terrestrial
ecosystems have been made in the last 10 years. New efforts have also been made to
make observations of atmospheric N deposition, biological N fixation, and the
stable isotope nitrogen flux. ChinaFLUX has obtained long-term observation data
of CO2 fixation through photosynthesis, nitrogen fixation by bean root modules
xii Preface
through biological processes, water evaporation through evapotranspiration, and

energy fluxes in typical terrestrial ecosystems in China. The vegetation and soil
inventory data around each flux site have also been collected. A series of datasets
have been produced, including the spatiotemporal dynamic dataset and atlas of
major climatic and meteorological factors, land resources, and LUCC since 1980 in
China. Basing on the above datasets and modeling system, the spatiotemporal
pattern of C sink or source of typical forest and grassland ecosystems in China were
quantitatively evaluated, and the environmental and biological driving mechanisms
of temperature, precipitation, radiation, and leaf area index on the C budget of
different terrestrial ecosystems in the Asian Monsoon area were also investigated.
The research on C cycle simulation started later in China than that in European
and American countries, but it progressed rapidly. In recent years, Chinese scien-
tists have adopted and improved several terrestrial ecosystem C cycle models from
abroad, such as CEVSA, GLO-PEM, BEPS, EALCO, etc. They also compared the
performance of SIB2, BIOME-BGC, and BIOME3 models in simulating China’s
terrestrial C budget. Furthermore, Chinese scholars have also developed their own
C cycle models for different ecosystem types; for example, the C budget model of
forest ecosystems in China (FORCCHN), the biophysical process-based model for
C budget in agro-ecosystem (Agro-C), the C budget model of grass ecosystems in
China (DCTEM) based on IBIS model, and the atmosphere-vegetation interaction
model version 2 (AVIM2). The rapid development and improvement of these
models greatly promoted the simulation of C and water budget in China’s terrestrial
ecosystem.
Chinese scientists have carried out a series of experiments to test the ecosystem’s
responses to different warming, precipitation, CO2 enrichment, and N deposition
conditions. In 2007, National Natural Science Foundation of China (NSFC) laun-
ched a key research project focusing on the response and adaptation of China’s
typical terrestrial ecosystem to climate change and integrated the major observation
sites in China. Important findings were obtained about the short-term response and
long-term adaptation of ecosystem C and N processes, biological diversity, and
ecosystem patterns to climate change. Currently, under experiments control were
made focusing on the grasslands in Qinghai-Tibet Plateau and Inner Mongolia,
where ecosystems are sensitive to climate change. Lately, simulation experiments
on the effects of N deposition, precipitation change, and atmospheric CO2 enrich-
ment on plant growth have been carried out at the major forest ecosystems in
eastern China.
Combating Desertification and Erosion Control
China is one of the countries most severely affect by desertification and soil erosion.
According to preliminary estimation, 37.2 % of the country’s territory—some
3.57 million km2—is classified as drylands (including arid, semisarid and dry
sub-humid arid areas). Of the drylands, 2.64 million km2 falls under the category of
desertified land in accordance with the definition of the UNCCD, and these
desertified lands are distributed in 18 provinces and account for 27.5 % of the
country’s landarea. The desertified lands of China can be attributed to wind erosion,
Preface xiii
water erosion, salinization, and freezing-thawing processes. The life of over

400 million residents are affected by desertification, and the direct economic losses
per year exceed 64 billion yuan.
China’s desertification mitigation efforts began in the late 1950s. Through a
number of high-profile programs, such as the Three-North’s Shelterbelt
Development Program was initiated in 1978, the National Program on Combating
Desertification was initiated in 1990, the Sandification Control Program for Areas
in the Vicinity of Beijing and Tianjin was launched in 2000, and the Conversion of
Croplands to Forests and Grasslands Program initiated in 2000, the Government of
China has poured on average 0.024 % of the country’s annual gross domestic
product (GDP) into desertification mitigation efforts and, as a result, some 20 %
of the desertified lands have been brought under control.
Based on the result of scientific research, the scientists in field ecology put
forward the following suggestions for further improvement the situation for policy
making: (i) expanding the previous sectoral perspective to embrace a
multi-stakeholder approach; (ii) setting priority zones within the restorable area, and
establishing National Special Eco-Zones (e.g., forest farms, protected areas, and
headwater areas); (iii) restructuring the state anti-desertification investment port-
folio by changing the government direct investment in tree plantations to govern-
ment acquisition of planted/greened areas; and (iv) introducing preferential policies
against sandy-desertification, such as permitting land tenures for up to 70 years and
compensating for ecological services.
China is one of the nations with most serious soil erosion in the world.
According to the second national remote sensing soil erosion survey in the 1990s,
the area of soil erosion and wind erosion reached 3.556 million km2. About
50 million tons of soil would be lost every year.
China, as a country with an ancient civilization, has a long history of soil and
water conservation. Having summarized the experiences in history, considering the
current situation of the country, a soil erosion prevention system with Chinese
characteristics was formulated, mainly based on small watershed comprehensive
management. Small watershed management has been carried out in 27 provinces,
autonomous regions and municipalities. More than 9800 small watershed areas are
made control, with a total area of nearly 40 million km2, of which 22 million km2
are soil erosion area. Nearly 3000 small river basin control projects have been
completed.
Although the worsening trend of soil erosion in China has been controlled, water
and soil erosion areas are still facing high population, densities, and environmental
pressures. Several countermeasures are being taken: (i) recognizing that “soil ero-
sion is a serious ecological degradation” and soil and water conservation as a
national policy; (ii) implementing integrated technology systems; (iii) strengthening
scientific research on soil and water conservation; (iv) strengthening the legal
construction of soil and water conservation; (v) enhancing soil and water conser-
vation; and (vi) constructing soil and water conservation mechanisms, especially
investment practices, compensation, incentive, and restriction mechanism.
xiv Preface
The Ecosystem Study on the Qinghai-Tibetan Plateau

The Qinghai-Tibetan Plateau, also called “The Third Pole”, is a unique geographic
unit with an average altitude over 4000 m. The plateau is one of the biodiversity
hotspots over the world; on the other hand, it is the most fragile region due to its
extreme climate and habitats.
The ecological research dated back to the natural resources survey since the
1950s. The large-scale multi-disciplinary scientific expeditions in Chinese
Himalayas and Hengduan Mountains, were organized and carried out by the
Chinese Academy of Sciences from 1973 to 1979. A wealthy of knowledge
obtained in understanding the ecological conditions and distribution of vegetation
and the productivity of ecosystems. The results of such expeditions were summa-
rized in the book Geological and Ecological Studies on the Qinghai-Xizang Plateau.
In 1980, an International Symposium on the Qinghai-Tibetan Plateau was held in
Beijing. It was a milestone of international cooperation in ecological research in the
high mountain regions. The Commission of Integrated Survey of Natural
Resources, Chinese Academy of Sciences, played an important role in ecological
research on the plateau in collaboration with international organizations such as
International Center for Integrated Mountain Development in Nepal and the
Woodland Mountain Institute, West Virginia, USA and International Development
Research Center in Canada. In the period of “the Eighth-Five Year Plan”
(1991–1995), the national basic research program of “Formation, Evolution,
Environmental Change and Ecosystem Research on the Qinghai, Tibetan Plateau”
was initiated. Some long-term ecological research stations, for example
Gonggashan Mountain Forest Station in west Sichuan, Haibei Alpine Grassland
Ecosystem in Qinghai, and Lhasa Agricultural Ecosystem Research Station were
founded as research bases for ecosystem study. As a consequence, a book
Ecosystems of Qinghai-Xizang (Tibetan) Plateau and Approach for Their
Sustainable Management was jointly published to summarize the results of the
research in this period.
Through physiological studies it was discovered that the slow growth and small
stature of alpine plants including crops is not associated with low rate of carbon
uptake and high loss per unit of tissue. The carbon fixation rates were not lower
than those at lower altitudes. On the contrary, the alpine plants have higher capacity
for carbon assimilation in comparison with their lower populations or plant heights.
The higher carbon investment into roots, but nothing significant difference in leaf
mass ratio, guarantees carbon supply of alpine plants. The duration of active
growing season appeared to be the overwhelming factor to constrain plant pro-
duction. The net primary productions (NPP) of alpine plants in terms of production
per growing day are not necessary lower than the low-altitude plants, even for the
tropical or subtropical ones. However, NPP at the community level is lower than
lower ecosystems due to lower leaf area index (LAI). Low temperature is the
prominent factors limiting plant growth rather than photosynthesis, which is indi-
cated by higher nonstructural carbohydrate concentration in alpine plant tissues in
comparison with the growing at lower altitudes. Therefore, it is lower carbon use
rather than poorer carbon source of alpine ecosystem boundaries such as treeline
Preface xv
and grassland upper limit. The results of eddy covariance measurement of net
ecosystem CO2 exchange (NEE) indicate that alpine meadow and scrubs have
weaker carbon sink or even source. Lower LAI is the key factor to cause lower
carbon uptake. Rainfall patterns in the growing season and pulse rainfall in the
beginning and at the end of the season affect the ecosystem respiration and thereby
the carbon balance of ecosystem. Soil respiration is the main component of
ecosystem respiration. Although temperature is the key factor controlling respira-
tion, plant phenology modifies the temperature dependence of soil respiration in the
season. Seasonal distribution of precipitation greatly affects the sink–source rela-
tion. Grazing and reclamation are the main disturbances that cause carbon loss due
to enhancement of soil respiration. On the contrary, enclosure-pasturing system and
recovery of degraded grassland might alleviate carbon emission and even accelerate
carbon sequestration.
Global warming tended to be accelerated in the past decades in the high alpine
area. Experimental warming caused rapid species extinction in alpine meadow,
which was dampened by simulated grazing. Higher species losses occurred at the
drier sites where N was less available. The indirect effect of climate warming on
species richness was mediated by plant–plant interactions. Heat stress and
warming-induced litter accumulation are potential causes. Grazing might reduce the
risk of loss of species under the global warming scenarios.
Addition of nitrogen increases productivities of alpine N-limited ecosystems, but
simulated nitrogen deposition often causes loss of species not only via increase of
competition between plants species, but between plant and microorganisms. CO2
enhancement ecosystem increases number of wheat tillers and stochastic photo-
synthetic rate of leaves. However, the wheat yields and biomass are not necessarily
increased partly due to nitrogen supply shortage while the growing period.
Promoting Sustainable Development from Concept to Action
Unlike other biological communities, human society is a kind of artificial ecosystem
dominated by human behavior, sustained by natural life support system, and
vitalized by ecological process. It was named as Social-Economic-Natural Complex
Ecosystem (SENCE) by Ma Shijun in 1984. Its natural subsystem consists of the
five elements of Chinese tradition: metal (minerals), wood (living organism), water,
fire (energy), and soil (nutrients and land). Its economic subsystem includes the
essentials factors of production, consumption, reduction, transportation, and regu-
lation. While its social subsystem includes technology, institution, and culture, the
scientific study on sustainability in China is to coordinate the temporal, spatial,
structural, and functional relationships among and within the three subsystems.
Grounded in ancient Chinese human ecological philosophy and SENCE
approach, a campaign of Ecopolis development has been undergoing in some
Chinese cities and towns since the 1990s. Ecopolis is a kind of administrative unit
having productive and ecologically efficient industry, systematically responsible
and socially harmonious culture, and physically beautiful and functionally vivid
landscape. It is a kind of adaptive process toward sustainability through cultivating
five facets of eco-sanitation, eco-security, eco-landscape, eco-industry, and
xvi Preface
eco-culture. The essential idea of ecopolis development is to plan, design, manage,

and construct the ecosystem’s function of production, living, and sustaining
according to ecological cybernetics. It is a healthy process toward sustainable
development within the carrying capacity of local ecosystem through changing the
mode of production, consumption behavior, and decision instruments with three
legs of Circular Economy, Harmonious Society, and Safe Ecology. Integration,
demonstration, citizen’s participation, and scientist’s and technician’s catalyzing are
the keys in its development. The term “ecopolis” is used to imply an ecologically
sound city region and its immediate periphery. The development of ecopolis needs
five ways of motivation, i.e., administrative authorization, scientific supervision,
industrial sponsorship, participation by the community, and motivation by media.
There are four development stages: concept initiation and comprehensive planning,
ecoscape planning and legislation, development through eco-engineering design,
and ecosystem monitoring and management.
During the past two decades, 510 eco-demonstration zones have been appraised
and named by the Ministry of Environmental Protection, 14 provinces/autonomous
regions/directly governed city regions (Hainan, Jilin, Heilongjiang, Fujian,
Zhejiang, Shandong, Anhui, Jiangsu, Inner Mongolia, Shanxi, Hebei, Guangxi,
Sichuan, and Tianjin) were approved to carry on eco-province development. By
February 2010, there were already 108 state comprehensive experimental districts
toward sustainability approved by the Ministry of Science and Technology,
including towns, counties, middle/small-size cities, and districts of large cities
distributed in 93 % of China’s provinces and autonomous regions.
Compared with foreign countries, China’s ecopolis development is rather
through top-down than bottom-up encouragement. The advantages of this way is
that if the decision makers are smart enough, the ecopolis plan will be strongly
implemented; otherwise, it will be just an oral promise or an utopian ideal. While
main lessons and challenges are also gained such as institutional barrier, behavioral
bottleneck, and technical malnutrition, the Sino-Singapore ecocity planning in
Tianjin, and a quite few other cases of ambitious ecocity planning in China, show
the public a dream of a sustainable city. To realize it, however, an adaptive process
is needed to meet the local natural and human ecological condition needs, to
reshape our production mode, consumption behavior, the goal of development, and
the meaning of life, to reform the fragmented institution in legislation, organization,
governance, decision making, planning and management, and to renovate the
reductionisms based and chain-linked technology.
After entering the new century, eco-agricultural development entered into its
new stage. There are some mile stones like the publication of Agro-ecological
Farming Systems in China by Parthenon Publishing in 2001 and Eco-agriculture—
Theories and Practices of China’s Sustainable Agriculture by (Beijing) Chemistry
Press. These two monographs, all compiled by Li Wenhua together with nearly
100 specialists in eco-agriculture, got excellent responses from both in China and
abroad.
In 2005, The Food and Agriculture Organization (FAO) of the United Nations
launched a program on the Conservation of Globally Important Agricultural
Preface xvii
Heritage Systems (GIAHS). FAO defined GIAHS as “remarkable land use systems
and landscapes which are rich in globally significant biological diversity evolving
from the co-adaptation of a community with its environment and its needs and
aspirations for sustainable development”. The Traditional Rice-fish Culture in
Qingtian County, Zhejiang Province, was selected by FAO as one of the first group
of pilot sites of the GIAHS project. Up to now, some researches on biocultural
diversity conservation, eco-tourism development, eco-compensation mechanism,
organic agricultural development, and multi-participatory process on the pilot site
were carried out and many papers published.
Evaluation of Ecosystem Services and Eco-Compensation
Since the middle 1990s, global assessment of ecosystem services and the launching
of the Millennium Ecosystem Assessment (MA) on a regular basis at national and
sub-national scales have attracted great attention and interest of Chinese scholars in
joining the cooperation with international organizations and conducting the
assessment work at home.
In China, since the late twentieth century, researchers have done some pre-
liminary explorations on the evaluation theory, methods, and applications of eco-
system services. Especially after entering the twenty-first century, a lot of works on
the evaluation of various ecosystems in different regions were done. Ecosystem
services of different spatial scales such as national, watershed, provincial, muni-
cipal, and district have been studied, as well as different natural and artificial
ecosystems such as forest, grassland, farmland, wetlands, desert, marine and res-
ervoirs, etc. At the same time, much attention has been paid to some single func-
tions and services like water and soil conservation, carbon sequestration and
oxygen release, air purification and landscapes, too. These achievements have
played important roles in decision-making process related to ecosystem manage-
ment and environmental protection in China.
Recently, scientists in the field of forestry worked on the standardization of the
indicators of ecosystem service assessment and the value of ecosystem services
were calculated on the basis of the forest inventory data, which covers all the forests
in China.
In 2008, a Joint US-China Center on Ecosystem Services (JUCCES) has been
established. The establishment of the Center was based on a series of discussions
and meetings between National Service Foundation of China (NSFC), Chinese
Academy of Sciences (CAS), and National Science Foundation of USA (NSFA),
aiming to establish a long-term mechanism for promoting cooperative research and
exchange information in the field of eco-service and eco-compensation studies. The
mission of JUCCES is to provide a platform for facilitating collaboration, com-
munication, and coordination between scientists engaged in studies on natural
resources, ecosystem services, eco-compensation, impacts of ecosystem changes on
human well-being, and response options for developing a harmonious relationship
between human being and nature.
Research and practice on eco-compensation mechanism are of great strategic
significance in the new period of implementing full-scale scientific development
xviii Preface
approach and setting up of harmonious society in China, which is not only an

effective way to deal with the severe environmental problems but an important
measure to promote the environmental protection policy system, as well as to adjust
the relationship of related stakeholders, to coordinate the regional development and
to enhance the equity of the whole society. Since the 1970s, some theoretical and
practical studies were carried out on eco-compensation in China, and now it is a hot
issue attracting wide attention of all social circles. On the one hand, lots of
local governments started to conduct pilot projects, actively exploring relevant
experiences. On the other hand, the researches of the academic circles have entered
a new era, transiting from researches on the theory and methodology of quantifying
the value of eco-service function to the research on policy design of
eco-mechanism, including the general framework, compensation principles,
approaches and standards, and some pilot studies in key fields such as watershed
eco-compensation, forestry eco-compensation, nature reserve eco-compensation,
and mineral exploitation compensation.
Challenges and Perspectives of Development of Ecology

in China
Challenges
Although much progress has been made in ecology, there are a number of weak-
points in its development. These include:
• The insufficient basic research and lack of innovation in theoretical studies of
ecology;
• Weakness in accumulation of knowledge to meet the immediate need to solve
the ecological problems of the country;
• Weakness in participating international cooperation and active involvement in
global issues;
• Ignorance of respect and development of indigenous knowledge in ecology;
• Separation in advanced concept with broad practices by people;
• Inadequate experience in integration of interdisciplinary research;
• Necessity for improvement of the mechanism system in scientific management.
Strength
Having recognized the weakness in our ecological development, we are fully
confident of the prosperity of its further development. This is due to the diversified
natural conditions and rich biological resources; the Chinese have acquired the
primary managerial experience of ecosystem, and accumulated a great amount of
research data for ecology. Besides, the Chinese Ecosystem Research Network
(CERN) was established, the research equipments have been greatly improved and
international corporations have made great progress in ecology research in the
recent years. More importantly, the enhancement of comprehensive national power,
Preface xix
the increasing focus on the ecological constructions, and the public ecological
awareness laid a solid foundation for the development of ecology in China.
The Ways Forward
The guiding thought of development of ecology has been formed from the mediums
term plan as the following:
• Strengthening of the fundamental theoretical study focused on frontiers in
ecology;
• Active participation in resolving the eco-environment problems in the social
economic development and environment protection;
• Facilitating ecological study with modern scientific theories and methods; make
discoveries and upgrade traditional and indigenous knowledge;
• Strengthening international cooperation and self-innovative creation in ecolog-
ical study;
• Development of medium and long-term plan to coordinate and guide ecological
research in China;
• Strengthening education and training of cultivate scientists in the field of
ecology and popularize ecological knowledge to the public at various levels.
Based on the guiding principles listed above, considering the current situation of
China, the following key problems should be taken as the priorities for further studies.
• Ecological assets accounting and ecological compensation;
• Repairing and reconstruction of degraded ecosystems;
• Comprehensive control and prediction of regional pollution;
• Ecological and environmental risk management;
• Research and development of circular economy;
• Compliance support for the control of global changes.
Conclusion
In conclusion, I would like to say that the above-mentioned ecological research and
achievements are just a small part of the various works done by Chinese scientists.
I wish to express my sincere thanks to those who assisted me to prepare this paper.
I would be satisfied if it can give you a general picture about what we have done
and what we are going to do from my personal point of view. I do believe that with
the unique and diverse biological and physical conditions in China and the rich
experiences accumulated in thousands of years in ancient China civilization, with
the joint efforts of our ecological research team at home in close cooperation with
acknowledged scientists abroad, we are able to make responsible contribution to
develop ecology with our own characters and for the welfare of human beings.
Beijing, China Wenhua Li

March 2015
Contents
Part I Biodiversity Conservation and Its Application

1 Biodiversity Inventory and Researches . . . . . . . . . . . . . . . . . 3
Dayuan Xue, Jianyong Wu, Xu Liu, Baorong Lu and Shengji Pei
2 Biodiversity Conservation and Its Research Process . . . . . . . . . 29
Zhigang Jiang, Fumin Lei, Chunlan Zhang and Moucheng Liu
3 Biodiversity Evaluation and Monitoring . . . . . . . . . . . . . . . . 47
Haigen Xu, Xiaoping Tang, Jiyuan Liu, Hui Ding, Jun Wu,
Ming Zhang, Qingwen Yang, Lei Cai, Haijun Zhao, Yan Liu,
Rui Wang and FangHao Wan
4 Technology and Perspective of Sustainable Biodiversity
Utilization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Luqi Huang, Lanping Guo, Sheng Wang, Qisheng Tang,
Ling Tong, Long Li, Jing Yang, Chengyun Li, Youyong Zhu,
Runzhi Zhang, Wenhua Li, Qingwen Min and Lu He
5 Case Study of Species and Population Conservation . . . . . . . . . 89
Guanghui Lin, Luzhen Chen, Yihui Zhang, Shengchang Yang,
Wenqing Wang, Hangtao Zhou, Jian Qin, Dongmei Shi,
Xianzhi Huang, Zhonghuai Xiang, Jusheng Jiang, Zongbo Peng
and Zhiyun Ouyang
Part II Ecosystem Management

6 Classification and Research Methods of Ecosystem . . . . . . . . . . 109
Jixi Gao, Shihai Lv, Zhirong Zheng, Junhui Liu, Changxin Zou,
Zhaoping Yang, Liding Chen, Bojie Fu, Changhong Su
and Wenhua Li
xxi
xxii Contents
7 Ecosystem Service Evaluation . . . . . . . . . . . . . . . . . . . . . . 133

Gaodi Xie, Shuyan Cao, Yu Xiao, Xia Pei, Yanying Bai,
Wenhua Li, Bing Wang, Xiang Niu, Xiaohui Liu, Zhongqi Xu,
Qingwen Min, Chunxia Lu, Honghua Shi, Wei Zheng,
Dewen Ding, Jiyuan Liu, Jinyan Zhan, Lin Zhen, Li Yang,
Xuelin Liu and Moucheng Liu
8 Ecosystem Management . . . . . . . . . . . . . . . . . . . . . . . . . . 179
Limin Dai, Guofan Shao, Jizhou Ren, Tao Wang, Guangting Chen,
Xianguo Lv, Qinzeng Xu, Hongsheng Yang, Qiang Xu,
Shiming Luo, Lin Ma, Liu Qian, Wenqi Ma, Fusuo Zhang,
Jikun Huang, Xiangping Jia and Cheng Xiang
9 Water Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
Wei Meng, Yuan Zhang, Weijing Kong, Qingwen Min,
Wenjun Jiao, Yaning Chen, Honghua Zhou, Shaozhong Kang,
Ling Tong, Xinmei Hao and Shirong Liu
Part III Restoration of Degraded Ecosystem

10 Restoration of Degraded Ecosystem . . . . . . . . . . . . . . . . . . . 235
Shaolin Peng, Ting Zhou, Deli Wang, Yingzhi Gao,
Zhiwei Zhong, Dong Xie, Hengjie Zhou, Haiting Ji, Shuqing An,
Ming Dong, Xuehua Ye, Guofang Liu and Shuqin Gao
11 Ecological Restoration in the Typical Areas . . . . . . . . . . . . . . 265
Yuancun Shen, Xianzhou Zhang, Jingsheng Wang, Peili Shi,
Yongtao He, Zhenxi Shen, Xinquan Zhao, Huakun Zhou,
Shixiao Xu, Liang Zhao, Buqing Yao, Ting Zhou, Shaolin Peng,
Jianguo Wu, Jianhua Cao, Fen Huang, Hui Yang, Liang Li,
Qiang Li, Weikai Bao, Zhenqi Hu, Peijun Wang, Jing Li, Pei Qin,
Jie Fan and Pingxing Li
12 Ecological Protection and Establishment Projects . . . . . . . . . . . 375
Shidong Li, Xiangyang Hou, Ping Li, Yating Dai, Xiliang Li,
Qingli Wang, Yong Zhang, Qi Lu, Peng Cui, Yongming Lin,
Jiangchun Wei, Zhou Li and Moucheng Liu
Part IV Global Change Ecology

13 The Contribution of Ecology in International Global
Change Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Quansheng Ge, Bangbo Cheng, Panqin Chen, Xiuqi Fang
and Xiubin Li
Contents xxiii
14 Ecosystem Positioning Research and Models . . . . . . . . . . . . . . 419

Guirui Yu, Nianpeng He, Guirui Yu, Biao Liang, Zhiwei Xu,
Shenggong Li, Xuebing Guo, TianXiang Yue and Moucheng Liu
15 Climate Change and Carbon Cycle . . . . . . . . . . . . . . . . . . . 437
Quansheng Ge, Jingyun Zheng, Haolong Liu, Guirui Yu,
Huajun Fang, R.L. Wang, Jingyun Fang, Huifeng Hu, Zhaodi Guo,
Haihua Shen, Yunshe Dong, Yuchun Qi, Qin Peng, Xiaoke Wang,
Hong Zhao, Fei Lu, Changchun Song, Xiaomin Sun
and Xuefa Wen
16 Impacts and Its Adaptation of Global Change . . . . . . . . . . . . . 469
Peili Shi, Dingpeng Xiong, Xiaoguang Yang, Zhijuan Liu,
Ming Xu, Feng Ge, Yucheng Sun, Guangsheng Zhou, Qijin He,
Nuyun Li and Wenhua Li
Part V Sustainable Development Ecology

17 Principles and Application of Sustainable Development . . . . . . . 499
Jingzhu Zhao, Longyu Shi, Lina Tang, Lijie Gao, Gaodi Xie,
Shuyan Cao, Yanying Bai, Chuanglin Fang, Chao Bao,
Wenhua Li, Guangmei Yang, Moucheng Liu, Guihuan Liu,
Yihui Wen, Yanmin Zhang and Huiyuan Zhang
18 Industrial Ecology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 535
Wenliang Wu, Yifeng Zhang, Songlin Mu, Linsheng Zhong,
Guofan Zhang, Huayong Que, Jianguang Fang, Xiwu Yan,
Zhihua Lin, Yongyun Zheng, Yunhe Li, Kongming Wu,
Yufa Peng and Gaodi Xie
19 Eco-city Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . 555
Kongjian Yu, Linbo Zhang, Zhifeng Yanng, Xiangrong Wang
and Moucheng Liu
20 Regional Ecological Construction . . . . . . . . . . . . . . . . . . . . 625
Peicheng Li, Qilei Li, Jinfeng Wang, Feimin Zheng, Jianli Yuan,
Danghui Xu, Gang Wang, Xingtu Liu, Ming Wang, Zuofang Yao,
Xianghao Zhong, Xiaodan Wang, Shuzhen Liu, Daming He,
Shaohong Wu, Tao Pan and Qingwen Min
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 679
Contributors
Shuqing An School of Life Sciences, Nanjing University, Nanjing, China

Yanying Bai Institute of Geographic Sciences and Natural Resources Research,
Chinese Academy of Sciences, Beijing, China
Chao Bao Institute of Geographic Sciences and Natural Resources Research,
Weikai Bao Key Laboratory of Mountain Ecological Restoration and
Bio-resource Utilization, Chengdu Institute of Biology, Chinese Academy of
Sciences, Chengdu, Sichuan, China
Lei Cai Department of Nature and Ecology Conservation, Ministry of
Environmental Protection, Beijing, China
Jianhua Cao Institute of Karst Geology, Chinese Academy of Geological
Sciences, Guilin, China
Shuyan Cao Institute of Geographic Sciences and Natural Resources Research,
Guangting Chen Research Institute, Chinese Academy of Sciences, Cold and
Arid Regions Environmental and Engineering, Lanzhou, China
Liding Chen Research Center for Eco-Environmental Sciences, Chinese Academy
of Sciences, Beijing, China
Luzhen Chen Key Laboratory of the Ministry of Education for Coastal and
Wetland Ecosystems, College of Environment and Ecology, Xiamen, Fujian, China
Panqin Chen Bureau of Science and Technology for Resources and Environment,
Yaning Chen State Key Laboratory of Desert and Oasis Ecology, Xinjiang
Institute of Ecology and Geography, Chinese Academy of Sciences, Urumqi, China
xxv
xxvi Contributors
Bangbo Cheng Institute of Geographic Sciences Natural Resources Research,

Peng Cui Key Laboratory of Mountain Hazards and Earth Surface Process,
Institute of Mountain Hazards and Environment, Chinese Academy of Sciences,
Chengdu, China
Limin Dai State Key Laboratory of Forest and Soil Ecology, Institute of Applied
Ecology, Chinese Academy of Sciences, Shenyang, China
Yating Dai Institute of Grassland Research, Chinese Academy of Agricultural
Sciences, Hohhot, China
Dewen Ding The First Institute of Oceanography, State Oceanic Administration of
China, Qingdao, China
Hui Ding Nanjing Institute of Environmental Sciences, Ministry of Environmental
Protection, Nanjing, China
Ming Dong Institute of Botany, Chinese Academy of Sciences, Beijing, China
Yunshe Dong Institute of Geographic Sciences and Natural Resources Research,
Jie Fan Resources Research, Institute of Geographical Sciences and Natural,
Chuanglin Fang Institute of Geographic Sciences and Natural Resources
Research, Chinese Academy of Sciences, Beijing, China
Huajun Fang Institute of Geographic Sciences and Natural Resources Research,
Jianguang Fang Yellow Sea Fisheries Research Institute, Chinese Academy of
Fisheries Sciences, Qingdao, China
Jingyun Fang Department of Ecology, College of Urban and Environmental
Science, Peking University, Beijing, China
Xiuqi Fang Beijing Normal University, Beijing, China
Bojie Fu Research Center for Eco-Environmental Sciences, Chinese Academy of
Sciences, Beijing, China
Jixi Gao Nanjing Institute of Environmental Sciences, Ministry of Environmental
Protection of China, Nanjing, China
Lijie Gao Institute of Urban Environment, Chinese Academy of Sciences,
Xiamen, China
Shuqin Gao Institute of Botany, Chinese Academy of Sciences, Beijing, China
Contributors xxvii
Yingzhi Gao School of Life Sciences, Northeast Normal University, Changchun,

China
Feng Ge Institute of Zoology, Chinese Academy of Sciences, Beijing, China
Quansheng Ge Institute of Geographic Sciences Natural Resources Research,
Lanping Guo National Resource Center of Chinese Material Medical, China
Academy of Chinese Medical Science, Beijing, China
Xuebing Guo Institute of Geographic Sciences and Natural Resources Research,
Zhaodi Guo Department of Ecology, College of Urban and Environmental
Xinmei Hao Center for Agricultural Water Research in China, China Agricultural
University, Beijing, China
Daming He Asian International Rivers Center, Yunnan University, Kunming,
China
Lu He Institute of Geographic Sciences and Natural Resources Research, Chinese
Academy of Sciences, Beijing, China
Nianpeng He Institute of Geographic Sciences and Natural Resources Research,
Qijin He Chinese Academy of Meteorological Sciences, Beijing, China
Yongtao He Resources Research, Institute of Geographical Sciences and Natural,
Xiangyang Hou Institute of Grassland Research, Chinese Academy of
Agricultural Sciences, Hohhot, China
Huifeng Hu State Key Laboratory of Vegetation and Environmental Change,
Institute of Botany, Chinese Academy of Sciences, Beijing, China
Zhenqi Hu Institute of Land Reclamation and Ecological Restoration, China
University of Mining and Technology (Beijing), Beijing, China
Fen Huang Institute of Karst Geology, Chinese Academy of Geological Sciences,
Guilin, China
Jikun Huang Center for Chinese Agricultural Policy, Chinese Academy of
Luqi Huang National Resource Center of Chinese Material Medical, China
xxviii Contributors
Xianzhi Huang State Key Laboratory of Silkworm Genome Biology, Southwest

University, Chongqing, China
Haiting Ji School of Life Sciences, Nanjing University, Nanjing, China
Xiangping Jia Center for Chinese Agricultural Policy, Chinese Academy of
Jusheng Jiang Hainan Academy of Agricultural Reclamation Sciences, Haikou,
China
Zhigang Jiang Institute of Zoology, Chinese Academy of Sciences, Beijing,
China
Wenjun Jiao Institute of Geographic Sciences and Natural Resources Research,
Shaozhong Kang Center for Agricultural Water Research in China, China
Agricultural University, Beijing, China
Weijing Kong Chinese Research Academy of Environmental Sciences, Beijing,
China
Fumin Lei Key Laboratory of Zoological Systematics and Evolution, Institute of
Zoology, Chinese Academy of Sciences, Beijing, China
Chengyun Li Yunnan Agricultural University, Kunming, China
Jing Li Institute of Land Reclamation and Ecological Restoration, China
Liang Li Institute of Karst Geology, Chinese Academy of Geological Sciences,
Guilin, China
Long Li College of Resources and Environmental Sciences, China Agricultural
Nuyun Li State Forestry Administration, Beijing, China
Peicheng Li Research Institute of Water and Development, Chang’an University,
Xi’an, China
Ping Li Institute of Grassland Research, Chinese Academy of Agricultural
Pingxing Li Nanjing Institute of Geography and Limnology, Chinese Academy of
Sciences, Nanjing, China
Qiang Li Institute of Karst Geology, Chinese Academy of Geological Sciences,
Guilin, China
Qilei Li Research Institute of Water and Development, Chang’an University,
Xi’an, China
Contributors xxix
Shenggong Li Institute of Geographic Sciences and Natural Resources Research,

Shidong Li State Forestry Administration, Beijing, China
Wenhua Li Institute of Geographic Sciences and Natural Resources Research,
Xiliang Li Institute of Grassland Research, Chinese Academy of Agricultural
Xiubin Li Institute of Geographic Sciences Natural Resources Research, Chinese
Yunhe Li State Key Laboratory for Biology of Plant Diseases and Insect Pests,
Institute of Plant Protection, Chinese Academy of Agricultural Sciences, Beijing,
China
Zhou Li Rural Development Institute, Chinese Academy of Social Sciences,
Beijing, China
Biao Liang Institute of Geographic Sciences and Natural Resources Research,
Guanghui Lin Center for Earth System Science, Tsinghua University, Beijing,
China
Yongming Lin College of Forestry, Fujian Agricultural and Forestry University,
Fuzhou, China
Zhihua Lin Zhejiang Wanli University, Ningbo, China
Guihuan Liu Academy for Environmental Planning, Beijing, China
Guofang Liu Institute of Botany, Chinese Academy of Sciences, Beijing, China
Haolong Liu Institute of Geographic Sciences and Natural Resources Research,
Jiyuan Liu Institute of Geographic Sciences and Natural Resources Research,
Junhui Liu State Environmental Protection Key Laboratory of Regional
Eco-Process and Function Assessment, Chinese Research Academy of
Environmental Sciences (CRAES), Beijing, China
Moucheng Liu Institute of Geographic Sciences and Natural Resources Research,
Shirong Liu Chinese Academy of Forestry, Beijing, China
Shuzhen Liu Institute of Mountain Hazards and Environment, Chinese Academy
of Sciences, Chengdu, China
xxx Contributors
Xiaohui Liu Northeast Institute of Geography and Agroecology, Chinese

Academy of Sciences, Changchun, China
Xingtu Liu Northeast Institute of Geography and Agroecology, Chinese Academy
of Sciences, Changchun, China
Xu Liu Chinese Academy of Engineering, Beijing, China
Xuelin Liu Beijing Tourism Planning and Design Institute Davos Summit,
Beijing, China
Yan Liu Nanjing Institute of Environmental Sciences, Ministry of Environmental
Zhijuan Liu China Agricultural University, Beijing, China
Baorong Lu Ministry of Education Key Laboratory for Biodiversity and
Ecological Engineering, Department of Ecology and Evolutionary Biology, Fudan
University, Shanghai, China
Chunxia Lu Institute of Geographic Sciences and Natural Resources Research,
Fei Lu State Key Laboratory of Urban and Regional Ecology, Research Center for
Eco-Environmental Sciences, Chinese Academy of Sciences, Beijing, China
Qi Lu Institute of Desertification Studies, Chinese Academy of Forestry, Beijing,
China
Shiming Luo Institute of Tropical and Subtropical Ecology, South China,
Agricultural University, Guangzhou, China
Shihai Lv State Environmental Protection Key Laboratory of Regional
Xianguo Lv Northeast Institute of Geography and Agroecology, Chinese
Lin Ma Centre for Resources, Environment and Food Security, China Agricultural
Wenqi Ma College of Resources and Environmental Sciences, Agricultural
University of Hebei, Baoding, China
Wei Meng Chinese Research Academy of Environmental Sciences, Beijing, China
Qingwen Min Institute of Geographic Sciences and Natural Resources Research,
Songlin Mu Beijing Agriculture Information Technology Research Center,
Beijing, China
Contributors xxxi
Xiang Niu Research Institute of Forest Ecology, Environmental and Protection,

Chinese Academy of Forestry, Beijing, China
Zhiyun Ouyang Research Center for Eco-Environmental Sciences, Chinese
Tao Pan Institute of Geographic Sciences and Natural Resources Research,
Shengji Pei Kunming Institute of Botany, Chinese Academy of Sciences,
Kunming, China
Xia Pei Institute of Geographic Sciences and Natural Resources Research, Chinese
Qin Peng Institute of Geographic Sciences and Natural Resources Research,
Shaolin Peng State Key Laboratory of Biocontrol, School of Life Sciences, Sun
Yat-sen University, Guangzhou, China
Yufa Peng State Key Laboratory for Biology of Plant Diseases and Insect Pests,
Institute of Plant Protection, Chinese Academy of Agricultural Sciences, Beijing,
China
Zongbo Peng Hainan Academy of Agricultural Reclamation Sciences, Haikou,
China
Yuchun Qi Institute of Geographic Sciences and Natural Resources Research,
Liu Qian Wageningen University and Research Centre, Wageningen, The
Netherlands
Jian Qin State Key Laboratory of Silkworm Genome Biology, Southwest
Pei Qin Halophyte Research Lab, Nanjing University, Nanjing, China
Huayong Que Institute of Oceanology, Chinese Academy of Sciences, Qingdao,
China
Jizhou Ren State Key Laboratory of Grassland Agro-ecosystems, College of
Pastoral and Agricultural Science and Technology, Lanzhou University, Lanzhou,
China
Guofan Shao Department of Forestry and Natural Resources, Purdue University,
West Lafayette, IN, USA
Haihua Shen Department of Ecology, College of Urban and Environmental
xxxii Contributors
Yuancun Shen Resources Research, Institute of Geographical Sciences and

Natural, Chinese Academy of Sciences, Beijing, China
Zhenxi Shen Resources Research, Institute of Geographical Sciences and Natural,
Dongmei Shi State Key Laboratory of Silkworm Genome Biology, Southwest
Honghua Shi The First Institute of Oceanography, State Oceanic Administration
of China, Qingdao, China
Longyu Shi Institute of Urban Environment, Chinese Academy of Sciences,
Xiamen, China
Peili Shi Institute of Geographic Sciences and Natural Resources Research,
Changchun Song Northeast Institute of Geography and Agroecology, Chinese
Changhong Su Research Center for Eco-Environmental Sciences, Chinese
Xiaomin Sun Institute of Geographic Sciences and Natural Resources Research,
Yucheng Sun Institute of Zoology, Chinese Academy of Sciences, Beijing, China
Lina Tang Institute of Urban Environment, Chinese Academy of Sciences,
Xiamen, China
Qisheng Tang Yellow Sea Fisheries Research Institute, Chinese Academy of
Fishery Sciences, Qingdao, China
Xiaoping Tang Academy of Forest Inventory and Planning, State Forestry
Administration, Beijing, China
Ling Tong Yellow Sea Fisheries Research Institute, Chinese Academy of Fishery
Sciences, Qingdao, China; Center for Agricultural Water Research in China, China
FangHao Wan Institute of Plant Protection, Chinese Academy of Agricultural
Bing Wang Research Institute of Forest Ecology, Environmental and Protection,
Chinese Academy of Forestry, Beijing, China
Deli Wang School of Life Sciences, Northeast Normal University, Changchun,
China
Gang Wang School of Life Sciences, Lanzhou University, Lanzhou, China
Contributors xxxiii
Jinfeng Wang Research Institute of Water and Development, Chang’an

University, Xi’an, China
Jingsheng Wang Resources Research, Institute of Geographical Sciences and
Ming Wang Northeast Institute of Geography and Agroecology, Chinese
Peijun Wang Institute of Land Reclamation and Ecological Restoration, China
Qingli Wang Institute of Grassland Research, Chinese Academy of Agricultural
R.L. Wang Institute of Geographic Sciences and Natural Resources Research,
Rui Wang Institute of Plant Protection, Chinese Academy of Agricultural
Sheng Wang National Resource Center of Chinese Material Medical, China
Tao Wang Research Institute, Chinese Academy of Sciences, Cold and Arid
Regions Environmental and Engineering, Lanzhou, China
Wenqing Wang Key Laboratory of the Ministry of Education for Coastal and
Xiangrong Wang Department of Environmental Science and Engineering, Fudan
University, Shanghai, China
Xiaodan Wang Institute of Mountain Hazards and Environment, Chinese
Academy of Sciences, Chengdu, China
Xiaoke Wang State Key Laboratory of Urban and Regional Ecology, Research
Center for Eco-Environmental Sciences, Chinese Academy of Sciences, Beijing,
China
Jiangchun Wei State Key Laboratory of Mycology, Institute of Microbiology,
Xuefa Wen Institute of Geographic Sciences and Natural Resources Research,
Yihui Wen Academy for Environmental Planning, Beijing, China
Jianguo Wu School of Life Sciences and Global Institute of Sustainability,
Arizona State University, Tempe, AZ, USA
Jianyong Wu Nanjing Institute of Environmental Sciences, Ministry of
Environmental Protection, Nanjing, China
xxxiv Contributors
Jun Wu Nanjing Institute of Environmental Sciences, Ministry of Environmental

Kongming Wu State Key Laboratory for Biology of Plant Diseases and Insect
Pests, Institute of Plant Protection, Chinese Academy of Agricultural Sciences,
Beijing, China
Shaohong Wu Institute of Geographic Sciences and Natural Resources Research,
Wenliang Wu College of Resources and Environmental Sciences, China
Cheng Xiang Center for Chinese Agricultural Policy, Chinese Academy of
Zhonghuai Xiang State Key Laboratory of Silkworm Genome Biology,
Southwest University, Chongqing, China
Yu Xiao Institute of Geographic Sciences and Natural Resources Research,
Dong Xie School of Life Sciences, Nanjing University, Nanjing, China
Gaodi Xie Institute of Geographic Sciences and Natural Resources Research,
Dingpeng Xiong Institute of Geographic Sciences and Natural Resources
Research, Chinese Academy of Sciences, Beijing, China
Danghui Xu School of Life Sciences, Lanzhou University, Lanzhou, China
Haigen Xu Nanjing Institute of Environmental Sciences, Ministry of
Ming Xu Key Laboratory of Ecosystem Network Observation and Modeling,
Institute of Geographic Sciences and Natural Resources, Chinese Academy of
Qiang Xu Institute of Oceanology, Chinese Academy of Sciences, Qingdao,
China
Qinzeng Xu Institute of Oceanology, Chinese Academy of Sciences, Qingdao,
China
Shixiao Xu Northwest Institute of Plateau Biology, Chinese Academy of Sciences,
Xining, China
Zhiwei Xu Institute of Geographic Sciences and Natural Resources Research,
Zhongqi Xu Forestry College, Agricultural University of Hebei, Baoding, China
Contributors xxxv
Dayuan Xue Nanjing Institute of Environmental Sciences, Ministry of

Xiwu Yan Dalian Ocean University, Dalian, China
Guangmei Yang Shanghai Hongqiao New Energy Investment Corp, Shanghai,
China
Hongsheng Yang Institute of Oceanology. Chinese Academy of Sciences,
Qingdao, China
Hui Yang Institute of Karst Geology, Chinese Academy of Geological Sciences,
Guilin, China
Jing Yang Yunnan Agricultural University, Kunming, China
Li Yang Urban Planning and Design Institute, Tsinghua University, Beijing,
China
Qingwen Yang Institute of Crop Science, Chinese Academy of Agricultural
Science, Beijing, China
Shengchang Yang Key Laboratory of the Ministry of Education for Coastal and
Xiaoguang Yang China Agricultural University, Beijing, China
Zhaoping Yang Nanjing Institute of Environmental Sciences, Ministry of
Environmental Protection of China, Nanjing, China
Zhifeng Yanng School of Environment, Beijing Normal University, Beijing,
China
Buqing Yao Northwest Institute of Plateau Biology, Chinese Academy of
Sciences, Xining, China
Zuofang Yao Northeast Institute of Geography and Agroecology, Chinese
Xuehua Ye Institute of Botany, Chinese Academy of Sciences, Beijing, China
Guirui Yu Institute of Geographic Sciences and Natural Resources Research,
Kongjian Yu College of Architecture and Landscape Architecture, Peking
Jianli Yuan School of Life Sciences, Lanzhou University, Lanzhou, China
TianXiang Yue Institute of Geographic Sciences and Natural Resources Research,
Jinyan Zhan Beijing Normal University, Beijing, China
xxxvi Contributors
Chunlan Zhang Key Laboratory of Zoological Systematics and Evolution,

Institute of Zoology, Chinese Academy of Sciences, Beijing, China
Fusuo Zhang Centre for Resources, Environment and Food Security, China
Guofan Zhang Institute of Oceanology, Chinese Academy of Sciences, Qingdao,
China
Huiyuan Zhang Academy for Environmental Planning, Beijing, China
Linbo Zhang Chinese Research Academy of Environmental Sciences, Beijing,
China
Ming Zhang Nanjing Institute of Environmental Sciences, Ministry of
Runzhi Zhang Institute of Zoology, Chinese Academy of Sciences, Beijing,
China
Xianzhou Zhang Resources Research, Institute of Geographical Sciences and
Yanmin Zhang Academy for Environmental Planning, Beijing, China
Yifeng Zhang Institute of Geographic Sciences and Natural Resources Research,
CAS, Beijing, China
Yihui Zhang Key Laboratory of the Ministry of Education for Coastal and
Yong Zhang Institute of Grassland Research, Chinese Academy of Agricultural
Yuan Zhang Chinese Research Academy of Environmental Sciences, Beijing,
China
Haijun Zhao Foreign Environment Cooperation Center, Ministry of
Environmental Protection, Beijing, China
Hong Zhao State Key Laboratory of Urban and Regional Ecology, Research
Center for Eco-Environmental Sciences, Chinese Academy of Sciences, Beijing,
China
Jingzhu Zhao Institute of Urban Environment, Chinese Academy of Sciences,
Xiamen, China
Liang Zhao Northwest Institute of Plateau Biology, Chinese Academy of
Xinquan Zhao Northwest Institute of Plateau Biology, Chinese Academy of
Contributors xxxvii
Lin Zhen Institute of Geographic Sciences and Natural Resources Research,

Feimin Zheng Research Institute of Water and Development, Chang’an
University, Xi’an, China
Jingyun Zheng Institute of Geographic Sciences and Natural Resources Research,
Wei Zheng The First Institute of Oceanography, State Oceanic Administration of
China, Qingdao, China
Yongyun Zheng Marine Biology Institute of Shandong Province, Jinan, China
Zhirong Zheng State Environmental Protection Key Laboratory of Regional
Linsheng Zhong Institute of Geographic Sciences and Natural Resources
Research, CAS, Beijing, China
Xianghao Zhong Institute of Mountain Hazards and Environment, Chinese
Academy of Sciences, Chengdu, China
Zhiwei Zhong School of Life Sciences, Northeast Normal University, Changchun,
China
Guangsheng Zhou Chinese Academy of Meteorological Sciences, Beijing, China
Hangtao Zhou Key Laboratory of the Ministry of Education for Coastal and
Wetland Ecosystems, College of Oceanography and Earth Sciences, Xiamen,
Fujian, China
Hengjie Zhou School of Life Sciences, Nanjing University, Nanjing, China
Honghua Zhou State Key Laboratory of Desert and Oasis Ecology, Xinjiang
Institute of Ecology and Geography, Chinese Academy of Sciences, Urumqi, China
Huakun Zhou Northwest Institute of Plateau Biology, Chinese Academy of
Ting Zhou State Key Laboratory of Biocontrol, School of Life Sciences, Sun
Yat-sen University, Guangzhou, China
Youyong Zhu Yunnan Agricultural University, Kunming, China
Changxin Zou Nanjing Institute of Environmental Sciences, Ministry of
Environmental Protection of China, Nanjing, China
Part I
Biodiversity Conservation
and Its Application
Chapter 1
Biodiversity Inventory and Researches
Dayuan Xue, Jianyong Wu, Xu Liu, Baorong Lu and Shengji Pei
Abstract Chinese authorities have organized many national or regional large-scale

investigations, such as national key species resources, terrestrial wildlife resources,
wetland resources, agricultural, and livestock genetic resources investigation.
Currently, China has set up relevant database for biodiversity, published nearly 400
volumes of species cataloged annals, and established the monitoring system of
forest resources, wetland resources monitoring centres, wildlife resources moni-
toring centres, and the Chinese ecosystem research network with dozens of eco-
logical research stations. At the same time, China has gradually formed a set of
perfect identification and evaluation technology on crop germplasm resources,
formulated the unified germplasm resource description specification and data
standard for more than 100 variety of crops, and established a set of scientific and
standardized cryopreservation and monitoring technology system for genebanks,
germplasm, and tube seedlings which is accord with the situation of China itself.
Furthermore, the intimate connection between cultural diversity and biodiversity in
China has been recognized and appreciated.

Keywords Biodiversity Inventory Crop germplasm resources Monitor

Conservation Genetic resources Cultural diversity
D. Xue (&) J. Wu
Nanjing Institute of Environmental Sciences, Ministry of Environmental Protection,
Nanjing 210042, China
e-mail: [email protected]
X. Liu
Chinese Academy of Engineering, Beijing 100088, China
B. Lu
Ministry of Education Key Laboratory for Biodiversity and Ecological Engineering,
Department of Ecology and Evolutionary Biology, Fudan University,
Shanghai 200433, China
S. Pei
Kunming Institute of Botany, Chinese Academy of Sciences, Kunming 650201, China
© Springer-Verlag Berlin Heidelberg and Higher Education Press 2015 3

W. Li (ed.), Contemporary Ecology Research in China,
DOI 10.1007/978-3-662-48376-3_1
4 D. Xue et al.
1 Progress on Biodiversity Inventory and Researches

in China
1.1 Introduction
Biodiversity is defined as variability among living organisms from all sources, and
it includes the diversities in three levels of gene, species, and ecosystem by the
definition of the Convention on Biological Diversity (CBD) (Chandra and Idrisova
2011). Biodiversity plays an important role in sustaining human lives by providing
different goods and services, and through its intrinsic, cultural, and socio-economic
values. But many negative factors, such as habitat degradation and fragmentation,
over-exploitation of biological resources, introduction of alien invasive species, and
biodiversity-unfriendly agricultural practices, are threatening biodiversity’s loss at
an unprecedented level (Ayyad 2003; Ahrends et al. 2011).
China is one of the mega-biodiversity countries in the world. The main types of
terrestrial ecosystems in China include forest, shrub, meadow, steppe, desert, and
wetland; and the major marine ecosystems are the Yellow Sea, East China Sea,
South China Sea, and Kuroshio Basin. China has known approximately 35,000
species of higher plants, ranking the third in the world. China also has 6445
vertebrate animal species, accounting for 13.7 % of the total in the world. The fungi
species proven in China are about 10,000, making up 14 % of the total in the world.
According to incomplete statistics, there are 1339 species of cultivated crops, 1930
species of wild relatives of crops and 567 varieties or breedings of domesticated
animals in China. But at the same time, China is also one of the countries where
biodiversity is under the most serious threat.
A basic element in the success of managing species for conservation concern is a
full understanding of the country’s biodiversity status. To halt the destruction of the
diversity, it is essential to investigate, inventory, and assess the present biodiversity
status and to forecast future change and trends. In 1950s and 60s, a large-scale
biodiversity survey was carried out, laying down a solid foundation for composition
of a series monographs of the vegetation, flora, and fauna of China.
1.2 Progress of the Study on Inventory of Biodiversity

in China
Since 1990s, field surveys and inventory work have been conducting in some key
areas to identify the important natural resources, as a result, categories and
assessing criteria for Red List Species were developed, the endangered wild animal
and plant species were evaluated and graded, and demonstrative evaluation for
grading ecosystems was carried out. Great progress has also been made in ex situ
1 Biodiversity Inventory and Researches 5
and in situ conservation of biodiversity, and a series of relevant conservation

planning have been developed. Although it is a little late for starting biodiversity
conservation activities, great progress was made during the past 20 years in bio-
diversity researches, especially biodiversity’s identification, and inventory.
1.2.1 Progress on Identification and Inventory of Biodiversity
A national-wide wildlife survey organized by the State Forestry Administration was

carried out on the investigation to 189 nationally protected plant species and 252
wild animal species (State Forestry Administration 2009a, b). Another systematic
survey for 191 wild species of crops has been undertaken in 2002–2009. Based on
data collection, a monograph on national key protected wild plants was compiled
(Wang et al. 2011). To achieve 2010 targets of CBD, in 2004, a project for bio-
diversity survey and inventory was launched by Ministry of Environmental
Protection joined by other relevant ministries of forestry, agriculture, Chinese tra-
ditional medicines (TCMs), and so on. This survey was mainly focused on key
species of plant, animal, and macro-fungi, mainly including rare, endemic, threa-
tened and endangered, and economic species that are mostly involved in Red list
and other lists for protection. Until 2010, “China National Biodiversity
Conservation Strategy and Action Plan” was approved by the State Council. In this
document, identification and inventory of biodiversity was listed as a priority
strategy and action. Therefore, a new program for biodiversity identification and
inventory was implemented since 2010. This program is targeted to inventory all
species based on county level and to establish the biodiversity databases for
counties in whole China. It means that this ambitious program is to identify and
inventory biodiversity for more than 2000 counties in whole China during the next
10 years. To initiate the great job, a pilot project for biodiversity inventory in 26
selected counties in Southwest China (Guizhou. Guangxi and Yunnan) was
implemented during 2010–2011. The project has succeeded in many aspects, for
example, the databases established in 26 counties are not only limited in species,
but also in ecosystems and genetic resources. It is expected that the experience
achieved in this pilot project will play a demonstrative role for the next large scale
of biodiversity investigation in the over 2000 counties in whole Chinese territory.
1.2.2 Inventory and Database of Biodiversity
Inventory and database are important parts of biodiversity investigation. China has
completed all the 80 volumes of Flora and 125 volumes of Fauna of China, etc.
Catalogue of Life (COL) China has an annual checklist. In September 2012, COL
China Annual Checklist 2012 edition, compiled by Species 2000 China Node, was
published by Science Press. The groups of species in 2012 Annual Checklist of
6 D. Xue et al.
COL China and their numbers of accepted species names are: virus (348), bacteria
(158), chromista (1540), fungi (140), protozoa (1291), plantae (35,487), and ani-
malia (23,103). The numbers of total species, synonyms and aliases reached to
70,596, 92,635 and 32,120, respectively. Furthermore, a catalog for 60,000 species
and 400,000 accessions of agricultural germplasm resources was completed, setting
up a national database platform for biodiversity, including the databases of eco-
systems, vegetations, species, genetic resources, case study reports, as well as a
huge capacity for photos, video, and specimens.
In situ and ex situ conservation are common and effective approaches for bio-
diversity conservation. By the end of 2011, China had established 2640 nature
reserves, accounting for 15 % of whole country’s territory. However, ex situ
conservation needs a strong management, and assessment for the management
effectiveness of nature reserves is an effective way to promote management quality
and achieve conservation targets. Chen et al. (2009) used geographic information
system (GIS) to assess the conservation status of vegetation types, endangered plant
and animal species, and biodiversity hotspots in China, based on the area, endan-
gered species list, and geographic position of 2047 nature reserves. Yuan et al.
(2009) investigated the protected conditions of state key protected wild plants
within the national nature reserves as of 2008, based on the available data and by
use of information collection and analysis. Quan et al. (2011) carried out a survey in
535 nature reserves in China to assess the management status quo in 2005 using a
questionnaire. Then the state key protected wild plant in natural reserves and the
wild animal species were displayed and assessed for their conservation capacities in
the in situ and ex situ facilities in China.
1.2.3 Study of Categories and Criteria and Assessment

of Endangerment Status of Biodiversity
It is an important task in biodiversity conservation to assess biodiversity status and

determine protection priorities. IUCN Red list Criteria has been improved through
periodical revision. In 2008, the International Union for Conservation of Nature
(IUCN) established a working group at the Fourth World Conservation Congress to
develop quantitative categories and criteria for assessing ecosystems’ threat status.
As an example, Chen and Ma (2012) illustrated the use of these criteria for
assessing ecosystem threat status, and they evaluated the threat status of these four
ecosystems by use of the existing literature data on the occupancy area for eco-
systems in China’s Liaohe Delta in 1988 and 2006. Under the funding support from
Ministry of Environmental Protection of China, Jiang and Luo (2012) assessed the
status of terrestrial vertebrates in China using IUCN method. The result showed that
five species were listed in the category of extinct, 30 species were near extinct, 343
species were endangered, 459 species were threatened, 439 species were concerned,
and 1032 species were least concerned. In addition, the development of the red list
for higher plants was executed, joining by more than 100 specialists from different
institutions and universities in China. Zhang et al. (2011) assessed the threatened
status of the nationally protected wild plants in China, by use of IUCN Red List
Categories and Criteria.
1.2.4 Policy Systematic on Biodiversity
China government has being focused on biodiversity conservation for a long time.
Especially, since becoming the contracting party to CBD, China has taken a lot of
actions to halt the loss of biodiversity. In 1994, China issued China Biodiversity
Conservation Action Plan. In 2007, China launched the National Program for
Conservation and Use of Biological Resources. In 2008, National Strategy for Plant
Conservation was released as a response to the Global Strategy for Plant
Conservation. In addition, the renewed China National Biodiversity Conservation
Strategy and Action Plan was formulated during 2007–2010 and approved by the
State Council in Sept 2010. Furthermore, the policy of access and benefit-sharing
for genetic resources and associated traditional knowledge was presented in China
National Intellectual Property Strategy Outlines, which was issued by the State
Council in 2008.
1.3 Conclusion and Discussion
Because of limited financial and expertise resources, biodiversity surveys and

inventories in the past years were mainly concentrated in the important regions or
aimed to the key species. These surveys and inventories are far from the target to
know the biodiversity baselines in China. However, the baselines are significant for
future monitoring and assessment for the country’s biodiversity. Therefore, it is
important to establish a national program for biodiversity inventory based on county
unit level, which is helpful to set up a monitoring network based on over 2000
county nodes. Challenges for biodiversity conservation are not only limited in
inventory and monitoring, but also in access and benefit-sharing for the utilization of
genetic resources and associated traditional knowledge (Xue et al. 2012). However,
a clear baseline and a sound monitoring network, generated by biodiversity survey
and inventory, would be a solid foundation for implementation of access and
benefit-sharing regime. Hence the authors suggest that the urgent work is to start the
implementation of the national biodiversity inventory program identified in the
China National Biodiversity Strategy and Action Plan (2011–2030).
8 D. Xue et al.
2 Survey, Catalog, Evaluation, and Conservation of Crop

Germplasm Resources
Crop germplasm resources are the basis for crop breeding and the development of
modern seed industry. They are long-term, fundamental, and public work. The
survey, catalog, evaluation, and conservation of crop germplasm resources have a
far-reaching significance and realistic importance.
2.1 Survey and Collection of Crop Germplasm Resources
Collection of germplasm resources is the basis of and first step to the conservation
of crop germplasm resources. The main collecting methods include general
investigation and specific investigation. When conducting the general investigation
of crop germplasm resources, the related national research institutes draw up an
investigation letter, formulate a collecting form, and send them to the relevant
administrative departments at the provincial level. As required, the relevant local
staff at district or county levels do the survey and collection for the germplasm
resources in their areas. After putting them in order, the collected materials shall be
sent to the agricultural department at the provincial level or the institutes that sent
the letter and form. Finally, the collection of germplasm resources will be char-
acterized, cataloged, multiplied, and preserved in the national genebank and/or field
genebanks under the coordination of institute that leads the general investigation. In
the 1950s, in order to avoid local germplasm resources getting lost in the process of
promoting improved varieties, a general collection of germplasm recourses was
conducted at the county level nationwide. In total, 200,000 accessions of 53 field
crops, 17,000 accessions of 88 vegetable crops, and 12,000 accessions of intro-
duced from foreign countries were collected. From 1979 to 1984, the general
collection was re-conducted and 110,000 accessions of 60 crops were collected.
Besides the general investigation, China also conducted specific surveys and
collecting missions of important crops and their wild relatives in key areas. Based
on exhaustive literature and thorough understanding of geography, climate, social
economy, cultural environment and crop species, diversity, and special resources of
the areas, the work plan for targeted collections is developed, including the scope,
time, personnel, equipment, management approach, and financial budget of the
survey. The participating organizations and staff are determined. The collecting
team will be composed of old, middle-aged, and young scientists with different
expertise. The workshop and training will be conducted for enhancing the capacity
for the surveys. The work plan shall be discussed between the investigation panel
and the local government and related sectors. If the area to be surveyed covers a
broad range and employs many staff, the collecting team could be divided into
groups, each of which takes charge of part of the area. In the process, the staff needs
to fill in the unified form for each accession of collected crop germplasm resources.
If the tissues or organs of the crop can be preserved as germplasm resources, they
should be collected on the site, numbered, and preserved temporarily. For wild
species, the samples should be collected. But if it is not the right time to collect the
species when the survey is conducted, the collecting team shall authorize the local
team members to do it in its suitable time and send it to the preserving organization,
making sure that the numbering of the samples are consistent.
From 1970s, China has already conducted specific survey of crop germplasm
resources in Yunnan, Tibet, Shennongjia in Hubei Province, Three Gorges Area,
Hainan, Daba Mountains, and the mountainous areas of southern Guizhou, western
Guangxi, southern Jiangxi, and northern Guangdong. China has also surveyed and
collected salt-tolerant crop germplasm resources in coastal areas of 11 provinces
and drought-resistant germplasm resources in 7 provinces in the West part of China.
By 2010, altogether 70,000 accessions of germplasm resources have been collected.
Besides, wild soybean was surveyed and collected in 1020 counties nationwide, and
5000 accessions of soybean seeds and 4000 accessions of soybean plants were
collected. Wild rice was investigated in Hainan, Guangdong, Guangxi, Yunnan,
Fujian, Jiangxi, and Hunan provinces (Autonomous regions). It was discovered in
140 counties (cities) and 3800 seed samples and seedling stems were collected.
During 1986–1990, 1000 accessions of 100 species in 10 genus of wild relatives of
wheat were surveyed and collected in provinces, cities, and autonomous region in
the Northwest and Southwest regions. Starting from 2002, the Ministry of
Agriculture implemented a systematic investigation of wild plants related to agri-
culture as listed in “The List of Wild Plants under National Key Protection” (first
and second parts), which checked up 30,000 distribution sites and collected 10,000
accessions of germplasm resources. Surveys have also been conducted on kiwi fruit
nationwide, wild forage plants, mulberry plants in Sichuan, Hubei, Shanxi, and
Guizhou provinces, cotton in Hainan, Guizhou and Guangxi provinces, and ramie
in 14 provinces. The surveys made a thorough investigation of categories and
distribution of the wild species and collected a number of precious germplasm
resources.
2.2 Evaluation and Catalog of Crop Germplasm Resources
Over the past 30 years, China has formulated a very comprehensive evaluation
techniques and methods and published “Descriptors and Data Standards for Crop
Germplasm Resources” for 110 crops, which standardizes the experimental design,
evaluation standards, data collection, and quality control of the evaluation of dif-
ferent species of crops, and therefore improves the credibility of the evaluation data.
10 D. Xue et al.
2.2.1 Characterization and Evaluation
Characterization and evaluation of crop germplasm resources is mainly based on

the principal theories and methods of agronomy, genetics, and statistics. It abides
by the following three basic principles.
First, the basic agronomic traits shall be evaluated in places similar to the ori-
ginal ecological environment where the germplasm was collected. For example, it is
suitable to evaluate indica rice in the South and japonica rice in the North. The
process shall be carried out in similar ecological environment to its original places
for different varieties of the same species, which are collected from different places.
The scope of the evaluation of the basic agronomic traits differs for different crops.
Taking winter wheat for instance, the evaluation shall include information of its
sowing date, emergence date, the number of basic seedlings, returning green date,
elongation date, heading date, flowering date, grain filling date, mature date, days of
whole growth period, stem length, tillering number, number of ears per unit, grain
number per spike, 1000-grain weight, yield per unit area, etc. The specific scope
and standards for each crop shall follow the “Descriptors and Data Standards for
Crop Germplasm Resources”.
Second, biotic-stress and abiotic-stress resistance shall be evaluated in artificially
controlled and natural environments. Characterization and evaluation of
biotic-stress resistance (for example, disease and/or pest resistance) shall be con-
ducted in controlled environment such as greenhouse and/or net houses. By means
of artificial inoculation of disease and/or pest and in suitable temperature and
humidity, the crops are characterized and evaluated for their biotic resistance,
according to the standards and seriousness of being affected by the disease and/or
pest. As to the specific techniques and methods, they shall be selected for different
species of crops, diseases, or pests according to the relevant “Descriptors and Data
Standards for Crop Germplasm Resources.” Evaluation of abiotic-stress resistance
(drought, salt, alkaline, cold, heat, low nitrogen, low phosphorus, barren, etc.) shall
be conducted in natural environment with control, such as drought tents,
salt/alkaline-resistant ponds, and plant growth chambers.
Third, nutrition and food processing traits shall be analyzed and evaluated in
laboratories with equipment. The usual items include protein, starch, fat, amino acid
content, and processing characteristics, for instance, sedimentation value and sta-
bilization time of wheat flour, and the special-function nutrition factors, for
example, isoflavone of soybean and β-glucan of oat. The specific evaluation
techniques and methods shall accord with either national or ministerial standards for
different species of crops.
China has completed evaluation of the basic agronomic traits (generally over 30
traits) of the crop germplasm resources as preserved in the national genebanks, field
genebanks, and in vitro genebanks. For the evaluation of disease/pest resistance,
salt/alkaline tolerance, and quality traits, the percentages of the germplasm
resources evaluated so far are 50, 50, and 60 %, respectively. However, the eval-
uation of basic agronomic traits, disease/pest resistance, salt/alkaline tolerance, and
quality traits of individual crops may be adjusted along with the change of breeding
objectives. For instance, the evaluation of resistance to soybean phytophthora root

rot and sclerotinia rot, and tolerance of low nitrogen/phosphorus of wheat are the
emerging needs in breeding and agricultural production in recent years.
2.2.2 Unified Catalog
For the crop germplasm resources to be cataloged, they shall meet the following
requirements: viability that meets the requirement to enter the long-term
genebank/field genebanks; potential values in research and application; stable
genetic characteristics; with observation and evaluation results and data on its
agronomic traits for 2–3 years; with complete germplasm passport information.
The information needs to be cataloged includes the following items. (1) The
purpose, background, process of the catalog, the categories, conditions, numbers of
accessions cataloged, code and numbering method, and the institutes and staff
produced the catalog. (2) The basic information of germplasm resources, i.e., the
passport information, including scientific names of family, genus and species,
national unique accessions number, germplasm name, the preservation institute
name and number, country or region of origin, country or region of introduction,
etc. (3) Botanical features and agronomic traits. (4) Biotic- and abiotic-resistance
and quality traits. Key items shall be selected, identified, evaluated, and cataloged
according to the needs of breeding and agricultural production. (5) Other important
characteristics, such as the special traits of special germplasm resources. Each
accession cataloged is designated a unique accession number. For individual crops,
it shall accord with “National Accessions Number” standards in the “Descriptors
and Data Standards for Crop Germplasm Resources.”
By the end of 2010, there were 463,427 accessions of germplasm resources that
are nationally uniquely numbered, in which 415,692 are in the seed banks, 44,724
in the field genebank, and 3011 in the in vitro genebanks. Catalogs for 370,846
accessions have been published. For the wild plant germplasm resources, experts
organized by the Ministry of Agriculture have compiled “The Outline of Wild
Agricultural Plants Under National Key Protection” covering the scientific names in
Chinese and in Latin, geographic distribution, ecological environment, morpho-
logical traits, conservation value, and state of endangerment. It consists of 209
species, including subspecies and variants, in 72 families.
2.3 Conservation and Monitoring of Crop Germplasm

Resources
There are two main approaches to protect the crop germplasm resources, namely
in situ and ex situ conservation. For the protection of the wild relatives of agri-
cultural crops, the major approach is to establish the in situ conservation regions
12 D. Xue et al.
(or sites). The conservation site of wild rice, established in 1985 in Dongxing,
Jiangxi Province, is the rudiment of the early stage of national protection of wild
germplasm resources. By the end of 2010, 137 in situ conservation sites in 26
provinces, cities, and autonomous regions have been established for wild relatives
of crops, including 26 species, namely, wild rice, wild soybean, wild relatives of
wheat, wild lotus, coastal glehnia, wild buckwheat, cordyceps sinensis, wild apples,
wild cherry-apples, wild sugarcane, wild citrus, Chinese ilex, wild kiwi fruit,
Isoetes sinensis, wild tea, wild lychee, wild wolfberry, wild orchid, etc. The
methods for ex situ conservation are seed banks, in vitro bank, cryopreservation,
and field bank, among which the first one is of the most importance.
Low-temperature conservation of the germplasm in China can be traced back to
the late 1970s. Over the past 30 years, it has witnessed significant achievement.
First, a safe conservation system for crop germplasm resources, consisting of
long-term genebanks, duplicate genebanks, and mid-term genebanks, has been set
up. The system contains 1 national long-term genebank, 1 duplicate genebank, 10
national mid-term genebanks as well as about 30 provincial mid-term genebanks,
which makes it possible for the safe storage and efficient utilization of national crop
germplasm resources. Second, a technique system for conservation and monitoring
has been established that is consistent with our national situations. The “Two
Fifteen” seed drying system, where the temperature is controlled at 15 °C and the
relative humidity is set at less than or equal to 15 %, has been developed. By the
end of 2010, there were more than 360,000 accessions of germplasm resources
conserved in the long-term bank, which belong to 735 species. The number of
accessions in conservation ranks the second worldwide. In the national and pro-
vincial mid-term banks, there are around 600,000 accessions that can be distributed
or are to be processed. The annual distribution of germplasm resources can reach
40,000 accessions, which provide a solid basis for the sustainable development of
agriculture in China.
The viability of 14,000 accessions of 34 crops preserved in the national
long-term banks for over 20 years is being monitored. Results show that germi-
nation rates of 92 % seeds monitored maintained above 85 %. However, 155
accessions, accounting for 1.1 % of the total, showed significant decline in ger-
mination rates, from above 80 % to below 70 %. China has started from 1978
conservation of germplasm resources of potatoes and sweet potatoes in vitro with
tip meristem culture. In 1986, the national in vitro genebank of potato and sweet
potato was established. By the end of 2010, 2204 accessions of potato and 1302
accessions of sweet potato were preserved. With SSR and morphological markers,
the genetic stability of germplasm resources of potato and sweet potato was com-
pared between preserved in the germplasm nursery gardens and in the in vitro
genebanks. Results show that genetic stability is higher in the germplasm nursery
gardens than in the in vitro genebanks. But germplasm materials in the nursery
gardens are vulnerable to virus infection and thus are likely to degenerate. The
variation of germplasm materials in the in vitro genebanks is temporary and can be
restored by regenerating in the field.
Cryopreservation is usually used for preserving germplasm resources through its

organs such as pollen, embryo, root tip, stem tip, sprout, branch, cell, and seed, etc.,
and considered as an ideal way of long-term preservation for vegetatively propagated
germplasm resources. China has succeeded in cryopreservation of germplasm
resources of many species in fruit trees, flowers, and vegetables, such as apples, pears,
sweet cherries, plums, banana, etc. At present, large-scale cryopreservation for
vegetatively propagated crop germplasm resources is being carried out in the country.
Conservation of living plants in field genebanks is also an important way of germ-
plasm preservation, with aims to conserve vegetatively propagated and perennial
plants, including fruit trees like apple, pear, peach, and grapes; economic cops like
tea, mulberry, and rubber; perennial herbaceous plants like wild rice, wild relatives of
wheat and perennial forage grass; aquatic vegetables like lotus, cane shoot and yam;
and tuberous root and stem like potato, sweet potato, and cassava. The construction of
field genebanks in China has started in the 1970s. By December 2010, altogether 30
field genebanks have been constructed and 7 more are under construction. There are
47,805 accessions of germplasm resources belonging to 1098 species conserved in
field genebanks in China. Monitoring of the germplasm resources in the nursery
gardens show that natural disasters, including disease and pest, aging of the germ-
plasm, and relocation are the main factors causing the loss of germplasm resources.
2.4 Outlook
Survey, catalog, evaluation, and conservation of crop germplasm resources have

been listed in the National Medium and Long-term Development Planning. In the
coming 10–20 years, it is planned to add 100,000 accessions of crop germplasm
resources into the strategic reserves, by introduction from foreign countries and
domestic collection; to conduct deep phenotypic characterization for 30,000 elite
accessions, and select a number of accessions that show eminent and stable elite
characteristics for breeding; to expand 32 field genebanks and build a new national
long-term genebank, enabling the capacity to reach 1.5 million accessions, which
will meet the conservation needs for the coming 50 years; and to establish around 350
in situ conservation sites to improve the conservation of wild germplasm resources.
3 Conservation of Genetic Resources
3.1 Introduction
The rapid increase in global population has posed a great challenge to the world
food security. As indicated in the Declaration of the summary report from the
World Summit on Food Security held at the Food and Agriculture Organization
14 D. Xue et al.
(FAO) headquarters in Rome, Italy: “The number of people suffering from hunger
and poverty now exceeds one billion, and that to feed a world population expected
to surpass nine billion in 2050, agricultural output will have to increase by 70 %”
(IISD 2009). This clearly suggests the severe situation of global food shortage and
future food demand. The population increase is in parallel with the gradual decrease
in arable land, shortage of agricultural sources such as water and minerals, loss of
rural laborers, and global climate change. Such a situation arouses serious problems
for the world sustainable development. Dramatically increase in the per unit crop
production can relieve the pressure of world food security. The efficient utilization
of genetic resources and new technologies in crop production can achieve this goal
(Lu 2001).
Genetic resources have played an important role in the production and
improvement of crop varieties. The transferring of useful traits such as those with
enhanced yield and quality, and tolerance to biotic and abiotic stresses can improve
greatly crop varieties. The well-known examples are the production of the
“green revolution” rice, wheat, and maize varieties by introducing semidwarf (SW-1)
gene to these crops and breeding of hybrid rice by introducing male sterility (MS)
gene from wild rice to cultivated rice (Evenson and Gollin 2003). These examples
demonstrate the importance of maintaining the long-term availability of genetic
resources for the genetic improvement of crop varieties at present and in the future.
However, due to great changes such as rapid economic development, urbanization,
human population increase, changes in agricultural management and farming
styles, and global climate change, the long-term availability of genetic resources is
under great threats. Effective and strategic conservation of genetic resources is the
guarantee for their stainable uses (Lu 2001).
3.2 The Concept and Category of Genetic Resources
According to the definition of “Convention on Biological Diversity (CBD),” bio-

logical resources include “genetic resources, organisms or parts thereof, popula-
tions, or any other biotic component of ecosystems with actual or potential use or
value for humanity.” Therefore, genetic resources represent a part of biological
resources and can be defined as “genetic material of actual or potential value.
Genetic material is any material of plant, animal, microbial or other origin con-
taining functional units of heredity.” Although genetic resources include a wide
spectrum of living genetic materials such as medicinal plants, agricultural crops,
and animal breeds, this article only emphasize those closely associated with agri-
cultural genetic resources.
Agricultural genetic resources include: (1) domesticated crops; (2) wild species
genetically closely related to crops; and (3) con-specific weeds of crops. Crop
species are domesticated plants from wild species through long-term utilization and
cultivation by human. Crop species have played extremely important roles in
human civilization and the world food security. There are many cultivated types for
each domesticated species that are usually divided into traditional crop varieties or
landraces selected by farmers, modern or improved crop varieties bred by breeders,
and genetic stocks from hybridization or genetic manipulation. All domesticated
species are originated from their wild ancestors, and therefore any wild species that
have a certain genetic relationship with the domesticated crops are referred to as
crop wild relatives, including the direct ancestor of a crop.
Various types of genetic resources have different evolutionary relationships with
crops, which reflect the accessibility to the genetic resources for utilization in crop
breeding. This is due to compatibilities of a crop species that is involved in genetic
improvement with other species used as genetic resources. Based on such com-
patibilities, Harlan and De Wet have categorized genetic resources into three gene
pools: primary gene pool (GP-I); secondary gene pool (GP-II); and tertiary gene
pool (GP-III) (Harlan and Wet 1971). GP-I includes genetic resources that belong to
the same biological species as the target crop. Species including crop varieties,
genetic stocks, and con-specific weeds in this gene pool can have sexual crosses and
genetic recombination with the target crop species freely. GP-II comprises of
genetic resources that have close relationships with the target crops. Species
including wild species in the same genus of the crop species in this gene pool
cannot easily hybridize with the target crop without manipulation. GP-II contains
genetic resources that have distant relationships with the target crops. It is impos-
sible to use species in this gene pool for breeding unless special technologies are
applied (Fig. 1).
Fig. 1 Categories of genetic

resources into primary (GP-I),
secondary (GP-II), and
tertiary (GP-III) gene pools
using cultivated rice as an
example, based on the
concept of Harlan and De Wet
(1971)
16 D. Xue et al.
3.3 Strategies for Genetic Resource Conservation
Given the importance of genetic resources, governments, nongovernment organi-

zations, and international organizations have invested enormously for conserving
genetic resources. Usually, there are three strategies for the effective conservation of
genetic resources: ex situ conservation, in situ conservation, and on-farm conserva-
tion. Ex situ conservation, also referred to as off-site conservation, is the process of
protecting a target species of plant or animal outside its natural habitats in a new
location, for example, to store seeds of a target plant species in germplasm banks. In
situ conservation, also referred to as on-site conservation, is the process of protecting
a target plant or animal species in its natural habitats, for example, to protect plant or
animal species in nature reserves and original conservation sites. On-farm conser-
vation is a special conservation strategy for protecting landraces or traditional vari-
eties of crop species. On-farm conservation of crop genetic resources is defined as the
continued cultivation and management of a diverse set of crop populations by farmers
in the agroecosystems where a crop has evolved (Lu et al. 2008; Zhu et al. 2003).
The three strategies provide complementary approaches to each other for the
effective conservation of genetic resources because each of these strategies has its
unique characteristics and limitations (Table 1). For example, ex situ conservation
is static conservation in terms of evolution, and potential genetic variation from the
changing environment will never occur in gene banks. In addition, genetic diversity
may be compromised when collections are multiplied ex situ. In situ conservation
can include great amount of genetic variation that always evolves under changing
environment.
Table 1 Different conservation strategies with their characteristics and limitations

Strategy Target species Conservation Advantages and limitations
site
Ex situ Wild and cultivated In germplasm Easy to access when genetic
conservation species banks, gardens, resources are need for
or nurseries utilization; evolutionary process
of the conserved resources is
stopped, no genetic variation
can be generated during
conservation
In situ Wild and cultivated All in natural Difficult to access when genetic
conservation species habitats resources are need for
utilization; evolutionary process
continuing; genetic variation can
happen during conservation
On form Cultivated species All in farmer’s Easy to access when genetic
conservation (landraces and fields resources are need for
varieties) utilization; evolutionary process
continuing; genetic variation
occurs during conservation
3.4 Challenge of Genetic Resource Conservation
Genetic resources are extremely important for human livelihood, proving funda-
mental materials such as food, clothes, and housing. However, the sustainable use
and long-term availability of some genetic resources are under great threats due to
many factors such as dramatic change of agricultural practices, expanding of
farming land, extensive cultivation of only a few modern crop varieties in a huge
area, and deterioration of agricultural and natural ecosystems (Bellon et al. 1998;
Mack et al. 2000). The strategic conservation of genetic resources becomes
increasingly important. Because of the above-mentioned factors, the conservation
of genetic resources faces unprecedented challenges, which will significantly affect
the efficient conservation of genetic resources. In addition, our understanding on
genetic diversity of conserved genetic resources under different situation, rela-
tionships between conservation methodologies and effectiveness of conservation,
for example, what are the sampling strategies for conserved resources of plant
species, is still not perfectly known (Zhu et al. 2007). More scientific studies
concerning the conservation methodology need to be carried out for ex situ as well
as in situ conservation strategies.
The long-term availability of genetic resources of plant species is significantly
influenced by the changing environment. For example, the habitat fragmentation
and habitat losses will pose severe threat to the lone-term availability or even
extinction of a plant species (Kiang et al. 1979). Factors such as extensive human
disturbances to the habitats, expanding of farming land, changes in agriculture
management styles, invasion of alien species to local habitats, and global climate
change will exert significant threats to the existence of traditional crop
varieties/landraces and wild relative species in many parts of the world. This sit-
uation is particularly true for the biodiversity-rich countries and regions located in
the centers of origin for domesticated plant species. In addition, one important but
neglected factor may significantly influence genetic diversity of traditional crop
varieties and wild relative species. That is the potential impacts of continued
introgression of crop genes, particularly transgenes from genetically engineered
crops on conservation (Lu 2013).
Genetic resources are essential for the production and improvement of crop species
that are associated with the world food security. Given the increasing threats to the
long-term availability and diversity of genetic resources, strategic and effective
conservation of plant and animal species that harbor genetic diversity become very
important. To achieve such objectives, we need to complete the follows tusks.
(i) To strengthen scientific researches on conservation, such as sampling strategies,
genetic diversity and structure of wild populations, and gene flow within and
18 D. Xue et al.
between populations, which will enable us to design strategies and measures for
implementation and management of effective conservation, particularly for in situ
conservation. (ii) To minimize genetic erosion during the conservation and man-
agement process, for example, contamination during seed multiplication in germ-
plasm banks. (iii) To increase the utilization of genetic resources, which will
promote the effective conservation of genetic resources, particularly for on-farm
conservation of traditional crop varieties and in situ conservation of wild species.
(iv) To strengthen scientific studies on the adaptive evolution of in situ conserved
genetic resources, which can facilitate the effective conservation of genetic
resources under changing environmental conditions. (v) To increase the public
education on the biodiversity and conservation of genetic resources, which will
mobilize resources from governments, nongovernment organizations, and the
whole societies for the course of genetic resource conservation.
4 Cultural Diversity and Biological Diversity
4.1 Introduction
With the conclusion of the CBD in 1992 by United Nations World Summit in Rio
and the Convention on the Protection and Promotion of the Diversity of Cultural
Expressions in 2005 by UNESCO in Paris, the conservation of biological and
cultural diversity for environmental protection and sustainable development has
now become a common concern of the international community. Since 1980s,
ethno biologists, human ecologists, and conservationists around the world have
been actively engaged in the research of indigenous community biodiversity con-
servation that lead to recognize of biodiversity and traditional culture is inseparable;
genetic resources preservation and traditional knowledge are inseparable, and tra-
ditional cultural beliefs are not separated with ecosystem conservation. As McNeely
(1993, 2003) pointed that cultural and biological diversity are intimately and
inextricably linked. Case studies and reports from research have strongly supported
the coevolutional relationships of biodiversity and cultural diversity which was first
discussed in the Oxford University published book ‘Our Common Future’ in 1987
and built up the theoretical basis for the study of BioCultural diversity conservation
today (Pei 2006; Pei and Huai 2007).
China is a country of multicultural nationalities, 56 ethnic cultural groups have
jointly together created the great Chinese civilization with which the root-base is
agrocivilization covering agroculture; nomadic-patrolman culture; forest culture;
medical culture; and other relevant cultures of utilization animals and plants
throughout Chinese history. China has the richest northern temperate flora and
fauna in the world. Known as one of the Mega-bio diversity countries of the world,
for instance China has recorded 31,500 native species of vascular plants, around
8 % of the world’s estimated total. China is the only country in the world that
possess continue terrestrial ecosystems from tropical to cold rigid zones and from
sea level to the highest peak of the world. The 5000 years noninterrupted Chinese
civilization development has been developed from ancient time to present time is
also very unique among nations of the world. Traditional knowledge on plants and
animals in China is very rich that has been formed into the Chinese philosophy of
‘Man and Nature are the One’; many plants and animals have been recorded in
Chinese ancient literatures, for example, the ‘Zhou Yi-Zhen-Yi’ is one of the books
over 2000 years. Different traditional forms and approaches of conservation eco-
systems and biodiversity have been developed and maintained since ancient China
which have made great contribution to the world civilization development and
nature environment conservation (Pei 2006; Pei and Huai 2007).
4.2 The Relationship of Biodiversity and Cultural Diversity
4.2.1 The Coevolutional Relationship of Biodiversity

and Cultural Diversity
Biological resources are the basic nature resources for human life. Plants, animals,
and associated ecosystem have been mixed together with human’s material life and
spiritual life. Today, human being is highly depended on and influenced on eco-
system even much stronger than any time in its history, at same time remarkable
progress has been made in science and technology over the last half century, human
have more powerful to change environment. However, culture and biodiversity are
intimately and inextricably linked. The studies on coevolutionary relationship
between biodiversity and cultural diversity are discussed in many ethnobotanical
studies over the last three decades (Pei and Huai 2007; Pei 1987, 2000, 2001, 2002,
2006). The roots of appreciation of the value of biodiversity run very deep in many
traditional world views connected to spiritual understanding and religions
(McNeely 1993, 2003). The accelerated loss of biodiversity does not mean only the
loss of gene, species, and ecosystem, but also destruction the unique structure
relationships between all life forms and human cultures which further proves the
importance to understand the coevolutional relationship of biodiversity and cultural
diversity in biodiversity conservation.
4.2.2 The Interdependency of Biodiversity and Cultural Diversity
Without biodiversity, there is no cultural diversity to talk about. On the other hand, if
there not have cultural diversity, biological diversity cannot be preserved effectively.
Human society utilization and management of land and ecosystems are based on
cultural values and arranged by the entitled social systems. The relationship of man
20 D. Xue et al.
and biodiversity is expressed through cultural expressions of human societies, which

is the reflection of interdependency of plants, animals, and ecosystems and human
being.
4.2.3 Culture Expresses Human Interactions and Biological Species
Human influence all aspects of biodiversity at different levels: species diversity,

genetic diversity, ecosystem diversity, landscape diversity, etc.; man increases
biodiversity throughout domestication and acclimatization biospecies, and decrea-
ses biodiversity through land use change, over-use biospecies, and introduce a
certain economically high-value species (e.g., Rubber, coffee, cacao, tea, etc.) to
replace native species resulting disappearing and extinction of hundreds of local
species from local environment. On the other hand, man respect and protect some
plants, animals, forest and ecosystems through cultural beliefs and religions sys-
tems, for instance Sacred Natural Sites (SNS) as cultural-landscape systems are well
protected in southwest China through history, which greatly help biodiversity
conservation in China (Pei 2002).
4.3 Biodiversity as the Material Basis for Building-up

Human Cultures
The relationship of biodiversity and traditional culture cannot be separated, the

formulation, and development of human culture was influenced by biodiversity
which is also the carrier of traditional culture. This chapter focuses on the analysis
of human cultures that are directly related to biodiversity including linguistic cul-
ture, belief culture, landscape culture, agroculture, forest culture, medical culture,
food culture, and folklore culture as discussed in below paragraphs:
4.3.1 Linguistic Culture and Biodiversity
The accumulated knowledge on biodiversity comes from leaning and exchange

through language. In ancient Chinese literatures, there were massive records on
names of plants, animals, and it distribution, usage, notes, and miscellanies. As
early as the year 2000 BC, the Chinese Poem Collections ‘Shi Jing’ recorded more
than 200 plants and more, including the famous aquatic weed Potamogeton crispus
L. Linguistic culture contains very rich biological knowledge. There are 5000 and
more ethnic groups in the world today; different culture have different names on
plants, animals, and ecosystems; local names and nomenclature systems are even
more details than modern scientific systems. For instance, the Hamunoo people in
Luzon Island of the Philippines have named 1600 plants in local flora but modern
taxonomy could only identified 1200 species names (Cookling 1954).
4.3.2 Believe Culture and Biodiversity
Plants and animals play very important role in human belief systems; cultural
believe regulates man’s behavior and plays important role in biodiversity conser-
vation, in particular religion belief; ancestor worships; and totem beliefs. Buddhism
was introduced into China in Han dynasty (300 BC). Buddhist temples maintain
many plants in the temple yard and protected significant nature forests in sur-
roundings, case study shows that 58 plants are commonly cultivated in the temples
in Xishuangbanna area, Yi people in Yunnan worship flowers of Camellia retic-
ulata and Rhododendron delavayi both plants are well protected in forest area of
Yunnan. SNS culture is one of the important cultural believes among ethnic
minorities of China which includes the Dai’s holly-hill forest; Tibetan’s Sacred
Mountains and Lakes; Miao’s God-forests; Dong’s village-protection forest, as well
as the Han’s ‘Feng Shui’ forests and ‘Dragon-Pool’ protection beliefs, which are
not only important for biodiversity but also significant to protect ecological service
functions of ecosystem (Pei and Huai 2007).
4.3.3 Landscape—Culture and Biodiversity
Many landscapes have been modified and influenced by human societies through
human history. Since ancient time, landscape arrangement includes natural pro-
cesses and man’s activities that have shifted landscape in rural area and urban areas
to meet their demanding for better life. Cultural landscapes contain rich biodiversity
components. For instance, ficus trees are well protected by Dai people in
Xishuangbanna, Ficus religiosa, Ficus hookeriana, Ficus altissima as well as Ficus
benjamina are very attractive big trees in various cultural landscapes of south China
and Tropical Asian countries. In Chinese Himalayas, the Chinese cypress tree
(Sabina chinensis), Pine tree (Pinus yunnanensis), Oak tree (Quercus pannosa),
Dog-wood tree (Dendronbenthamis capitata) among Naxi’s landscape culture are
important cultural plant species and well protected by local people in their sur-
rounding landscapes (Pei 2006) (Fig. 2).
4.3.4 Agroculture and Biodiversity
Agro civilization was established on the success of domestication wild plants and
animals by ancient farmers. China is one of the countries of the world agriculture
origin in human history; paddy-rice cultivation can be traced back to 10,000 BC in
China. China has extremely rich agrobiodiversity, from tropical agriculture, aquatic
culture, and high plateau agriculture to Oasis agriculture, all can be found in China.
22 D. Xue et al.
Fig. 2 Traditional landscape in Xishuangbanna presents the Dai’s landscape culture arrangement
Agro cultural diversity have benefited to agro biodiversity, contributing to maintain

crop genetic at very high level. For instance, in the Hengduan Mountain’s area of
Northwest Yunnan where resides thirteen different ethnic groups (Tibetan, Naxi,
Yi, Bai, Lisu, Lu, Jinpo, and others) landforms ranging from hot and dry valley to
subalpine mountain lands distributed diverse agricultural patterns and maintains
very high crop diversity, mountain crops such as buckwheat, belay, oat, potato, and
maize are well maintained in farming systems of the region. In tropical region,
shifting or swidden agriculture is a traditional agriculture practice that used to be a
very common mode of production and way of life for mountain people in south
China tropics. In 1980s, there was an argument on swidden agriculture among
governments and societies in the region; however, better understanding the nature
of swidden agriculture is the key. From scientific point of view, swidden agriculture
is a traditional culture of millions people’s way of life for their survivor; any change
of the practice must be based on the swiddeners culture of their own. In fact,
traditional swidden agriculture practice involves strategies for maintaining biodi-
versity and land-soil restorations in swidden farming lands, and crop diversity is
highly maintained in swidden farming systems including hundreds of crop land-
races of rice and wild edible plants (wild vegetable more than 20–30 species); even
the Yak grass (Imperata cymlindricd) maintained in the fallow fields is used for
construction houses and hunting sites. However, it is also revealed that swidden
agriculture could be maintained only in areas where human population density is
less than 15 people per km2 (Ramboo 1983; Pei et al. 1997), but this old agroculture
practice along with swidden agriculture are totally disappeared since 1990s in
China due to rapid socio-economic development and cultural changes in the area.
4.3.5 Forest Culture and Biodiversity
Forest culture is the culture of traditional societies about forest management tra-
ditional knowledge and practices, forest traditional knowledge involves man’s
consciousness, belief, and values of forest; and management practice involves use
of forest land, forest products harvesting, cultivation, management and protection
methods, and technologies. In fact, forest culture is a complexity and precise
knowledge body developed by people in forest areas. As forest culture is important
for sustainable management of forest and at the time forest culture is rapid disap-
pearing due to land use change and rapid urbanization development over the last
two decades. In recent years, Chinese scholars (ethnobotanists, foresters, botanists,
and ethnologists) have been working together to develop methods and approaches
in forest culture studies and biocultural approaches for biodiversity conservation
(Pei and Huai 2007). Therefore forest culture can be explained as a complexity of
biocultural diversity with extensive application and significant role to play in
biodiversity conservation. Traditional forest culture is not only consisting of belief,
value, sacred forest, sacred land, and other spiritual cultures, but also involves forest
utilization, management and protection rules, social organizations, community
regulations, folk norms, technical standards, and other practical materialized stan-
dards. Globalization has come a time and modern industrial civilization was
expanded into almost every corner of the world; traditional forest culture is being
disappeared very rapidly, on the other hand, traditional forest management system
is being transformed to adopt market economy model that threats biodiversity, for
example, large tropical forest lands are converted into rubber plantations in
Xishuangbanna over half century that is seen as a challenge to biodiversity con-
servation in the biodiversity hot-spot area, this was partially linked with forest land
use from previous swidden agriculture into modern plantation economy and also
transformation of mountain people livelihoods from forest people into plantation
farmers (Pei and Huai 2007). We do not know what forest looks like in the future.
Who will manage forest? How biodiversity is preserved? Can forest continue
providing social and ecological service functions to us? So far there is no answer to
these questions, but the facts are truly faced to us: nature forest area is continuing
disappearing, forest structure and ecoservice functions are reduced rapidly, and
people’s forest value is being changed.
4.3.6 Medical Culture and Biodiversity
Use of plants and animals for medicine represents a long history of human inter-
actions with the environment. In China, the first records herbal plants are the ‘Shen-
Nong Herbal Book’ in 3000 BC, it comprises 365 plants and animals. The updated
inventory of TCM consists of 11,146 plants of which 10,654 are wild plants (Pei
2001). Today all knowledge about medicinal plants almost comes from traditional
medical culture. Many modern medicine and new drugs are developed based on
traditional medicine. Statistics show that there are 50,000 medicinal plants in the
24 D. Xue et al.
world, China ranks number one with 11,146 species; Europe holds about 1000
medicinal plants; North America about 1600 spp. Central and South America
known for medicinal plants 5000 spp (Hamilton 2008). Therefore, as we can see
even today plants are still the powerful weapons for human being to against disease.
In fact all knowledge about medicinal plants and associated traditional medical
culture are from traditional medicine of all nations in the world. Conservation of
medicinal plants and all components of biodiversity have to be consulting with and
working together with traditional medical culture in all nations.
4.3.7 Food Culture and Biodiversity
Food culture is directly linked to human health, food culture involves selection,
harvesting, procession, preparation and storage of edible plants and animals,
reflecting man’s physical requirements (nutrient, ingredient, quantity, and quality),
cultural demanding (color, fragrance, test, and appearance), and spiritual demand-
ing (ritual, festival, ceremony, and worships). Chinese food culture is very diverse
with long history; food sources include plants, animals, fungus, insects, and
microorganism. Yunnan province is located in Southwest China that holds 50 % of
plant and animal species of China, including edible plants 2000 spp.; edible fungus
150 spp.; edible insects over 100 spp. An unique food culture of flower-eating
culture is remarkable among ethnic minority populations, number of edible flowers
is over 150 plants such as flowers of Gmelina arborea in low-land tropics by the
Dai people; and flowers of Rhododendron decorum in mountain forests by the Bai
and Yi people; and flower of Ottlea acuminate from fresh waters in central Yunnan
by all ethnic groups, the rich food culture of people in Yunnan is obviously sup-
ported by rich biodiversity in the mountainous province (Pei and Huai 2007).
4.3.8 Folklore Culture and Biodiversity
Plants and animals play an important role in folklore culture, since ancient time man
have been established worships of nature and animal and plants totems. For
instance, the Dragon totem, Tiger totem, Ox totem, Horse totem etc., are very old
Chinese cultures among different ethnic groups. Many plants are worshiped by
people in different areas, e.g., Calabash worship, worship of Rhododendron dela-
vayi, Camellia reticulata, Artemisia, Acorus calamus, Pyracantha fortuneana etc.,
which are localized folklore cultures but with distinctive cultural symbolic mean-
ings. Plants and animals are always used in folk music, arts, and writings; for
example, plum, orchid, bamboo, and chrysanthemum are the ‘Four Gentlemen’;
Peony indicates indicating long life, firm, indomitable, etc. Biodiversity has been
mixed up with people’s daily life in every aspect including folklore culture, which
can be explained not only that people love and enjoy biodiversity but also appre-
ciate and preserve biodiversity.
4.4 Trends and Progress on the Study of Biodiversity

and Cultural Diversity
4.4.1 Studies on Cultural Value and Ecosystem
Previous human ecology studies use cross-cutting culture methods to engage in a

comparative study on the interactions of human culture and biophysical environ-
ments in Southeast Asia. In 1985 University of Michigan Ann Arbor published a
book entitled ‘Cultural Value and Human Ecology in Southeast Asia’(Hutterer et al.
1985), in which a number of case studies were presented using case study to
analysis impact of cultural values on environment, one of the case study reports was
‘Some Effects of Dai People’s Cultural Beliefs and Practice upon Plant
Environment of Xishuangbanna, Yunnan Province, SW China (Pei 1987)’, this was
first report on the interactions of culture and environment among ethnic minorities
in China by a Chinese scholar.
In 1984–1996, Chinese ethnobotanists and ecologists in collaboration with
American human ecologists and scientists from Southeast Asia countries working
together in a regional network namely Southeast Asia University Agro-ecosystem
Network (SUAN). The SUAN group was engaged in rural agroecosystem analysis
and assessment throughout various rural ecosystem case studies in the region
including Yunnan of China; the human ecology approach on rural ecosystem
studies was based on a conceptual frame work of interactions between social system
and forest-farming natural systems with five indicators of the hierarchical system:
productivity, stability, sustainability, equilibrium, and resilience (Ramboo 1983)
(Fig. 3).
During 1985–2009, Chinese scholars were starting to use ethnobotanical
methodologies and approaches to study impact of human culture on biodiversity
begun with ethnic minority culture and biodiversity in southeast China; hundreds of
research papers and case study reports were published in this regard over the last
Natural System Social System
Genetic Culture
Species Technology
Population Economics
Community Indigenous Knowledge
Ecosystem/Landscape Information
Others Others
Fig. 3 A theoretical modal for study social system and natural system (cited from: Pei and Sajise
1995)
26 D. Xue et al.
three decades (Pei 2000, 2001, 2002, 2006, Pei and Huai 2007; Pei et al. 1997).
Many of these studies were focused on the below aspects:
(i) Cultural value and biodiversity conservation
(ii) Traditional knowledge and biodiversity management
(iii) Adoptive technologies for biodiversity resource management
(iv) Natural and cultural heritage protection and biodiversity.
4.4.2 Culture-Disappearing Accelerates Biodiversity Lost
Over the last half century, globalization has brought the world into a new era,
economic development model of China has been transformed from traditional
agriculture model into industrial development model, traditional organic,
biodiversity-based agriculture which is being transformed into intensive,
mono-culture, petroleum–based, and gene transfer high-tech agriculture, which is
seen as revolutionary change in Chinese history that has brought about unpre-
dictable effects on biodiversity and cultural diversity. Anthropologists pointed that
today in China the loss of ‘Cultural Species’ is much faster than the loss of bio-
logical species. At present, the loss of culture diversity in connection with biodi-
versity can be summarized into below six respects:
(i) Rapid loss of traditional knowledge
(ii) Change of cultural values
(iii) Modern development accelerates loss of traditional technologies
(iv) Dis-integrated the inheritance mechanism for traditional culture
(v) Dis-connection of biodiversity and cultural diversity
(vi) Misunderstanding traditional cultures.
4.5 Conclusion
The modern human society has exerted massive impact upon all forms of life on
earth, our social economy, development of science and technology, management of
natural resources, cultural values, policy, and legislation all have impacts on nature
and biodiversity. In fact, the conservation of biodiversity today is far more than a
purely scientific issue. Globalization has accelerates the process of biodiversity loss.
Many believe it is the economic drive to balance, actually the root-cause threat on
biodiversity comes not only from the economy development, but also from the
cultural values and the development model we use that decide the mode of eco-
nomic development in a society. In fact, traditional knowledge has made great
contribution to the development of science and technology in human history (ICSU
2002). Our study indicates that human culture is a critical factor for biodiversity
conservation. Traditional cultures offer numerous examples of species and
ecosystem presentations. By rescuing traditional cultures associated with cultural

diversity and biodiversity coexist and coevolve with each other. Their interaction is
strong and complicated, varying from one ethnic group to another ethnic group and
from one region to another region. We believe that with 5000 years development of
sophisticated Chinese culture and enormous rich traditional knowledge on biodi-
versity and environment, China will reach a new era of ecocivilization in which
cultural diversity and biodiversity will be maintained in a harmony world to con-
tribute to national social, economic, and cultural development.
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Chapter 2
Biodiversity Conservation and Its
Research Process
Zhigang Jiang, Fumin Lei, Chunlan Zhang and Moucheng Liu
Abstract In this chapter, we mainly introduce the wildlife vertebrates and birds
conservation and research. China has great habitat and biological diversity; however,
many of wildlife are in peril due to habitat loss and over exploitation in the past few
decades. Ever since, China had strengthened the protection of wild animals, especially
the establishment of nature reserves. Here we take the protection of giant panda, Milu
and Przewalski’s wild horse as case studies. For birds, China has extremely rich bird
resources, highly endemism, but faces high threaten for endangered species. In
addition, the development of molecular biology, bioacoustics, a variety of analytical
software, various analytical models, etc, have played an important role in promoting
the scientific researches and conservation of birds in China.

Keywords Biodiversity Vertebrates Giant panda Przewalski’s wild horse

Birds Endangered bird species Wild bird diseases Conservation
1 Wildlife Conservation and Research
1.1 Introduction
China’s fauna is divided by the Palaearctic and Indomalayan Realms with a

boundary lies approximately along the Mt. Qinglin and Huihe River. The climate in
Z. Jiang
Institute of Zoology, Chinese Academy of Sciences, Beijing 100101, China
F. Lei C. Zhang
Key Laboratory of Zoological Systematics and Evolution, Institute of Zoology,
Chinese Academy of Sciences, Beijing 100101, China
M. Liu (&)
Institute of Geographic Sciences and Natural Resources Research,

DOI 10.1007/978-3-662-48376-3_2
30 Z. Jiang et al.
China is diverse. Much of southern and southeastern China has a subtropical cli-
mate; which turns into more continental northwards and westwards. Monsoon rains
affect the east coast, while the desert interior of the west has very low rainfall. The
size of the country, its climate and topographical variety and its biogeographic
position result in great habitat and biological diversity. Owing to the temperature
difference, from the north to the south, there are Taiga, deciduous broadleaved
forest, ever-green broad levered forest and rain forest in the Monsoon Zone. Wild
animals in the zone are primarily forest inhabitants, like red and white giant flying
squirrel Petaurista alborufus, sika deer Cervus nippon, and tiger Panthera tigris.
Tibetan plateau characterized by the dry and cold alpine climate. Many wild ani-
mals live on the open plateau are endemic ungulates like Chiru Pantholops
hodgsonii, Kiang Equus kiang, wild yak Bos mutus, white lipped deer
Przewalskium albirostris, and Tibetan gazelle Procapra picticaudata, which are
significantly different from the surrounding region. However, the differentiation of
the fauna in the region is basically at the species or genus level, not the family level.
Even though, Chen et al. (1996) claim the Tibetan region should be classified as a
separate zoogeographic realm. Many researchers are exploring the ecological and
evolutionary mechanism which determines the animal species richness pattern in
China (Li et al. 2013; Luo et al. 2012).
1.2 Status of Terrestrial Vertebrates
As new species being discovered, new taxonomy is being adopted and new records
are being added, and number of species in the country is increasing. Roughly, there
are 2637 terrestrial vertebrate species in the country (Table 1). Endemic species
varied from nearly 70 % in the amphibians to about 6 % in birds. During the last
century, because of rapid economic growth, pressure on wildlife mounted in the
country.
Generally, the species richness decreases from southeast to northwest in China.
For an example, only 12.9 % of the 100 × 100 km grids contained more than 500
vertebrate species. These high vertebrate species richness (VSR) grids were mainly
located in the southwestern areas, tropics, and sub-tropics of the country, which
contained several hot spots, including the Hengduan Mountains, the Xishuangbanna
region of Yunnan Province, the southeastern and southern coasts, Hainan Island, and
Taiwan Island. The grids containing 200–500 species were mainly concentrated in
Table 1 No. of species and No. of Endemics Endemics
endemics of mammals, birds, species (%)
reptiles, and amphibians
Amphibians 298 208 69.80
Reptiles 402 131 32.59
Birds 1330 82 6.17
Mammals 607 114 18.78
Total 2637 535 20.29
2 Biodiversity Conservation and Its Research Process 31
the vast eastern and northeastern plains of the country, which accounted for 49.2 %
of the total of grid cells. The remaining grid cells (37.9 % of the total) had VSRs of
<200 and they were mainly located in the northwestern areas and Qinghai–Tibetan
Plateau (Luo et al. 2012).
Many of China’s wildlife are in peril due to habitat loss and over exploitation. In
1989, The Wild Animals Protection Law of PRC was promulgated, which was a
milestone for wildlife conservation in China. One hundred and one animal species are
listed in the Category I of the National Key Protected Wild Animals. 84 species are
listed in CITES Appendix I, including one amphibian, six reptiles, 34 birds and 43
mammals. One hundred and forty-eight species are listed in CITES Appendix II,
including one amphibian, five reptiles, 99 birds and 43 mammals. Fifty-three species
(10 amphibians, 15 reptiles, 4 birds and 24 mammals) are listed as CR in the IUCN Red
List; 154 species (19 amphibians, 22 reptiles, 22 birds and 91 mammals) as En; 324
species (78 amphibians, 67 reptiles, 73 birds and 106 mammals) as VU (IUCN 2013).
Habitat management is one of the most important aspects of wildlife conser-
vation, while establishing nature reserves is one of the most important measures to
protecting habitat. Nature reserve in the country is following the MAB model, a
nature reserve is divided into three function zones: core zone, buffering zone, and
the experimental zone. Human activities are forbidden in the corn zone of reserves.
Until the end of 2012, 2669 nature reserves of 1.50 million km2 have been
established, which accounted for 15 % of the territory of China.
1.3 Case Studies
1.3.1 Giant Panda
Giant panda Ailuropoda melanoleuca is a relic species which lives in fragmented

habitats of Mt. Minshan, Mt. Chionglai, Mt. Major Xianglin, Mt. Minor Xianglin,
Mt. Liangshan and Mt. Qinglin in central China. 1,569 pandas were estimated and
lived in field at the end of twentieth century according to the Third Nationwide
Giant Panda Survey. Long-term isolation caused genetic differentiation in panda
population. It is reported that the giant panda of Mt. Qinglin is a subspecies of giant
panda due to geographic isolation. Logging was a threat to the giant panda; five
nature reserves were established in 1963 to protect the habitats of giant panda. Since
1970, the country has already finished three nationwide giant panda surveys; the
fourth one is nearly finished. Since 1980, many researches on the field ecology of
giant panda had been conducted (Schaller et al. 1985; Pan et al. 2001). Recently,
development in molecular biology, like whole-genome sequencing of giant pandas
provides insights into demographic history and local adaptation of the relic species
(Li et al. 2010a; Zhao et al. 2013), means to assess implications for conservation of
the drastic reduction of the smallest and most isolated giant panda population.
32 Z. Jiang et al.
Nationwide survey, field and molecular ecological research identified key popula-
tions and habitats of giant panda and helped to understand behavior, ecology. and
evolution of the giant panda; thus, set up scientific basis for field conservation.
About 60 % of giant panda habitat, supporting over 70 % of the wild populations, is
now protected in 64 nature reserves, most of them are national nature reserves. The
ex situ population is demographically and genetically strong, and increased efforts
are underway to develop an effective release program to reinforce wild populations.
On the other hand, artificial breeding of giant panda has been carried out in the
Wolong, Chengdu, Beijing and Fuzhou (Peng et al. 2001, 2009). Integrated global
ex situ conservation strategy is supported by the Chinese Association of Zoological
Gardens (CAZG) , the State Forestry Administration (SFA), and Conservation
Breeding Specialists Group (CBSG) of IUCN. More than 300 giant panda have
been bred in breeding centers and zoos in China. Global ex situ giant panda
population is now 375 pandas, conservation breeding plan uses less genetically
valuable females designated to produce offspring suitable for release training
efforts. Recently a re-wild of giant panda project is well on the operation at Wolong
Giant Panda Conservation Center.
1.3.2 Milu
After the last glacial period, Milu Elaphurus davidianus was restricted to swamp
and wetland in the region south of 43°N and east of 110°E in China. Population of
Milu declined because of human hunting and land reclamation as human population
expanded in Holocene. Finally, Milu was extinct in the field (Cao 1992). The first
conservation reintroduction of Milu into China included two groups of 20 (5♂: 15♀)
and 18 (all♀) in 1985 and 1987, respectively. Beijing Milu Park (39°07′N,
116°03′E) was established. The second reintroduction of 39 Milu, selected from
five UK zoos, was carried out in August of 1986. Dafeng Milu Natural Reserve
(33°05′N, 120°49′E) was established to host the reintroduced Milu (Jiang et al.
2000). Further population growth in Beijing Milu Park was restricted by its limited
size. Thus, more than 300 Milu were relocated to over 50 sites all over China.
Ninety-one Milu were relocated to Shishou Milu Reserve, which was established in
1993 and 1995. A flooding of the Yangtze River in 1998 resulted in several cohorts
of Milu leaving the initial release area and forming permanent herds in other parts
of the province, as well as around Dongting Lake in Hunan province (Maddison
et al. 2012). Researchers and graduate students conducted research projects
including population monitoring on the introduced Milu in the country. Three
international workshops on management and research on the reintroduced Milu
were held at Beijing Milu Park in 2006 and Dafeng reserve in 2011 and 2012,
respectively. Recently, a team is monitoring the field-released Milu in coast marsh
of Dafeng with satellite collars. Many papers have been published in peer-reviewed
journals (Zeng et al. 2013; Li et al. 2011a, b).
1.3.3 Przewalski’s Wild Horse
Przewalski’s wild horse Equus przewalskii is a fleet ship species in the Jungar Basin
in northern Xinjiang where the first type specimen of the wild horse was collected
in the 19th century. The wild horse was reintroduced to China in 1985. From 1985
to 2005, a total of 24 Przewalski’s horses (14 males and 10 females) were trans-
ported to Jimsar Wild Horse Breeding Center in Xinjiang. The first foal was born at
the breeding center in 1988. Since then, a total of 258 foals have been born, and the
number of animals in the captive population continues to increase. On August 28,
2001, 27 wild horses were released into the Mt. Kalamaili Ungulate Nature
Reserve. Studies on the acclimation, food habit, and community-based conservation
were conducted (Chen et al. 2008). Because the first released site was close to a
major highway, fatal vehicle collision caused several casualties in the released wild
horses; the wild horses were then relocated to Qiaobaixili region of the reserve.
After acclimating to the local habitat, the released wild horse families established
territories and started to breed. Seventy-two foals were born, 7 families with 73 wild
horses roamed in field in 2010. Number of re-wild wild horses reached 96 by the
end of 2012 (Fig. 1).
1.3.4 Wildlife Trade
Commercial trade is identified as a threat to biodiversity. Unregulated international

trade in wildlife not only devastates local ecosystems, but also poses threat to the
Fig. 1 Population trends of the reintroduced wild horse in Xinjiang. Numbers in the flags indicate
the numbers of wild horse (♂/♀) released into field
34 Z. Jiang et al.
survival of individual species. Trade records show that since 1990, with respect to
some species of snakes, China has changed from a net export country to a net
import country. Importing snakes sharply increased in China before 2002 (Zhou
and Jiang 2004). Since then, measures of suspending snake trade had been imposed
by National Wildlife Management Authority in China. Jiang et al. (2013) found
both import and export of all snakes in China recorded in the CITES Trade
Database and the Wild Animal and Plant International Trade Database of China
have sharply decreased since 2004. Li and Jiang (2014) also found that international
trade of live birds in China peaked during the late 1990s; then decreased to the level
before the surge of trade in a few years. The trade dynamics of wild birds may have
been affected by governmental policy and the outbreak of avian influenza during the
period.
Wildlife conservation is a branch of conservation science. It is to be noted that there

are more conservation practices than theoretic research have been done in the field
(Jiang et al. 2014, in press). The wildlife ecology should be the focus of the wildlife
research in China; however, not until three decades ago, people had started to study
live animals in the field. While the achievement in artificial propagation of
endangered species and nature reserve construction in the country is encouraging,
researches on the behavior, ecology, and management of the endangered wild
animals in China have just been carried on. The reality is that many of China’s wild
animals either live in remote habitat, possess of cryptic nature or are of very low
density; it is confronted with logistic problems to carry out field study, even though
Chinese researchers are still working hard in field. Routine surveys monitor the
population trends of wildlife. Progresses have been made in behavioral ecology.
Radio and GPS collars and camera traps have been put in use in the field. GIS, in
aid with GPS, is now widely in use for analyzing spatial data like GPS position data
of animal movement and home range. Molecular ecology is developing rapidly in
the country. With little samples, using PCR and computer software, people can
infer the historical population trend, genetic landscape, gene flow, and population
genetic structure of wild animals in laboratory, which becomes an indispensable
tool in wildlife research. Nevertheless, as a country with mega animal diversity,
field ecology study is not matched up with the number of species and degree of
species in peril. Conservation of biodiversity, of which conservation of wildlife is a
key part, is on the top agenda of the nation. There are gaps in scientific knowledge.
Since many species are endemic which only live in the unique ecosystem in the
country, the wildlife ecologists in the country need to desperately work more on the
wild animals in the field in order to fill up the knowledge gaps. Younger field
ecologists should be trained for qualifying the enormous work.
2 Biodiversity and Conservation of Birds in China
2.1 Introduction
As one of the “megadiversity” countries of the world, China has very rich bird
resources; however, it has also been seriously threatened now. Increasing emer-
gence of zoonotic diseases makes it even worse. China spans two ecozones, the
Palearctic realm and the Oriental realm, which makes it an important region for
biodiversity research and conservation. Benefited from new technologies in tax-
onomy, many new species and new records have been reported in China. The
advance of phylogeography also increases our knowledge in understanding the
formation of high endemism and species richness in China. This chapter therefore
summarizes a brief review on the following five topics: biodiversity and distribu-
tion, endemism and conservation priority, phylogeography and molecular ecology,
conservation and management for rare and endangered species, and avian diseases
and eco-health.
2.2 Biodiversity and Distribution
New species or records of birds are discovered in China frequently because of the
fast development of the research methodology and increasing numbers of orni-
thological researchers and bird watchers. During the past 50 years (1958–2008), six
new species were reported by Yang and Lei (2009), e.g., Bradypterus alishann-
ensis, Phylloscopus emeiensis, Phylloscopus Hainanus, Seicercus omeiensis,
Seicercus soror, and Certhia tianquanensis. Currently, 1371 species are recognized
by Zheng (2011), accounting for 13.12 % of the world total species.
China is characterized for holding both high species diversity and endemism of
birds, thus has important role in conservation of world bird resources (Lei et al.
2003a, b). Some groups, such as cranes, pheasants, and babblers, have been
attracting worldwide attention. Nine of 15 crane species of the world are distributed
in China, while the black-necked crane is the only one in high altitude of Qinghai–
Tibetan Plateau (QTP). There are 27 species of pheasants and 131 species of
babblers in China, occupying more than half of the world species respectively. In
China provinces, Yunnan has the highest species richness. Over 848 species
account for over 62 % of the whole species recorded in China (Yang 2004),
followed by Sichuan (683 species, Xu et al. 2008). Geographically, Hengduan
Mountain areas harbor the highest richness, which has also been suggested as
original center for many taxa. Nearly half of pheasant species and babblers are
distributed here with high subspecies and population differentiation. Qinling
Mountains lies in central China. It is an important boundary between the Palearctic
Realm and the Oriental Realm.
36 Z. Jiang et al.
China also has varied habitats, especially wetlands, and thus it has rich water-
fowls. On the East Asian-Australian Flyway and Central Asian-Indian Flyway,
there are the most important wintering and breeding grounds as well as stopovers
for wild bird migration, for example Grus leucogeranus, Grus monacha, and Grus
grus wintering in Poyang lake; Anser indicus and Tadorna ferruginea breeding in
Qinghai lake. Climate warming was recently reported influencing the geographical
distribution range of birds. One hundred and twenty species in China were reported
to extend their distribution range northward, e.g., Egret tagarzetta, Ardeola bac-
chus, Pycnonotus sinensis (Du et al. 2009). Wang et al. (2010) analyzed the change
of species richness patterns from 1976 to 2005 based on breeding birds distribution
database and found that the richness increased in all zoogeographic subregions.
Southern Yunnan Hilly subregion, Qiangtang Plateau subregion, and East Meadow
subregion had the most obviously increasing but Hainan and Taiwan subregions are
relatively more stable.
2.3 China Avian Endemism and Biodiversity

Conservation Priority
Endemism is the most interesting question in biogeography and biodiversity con-

servation (Crisp et al. 2001). China is one of the most important countries in global
biodiversity and biogeography. The distribution of endemic species has been
considered very important for China avifaunal regionalization (Cheng et al. 1997).
It has also been suggested in setting priorities for biodiversity conservation (Lei
et al. 2003a, b).
The peak of richness distribution of endemic species was found in three areas,
including Hengduanshan Mountains, mountain areas of western Qinling, north
Sichuan province and South Gansu province, as well as Taiwan Island (Lei et al.
2003a). For endemic genera, the northern and eastern Hengduanshan Mountains,
and the Qinling, Dabashan and Minshan Mountain regions have been found with
the highest richness. Obviously, both endemic species and endemic genera have
high richness in east edge of QTP, which was considered because of the uplift of
QTP. Of these areas, Taiwan Island has the highest narrow distributed species than
mainland, which implies that island isolation has great contribution to differentia-
tion for Chinese avifauna. By comparing subregional distribution of overall ende-
mic species, narrow distributed range species (EOSR), monotypic species and
subspecific diversification, Lei et al. (2007) concluded that this pattern might reflect
the avifaunal evolutionary and ecological isolation results from the highly diver-
sified habitats and geographical environments as well as the historical effects from
the primitive avifauna, inferring this “ecological island effect” hypothesis for
explaining what driving this pattern. Huang et al. (2010a, b) using Parsimony
analysis of endemicity recognized four Areas of Endemism (AOE):
Qinghai-Zangnan Subregion, the Southwest Mountainous Subregion, the Hainan
Subregion, and the Taiwan Subregion). All these four AOEs located at the
mountainous habitats, which implied the hypothesis that “mountainous environ-
ment may act as “historical and ecological barriers” preventing population gene
flow, promoting speciation and maintaining a high endemism in explaining China
avian endemism.”
Based on endemicity of birds, biodiversity conservation hot spots and priority
have been proposed. BirdLife International has ever suggested the Endemic Bird
Area (EBA) in explaining avian endemism (Stattersfield et al. 1998). Lei and Lu
(2006) also argued that it is wise, reasonable and practical to determine the priority
for biodiversity conservation for China, a developing country. Lei et al. (2003a, b,
2007) proposed the distribution center of endemic species as the “biodiversity
hotspots” in reference to set the priority of biodiversity conservation. By consid-
ering the distribution patterns of both endemic species and endemic genera, the
southeastern peripheral areas of the QTP (e.g., Qinling-south Gansu mountainous
region, Henduanshan Mountain areas), being considered as refugia in Pleistocene
because of the high endemism and genetic diversity, should have the highest pri-
ority for conservation (Lei et al. 2003a, b; Lei and Lu 2006).
The study on distribution patterns by using GIS in China avian endemism was
referenced by other taxa researches, and these algorithms for site prioritization have
also been cited to identify indicative sets of potential conservation areas (Solymos
and Feher 2005). The studies from the distribution pattern of endemic species and
genera have inferred the “historical and ecological barrier” hypothesis, the “eco-
logical island effect” hypothesis, and “evolutionary powerhouse” in particularly
explaining the hot spot in Hengduan Mountain areas. These macro-ecology based
findings have provided scientific questions and testable hypotheses for explaining
the underlying mechanisms of formation of China avifauna and biogeographical
distribution patterns, meanwhile the regional endemism properties have also pro-
vided new scientific questions for interpreting the global scenario of all animal
endemicity.
2.4 Phylogeography and Molecular Ecology
Phylogeography is in understanding the principles and processes of forming the

geographic distributions of genealogical lineages (Avise et al. 1987).
Phylogeographical studies on birds obtained significant improvement by under-
standing the genetic consequences of the geological events on birds’ population
structure. Particularly, in North America, the recent population expansion was
revealed in many passerine species, indicating that the current distribution patterns
may be the consequences of the post-glacial population expansion during the late
Pleistocene (Spellman et al. 2007). In Europe, many species experienced population
expansions after the Last Glacial Maximum (LGM), which was believed pro-
foundly affecting population dynamics (Hewitt 2000). The glacial cycles in Asia
differ from those in Europe, even though the two continents spread similar
38 Z. Jiang et al.
latitudinal belts (Hewitt 2000). Post-glacial population expansion was less diag-
nosed in Asian birds, and the populations were rather stable through the late
Pleistocene, inducing unique phylogeographic patterns in Asian birds. The phylo-
geographical researches about birds in China disclosed multiple phylogeographical
patterns and glacial refuges and indicated that population divergences were much
affected by Pleistocene climate changes earlier than LGM (Yang et al. 2009).
Phylogeographic patterns and its driving factors of birds in China have been well
studied during the last 10 years. Phylogeographical studies on birds in Qinghai–
Tibetan Plateau (QTP) revealed population dynamics and geographical distribution
shifts response to Pleistocene glacial oscillations. The uplift of QTP greatly
impacted the phylogeographic structure of the Plateau species, while most of the
QTP species underwent population expansion after glacial movements. The eastern
margin of the QTP area was detected as refugia for many plateau species during the
Pleistocene glaciations. e.g., Onychostruthus taczanowskii, Pyrgilauda ruficollis,
and Pseudopodoces humilis experienced rapid population expansion (0.07–
0.19 Ma) from the eastern “refugia” to the platform of the plateau after the retreat of
the extensive glaciers (Qu et al. 2005; Yang et al. 2006). But most species have not
shown any deep phylogeographical structures, with the “no divergence” pattern,
while Pseudopodoces humilis has distinct phylogeographical structure with a
“north-south divergence” pattern. A “platform and edge” phylogeographical
divergence was also detected by other plateau species, e.g., Carduelis flavirostris.
(Qu et al. 2010). The QTP platform populations were derived from a single refuge
at the eastern edge of the plateau. No bottleneck effect or population expansion was
found at the lower altitude edge populations (Qu et al. 2010). The results implicates
that plateau birds experienced population expansions from edge to the platform of
the plateau around 0.17–0.50 mya, after the glacial extension in QTP. Elliot’s
laughing thrush is endemic to the Hengduan Mountain. It was isolated in different
areas during the interglacial periods but connected again when they expanded to
suitable habitats at low elevation during glacial periods; these repeated population
isolation and extension are occurring in the spatial “sky island” pattern (Qu et al.
2011). The pre-LGM population expansions are rather earlier than post-LGM
expansion scenarios common in European and North American birds. The studies
shed lights on evolutionary history and formation of the avian fauna of the QTP.
The refuges revealed by the phylogeographical studies are coincident with endemic
hot spots detected by biogeographical analyzes, implying fundamental processes
and mechanisms of avian fauna dynamics response to climate changes.
Phylogeographical structures and population divergence of south China species
is different from the QTP species in many cases. Bambusicola thoracica, Alcippe
morrisonia, Stachyridopsis ruficeps, and Parus monticolus distributed in Southern
China are all detected with multiple phylogeographical breaks, but different species
have different lineage structures. This population divergence was considered to be
related to the uplift of the QTP, topographic complexity, and mountain system.
Populations of most species have experienced the expansion events much earlier
than the Last Glacial Maximum (LGM). The consistent patterns of this “pre-LGM”
population expansion imply less impact of climate changes on birds in South China
(Dai et al. 2011; Song et al. 2009; Huang et al. 2010a, b).
Remarkable achievements have been done for avian phylogeography in China
within the last 10 years. The preliminary findings shed lights on the mechanism and
processes of avian speciation and diversification of birds in China. The results from
phylogeographcial studies also help us, from the evolutionary viewpoint, to explore
the history and underlying mechanism in forming the diversity pattern as well as
endemic pattern of birds in China, which enhance our knowledge in understanding
the formation and evolution of the global biodiversity and endemicity.
2.5 Conservation and Management of Rare

and Endangered Species
China has very rich rare and endangered bird species. From IUCN report in 2011,
124 species are threatened, 7 of them are critical endangered, e.g., Eurynorhynchus
pygmeus, Garrulax courtoisi, Pseudibis davisoni, Grus leucogeranus, Fregata
andrewsi, Sarcogyps calvus, and Sterna bernsteini, while 17 species are endan-
gered, e.g., Gyps bengalensis, Nipponia nippon, Arborophila rufipectus, Aythya
baeri, Ciconia boyciana, Grus japonensis, Mergus squamatus, Platalea minor, etc.
(http://www.iucnredlist.org). In regard to conservation, China has contributed great
efforts and obtained important achievements for these species. Here we have only
taken fewer examples, e.g., Cabot’s Tragopan (Tragopan caboti), Crested Ibis
(Nipponia nippon), Black-faced Spoonbill (Platalea minor), etc.
Cabot’s Tragopan is an endangered and endemic pheasant in China and listed as
national key protected animal species (class I) by law. Since 1980, Chinese
researchers have been working on the study and conservation and have now suc-
cessfully solved the breeding, feeding, and conservation problems. A series of key
techniques referring to the artificial sperm collection and insemination has been
grasped. Based on these basic research results, Chinese scientists have now suc-
cessfully established the artificial breeding population for over 100 individuals
(Zhang 2005). The restoration of the habitat is the key to protect these endangered
species. Since 1990, lots of habitat restoration programs have been conducted in
Wuyanling Nature Reserve. The results of basic researches have been used for
managing conservation strategy for the field population. The research team lead by
professor Zheng Guangmei have obtained many national prizes in honor of their
great contributions for the endangered species research and conservation. Crested
Ibis was historically widely distributed in East Asia in China, Russia, Japan, and
Korea Peninsula (Bird Life International 2001). Since 1950, the population has
decreased dramatically and locally extinct in Russian, Japan and Korea Peninsula
due to the shortage of foods, illegal hunting, loss of breeding trees and wetland
habitats. This species was once declared to be extinct (Yu et al. 2006). In May
1981, researchers from Institute of Zoology, Chinese Academy of Sciences found a
40 Z. Jiang et al.
small population of only 7 birds in Yang County, Shaanxi Province. After 30 years
of research and conservation efforts, the population has now increased to 1100.
600 of them are wild population distributed in 11 counties of Shaanxi province. The
rest artificial populations are distributed mainly in Yangxian, Zhouzhi, and
Ningshan counties of Shaanxi, in Beijing Zoo, Henan and Zhejiang provinces (Ding
2004). Because of their great achievements in research, rescuing, restoration, and
management for the species, the Chinese team has received the national second
prize. IUCN specialists suggested this as a successful example to the world for
conservation of endangered species. The black-faced spoonbills had ever been very
common in Asia in 1950s, but, the population decreased to only 288 in 1988.
However, no one knows where the breeding population is. Researchers first dis-
covered the small breeding colony in Xingren Islet, Changhai County, Liaoning
Province in June 15th, 1999 (Yin et al. 1999). More breeding birds were reported
and found after that, and the wild breeding area has been protected as a nature
reserve.
Chinese colleagues have also actually achieved great success in protecting these
rare and endangered birds but are still far from the final objectives. Here, we cannot
list all these achievements from different researchers and for different species.
However, conservation of birds in China also faces severe challenge as the global
climate change and increasing disturbance from human activities, and especially
when compared with the developed countries. The conservation program is a
long-term task and thus needs a long-term effort.
2.6 Wild Bird Diseases and Eco-health
Birds are important hosts and vectors for many zoonotic diseases. Some of the
diseases are fatal, e.g., High Pathogenic Avian Influenza (HPAI). As the most
focused infectious zoonose, HPAI has tremendously threatened the economic
development and eco-health of our society. Wild birds are considered natural res-
ervoir of all known avian influenza (AI) virus subtypes, and Anatidae species are
identified as the major vectors. However, whether wild birds are the hosts or vectors
of H5N1 virus has been widely debated (Altizer et al. 2011; Normile 2005). H5N1
virus have ever been isolated from the Peregrine Falcon (Falco peregrinus), Grey
Heron (Ardea cinerea), and other wild birds, however, these are sporadic cases,
isolated viruses from migratory birds in Qinghai Lake was the first case report from
wild bird population over the world (Liu et al. 2005). This finding supposed the
relationship between migratory birds and global circulation of H5N1 virus. The
latter on AI surveillance in wild birds in China isolated 17 strains in corresponding
to five clades in the genomic phylogenetic tree, which suggested that high genetic
diversity existed among H5N1 viruses (Kou et al. 2009). After the extensive sur-
veillance programs, HPAI H5N1 viruses were isolated from diversified wild bird
species, which strongly support the association between viral transmission and bird
movements (Kou et al. 2005, 2009). The satellite-tracking studies on bird migration
further indicated the preservation possibility of H5N1virus in the Qinghai lake

areas, and spread through wild bird migration (Cui et al. 2011a, b; Li et al.
2010b, c). Moreover, resident birds could also be a potential vector to carry and
spread H5N1 virus (Kou et al. 2005). However, some new genotypic H5N1 strains
emerged in Qinghai Lake after 2009, which was suspected to be related with bird
migration and the viruses reassortment from migratory birds and poultries (Li et al.
2011a, b; Hu et al. 2011). The breakouts of H5N1 have threatened eco-health and
human society. The global epidemic of H5N1 virus has killed lots of wild bird
species and caused thousands of migratory birds death, including very endangered
species, e.g., Black-necked crane (Grus nigricollis) (Chen et al. 2006). We have
also estimated the risk of H5N1 virus introduction to Qinghai Lake by using a
quality–quantity integrative method and indicated that ducks and geese were most
likely the vectors to introduce HPAI H5N1 into the lake through migration. The
studies highlighted the importance of eco-health and AI surveillance activities
around the lake, which could be guided to AI monitoring program in the whole
Central Asian Flyway (Cui et al. 2011b). The finding of H5N1 outbreak in wild bird
population in Qinghaihai Lake was published in Science in 2005. The paper was
elected to get the “Thomson Reuters Research Fronts Awards” by Thomson Reuters
in 2008, to recognize the outstanding contributions to the frontier scientific field
worldwide. The significance of above researches on AI has also lies in confirming
the role of wild birds in dissemination of AIV, so as to guide national AI prevention
and control management, and global response to AI outbreaks; to supply crucial
scientific recommendations on the establishments of the national monitoring system
of AI and other emerging infectious zoonotic diseases.
China has extremely rich bird resources, high endemism, but faces high threaten by
endangered species. The uplift of the QTP, the Himalayan orogeny, geographical
isolation of islands, and Pleistocene glaciations have greatly impacted on the
endemism, distribution, and phylogeographical divergence, in facilitating the
forming process of regional endemism and speciation. One hundred and tenty-four
species are highly threatened, of them 7 are critical endangered; in addition, cur-
rently varied zoonotic avian diseases have also threatened the biodiversity and
ecological security.
The technological developments have brought innovative opportunities for sci-
entific researches. The development of molecular biology, bioacoustics, a variety of
analytical software, various analytical models, and so on, all these have played an
important role in promoting the scientific researches and conservations of birds in
China and even the whole world. On morphology basis, to us multiple gene markers
including mitochondrial and nuclear genes, sonograph analysis have played great
role in bird taxonomy and species recognition. In particular, entering the next
generation of genomics, a large number of sequences into mechanization at large
42 Z. Jiang et al.
scale, will dramatically reduce the financial and human resources invested, which
make it possible to base on the whole genome, multiple gene combination in
studying evolution, genetic diversity, phylogeny, and phylogeography researches.
Despite birds are well studied among all animal taxa, there are still lack of basic
knowledge in making conservation and management measures for endangered
species. So, researches of behavior, ecology, geographical distribution, and biodi-
versity conservation are still a long way to go; therefore, basic biology in filling
necessary data gap is still important. As global climate changes, illegal wildlife
trade, the burst of human movements, will promote and rise the emerging of
potential zoonotic diseases, so important pathogen surveillance and studies on
co-evolution between pathogen and host of birds are still hot topics for human
society.
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Chapter 3
Biodiversity Evaluation and Monitoring
Haigen Xu, Xiaoping Tang, Jiyuan Liu, Hui Ding, Jun Wu,
Ming Zhang, Qingwen Yang, Lei Cai, Haijun Zhao, Yan Liu,
Rui Wang and FangHao Wan
Abstract Biodiversity evaluation is the basic work and an important means to

objectively know the status and trend changes in biodiversity and scientifically
conducts the protection of biodiversity. Here we take the 2010 global biodiversity
target as an example which develop national indicators to successfully evaluate
China’s progress toward the 2010 target. But the lack of a national biodiversity
monitoring system still hinders timely and accurate assessment of biodiversity. In
addition, invasive alien species (IAS) has worsened it in recent years. Because of
the severe situation of biological invasions in China, the theoretical and applied
research on IAS has gained great importance since 1990s. Main research of Chinese
scientists focused on eco-impact mechanisms and management basis of important
H. Xu (&) H. Ding J. Wu M. Zhang Y. Liu

Nanjing Institute of Environmental Sciences, Ministry of Environmental Protection,
X. Tang
Academy of Forest Inventory and Planning, State Forestry Administration,
Beijing 100714, China
J. Liu
Q. Yang
Institute of Crop Science, Chinese Academy of Agricultural Science,
L. Cai
Department of Nature and Ecology Conservation,
Ministry of Environmental Protection, Beijing 100035, China
H. Zhao
Foreign Environment Cooperation Center, Ministry of Environmental Protection,
R. Wang F. Wan
Institute of Plant Protection, Chinese Academy of Agricultural Sciences,

DOI 10.1007/978-3-662-48376-3_3
48 H. Xu et al.
invasive species in China. And research models on biological invasions and a

discipline of invasion biology are gradually formed with Chinese characteristics.
Keywords Biodiversity Indicators

Evaluation
Threats Monitoring

Invasive alien species (IAS) Ecological impact Management
1 Indicators and Assessment of 2010 Global Biodiversity

Target
1.1 Introduction
Over the past hundred years, humans have caused species extinction rates to
increase 1000 times as much as the background rates that were typical over Earth’s
history (Millennium Ecosystem Assessment 2005; Pimm et al. 1995). Parties to the
Convention on Biological Diversity (CBD) adopted in April 2002, the 2010 bio-
diversity target “to achieve by 2010 a significant reduction of the current rate of
biodiversity loss.” We developed national indicators to evaluate China’s progress
toward the 2010 target.
1.2 Indicators
Indicators should reflect loss of biodiversity, cover main elements of biodiversity,

be sensitive to change, and be acceptable by decision-makers and public. We
developed indicators in three aspects: state, threats (including driving force and
pressure), and response (Table 1).
1.3 Results
1.3.1 Status and Trends of the Components of Biological Diversity
In terms of change in land coverage, the area of cultivated lands, inland waters, and
residential quarters increased, but the area of forests, grasslands, and undeveloped
lands decreased from the late 1980s to 2000; the area of cultivated lands, grass-
lands, and undeveloped lands decreased while the area of forests, inland waters and
residential quarters increased between 2000 and 2005.
3 Biodiversity Evaluation and Monitoring 49
Table 1 National indicators Indicators

for assessment of the 2010
biodiversity target Status and trends of the components of biological diversity
(1) Change in land cover
(2) Net primary productivity (NPP)
(3) Total growing forest stock and annual net increase of
growing forest stock
(4) Area of desert land
(5) Marine trophic index
(6) Water quality in marine ecosystems
(7) Water quality in freshwater ecosystems
(8) Change in status of threatened species
(9) Genetic diversity of domesticated animals, cultivated plants,
fish species of major socioeconomic importance
Threats to biodiversity
(10) Discharge of major pollutants
(11) Difference between nitrogen input and output
(12) Density of railroad and expressway
(13) Trends in invasive alien species
(14) Impact of climate change on biodiversity
Response
(15) Number and coverage rate of nature reserves
(16) Status of access and benefit-sharing of genetic resources
and traditional knowledge
(17) Financial resources for biodiversity conservation
Net primary productivity (NPP) plays a significant role in global carbon balance.
In the last two decades, the NPP of China showed an increasing trend (Gao and Liu
2008).
Forest area, forest coverage rate, and forest growing stock are indicators for the
ranges and functions of forest ecosystems. Over the last two decades, forest
resources have been increasing. China has become a country with the fastest growth
in forest resources in the world (Xu et al. 2009).
Marine Trophic Index (MTI), or mean trophic level, is the mean position in a
food web that an organism occupies, and it indicates the integrity of a marine
ecosystem (Pauly et al. 1998; Pauly and Watson 2005). From the early 1980s to the
mid-1990s, overfishing led to a significant decline in the MTI. However, statistics
showed a steady increase in the MTI from 1997 to 2006 (Fig. 1). This may be
attributed to the implementation of summer fishing ban on all marine waters of
China.
Water quality of inland waters has been improving in mainland of China since
2001. According to the Third National Monitoring of Land Desertification (State
Forestry Administration 2005), the area of desertified land decreased by 6416 km2
from 1999 to 2004 in mainland of China, a drift from an average annual expansion
of 3436 km2 to an average annual reduction of 1283 km2. Loss of grasslands
50 H. Xu et al.
Fig. 1 Marine trophic index 3.55

of all marine waters of China 3.50
3.45
3.40
3.35
3.30
3.25
3.20
3.15
3.10
3.05
3.00
50
54
58
62
66
70
74
78
82
86
90
94
98
02
06
19
19
19
19
19
19
19
19
19
19
19
19
19
20
20
Year
continues, and 33 % of natural grasslands are overloaded (Ministry of Agriculture

2007), although grassland conservation programs have been initiated in recent
years.
Red List Index (RLI) illustrates the relative rate at which a particular set of
species change in overall threat status (Butchart et al. 2004, 2005; Lamoreux et al.
2003). RLI value of mammals and freshwater fish decreased from 1998 to 2004,
which showed a continuing deterioration in the threat status of mammal and fish
species. RLI value of bird species showed a decreased deterioration in the threat
status based on equal-steps approach (Butchart et al. 2004); if the weight of criti-
cally endangered species is higher, the RLI value of bird species would show a
continuing deterioration in its threat status. China’s wetland conservation has
contributed to better conservation of bird species.
1.3.2 Threats to Biodiversity
The total discharge of chemical oxygen demand, and sulfur dioxide in waste gas,
two national-targeted pollutants, first decreased in 2007, down 3.14 and 4.66 %
from the previous year, respectively. There were decreases in the discharge of toxic
and harmful pollutants (mercury, cadmium, hexavalent chromium, plumbum,
arsenic) in wastewater, the emission intensity of chemical oxygen demand of key
industries, the emission of soot dust and industrial dust in waste gasses, and dis-
charge of solid wastes. However, China still faces severe environmental pressure.
The total emissions of pollutants are still high and especially wastewater discharge
is increasing at a 3.90 % average annual rate.
Agrochemicals have been the key driver for the remarkable increase in food
production. The annual application of fertilizers has increased by 5.48 % on average
since 1980, and that of pesticide has also increased by 4.50 % on average since
1991, but as much as 60 % of the nitrogen fertilizer and 70 % of the pesticide
Fig. 2 Number of invasive 50

alien species newly 45
discovered at 20 years’ 40
interval 35
Species
30
25
20
15
10
5
0
1850- 1870- 1890- 1910- 1930- 1950- 1970- 1990-
1869 1889 1909 1929 1949 1969 1989 2008
Years
applied may be lost to the environment (China EPA 2005), which leads to soil
pollution, lake eutrophication, ground water pollution, etc.
Invasive alien species (IAS) expedite the losses of biodiversity (Xu et al. 2006a, b).
The annual economic losses caused by IAS to China accounts for 1.36 % of its GDP
(Xu et al. 2006a). The number of IAS newly discovered in 20 years’ interval was
between 1 and 16 before the 1930s. The figure rose to 21 and 32 from 1930s to 1960s
and exceeded 40 after the 1970s, showing a tremendous growing trend (Fig. 2).
1.3.3 Response
As of the end of 2007, the number of nature reserves was 2531, 32 times of the
number in 1978; its area was 151.88 million hectares accounting for 15.2 % of the
national territory (China EPA 2008) and 120 time of the area in 1978. The Chinese
government has initiated environmental pollution control programs and forest
conservation programs. Investment in pollution control increased at an average
annual rate of 40.35 % and that of forest conservation increased at 40.83 %.
1.4 Discussion
It is crucial that progress toward the 2010 biodiversity target and beyond can be
monitored. The lack of a national biodiversity monitoring system still hinders
timely and accurate assessment of biodiversity more. Owing to limited monitoring
capacity and data availability, the indicators “trends in extent of selected biomes,
ecosystems and habitats” and “trends in abundance and distribution of selected
species,” were not included in China’s national indicator framework. The estab-
lishment of this system calls for properly planned partnerships, development of
sampling regimes, design of data collection programs, and statistical analyses.
52 H. Xu et al.
2 Invasive Alien Species in China
2.1 Introduction
China is one of the world’s hotspots of biodiversity. However, about 5000 higher
plants are at the edge of extinction or nearly extinct, which account for 12–20 % of
all the higher plants in China (Lin 2008). This phenomenon has been worsened by
IAS in recent years. There were about 520 IAS invaded into China last century
(Fig. 3), in which 50 species were listed among “100 of the world’s worst IAS”
published by the World Conservation Union (IUCN). IAS invaded almost all the
ecosystems in China (Wan et al. 2009). The spatial distribution of abundances of
IAS in China indicates a significant variation among provinces and territories.
These invaders severely threaten China’s biodiversity and protection of genetic
resources (Wan et al. 2002; Xu et al. 2006). With economic globalization and rapid
development of international trades, challenges posed by biological invasions will
be very serious (Lin et al. 2007; Ding et al. 2008).
Because of the severe situation of biological invasions in China, the theoretical
and applied research on IAS has gained great importance since 1990s (Wan et al.
2009). Main research progress by Chinese scientists was summarized in this sec-
tion, with focus on eco-impact mechanisms and management basis of important
invasive species in China.
2.2 Eco-impact Mechanisms and Management Basis of IAS
2.2.1 Ecological Impacts of Important IAS
IAS has caused huge economic losses and ecological disasters in various ecosys-
tems of China (Xu et al. 2006). After an alien species successfully established its
Fig. 3 Numbers of various Bird

categories of invasive alien
species in China Amphibian & Reptile
Mammal
Fish
Aquatic plant
Aquatic invertebrate
Microorganism
Terrestrial invertebrate
Terrestrial plant
0 50 100 150 200 250

Number of invasive species
population in one area, it will squeeze the local species out through competition and
occupation of native species’ ecological niche, resulting in decrease of species
diversity and changes in population structure, thus affecting ecosystems’ material
cycles, energy flows and the whole service function in the end (Wan et al. 2002,
2009). Above all, the recession of ecosystems service function is persistent and
irreversible. Some important IAS (e.g., smooth cordgrass, alligator weed, and
Crofton weed) usually create mono-dominant community and threaten native
species, resulting in vanishing and extinction of native species, especially leaving
the precious and rare species at endangered or extinct risk status (Wan et al. 2005)
(Figs. 4 and 5). For example, extensive spread of smooth cordgrass has not only
destroyed habitat of neritic organisms, but also competed with native plants for
growing space, which finally led to disappearance of mangrove trees and impos-
sible restoration of habitat conditions in such areas that had been invaded (Chen
et al. 2004).
Fig. 4 Single dominance

community of Crofton weed
in southwest of China
Fig. 5 Alligator weed in

canal
54 H. Xu et al.
2.2.2 Invasion and Expansion Mechanisms of Major IAS
Biological invasions could be viewed as an orderly ecological process with phases

of introduction, establishment, dispersion, and outbreak (Wan et al. 2009, 2011a).
According to the sequential process with different core scientific issues during
different stages, the research on biological invasions in China covered biological
intrinsic features like introduction and population establishment, survival and
adaption, development and evolution and interspecies interaction, as well as
extrinsic characteristics like response and resistance of ecosystem and prevention
and management technology.
From the above studies, population establishment and expansion mechanisms,
genetic and ecological adaption mechanism of important alien species, co-adaption
between IAS and its host, competition and replacement between IAS and native
species, synergetic effects between IAS and other biological factors were revealed.
Some new viewpoints, hypotheses and theories were brought forward, such as the
intrinsic propagation potential under competition or adverse conditions (Cheng
et al. 2008; Wan et al. 2010a), asymmetric mating interactions driving widespread
invasion and displacement in a whitefly (Liu et al. 2007), interaction between plant
virus and virus vectors (Luan et al. 2013), semiochemical regulation of invasion
behavior (Lu 2008; Zhao et al. 2013), synergetic effects between IAS and native
species (Lu et al. 2010), hypothesis of the evolution of nitrogen allocation (Feng
et al. 2009), feedback of soil biota and self-reinforced invasion mechanisms of
invasive plant (Niu et al. 2007), and multiple mechanisms underlie the spread of
invasive plant (Wang et al. 2011). These achievements contribute immensely for
the construction and development of invasion biology in China and provide sci-
entific basis for the IAS management strategies and techniques.
2.2.3 Management Strategies of Invasive Alien Species
According to the invasion process of the alien species, we have established related
prevention and control technology (Wan et al. 2009). We first established risk
assessment and early warning techniques for potential and local-level invasive
species (Wan et al. 2010b). The potential geographical distribution areas and high
risk area for 99 IAS (including TCK, pine wood nematode, Crofton weed, etc.)
were analyzed (Wan et al. 2010b). Based on the potential distribution area and
spread pathway of newly arrived and established local-level invasive species,
blocking zones were established on the front edge and potential spread pathway.
Spread interdiction and construction of blocking zone have been carried out in
China on 12 IAS, such as red imported fire ant, Colorado potato beetle, grape
phylloxera, pine wood nematode, and crofton weed, etc. (Wan et al. 2009, 2010b).
Second, we developed rapid detection and monitoring technology of 35 important
IAS, based on rapid molecular detection techniques of invasive diseases and small
insects, chemical and physical monitoring techniques of invasive insects (Wan et al.
2011c). All these techniques, methods, and standards provide powerful
technological support to deal with emergency situations caused by IAS. Third,

sustainable management systems of important IAS based on classical biological
control and ecological restoration were developed. Sustainable management tech-
nologies of common ragweed, alligator weed, coconut leaf beetle, and tobacco
whitefly have been constructed and demonstrated in Hunan, Fujian, Hainan, and
Zhejiang, respectively (Wan et al. 2008).
2.3 Conclusion and Prospect
The research on biological invasions in China has achieved great progresses under
the support and R&D investment from government departments. Gradually,
research models on biological invasions and a discipline of invasion biology are
formed with Chinese characteristics (Wan et al. 2011b). The research on biological
invasions is a persistent task in the long term and requires multidisciplinary
approach to study the subject. On the basis of the discipline framework of invasion
biology and development of current research results, we should first conduct
innovative cutting-edge research, upgrade our research level at different scales
(Wan et al. 2009, 2011b). At the global dimension, the future research should focus
on the effects of global changes (including changes of climate, environment and
land use) on biological invasions, especially the influences of ecological factors on
the colonization, dispersal and damage of IAS, thus revealing the correlations
between different geographic environments and invasion success. At specific
ecosystem level, the research should focus on the relations between biological
invasions and changes of agricultural and forest ecosystems services and functions
to reveal influence processes and mechanisms of biological invasions on native
species losses, erosion of species’ genetic resources, changes and function loss of
community structure and food chain, and the decline of ecosystems services and
functions, etc. At the inter-species relationship dimension, the research should focus
on IAS’ population control imbalance and the adjustment mechanism, analyze the
ecological factors of natural control imbalance of invasive species, investigate the
ecological processes of population construction and collapse of invasive species,
etc. Second, we should be more innovative and develop more effective prevention
and control technologies, establish four-technology systems on prevention and early
warning, detection and monitoring, eradication and containment, and control and
management, especially to develop innovative quantitative risk analysis methods,
construct the technological system for quick detection of invasive species; inves-
tigate the epidemic monitoring and emergency eradicating technology for important
invasive species. Third, we should develop management model in accordance with
China’s actual conditions, upgrade obligation mechanism in accordance with
international trading rules and international conventions, as well as lay a foundation
for empowering China’s international negotiations on relevant issues.
56 H. Xu et al.
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Chapter 4
Technology and Perspective of Sustainable
Biodiversity Utilization
Luqi Huang, Lanping Guo, Sheng Wang, Qisheng Tang, Ling Tong,
Long Li, Jing Yang, Chengyun Li, Youyong Zhu, Runzhi Zhang,
Wenhua Li, Qingwen Min and Lu He
Abstract The combination of traditional knowledge and modern biological

technology promotes the biodiversity conservation and sustainable utilization in
China, which embodies in biological pharmaceutical, healthcare, crop breeding and
cultivation, control of disease and insect pest, forest management and administra-
tion, ecological protection, restoration and construction, and so on. Here we list the
following aspects. First, the conservation and utilization of medicinal bioresources
have been gradually formed a multilevel, multifaceted, and multidisciplinary
characteristic and achieved remarkable results. Second, China is one of the early
countries that conduct the ocean ecosystem dynamics research, including from the
structure and process of ocean ecosystem to the ecosystem service and production
function, which laid the groundwork for the sustainable development of the ocean
ecosystem. Third, intercropping, as one of the multiple cropping systems, is the
essence of Chinese traditional agriculture. We have conducted plenty of inter-
cropping practices about increasing production and efficient use of resources,
L. Huang L. Guo S. Wang

National Resource Center of Chinese Material Medical,
China Academy of Chinese Medical Science, Beijing 100700, China
Q. Tang L. Tong
Yellow Sea Fisheries Research Institute, Chinese Academy of Fishery Sciences,
Qingdao 266071, China
L. Li
College of Resources and Environmental Sciences, China Agricultural University,
J. Yang C. Li Y. Zhu
Yunnan Agricultural University, Kunming 650224, China
R. Zhang
W. Li (&) Q. Min L. He

DOI 10.1007/978-3-662-48376-3_4
60 L. Huang et al.
including legumes and nonlegumes intercropping, single cotyledon and dicotyle-

donous intercropping, gramineae and nongramineous intercropping, and so on. In
addition, intercropping can increase the species diversity of farmland ecosystem,
improve utilization of system resources for biology, sufficiently protect and use
natural enemy, and inhibit pest outbreaks. Finally, agricultural heritage, as a tra-
ditionally sustainable agriculture practices, also plays an important role on biodi-
versity protection and utilization. Currently, this research on agricultural heritage
mainly concentrated on the theoretical consideration of agricultural heritage,
agrobiodiversity characteristics of agricultural heritage, multivalues of agricultural
heritage dynamic conservation, substitute industry, and development law and policy
on conservation of agricultural heritage.

Keywords Medicinal bioresources Conservation Utilization Ocean ecosystem

GLOBEC Intercropping Root interaction Nutrient acquisition Disease man-

agement Ecological management pest insects Agricultural heritage GIAHS
1 Conservation and Utilization of Medicinal Bioresources
1.1 Introduction
Medicinal bioresources refer to biological resources which have medical or health

effects for human diseases, or have therapeutic effects on domesticated animals, as
well as those have insecticidal, fungicidal, herbicidal, and other effects in general
(Li 2007). Medicinal bioresources are the basis for the sustainable development of
Chinese medicine and the material basis of human health. Along with social pro-
gress and development, the awareness of self-care continues to improving. People
pay more and more attention to seek medical treatment from natural plant and
animal which biological resources of medicinal increasing pressure.
As the core country of origin, distribution, and production of medicinal plants
and animals in the world, China have 11,146 kinds of medicinal plants and 2215
kinds of medicinal animals, in approximately 80 % of wild medicinal plants and
animals. Although enrich in resources of medicinal plants, China faced an
increasing pressure from conservation and sustainable utilization of medicinal plant
resources with the expansion of demand due to population growth and industrial
development of traditional Chinese medicine. The disorder and unrestraint uti-
lization of traditional Chinese medicine resources induced a great threat for the
survival of many wild medicinal plants, so far, there are 168 kinds of medicinal
plants have listed in the Rare and Endangered Plants List of China. Some high
economic value medicinal plant and animal resources (especially Daodiherbs) have
been seriously undermined. China Plant Red Data Book released 398 kinds of
endangered plants in 1992, including 168 kinds of medicinal plants.
4 Technology and Perspective of Sustainable Biodiversity Utilization 61
Since the fifties of last century, a large number of researchers dedicated to

conservation and sustainable development of medicinal bioresources research, and
the research and development medicinal bioresources has been gradually formed a
multilevel, multifaceted, and multidisciplinary characteristic and achieved
remarkable results.
1.2 Advances
Faced on the drawbacks of irrational development and utilization of medicinal

bioresources, a large number of scholars dedicated to conservation and utilization of
medicinal bioresources and have initially established a system of medicinal
bioresources research, conservation, and sustainable utilization, including the
following aspects.
1.2.1 Investigation and Collation of Medicinal Bioresources
In this regard, China carried out the fourth National Investigation of CMMR which
will provide a strong foundation for the protection and utilization of medicinal bio
resources. This will help our nation ascertaining the real situation of Chinese
material medica resources fully, grasping impact of environmental changes on
Chinese material medica resources, analyzing reasons of changes in Chinese
material medica resources, strengthening protection, research, utilization of pro-
tected wild endangered species, and establishing Chinese material medica resources
database. It is of great significance for the protection of genetic resources and
associated intellectual property rights.
1.2.2 Protection of Endangered Medicinal Bioresources
Many scholars studied the protection strategies of endangered medicinal biore-

sources and endangered mechanisms. There are many reasons for decreased wild
and endangered Chinese material medica resources, but it mainly due to the human
impacts and ecological environment changes. Protected methods of endangered
medicinal bioresources include in situ conservation and ex situ conservation,
germplasm repository of Chinese material medica resources, gene banks, and wild
medicinal materials tending. We have progressively realized multifaceted protec-
tion of medicinal species biodiversity, ecosystem diversity, and genetic diversity.
62 L. Huang et al.
1.2.3 Mechanism Researches About Environmental Impact on Quality

Formation of Medicinal Bioresources
Since the growth and quality formation of medicinal bioresources has a very close
relationship with the surrounding natural environment, thus resulting in a concep-
tion of “Geoherbs,” also known as “Daodi-herb” (Guo et al. 2002; Lu et al. 2006).
Research about environmental impact on quality formation of medicinal biore-
sources is specific in Ecology of Chinese Material Medica Resources. With the
development of “Ecology of Chinese Material Medica Resources” and “Medicinal
Plant Physiological Ecology,” researches about environmental impact on quality
formation of medicinal bioresources have been made significant progress.
1.2.4 Regionalization of CMM for Cultivation
Regionalization of CMM for Cultivation is the basis for introduction and cultivation
of Chinese herbal medicine. For full and rational use of medicinal bioresources and
high-yield production of Chinese material medica, it is of very significance. In
recent years, technologies and methods of regionalization of CMM for cultivation
are constantly updated. Based on the traditional method, some modern technology
such as GIS and remote sensing analysis combined with regionalization of CMM
method will become the main method in this field (Guo et al. 2005). Using GIS
technology to achieve storage, management, analysis, and display of daodiherbs
spatial data can overcome the current prevalence problem of sample representation
in Ecology of Chinese Material Medica Resources researches. And it will provide
scientific basis for the introduction and standardized cultivation of Chinese herbal
medicines (Guo et al. 2007).
1.2.5 Ecological Farming of Medicinal Plants
At present, about 40 % of Chinese herbal medicines on the market come from the
cultivation plants and breeding animals. In more than 200 kinds of commonly used
Daodiherbs, 25 % of them completely rely on cultivation, and 60 % is cultivated and
wild resources coexist. In 1998, China proposed GAP in standardized medicinal
planting and officially launched countries in June 2002. With the promotion
of Chinese herbal medicine GAP standardized planting, our government have
established large-scale modernization of Chinese material medica industry bases in
Yunnan, Sichuan, Ningxia, Jilin, Zhejiang Province and supported and funded
standardized cultivation of dozens medicinal species. At present, China has built more
than 50 kinds of commonly used Chinese herbal medicines GAP planting bases; some
of the base have been great success, such as Notoginseng base in Yunnan Wenshan,
Salvia base in Shangluo, wolfberry base in Zhongning, and so on.
1.2.6 Bioengineering Researches of Medicinal Bioresources
Bioengineering researches of medicinal bioresources include: rapid propagation

technology to achieve rapid production of quality seeds and seedlings of medicinal
plants; cultivation of medicinal plants cells, tissues, or organs in bioreactor to get
the active ingredients of medicinal plants directly and quickly (Gao 2008). And
others like transgenic organ culture, Genetic Engineering breeding, biotransfor-
mation, and biosynthesis of the active ingredient associated function genes colon.
Among them, study about biosynthesis of the medicinal bioactive components
related genes has become a research hotspot this year (Zeng 2011), and biotrans-
formation technology for developing new medicine, reducing toxicity of the active
ingredient of Chinese medicine, improving the activity of the active ingredient, and
transforming the void ingredients into active ingredient and other aspects of a good
application.
1.3 Discussion and Conclusion
In order to achieve the goal of sustainable development of medicinal bioresources,

with the system of sustainable development and utilization of medical bioresources
established gradually, researches will show the following trends:
(i) The evaluation and monitoring of endangered medicinal bioresources will be
standardized and normalized gradually (Li 2007);
(ii) Fixed-point cultivation based on daodiherbs and directed breeding targeted on
the active ingredient maturing;
(iii) Soil microbial ecology becomes a hotspot in environment basic researches of
quality formation of medicinal bioresources (Huang et al. 2011);
(iv) Research areas of medicinal bioresources will expand in both micro and macro
directions supported by modern molecular biology and 3S technology.
2 Global Ocean Ecosystem Dynamics Research in China
2.1 Introduction
The ocean is a key component of the earth system and playing a major role in
regulating the earth’s climate and biogeochemical cycling of key elements. Ocean
ecosystem dynamics is one of the most active front fields of ocean science research
related with the global change and marine sustainable studies. Global Ocean
Ecosystem Dynamics (GLOBEC) and Integrated Marine Biogeochemistry and
Ecosystem Research (IMBER) are two projects of International Geosphere-Biosphere
64 L. Huang et al.
Programme (IGBP) core element structure related with ocean research. Both projects
operate together and continuously to develop an integrated understanding of the
linkages, interactions, and food-banks between physical forcing, biogeochemical
cycles, and food webs of ocean. Chinese marine scientists involved GLOBEC and
IMBER studies focus mainly on the scientific issues of the shelf ecosystem dynamics
in the characteristics of shallow sea in North Pacific.
The GLOBEC program is an important part of the global change and marine sus-
tainable studies established by the Scientific Committee on Oceanic Research (SCOR)
and IOC in late 1991 and incorporated into the IGBP Core Element structure as first
ocean project in 1995. The GLOBEC Science Plan published in 1997 set out the
GLOBEC goal as To advance our understanding of the structure and functioning of the
global ocean ecosystem, its major subsystems, and its response to physical forcing so
that a capability can be developed to forecast the responses of the marine ecosystem to
global change (Harris et al. 1997). GLOBEC research was organized around four foci:
retrospective analyses in the context of large-scale climatic changes, process studies,
predictive modeling capacity, and feedbacks from changes in marine ecosystem
structure (Aksnes et al. 1999). The research was initially developed within the regional
projects and a series of national projects.
2.2 Development of Global Ocean Ecosystem Dynamics

with Scientific Questions in China
A working group of the national strategic research on marine ecosystem dynamics

development was founded under the support of National Nature Science Foundation
of China in 1994 (Tang et al. 1995). One result from the group is to identify four
main themes of China GLOBEC study: (1) influencing mechanism of key physical
process on biological production, (2) nature of bio-elements recycles and settlement
input, (3) primary production process and manipulation of zooplankton, and
(4) trophic dynamics of food web and alternation principle of dominate resources.
Multidisciplinary and synthesis studies are encouraged to provide breakthrough in
understanding ecosystem dynamics and recruitment mechanism of living resources
in continental shelf areas.
The Chinese GLOBEC studies focus mainly on the scientific issues of the shelf
ecosystem dynamics in the shallow sea and shelf of Chinese waters which are an
area affected heavily by global change and human activities. The experimental
fields should be characteristics in typically physical, chemical, and biological
environment and sensitive to global change so the Bahia Sea, Yellow Sea, and the
East China Sea are determined as the field study of China GLOBEC. The China
national strategic research of GLOBEC brings forward a goal to study the func-
tioning of ecosystem dynamics in coastal ocean. The process studies are most
important part directly implemented in the research. China GLOBEC studies
developed six scientific questions related closely with the ecosystems in continental
shelf. The questions are (i) energy flow and shift of key species, (ii) recruitment of
zooplankton population, (iii) recycle and renewal of bio-elements, (iv) ecological
effect of key physical process, (v) coupling of pelagic and benthic systems, and
(vi) microbial food loop contribution in ecosystem. All the questions emphasize the
interaction and coupling of physical and biological progress in the continental shelf
(Tang et al. 2000).
2.3 General Review of the Development of GLOBEC Studies

in China
China is a country to develop GLOBEC and IMBER research early in the world.
Chinese scientist acted as member of GLOBEC Scientific Steering Committee in
1991 and involved in the framing the GLOBEC Science Plan and Implementation
Plan. In 2004, IMBER Scientific Steering Committee came into existence. One
Chinese scientist become the member of the first committee group and joined to
prepare the IMBER Science Plan and Implementation Strategy. China
GLOBEC/IMBER has been promoting through the program “Ecosystem Dynamics
and Sustainable Utilization of Living Marine Resources in China Coastal Seas.”
Three phases of the program, including China GLOBEC-I Project, China
GLBOEC-II Project, and China GLBOEC-III/IMBER-I Project, are being imple-
mented from 1997 to 2010. The Chinese GLOBEC and IMBER studies are
regarded as a regional contribution to the international research to providing a case
study of coastal ecosystem and its living resources dynamics.
2.3.1 China GLOBEC-I Project
China GLOBEC-I Project entitled “Bohai Sea Ecosystem Dynamics and

Sustainable Utilization of Living Resources” (BoSEC 1997–2000) has four major
themes: early life history of the Bohai prawn and critical processes in its habitat,
zooplankton population dynamics, and its role in the Bohai Sea productivity,
trophodynamics of the food web, and the mechanism of the dominant species shift
in Bohai Sea ecosystem and Bohai Sea ecosystem dynamics modeling (Su et al.
2002). The achievements of project study are mainly on:
(i) Environmental processes of the habitat of Penaeus chinensis and its biomass
change of the early life, including stock dynamics of P. chinensis, relevant
physical and biogeochemical processes in its habitat, long-term variations of
atmospheric parameters, and hydrographic properties and their influence on
the marine ecosystem.
(ii) Population dynamics of zooplankton and its controlling effects in the marine
ecosystems, including phytoplankton composition, primary productivity and
new productivity, bacteria production, community structure and population
66 L. Huang et al.
dynamics of zooplankton, feeding pressure on phytoplankton, ecological

conversion efficiency and secondary production, and benthos and benthic
productivity.
(iii) Trophodynamics of food web and species change, including feeding rela-
tionship and food web structure, trophodynamics in higher trophic level,
community structure and biological productivity, and influence of human
activities on living resources.
(iv) Ecosystem models of the Bohai Sea, including 3-D primary productivity
models and a box model of pelagic–benthic in ecosystem dynamics study.
2.3.2 China GLOBEC-II Project
China GLOBEC-II Project, entitled “Ecosystem Dynamics and Sustainable

Utilization of Living Resources in the East China Sea and the Yellow Sea (EYSEC
1999–2004),” is funded through the National Key Basic Research and Development
Program of China (973 Program). The scientific objectives of the project are to
determine:
(i) Impacts of key physical processes on biological production,
(ii) Cycling and regenerations of biogenic element,
(iii) Basic production processes and role of zooplankton in the ecosystem,
(iv) Food web trophodynamics and shifts of dominant species.
The goals of EYSEC project are to understand the function, production, and the
critical ecosystem-relevant physical mechanisms of the coastal sea, as part of the
knowledge basis for the formulation of strategy to achieve sustainable use of the
marine resources. It regards the interaction and coupling of physical and biological
progress happening in the shelf as its main efforts. The key target species of the
research in the East China Sea and Yellow Sea include zooplankton species
(Calanus sinacus), small pelagic fish (anchovy, Engraulis japonicus), and large
commercial species (Spanish mackerel, Scomberomorus niphonius). These key
species form a main linkage for the study of all the identified major scientific
questions of the project. All studies also carry out in three stratums of key species,
important species and bio-community. The dominant physical forcing mechanisms,
biogenic elements, and its transfer mechanism, and ecological characteristics are
examined to find potential linkages between the mechanisms and the change of the
living resources. The major themes of this study in the East China Sea and the
Yellow Sea as one integral region are: trophic dynamics of key species; recruitment
of zooplankton; recycle and regeneration of biogenic elements; critical physical
processes in high-productivity areas; coupling of pelagic and benthic systems; and
microbial contribution to secondary production. One of the main results commonly
in the coastal ocean of China is the academic frame of China coastal ocean
ecosystem dynamics research based on the six scientific questions.
2.3.3 China GLBOEC-III/IMBER-I Project
China GLBOEC-III/IMBER-I Project entitled as Key Processes and Sustainable

Mechanisms of Ecosystem Food Production in the Coastal Ocean of China from
2006 to 2010 funded by 973 Program. The project carries out integrated studies
among multidisciplinary subjects by focusing on the coupling mechanism of the
marine biogeochemical cycles of biogenic elements and the end-to-end food web in
the China seas to comprehend the supporting, regulating, and producing functions
of food production and to understand the sustainable mechanisms in the coastal
ocean ecosystems of China seas from the perspectives of both anthropogenic
impacts and natural changes.
The major scientific questions to be dealt with are: the biogeochemical processes
of food production, the physical mechanisms of biogenic element cycle and sup-
plement, coupling mechanism of primary production with major biogeochemical
processes, and food web trophodynamics of major biological functional groups. The
research activities mainly aim at some unique subecosystems in the Yellow Sea and
the East China Sea with studies on ecological capacity. The following four foci will
be deployed: the supporting role of main biogeochemical processes in food pro-
duction, key physical processes of biogenic element cycle and supplement, primary
production coupling with main biogeochemical processes, and food production
processes of biological function groups together with their sustainable models.
One main scientific achievement is on the spring phytoplankton bloom in the cold
mass area of the Yellow Sea. Phytoplankton bloom ecosystem process and its var-
ious trophic levels and trophodynamic interaction in the food web are studied (Sun
and Song 2009). The spring bloom happening and developing are founded com-
posing by a series of subprocesses. The different type blooms are actually diverse
phases of bloom. Phytoplankton biomass increased during spring bloom is following
a parabola shape so that the highest biomass occurs in the metaphase. The biomass of
subprocesses and spatial–temporal change lie on environment and phytoplankton
species of bloom. The highest biomass of subprocesses is happen from south forward
north with patch distribution in the region of Yellow Sea Cold Water Mass. Wind is
the key control factor of bloom coming into being, and wind and water circumfluence
play an important effect to carry through and develop the bloom. Nutriment is the
most control factor but dust storms swept over the Yellow Sea from Northern China
also effect the bloom in the continental shelf of the in the Central Yellow Sea.
2.4 Perspectives of the Development of GLOBEC
After the completion of the GLOBEC research, SCOR and IGBP set up a working
Group of Transition Task Team (TTT) in 2008 on how the second phase of the
IMBER program proceeding to accommodate new developments in marine
ecosystem research that needs addressing. Key aspects of IMBER research, as only
one IGBP program conducted on ocean research, will be the seamless integration of
68 L. Huang et al.
biogeochemical and ecosystem research in a truly trans-disciplinary approach and

the incorporation of social science research to enable the investigation of options for
mitigating or adapting to the impacts of global change. This integration is also
important because feedbacks are critical. Marine biogeochemical and ecosystem
responses to global change are complex and diverse, and can only be evaluated
through integrated interdisciplinary studies that allow observation and analysis of
the target process in the context of the system and its feedbacks. Such studies will
include targeted field-based process studies, in situ mesocosm studies and labora-
tory experiments, and comprehensive observation and modeling of biological,
chemical and physical processes.
Through discussion of GLOBEC and IMBER activities, the TTT has identified
some emerging scientific issues that are recommended to be addressed in IMBER-II
(John et al. 2010). These issues are CO2 enrichment and ocean acidification, new
metabolic and biogeochemical pathways, role of viruses, coupled
biogeochemical-ecosystem model projections. The term presents research approa-
ches as following:
(i) Innovative approaches.
(ii) Innovative technologies.
(iii) Process studies.
(iv) Sustained observations.
(v) Palaeo-oceanography.
(vi) Molecular genetics and functional groups.
(vii) Integration of human dimensions in ecosystem models.
(viii) Comparative approach among ecosystems.
(ix) Synthesis and modeling.
3 Overyielding and Efficient Resource Utilization

in Intercropping via Interspecific Below-Ground
Interactions
3.1 Introduction
Intercropping, as one of the multiple cropping systems, has been practiced in China
for thousands years as well as all over the world for many years (Li et al. 2013).
Intercropping is a productive and sustainable system due to its effective resource
utilization (water, light, and nutrients), and especially symbiotic nitrogen fixation
into the cropping system when legumes involved in an intercropping system (Zhang
and Li 2003). Most studies on intercropping have focused on crop combination and
above-ground resource use; little attention has been paid to below ground inter-
actions and their effects on yield advantage and resource-use efficiency.
Since the 1990s, we have conducted a series of field and greenhouse experiments
to investigate the role of interspecific root interactions and rhizosphere processes in
yield advantage in intercropping systems. The objectives of these studies were to

examine the complementarity N utilization between intercropped nonlegume/legume
species, interspecific facilitation of phosphorus uptake by intercropped P-efficient/
P-inefficient species, microelement acquisition by intercropped species, and the root
distribution relative to interspecific interactions in various intercropping.
3.2 Interspecific Root Interactions Play an Important Role

in the Yield Advantage of Intercropping
Yield advantages of various intercropping within China were examined by literature

study and our field experiments. We found that there was more than one of land
equivalent ratio (LER) for the most intercropping practiced by farmers in China.
The crop combinations included cereals/cereals (i.e., wheat/maize, barley/maize,
spring maize/summer maize, etc.), cereals/legumes (i.e., maize/soybean,
maize/peanut, maize/pea, maize/faba bean, wheat/faba bean, wheat/soybean, etc.),
and some cereals/vegetables intercropping (Li et al. 1999, 2001a, 2013; Li 2013).
Interspecific below-ground interactions play an important role in overyielding of
intercropping. A significant positive yield effect on maize was found when the root
systems intermingled freely (no root barrier) or partly (400 mesh nylon mesh barrier)
compared with no interspecific root interaction (plastic sheet root barrier) in a
microplot experiments (Li et al. 1999; Zhang and Li 2003; Li et al. 2007). When the
roots of two species intermingled, LER values based on total yields and grain yields
were 1.21 and 1.34, respectively, but when the roots of the two species were separated
completely, the intercropping advantage was greatly diminished and the LER values
were reduced to 1.06 and 1.12 (Li et al. 1999). In wheat/maize and wheat/soybean
intercropping, we also found that almost half of yield increases in wheat were derived
from below-ground interspecific interactions between intercropped species by similar
root barrier experiments under field conditions (Zhang et al. 2001).
3.3 Complementary Utilization of Nitrogen Between

Intercropped Nonlegume/Legume Species
Nitrogen transfer from faba bean to wheat was estimated by the indirect 15N isotope
dilution technique and by direct plant labeling via petiole injection of a 15N solution
in intercropping of faba bean and wheat. With the indirect method, N transferred
from faba bean to the associated wheat was 2 mg with a mesh barrier and 6 mg
without barrier, which accounted for 1.2 and 2.4 % of total N of wheat plant,
respectively. Using direct labeling method, N transferred from faba bean to com-
panion wheat was 7 mg, equal to 15 % of total N in wheat (Xiao et al. 2004).
70 L. Huang et al.
On the other hand, intercropping increased the percentage of N derived from air
(%Ndfa) of the wheat/faba bean intracropping, but not that of the maize/faba bean
system when no N-fertilizer was applied (Fan et al. 2006). When receiving
120 kg N/ha, however, intercropping did not significantly increase %Ndfa either in
the wheat/faba bean system or in the maize/faba bean system in comparison with
faba bean in monoculture. The amount of shoot N derived from air (Ndfa), how-
ever, increased significantly when intercropped with maize, irrespective of
N-fertilizer application. NDFA decreased when intercropped with wheat, albeit not
significantly at 120 kg N/ha (Fan et al. 2006).
Intercropping alleviated the inhibitory effect of N fertilization on nodulation and
N2 fixation of legumes. Symbiotic nitrogen fixation is usually inhibited by N fer-
tilization in intensive farming systems (Salvagiotti et al. 2008). We tested the effect
in two years of field experiments, where different N-fertilizer rates (0, 75, 150, 225,
and 300 kg N ha−1) were applied to faba bean (Vicia faba L.)/maize (Zea mays L.)
intercropping and corresponding sole cropping systems in the north-western part of
China (Li et al. 2009d). The nodule biomass and nitrogen derived from the
atmosphere (Ndfa) in intercropped faba bean were increased by 7–58 % and
8–33 % at the start of flowering, 8–72 % and 54–61 % at peak flowering, 4–73 %
and 18–50 % at grain filling, and 7–62 % and 7–72 % at maturity, respectively,
compared with sole faba bean (Li et al. 2009d).
3.4 Interspecific Facilitation of Phosphorus Uptake

by Intercropped Species
Interspecific facilitation of P uptake by intercropped species was examined under

inorganic P and organic P supplies. Phosphorus in soil includes the inorganic P and
the organic P which is mostly not available to general plants. However, some plant
species had greater capability to acquire insoluble inorganic P (i.e., white lupin and
faba bean) and organic P (i.e., chickpea). Mechanisms behind interspecific facili-
tation on P uptake by intercropped crops included (i) rhizosphere acidification by
P-efficient species resulted in a pH decrease in the rhizosphere, which increased the
availability of insoluble inorganic P in soil, such as Ca10–P, FePO4, and AlPO4, and
benefited associated P-inefficient species that has less ability of mobilizing insol-
uble soil P; (ii) carboxylates from root exudation of one species chelated Ca, Fe,
and Al, consequently mobilizing insoluble soil P, which will benefit the species and
other species grown together with it; (iii) greater phosphatase activity in the rhi-
zosphere decomposed soil organic P into an inorganic form, which can be used by
both species, such as wheat/chickpea and maize/chickpea (Li et al. 2003a, b, c,
2004, 2007; Zhou et al. 2009)
Maize/faba bean intercropping with rhizobia inoculation enhances productivity
and recovery of fertilizer P in a reclaimed desert soil. The apparent P recovery of
faba bean/maize intercropping system was much greater (P < 0.001) than that of
sole cropping systems (weighted means) and was highest at the intermediate
P application rate on average. Moderate fertilizer P application enhanced produc-
tivity and noclulation of the intercropped faba bean in a reclaimed desert soil, and
P deficiency was ameliorated to some extent (Mei et al. 2012).
3.5 Maize Improves Iron Nutrition of Intercropped Peanut
Iron deficiency chlorosis frequently occurs in peanut (Arachis hypogaea L.) grown
on calcareous soils, especially in north China. Interestingly, iron deficiency
chlorosis of the crop is more severe in sole cropping systems than in the inter-
cropping system of peanut/maize on these soils. The studies showed that the
improvement in the Fe nutrition of peanut intercropped with maize was mainly
caused by rhizosphere interactions between peanut and maize (Zuo et al. 2000).
3.6 Yield Advantage, Nutrient Acquisition

and Competition-Recovery Production Principle
Except for interspecific facilitation, there is another mechanism behind overyielding

of intercropping and competition—recovery production principle (Li et al. 2001a, b).
In wheat/maize or wheat/soybean intercropping, wheat is grown with maize or
soybean for 80 days and afterward maize grows alone for around two months after
wheat harvest. During the co-growth period, lasting for about 80 days from maize or
soybean emergence to wheat harvesting, yield and nutrient acquisition by inter-
cropped wheat increased significantly, while those by maize or soybean intercropped
with wheat decreased significantly (Li et al. 2001a, b). Both aggressivities and
nutrient competitive ratio of wheat relative to either maize or soybean revealed the
greater competitive ability of wheat than either maize or soybean (Li et al. 2001a).
The biomass and nutrient accumulation in either intercropped soybean or
intercropped maize were significantly smaller than in sole soybean or maize before
wheat harvest but thereafter increased sharply. The rates of dry matter accumulation
in the intercropped maize (10.0–20.1 g/m2 per day) were significantly lower than
those in the sole maize (17.1–34.8 g/m2 per day) during the early stage from 7 May
to 3 August, while mostly intercropped with wheat. After 3 August, however, the
rates of intercropped maize, increasing to 58.9–69.9 g/m2 per day, were signifi-
cantly greater than in sole maize (22.7–51.8 g/m2 per day), and nutrient acquisition
showed the same trends as growth (Li et al. 2001b). It was concluded that then was
indeed recovery of growth after wheat harvesting in wheat/maize and
wheat/soybean intercropping (Li et al. 2001b).
These findings explained well-yield advantage of cereals/cereals intercropping
by temporal niche complementarity.
72 L. Huang et al.
3.7 Root Distribution and Interactions Between

Intercropped Species
In wheat/maize intercropping, interspecific interactions lead to an increase for

wheat, but a decrease for maize, in terms of yield and nutrient acquisition during the
co-growth stage (Li et al. 2001a). In maize/faba bean intercropping, increases in
plant growth and nutrient acquisition of both faba bean and maize have been
observed, and the interspecific below-ground interactions contributed more to yield
advantage in this case than in that of wheat/maize intercropping (Li et al. 1999,
2003a, b, c). We investigated the root distribution of the contrast intercropping to
define the relationship between the interspecific interactions and the root distribu-
tion (Li et al. 2006, 2011a, b; Xia et al. 2013).
Our studies showed that the roots of intercropped wheat spread under maize
plants and had much greater root length density (RLD) at all soil depths than sole
wheat. The roots of maize intercropped with wheat were limited laterally but had a
greater RLD than sole-cropped maize. The RLD of maize intercropped with faba
bean at different soil depths was influenced by intercropping to a smaller extent
compared to maize intercropped with wheat (Li et al. 2006).
Faba bean had a relatively shallow root distribution, and the roots of inter-
cropped maize spread underneath them. The results support the hypotheses that the
overyielding of species showing benefit in the asymmetric interspecific facilitation
results from greater lateral deployment of roots and increased RLD, and that
compatibility of the spatial root distribution of intercropped species contributes to
symmetric interspecific facilitation in the faba bean/maize intercropping (Li et al.
2006).
Intercropping with wheat leads to greater root weight density and larger
below-ground space of intercropped maize at late growth stages (Li et al. 2011a, b).
In addition, the roots of intercropped maize have a longer life-span than the roots of
sole maize at later growth stage (Li et al. 2011a, b). The result may further
understand the recovery growth of later mature species at later growth stage (Li
et al. 2001b).
4 Intercropping and Disease Management
4.1 Introduction
The abundant biodiversity in agricultural ecosystem can be achieved through

increasing crop species, including cover crops, intercropping, changing cultivating
spatial patterns, applying microbial manure and pesticides, using organic fertilizer
to improve soil microorganisms, building the marginal zone and buffer zone in
agricultural ecosystem, etc. It is widely approved that intercropping not only
effectively manage the disease occurrence and prevalence, but also increase
ecosystem diversity, enhance stability, increase crop yield ,and improve the quality
of the product. To grow crop varieties with rich genetic backgrounds can effectively
defense against potential dangerous of pathogen and insects, decrease the risk of
alien invasive species as well. Innovative cultivation technologies make the func-
tion of the genetic resources in farmland ecosystem can be more effectively
exploited. Lots of practices suggest that strategy of introducing single-resistance
gene into elite line can be overcomed by pathogens and pests rapidly, and pyra-
miding a number of resistance genes into one line is technologically difficult.
Exploration and utilization of combination of different genes are alternative method
to exert excellent germplasm resources. Intercropping of crops is the essence of
Chinese and Asian traditional agriculture, but principles underlying was undis-
covered recently. Patterns of intercropping include combination of differences of
plant species, growth period, nutrient characteristics existed in different crops to
effectively utilize nutrient and heat resources, importantly, the interaction between
different species or genotypes of same species was revealed also.
4.2 Effects and Mechanisms on Rice Genetic Diversity

for Blast Disease
4.2.1 Rice Genetic Diversity for Preventing Prevalence of the Disease
Rice blast disease, caused by Magnaporthe oryzae (Hebert) Barr, is one of the most
serious fungal diseases worldwide (Ou et al. 1985), and the disease seriously limits
rice yield annually. Chemical control and utilization of resistant varieties are main
measure to manage the blast disease, but pesticide is of higher cost and easily
pollutes the farmland ecosystems, in addition, rice varieties carrying single
disease-resistant gene are easily loss the resistance within a few years because of
complexity and diversity of physiological races of pathogens. Many production
practices have proved that varieties with single-resistant gene are prone to disease in
the short term when they are deployed in large-scale areas, namely the blast
resistance will quickly loss once these varieties continuously cultivate in large-scale
areas for three or five years (Ou 1985). In order to extend cultivation life of resistant
varieties to achieve purpose of sustainable management of blast disease, plant
pathologists are making lots of exploration and research in the aspects of utilization
of rice genetic diversity to manage the disease. Zhu et al. (2000) uses hybrid rice
varieties of Shanyou 63 (or Shanyou 22) to intercrop with two good quality
glutinous varieties such as Huangkenuo and Zinuo in Yunnan in 1998 and 1999; the
results show that rice yield increase by 89 % and blast disease severity decrease by
94 % when intercropping two good quality glutinous varieties, comparing with
monoculture of two glutinous varieties.
According to crop genetic diversity research and practical application, mecha-
nism on crop genetic diversity for managing disease can be summarized as follows.
74 L. Huang et al.
One is the dilution of source amount of compatible races of pathogen. Two is the
barrier effect of resistant plants. Three is induction resistance, e.g., nonpathogenic
strain or weak pathogenic strain preinoculate plants, the plants can achieve the
function that defense against strong pathogenic strain, so that reduce occurrence of
leaf blast and panicle blast. Four is microecological effects such as modern variety
with high-yield and short-stalk intercropped with glutinous varieties with good
quality and tall stalk in the same field, which decrease relative humidity on parts of
panicles and shorten dew duration on panicle neck of glutinous varieties, then
reduced suitable condition of blast disease occurrence.
4.2.2 The Effect of Rice Genetic Diversity on Population Genetic

Structure of M. oryzae
Because of complexity and diversity of M. oryzae races formed in the long period
of evolution, the pathogenicity also appear variability, and thus cultivars are often
eliminated due to occurrence and prevalence of rice blast. One of the measures to
solve this problem is to continuously breed the new resistant varieties, but these
varieties will be quickly eliminated when they continuously monoculture in
large-scale areas for several years, which lead to a vicious spiral such as breeding
speed do not keep pace with resistant loss of varieties. In view of the above reason,
it necessary to mine-resistant resources, avoid-resistant varieties carrying single
same resistant gene to deploy in large-scale areas for a few years and alternate
cultivate different cultivars with different genetic backgrounds, which prevent
formation of single variety carrying single-resistance gene and dominant races,
stabilize composition of physiological races of pathogen and lessen pesticide
application. Through these measures, the ultimate objective is to reduce damage of
ecological environment.
Zhu et al. (2003) analyze population genetic structure of blast strains isolated
from samples collected from different rice varieties intercropping fields in Shipping
County between 1999 and 2000 using Pot2-rep-PCR and pathogenicity test, the
result confirm that rice genetic diversity favor to stabilizing selection, keeping
genetic diversity of pathogen population, limiting the development of dominant
races, and leading significantly to decreasing of disease severity in the field.
4.3 Multi-effects and Mechanisms of Maize Intercropping

with Soybean
Intercropping of different crops makes full use of agricultural production resources

and reaches the goal for the intensive utilization of lands, soil nutrients, natural
resource including moisture, light, heat etc. Intercropping can increase solar energy
utilization efficiency, improve the soil quality, reduce diseases and pests, and
increase yield significantly. Intercropping maize with soybean is a typical culti-

vation pattern of long-stalked crops and dwarf-stalk crops. Maize variety of ‘Yunrui
88’ and soybean variety of ‘Nandou 12’ was intercropped as different rows
(monoculture of maize, intercropping 2 rows of maize with 2 rows of soybean, an
intercropping 2 rows of maize with 4 rows of soybean) in 2009 and 2010. The
maize and soybean yield, stomata characteristics, photosynthetic characteristics,
and the change of field microclimate were systematically studied in Yunnan, China.
The results show briefly as follow.
4.3.1 Change of Light Intensity and Humidity
Light intensity and humidity in different parts of plants in different periods of crop
growth and development in fields were measured, and the result showed that the
light intensity and humidity were higher in intercropping field than that in mono-
culture field. In small bell stage, large-bell stage and anthesis, the humidity in
middle part of maize plants was higher than that in intercropping field.
4.3.2 Stomata Characteristics of Leaf Lower Epidermis
Stomata characteristics of leaf lower epidermis showed that the length of stomata
decreased in the upper part of plants, but increased in the middle and lower parts in
maize-intercropping field, comparing with in maize-monoculture field. As for the
width and density of stomata, in maize-intercropping field, maize leaves in the
upper and middle parts had smaller stomata but bigger ones than in lower parts,
more density of stomata in the upper part but less density in the middle and lower
parts in intercropping field, comparing with those in monoculture field. There were
significant differences in stomatal characteristics parameters between intercropping
and monoculture.
4.3.3 Photosynthetic Characteristics
Photosynthetic characteristics showed that the photosynthetic rate of the upper part
of plant (above 250 cm from ground), the middle part of plant (above 120 cm from
ground), the lower part of plant (above 30 cm from ground) in intercropping fields
increased comparing with that in monoculture, and the increase of the photosyn-
thetic rate had a positive relations with soybean sow number. There were great
differences in photosynthetic rate between maize intercropping and monoculture.
According to the two-year data, there were random changes in transpiration rate and
stomatal conductance in different parts of maize plants in intercropping fields of
maize and soybean.
Comparing with height of maize plant in monocropping field, there was a ten-
dency such as plant height shortened, leaf number, and leaf area increased in
76 L. Huang et al.
intercropping field, and the tendency enhanced along with increase of soybean rows
number. The data of maize yields showed that seed setting rate significantly
increased, which leading to increase of maize yield.
4.4 Summary and Future Prospects
Construction of crop genetic diversity for effectively managing diseases requires

conservation of more bioresources and keeps higher genetic heterogeneity within
crop varieties. Zhu et al. (2000) found that varieties with different genotypes were
mixture cropped in the same field, which resulted in decreased incidence of blast
disease due to increased genetic diversity, comparing with monoculture of one
variety. Based on recent research and application, the mechanisms on crop genetic
diversity for effectively managing disease can summarized as follows: (1) dilution:
the dilution of infection source amount of compatible race of pathogen; (2) isola-
tion: the barrier effect of the resistant varieties can be the barrier of pathogen,
increasing distance of compatible hosts; (3) induced resistance for host plants, and
(4) variation of microecological condition: humility, dewing time, and temperature
can be changed to not favorable for pathogen infection and disease development. In
addition to above-mentioned factors, traditional varieties with good quality are
higher price than that of hybrid ones, which make more favor market competition of
the products and income increase. Actually, farmers have more choice of crop
combination both for marketing needs and cultivation practices, and more effective
for pests management and yield increasing (Li et al. 2009a, b, c) than in paddy field.
The mechanism is also more complex the paddy field system, which need inves-
tigating in detail.
Due to different crops or varieties intercropping in the same plot of field, species
diversity and genetic diversity are increased, and disease, insect, and weed can be
effectively controlled without chemical pesticides, which decrease the risks and
pressures of agropractice to ecological environments. These technologies can play
the important roles in sustainable development of agriculture.
5 Ecological Management of Agricultural Pest Insects
5.1 Introduction
Agriculture is the foundation of China’s national economy with agricultural devel-

opment increasing production to meet demand for agricultural products. However,
ensuring food safety standards and maintaining ecosystem function require constant
vigilance. China’s environmental, social and economic development faces a
resource bottleneck. Ecological agriculture needs to incorporate more sustainable

rural development to ensure high-quality industrial practices, multifunctional sys-
tems and the integration of modern technology (Li et al. 2011a, b).
Agricultural diversification measures including leisure farm landscapes, inter-
cropping and no-tillage practices could reduce the occurrence of pests. Wheat and
cotton aphid [Aphis gossypii Glover; Sitobion miscanchi (Takahashi), Schizaphis
graminum (Rondani), and Rhopalosiphum padi (L.)] are the main agricultural pests
in northern China, requiring the intensive application of chemical pesticides to
control them, causing increasingly serious impacts on the environment and food
chain. Farmland incorporating ecological systems has inherent pest control factors
including the pests’ natural enemies, allowing crop plants to produce higher yields.
Understanding the importance of biological regularity (including the pest) using
various methods will achieve long-term sustainable agricultural development.
5.2 Ecological Management Methods to Control Aphids
5.2.1 Cotton Aphid
The cotton aphid, A. gossypii, is the first major pest of cotton in Xinjiang, China.
The cost of controlling the cotton aphid contributes to more than 20 % of the annual
crop loss and is considered a serious threat to cotton production in the Xinjiang
Autonomous Region, the largest cotton production area in China (Zhang and Zhang
1998a). In Xinjiang, the cotton aphid emerges and begins damaging cotton plants in
mid-June. Therefore, the optimal stage to control this pest is mid-to late June. The
natural enemies of cotton aphid in order of their effectiveness are: ladybird beetles,
lacewings, hoverflies, Syrphus bugs, and spiders. To encourage natural enemies
into this system requires plants that provide food and shelter to the predators.
Alfalfa has been used in conservation biological control, benefiting natural enemies,
and can be used as a food source because it develops earlier than cotton, allowing
sufficient natural enemy populations to establish to control aphids in cotton (Zhang
et al. 2004). The planting of a marginal alfalfa zone near cotton fields, followed by
cutting the alfalfa while the aphids are entering the cotton, resulted in the natural
enemies moving into the cotton crop and controlling aphid populations (Fig. 1).
The main pest species may differ from one plant to another, but they usually
share common natural enemies. Alfalfa and cotton have different insect pests, but
these pests have similar natural enemies, including ladybird beetles, lacewings, and
hoverflies (Fig. 2). During the first ten-day period in June, while cotton aphids
started invading the cotton field, the total amount of insects on alfalfa showed a
higher density compared with the cotton crop. Insect abundances on the alfalfa crop
were approximately 6.94 times higher compared with the cotton crop. The cotton
aphid was the dominant species in the cotton fields accounting for 67.77 % of the
total insect count. During the second ten-day period in June, insect numbers in
cotton fields increased rapidly. The total number of insects in the cotton crop was
78 L. Huang et al.
Forest
Alfalfa
Cotton field after seed sowing
Fig. 1 The arrangement of plants for cotton aphid management in Xinjiang, China
Fig. 2 The principle of cotton aphid ecological management
approximately 1.42 times higher compared with the alfalfa crop. Concurrently, the
number of major natural enemies on alfalfa was 13.65 times higher than in cotton.
The natural enemy densities on alfalfa were 27.89, 11.69, and 3.16 times higher
(ladybird beetles, lacewings, and hoverflies, respectively) than those in the cotton
field (Zhang et al. 2000a).
This pest control technology has the advantage of simple operation, relatively
long lasting, and is environmentally friendly (Zhang et al. 2000b). Other advantages
are: (i) alfalfa is a high-quality forage species, suitable for the adjustment of agri-
cultural structure and the development of animal husbandry in traditional rural
areas; (ii) farmland protection forest provides shading, adversely affecting crop
growth, whereas planting alfalfa can significantly improve the use of limited
croplands; (iii) alfalfa can improve soil fertility.
5.2.2 Wheat Aphids
Wheat aphids are a significant pest on wheat crops, potentially spreading viruses and
leading to decreased wheat yields and quality. Aphid species on wheat include
S. miscanchi (Takahashi), S. graminum (Rondani), and R. padi (L.). The natural
enemies of wheat aphids can be divided into two types, either predatory or para-
sitoids (Huang et al. 2008). The main predators are: Harmonia axyridis Pallas,
Propylaea japonica (Thunberg), Coccinella septempunctata L., Episyrphus balteata
De Geer, Lasiopticus pyrastri (L.), Syrphus corollae F., Chrysoperla sinica (Tjeder),
Chrysopa formosa Brauer,and Eringonidium graminicolum (Sundevall), with the
main parasitoids being Apridius avenae Haliday and Apridius gifuensis Ashmaed.
Huang et al. (2008) investigated aphid populations on wheat in Yucheng,
Shandong Province, showed that populations peaked in mid-May with parasitoids
and ladybirds peaking 5–10 and 15–20 days later (respectively). Aphid density was
negatively correlated with their natural enemy density, including a significant
negative correlation with ladybird density. At the wheat heading stage in late April
and early May, aphid populations exponentially increased because of the low
density of natural enemies’. From late April to early May, predator density on
Rumex sp. and alfalfa was 2–3 times higher compared with wheat. This suggests
that these plant species have potential applications in regulating aphid populations.
In the wheat/cotton farmland ecosystem, the main problems for insect pest
management were: (i) prior to wheat harvest, a large concentration/population of
parasitoids and predators is required in the area. However, following the wheat
harvest the natural enemies of aphids will move to find new hosts and habitat;
(ii) after the wheat harvest, a natural enemy population could be introduced into
grazing type plants such as rumex or alfalfa (with a large number of aphids)
(Fig. 3). When the cotton aphid begins to damage the crop, their natural enemies
could be introduced to the crop as biological controls. This concept of ecological
management using mutual plant (grass) species to mediate the natural enemy
population and control pest insects is critical in improving environmental impacts.
Wheat
Cotton
Grazing plants
Time
Fig. 3 Transfer of natural enemies from wheat to cotton via grazing plants
80 L. Huang et al.
Fig. 4 The use of Rumex sp. (a) and alfalfa (b) for rearing natural enemies to control wheat aphids
When rumex and alfalfa species are at early growth stages compared with wheat,
aphids on early stage species could be used as food to attract ladybirds from wheat,
especially during the wheat harvest (Fig. 4). The most effective period to control
aphids with natural enemies is during the aphids’ population growth stage. At this
time, it is important to assist predator transfer from the mutual plant species to target
the protective crops. The planting of forage grasses along the crop boundary or
intercropping the grasses is relatively simple, ensuring the natural enemies will
enter the crops while the pests are emerging. Conversely, weed management along
the field boundary is critical to increase plant diversity within the crop field. This
can provide suitable habitat for the natural enemies of agricultural pests using
ecological management techniques.
5.3 Discussion
At the annual meeting of China’s Ecology Society, Li (2011) suggested that the
field of ecology in China developed relatively late compared with western coun-
tries. This development can be divided into five stages according to the research
direction during different periods (Li 2011). Agricultural pest control has been
developed to prevent/reduce biological invasion, emphasizing the protection of
biodiversity and the use of green control technologies. The ecological management
of agricultural pests includes the mutual plant protection concept (MPP). This
concept emphasizing the relationship between pests and their natural enemies
regulated by mutual plants will become increasingly important (Zhang and Zhang
1998b). Frank (2010) developed a similar concept known as the ‘banker plant’
(Frank 2010). The historical experiences of Europe prove that ecological farming
system optimization is crucial to the control of agricultural pests (Vasileiadis et al.
2011). Therefore, MPP is an important developmental direction in agriculture and
forestry pest management and a necessary pathway for sustainable agricultural and
forestry development.
6 Agricultural Heritage Research in China: Progresses

and Perspectives
Agriculture has flourished in China from time immemorial. With a long history of
thousands years of agricultural development, Chinese farmers have been develop-
ing for many agricultural practices adaptive to different natural conditions; these
traditional practices or models are not only the synthetic application of traditional
Chinese philosophy but also the foundation of modern ecological agriculture, which
have much positive influence on the sustainable agriculture movement throughout
the world (Li 2001). However, because of the population growth and economic
driving, more and more farmers gave up the traditional way and adopted modern
agricultural techniques. The intensive production practices in modern agriculture
resulted in significant negative externalities (Pimentel et al. 1992).
This paper reviewed the progresses of agricultural heritage research in China,
which can be divided into two aspects, documentary-based traditional agricultural
heritage research and practice-oriented research of dynamic conservation and
adaptive management. The former one including China’s history of traditional
agricultural heritage and archeological have laid a solid foundation for starting the
latter one and further study. Dynamic conservation and adaptive management of
agricultural heritage was promoted by the Globally Important Agricultural Heritage
Systems (GIAHS) project initiated by FAO in 2002. Until now, this research mainly
concentrated on the theoretical consideration of agricultural heritage, agrobiodi-
versity characteristics of agricultural heritage, multivalues of agricultural heritage
dynamic conservation, substitute industry and development law and policy on
conservation of agricultural heritage. At last, the authors indicated that some greater
efforts should be made in the future to advance the study of agricultural heritage:
further enrichment for the content of investigation, more creation in the methods of
research, deeper research in conservation and utilization of agricultural heritage.
In fact, researches on China’s agricultural heritage have been started since the
end of 19th century, focusing on agricultural archeology, agricultural history, tra-
ditional Chinese philosophy, and agricultural folklore, etc. (Wang et al. 2010). Prior
to the intervention of GIAHS project in 2005, Chinese researchers had already done
plenty of work on traditional agricultural heritage with emphasis on agricultural
history, agricultural archeology, ecological ideas of traditional agriculture, and
agriculture custom. These studies tried to discover and identify the agricultural
heritages through history records. The results have laid the foundation for any
further study.
Compared to the systematic collection and documentation of agricultural history
materials and agro-archeological achievements, the research on other aspects of
agricultural heritage had been neglected before. Since 2005, based on previous
researches, many Chinese scientists have studied on China’s agricultural heritage
from different perspectives, using modern methods. These would be very helpful
for the agricultural heritage conservation and management. These studies can be
divided into five aspects.
82 L. Huang et al.
The first aspect is theoretical developments. FAO defines GIAHS as

“Remarkable land use systems and landscapes which are rich in globally significant
biological diversity evolving from the co-adaptation of a community with its
environment and its needs and aspirations for sustainable development.” However,
controversies exist regarding the concept of agrocultural heritage, mainly focusing
on its interpretation from English and its exact connotation (Min 2007; Han et al.
2007; Zhang et al. 2008; Wang et al. 2010).
The second one is agrobiodiversity evaluation. One of the salient features of
agricultural heritage is their high degree of agrobiodiversity. The early studies on
agrobiodiversity of agricultural heritage focused on the performance information
gathering and compilation. Later researches on agrobiodiversity of agricultural
heritage employed more quantitative research methods (Zhang et al. 2010b) and
focused on the mechanisms of ecological effect, such as diseases, pests, and weeds
control in species coexistence systems (Wang et al. 2007; Zhang et al. 2010a).
The third one is multivalues analysis. Due to specific natural conditions and
human activities, agricultural heritage sites always have a fragile ecological envi-
ronment, rich cultures, undeveloped economy as well as multifunctionality in
agriculture. The Multi-values of agricultural heritage have been gradually recog-
nized and many efforts were put on it, from qualitative research (Sun et al. 2008; Li
et al. 2009a, b, c; Gao et al. 2010) to quantitative research (Qin et al. 2010; Zhang
et al. 2009a, b, 2010; Liu et al. 2010).
The fourth one is dynamic conservation approaches. The agricultural heritage
and its dynamic conservation and adaptive management have attracted increasing
attention in recent years and have been becoming an emerging field of inquiry. It
has become a consensus that agriculture heritage conservation should be integrated
with the local socioeconomic development. This requires the development of
alternative income sources for local farmers so that dynamic conservation of
agricultural heritage will be possible (Liu et al. 2008; Zhang and Tang 2008; Cui
2008). Suggestions range from developing ecotourism (Min et al. 2007; Yan et al.
2008; Chang et al. 2008), developing organic agriculture (Liang et al. 2010; He
et al. 2009), production of high-quality agricultural products, development and
industrialization of characteristic agriculture, to promoting ecological agriculture
and related industries.
The last one is legislation and policy suggestions. The current legal framework
for the protection of agricultural heritage is sporadic. The weaknesses and problems
concerning the existing legislations and policies lay in the fact that the national
interest, especially the interest of traditional communities are not taken consider-
ation during the implementation of the international conventions (Li 2007; Xue
et al. 2009). There is no specific law on the maintenance, protection, and utilization
of the agricultural heritage. And, the law of protection of agricultural culture is
absent. In short, legislations and policies at both international and national levels
should be better coordinated and integrated for effective protection of agricultural
heritage (Wu et al. 2010).
Although the promotion of GIAHS has received great enthusiasm and support
from related governmental departments and organizations, agricultural heritage is
still a new concept. Greater effort should be made in the future to advance the study
of agricultural heritage. Future research agenda should shift from static literature
studies to dynamic explorations and focus on agricultural heritage conservation and
utilization, which has greater concern about people’s livelihood. The ultimate goal
is to achieve the objectives for both protection of traditional agricultural systems
and the sustainable development of the local population.
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Chapter 5
Case Study of Species and Population
Conservation
Guanghui Lin, Luzhen Chen, Yihui Zhang, Shengchang Yang,

Wenqing Wang, Hangtao Zhou, Jian Qin, Dongmei Shi,
Xianzhi Huang, Zhonghuai Xiang, Jusheng Jiang, Zongbo Peng
and Zhiyun Ouyang
Abstract In this chapter, we listed three important species and population as

typical cases of species and population conservation. Mangrove, as a special
ecosystem in the edge of the land and sea, has been conducted plenty of in-depth
researches for a long time. Here, we tease and describe the historical perspectives
and current status of mangrove ecological research. In addition, the protection
consciousness of the ecological environment and biodiversity has gradually
improved during the development process of biological industry. Sericulture, as a
traditional industry, played an important role in the economic, culture, and social
development in China at one time. In recent years, researches have been focused on
the multiple ecological functions of mulberry, such as windbreak and sand-fixation,
soil and water conservation, etc. Rubber is a typical tropical cash crop, and natural
rubber is an important industrial raw materials and strategic resources. The sus-
tainable management on rubber ecosystem has been reinforced at the same time of
natural rubber industry development.
G. Lin
Center for Earth System Science, Tsinghua University, Beijing 100084, China
L. Chen Y. Zhang S. Yang W. Wang
Key Laboratory of the Ministry of Education for Coastal and Wetland Ecosystems,
College of Environment and Ecology, Xiamen 361005, Fujian, China
H. Zhou
Key Laboratory of the Ministry of Education for Coastal and Wetland Ecosystems,
College of Oceanography and Earth Sciences, Xiamen 361005, Fujian, China
J. Qin D. Shi X. Huang Z. Xiang
State Key Laboratory of Silkworm Genome Biology, Southwest University,
Chongqing 400715, China
J. Jiang Z. Peng
Hainan Academy of Agricultural Reclamation Sciences, Haikou 570206, China
Z. Ouyang (&)
Research Center for Eco-Environmental Sciences, Chinese Academy of Sciences,

DOI 10.1007/978-3-662-48376-3_5
90 G. Lin et al.

Keywords Mangrove Historical perspectives Recent developments Mulberry

Ecosystem function Rubber Ecosystem management
1 Historical Perspectives and Current Status of Mangrove

Ecological Research in China
1.1 Introduction
Mangrove species in China covered >50,000 ha in 1950s (Lin 1999), but reduced to
about 23,000 ha now (Chen et al. 2009). Since 1995, the majority of natural man-
groves have been protected as part of the national wide mangrove nature reserves.
Chinese scientists have conducted a great deal of research on mangroves since 1950s
(Lin 1999). Chen et al. (2009) provided one in-depth reviews on Chinese mangrove
current status and research. Since then, increased government investments have
greatly improved the research on mangroves in China. In this paper, we provided
some historical perspectives and reviewed the rapid developments in the mangrove
conservation, restoration, and researches in China after 1990s.
1.2 Historical Perspectives
Mangrove research in China can be divided into the following five stages:
(i) Early awareness and taxonomy study period (before 1955): There was only
38 reports, most descriptions and taxonomy of mangrove species, on man-
groves in China between 1600 and 1975 (Rollet 1981), including «Fujian
Flora and Plant Communities», «Chinese Mangrove Forests», etc. Under the
supervision of Prof. Jing He, Peng Lin started his mangrove community field
surveys in 1953.
(ii) Community ecology study period (1955–1965): Mangrove research in China
shifted from taxonomy studies to more on plant ecology, and yielded some
milestone publications such as «Mangrove Forests» in Taiwan, «Mangrove
Ecology» in Fujian and «Mangrove Communities on Leizhou Peninsula» in
Guangdong. Meanwhile, Kandelia candel was successfully introduced in 1952
to Ruian, Zhejiang from Guangdong and Fujian.
(iii) Mangrove resource and conservation study period (1976–1985): As vegetation
science progressed in China, especially publication of «Vegetation of
Guangdong» in 1976 and «Vegetation of China» in 1980, mangrove values
and related studies received more and more attentions during this period. Prof.
Peng Lin and his research group at Xiamen University made significant pro-
gresses in mangrove ecological studies, and published some significant books
5 Case Study of Species and Population Conservation 91
such as «Mangrove Communities and Distributions along Chinese

Southeastern Coastlines» (1981) and «Mangrove Forests» (1984). Yunzhang
Gao in Botany Institute of South China and Hongda Zhang at Zhongshan
University conducted some excellent work on mangroves in Hong Kong,
Macao and Guangdong. In Taiwan, a few papers on mangrove ecology were
published in 1982, including famous authors Ming-yi Chen, Chang-hung
Chou, etc.
(iv) Mangrove ecosystem ecology research period (1985–2000): This was the peak
period for mangrove ecosystem ecology research, with strong focus on the
structure and functions of mangrove ecosystems in China, including energy
flow and nutrient cycle processes, biodiversity of benthic animals, algae,
phytoplankton, microbes, and birds, and trophic relations among primary
producers, consumers, and decomposers. Mangrove physiological ecology and
molecular ecology were also received great attentions (e.g., Ge and Sun 1999).
Influential research groups included the Mangrove Research group of Prof.
Peng Lin at Xiamen University (members: Changyi Lu, Guanghui Lin,
Ronghua Chen, Wenjiao Zheng, Yiming Lin, Wenqing Wang, etc.), the
research group of Prof. Hongda Zhang at Zhongshan University (members:
Guizhu Chen, Shenyu Liao, etc.), the research team led by Yushan Wong and
Nora FY Tam at City University of Hong Kong, and the research team led by
Hanqing Fan at Center for Mangrove Research of Guangxi (Chen et al. 2009).
In 1992, Research Group of Mangrove Ecologists was established within
Ecology Society of China, and the first national symposium on mangrove
ecosystems in China were organized in Beihai, Guangxi in 1993, followed by
the second symposium in Guangzhou in 1996 and third symposium in Xiamen
Fujian in 1996, respectively. These meetings greatly promoted the academic
exchanges among Chinese mangrove ecologists and stimulated Chinese
mangrove research.
(v) Mangrove-global change interaction study period (2001–present): During
recent years, Chinese mangrove researchers paid great deal to possible inter-
actions between mangrove ecosystems and global change. In addition to field
or experimental studies on methane emission and mangrove responses to sea
level rise (e.g., Lu et al. 1999; Ye et al. 2003, 2004), several long-term field
research stations were established, respectively, in Dongzhaigang National
Mangrove Nature Reserve by Bao Liao’s group at Institute of Tropical
Forestry, Chinese Academy of Forestry and in Zhangjiangkou National
Mangrove Nature Reserve and Zhanjiang National Mangrove Nature Reserve
by Guanghui Lin’s group at Xiamen University (now moved to Tsinghua
University). Another threat of global change on Chinese mangrove wetlands
came from the fast spread of Spartina alterniflora and introduction of exotic
Sonneratia apetala, which received intensive studies during recent years (e.g.,
Chen et al. 2008, 2012, 2013; Zhang et al. 2012). However, few studies are
available on the effects of elevated CO2, nitrogen deposition, and land-use
change on mangroves in China (Chen et al. 2009).
92 G. Lin et al.
1.3 Recent Developments in Mangrove Research
Since 1990s, significant amount of books and scientific papers have been published,
indicating the rapid development in this research field (Chen et al. 2009). In total,
there were 1473 papers published in domestic and international journals from 1990
to 2007, according to the records in the Weipu Database of China and the Web of
Science Database (Table 1). Although the number of annual published papers on
mangroves by Chinese scientists increased exponentially from 1990 to 2007, the
proportion of the peer review journal papers written by Chinese scientists to the
world mangrove publications after 2000 was 10.2 %, which was lower than that in
1990s (Table 1).
Between 1990 and 2007, the mangrove research in China focused on a dozen
areas (Fig. 1), which included remote sense and modeling, aquaculture, global
ecology, geography and hydrography, energy flow, morphology and anatomy,
molecular ecology, pharmaceutics and active material exploitation, silviculture,
community and population ecology, biodiversity, pollution ecology, ecophysiol-
ogy, conservation and management. Among them, five research areas increased
most rapidly, including molecular ecology, pollution ecology, biodiversity, con-
servation and management, silviculture and pharmaceutics, and active material
exploitation (Chen et al. 2009).
Extensive researches on mangrove ecosystem structure and function revealed
extremely high biomass and primary production for the mangrove forests in China
(see Chinese literature cited by Chen et al. 2009). Based on these results, a
“Three-High” or “3-H” theory on mangrove communities, i.e., high productivity,
high return ratio, and high decomposition ratio, was later proposed (Lin 1999).
A great deal of field and greenhouse studies pointed to great challenges in selecting
Table 1 Number of papers on China’s mangroves published from 1990 to 2007 (Chen et al.
2009)*
Year No. of No. of Total No. of Proportion of
publications in publications world mangrove China’s SCI
Weipu database in SCI publications SCI publications to
of domestic journals of journals of web of world mangrove
journals in web of science database publications (%)
Mainland China science
database
1990–99 307 104 679 15.3
2000–7 780 282 2752 10.2
Total 1087 386 3431 11.3
(1990–2007)
*
Officially published papers of Mainland China, Hong Kong, Taiwan and Macao mangroves were
included. While the abstracts submitted to conferences and book chapters were not included
Fig. 1 Distribution of published papers in 14 major research areas from 1990 to 2007 (Chen et al.
2009)
suitable tidal flats for the mangrove afforestation efforts in China (Fan and Li 1997;
Mo and Fan 2001). Physiological studies showed that Bruguiera gymnorrhiza had
lower tolerance to soil flooding than K. candel (Ye et al. 2003), while the optimal
tidal inundation period for Kandelia obovata growth and photosynthesis was 2–4 h
per tidal cycle (Chen et al. 2004, 2005; Wang et al. 2011a, b). Studies on mangrove
management and new techniques in silviculture developed rapidly after 2000
(Fig. 1). The exotic Sonneratia apetala was shown to have good tolerance of high
tide and chilling conditions (Liao et al. 2003), which may explain why it was
considered as one of the best mangrove afforestation species and used almost in all
mangrove afforestation projects in China.
Researches on the potentials of mangrove wetlands for wastewater treatments
and pollutant degradation have been also greatly promoted in China since 1990s
(Tam and Wong 1997; Wong et al. 1997), and it was estimated that more than 70 %
of dissolved organic carbon, ammonia, and total Kjeldahl nitrogen; 50 %of inor-
ganic nitrogen and many polycyclic aromatic hydrocarbons could be removed or
degraded by a constructed mangrove wetlands (Zhong et al. 2007; Yang et al.
2008). Furthermore, medicinal applications of Chinese mangrove plants were
known for a long period of time (Lin and Fu 1995), which stimulated great interests
in the studies on the sources, compound structures, and bioactivities of natural
products from mangrove materials after 2000 (Li et al. 2007; Tao et al. 2007; Wu
et al. 2008). However, the direct utilization of mangrove materials for medicine
production will likely reduce mangrove resources and should be avoided. A better
way for this application is to formulate new medicines through chemical synthesis
base on the compound configurations of related compounds found in certain
mangrove materials (Chen et al. 2009).
94 G. Lin et al.
Great progresses have been made in the field of molecular ecology since 2000,
especially in the areas on the geographical distances and species relationships of
Chinese mangroves. The genomic basis of the adaptive evolution and speciation in
mangrove was established (Zhong et al. 2002; Shi et al. 2002, 2005), and several
molecular biomarker, including chloroplast DNA, mitochondrial DNA and
inter-simple sequence repeat, were used to identify the gene flows between South
China Sea and nearby regions (Tan et al. 2005). Molecular markers were also used as
taxonomic evidences for several mangrove species classifications (Sheue et al.
2003). These studies illustrated the values of using modern technologies in resolving
long-standing ecological or evolutionary issues in mangroves (Chen et al. 2009).
Because of the apparent success in mangrove conservation and reforestation during

last two decades, the loss of mangrove habitats was halted or even reversed, with
about two third of mangrove forests being protected in more than 30 natural
reserves of national, provincial and county-level as well as over 2000 ha mangrove
forests being restored in southern China (Chen et al. 2009). However, there are still
many threats to Chinese mangroves, including urban and aquaculture wastewater
discharge, oil pollution, biological invasion, insect outbreak and the influence of
water transportation remain serious threats to mangroves in China. For example,
human destruction of mangrove mud flats or forest canopy may facilitate fast
invasion of S. alterniflora into mangrove forests (Zhang et al. 2012).
A large number of case studies on Chinese mangroves have significantly
increased our understanding of the structure and functions of the mangrove
ecosystems as well as the values of mangrove wetlands over the past two decades
(Chen et al. 2009). However, there are still many areas needed to be strengthened in
the future, including (i) the role of keystone species in determining Chinese man-
grove ecosystems and the relationships between species diversity and ecosystem
functions; (ii) the consequence of large scale sea wall construction on the fate of
mangrove forests in China under rising sea levels in coming decades or century;
(iii) the invasive mechanisms and the efficient measures for controlling biological
invasions caused by exotic species such as S. alterniflora; and (iv) universal
standard system for evaluating such efforts and achievements and enforcement of
such standard system by governmental agencies (such as State Administration of
Forestry), research institutions and local communities, etc.
In conclusion, the population boom and rapid economic developments have
greatly reduced mangrove areas in China since 1980s, leaving only about 23,000 ha
mangroves in Mainland China (Chen et al. 2009). Chinese government has laun-
ched a series of programs to protect mangroves since 1980s and has established
mangrove ecosystems as high-priority areas for improving environmental and living
resource management. During last three decades, a total of 34 natural mangrove
conservation areas have been established, which accounts for 80 % of the total
existing mangroves areas in China. Mangrove restoration areas in Mainland China

accounted for <7 % of the total mangroves areas in 2002. A great deal of research
papers on Chinese mangroves has been published in international journals.
However, more systematic protection strategies and active restoration measure-
ments are still urgently needed in order to preserve these valuable resources in
China.
2 Ecological Issues of Mulberry and Sustainable

Development
Mulberry trees have long been planted solely for silkworm rearing. Its ecological
roles were neglected. In recent years, as people paid more and more attention to the
increasingly deteriorated ecological environment, the roles of mulberry trees in
prevention and control of desertification, control of stony desertification, water and
soil conservation, saline land management, and returning farmland to forestry have
received renewed cognition. Meanwhile, multiple values of mulberry trees as
source of other products other than as silkworm food have also been gradually
explored, leading to an innovation and transformation on management of mulberry
industry. Mulberry ecological industry, its core technologies, and its ecological
governance and industrialization mode in a typical fragile ecological zones, have
become the focuses for academia and industry.
Mulberry trees are good carbon sink plants. It is primarily estimated that 1 mu
mulberry trees could absorb about 4162 kg of CO2 (equivalent to 135 kg of carbon)
and release 3064 kg of oxygen each year. In addition, mulberry leaves have high
endurance and certain absorption and purification function to air pollutants, such as
chlorine, hydrogen fluoride, and sulfur dioxide. Under 6 h of fumigation at
0.79 × 10−6 concentration of sulfur dioxide, 1 kg dry mulberry leaves could absorb
5.7726 g sulfur dioxide and one cubic meter mulberry forest could absorb 20 mL
sulfur dioxide gas each day. Mulberry has strong resistance to sulfur dioxide pol-
lution, being a first-class resistant tree species against sulfur dioxide. Mulberry also
has high resistance to chlorine dominant air pollution. Under such air pollution,
mulberry leaves remained undamaged or area of damage was below 20 % of total
leaf area, and trees grew and developed normally, being a first-class resistant tree
species which can be used as resistant plants. No matter what is considered, mul-
berry is an ideal tree species for city landscape due to its excellent features in tree
form, leaf color, growth vigor, tenacity, and resistance. As a deciduous arbor
species, mulberry is resistant against drought and flood. It can be planted along
riversides, at field edges, on slopes, at garden corners, along roadsides, and in
public parks and other recreation places. It is an excellent tree species for city
afforestation at “four sides”.
96 G. Lin et al.
Mulberry has very strong root system. Its roots form a greatly tangled and
densely network in the soil. Mulberry plantation is highly capable of suppressing
sandstorm and conserving water and soil. According to experiments at Natuo
High-efficiency Agri-ecological Garden, Fuling District of Chongqing City,
anti-erosion of soil under mulberry tree hedgerow was considerably improved. The
aggregation degree and aggregation status of top soil was increased by 25.2 and
50.6 %, respectively than that under traditional planting pattern, while dispersion
rate was lowered by 3.7 %, water stability index was 1.9 times to that of traditional
down slope planting pattern, and the destruction rate of water stable soil aggregates
within the first 10 min was only 57.2 % to that of the traditional planting pattern.
Compared to traditional planting pattern, runoff volume, and runoff coefficient were
reduced by 10.34–20.00 %, erosion was lowered by 55.23–67.84 %, and sand
content of runoff was lowered by 48.60–59.80 %. Under heavy rain, mulberry tree
hedgerow had significant effect in reducing total runoff and enrichment ratio of
nutrients as well.
Mulberry root system occupies a room bigger than aerial part of the plant. In
loess plateau of Shaanxi, China, length of the root system of a 1-year-old mulberry
sapling could reach 1000 m. That of a 10-year-old mulberry tree could reach
10,000 m. The longest taproot was 8 m deep in the soil. The longest lateral root was
over 9 m. The distribution area of underground root system could be 4–5 times to
the projected area of tree canopy. Compared to un-afforested land, water conser-
vation was 20 m3 higher and mud and sand runoff was 3 t less in 1 mu mulberry
field per year. While no other vegetation was present, the agricultural land with
mulberry plantation was capable of stabilizing 3067.8 kg/km2 sand a year. The
erosion ditches were 57 % less, 59.2 % shorter, 61 % narrower, and 64 % shallower
than those in agricultural land without mulberry plantation. After establishment of
ecological mulberry plantation for water and soil conservation on agricultural land
with 40° steep slope, reduction of rainfall runoff could reach 70 % and reduction of
soil erosion could reach 79.7 %.
Mulberry trees have high adaptability to soil. Under soil pH value of 4.5–8.5 and
slat content of 0.2 %, they could still grow normally (Hu and Zhou 2010). Mulberry
trees could grow in barren soil with poor nutrients. In arid or semiarid desert area
with annual rainfall less than 300–600 mm, they could still grow well under natural
condition. Even in desert area of Xinjiang with annual rainfall below 150 mm, they
could also grow and develop normally. Under abundant supply of soil moisture, the
transpiration coefficient of mulberry trees was 350–450. Under drought stress, net
photosynthetic rate, transpiration rate and water utilization efficiency of mulberry
leaves would decline. The transpiration coefficient of some drought resistant mul-
berry varieties in the north of China was as low as 274, being lower than that of
Populus diversifolia (300), Elaeagnus angustifolia (383), seabuckthorn (483), and
poplar (513). Wilting coefficient of northern drought resistant mulberry varieties
was 9, being lower than wild apricot (13), white elm (13), poplar (15) and other tree
species, demonstrating that mulberry could adapt to dry climate. At present, mul-
berry has been used as an ecological tree species for water and soil conservation of
loess plateau in Shaanxi, desert control in Xinjiang, control of stony desertification
in Chongqing, sand control in Beijing, control of stony desertification in Guangxi,

and construction of ecological environment in many other provinces.
Mulberry trees can resist chilling and freezing of −30 °C and endure high
temperature of 40 °C. Dormant mulberry trees have the highest resistance against
chilling. Mulberry trees also have certain resistance against chilling at growth stage.
Investigations showed that adult mulberry trees could survive from an inundation of
20 days during their growth period. This is very rare among other xerophytic plants.
Mulberry trees have very strong endurance to waterlogging in dormant stage.
Mulberry trees in hydro-fluctuation belt of the Three Gorges Reservoir Area which
had undergone inundation of 150 days in over 10 m deep water could still ger-
minate and grow, being a tree species with best growth after emergence of the
hydro-fluctuation belt.
As an ecological tree species, mulberry trees not only bring good ecological benefit
but also yield high economic income. This is a prominent characteristic of mulberry
ecological industry. Mulberry leaf, fruit, stem, and bark can be utilized and easily
integrated with other advantageous industries. All these utilizations are beneficial and
sustainable, having caused wide attentions of researchers at home and abroad.
Mulberry leaf is a kind of forage resource with complete nutritional composition.
Mulberry tea has the effects of calming liver, improving eyesight, and evacuating
wind-heat, being a healthcare drink suitable to all ages. Mulberry fruit is a kind of
good taste, tonic fruit. Mulberry tree has very high medicinal value. It has multiple
medicinal parts. Its root, root bark, leaf, twig, and fruit can all be used as medicine.
In recent years, many clinic application studies have discovered that the chemical
components of mulberry tree have various pharmacological functions, such as
reducing blood sugar level, reducing blood lipid level, lowering blood pressure,
antibacteria, antivirus, antitumor, delaying aging, anti-filariasis, spasmolysis, and
antiulcer, having important clinic application value.
Mulberry trees can also be utilized in food and chemical industries. For examples,
food, food additives, and cosmetics made from mulberry leaf and fruit have been
available in the market. A special edible carbon made from carbonization of mulberry
root and stem has been widely used as food additive. Recombined wood boards and
bars made from mulberry branch can be used to substitute wood logs for making floor
boards, door jambs, and wooden models of buildings, furniture, and parts of wooden
structures. Mulberry branches can substitute miscellaneous woods or cotton seed hulls
for producing various edible fungi such as mushroom, agaric, Ganoderma lucidum,
Flammulina velutipes, and Pleurotus ostreatus. Meanwhile, it is an excellent raw
material for paper making and active carbon production. Mulberry branch has quite
high unit combustion value, being an excellent biomass fuel. Mulberry twigs can be
used to make skin care agent. Mulberry bark fiber has excellent characteristics of
natural fiber, being good raw material for making high rank paper.
Mulberry is a fast-growing woody plant characterized by deep roots, flourish
leaves, high resistance to pollution, high resistance to wind and sand, high resis-
tance to drought, high endurance to salinity, strong adaptability, and easy culti-
vation. The broad ecological adaptability of mulberry to light, temperature, water,
soil, and other natural conditions objectively enables it to have multiple ecological
98 G. Lin et al.
protective functions in water and soil conservation, wind resistance and sand
consolidation, water source preservation, and air refreshment. As a traditional
economic woody plant, mulberry also has great values for comprehensive devel-
opment and utilization. It is an excellent tree species with both ecological and
economic benefits for water and soil conservation and ecological environment
construction in China.
To sum up, mulberry tree has a strong adaptability, strong ecological function,
high economic efficiency, can grow in different ecological fragile areas. At the
meanwhile, the economic use of the diversity for mulberry ecological industry,
make it a good coupling in various kinds of ecological industrial system, to achieve
a sustainable development.
3 Ecosystem Management in the Natural Rubber Industry
3.1 Introduction
Ecosystem management originated from management and utilization of the tradi-

tional forest resources (Christensen et al. 1996). Forest ecosystem management has
formed a robust theoretical framework in China (Liao and Zhao 1999; Yang and
Jiang 2003; Zhou et al. 2007a, b).This management method has been widely rec-
ognized because of growing awareness of environmental degradation and resource
depletion. However, ecosystem management is not only applicable to the man-
agement of natural resources, but has also developed into an integrated resource
management system targeting the structure, function, and processes of sustain-
ability. This approach ensures that ecological services and biological resources have
not been irreversibly consumed due to human activities, and achieves long-term
sustainability (Zhao et al. 2004; Yang et al. 2004).
The natural rubber ecosystem has been degenerated due to a long-term focus on
economic benefits, and a new method for the management of natural rubber is needed.
The natural rubber industry ecosystem is a typical compound ecosystem, and rela-
tionships between ecosystem elements are complex (Jiang and Wang 2004). So its
management can not merely focus on the economic benefits but should take into full
account the coordination of ecological, economic, and social benefits for sustain-
ability, health, and industry development. The ecosystem management provides a new
approach for natural rubber industry ecosystem management. This method can guide
production and management of the natural rubber industry, and this will benefit the
healthy and sustainable development of the natural rubber industry.
Hainan is a tropical island and the second largest island in China, the environ-
ment is good for growing rubber trees. After decades of effort, Hainan has become
the largest production and supply base of natural rubber in China and rubber forest
is one of the largest artificial ecosystems on the island (Jiang and Wang 2004). So
Hainan is selected as an example to present a basic model of natural rubber industry
ecosystem management in this paper.
3.2 Ecosystem Management in the Natural Rubber Industry
Natural rubber industry ecosystem management mainly reflected in the ecological

management engineering of rubber plantation, industrial ecosystem regulation,
ecosystem evaluation, and sustainable management, Eco-management information
(Fig. 2).
3.2.1 Ecological Engineering of Rubber Plantation
Environmental Selection Engineering
Agro-climate analysis and regionalization are most important in selection and

evaluation of rubber planting environments. Two main principles should be fol-
lowed: (i) more than 30 years of meteorological data should be considered, since
the rubber tree is a long-term crop; (ii) meteorological indices of selected planting
sites should be as similar as possible to the place of origin. Temperature and
moisture related to chilling injury are the main indicators for climatic regional-
ization of the rubber tree when selecting appropriate sites.
Ecosystem management
of natural rubber
Ecological Industrial ecosystem Ecosystem evaluation Eco-management
engineering of rubber regulation and sustainable management information
Environmental
Ecosystem service
selection
Structural regulation functional valuation
Variety selection and
cultivate engineering
Ecological footprint
Population accounting and analysis
match engineering Function regulation

Ecological audits
Soil and water
Conservation engineering
Disaster prevention and Institutional

Ecological compensation
mitigation engineering
mechanism establish
Eco-physiological
regulation engineering
Fig. 2 Ecosystem management of natural rubber industry

100 G. Lin et al.
Variety Selection and Cultivate Engineering
Selection and cultivating of desirable rubber clones is one of the main ways for
China’s rubber plantation industry to succeed in a relatively short period of time.
The specific measures include: local field trial and local extension of the clones;
cultivation of multi-clones, planting clones in the line of local conditions; rubber
planting recommendation; and implementation of appropriate agricultural technical
standards and measures.
Population Match Engineering
Many years of scientific research and production practice proves that planting other
crops between the rows in the rubber tree was able to conservation soil and water,
increase soil nutrient content, maintain and improve biological diversity of rubber
plantation, etc., and ultimately achieve ecological, economic, and social benefits.
Common cover crops include cereal, oil crops, potatoes, economic crops, and green
manure crops. The common cropping system includes a one-year, two-year, or
three-year rotation system.
Soil and Water Conservation Engineering
Annual rainfall is high and concentrated in Hainan’s rubber plantations, and hard to
be absorbed completely by the soil in a short time, causing soil erosion. We must
focus on water and soil conservation engineering when the rubber tree planted. The
main technical measures for soil and water conservation engineering in rubber
plantation include: contoured planting on slopes, building benches and terraces on
gentle slopes.
Disaster Prevention and Mitigation Engineering
Many years of rubber planting have shown that shelter-forest can reduce natural
disasters and protect rubber plantations, so it is essential to construct wind belt
network in rubber plantations areas. The protective effect of the shelter-forest belt
depends on the structural configuration and the direction, width and distance
between the shelter-forest.
Eco-physiological Regulation Engineering
Eco-physiological regulation engineering of rubber plantation divided into bio-

logical regulation and chemical regulation, biological regulation mainly include
Intercropping, chemical control including nutritional diagnostic fertilization,
stimulation tapping. Intercropping in rubber plantation has numerous advantages,

such as conserving soil and water, increasing soil nutrient content, maintaining and
improving biodiversity, promoting growth and increasing yield of the rubber tree.
Fertilization management significantly affects growth of the rubber trees, so the
rubber tree needs supplementary fertilizer through nutrient diagnosis. Since stim-
ulated tapping has been practiced, it is very important to good tend and enhance
fertilizer for the rubber trees.
3.2.2 Natural Rubber Industry Ecosystem Regulation
Structural Regulation
Structural regulation of the natural rubber industry ecosystem includes: regulate

spatial structures of the rubber planting acceleration replanting of the old rubber
plantation to adjust time structure of rubber plantation; adjust variety structure of
the rubber planting; make full use of existing factories, and adjust processing layout
of the natural rubber.
Institutional Regulation
Institutional regulation of the nature rubber industry ecosystem includes: establish

scientific and rational structural framework of industrial business entities on the
basis of reforming existing systems; emphasis on building the institutional network,
establish and improve market circulation, finance and social service institutions, and
develop the market of futures transaction and e-commerce transaction; build the
prototype of targeted institutional system model, adjust targets and measures in the
next phase, improve the institutional system of the natural rubber industry.
Functional Regulation
After new tapping system was adopted, physiological processes and material flow
processes changed significantly, and material circulation was significantly faster,
accelerating nutrient depletion of the rubber plantation ecosystem. This forces us to
seek a new functional regulation strategy, and to improve the fertilizer formula and
fertilizing mode. In addition, biological regulation should also adopted, and
strengthen research in ecological adaptability and service function of the
inter-crops, and other areas of the biological regulation should also to research.
102 G. Lin et al.
3.2.3 Ecosystem Evaluation and Sustainable Management
Ecosystem Service Functional Valuation
The artificial forest ecosystem replaced of the natural forest ecosystem conforms to
the law of value transfer in ecosystem service functions. Ecosystem service func-
tional value in economic and social systems will be amplified several times or even
scores of times through input of human labor, material and energy. The total value
of ecosystem service function in rubber plantations in Hainan State Farms are lower
than those of montane rainforest, the lower part of which can be regarded as natural
input and bring about powerful economic and social service function value.
Ecological Footprint Accounting and Analysis
Accounting and analysis of ecological footprint to evaluate regional sustainable

development has become central in ecological economics. The results of accounting
and analysis of the natural rubber industry ecosystem shows that the Hainan State
Farms had a per capita ecological footprint of 0.44038 ha and per capita ecological
capacity of 9.11196 ha, available per capita ecological footprint of 8.01852 ha, per
capita ecological capacity of 7.57814 ha, and had a per capita ecological footprint
surplus of 5.71852 ha. This indicates that the natural rubber industry ecosystem in
Hainan state farms is healthy and sustainable in economic development terms.
Ecological Audits
Ecological audits reflect relationships between the economic growth of natural

rubber industry with the resource environment and social progress. Research shows
that natural rubber plantations have strong ecological service functions in soil
conservation, water saving, fixing of carbon dioxide, and the release of oxygen. The
natural rubber industry in Hainan State Farms mainly relies on energy input and
affected by the environment at lower levels, and the ratio of the energy input to
currency is lower than in other areas of the country. This is to say that the natural
rubber industry has relatively good economic benefits (Yu 2007).
Ecological Compensation Mechanism Establish
Ecological compensation mechanism is environmental economic policies that

integrated use of administrative and market instruments to adjusting ecological
protection and construction interests. The ecological compensation mechanism has
begun to explore in Hainan and Yunnan rubber planting area. The fees of the
ecological compensation through government to engage in the production of rubber
processing enterprises imposed was used to transformation low-yielding rubber
plantation, and to compensate for the environment losses in rubber production

process, regulate coordination of the natural rubber industry development and
ecological environment.
4 Conclusion and Discussion
Ecosystem management research has mainly focused on the theoretical study in

ecological economics and policy. Little practical study into the specific technical
and management measures has been done. According to the actual situation of
natural rubber industry ecosystem in Hainan, we initially explored a set of natural
rubber industry ecosystem management approaches and methods experienced many
years of effort. However, ecosystem management of natural rubber plantations is a
huge systematic project involving ecological, economic and social factors,
long-term and large-scale substitution of natural vegetation with rubber plantations
and change of global climate will give some impact on the structure, function and
ecological process of the regional ecosystem, and the regional ecological envi-
ronment will also evolved. Therefore, we need to carry out long-term monitoring
and basic experiments of the ecological environment and explore the effective
management of natural rubber industry ecosystem to promote the coordination and
long-term sustainable development of the natural rubber industry.
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Part II
Ecosystem Management
Chapter 6
Classification and Research Methods
of Ecosystem
Jixi Gao, Shihai Lv, Zhirong Zheng, Junhui Liu, Changxin Zou,
Zhaoping Yang, Liding Chen, Bojie Fu, Changhong Su
and Wenhua Li
Abstract The vast territory, diverse climate, rich landscape types, the numerous
lakes, and vast sea in the east and south, relatively superior natural, historical and
geographical conditions from tertiary and quaternary, make China one of the richest
countries in ecosystem in the world. In this chapter, our topic include the main
types of ecological system, crisscross band of ecological system, ecological secu-
rity, ecological function area division, landscape pattern, ecological process,
microbial ecology, and so on. Because rapid population growth and large-scale
rapid urbanization process bring huge pressure on resources and environment,
combined with the impact from the global climate warming and unreasonable
land-use activities, ecological security has become a key focus areas of national
security and sustainable development strategy. At present China still has not formed
a unified evaluation index system and standard of evaluation methods to evaluate
ecological security, and the exact meaning of ecological security is a lack of unified
understanding. We still use static evaluation in most work at present, short in
researching dynamic change, and the evolution trend of ecological security.
Ecological security properties, assessment scales of time and space of theoretical
J. Gao C. Zou Z. Yang

Nanjing Institute of Environmental Sciences, Ministry of Environmental Protection of China,
S. Lv Z. Zheng J. Liu
State Environmental Protection Key Laboratory of Regional Eco-Process and Function
Assessment, Chinese Research Academy of Environmental Sciences (CRAES),
L. Chen B. Fu C. Su
Research Center for Eco-Environmental Sciences, Chinese Academy of Sciences,
W. Li (&)

DOI 10.1007/978-3-662-48376-3_6
110 J. Gao et al.
basis, evaluation index system, and evaluation method are an important part of the
study of ecology in China at present. To develop regional ecological function
zoning plan, clarifying the main ecological problems of different ecological func-
tion areas has very important practical significance. Ecological regionalization has
become the current macro and ecosystem ecology research hot spot. Using the
theory of modern ecology, with full consideration regional ecological processes,
ecosystem service functions, and ecological sensitivity to human activity intensity
relationship on the basis of comprehensive functional zone is one of the ecology
theories in practice. Ecological function regionalization is based on partition
method and consolidation method. The relationship between landscape patterns and
ecological processes and scale features is complex as landscape itself, and the
simple concept of causality is not enough for quantitative research. The main
research methods include landscape pattern index analysis, spatial autocorrelation
analysis, and landscape model. The research contents involved in the evolution of
the landscape pattern and drive process.

Keywords Classification of ecotones Forest–steppe ecotone Farming–pastoral
ecotone Desert–oasis ecotone
Geographical distribution Forest–steppe

Desert–oasis ecotone Landscape pattern analysis
1 Typical Ecotones in China
1.1 Introduction
Ecotone refers to a transition area between two biomes or two different ecosystems
(Odum 1971). Since the ecotone was first proposed by Clements in 1905, many
have contributed to ecotone research and theory. A focus on ecotones has also
played an important role in protecting ecological environments and enhancing
industrial and agricultural development. Since the 1970s, especially, the study of
the ecological ecotone has increasingly gained notoriety as an important facet of
ecological research.
The ecotone possesses many unique natural attributes such as the distinctiveness
of edge effects (Clements 1905; Hardt 1989), noncontinuity of vegetation distri-
bution, heterogeneity in landscape structure (Walker 1979, 1985), and the fragility
of the ecological environment. These attributes guide the study of ecological eco-
tones and play an important and irreplaceable role in the exploration of natural
ecological laws and protection of the ecological environment. For these reasons, the
ecotone has increasingly received attention from scientists and governments (Di
Casstri and Hansen 1992; Kevin and Thomas 2006; Temuulen 2005; Wang et al.
2000).
6 Classification and Research Methods of Ecosystem 111
China has a vast territory with a complex and changing geology, climate, and
vegetation, and is consequently home to a variety of ecological ecotones. This
variety is witnessed in breeds, scales, and sizes. This vast array has not only
allowed for a solid foundation of scientific research but has also enhanced China’s
economic development, social development, and cultural diversity conservation.
The rational selection of a typical ecological ecotone, the in-depth study of its
spatial distribution laws, characteristics of natural environment, as well as the
fragility of the ecological environment will lead to a comprehensive understanding
of the evolutionary patterns of ecotones. This study will play a significant role in
protecting regional ecological environments and optimizing economic structures.
1.2 Classification and Basic Characteristics of Ecotones
1.2.1 Classification of Ecotones
According to the geographical distribution and ecological features of China’s

large-scale ecotone and the national land type classification standard, this thesis
uses system ecology, agricultural climatology, and landscape ecology theory to
establish “The trinity index system” including land-use types, natural climate
characteristics, and agricultural economic development. Based on this index sys-
tem, we define the spatial distribution of typical ecotones in China (Table 1).
In accordance with the professional division standards, the indicators for national
ecological ecotone, and the basic characteristics of the fragile ecological environ-
ment, we adopted techniques such as remote satellite sensing, satellite interpreta-
tion, geographic information system, and graphics overlay to classify ecotones in
China into five different classes, eighteen sub-ecotones, and a number of units. We
classify localized ecotones if provided with regional vegetation types, characteris-
tics of plant communities, and other detailed data. The classification only applies to
the ecological transition zone in the ecosystem scale.
1.2.2 Basic Characteristics
Forest–Steppe Ecotone in Northern China
The distribution of the forest–steppe ecotone is concentrated in the semiarid and

sub-humid temperate zone of northern China, which refers to the area among the
outer Daxinganling Forest, south of the Yanshan Mountain, west of the Bashang
Plateau, and part of the Loess Plateau. This area can be roughly divided into the
northern temperate forest–steppe ecotone and the northern warm-temperate forest–
steppe ecotone.
112 J. Gao et al.
Table 1 The spatial definition indices of typical ecotones in China

Ecotone types Land-use patterns Natural climate Agricultural economy
characteristics development
Forest–steppe Forest and grassland Annual Animal husbandry
ecotone in mosaic distribution, precipitation 350– accounted for more
Northern China and woodland area 500 mm, aridity than 60 % of
ratio is less than 30 % 0.6–1.0 agricultural economy
Farming–pastoral Dominated by grass, Annual Farming herd
ecotone in and farmland area less precipitation 300– coexists, cultivate
Northern China than 30 % 450 mm, aridity industry accounted for
1.0–2.0 more than 60 % of
agricultural economy
Desert–oasis Dominated by desert, Annual Farming herd
ecotone in oasis distribution was precipitation coexists, crop
Northwest China mosaic and the area is <150 mm, aridity occupies 60 % above
less than 30 % >4.0
The Chuan-dian Altitude 2500–4500 m Annual Agriculture forestry
farming–pastoral in southwest mountain precipitation animal husbandry to
ecotone in area, vertical >1000 mm, above coexist, animal
Southwest China distribution of forest 10 °C accumulated husbandry, animal
and grassland, ravine temperature 500– husbandry accounted
area of farmland area 4000 for more than 30 % of
less than 30 % agricultural economy
Eastern Eastern Annual Fishing accounted for
marine-terrestrial marine-terrestrial precipitation more than 60 % of
interlaced zone interlaced zone, there >800 mm, across agricultural economy
is significant tidal temperate,
wetland subtropical and
tropical
Farming–Pastoral Ecotone in Northern China
We redefined the exact location of the farming–pastoral ecotone in northern China

from the two perspectives of land-use and climatic elements. The results show that
climate changes are very obvious in the farming–pastoral ecotone in northern
China, which covers a total area of 621,000 km2, and spans over 10° in latitude and
20° in longitude. Located in 154 counties (autonomous counties and county-level
city), it is shared by nine provinces or autonomous regions (banners, cities). The
boundaries of land use have been extended frequently, growing to include an
additional 23,000 km2 between 1986 and 2000 (Fig. 1).
Desert–Oasis Ecotone in Northwest China
The distribution region of desert–oasis ecotone in northwest China mainly includes

the outer Hetao Plain, the west of the Helan Mountain, Hexi Corridor, the north and
south of Tianshan Mountains, Wushaoling, Qilian Mountains, Altun Mountains,
Fig. 1 The boundary changes of the land use in the farming–pastoral ecotone in northern China
and the large marginal areas in the north of the Kunlun Mountains. Such areas are
located in Inner Mongolia, Gansu, Xinjiang Uygur Autonomous Region, Qinghai,
and Ningxia Autonomous Region. The desert–oasis ecotone in China has the fol-
lowing characteristics: circular or horseshoe shape, dominated by desert vegetation,
simple structure, extremely fragile environment, etc. Its area is about 1490,000 km2,
accounted for about 13.5 % of total area.
The Chuan-Dian Farming–Pastoral Ecotone in Southwest China
We have defined the Chuan-dian farming–pastoral ecotone in southwest China

following three aspects of agro-climate, agricultural economy, and land use. The
results show that the elevation of the ecotone ranges from 2500–2800 to 4200–
4500 m, the accumulated temperature isocline above 10 °C ranges from 500 to
4000 °C, and the average temperature of the hottest period is above 10 °C, while the
average temperature of the coldest period is above -10 °C. Based on county-level
administrative boundaries, the ecotone is located in a total of 40 county-level
administrative units including Ganzi County, Aba County, and Liangshan County
in Sichuan, Diqing County, Nujiang County, and Lijiang County, and covers an
area of about 280,000 km2.
114 J. Gao et al.
Eastern Marine-Terrestrial Interlaced Zone
The large-scale marine-terrestrial interlaced zone is the junction between terrestrial

ecosystems and marine ecosystem, located in eastern China. It is a sensitive zone
and transition zone. The total length of the Chinese eastern coastline, comprising
the main body of the marine-terrestrial interlaced zone, is 32,000 km, of which
18,000 km is mainland coastline and 14,000 km is island coastline. The total area of
the marine-terrestrial interlaced zone is approximately 100,000 km2.
Based on existing problems such as excessive deforestation, a northward moving

tree line, grassland degradation, and biodiversity loss in the northern forest–steppe
ecotone, effective actions are needed. This action may include strengthening
regional ecological construction and building a reasonable vegetation protection
system and environmentally friendly industrial system.
In the northern farming–pastoral ecotone, attention should be paid to prevent
land boundaries from spreading to grasslands. This spread is due to over-grazing,
over-cultivation, and land desertification, and should be avoided wherever possible.
In addition, more effort should be directed toward the construction of ecological
projects and the establishment of farming–pastoral industry structure, with specific
focus on the maintenance of ecological balance. In so doing, hazards from sand-
storms may be effectively curbed and a state ecological protective screen built.
As for ecosystem deterioration caused by climate acidification, and
over-exploitation of soil and water resources in the northwestern desert–oasis
ecotone, the strategy of “determining production by water” should be implemented.
An industrial structure and development mode based on the assessment of water
resources should be established in order to recover natural vegetation. This action
will help to maintain ecological security in the oasis.
In the Chuan-dian farming–pastoral zone in southwest China, ecology is rather
fragile and people live on little economic resources. Since soil erosion has been
caused mostly by human activities, including farming, afforestation, and grazing,
programs should be established to ensure that human activity is suited to local
conditions. Advantage-oriented ecological industries should be encouraged and a
mutually beneficial relationship between environment protection and economic
development is required.
2 Eco-environmental Security Assessment
Ecological and environmental problems have become more and more serious and
the international society has attached high importance to eco-environmental secu-
rity. To ensure regional eco-environmental security and to support sustainable
development, it is urgent need to build ecological security assessment system, early

warning system, and environmental management system. Eco-environmental
security is also called environmental security. General concept of
eco-environmental security means a complex ecosystems including resource
security, environmental security, biological security, and ecosystem security.
Limited concept of eco-environmental security means natural (seminatural)
ecosystem health and integrity.
The concept of the eco-environmental security is rich in content. The evaluation
of eco-environmental security has a variety of scales which vary from individual,
population, community, ecosystem, landscape, and catchment to the whole earth.
From the perspective of nature protection, the objective of eco-environmental
security evaluation varies from single ecosystem, complex ecosystem, region,
watershed ecosystem, and eco-region (biogeographic region) to the ecosphere.
From the perspective of social system and development, the objective of
eco-environmental security evaluation varies from village, town, county, city,
country, and multi-countries, to the whole world, which restricted by administrative
boundaries.
The evaluation of eco-environmental security is confide in a spatial scale or
concentrated on natural–social-economic complex system. Based on the theories of
ecosystem hazard, ecosystem health, landscape ecology, and sustainable develop-
ment, the purpose of eco-environmental security evaluation is to realize sustainable
development, identify the eco-environmental security status, and predict and control
the risk with the trend. The selection of evaluation indexes system complies with
the principles of science, integrity, layer-divisibility, easy-to-operation, and
dynamic. General steps of eco-environmental evaluation are identifying the target
(region), building evaluation indexes system, establishing the standards of each
index, selecting the evaluation model, generating the result, analyzing, and dis-
cussing the process and conclusion.
Theoretically, the eco-environmental security is evaluated by various models
such as mathematic model, ecological model, landscape model, and digital terrain
model. The common used models are ecological carrying capacity-based model,
pressure-state-response assessment model, eco-environment management model,
and risk prevention/control model. The followings are summaries of these models:
1. Ecological carrying capacity refers to the ecological system of self-maintenance
and self-adjustment. It also means the capability of resource storage and envi-
ronmental containment that supporting the economic growth. The concept of
ecological carrying capacity contains three components, namely, resource car-
rying capacity, environment carrying capacity, and ecological elasticity. The
assessment of ecological carrying capacity includes three aspects. First, the
environmental pressure should not surpass the ecological edacity. Second, the
demand of economic development should not surpass the provision of resour-
ces. Third, the discharge of waste should not surpass the decomposition of
pollutants.
116 J. Gao et al.
2. In the model of pressure-state-response assessment, pressure means the unsus-

tainable human activities including the consumption discharge of wastage or any
other related factors in economic system, state reflects the situation of each
economic and environmental sub-systems, and response means the effective
measures or investment taken for sustainable development and pollutant control.
3. The eco-environment management concentrates on the ecosystem structure, the
process of succession, and the function of ecological service. To realize sus-
tainable development, the targets of eco-environment management are to pro-
tect, to restore, and to rebuild the ecosystem. Measures of protection, restoration,
and reconstruction should be made in order to keep the equilibrium of various
types of ecosystems.
4. Generally, ecological risk assessment is a special evaluation in the scopes of
biological engineering, ecological invasion, and natural/human disaster. In a
regional scale, ecological risk assessment contains the describing and assessing
the consequence of adverse effects such as environment pollution and
natural/human disaster. Generally, the possibility of natural/human disasters and
environmental pollution and the extent of the adverse influences on ecosystem
(or its components) are the objectives of the ecological risk assessment.
The evaluation of eco-environment security is complicated. Up to now, sys-
tematic evaluation methods and theories have not established. Same indexes could
not be applied to another region and determining the threshold of ecosystem
security meets difficulties. Moreover, the eco-environmental security observation
system and management platform have not established, which retard the disaster
prediction and pollution control. In future, the construction of observation system
and management platform needs to be strengthened.
3 Landscape Ecological Studies in China
3.1 Introduction
Landscape ecology grows rapidly since it was introduced into China in the early
1980s (Fu 1983; Xiao 1991). The scientists engaging in landscape ecological
studies have increased from tens to thousands in past three decades. Until today,
seven national conferences on landscape ecology have been organized since 1989
when the first national conference was held in Shenyang of northeastern China
(Xiao 1991). In addition, two international conferences on landscape ecological
studies circum-pacific regions and the 8th World Congress of IALE (2011) were
organized. After 30 years growth, a theoretical framework on landscape ecological
study is gradually developed in China by digesting the academic achievements on
landscape ecological studies of both North-America and Europe, and considering
the specialty of landscape in China.
3.2 Recent Progresses on Landscape Ecological Studies

in China
Although many achievements on landscape ecological studies were made in China,

most of them are the consequences of following the leading groups in the world.
The main academic merits made in past decade in China include the following
fields: landscape pattern change and its multiple scale effects (Li et al. 2006, 2007),
landscape pattern analysis and optimization of landscape eco-network (Cheng et al.
2009; Guo et al. 2010), allocation of ecosystem service land and urban eco-security
pattern design (Yu et al. 2009a, b), forest landscape modeling and ecosystem
management for insect pest and fire control (Chang et al. 2008; Liu et al. 2009),
source-sink landscape pattern analysis and soil erosion risk assessment (Chen et al.
2008a, 2009), landscape pattern index and soil erosion risk identification at multiple
scales (Fu et al. 2006, 2013), etc.
3.2.1 Landscape Pattern Change and Its Multiple Scale Effects

in the Loess Plateau
Landscape change and its driving force is the hot topic in landscape ecological
studies, and many works are conducted in China (Chen et al. 2008b; Fu et al. 2008).
An interested work was completed by Zhang et al. (2012) who investigate
land-use/land-cover change in Yan’an region of northern loess plateau using survey
data on cropland, orchard, woodland, pasture land, and residential land in 1980,
1986, 1996, 2000, and 2001. In this study, the index describing the dynamic degree
of land-use change was employed to explore the characteristics of
land-use/land-cover change. In detail, the characteristics of land-use/land-cover
change in Yan’an region at different periods of 1980–1986, 1986–1996, 1996–
2000, and 2000–2001 was examined, as well as the features of driving force of
landscape pattern evolution in spatial scale. It was found that the index of dynamic
degree of land-use change is becoming smaller as the spatial scale increase.
Furthermore, distinct temporal scale effects are presented on land-use/land-cover
change besides the spatial scale effects. Generally, the land-use types with an annual
growth period such as cropland and pasture grassland have the rule that the index of
dynamic degree is increased with temporal scale becoming smaller. However, the
index of dynamic degree of the other land-use types, for example, woodland,
orchard, and residential land, is varied, and the peak index of dynamic degree
appears at the temporal scale of 5 years. It becomes smaller with the temporal scale
increases or decreases.
Usually, landscape pattern is the consequence of the driving forces composed of
natural and socio-economic factors. It was found that the natural factors may
function predominantly on landscape pattern in long term or large scale, and the
response is slow and uncertain. However, the socio-economic factors are the main
118 J. Gao et al.
driving force of landscape change and may affect landscape pattern by determining
the trend of landscape change.
In the loess plateau, land-use/land-cover change has distinct spatial scale effects,
and the driving force in the large scale is normally the combined impacts of all
driving forces in the small scale. In addition to the effects of spatial scale, clear
effects of temporal scales are also displayed on the driving force of landscape
pattern change. In short period, the effects of natural factors on landscape pattern
are slight; however, it may contribute more in the long term.
3.2.2 Landscape Pattern Analysis and Optimization of Landscape

Eco-Network
To explore methodology and means for landscape pattern optimization in large

scale by considering the effects of landscape pattern on ecological processes and
ecosystem services is highly addressed in China and some achievements were
realized.
Landscape concentricity and eco-network optimization. To build a
high-connectivity, landscape eco-network is a useful method in biodiversity con-
servation, ecosystem management, and environmental hazard control (Fu et al.
2008). Landscape planning and management thus received many attentions from
landscape ecologists and planners. However, how to seek out the key points in a
heterogeneous landscape is critical for landscape eco-network planning and man-
agement. For such purpose, an index called landscape concentricity was proposed
by Teng et al. (2010) based on graph theory and network analysis principles. The
significance of landscape elements in the heterogeneous landscape and ecological
processes are emphasized in the model. The index thus can be applied in landscape
eco-network planning and management for biodiversity conservation and landscape
sustainability.
Urban expansion model and optimization in spatial scale. The spatial models of
urban expansion and eco-network optimization are important topics in landscape
ecological studies. It aims to establish a sustainable urban landscape planning based
on spatial model of landscape eco-network. In such purpose, Wang and Liu (2009)
classified the urban landscape eco-network into four types after investigating the
features of landscape pattern and ecosystem service land in the urban area of China,
i.e., Wetland-scenery-woodland landscape pattern, Woodland-road-dwelling land-
scape pattern, Plain-city-farm-shrub-river landscape pattern, and
Island-city-green-land-road landscape pattern. And the features, functions, and
ecological significance of these landscape patterns were further elaborated. The
result can be used as guidance to urban planning and urban ecosystem management.
Landscape planning and nature reserve network design. The relationship
between landscape pattern and animal movement is one of important research fields
in landscape ecology. Many studies indicate that landscape pattern may produce
crucial impacts on animal movement, as well as biodiversity conservation. Thus, to
study the effects of landscape pattern on the movement and conservation of
endangered species is highlighted. However, it sometimes may bring adverse effects

on biodiversity conservation due to inappropriate distribution of nature reserves,
particularly in spatial allocation from large scale. Thus to establish a fit landscape
network from large scale is required. Many Chinese landscape scientists have
conducted researches addressing such issues. For example, Xu et al. (2010) pro-
posed an optimal network of nature reserves in the purpose of protecting Giant
Panda in Qinling mountainous areas based on habitat suitability evaluation and
accessibility analysis. Based on the network planning, two new nature reserves and
three habitat corridors are to be built for a safe pattern for Giant Panda living in the
concerned regions. Zhang et al. (2011) delineated out the most crucial areas to be
protected for biodiversity conservation in Hainan Island by habitat suitability
assessment as for 140 endangered animal species.
3.2.3 Ecosystem Service Land and Landscape Security Design
The issues such as extremely crowed living, traffic congestion, water shortage and
pollution, ecosystem degradation, etc., due to rapid urban expansion, are becoming
social hot topics, especially in the developing countries. How to solve the practical
problems appeared during urbanization by integrating landscape pattern analysis
has been paid much attention in China (Li et al. 2011b; Yu et al. 2009a, b). One of
them is about ecosystem service land and landscape eco-security design.
Ecosystem service land and urban security pattern. How to determine the
minimum quota of land to be used for ecosystem services in the metropolitan area is
of high significance, particularly in the case of reducing land resource and
increasing demand on land resource due to economic development. Yu et al.
(2009a, b) proposed a fundamental and safe landscape pattern for sustainable
development in Beijing using landscape eco-security pattern theory and GIS
techniques. In this study, a comprehensive and safe landscape pattern of Beijing at
minimum level is given by considering the effects of urban landscape pattern on
hydrological process, environmental hazards, biodiversity, and ecosystem services
such as cultural landscape protection and recreation for local people. As well, the
environmental effects of urban expansion were further investigated.
Urban expansion based on the distribution of ecosystem service land. The level
of landscape eco-security pattern of Nanchong of Sichuan in southwestern China
was estimated by Li et al. (2011a) after taking landform, flooding, soil erosion,
vegetation pattern, geological hazards, and biodiversity conservation using RS/GIS
techniques. Ecological corridors and critical landscape points were determined
using minimum distance resistance model in the purpose of ensuring urban
eco-security by reasonable urban expansion both in area and spatial configuration.
An index system for landscape eco-security evaluation was set up by Song and Cao
(2010) by integrating landscape pattern, function, vitality, ecological sensitivity,
and landscape stress. And landscape eco-security level of Beijing in 1988 and 2004
was compared.
120 J. Gao et al.
3.2.4 Forest Landscape Modeling for Pest/Fire Control
How to control fire/pest burst in forest area is a worldly concerned issue. As for this
topic, many researches were carried out in northeastern China, particularly in the
Daxinganling mountainous areas.
Dynamic modeling for forest landscape management and fire disturbance
control. An important work conducted by Chang et al. (2008) is that a comparison
on spatial pattern of fire frequency, burned area, intensity, and patch of forest fires
under two scenarios in Huzhong region of Daxinganling region was explored using
LANDIS model. Another research finished by Liu et al. (2009) is modeling the
effects of 10 scenarios on treatment of combustible under forest, including five
human involved treatments and five combined treatments of human and natural
disturbance. The long-term effects of such treatments were compared using
LANDIS model in term of burned area and fire intensity.
Dynamic modeling of forest landscape and pest burst control. As the most two
important disturbances in forest evolution, fire and insect pest, have been paid much
attentions in forest ecosystem management, however, how to control them in
heterogeneous forest landscape is still not clear. Chen et al. (2011) simulate the
interaction of fire and insect pest in forest evolution in future 300 years using
LANDIS model. It was found that fire frequency of forest may be reduced in the
early and middle stage of forest evolution due to combustible removal with the
occurrence of frequent insect pest in the forest landscape. It helps to keep a stable
and healthy forest landscape at low-level pest occurrence.
3.2.5 Location-Weighted Landscape Index and Soil Erosion Risk

Assessment
How to integrate landscape pattern analysis with ecological process is a key and
tough work for landscape ecologists, and has been paid much attention in China
(Chen et al. 2008; Wu et al. 2012). The construction of the landscape index
Location-Weighted Landscape-contract Index (IWLI) may give a new concept on
this field in landscape ecology.
Location-weighted landscape contract index (IWLI). Understanding the rela-
tionship between landscape patterns and ecological processes is a central yet
challenging research theme in landscape ecology. Over the past decades, many
landscape metrics were proposed but few of them directly incorporated ecological
processes. The landscape index, i.e., location-weighted landscape-contract index, is
developed by Chen et al. (2008a) to link landscape pattern analysis with the eco-
logical processes such as soil erosion or nutrient loss. In this index, relative dis-
tance, relative elevation, and slope of landscape units located were employed to
indicate the importance of landscape to the targeted ecological process at the outlet
in watershed scale. It can be used to characterize the contribution of landscape
pattern to a targeted ecological process (e.g., nutrient losses) with respect to a
specific monitoring point in a watershed. In 1999, it was improved by Chen et al.

(2009) as
," #
X
m X
m X
n
LWLI ¼ Asource i Wi APi Asource i Wi APi þ Asink j Wj APj
i¼1 i¼1 j¼1
where Asource i is the area of the ith source landscape type versus the distance, the
relative elevation, or the slope gradient; and Asink j represents the area of the jth sink
landscape type versus the distance, the relative elevation, or the slope gradient. Wi
and Wj are the weights of the ith source and the jth sink landscape type, respec-
tively; m is the number of source landscape types, while n is the number of sink
landscape types; APi and APj are the area percentages of the ith source landscape
type and the jth sink landscape type in a watershed, respectively. In the equation,
when function of source and sink landscape is in balance, the value of LWLI would
be 0.5. This landscape pattern in a watershed would produce little nutrient losses or
soil erosion.
The highlighted significance of IWLI foundation is the integration of spatial
pattern of landscape types (Asource) using Lorenz Curve, the quantitative attributes
of landscape types (APi) in terms of landscape percentage, and the importance of
landscape types at a watershed scale by weight assigning. It can be employed to
compare the effects of landscape pattern on ecological processes.
Source-Sink landscape pattern analysis and soil erosion risk assessment. After
corrected by Xu (2009) with considering the contribution of rainfall, landforms, and
soil erosivity to soil erosion, LWLI can be used to estimate the risk of soil erosion
or nutrient loss at watershed scale by calculating IWLI value. It can also be used to
determine which landscape pattern is better in a watershed by comparing LWLI
index at different periods, or be used to determine which watershed is the potential
area on soil erosion by comparing LWLI index among different watersheds in same
period. In general, the bigger the LWLI index in a watershed, the higher the risk of
soil erosion occurs. Apart from evaluating the potential risk of nutrient losses or soil
erosion, LWLI can be used to characterize the effects of landscape pattern on
ecological processes, such as meta-population and wildlife conservation and urban
heat island effect.
3.2.6 Landscape Pattern Index for Soil Erosion Assessment

at Multiple Scales
To quantify the relationship between landscape pattern and soil erosion is a high-
lighted issue in landscape ecological studies (Fu et al. 2009, 2013). However, how
to define the effect of landscape pattern on soil erosion in different scales is a hard
work. In China, a framework on evaluating soil erosion risk at multiple scales was
proposed by Fu et al. (2006) at considering the effects of land use, terrain, soil, and
rainfall on soil erosion and using scale–pattern–process principles in landscape
122 J. Gao et al.
ecology. The scales involved include slope transact, small watershed, and regional
scale. This model can be used not only in exploring the relationship between
landscape pattern and soil erosion, but also in identifying the potential risk of soil
erosion in different landscape patterns. It is a useful tool to land-use planners and
decision-makers on sustainable land-use planning and ecosystem restoration.
3.2.7 Rural Landscape Analysis and Environmental Conservation
Landscape analysis and environmental conservation in the rural areas of China is an

important field for landscape ecologists, and many researches have been conducted.
Agricultural landscape pattern in Beijing at both patch and landscape level was
investigated by Zhao and Zhang (2008) using Fragstats3.3 based on land-use map
of 1993 and 2004. Based on the results, four functional zones in Beijing, i.e., urban
agro-environmental regulation area, suburb agro-environmental protection area,
plain agro-production aggrandized area, and hilly agro-ecosystem service main-
taining area, and suggestions on landscape pattern optimization in each area were
given. Moreover, a comprehensive agro-landscape quality assessment index was set
up by Pan et al. (2009) based on field survey and expert knowledge by considering
the aesthetic values of agro-landscape, wildness, openness, diversity, pollution risk,
regularity, etc. The quality and spatial difference of agro-landscape in Beijing was
addressed based on land-use data and remote sensing images.
3.2.8 Landscape Health Assessment
As a new trend of ecosystem health study, landscape health focuses on the health
value in landscape scale. An important indicator of landscape health is to see
whether the landscape pattern is sustainable. A case study carried out by Li et al.
(2010) is about the spatial difference of landscape health in Xixi Wetland Park in
Hangzhou of Jiangsu Province using an index developed based on socio-economic
factors and ecosystem protection. Another case study conducted by Shuo et al.
(2011) is about the evaluation of the response of ecosystem services to landscape
change in Liaohe River delta using remote sensing images of 1990–2010.
3.2.9 Oasis Landscape and Sustainable Development
Oasis landscape pattern analysis and function dynamic are also concerned in China.
The hydrological response to the landscape pattern change in the Oasis area in
northwestern China has been paid a lot attention. The important works mainly cover
the following areas: (1) landscape change in oasis area and its driving force (Li et al.
2007). Generally, both natural and human affecting factors that driving landscape
change were addressed using remote sensing images and GIS techniques. Recently,
the effects of snow smelting due to global warming and water shortage due to
human activity increase in the upper river on landscape health are becoming a hot
topic; (2) Oasis landscape stability assessment and regional eco-security. Oasis
landscape stability is closely related to eco-security of oasis (Li et al. 2007). Many
researches have been conducted on landscape stability in oasis region using the
methodology with weight assigning by experts to the proposed index system;
(3) Landscape change and hydro-ecological balance in oasis area. Oasis landscape
in the lower river and the water source in the upper river compose a complex system
in the arid regions. However, the change in landscape pattern will result in
hydrological reaction in the drainage area and further water shortage, and thus the
hydro-ecological cycle and balance in regional scale are to be explored.
3.2.10 Landscape Fragmentation and Biodiversity Conservation
In landscape fragmentation and biodiversity conservation, a new research field

concerned by landscape ecologists is the hereditary effects of landscape fragmen-
tation due to natural or human disturbance. The spatial variation of gene diversity
was affected by landscape pattern, as well as the gene flow between
meta-population using landscape pattern index (Shen and Ji 2010). As for the plant
meta-population due to deforest, Jian et al. (2008) found that the pattern of
hereditary structure is determined by landscape fragmentation and gene flow among
different populations. Therefore, to investigate the response of gene flow to land-
scape fragmentation requires to study further the reproductive strategy (Wang et al.
2009).
3.3 Conclusions and Remarks
By integrating the advantages of both North-American landscape ecological studies

and European landscape ecological studies, a Chinese framework on landscape
ecological studies is gradually developed. Some original works both in theories and
methodologies have been done in China after the concept of landscape ecology
introduced into China since 1980s. They are mainly focused on the following fields:
multiple scale effects of landscape change, landscape eco-network design for
wildlife conservation, and spatial arrangement of ecosystem service land for urban
eco-security. Further, seeking new landscape index is also addressed, such as LWLI
index (location-weighted landscape contrast index) by integrating landscape pattern
and ecological processes, traverse-slope landscape pattern index, or
longitudinal-slope landscape pattern index (You and Li 2005), and the
multiple-scale soil erosion index based on the correlation between landscape pattern
and soil erosion(Fu et al. 2006). All the above-mentioned indexes are new and
valuable metrics to be employed in describing the relationship between landscape
pattern and ecological processes (Chen et al. 2008b). Although many achievements
are made on landscape ecological studies in China, there is still much work to be
124 J. Gao et al.
done. The highly geographical difference both in cultural and human-nature cou-
pling relationship resulted from long history of human activities and complicated
environmental conditions in China call for a methodology to seek a solution to the
increasing environmental issues (Jiao et al. 2012; Qin et al. 2010). Additionally, the
intensity, diversity, complexity, and typicality of the interaction between natural
ecosystem and social system in China are quite different from that in the other
countries. All above-said provides a chance for Chinese landscape ecologists for
acquiring much more achievements, and also raise a challenge for them to resolve
all the problems faced to realize sustainable and healthy landscape in China.
4 Coupling Analysis of Landscape Pattern and Ecological

Processes
4.1 Introduction
Landscape ecology has been applied widely for its theories and approaches. The
link between landscape patterns and ecological processes forms the foundation of
landscape ecology, understanding which is key to further promote the study of
landscape ecology (Fu et al. 2001; Wu 2007; Wu and Hobbs 2002). Exploration of
the coupling relation between landscape pattern and ecological processes is con-
ducive to understandings of ecosystem function mechanisms and prudent land-use
policies.
4.2 Quantification of Landscape Pattern
Landscape pattern metrics, spatial statistical analysis, and dynamic models constitute
the three types of primary methods for quantifying landscape patterns. Landscape
pattern metrics are used most widely in analyzing landscape structural composition
and spatial configurations. Unfortunately, most existing landscape metrics fail to
capture the fundamental patterns in landscapes important to ecosystem processes,
due to lack of or confusion in ecological meanings (Jones et al. 2012), which makes
it difficult to explain the underlying mechanism of the landscape pattern change.
Real-world landscapes are always typified by spatial autocorrelations which
reflected the spatial gradient variations. Studies on these gradient variations lay the
foundations for regional ecological process researches and the future directions of
exploration on spatial evolutions of landscape patterns, albeit subjected to various
natural factors. Dynamic models of landscape pattern consist primarily of spatial
Markov (Aaviksoo 1995), cellular automata (Wu 2002), and agent-based models
(Bithell and Brasington 2009). Markov model calculates the land-use transfer
probability matrix table based on historic land-use images, and simulates the future
landscape patterns. Cellular automata simulate the complex spatial structure through
simple transferring or domain rules. Agent-based models are robotic in depicting the
influences of complex human decision on landscape pattern. Integrating the
agent-based models into cellular automata is a key future direction for landscape
study.
4.3 Scale Dependence of Landscape Evolution
Along with the spatial scale increase, the magnitude of land-use change will decrease,
and the complexity of land-use transfer will increase. (i) Slope is the smallest spatial
scale, which is characterized by land use, hydrology, topology, soil, etc. In addition,
physical and anthropogenic processes are directly interacted at slope scale. The
landscape evolution at the slope scale in the Loess Plateau during the Grain for Green
program period is characterized by slope farmland conversion to nonfarm land use
based on the criteria of slope degree. (ii) Watershed/sub-watershed is a basic unit key
to understand land use and hydrological response. At watershed/sub-watershed scale,
in the Loess Plateau, patches become more regular and aggregated. Landscape
becomes more fragmented with higher landscape diversity and complexity.
(iii) County is the basic unit for regional sustainable development. As a relatively
independent unit, county is a scale at which natural resources and social statistical
data are easy to be obtained. At county level, the Loess Plateau underwent frequent
land-use transfer characterized by decreased farmland, and expanded forest, grass-
land, and residential land (Zhang et al. 2004; Wang et al. 2006). (iv) Region is a unit
characterized by correlations between population, resources, and environment. Take
Yan’an district as an example, from 1980 to 2001, land-use types of farmland, water
area, and waste land decreased, whereas vegetable land, forest, grassland, and
industrial and mining land increased.
Generally, vegetation changed more abruptly at shorter temporal scale. The
studies on the Loess Plateau show that, since 1930, Zhifanggou watershed has
undergone four stages, i.e., sudden destroy, slow recovery, stable, and quick recovery
(Zhang et al.’s 2004); studies show that along with the shortening of the temporal
scale, land-use dynamic index (LUDI) of farmland showed a monotonic decreasing
tendency, LUDI of vegetable yard and industrial/mining land showed a “V”-shaped
trajectory, LUDI of forestry showed a invert “U”-shaped trajectory, and LUDI of
grassland showed a first-fluctuate-then-surge tendency.
4.4 Driving Mechanisms of Landscape Pattern Change
The driving system of landscape pattern consisted dominant and nondominant driving
factors. At larger scale, natural factors of topology and climate and anthropogenic
factors of population, culture, and regional social and economy take the leading
function. At medium/small scale, vegetation, soil, and technological renovation exert
126 J. Gao et al.
the pivotal effects. Generally, studies on larger scale are conducive to exploration of the
overall tendency of the relations between landscape variation and the multiple factors,
but it is not advantageous for grasping the landscape pattern and driving factors at
smaller scale. At 1970–1990, the major driving factors of land use in Zhifanggou
sub-watershed include population policy, land-use policy, reforming of economic
system, economic development, agricultural technology advancement, comprehen-
sive harnessing program, and factors of slope and soil. Whereas, at county (Anshai)
scale and region (Yan’an District) scale, the driving factors are more comprehensive,
anthropogenic factors of population policy, economic policy and technological reno-
vation, and physical factor of topology became the dominant factors. Some factors
insignificant at shorter temporal scale, e.g., temperature and precipitation, possibly
become influential at longer temporal scale (Zhang et al. 2004).
4.5 Coupling of Landscape Pattern and Ecological

Processes
4.5.1 The Theoretical Framework of Coupling Study
At finer scales, in situ observation and experimentation are used widely in studying
landscape pattern and ecological processes. High controllability and accuracy
makes in situ observation good verification for researches of landscape pattern and
ecological processes at larger scale. Land unit provides ‘bricks’ for coupling studies
at various scales. Hierarchical patch theory and scale transition strategy provide the
theoretical bases for establishing spatial explicit model linking landscape pattern
and ecological processes. We provided a framework for coupling landscape pattern
and ecological processes (Fig. 2).
4.5.2 Models for Landscape Pattern and Ecological Processes
According to the directions of the interactions between landscape patterns and

ecological processes, the models coupling landscape pattern and ecological pro-
cesses are generally divided into models that analyze the effect of landscape pat-
terns on ecological processes (Hattermann et al. 2006), models that analyze the
influence of ecological processes on landscape patterns (Jeltsch et al. 1999), and
models coupling landscape patterns and ecological processes.
4.5.3 Influences of Landscape Pattern on Various Ecological Processes
Landscape pattern is a key factor affecting hydrological cycling and water

resources. Land-use configuration pattern exerts profound influences on the feature
Fig. 2 Framework on coupling landscape pattern and ecological process (Lü et al. 2012)
of the substrate and the physical/chemical characteristics of soils. At sub-watershed

scale, configuration of slope farmland–grassland–forest has higher nutrition reten-
tion ability than other patterns (Fu et al. 1999). Biodiversity and environment have
formed relatively stable co-adaptive relations during the long-period evolution.
Generally, land-use pattern close to natural state is conducive to biodiversity
conservation. Landscape pattern directly influences the soil carbon cycling.
Farmland ecosystem generally is regarded as an atmospheric carbon sink.
Conservation farming practice is effective in improving soil structure and soil
organic carbon. Conversion from farmland to forest/grass or fallowing farmland can
improve soil organic carbon. Logging or weeding accelerates carbon released from
plant residues and reduces the carbon content in the soil.
128 J. Gao et al.
4.6 Conclusion and Discussions
Given the awareness and understanding of landscape ecology, the mere description
of landscape patterns can no longer meet the needs of academic pursuits.
Developing landscape pattern indices that reflect ecological processes has much
theoretical and practical significance for future study.
Due to the complexity and abstract nature of ecological processes, most current
studies are confined to small/medium scales. It is necessary to test the cross-scale
relationships between landscape patterns and ecological processes, and to reveal the
scaling characteristics of ecological processes.
Long-term ecological research (LTER) is significant in exploring dynamic and
periodic ecological processes. One of the main purposes for landscape model is to
establish quantifiable and repeatable methods studying landscape pattern and eco-
logical processes. Parameters and functions need to be verified by in situ obser-
vation and controllable experiment which necessitate the LTER.
So far, research on the influences of landscape pattern on ecological processes is
relatively mature. However, research on the effects of ecological processes on
landscape patterns has not aroused sufficient attention. Ecological processes are
subtle and long lasting, which call for long-term and unremitting study.
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Chapter 7
Ecosystem Service Evaluation
Gaodi Xie, Shuyan Cao, Yu Xiao, Xia Pei, Yanying Bai, Wenhua Li,
Bing Wang, Xiang Niu, Xiaohui Liu, Zhongqi Xu, Qingwen Min,
Chunxia Lu, Honghua Shi, Wei Zheng, Dewen Ding, Jiyuan Liu,
Jinyan Zhan, Lin Zhen, Li Yang, Xuelin Liu and Moucheng Liu
Abstract With the development of the ecology research, the in-depth under-
standing of the characteristics of different types of ecological systems, ecosystem
observation techniques progress, all kinds of ecosystem observation data to accu-
mulate, an value analysis and evaluation of the ecosystem make it possible for
understanding the ecological system evolution and discussing the sustainable
development of ecosystem. All parts of the ecosystem including humans and their
environment, ecosystem provide all kinds of ecological services to human through
the process of its function. Ecosystem services (ESs) is considered as no value by
the existing economic model and theory for a long time, only part of the ecological
G. Xie S. Cao Y. Xiao X. Pei Y. Bai W. Li Q. Min C. Lu J. Liu L. Zhen

M. Liu (&)
Institute of Geographic Sciences and Natural Resources Research, Chinese Academy
of Sciences, Beijing 100101, China
B. Wang X. Niu
Research Institute of Forest Ecology, Environmental and Protection, Chinese Academy
of Forestry, Beijing 100091, China
X. Liu
Northeast Institute of Geography and Agroecology, Chinese Academy of Sciences,
Changchun 130102, China
Z. Xu
Forestry College, Agricultural University of Hebei, Baoding 071000, China
H. Shi W. Zheng D. Ding
The First Institute of Oceanography, State Oceanic Administration of China, Qingdao
266061, China
e-mail: shihonghua@fio.org.cn
J. Zhan
Beijing Normal University, Beijing 100875, China
L. Yang
Urban Planning and Design Institute, Tsinghua University, Beijing 100084, China
X. Liu
Beijing Tourism Planning and Design Institute Davos Summit, Beijing 100101, China

DOI 10.1007/978-3-662-48376-3_7
134 G. Xie et al.
products have the market price, in order to obtain tangible ESs, human damage or
even destroy some invisible ecological services at the same time, led to a decline in
ESs. Since the mid-1990s, the Chinese ecologists widely study the ESs and its value
assessment research, contenting forest, grassland, wetland, farmland, and marine
ecosystems. Through the general laws of ecological service value method and the
time spatial heterogeneity of ESs space model method, we assess the ESs value in
whole and reflect its spatial and temporal heterogeneity. Value assessment method
of ESs is developing constantly, widely used in the main are valued based on the
price per unit area, based on the function of laws of value and dynamic laws of
value based on the single function time three types. Three methods are widely
adopted, they are based on the price per unit area, based on the function of laws of
value, dynamic laws of value based on the single function time. In a new paradigm
to investigate the relationship between ecosystem and economic system, so as to
promote an efficient economic decisions for resource allocation in the economic
system and ecological system of integrated system framework. To cultivate and
develop effective market mechanism for ecological service has become one of the
hot spot of ecological service research and ecosystem management. Researching on
ESs consumption and building ecological system efficient continuous consumption
mode, we can hold the direction of the rational utilization of ecological system, and
it is of great practical significance to safeguard the ecological safety. On the basis of
understanding the principle of ecosystem consumption and consumption mea-
surement model, analyzing consumption process, analyzing consumption utility
function (UF), and analyzing the consumption process, we can realize ESs, and this
provide a scientific basis to optimize the structure of consumption of ESs, and to
build efficient continuous consumption patterns (CPs).

Keywords Valuation methods Spatial heterogeneity Ecological compensation

Forest ecosystem service Monetary value of FES Wetland ecosystem service

Grassland ecosystem service Agroecosystem service Marine ecosystem service
1 Theory and Method
1.1 Introduction
Economists and ecological economists now recognize that nature is providing a

wide range of services that were previously ignored, and have proposed the term
ecosystem services (ESs) to encompass these services. The widely accepted defi-
nition for ES is the environment and its effectiveness that human beings must rely
on, maintained by ecosystems or formed by ecological processes (Daily 1997), or
the benefits people obtain from ecosystems (Costanza et al. 1997; WGMEA 2003a,
b, c). Obviously, the economies of every country are all entirely based on the goods
7 Ecosystem Service Evaluation 135
and services provided by ecosystems, and human life itself depends on the ability of
ecosystems to continuously provide multiple benefits.
Scientists have increasingly recognized that both economic goods and services
and ecological goods and services are equally important to human welfare. In order
to achieve environmental sustainability in policy and management practice, it is
very important to determine ESs and evaluate these. The main purpose of this
section is to summarize valuation methods for ES and the progress and contribu-
tions of Chinese ecologists in this field.
1.2 Valuation Methods of Ecosystem Services and Progress
1.2.1 Valuation Methods of Ecosystem Services
The value basis of ESs includes: (i) the value of ES which is a utility value;
(ii) consumer surplus and producer surplus; and (iii) the willingness to pay or
willingness to accept compensation.
ESs have multiple values. The value of ESs includes two parts: the use value and
nonuse value. The use value includes direct use value and indirect use value; the
nonuse value includes the heritage value and existence value. Except for the values
mentioned above, there is an option value, which can be classified as either a use or
nonuse value.
Valuation methods for ESs are challenging and there remains no internationally
recognized or standardized valuation methodology. Existing valuation methods
include Avoided Cost (AC), Replacement Cost (RC), Factor Income (FI), Travel
Cost (TC), Hedonic Pricing (HP), Contingent Valuation (CV), Group Valuation
(GV), and Marginal Product Estimation (MP).
1.2.2 Dynamic Change and Spatial Heterogeneity of Ecosystem

Service Value
Valuation methods for ESs can assess the eco-services value of a certain region for
a given period. Therefore, as research in this area deepens, temporal and spatial
changes in ES values are receiving increased attention. Dynamics of ES value can
be expressed by ES flow. The spatial heterogeneity of ES can be expressed by a
space model.
1.2.3 Example Valuation of Ecosystem Services in China
Since the mid-1990s, Chinese ecologists have extensively studied and assessed ESs
and accomplished outstanding achievements. For example, Li et al. (2002, 2008)
organized experts to compile and publish a series of monographs including the
136 G. Xie et al.
Study of Ecosystem Services, Theory, Methods and Applications of Ecosystem

Services Valuation, and Ecological Compensation Mechanism and Its Policy in
China. These books systematically summarize the fundamental theories and
methods underpinning ES valuation and establish an ecological compensation
system and policy for China. Ouyang at al. (1999a, b) evaluated ESs in China
quantitatively and others have systematically explored ESs for different ecosystems,
including forest (Zhao et al. 2003), grassland (Xie et al. 2001), river and farmland
(Xiao et al. 2004). As to valuation methods for ESs, and Xie et al. (2003, 2008)
posited an equivalent factor method for ESs. The development of these methods has
played an important role in ES valuation in China. Unlike in other countries,
ecological service valuation research has been directly used to promote the estab-
lishment of ecological compensation mechanism in China. In fact, some research
results have been adopted directly by national authorities, for example, the
Evaluation Standards for the Ecosystem Services of Forest Ecosystems has become
the forestry industry standard in China and was officially issued by the State
Forestry Administration (SFA) of China in 2008. ES valuation methods remain a
sphere of development, and widely used methods can be divided into three types:
(i) valuation methods based on the price of unit area; (ii) valuation methods based
on the function value; and (iii) valuation methods based on temporal changes in a
single function.
1.2.4 The Mechanism of ES Value
Most ESs are public goods; however, since there is no market or market devel-
opment is far from perfect, they are always forgotten in the resource allocation of
the social-economic system. In essence, the coordination between economy and
ecology is a large challenge faced by many countries in the world. Although
ecological degradation has an indivisible relationship with the market economy,
market mechanisms are not the cause of ecological degradation but only intensify
market failure for ESs. The cause of ecological problems lies in economic activity,
rather than the market mechanism itself. Compared with nonmarket mechanisms,
market mechanisms are more effective for resource allocation and remain a fun-
damental way to ease ecological degradation and protect and restore ecosystems.
ESs provide a new paradigm to evaluate the relationship between the ecological and
economic systems, and promote effective allocation of resources within a com-
prehensive framework composed of economic and ecological systems according to
social and economic policies.
Trade form of ES: whether the supply and demand of ESs in the market are real
or not, as long as they exist and the quantity or value of ES transfer occurs in time
or space, it can be regarded as ES trade. There are three main forms of trade for
ESs: (i) economic trade; (ii) the spatial transfer of ESs; and (iii) the transfer of ESs
between different generations.
ES payment mechanisms have the potential to promote the formation of eco-
logical service protection funds by creating new demands for ecological products
and services. The ES payment system is developing rapidly around the world and
accumulating a lot of experiences in promoting the marketization and value real-
ization of ESs. However, these are mainly case studies only and exploring the
‘market’ for ESs remains at an early stage and far from a ‘real’ ES market. Market
mechanisms will fully play a role in resource allocation only under an ‘ideal’
market. Therefore, the fair, impartial, sustainable ES trade requires effective
intervention from governments and robust international cooperation.
ESs have emerged as a kind of theory and thought area within ecological eco-
nomics. The theory and method of ecological service valuation is still being
developed. The supply, consumption, and value of ESs will be gradually merged
into the theory of ecological service valuation, and ES payment mechanisms will be
established in a gradual manner.
ESs provided a new paradigm through which to evaluate the relationship
between ecological and economic systems, promote the cultivation and establish-
ment of ES markets in many countries, and accumulate experience in coordinating
the relationship between economic development and ecological protection.
However, the market for ESs development remains local and at a pilot stage, and
effective government intervention is necessary for continued development. Legal
and economic systems must be brought into the concept and framework of ESs. As
a society, specialized departments and policy are needed to ensure the reasonable
management and utilization of ESs.
2 Assessment of Forest Ecosystem Services in China
2.1 Introduction
Coupled human and natural systems (CHANS) are systems in which human and
natural components interact (Liu 2007). According to Mooney and Ehrlich (1997),
the idea that humans depend on natural systems dates back as far as Plato, but the
first modern publication that addresses this issue is Man and Nature by George
Perkins Marsh in 1864. Today, interactions between human and natural systems
have emerged as concerns because human activities are globally connected. At the
same time human societies and globally interconnected economies rely on
ecosystems services and support (Millennium Ecosystem Assessment 2005). ESs
are the conditions and processes through which natural ecosystems, and the species
that make them up, sustain, and fulfill human life (Daily 1997), including provision
services, regulation services, cultural services, and support services. It is now clear
138 G. Xie et al.
that patterns of production, consumption, and well-being develop not only from
economic and social relations within and between regions but also the capacity of
other regions’ ecosystems to sustain them (Arrow et al. 1995).
Valuation of ecosystems has continued (de Groot et al. 2002), but research and
attention has expanded greatly since the estimation of the value of ESs and natural
capital (Costanza et al. 1997). The development of science-based policy has been
increasingly recognized as an method for protecting and managing the environment
in the context of global change (Sun and Chen 2006; Daily and Matson 2008;
Fisher et al. 2008; Mäler et al. 2008; Carpenter et al. 2009). The recent Millennium
Ecosystem Assessment (MEA) provided a new general conceptual framework for
estimating the value of ESs at the regional, national, and global scales (MEA 2005).
In April 2011, a UK National Ecosystem Assessment (UK NEA) report was
published and it was the first and relatively complete assessment of ESs at a
national scale (UK NEA 2011). The UK NEA included four recognized services
provided by all the main ecosystems: supporting, regulating, provisioning, and
cultural services.
Here we focus on valuing China’s forest ecosystems services (FES). Forests
cannot only provide timber, but also critically represent important habitats and ESs
(Miller and Tangley 1991; Mendelshon and Balick 1995; Pearce 1998, 1999). The
ESs provided by forest ecosystems are diverse and difficult to quantify accurately at
a national level. In the last two decades, the estimation of the value of FES at the
national or regional scale has been the focus of ES research. For example, economic
techniques for estimating the total economic value (TEV) of forests in Mexico was
proposed (Adger et al. 1995), however, only a proportion of this value can feasibly
be ‘captured’ within Mexico: much of the benefits of Mexico’s forests fall outside
its borders and is therefore not considered by forest users or national policy-makers.
These benefits include maintaining water quality, reducing storm water runoff and
erosion, improving air quality, regulating climate and carbon sequestration, pro-
viding habitat for wildlife, maintaining biodiversity, and providing a destination for
recreation and tourism in addition to providing timber and non-timber resources,
which were estimated in America (Krieger 2001). The economic value of
Mediterranean forests, brought together forest valuations at the national level from
18 countries, is based on extensive local data and research findings in the context of
institutions and new policy approaches for improving management at national,
regional, and local levels (Merlo and Croitoru 2005). A study on the TEV of
Amazonian deforestation during the period of 1978–1993 also suggested the value
of FES from different points of view (Torras 2000), and scientists combined the
green income accounting and TEV approaches and applied the new framework to
Brazil in order to assess the foregone economic benefits resulting from Amazonian
deforestation. Canada also assesses the real value of its boreal ecosystems (Anielski
and Wilson 2005). Assessment work was carried out in 1972, 1991, and 2000 in
Japan (Wang 2005), and more recently in the UK (UK NEA 2011). All these
studies indicate the high value of FES, which has important implications in the
development of policy to protect and manage forests via ecological compensation.
In the last 30 years, forest resources in China have rapidly increased along with
its economy. In 2008, the total area of forests was 195 million ha with a growing
stock of more than 13 billion cubic meters (State Forestry Administration 2009a).
Forested areas covered 20.36 % of the land base of China in 2008, a value that has
tripled from 8 % 60 years ago. The Chinese government has announced a plan to
expand forested areas by 40 million ha between 2005 and 2020 with carbon
sequestration as the main policy objective. China is an important country in the
world in terms of the importance of forests. Without a doubt, the benefits of
afforestation and reforestation make an important contribution to environment
improvement and economic development. The value of China’s FES in forest
ecology and forestry economics is an essential issue to consider. Based on the latest
national forest resources survey (the seventh) and socioeconomic data, this section
aims to show the monetary value of China’s FES at a national scale in 2008, and to
discuss the characteristics and implications of these assessments in an international
context.
Research is committed to supporting policy action toward a sustainable use of
forest resources nationwide, and the forest economic evaluation challenge has
gradually reached the national policy agenda. The methodology and approaches for
assessing FES and applying results are currently being developed in China, but
uncertainty factors when assessing FES remain. Therefore, sharing research
methods and results among scientists, forest managers, policy-makers, and the
public in different countries is important. China has an exceptionally diverse cli-
mate, geography and hydrology and forest vegetation, and social and economic
conditions differ between regions. While Chinese scientists and policy-makers
desire to learn from the work of other countries, China’s diverse conditions favor
the development of a methodology that is applicable to other countries with dif-
ferent climatic, geographical, and hydrological conditions. China should play an
important role in the development of environmental and forest management.
2.2 Data and Methods
2.2.1 Data Sources
Field measurement data consisting of ecological properties (e.g., net primary pro-
ductivity (NPP), water, and soil conservation) and characteristic parameters were
obtained based on 50 long-term research stations (consisting of 286 supplement
stations) in the China Forest Ecosystem Research Network (CFERN). This network
covers almost all forest ecosystems of all dominant trees in the country. The forest
inventory dataset was also used. Although SFA data are available from 1973 to
2008 via seven national forest resources inventories (NFI), (1973–1976) (the 1st
NFI), 1977–1981 (the 2nd NFI), 1984–1988 (the 3rd NFI), 1989–1993 (the 4th
NFI), 1994–1998 (the 5th NFI), 1999–2003 (the 6th NFI), and 2004–2008 (the 7th
NFI), only the period 2004–2008 (the 7th NFI) is complete and reports forest area,
140 G. Xie et al.
timber volume, and some ecological parameters. Data recorded included the forest
group (planted and natural forests), dominant tree species and age-class and so on.
We used data from the 7th NFI. Social-economical public data released by
authorities was also used in this assessment.
2.2.2 A Framework for the Ecological Valuation of Forest Ecosystem

Services in China
We evaluated the valuation of forest ESs based on the framework in Fig. 1. The
framework comprises four steps: (i) selection of indicators for the FES assessment;
(ii) identification of units for assessing FES; (iii) calculation; and (iv) synthesis of
the results.
Selecting Items for the FES Assessment
Forests are amongst the most biologically rich terrestrial systems in the world and
provide us with a wide variety of ESs. Six items have been selected to assess the
FES, including water conservation, soil conservation, carbon sequestration and
oxygen release, nutrient accumulation, atmosphere environmental purification, and
biodiversity conservation. Data from China are available for all the six measures.
Water conservation service contains water quantity regulation and water quality
purification, reflecting the role forests play in mitigating natural disasters such as
droughts and floods, as well as clean drinking water. Water and soil erosion is
widespread and affects all natural and human-managed ecosystems. It often causes
soil deterioration (Marques et al. 2008), decline in land productivity (Pimentel and
Kounang 1998), and is caused by a lack of vegetation protection (Canton et al. 2001;
Ludwig et al. 2005). Soil conservation is an indicator to demonstrate the interaction
between human and natural systems. The reasons for considering carbon seques-
tration and oxygen release are that forest ecosystems are important carbon sinks and
have a close relationship with climate change. Forests account for around 50 % of
total aboveground terrestrial organic carbon, as well deforestation and forest
degradation are estimated to cause 20 % of annual greenhouse gas emissions (SCBD
2008). So this indicator can better understand the effects of human activities on
natural systems and the responses of natural systems to human activities. Key
publications such as the MEA (2005) and Red List of Threatened Species (IUCN
2004) indicate that a large and increasing number of forest ecosystems, populations,
and species are threatened globally due to the loss and degradation of forest habitat,
and thus this indicator is needed to assess the value of forest biodiversity conser-
vation. With industrialization and increasing pollution, human living environmental
issues are more and more remarkable. Forest functions by absorbing air pollutants
and biochemistry cycles, and thus the indicators nutrient accumulation and atmo-
sphere environment purification are therefore required.
Step 1 Select the

indicators of the FES
assessment (6 items)
Step 2 Identify the units

for assessing FES (7020
units)
Step 3 Calculation
Step 4 Synthesis of Data conversion from

results small to large scale
Fig. 1 Framework for evaluating FES in China
Identifying the Units for Assessing FES
Basic geographical unit China is a large country of varied topography, climate,

forest vegetation, forest management systems, and social-economic development
levels. In order to minimize differences in natural conditions and maximize the
implication of the assessment results in policy-making, 31 administrative regions
(provinces and municipalities directly under the Central Government) across the
142 G. Xie et al.
Chinese mainland were used as assessment units. The value of FES in Hong Kong,
Macau, and Taiwan was not included here.
Basic forest unit Forest vegetation was divided into 46 kinds of forests based on
dominant tree species. In addition, a large area of economic forest (fruit trees, cork
plantations, and rubber plantations), bamboo forest, and shrubbery woodland exists.
These forests are difficult to classify based on dominant trees and are treated as
three kinds of forests. In total, 49 kinds of forests were used in this assessment. In
view of the effect of stand age on FES, each kind of forest was divided into five
age-classes: young, middle-age, premature, mature, and overmature stands.
Similarly, each kind of forest was divided into five age-group stands in a province
based on the NFI in 2008 (SFA 2009a). When all age-class stands in all kinds of
forests were found in a province, 245 age-class stands were involved in accounting
FES at the provincial level. In general, the number of age-class stands was less than
245 in a province because some kinds of forests or some age-groups in a kind of
forest were not present. Ultimately, 7020 assessment units with homogenization
were used as accounting units at the national level.
Calculation Process
Based on field measurement data from forest ecosystem research stations, remote
sensing data, and using process and mechanism models such as IBIS, we were able
to convert data conversion across scales.
Synthesis of FES Results
An age-group stand was used as the basic forest unit for accounting the value of
each FES. For each age-class stand in a province, the annual quantity of each FES
provided by the stand was estimated based on local research station observations or
published data. The unit price of each FES was determined based on relevant
Chinese yearbooks or published data. For example, the price of nitrogen conserved
in the stand was determined by referring to the current market price of nitrogen
fertilizer (Wang and Yang 2008). For an age-class stand, the annual monetary value
of each FES was obtained by multiplying the annual amount provided by the stand
with the price per unit amount. For each FES, the total values for quantity and
monetary could be obtained for a kind of forest, forest type, and province by
summing the quantity and monetary value of each FES in different age-class stands
within a province.
2.3.1 Monetary Value of FES at a National Level
In 2008, the total value of the six FES (water conservation, soil conservation,
carbon sequestration and oxygen release, nutrient accumulation, atmosphere envi-
ronmental purification, and biodiversity conservation) was estimated to be
10.01 trillion CNY (1.48 trillion USDs) per year. The contribution of each ES to the
total FES from highest to lowest was water conservation (40.51 %), biodiversity
conservation (24.01 %), carbon sequestration and oxygen release (15.57 %), soil
conservation (9.92 %), atmosphere environmental purification (7.92 %), and
nutrient accumulation (2.07 %) (Fig. 2).
2.3.2 Monetary Value of FES at the Provincial Level
Sichuan provided the largest FES value (1059 billion CNY) and Shanghai was the
least (2.31 billion CNY) (Fig. 3). The values for water conservation, biodiversity
conservation, and carbon sequestration and oxygen release at the provincial level
are the three largest fractions, and the value of nutrient accumulation was the
smallest. The value of FES showed the different traits in spatial distribution. In
general, southwestern provinces (e.g., Sichuan 10.57 %, Yunnan 10.24 %, and
Guangxi 7.73 %) and northeastern provinces (e.g., Heilongjiang 8.57 % and Inner
NC
PA 2.07%
SC 7.92% WC
9.91% 2%
8% 40.51%
10% 40%
CS
15.57%
16%
BC
24.01%
24%
Fig. 2 Proportions of water conservation (WC), biodiversity conservation (BC), carbon

sequestration (CS), soil conservation (SC), purification of the atmosphere (PA), and nutrient
conservation (NC) of total value of FES (10.01 trillion CNY, 1.48 trillion USD) in China
144 G. Xie et al.
1200
WC
1000 SC
CS
NC
PA
FES (Billion Yuan)
800 BC
600
400
200
0
HUN
HUB
HEB
HEN
HAN
SNX
YN
QH
SC
GD
GS
CQ
AH
SD
SH
GX
HL
GZ
SX
NX
LN
IM
XZ
JS
BJ
JX
XJ
FJ
JL
ZJ
TJ
Fig. 3 Monetary value of water conservation (WC), biodiversity conservation (BC), carbon
sequestration (CS), soil conservation (SC), purification of the atmosphere (PA), and nutrient
conservation (NC) (billion CNY) provided by forests in 31 provinces. AH Anhui; BJ Beijing; CQ
Chongqing; FJ Fujian; GS Gansu; GD Guangdong; GX Guangxi; GZ Guizhou; HAN Hainan; HEB
Hebei; HL Heilongjiang; HEN Henan; HUB Hubei; HUN Hunan; IM Inner Mongolia; JS Jiangsu;
JX Jiangxi; JL Jilin; LN Liaoning; NX Ningxia; QH Qinghai; SD Shandong; SH Shanghai; SNX
Shannxi; SX Shanxi; SC Sichuan; TJ Tianjin; XJ Xinjiang; XZ Xizang (Tibet); YN Yunnan; ZJ
Zhejiang
Mongolia 7.15 %) had higher contributions to the total national FES; Central and
Eastern provinces (e.g., Jiangsu 0.51 % and Shanghai 0.02 %) had lower contri-
butions (Fig. 4).
2.3.3 Per Unit Area FES Value at the Provincial Level
Variation in provinces exists in terms of mean FES per unit forest area
(×103 CNY/ha). For instance, the highest FES per unit forest area was in Hainan
(64 × 103 CNY/ha), and the lowest one in Xinjiang (16 × 103 CNY/ha). The mean
FES per unit forest area for the whole country was 46 × 103 CNY/ha.
2.3.4 FES of Different Forest Types
Forty-nine kinds of forests were classified into four groups according to their
contribution to the total FES: >10 % group (shrubbery and broadleaf forest),
5–10 % group (Quercus spp. forests, economic forests, conifer and broadleaf mixed
forests, and Pinus massoniana forests), 1–5 % group (13 kinds of forests), and <1 %
group (30 kinds of forests). The first two groups displayed a substantial contribution
70
60
Mean FES (*10 Yuan ha )
-1
50
40
3
30
20
10
0
SC
YN
HL
GX
IM
GD
XZ
JX
HUN
FJ
HUB
JL
ZJ
SNX
GZ
LN
GS
AH
HB
CQ
HEN
HAN
XJ
SX
SD
QH
JS
BJ
NX
TJ
SH
Fig. 4 The mean FES per unit area (×103 CNY/ha) for each province (column) and entire country
(dash line). For province acronyms see the legend to Fig. 3
to total FES (57.79 %). As a single genus, Quercus spp. forests had the largest
contribution to total FES (11 %), and as a species, P. massoniana had the largest
contribution (5.00 %)
2.3.5 Characteristics of China’s FES Value
High spatial heterogeneity of FES value and decoupling from GDP China has an
unbalanced development for the economy and environment protection. Like eco-
nomic production (e.g., GDP as an indicator), FES varied greatly among provinces
(Fig. 4). The contributions of the FES value of provinces were decoupled from the
contribution of GDP (in 2009) at the national level (Fig. 4). Large FES contribu-
tions arose from Sichuan, Yunnan, Guangxi, Heilongjiang, and Inner Mongolia,
whereas large GDP contributions arose from Guangdong, Jiangsu, Shandong,
Zhejiang, and Henan. The smallest FES contributors were from Shanghai, Tianjin,
Ningxia, Beijing, and Jiangsu. In general, the largest FES contributors were
undeveloped provinces and remote provinces are located in the northeast and
southwest China. Large GDP contributors were the Eastern and Central provinces
and metropolitan regions. As an extreme example, Shanghai is the most developed
region in terms of economy, society, and technology, but its FES contribution is
negligible at a national scale. Tibet, in southwest China, is an opposite example
(Fig. 4). Given the pattern of decoupled FES and GDP across the country, special
importance for economic compensation from higher GDP provinces to higher FES
provinces in China is apparent.
146 G. Xie et al.
Rapid increase in future FES Changes in ESs in the UK were investigated,

showing that a decline or increase in ESs was dependent on the ecosystems of the
previous years (UK NEA 2011). In contrast, China’s FES value will rapidly
increase in the coming decades as a large proportion of forests are young plantations
(33.8 %) (SFA 2009a). These young plantations have great potential to grow in size
and ecological function, and will likely result in a net increase in FES values. The
Chinese government has announced a plan to expand the forested areas by
40 million ha between 2005 and 2020 because of the huge potential for sequestering
atmospheric CO2 (Pan et al. 2011). Therefore, forests in China are expected to
increase in stock (stock density and total area) and ecological functions in all key
aspects of FES, including carbon sequestration, nutrient accumulation, and water
and soil conservation in the future.
Parts of plantations and economic forest in providing FES China has the largest
area of plantation in the world, accounting for 38 % of its total forest area; more
plantations are being planned over the next 10 years. Plantations play essential roles
in providing FES and materials. This is a distinct feature compared to Canada,
Russia, and the USA (FAO 2010). In particular, the plantation area of China is
about 62 million ha (38 % of national forest areas), of which half is economic forest
(32 million ha) (SFA 2009b). For economic forest, the annual direct economic
income was 3.56 trillion CNY in 2008 (SFA 2009b) and provided 1.4 trillion
CNY FES value, about 40 % of direct economic income.
Differences in FES demands by region Different regions and provinces have dis-
tinct demands for FES because of differences in geography, climate, and social
development. For example, in the eastern plains of China, where the economy and
society are developed, the function of forest ecosystems in the purification of air
pollution is more favorable, while in the northwestern mountainous region, water
conservation is vital. Similarly, such differences exist among countries. Relative to
the larger need for the roles of water and soil conservation in China and Japan, the
value of protecting biodiversity, landscape, culture, and tourism in the UK (UK
NEA 2011) and Canada (Anielski and Wilson 2005) may be more important.
2.3.6 Policy Development for Ecological Compensation at a National

Level
Relative to countries with balanced economic and environment development (e.g.,

Canada, USA, and UK), developing ecological compensation policy is especially
important in China because of its distinct decoupled GDP and FES. In fact, much
discussion in China has focused on how to determine economical compensation for
underdeveloped regions with high FES from low FES but economically developed
regions (Fei et al. 2004; Sun and Chen 2006). For establishing such a framework,
quantifying the monetary value of ESs is important. In this sense, the assessed value
of FES could be used as a basis for establishing ecological compensation at a

national level. For example, Sichuan, Yunnan, Heilongjiang, Guangxi, Inner
Mongolia, and Tibet are the top five provinces (from 7.15 to 10.17 %) (Fig. 4) in
terms of FES contribution to the national total, but are all located in undeveloped
regions. In general, eastern provinces have higher GDP contributions, whereas
northeastern and western provinces have higher FES contributions (Fig. 4).
Further, 58 % of forests fall under collective ownership in China, with the state
owning remaining forests. Reforms to change the collective ownership forest sys-
tem to private ownership in China are ongoing. This is considered a way to effi-
ciently manage existing forests and increase new plantations in non-forest
mountains (Zhao et al. 2010) and these private forests can be traded in a forest
ownership trading center. This ongoing area of reform is considered a significant
change in China’s forestry system and the FES value in a stand should be taken into
account in future trading.
Although current forest coverage across China is 20.36 % and it has
286.6 million ha of forested land (SFA 2009b), establishing forests in mountainous
areas where commercial forests for timber production are not suitable is in high
demand. Farmers are more interested in planting trees in those areas if their
investments deliver through the consideration of FES values on the forest trading
market, in addition to the direct benefits of forests.
2.3.7 Improving Assessment Methods
Barriers to the complete assessment of FES across an entire country remain (e.g.,
methodology) despite that a theoretical framework has been proposed to account
the value of all ESs (e.g., supporting, provisioning, regulating, and cultural ser-
vices) (Costanza et al. 1997). UK NEA (2011) and Merlo and Croitoru (2005)
exercised a relatively more complete FES assessment at the national scale in UK
and in some Mediterranean countries. However, the current assessment in China
only includes parts of the FES. Specifically, the aesthetic values, cultural heritage,
and educational values of ecosystems are not considered because of a lack of
methods for assessing the FES values of ecosystems, other than water conservation,
soil conservation, carbon sequestration and oxygen release, nutrients accumulation,
atmosphere environment purification, and biodiversity conservation.
International timber trading may transfer some of the FES observed in a country
to losses of forests in other countries (Mayer et al. 2005). China is not self-sufficient
in wood products and needs to import round wood and pulp from other countries.
Thus, the effects of international trade should be considered when calculating the
net FES value when accounting FES in a country.
An important feature of China’s FES assessment is its close combination with
data from national forest resources surveys conducted nationally at 5-year intervals.
This means it is possible to produce a regular assessment of FES at a provincial and
national level into the future.
148 G. Xie et al.
3 Assessment of Wetland Ecosystem Services in China
3.1 Introduction
It is well known that wetlands are an important component of the terrestrial land-
scape, performing significant ESs such as climate regulation, flood storage, water
supply, and biodiversity conservation. Increasing human land use has put wetlands
at risk. The Organization of Economic Cooperation and Development (OECD)
estimates that the world may have lost 50 % of its wetlands since 1900, and land
conversion for agriculture is the principal cause (OECD/IUCN 1996). Once thought
to be wastelands, wetlands have been extensively drained for economic develop-
ment. Direct land conversion for agricultural drainage, forestry, and urban con-
struction has caused widespread degradation and destruction of wetlands.
In the mid-1990s, an article titled The Value of the World’s Ecosystem Services
and Natural Capital represented the beginning of TEV estimation of our planet.
The services of ecological systems and natural capital stocks that produce them are
critical to the functioning of the earth’s life support system (Costanza et al. 1997).
Loss or degradation of wetland habitats can result in a loss of biodiversity,
reduction in water supply and water storage, and increased soil erosion.
Additionally, wetland conversion for industrial and agricultural purposes has
directly or indirectly contributed to an increase in atmospheric concentrations of
major greenhouse gases. How to recognize or understand these functions generally
remains a challenge and it is very important to introduce value estimation.
Restoration actions that enhance both biodiversity and ESs are necessary world-
wide. In order to achieve the goal of ‘no net loss’ of wetland function, we should
establish wetlands compensation accounts to balance any loss.
3.2 Wetland Ecosystem Services and Value Estimation
3.2.1 Wetland Ecosystem Services
Ecosystem functions refer variously to habitat, biological or system properties or

processes of ecosystems. Ecosystem goods (such as food) and services (such as
waste assimilation) represent the benefits human populations derive, directly or
indirectly, from ecosystem functions. For simplicity, we will refer to ecosystem
goods and services together as ESs. A large number of wetland services have been
identified such as carbon sequestration and greenhouse gases emissions, flooding
regulation, biodiversity, nutrient cycling, water supply, waste treatment, food
production, and sediment retention.
Wetlands regulate biogeochemical cycling, play an important role in the global
carbon budget and exchange greenhouse gases such as carbon dioxide (CO2) and
methane (CH4) with the atmosphere. According to the Chinese Second Soil Survey,
wetland soil organic carbon (SOC) density ranges from 14.1 to 60.0 kgC/m2 (Pan
1999). Wetland SOC density ranged from 13.9 to 47.3 kgC/m2 in the Sanjiang
Plain, northeastern China (Ma et al. 1996). Recent global concerns over increased
atmospheric CO2 have furthered interest in SOC changes and the carbon seques-
tration capacity of various ecosystems, especially wetlands. CH4 is a very potent
greenhouse gas, and CH4 emissions from natural wetlands account for 20 % of
global emissions (Liu 2004).
Flooding regulation, storm protection, or drought recovery of wetland habitat
responding to environmental variability are mainly controlled by wetland vegeta-
tion structure. For example, the porosity of vegetation roots was up to 71–93 % and
maintains flooding. The mean depth of marshlands is 30 cm, so natural marshlands
can store 17.15 × 108 m3 of water. Taking into account the Sanjiang Plain, Liu et al.
(2007) indicated that maximum soil water storage was 46.97 × 108 m3.
Wetland habitats are keystones of biodiversity reservation. Patchy shapes, area
and corridor length influence species migration. Endangered waterfowl and other
species that rely on wetlands have become threatened or extinct in areas where
wetland habitat has been destroyed (Liu 2005).
3.2.2 The Coupling of Wetland Structure, Process, and Service
Land use changes impact GHG emissions because of the growing human popula-
tion. Although the greenhouse effect is a global issue and under global influence,
one should consider the effect of these gases on our local and regional climates.
Wetland ESs such gas regulation have become one of the key issues in environ-
mental and ecological scopes (Liu et al. 2013). What influence do changes in
ecosystem structure and process have on services? This is a key question when
trying to improve wetland services.
Flood pulse supports floodplain biological productivity functions, but under
disturbance by people, hydrological regime changes may impact the flood pulse.
After wetlands are drained, they are converted from CO2 sinks to CO2 sources,
leading to carbon cycles. In the long run, there is a potential to influence global
warming (Lu 2004).
3.2.3 Wetland Ecosystem Service Estimation and Dynamic Change
The value coefficients of different wetlands ESs are listed in Table 1. There is much
research on the types of natural wetland services and their values, but little research
on the ESs of constructed wetlands.
Compared to the value coefficients of different services, we must consider
regional heterogeneity when estimating ESs. Services are affected by different
geography, ecology, and climates, so the values of these services also differ.
150
Table 1 The value coefficient of different wetland ecosystem services (CNY/(ha year)
Gas Climate Water Soil Waste Biodiversity Food Raw Recreation Sum
regulation regulation storage formation treatment maintenance production materials and culture
and
conservation
Nation 1573 – – 2 – – – – – 1575
Poyang 598 – 301 2008 – – – – – 2906
Lake
Yangtze – – 716 – 1585 1328 – – 2235 5863
River
Estuary
Wetland – – – – – 5063 – – – 5063
Reserve
Rice – – – 16 – – – – – 16
paddy
Global 1104 37,674 31,665 – 34,171 2523 2125 880 12,077 122,218
Note China’s wetland area is 6594 × 107 ha; this table is from Liu et al. (2008)
G. Xie et al.
Worldwide, wetlands have had the fastest rate of loss amongst all ecosystem
types. Many studies have investigated marshland loss and landscape changes in
some portions of the Sanjiang Plain or over the whole region. Land use changes
have spatial and temporal patterns, and correspondingly, ESs exhibit dynamic
change. The value of wetland ESs may decline when wetlands shrink.
Ecological economic methods could be an effective way to value wetland ESs.

These methods clarify the conceptual difference in the functions and services of
ecosystems and reveal the relationship among structure, process, and service. This
approach also identifies the different services of different wetland types and means
the indirect value of ESs are easily understood. In the future, dynamic changes in
service estimation should stimulate wetland conservation and restoration.
Considering environmental and human factors, we should give priority to
dominant services across different wetland types. Ecological compensation should
be implemented for loss of wetland and other ecosystems. Monitoring station
network data are critical in wetland service estimation, such as for the service of
biodiversity.
4 Assessment of Grassland Ecosystem Services in China
4.1 Introduction
ESs are the foundation that sustain and fulfill human life and development (Daily
1997; Ouyang et al. 1999a, b). Grasslands are the largest and most important
terrestrial ecosystem in China and play a major role in maintaining ecological
safety, forage production, soil erosion prevention, biodiversity conservation, and
carbon sequestration (Xie et al. 2003). Costanza et al. (1997) valued grassland ESs
at a global scale and showed that the valuation of global grassland is 9.06 × 1010
USD, accounting for 7.3 % of total terrestrial ESs. Zhao and Ouyang (2004) and
Min et al. (2004) studied the ESs of Chinese grasslands and the Inner Mongolia
steppes, respectively, and found that grassland ESs are important for maintaining
ecological conditions and the development of society (Zheng et al. 2009). However,
several grassland ecosystems and their services have been degraded across China
because of the rapid development of local economies, increased population, and
animal husbandry (Xu et al. 2005; Yu et al. 2005). It is important to understand how
human actions impact the ESs of grasslands so that these precious resources can be
managed in a sustainable way. Here, I report on a study of the impacts of human
152 G. Xie et al.
disturbance on ESs in the Inner Mongolian steppes region, including grazing,

non-grazing, and reclamation.
4.2 Site Description
The study area is located in experimental pasture at the Meteorological Bureau of

Xilinhaote City, China (116°04′N–117°05′N, 43°26′E–44°08′E). The region has a
temperate semiarid continental climate, with a windy and dry spring, a warm and
rainy summer, a very short autumn, and a long and cold winter. Precipitation is
300 mm and the annual average air temperature is −0.1 °C. The site is located in the
central region of Inner Mongolia typical steppe, composed of the following species:
Stipa krylovi, Leymus chinensis, Cleistogenes squanosa, Anemarrhena asphode-
loides, Allium anisopodium, Allium ramosum, Salsola collina, and Carex durius-
cula. The soil is characterized as chestnut soil. There are experimental plots for
non-gazing of different times (2, 7 and 17 years), and grazing plots are located
outside non-grazing plots.
4.3.1 Impact of Disturbance on Biomass
Cultivation and grazing decrease biomass in the ecosystem and non-grazing

increases it. The net productivity of the ecosystem is highest for farmland and
smallest for grassland under grazing; grassland under non-grazing for 7 and 2 years
is higher than that for 17 years. The valuation of production of goods is biggest for
the farmland ecosystem from grassland. Non-grazing can raise the valuation of
production of goods, and the longer the banned-grazing period, the larger the
valuation.
4.3.2 The Impact of Disturbance on Carbon Storage
Cultivation leads to a sharp decrease in soil carbon storage; non-grazing distinctly leads
to increases in the carbon storage of soil, litter, and aboveground plants and roots.
Topsoil (0–20 cm) carbon storage is affected strongly by human disturbance rather than
deep soil. Topsoil (0–20 cm) organ carbon densities are ranked in the descending order
as follows: grassland non-grazing for 17 years (4.47 kg/m2) > grassland
banned-grazing for 7 years (4.23 kg/m2) > grassland banned-grazing for 2 years
(4.01 kg/m2) > grazing grassland (3.70 kg/m2) > farmland (2.27 kg/m2). Total carbon
storage is ranked in the descending order as follows: grassland non-grazing for 17 years
(9.44 kg/m2) > grassland non-grazing for 7 years (9.09 kg/m2) > grassland non-grazing
for 2 years (8.82 kg/m2) > grazing grassland (8.78 kg/m2) > farmland (4.72 kg/m2).
4.3.3 The Impact of Disturbance on Anti-wind Erosion
Wind erosion rates (WER) of grassland soil increase as wind speed rises, but are
limited by the amount of erodible soil. In general, the WER of farmland soil is
unlimited because of its deep plough layer. The WER and wind erosion amount
(WEA) in banned-grazing grasslands are lower than that under grazing, and the
longer the banned-grazing period the less the WEA and WER. In cultivated land the
WEA and the WER are more than for natural grasslands and the differences
between them increase with wind speed. Non-grazing reduces the loss in valuation
due to wind erosion, and cultivation and grazing can increase this. Value loss rates
ranked in the descending order are: farmland (initial stages of cultivation) > farm-
land > grassland under grazing > grassland non-grazing for 2 years > grassland
non-grazing for 17 years.
4.3.4 The Impact of Disturbance on Soil Nutrient Content
Cultivation and grazing lead to a decrease in soil nutrient content, especially topsoil,
and cultivation affects it more significantly than grazing. Non-grazing increases soil
nutrient content, which increases with the time of banned-grazing. Using valuation by
biology nutrient pools, the value of the nutrient circle maintaining service is 1302.54
CNY/(ha year) for farmland, 571.87 CNY/(ha year) for grassland non-grazing for
2 years, 556.09 CNY/(ha year) for grassland non-grazing for 7 years, 551.65 CNY/
(ha year) for grassland non-grazing for 17 years, and 441.03 CNY/(ha year) for
grassland under grazing. Subtracting the cost for farmland, the value of farmland is
only 2284.37 CNY/(ha year). Using valuation by soil nutrient pools, the value of the
nutrient circle maintaining service is 3911.52 CNY/(ha year) for grassland
non-grazing for 17 years, 3813.43 CNY/(ha year) for grassland non-grazing for
7 years, 3665.09 CNY/(ha year) for grazing grassland, 3648.77 CNY/(ha year) for
grassland non-grazing for 2 years, and 2893.43 CNY/(ha year) for farmland.
4.3.5 The Impact of Disturbance on Biodiversity Nutrient Content
Non-grazing does not affect the composition of dominant species markedly, but
does affect the dominance of species. Non-grazing enhances the biodiversity of
grasslands at an early stage, but as non-grazing time extends, biodiversity and the
richness of grasslands decline. Water conditions affect biodiversity distinctly and
appropriate non-grazing times and better water conditions favor the restoration of
grassland biodiversity. The decline in biodiversity of grasslands in this region can
be ascribed to over grazing and drought.
154 G. Xie et al.
5 Assessment of Agroecosystem Services in China
5.1 Introduction
Agroecosystems have become integrated crop production systems with significant

human disturbance. Compared to natural ecosystems, the crop production function
of agroecosystems has intensified while impairing other ESs such as gas and water
regulation, soil conservation, and biodiversity maintenance (Fowler and Mooney
1990; Wood et al. 2000; Tilman et al. 2002). In recent years, agro-ESs have become
more and more scarce because of demands from rapid global development (Tilman
et al. 2001; Foley et al. 2005). This has resulted in increasing concern about the
values and services of agroecosystems across the world. The biodiversity of
agroecosystems was the physical basis for ESs (Wall et al. 2010). There have been
many studies on agro-ESs, including production supply, carbon sequestration, soil
conservation, nutrient cycling and water regulation, and comprehensive assess-
ments of agro-ESs (Xie et al. 2005; Swinton et al. 2007; Sandhu et al. 2008; Porter
et al. 2009; Yoshikawa et al. 2010). The passive effects (e.g., nonpoint pollution,
CH4/N2O emissions and heavy metal pollution) of agricultural production on
human society and the environment have also been explored (Liang et al. 2007;
Köel-Knabner et al. 2010; Xiao et al. 2010). Farmers and government organizations
have realized the importance of the tradeoff between the advantages and disad-
vantages of agricultural production. The various effects of agricultural production
systems (e.g., integrated, conventional and organic agroecosystems, and combined
food/forest systems) on the services of different agroecosystems have been com-
pared (Yang et al. 2007; Xiao et al. 2011). Only multifunctional agricultural pro-
duction systems maximize welfare supported by agro-ESs. To manifest the effects
of ESs of agroecosystems to human well-being, three main studies have been
conducted and will be discussed in this section.
5.2 Assessments of Ecosystem Services by Agroecosystems

in China
5.2.1 Ecosystem Services by Wheat-Maize Croplands on the North

China Plain
Field investigations were conducted at Luancheng Agro-Ecosystem Experimental

Station of the Chinese Academy of Sciences in Hebei from 2006–2007 (Xiao et al.
2011). Field data were then used to evaluate the ESs of wheat-maize croplands in
the North China Plain. ESs analyzed included primary products, gas regulation, soil
organic matter (SOM) accumulation, water regulation, and nitrogen transformation.
The results showed that primary products from croplands accounted for 5.04–5.71 t/
(ha year) of wheat grain, 6.69–8.24 t/(ha year) of maize grain, 8.58–9.72 t/(ha year)
Table 2 Assessment of Services types 2006 2007

ecosystem services by
N1 N2 N1 N2
wheat-maze agroecosystems
CNY/(ha year) Primary 19,679 21,210 19,267 19,233
production
Gas regulation 37,346 41,384 36,256 36,141
SOM 2033 967 2033 967
accumulation
Water regulation −215 −230 −173 −188
N transformation 2977 −962 2900 −1424
Integrated values 61,897 62,484 60,356 54,809
Note In the integrated values of ecosystem services of the
wheat-maize agro-ecosystem, the value for N2O emissions was
just counted once, though it was calculated both in gas regulation
and nitrogen transformation. N2O emission values were −78
CNY/(ha year) (N1), −114 CNY/(ha year) in 2006 and −73
CNY/(ha year) and −79 CNY/(ha year) (N2) in 2007
of wheat straw, and 6.97–8.58 t/(ha year) of maize straw. As for cropland gas
regulation: O2 and N2O emissions were 24.99–28.64 t/(ha year) and 0.72–1.13 kg/
(ha year), whereas CO2 and CH4 assimilations were 34.23–39.22 t/(ha year) and
3.39–5.70 kg/(ha year), respectively. While cropland SOM accumulation was 1.13–
2.39 t/(ha year), that of water consumption was 2890–3830 m3/(ha year). Soil
nitrogen content dropped considerably at a rate of −107.73 to 5.33 kgN/(ha year)
after one crop rotation. The TEV of cropland ESs was estimated at 5.48 × 104 to
6.25 × 104 CNY/(ha year), three times the value of food production. Based on these
results, the effects of nitrogen fertilizer on the welfare of cropland ESs appear
complicated. Nitrogen application led to economic loss due to increasing nitrogen
transformation, simultaneously, increased economic value of primary production,
gas regulation, CO2 fixation, and O2 release. Most ES studies have focused on the
positive effects of ecosystems on human welfare, but a balanced and reasonable
approach is to analyze the positive and negative effects of cropland ESs on human
welfare (Table 2).
5.2.2 Ecosystem Services by Rice Paddy Ecosystems in Suburban

Shanghai
The rice paddy is one of the most important farmland systems in China, responsible
for more than one-third of total food production. Rice paddy ecosystems cannot
only provide food, but also support many ESs such as gas regulation, water reg-
ulation, flood controlling, SOM accumulation, nutrient transformation, and envi-
ronment purification. In 2002, we executed a field experiment in a rice paddy
ecosystem at Wusi Farm, Shanghai to examine the ESs of rice paddies under
different levels of nitrogen application (Xiao and Xie 2009). We investigated
156 G. Xie et al.
primary production, gas regulation, nutrient transformation, SOM accumulation,

water regulation, and environment purification and their values. The results of
primary production indicated that the rice seeds and stalks and their values
increased with N application. Gas regulation showed that rice paddies absorbed
CO2 from the atmosphere; O2 emissions and N2O emissions by rice paddies
increased with N addition, but CH4 emissions decreased with N addition. The
economic value of gas regulation by rice paddies with 375 kgN/ha was the highest.
Nitrogen transformation indicated that among different sources of nitrogen inputs,
nitrogen application provided the most nitrogen input and the harvest and ammonia
volatilization were the most important nitrogen outputs. According to this study,
nitrogen transformation resulted in economic loss and these increased with nitrogen
addition. SOM showed that rice planting increased the content of SOM, and the
quantities of SOM accumulation and their values increased with N application. Rice
cultivating consumed water resources, and the ridge of the rice paddies controlled
flooding as a reservoir with a height of 5 cm. Comprehensive evaluation indicated
that ESs by rice paddies in Wusi Farm provided many benefits to society in the
range of 3.83–4.85 × 104 CNY/ha. The ESs by rice paddies with 375 kgN/ha of N
application yielded the highest economic value. However, the economic values of
the ESs by these rice paddies did not have significant advantage over those without
N application. The economic loss of environmental damage by N application
comprised the benefits supported by rice paddies. Therefore, to maximize the
benefits of ESs and the sustainability of rice production, the government should
control the release of nitrogen fertilizer and improve nitrogen application tech-
nologies to improve the efficiency of nitrogen application (Table 3).
Table 3 Assessment of Services types N0 N225 N375 N525

ecosystem services from a
rice paddy agro-ecosystem at Primary 6469 7694 11,769 13,181
Wusi Farm in 2002 CNY/ha production
Gas regulation 36,858 34,586 37,810 30,808
N 628 −5264 −9956 −14,992
transformation
SOM 3160 4073 8731 8936
accumulation
Water 1891 1891 1891 1891
regulation
Environment 941 941 941 941
purification
Integrated 48,322 41,250 48,518 38,290
values
Note In the integrated values of ecosystem services of the rice
paddy agroecosystem, the value for N2O emissions was counted
once, though it was calculated both for gas regulation and
nitrogen transformation
5.2.3 Evaluation of Ecosystem Services Provided by 10 Typical Rice

Paddies in China
Based on a reference review, this study investigated ESs supported by 10 typical

rice paddies in six rice planting regions of China (Xiao et al. 2011). The services
were primary production, gas regulation, nitrogen transformation, SOM accumu-
lation, and water regulation and flood control. The results indicated that grain
production of the 10 rice paddies was between 4.71 and 12.18 t/(ha year); straw
production was 4.65–9.79 t/(ha year); gas regulation was calculated to emit O2
ranging from 8.27 to 19.69 t/(ha year) and to assimilate greenhouse gases ranging
from −2.13 to 19.24 t/(ha year) (in CO2 equivalent); nitrogen transformation was
estimated as nitrogen input from 209.70 to 513.93 kgN/(ha year) and nitrogen
output of 112.87–332.69 kgN/(ha year); SOM accumulation was between 0.69 and
4.88 tC/(ha year); water regulation was estimated to consume water resources of
19,875 m3/(ha year) and to support water resources of 6430 m3/(ha year); and flood
control of several of the rice paddies was calculated to be 1500 m3/(ha year)
(Table 4). The integrated economic value of ESs of these rice paddies was estimated
at 8605–21,405 USD per ha per year, of which 74–89 % of the value can be
ascribed to ESs outside primary production. The integrated economic value of the
ESs of the 10 rice paddies was higher when nitrogen fertilizer was applied in the
range of 275–297 kgN/(ha year). Until now, the economic value of the rice paddy
ecosystem has been underestimated as only the economic value of grain and straw
production were previously calculated. As more and more forestland and grassland
Table 4 Integrated economic values per unit area of ecosystem services for 10 rice paddies in
China
Sites Primary Gas Nitrogen SOM Water Integrated
production regulation transformation accumulation regulation economic
values
Guangzhou 3013 11,557 287 2538 444 16,525
Changshu 2665 15,095 317 852 387 18,351
Chengdu 2219 11,654 −71 2063 385 15,407
Taoyuan 3564 14,735 264 3487 367 21,405
Yingtan 2556 4610 58 2509 359 9677
Bijie 2166 5486 497 1145 414 8605
Fengqiu 1484 7532 −1498 494 387 8657
Shenyang 2622 14,353 381 739 32 17,002
Hailun 1810 13,687 632 979 −22 16,338
Lingwu 2283 16,719 −906 1213 −204 18,878
Note All values are USD/(ha year). As values of grain and straw harvest in nitrogen transformation and primary
production were recalculated, only the economic value of primary production was calculated in the integrated
value. As the economic value of N2O emission was also recalculated in gas regulation and nitrogen transformation,
only the economic value of N2O emission in gas regulation was calculated in the integrated value
158 G. Xie et al.
is lost to urban and industrial uses, cropland, especially rice paddies, will become
more ecologically important to society. The economic value of ESs supplied by rice
paddies, outside primary production, are therefore worthy of increased research
attention.
In this section, we reviewed research on the ESs of agroecosystems and estimated

the economic value of ESs of (1) wheat-maize croplands in Luancheng County,
Hebei, (2) rice paddy fields in suburban Shanghai, and (3) 10 typical rice paddy
fields across China. The results indicate that primary production was the core
service delivered by these agroecosystems. Gas regulation, water conservation,
nutrient maintenance and transformation, and environment purification also con-
tribute to human well-being.
Agroecosystems support food and other critical ESs to people, but impair human
well-being by the addition of chemical fertilizers, pesticides, and herbicides. This
tradeoff between food production and the impassive effects remain a major chal-
lenge for the implementation of sustainable agriculture. Compared with natural
ecosystems, intensive agro-systems supply much more food and relatively fewer
ESs, such as gas regulation, water regulation, and nutrient transformation. The
impassive effects of intensive agriculture on social-economic systems counteract the
human well-being supplied by food and fiber production in the long run.
Agroecosystems with a natural buffer belt and those that compromise primary
production and other ESs are better choices for achieving primary products, other
ESs and sustainable agriculture. The future direction of sustainable agriculture will
be to manage agroecosystems by optimizing human well-being supported by both
primary production and other ESs.
6 Assessment of Marine Ecosystem Services in China
6.1 Introduction
ESs refer to the natural environmental conditions and their benefit formed by
ecosystems through ecological processes, on which humankind relies on for sur-
vival (Daily 1997). Since the early 1990s, studies on ESs have rapidly progressed
and become one of the dominant research topics and frontlines (Daily 1997;
Costanza et al. 1997). The promulgation of the MEA by the United Nations in 2005
has drawn broad attention and concern from the governments of many countries
and a wide variety of sectors of society. To date, almost every type of ecosystem on
earth has been assessed and we have gradually recognized the great value of natural
ecosystems to our long-term survival and development.
Marine ESs refer to the products and services provided for the survival and
development of human society by specific marine ecosystems within a given period
of time and through certain ecological processes. Compared to our knowledge of
land systems, our recognition and understanding of seas and oceans are relatively
poor. In particular, the complexity and uniqueness of marine ecosystems and the
applicability of assessment methodologies means assessments of marine ESs and
their values are extremely difficult.
6.1.1 Progress in Basic Research on Ecological Theories
The formation and realization of ESs requires the support of complex ecological
processes. Changes in the size of an ecosystem are influenced by changes in bio-
diversity. Many ecologists have conducted in-depth research on relationships
between ESs and biodiversity (Naeem and Li 1997; Loreau et al. 2001; Hemminga
and Duarte 2000). A number of researchers have also focused their efforts on the
formation mechanisms of ESs, including sources of ESs and methods for realizing
their value (Zhang et al. 2006; Wu 2006) and the influence of human activity on
ESs (Holmlund and Hammer 1999).
Naeem and Li (1997) found that biodiversity can strengthen the stability of
ecosystems and that biodiversity can prevent population loss and functional
reduction: the higher the species number, the more stable the ecological system.
Hemminga and Duarte (2000) stated that the correlations between biodiversity and
ecosystem functions/services are very complex. To study these correlations is very
important to elucidate the impacts of biodiversity on ecological system function,
and is also helpful when explaining reasons for protecting biodiversity rather than
protecting individual species alone. Using seaweed as a case study, Hemminga and
Duarte (2000) analyzed the supporting function of biodiversity for the function and
services of various ecosystems. Holmlund and Hammer (1999) defined fish ESs as
the maintenance of functions and elasticity of ecosystems and called these eco-
logical services derivatives of human demands. Holmlund and Hammer (1999)
stated that overexploitation of fishes globally not only reduces the total allowable
catch and the capability of population regeneration but also threatens ecological
services provided by fish populations, reduced biodiversity, ecological functions
and our welfare.
Zhang et al. (2006) analyzed ESs supported by major ecological processes,
including photosynthesis, respiration, biological pump functions, decomposition,
mineralization, calcification, bioturbation processes, nitrogen cycle processes,
biotransport, and bioabsorption. Referring to the classification methods of ESs
developed by Costanza et al. (1997), Wu (2006) divided ecological service func-
tions of a mangrove ecosystem in Guanxi, China into three types (resource function,
environmental function, and humanity function) and analyzed in the formation
processes for each service function.
160 G. Xie et al.
6.1.2 Progress in Basic Research on Economic Theories
The evaluation of the value of ESs requires the support of economic theory.
Costanza et al. (1997) analyzed the characteristics of ESs and stated that the total
value of resources was the sum of producer surplus and consumer surplus. Due to
the requirement of curve estimation for ESs and the difficulty in calculating con-
sumer surplus, a contingent valuation method (CVM) based on public surveys on
the willingness to spend on environmental quality improvement or willingness to
accept the tolerance of environmental loss, plays an important role in evaluation of
the nonmarket values of ESs (Loomis et al. 2000).
Stephen et al. (2002) expounded the economic and ecological meaning of values
and corresponding methods for evaluation techniques. Values based on utility
commodities and services reflect people’s willingness to acquire them or the
willingness of accepting compensation for giving them up, whereas values based on
trade reflect the values of commodity and trade services. In the evaluation of market
values, this value reflects the marginal values of the commodities or services.
However, in the evaluation of the nonmarket values, indirect estimation methods
are required. This method is new and a supplement method for the classical value
theory or a replacement of energy value theory, and is also one of the methods for
value evaluation on the natural assets recommended by ecologists and economists.
Time can be also used as a means for value evaluation (Farber et al. 2002). The
ecological footprint (EF) method based on material flow within ecosystems can be
used to carry out calculations and assessments by converting a variety of human
consumption and activity into land area (Rees 1992). Thus, evaluation methods for
monetization are not the only standard method for the value evaluation of ESs. Due
to convenience, this is the most common method used to evaluate the value of ESs.
Chinese researchers have conducted some research on economic theories for the
assessment of marine ESs. Based on labor theory of value and utility theory of
value, Wang et al. (2005) investigated the value theory of marine ecological
resources. Zheng et al. (2006) analyzed the role of ESs in meeting human
requirements from the angle of welfare economics. They stated that both the ESs
and human welfare influenced and interacted mutually. Through definition and
content analysis of ecological assets, Zheng et al. (2007) analyzed asset attributes
from the aspects of revenue, scarcity, and rights.
6.1.3 Progress in Research on Value Assessment Methods
Types of Marine Ecosystem Service Values
Analysis and classification of the components of marine ESs are the basis for
carrying out value evaluation of ESs. Pearce et al. (1989), McNeely et al. (1990),
Turner et al. (2001) have conducted substantial research on the components of ESs
and methods for assessment. Pearce et al. (1989) proposed a theory of the TEV of
natural resources that includes utilization values, existence values, and selection
values. The utilization values can be divided into direct utilization values and
indirect utilization values. The selection values include the individual’s future
utilization values, other peoples’ future utilization values and future generations’
utilization values. McNeely et al. (1990) stated that biological resources can be
divided into direct values and indirect values. The former can be further divided
into consuming utilization values and producing utilization values, whereas the later
can be further divided into nonconsuming utilization values, selection values, and
existence values. When Turner et al. (2001) discussed the utilities of wetlands and
their management, he divided the TEV of wetlands into utilization values and
non-utilization values. The utilization values included direct utilization values,
indirect utilization values, and selection values. The non-utilization values included
existence values and heritage values. Pearce et al., McNeely et al., and Turner laid
the foundation for theoretical research on the classifications of natural assets and the
values of ESs. It is generally accepted that the TEVs of ESs can be divided into
utilization values and the non-utilization values. The TEVs of marine ESs can be
correspondingly divided into utilization values and non-utilization values also.
Currently available assessment technologies can easily distinguish direct utilization
values from nondirect utilization values; however, due to overlaps among selection
values, heritage values and existence values, it is difficult to clearly distinguish
these from one another.
Economic Assessment Methods for the Value of Ecosystem Services
The value assessment methods for marine ESs are mainly divided into three types:
the conventional market assessment methods, replacement market assessment
methods, and proposed market assessment methods. For each marine ES, several
methods can be used to conduct assessments. Selection of the assessment method is
determined by the characteristics, application scope of the assessment methods, and
obtainability of data.
6.1.4 Applied Research
Research on the assessment of marine ESs has mainly been static assessments and
few studies have addressed dynamic assessments. More research has been con-
ducted on the specific types of ecological systems than on ecosystems at a regional
scale. More applied research has been conducted on direct assessments than applied
research on conclusive assessments.
Taking studies conducted by Chinese researchers as examples, in recent years
Chinese scientists have begun to pay attention to applied research on the man-
agement of functional assessments of offshore-coastal ESs. For example, Peng and
Hong (2006) established a series of ecological-economic models and conducted an
assessment and applied research on the value evaluations of ESs for the Xiamen.
162 G. Xie et al.
Shi et al. (2008, 2009a, b) examined bay and island ESs and methods of assessment
for Sangguo bay (Shi et al. 2008) and the Miaodao Islands (Shi et al. 2009a, b).
They constructed assessment models for detecting the sensitivity and uncertainty of
ES values (Shi et al. 2009a, b). Zheng et al. (2009a, b) constructed cost–profit
analytic models for marine aquaculture patterns based on the value theory of marine
ESs, and provided a feasible framework for incorporating ESs and their value
assessment into marine management.
6.2 Characteristics of Marine Ecosystem Services and Their

Values
6.2.1 The Alien Land Realization of Marine Ecosystem Services
Compared to land ESs, the alien land realization of marine ESs is especially
prominent. Due to the connectivity and dynamics of marine ecosystems, the values
of marine ESs are not usually realized locally. For example, climate regulation and
oxygen generation provided by marine ESs are usually realized at a global scale.
Furthermore, organisms within marine ecosystems can swim and migrate at a larger
scale and these characteristics result in marine ESs follow an obvious alien land
realization (Zhang et al. 2006).
Alien land realization makes the value assessment of marine ESs difficult. Due to
alien land realization of marine ESs, it is difficult to evaluate precisely what pro-
portion is contributed by alien land during the specific assessment process. It is also
difficult to determine the range of temporal and spatial scales for certain services.
6.2.2 Temporal and Spatial Scales of Marine Ecosystem Services

and Regional Dependence
The formation of marine ESs is dependent on ecosystem structure and processes at

certain spatial and temporal scales. Only within certain spatial and temporal scales
can the ESs play a leading role and cause significant impacts (Zhang et al. 2007).
Different types of ESs confer different utilities for humans in different temporal and
spatial scales. For example, the material supply service of an ecosystem is usually
more closely related to the interest of local residents, whereas the regulatory services
and supporting services of the ecosystem are usually related to the interests of people
at regional, national, and global scales. Cultural services are closely related to
interest-related aspects at the local-global scale. How large the temporal scale the
formation of marine ESs depends on is a difficult point that has attracted research
attention. For example, ESs such as marine tourist/entertainment and climate reg-
ulation can be realized at regional and global scales, but the size of the selected scope
of the scale of the assessment is an important factor that influences the size of the
assessment results.
Marine ESs are displayed as utilities that marine ecosystems provide for people.
However, the value realization of some marine ESs relies on local social and eco-
nomic conditions. For example, different coastal leisure/entertainment values (an
ES) at the same period of time differ. The leisure/entertainment values in the regions
where population density is high and the economy is well developed are usually
higher than for regions where the population density is low and the economy is less
developed. Even for the same coast, due to changes in the levels of economic and
social development over different periods of time, leisure/entertainment values also
change. Thus, marine ESs have obvious characteristics of regional dependence.
6.3 Problems with Value Assessments of Marine Ecosystem

Services
6.3.1 Deficiencies in Systematics, Theory, and Methods
Scientific systems for the theory and methods of value assessment of marine ESs
have not been established. Currently, there is a deficiency in systemic studies on the
formation mechanisms of marine ESs and routes for realizing service values.
A majority of applied research in this area comprises simulated applications of
theories and methods for land ESs. However, due to the systematics and dynamics
of marine ecosystems they differ greatly from land ecosystems and the application
of these methods influences the accuracy of the value assessment of marine ESs.
Taking the value assessment of the nonmarket ESs as an example, due to differ-
ences in social and economic development status, public psychological character-
istics, recognition level, understanding level and exploration and utilization
intensity, hypothetical market assessment technologies (such as conditional value
methods) widely applied to assessments on land ecosystems are less commonly
applied to marine ecosystems due to large errors. This influences the value
assessment of nonmarket ESs.
6.3.2 Further Improvements
Due to a lack of background multidisciplinary knowledge, our recognition of

marine ecosystems is not adequately deepened. Additionally, it is difficult to
acquire data and we usually place emphasis on assessment of the utilization values
(the direct utilization values and the indirect utilization values) and not the
164 G. Xie et al.
assessment of non-utilization values (selection values, heritage values, and exis-

tence values). Thus, our value assessment of marine ESs is neither complete nor
perfect.
Due to different regions, differences in possession of research data and differ-
ences in the understanding of the contents of marine ESs and the application of
different assessment methods, the comparability of assessment results across studies
is greatly reduced.
6.4 Conclusions and Discussion
6.4.1 Basic Research on Mechanisms of Marine Ecosystem Services

and Theories for Value Realization
The reason why current research on marine ESs is not adequately deepened is
mainly due to the complexity of marine ecological processes and the relatively low
level of marine exploration and utilization. We are still not clear what the sources of
many marine ESs are and this leads to incorrect evaluations or omission of parts of
ESs. Due to the characteristics of alien land realization and regional dependence,
when we conduct value evaluation we must have a clear understanding of the routes
and processes of realization of their values so that we can accurately grasp eval-
uation criteria. Thus, strengthening basic research on the formation mechanisms of
marine ESs and theories for realization of their values is the only method for
deepening and maturing our understanding of marine ESs.
6.4.2 The Uncertainty of Value Assessments
The accuracy of value assessments of marine ESs is consistently a tough problem in

this field of research. In reviewing the entire assessment process, the main errors are
outlined below.
Limitation of Assessment Methods
We do not have mature methods for the assessment of nonmarket values. Methods
such as substitute cost, conditional value, shadow project, and TC are usually
applied to evaluate nonmarket values. These methods have their own applicability
scope and prerequisites. For example, when the substitute cost method is applied to
assess the value of marine ESs and when certain ecosystems have two or more
substitute products or services, determining which product or service is the most
suitable becomes critical for whether the evaluation is accurate or not. When the
conditional value method is applied to study a person’s willingness to pay, the
interviewed person’s level of the recognition and understanding of ESs usually
influence their willingness to pay. We always place our hope on reducing errors
through larger samples; however, these errors cannot be eliminated entirely this
way.
The Weak Reliability of the Selected Assessment Criteria
Spatial heterogeneity exists between the supply of marine ESs and value realization.
During the assessment process, due to the limitation of available data, criteria used
for assessment of ecosystems in other regions are frequently cited. Attention should
be paid to conversion at certain temporal and spatial scales to avoid errors.
Differences in Researcher Recognition of Marine Ecosystem Services
Differences in researcher recognition of marine ESs are an important factor causing

assessment errors. Different researchers have conducted classifications and defined
assessment methods based on their own understanding of the ecosystem and no
uniform criteria for value assessment exist.
We must quickly establish the accuracy of value assessments for marine ESs,
perform comprehensive assessments on the distribution characteristics of a variety
of key factors and conduct research into uncertainty, so that we can provide a
relatively complete description for regional marine ESs and their value.
6.4.3 Applied Research on Management Based on the Values

of Marine Ecosystem Services
Research on marine ESs has mainly been static assessments at different spatial
scales, which do not truly reflect the responses and feedback of marine ecosystem to
man-made interference. An assessment of ESs forms a bridge between our recog-
nition of nature and ecosystems and management decisions. Assessments are also
the basis for ecological protection, ecological restoration, and ecosystem manage-
ment (Ouyang 2007). The goal of marine management based on ecosystems is to
make the supply capability of the ESs optimal through standardization and opti-
mization of regional human activity. Thus, to conduct research on the responses of,
and feedback from, marine ESs to human interference is needed to transition
research into a decision-making process.
Due to the limitation of our recognition of marine ecosystems and assessment
methods, our current attempt to conduct a complete and reliable value evaluation on
ESs is impossible to realize. The purpose of assessment on marine ESs is mainly to
uniformly incorporate nature and ecosystems into our economic system; the ulti-
mate goal is to apply the values of ESs. Often, we study only a few ESs that have
already been influenced by human activities and this could be a focal point for our
research on marine ESs into the future.
166 G. Xie et al.
7 Assessment of Regional Ecosystem Services in China
At the beginning of the twenty-first century, the impact of ecological degradation

on human welfare and economic development increased at a global scale. The MEA
was an important international cooperation plan initiated by the United Nations at a
critical turn of the century aimed at depicting the health condition of the earth’s
ecosystem through international cooperation and meeting the scientific require-
ments of decision-makers. The MEA was announced by the Secretary General of
the United Nations, Kofi Annan, in June 2001 and the assessment report was
officially released on March 30, 2005.
The MEA is an integrated assessment on ecosystem and human well-being at
multiple spatial scales, such as the community, basin, nation, region, and globe.
Due to high variability of ecosystems across space and time, the MEA deployed a
series of Sub-Global Assessments at all scales to ensure the evaluation results were
helpful for the effective management of ecosystems.
The Chinese Ministry of Science utilized the MEA scientific conceptual
framework and ecosystem assessment methods during the successful implementa-
tion of the Western China Development Strategy and consequently launched the
Western China Ecosystem Assessment (MAWEC) as part of a Sub-Global
Assessment of the MEA. In April 2001, the MAWEC project was officially rec-
ognized by the MEA as one of five first draft Sub-Global Assessment projects. In
March 2005, the MAWEC and MEA reports were simultaneously released in
Beijing.
The integrated ecosystem assessment of western China was based on the
framework of the MEA and proved to be a comprehensive assessment of the status
quo, evolution law and future scenarios of macrostructures and service functions of
ecosystem in western China. This platform was also a driving mechanism of
ecosystem change and the relationship between ecosystems and human well-being.
The MAWEC developed an integrated ecosystem process simulation and earth
information science system using multitier ecological zoning and information
systems to develop models for analyzing ESs. Data collected from nine areas
representative of ‘typical’ ecologies and socioeconomic conditions were used for
in-depth assessment and modeling at the local level. Trends and scenarios for water
and food supply services of various ecosystems, carbon storage, and biodiversity
were analyzed by combining developed models with geographical information
systems (GIS). Additionally, a method of surface modeling population spatial
distribution (SMPD) was developed to analyze the relationship between ESs and
human well-being. Integration of multi-scale information and discrepancies with
GIS data were handled through the development of high precision surface modeling
(HPSM).
Through in-depth research in these nine typical areas, MAWEC revealed key
conflicts between ESs and human well-being in different ecological zones and
systems, refined some effective human–ecosystem relationship optimization
models, and offered good examples to guarantee the sustainability of western China
ecosystems.
The results of the integrated ecosystem assessment of western China show that
due to the driving forces of climate change and human activities, in the past
20 years all kinds of ecosystems in western China have experienced different
degrees of degradation. For example, the area of permanent snow and ice continued
to decrease and desert area increased, but ecosystem diversity increased (important
carbon sequestration in China). As for the carrying capacity of ecosystems, the
surrounding metropolitan areas (parts of Gansu, Shaanxi, Ningxia, and Guizhou)
showed signs of overload, but the western area on the whole exhibited marginal
potential carrying capacity.
The results of the future scenario analysis showed that in the next 50–100 years,
due to increasing biological temperature in western China, rainfall will increase. In
addition to human-driven systematic ecological restoration and reconstruction,
ecosystem diversity and forest cover will increase, productivity for all kinds of
ecosystems will increase and carbon sequestration will strengthened. However,
rising temperatures will lead to a constant shrinking of the permanent snow zone on
the Qinghai Tibet Plateau and northwest China and the area of desert will expand at
a low rate.
The food supply function of ecosystems in western China will rise on the whole.
Food area in the northwest increases greatly. The food supply potential of eastern
parts of Inner Mongolia, Guangxi, Yunnan, and the Qinghai Tibet Plateau will fall
slightly or experience less obvious change. Though there are increases in other
regions, the increase was significantly lower than that of northwest China.
According to analysis of population growth, the carrying capacity of ecosystems in
western China guarantees population development over the next century.
In the next 50–100 years, if China engages in effective ecosystem protection and
restoration according to western China development plans, ecosystems in western
regions will show a benign development trend. If the intensity of human activities
goes beyond the regulation range of ecosystems, western ecosystems will maintain
their current trend of degradation and this may even accelerate.
In response to global environmental change and intensified human activity
affecting ecosystems in western China, the following policy stages are necessary:
(1) According to ecological function zoning, conduct regional targeted ecological
construction, guide the behavior of people in particular ecological zones and
ecological systems, and avoid blind development.
(2) Adopt building a water-saving society as a basic strategy. Adapt measures to
local conditions to develop the utilization and protection of water resources.
For example, develop and utilize water resources of international rivers
properly; develop soil reservoirs, forest reservoirs, and reservoirs; change
slopes to terraces or flat farmland; conserve water through farmland; and
conduct afforestation and water conservation.
(3) Implement desertification control projects and protect vegetation. Protect existing
vegetation and strictly prohibit random deforestation, disordered mining,
168 G. Xie et al.
farming, and grazing. Define ecological imbalanced areas which are difficult to
restore or are sharply deteriorating as ‘Depopulated zones’ or ‘No animal areas’ in
order to facilitate ecological balance and recovery in these regions.
(4) Ecological environmental construction is a long-term and complicated systematic
project. Given the scale of households over a vast area, simple government
investment and fiscal subsidy policy is insufficient for change: there is an urgent
need to establish a complete policy system that ensures ecological environmental
construction in western China. In particular, all economic activity in the deser-
tification area requires judicial management and strict monitoring.
(5) Taking water and soil resources carrying capacity and ecological environment
capacity as the premise and the structure-function-balance-efficiency principle
of the ecosystem, optimize system structure and enhance system function;
combine ecological construction with economic development; vigorously
promote industrialization of agriculture; and cultivate ecological economic
systems to break the vicious spiral of vulnerability-poverty and fragility.
(6) Implement ecological compensation mechanisms across China. Long-term
investment of people, money and materials are needed in the middle and upper
reaches of rivers to implement ecological management and protect vegetation
and water and enhance ecological environmental security downstream; sacri-
fice economic interests to some degree in these areas. The nation should take
responsibility, duty and authority into consideration. Establish comprehensive
economic compensation mechanisms in ecosystem function benefit areas and
ecosystem function protection and provision zones, and realize common
prosperity in eastern and western China.
8 Consumption of Ecosystem Services
8.1 Introduction
According to the MEA, approximately 60 % of ESs are degraded or used unsus-

tainably and human activity is a major driver of these changes (MEA 2005). In
recent decades, research has focused on ES studies and especially the concepts and
theories underpinning this concept (Daily et al. 2000; Ouyang et al. 1999a, b) and
economic assessments of global, regional, and typical ES (Costanza et al. 1997;
Turner et al. 2003; Ouyang and Wang 2000; Zhao et al. 2000; Xie et al. 2001).
The MEA has addressed the interrelationship between ES changes and human
well-being and this has become a way forward for ES studies (MEA 2003).
Given recent population growth, rapid economic growth and associated changes
in lifestyle, the human utilization and consumption of goods and services provided
by natural ecosystems are changing rapidly. Here, we aim to summarize research
progress on human consumption of ES and highlight major challenges into the
future.
8.2 Conceptualization and Measurement of Ecosystem

Service Consumption
Consumption is a process whereby humans use goods and services to meet basic
needs and demands for survival (Shen, 2008). Ecosystem service consumption
(ESC) is defined as the human utilization and occupation of natural ecosystems’
goods and services in order to meet demands for production and living (Zhen et al.
2010). Therefore, ESC includes individual consumption and production con-
sumption; the latter refers to the utilization of other ES in order to produce certain
kinds of ES, for instance, food provision service depends on soil formulation, soil
and water conservation, and other services. Individual consumption refers to our
daily consumption, utilization, and occupation of ES. Consumption behavior sig-
nificantly influences human consumption features, which can be divided into the six
aspects of who, when, what, where, why, and how (i.e., 5W1H). Due to differences
in consumption behavior, different CPs can be identified. CP reflects main con-
sumption features over a certain time period, and includes components of con-
sumption, level of consumption, structure of consumption, approach of
consumption and trends in consumption, expressed as follows (Zhen et al. 2008):

Ec ¼ Edc f ðXa ; Xhz ; Xgen ; Xedu ; Xbev ; Xcmr ; Xinc ; . . .; Xn Þ þ Eidc
where Ec = total ES consumption; Edc = direct ES consumption, of which, Xa:

accessibility to ES, Xhz: household size; Xgen: sex; Xedu: educational attainment;
Xbev: consumption behavior; Xcmr: type of consumers; Xinc: income of consumers;
and Eidc = indirect consumption, which includes consumption of regulation and
supporting services like water and soil conservation and soil formation for the
production of goods and services.
Both physical and monetary assessments can be used to evaluate ESC.
(1) Physical measurements directly assess the actual quantity consumed and are
commonly used for measuring food, fuel wood, water, raw materials, medicine, and
other goods consumed. Some ES are indirectly consumed for producing directly
consumed goods and services and therefore the total consumption of ES should
include both of direct and indirect consumption. For example, for food consump-
tion, we need to calculate both the food quantity consumed and other ES such as the
water and soil nutrients necessary for food production. (2) Monetary assessment is
normally used for marketable goods where market prices are available and values
can be calculated. For ES that do not yet have market value, alternative methods can
be used such as the CVM to determine willingness to pay and willingness to accept
by stakeholders through intensive questionnaires measuring landscape amenity.
Those are only few of the commonly used methods for ESC, however, specific
methods for ESC quantification would need to be identified and applied during
actual case studies.
170 G. Xie et al.
8.3 Case Studies of the Consumption of Ecosystem Services
8.3.1 Consumption Pattern and Accessibility
CPs are affected by the availability and accessibility of ES. Based on household
questionnaires in the Mongolian Plateau in 2006, we found that herders relied
heavily on ES produced locally such as meat, milk, and products (Zhen et al. 2010)
(Table 5). To reduce risks, herders normally combine different consumption items
and diversify their consumption. Mongolian herders tend to accept diversified meat
consumption like mutton, beef, and horse meat, while Inner Mongolian herders
used different fuels such as fuel wood, crop straw, and animal dung. Accessibility to
ES is affected by distance, time, and the costs involved in obtaining the ES. We
selected fuel wood consumption to investigate the influence of accessibility to fuel
wood resources on consumption in the upper stream of the Jinghe watershed on the
Loess Plateau. Through surveys, we found that fuel wood collection intensity
decreased from 2000 to 2005 as some households had given up fuel wood col-
lection due to poor accessibility.
In recent years, an increasing number of Chinese studies have focused on rela-
tionships between ES production and consumption. The EF has been widely applied
to the calculation of land resources required for producing consumption items (Xu
et al. 2002; Jiao et al. 2010). Dong et al. (2006) estimated the balance between ES
Table 5 Consumption patterns of ecosystem services on the Mongolian Plateau

Consumption pattern Proportion of household surveyed (%)
Mongolia (N = 150) Inner Mongolia (N = 102)
Meat Mutton 4.7 8.3
Beef 0.7 13.9
Mutton + beef 15.4 75.0
Mutton + horse meat 13.4 0
Beef + horse meat 0.7 0
Mutton + beef + horse meat 64.4 0
Dairy Milk 33.6 83.3
Butter 2.0 0
Milk + butter 58.4 0
Fuel Fuel wood 18.8 0
Dried grass 0.7 0
Animal dung 38.9 27.8
Fuel wood + straw 0 5.6
Fuel wood + animal dung 19.5 44.4
Fuel wood + coal 2.0 0
Dried grass + animal dung 0 11.1
Straw + animal dung 2.7 8.3
Source Zhen et al. (2010)
supply and consumption in Taicang city, Jiangsu using the methods of alternative
cost, shadow price, and protection cost and found that total production and con-
sumption remained balanced from 1996 to 2001, but after 2001 consumption
increased quickly leading to a rapid decline in net value between production and
consumption. Consequently, total consumption exceeded total production.
8.3.2 Utility Function Derived from ES Consumption
The ultimate purpose of consumption is to achieve maximum utility function (UF).

In ES consumption studies, UF refers to the consumption behavior, preferences,
and choices of consumers (Lui 2009). The Cobb–Douglas function is adopted to
analyze UF of imperfect substitution consumption types (Varian and Repcheck
2006) and the main variables used for the analysis include quantity of the items
consumed and preference (represented by cost). This method identifies the appro-
priate and alternative combinations of different consumption items if certain UF is
desired (Fig. 5). Based on household survey data in the Jinghe watershed, we found
that when the consumption of grains, vegetables and fruits, and meat, egg, and milk
were 200, 200, and 26.6 kg, respectively, the UF was 123. However, when grain
consumption remained unchanged, vegetable and fruit consumption declined by
100 kg and an additional 102.4 kg of meat, egg, and milk was needed in order to
maintain the same UF, meaning the total cost will be increased by 546 CNY.
Expenditure on food is important for UF. An ideal UF can be reached through
readjustment of the quantity of each of the food items consumed (Table 6) and this
is useful when identifying a rational consumption structure with high UF but with
lower cost and resource use.
Fig. 5 The utility function

172 G. Xie et al.
Table 6 Utility function and associated consumption patterns under different expenditure levels
Expenditure (CNY/year) ≤500 500–1000 1000–1500 >1500
UF/person 60 78 125 179
Consumption/person year ACa MUFCb AC MUFC AC MUFC AC MUFC
Grains (kg) 162 151 200 184 221 221 275 246
Vegetable + fruit (kg) 30 27 95 76 194 177 309 283
Meat, egg and milk (kg) 8.4 6.4 17.9 17.6 37.2 32.7 46.9 43.2
Actual expenditure 393 353 726 639 1216 1127 1727 1573
(CNY/year)
Source Household survey in the Jinghe watershed 2008
a
Actual consumption
b
Consumption under MUF
Human consumption of ES significantly impacts natural ecosystems, and it is

important to examine interactions between ESs and socioeconomic systems (Li
2008). Here, we conclude that humans directly (e.g., provisioning services) and
indirectly (e.g., regulation and cultural services) consume ES and that both physical
and monetary methods are being used for these assessments. CPs are affected by the
availability and accessibility of ES. The UF can be achieved through different
combinations of ES types and quantities consumed.
Many challenges exist in this field of study. For example, there would be
cross-calculations on indirect consumption when considering food consumption for
items such as water and soil conservation, soil formation, primary production, and
nutrition circulation. It is necessary to explore the relationship between production
and consumption regions when consumed ES are transported from other regions
and in-depth case studies are required here. The UF needs to be further investigated
to establish functional relationships between consumption and its utility in order to
maximize resource use while meeting our basic consumption needs.
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Chapter 8
Ecosystem Management
Limin Dai, Guofan Shao, Jizhou Ren, Tao Wang, Guangting Chen,
Xianguo Lv, Qinzeng Xu, Hongsheng Yang, Qiang Xu, Shiming Luo,
Lin Ma, Liu Qian, Wenqi Ma, Fusuo Zhang, Jikun Huang,
Xiangping Jia and Cheng Xiang
Abstract Ecosystem management is to make adaptive management strategy based

on full understanding the process of composition, structure and function of eco-
logical system, and to restore or maintain ecosystem integrity and sustainability.
Forest ecosystem management attempts to maintain forest ecosystem complex
process, path and the interdependent relationship, and maintaining their function
good, for sustainable forest management and forest ecological system, and estab-
lishing and developing comprehensive theoretical system of forest ecosystem and
sustainable forestry management system and decision support system, method and
technology system. Grassland ecosystem is the prairie land biological coupling with
L. Dai
State Key Laboratory of Forest and Soil Ecology, Institute of Applied Ecology,
Chinese Academy of Sciences, Shenyang 110164, China
G. Shao
Department of Forestry and Natural Resources, Purdue University, West Lafayette,
IN 47907, USA
J. Ren
State Key Laboratory of Grassland Agro-ecosystems, College of Pastoral and Agricultural
Science and Technology, Lanzhou University, Lanzhou 730020, China
T. Wang G. Chen
Research Institute, Chinese Academy of Sciences, Cold and Arid Regions Environmental
and Engineering, Lanzhou 730000, China
X. Lv (&)
Chinese Academy of Sciences, Northeast Institute of Geography and Agroecology,
Q. Xu H. Yang Q. Xu
Chinese Academy of Sciences, Institute of Oceanology, Qingdao 266071, China
S. Luo
Institute of Tropical and Subtropical Ecology, South China, Agricultural University,
Guangzhou 510642, China

DOI 10.1007/978-3-662-48376-3_8
180 L. Dai et al.
its survival in nature. Absorbing new achievements of science and technology, to

build and to make the new grazing system unit perfect, and make it as the indis-
pensable important component of modern agriculture. Desert ecosystem management
needs to solve problems of harmonious interaction and the sustainable development of
river basin, as well as the ecological water requirement of river basin security prob-
lems. Desert ecosystem management must adopt comprehensive ecological man-
agement measures in the process of management, give attention to utilization and
protection to optimize economic, social, and environmental benefits. Wetland surface
interaction process and the system response, the succession of wetland ecosystem and
its ecological effect, and the further research of wetland ecosystem function evaluation
becomes scientific foundation to explain wetland process route and wetland ecosys-
tem management. Lake ecosystem is affected by human activities. Controlling food
chain control of biological on the basis of the classic and nonclassical biological
control theory is one of the important measures to control eutrophication in lake.
Aquatic plant restoration is also very important in the process of eutrophication in
lake. We developed the marine ecosystem management system in China, including
ocean space planning and Marine functional zoning planning, Marine nature reserve
construction, fishing intensity control and the closed fishing rule, ecological
restoration and resource conservation, maintenance management information system
construction, and emphasize more on the ocean in terms of ecosystem management in
new pattern. Driven by the interests of the market due to the economic benefit and
production effect, ecological environmental benefits are neglected in agricultural
ecological system. Using the ecology principle “prevention and control of integrated
system” is the fundamental way for agricultural pest control.

Keywords Grassland ecosystem management Forest ecosystem management

Desert ecosystem management Wetland ecosystem management BKF restoration
measures
L. Ma F. Zhang
Centre for Resources, Environment and Food Security, China Agricultural University,
L. Qian
Wageningen University and Research Centre, P.O. Box 47, 6700 AA Wageningen,
The Netherlands
W. Ma
College of Resources and Environmental Sciences, Agricultural University of Hebei,
Baoding 071001, China
J. Huang X. Jia C. Xiang
Chinese Academy of Sciences, Center for Chinese Agricultural Policy, Beijing 100101,
China
8 Ecosystem Management 181
1 Forest Ecosystem Management in Northeast China
1.1 Introduction
About one-third of China’s natural forests are found in its northeastern region,
including the Daxing’anling, Xiaoxing’anling, and Changbai Mountains (Tang
et al. 2009). Northeast (NE) China is not only an important national base for wood
products, but an ecologically significant region as well.
Broadleaved-Korean pine mixed forest (BKF) is the native climax forest vege-
tation in the eastern part of NE China and accounts for a large proportion of the
temperate forest zone both in the Xiaoxing’anling and Changbai Mountains. BKF is
primarily comprised of Pinus koraiensis and broadleaved tree species such as Tilia
amurensis, Betula costata, Fraxinus mandshurica, Juglans mandshurica, Quecus
mongolica, Acer spp., and others (Dai et al. 2003). This forest type, thus, constitutes
not only a huge gene pool and a rich reservoir of biodiversity, but also has great
economic and societal values. However, due to long-term human disturbance in the
region, including extensive logging in the latter half of the last century, the area of
primary BKF forests has decreased substantially, accompanied by severe disruption
of stand structure and serious degradation of overall forest quality and function (Pei
2000; Hao et al. 2000). In effect, the history of forest logging and management in
BKF mirrors the developmental history of forestry in NE China. Addressing the
challenges in forest management of BKF in NE China is thus essential for the
sustainability of these forests in the future.
1.2 1949–1998: Human Disturbance
During the latter half of the past century, especially in the early years of the
People’s Republic of China, the main goal of forestry in NE China was to produce
timber in order to meet the exigent demands of economic construction and social
development. As a result, excessive harvesting of timber was encouraged (Zhou
2006a, b; Zhang et al. 2000).
In 1950–1956, diameter-limit harvesting of BKF forests was the rule. Although,
this promoted forest regeneration to some extent, because most of the young trees
were broadleaved species of low quality, this guideline led to large areas of sub-
standard young broadleaved mixed forest in NE China (Liu 1963, 1973).
During 1957–1965, clear-cutting with artificial regeneration was the predomi-
nant harvesting regime (Wang et al. 1997). Cutting in narrow, broad, and unequal
strips were all adopted (Liu et al. 1965). As a result, large areas of primary BKF
disappeared and were replaced with equally large expanses of Korean pine plan-
tations (Dai et al. 2004).
182 L. Dai et al.
The most drastic phase of this early exploitation of the country’s timber
resources occurred from 1966 to 1976 during the 10-year period of the “Cultural
Revolution,” when neither clear-cutting with artificial regeneration nor selective
harvesting with other silvicultural treatments were employed by most of the forest
bureaus in NE China. These were replaced by heavy selective cutting methods with
intensities of 70–90 % and no artificial regeneration (Dai et al. 2003; Deng 2008).
Thus, forest landscapes were fragmented (Shao and Zhao 1998), and much of the
remaining primary BKF were replaced by large areas of low-quality secondary
forests (Shao et al. 2001).
From 1978 to 1998, although some protective measures and forestry laws were
adopted, they were not sufficient to sustain the nation’s forest resources (Zhao and
Shao 2002). Excessive logging of natural forests in NE China was not effectively
prevented, and small-area clear-cutting was a common practice until 1996 (Shao
and Zhao 1998). In addition, serious problems of illegal timber cutting and resultant
excessive deforestation were also rampant (Xu et al. 2004).
1.3 Conservation Efforts
During the last half century of extensive logging of BKF in NE China, some efforts
at resource conservation were also attempted. Thus, for example, several nature
reserves in which harvesting of BKF was prohibited were established, beginning in
the 1960s with Fenglin and Liangshui reserves in Xiaoxing’anling and the Chagbai
Mountain Nature Reserve in 1960. Although not seeing fruition as implemented
polices, attention was given in the scientific community to exploring ways of
formulating and adjusting forest laws and regulations in seeking a balance between
forest utilization and conservation, forest growth and harvesting, and between
developing forest plantations and harvesting natural forests (Wang et al. 2004).
Forestry scientists did begin to consider the relationship between BKF har-
vesting and its restoration as early as end of the 1950s. First, the biological char-
acteristics of Korean pine came under debate with the publication of three papers by
a Japanese ecologist in the 1950s (Guo et al. 1995). With respect to natural
regeneration, researchers who viewed Korean pine as a shade-intolerant species
insisted that clear-cutting was the best approach to managing BKF forests, while
others who considered Korean pine to be a shade-tolerant species insisted that it
should be selective harvesting (Liu et al. 1965). At the same time, forestry scientists
who claimed that Korean pine is shade-intolerant investigated areas of cutover lands
and found that the natural regeneration of Korean pine was unsatisfactory (Wang
1957; Liu 1957).
Thus the situation regarding Korean pine natural regeneration and forest
restoration after harvesting became a dilemma for researchers. As debates contin-
ued, new perspectives eventually emerged. From the perspective of botanical
dynamics, Liu concluded that the tolerance of Korean pine varies with age, in that it
requires shade as a seeding followed by sunlight thereafter. It was thus proposed
that selective harvesting combined with subsequent silvicultural treatments was the
appropriate management approach for BKF (Liu 1963; Wang et al. 1997). This
helped clarify the perplexing problems regarding the biological characteristics of
Korean pine as well as the dynamics of Korean pine regeneration. As a result,
prescriptions for appropriate harvesting methods, including a core of postharvest
silvicultural treatments, gradually became more crystallized.
In the 1980s, based on years of research, the management theory of “Plant
conifers and reserve young broad-leaved trees” for BKF was put forward (Zhou
1982). This method offered a much more effective approach to mixed forest
management in the region by integrating conifer planting with a protective strategy
regarding the general problems of plantation management. In effect, it signaled that
forest management of BKF in NE China was maturing.
During this time forest researchers in China also continued making efforts to
explore ways of formulating and adjusting forest laws and regulations (Wang et al.
2004). In 1981, the “Resolution on Issues Concerning Forest Protection and
Development” was issued; and in 1984, the Forest Law of China was passed. In the
same year, forest management strategies based on a five-category classification
system of forest resources was also put into effect (Dai et al. 2009, 2011). In 1987,
“cutting quotas,” which regulated the annual timber, output, were introduced (Liu
2001; Dai et al. 2013). All of the above effects, while only marginally successful in
slowing the enormous pressure on BKF as a source of timber for economic
development, helped lay the foundation for more permanent changes in the future.
Many feel that the corner was turned in 1998, when China broadened the focus
of forest management in the country and launched the Natural Forest Conservation
Program (NFCP) aimed at protecting and restoring natural forests (Zhang et al.
2000; Dai et al. 2009). At the same time, China’s forest law was amended to
reclassify the five forest categories into two—Commodity Forest (CoF) and
Ecological Welfare Forest (EWF) (Cai et al. 2003). These changes have provided
unique opportunities to pursue ecosystem management of forests in NE China
(Zhao and Shao 2002). To aid in this process, state financial funding for forestry
was further enlarged, and the forest harvesting quota in NE China was further
decreased. Unlawful timber cutting and excessive logging were also effectively
contained. In addition, a digital decision support system was used for managing and
protecting primary forests in NE China (Shao et al. 2003, 2005). These changes and
innovations have provided formal recognition and official status to the many other
functions and services of forests in addition to timber production. Moreover, with
respective to Korean pine, this species may no longer be harvested for timber in NE
China, but only utilized as a seed-tree species (Yu et al. 2011).
All of the above measures had immediate and significant effects on forest
resource protection and restoration in NE China. Since their adoption, forest area of
BKF has slowly increased (Wang et al. 2004).
184 L. Dai et al.
1.4 Current Problems and Challenges in BKF Sustainability
The practice of monoculture forestry for several decades in NE China not only
contributed to many economic difficulties in forested regions, but also to a series of
ecological disasters for BKF (Shao et al. 2003).
(i) The area of primary BKF decreased substantially and was replaced with
low-quality secondary forests. Even within the existing primary BKF, tree
species composition was modified with only Korean pine being reserved and
associated tree species such as Manchurian ash (F. mandshurica), Amur cock
tree (Phellodendron amurense), and Manchurian walnut (Juglans maudsurica)
declining or disappearing.
(ii) The sharp decline in the quantity and quality of primary BKF has resulted in
the loss and fragmentation of natural habitats, along with the decline and
disappearance of ecological functions and services.
(iii) Forest age structure of BKF was suboptimal while it was dominated by
old-growth forest, with a much smaller proportional representation of
middle-aged and young age classes, which contributed to the poor regenera-
tion of BKF in NE China.
On an overall basis, ecosystem management remains a primary philosophical
concept underlying the management of China’s forests, especially for dealing with
large spatial scales and long time frames. It also represents the foundation for
addressing the array of challenges faced by forest managers and forestry scientists
in meeting the country’s demands for sustainable multiple-use management of the
nation’s forests.
1.5 BKF Restoration Measures
In view of the problems for BKF outlined earlier and with the aid of lessons learned
during the country’s tumultuous history of forestry development, it is worthwhile to
consider some restoration measures for BKF in NE China.
First, the protection of existing primary old-growth and mature BKF both in the
center and buffer zones of nature reserves is paramount for the restoration of
biodiversity and ecological functions. This includes the prohibition of timber har-
vesting and any other human activities that would damage the integrity of core
ecosystems, as well as reasonable protection of buffer areas to ensure the caliber of
ecological attributes and processes.
Second, the quality of the large areas of natural secondary forest should be
improved through effective silvicultural practices and management regimes in a
multiple-use framework that encompasses both restoration of regenerative capaci-
ties and utilization of timber resources.
Third, the development of plantations for large diameter tree should be accel-
erated to replace components of existing plantations with low quality and short
rotations so that an effective mix of both short and longer rotations can better
address societal demands for wood production.
2 Grassland Ecosystem Management
Grassland ecosystems are an important component of terrestrial ecosystems.

According to FAO’s statistics, 69 % of agricultural land is permanent grazing land,
where Oceania, sub-Saharan Africa, South America, and East Asia were 89, 83, 82,
and 80 %. Grazing systems provide mankind with more than half of meat, 1/3 of the
milk, fur, and other animal products.
Grazing is the human agricultural behavior on the aim of grassland management
as well as utilization through livestock grazing. Grazing has two aims. One aim is to
keep pasture healthy via managing grassland. Another aim is to produce animal
products, which can achieve sustainable economic benefits.
Grazing contains dual combination with interface: grassland—livestock—habitat
which constitute factor groups, it is the initial combination of grazing behavior;
based on this foundation, spatial and temporal combination of grassland—livestock,
that is to say, secondary portfolio of grazing behavior is implemented, and further
contribute grassland and livestock cooperative development.
Grazing go through different historical stages, a dramatic change had taken place
especially at the late nineteenth to early twentieth century, which was a critical
period, and finally in 1930 completed a grazing modernization. Modern grazing is
still prevalent in North America, Australia, New Zealand, Western Europe, and
Northern Europe.
Grazing is a “double-edged sword,” it is our powerful tool for grassland man-
agement as well as to achieve livestock products with appropriate use. But if
misused, too light or overgrazing, for example, it will damage the grass as well as
lead to low productivity. The key is to make good use of grazing. We do not treat
grazing as a tool for grassland management, instead, grazing has been demonized,
and grassland ecological degradation, pastoral poverty, and cultural backwardness
ascribe to the grazing. Many districts forbid grazing in order to highlight grassland
management reform efforts. For now grazing forbidden is prevalent all over the
country, even called for more than 90 % of the grassland should be completely
abolished grazing in two or three years, this should arouse us great concerns.
Grazing is a system constituted of three elements which are human settlements,
grassland, and livestock in grassland ecosystems. The grassland ecosystem main-
tains healthy development status only under the correct use of grazing and coexist
the three elements in harmony.
The grassland carrying capacity shows dimensionless of carrying capacity under
grazing pressure, it contains three elements: yields of grassland which is denoted by
a, grazing duration which is denoted by b, and the number of grazing animals
186 L. Dai et al.
which is denoted by c. So for the measurements of carrying capacity, there are three
formulations: area, time (duration), and livestock.
Carrying capacity area unit load method: a = b × c, expressed as a paddock, for
given animals, how much time grazing in the area.
Carrying capacity time (duration) unit load method: b = a × c, expressed as a
paddock, allowing livestock grazing how much time.
Carrying capacity animal husbandry unit load method: c = a × b, expressed as a
paddock, a certain time to allow how many animals grazing.
There can be mutual conversion among the three units, in order to facilitate the
calculation, often based on one kind of livestock by habit, European and American
adopt “cow units,” while China, New Zealand, and Australia adopt “sheep units.”
Because they differ in livestock species, body sizes, production levels and man-
agement, productivity denoted by carrying capacity which expressed the grassland
conversion efficiency is also different. The real carrying capacity is grassland and
livestock husbandry system coupling reach close to a perfect desired level, in other
words, it depends on the overcoming process and overcoming degree of time
contrary, species contrary and space contrary in interface system coupling between
grassland and herbivore.
The most simple and accurate metering system is animal production unit (APU).
One APU is equal to a moderate fertility grazing cattle weight gain 1 kg, which is
equivalent to 111 MJ digestible energy (DE), or 94.2 MJ metabolizable energy
(ME), or 58.2 MJ net consumption growth energy (NE) as well. APU of variety
grazing livestock is just compared to the energy consumption of fertility grazing
cattle weight gain 1 kg, in this way, the APU coefficient of livestock can obtain.
Any livestock production in grassland anywhere can convert to APU by the
coefficient (Table 1). APU directly describes the final grassland productivity, in
addition, it reflects comprehensive scientific and technological level of grassland
management indirectly, it is the most accurate way to measure grassland load as
well. APU measures the true grass loads simultaneously avoiding deviation caused
by livestock species, numbers, management, and other factors since it is according
to the principles of energetic grassland production.
Grazing went through a long process of historical development. After a primitive
nomadic stage, which last from the late Pleistocene to early Holocene (8000 aB.P–
6000 aB.P.), after the global flood subsiding. Nomad is the survival forms of early
humankind, for they moved from place to place in search of water and grass. In East
Asia, as represented by the Hongshan culture, creating a golden era when there is
harmony between man and nature. Herbivore has the instinct of looking for grass
and water, human trail the animals, it is so-called “grazing.” The herds lead to
migration of human, its essence is human tracking food source, just as wolves
following behind the deer to hunt for food at any time. Grass—herds—human food
chain, which forming a ring of ecosystems. When people put this grazing system
from passive to active and fixed, to be manipulated on the completion of the first
human bionics, it was a big step forward of human civilization.
With the formation of human habitats, there were organized grazing order
according to the natural watershed, the key point is grazing system unit of habitat–
Table 1 The conversion of animal product unit and different animal products
Livestock production Animal production unit
Weight gain 1 kg 1.0
Carcass of 50 kg sheep 22.5 (Slaughter rate 45 %)
Carcass of 280 kg cattle 140.0 (Slaughter rate 50 %)
Edible offal 1.0
1 kg standard milk (Fat content 4 %) 0.1
1 kg various clean fur 13.0
One three-year-old serving horse 500.0
One three-year-old serving cattle 400.0
One four-year-old serving Camel 750.0
One four-year-old serving donkey 200.0
Serving horse work for a year 200.0
Serving cattle work for a year 160.0
Serving camel work for a year 300.0
Serving donkey work for a year 80.0
One sheep skin(fur sheep breed) 13.0
One fur coat 15.0
One cowhide 20.0 (or count as 7 % live weight)
One horse skin 15.0 (or count as 5 % live weight)
One sheep skin 4.5 (or count as 9 % live weight)
One weed out mutton sheep(live weight 50 kg) 34.5 (or count as 69 % live weight)
One weed out mutton cattle (live weight 280 kg) 196.0 (or count as 70 % live weight)
grassland–livestock. Its basic elements were seasonal pastures within one year or
between years, in other words, it contains grazing pastures of different seasons,
which can constantly provide or offer rotary grazing fields, this ensure relative
stability of the grazing system unit. In the long history of the social development,
with combination of human habitats, social may change significantly, but we should
keep stability of grazing system unit, and its managing model of habitat–grassland–
livestock has no essential alteration. Grazing system unit—the symbiosis of habitat–
grassland–livestock is an enduring legacy of primitive society, it finally, inevitably
will find and create its own grazing system unit no matter how social order turbulent
and change, otherwise, it will lead to the collapse of nomadic society. Grassland
animal husbandry management system gradually transmute on the premise of sta-
bility of the grazing system unit and complete modernization of livestock grazing
finally, its key aspect is transformation of grazing management. From original
nomadic stage to livestock modern grazing phase, which can be called
“pre-modernization grazing” period. This process may be long or short, early or late
due to social conditions divergence, but from original nomadic stage to livestock
modern grazing phase which is a necessary historical process. In western countries,
188 L. Dai et al.
with the industrializing, industrial civilization penetrates to grassland management,

which built a more scientific and meticulous management system and completed the
transformation of grazing management as well. The grazing development history of
North America has typical sense to grazing history, this article takes Americans for
example. America is in state of primitive nomadic under American Indian before
colonialists invaded the American continent. After American civil war, with arrival
of the fast economic development, “westward movement” completely broke the
grazing system of native Indians. The government established Indian reservation,
and then forced aboriginal moved to protected areas, and allocated most of grass-
land to new immigrants. It provided great favorable conditions for the development
of grazing livestock of western United States. A lot of social capital put in grassland
animal husbandry of western United States, new cattle nurture companies emerged
massively and got climax of foreign investments, which constituted “Livestock
Kingdom.”
America’s “westward movement” lasts three centuries from 1607 to 1890, when
black storm swept prairie. The United States gradually formulated relevant laws and
regulations in the context of this disorder situation. The modern transformation of
grassland management had been basically completed at 1934 when promulgated the
“Taylor grazing act.” Its iconic features can be summarized as follows: (i) ranch
boundaries clear, grassland property rights was protected by law; (ii) with devel-
opment of the industrial production of fence, grazing grassland gradually improved
which focus on rotational; (iii) establishing good drinking water system, it was to
support rotational grazing; (iv) after the gradual development of ultra-biological
production level, market disciplined; (v) the modern grassland management sci-
entific system initially formed, the textbook “grassland management” published,
and published professional monograph; (vi) making full use of system coupling,
combined with the different ecological and economic zones, in which rotational
grazing as the core, at last established grassland—beef cattle systems, grassland—
cow system, grassland—sheep systems. In summary, the human’s grazing tech-
niques went through three stages of development in transition which are original
grazing, extensive grazing and intensive grazing, lasting three centuries. Our
country is totally unaware of transformation of grazing, treating original grazing as
the only type and behind things, in this case, grazing has been repeatedly aban-
doned over the years. This article criticizes several misunderstanding on grazing
cognitive: “grazing is a backward, primitive mode of production”; “grazing should
be replaced by soiling”; “grazing damages grassland”; “ to replace all natural
grassland with cultivated grassland”; “ the way of saving grassland degradation is to
break up into small pieces, subcontracting home”; “grazing is harmful to
afforestation, it should be forbidden.”
3 Desert Ecosystem Management
3.1 Introduction
Desert is a kind of geographic landscape developed in arid climate conditions.

Desert ecosystems mainly distribute in subtropic and temperate extreme arid and
rainless regions. Zonal desert derived planetary wind system distribute around
Tropic of Cancer or Tropic of Capricorn. In Asia–Europe and Africa continents, an
obvious desert belt formed in the North Hemisphere, from Sahara Desert at the
western coast of North Africa, to Arab Peninsula, to temperate deserts in the Central
Asia and Sino-Mongolia eastward. Desert in China mainly distributes in the
northwest arid region to the west of Helan Mountains, and its east border is basi-
cally consistent with the total annual precipitation isocline of 200 mm. This is
closely related to the impact of geographical location in the hinterland of continent,
downward current of air caused by landforms, especially Tibetan lift blocking warm
wet air from Indian Ocean.
Desert ecosystem is very fragile. In case that desert ecosystem was disturbed or
destroyed by natural disasters or human activities, its rehabilitation is very difficult
and slow, and even often impossible. Water is the limit factor of desert ecosystem.
Those places with water supply will develop oases, otherwise will become deserts.
Oasis is a kind of unique geographical landscape, and is a sub-ecosystem with
super productivity supported by water in the desert regions (Shen et al. 2001). We
must be very careful and discreet to develop and utilize desert. The oasis size in arid
region must be restricted to the carrying capacity of water resources. To explore
desert ecosystem, especially management and control of oasis ecosystem, we
should make full use of the function of oasis ecosystem, natural environment and
resources. During seeking development of human society and economy,
eco-environmental construction and protection, and sustainable development of
oases, the harmonious relation between mankind and natural environment,
improvement of human livelihood should be emphasized.
3.2 Basics of Desert Ecosystem Management
Extreme continental climate is the basic characteristic in the desert region. Annual
precipitation is less than 200 mm in most places of temperate desert in China and its
variation is very huge. Potent evaporation is several dozens or even one hundred
times of the precipitation, which caused extremely lack of water in air and soil.
Temperature enormously changes and daily temperature difference is particularly
obvious. Strong reflection of desert surface often destroy radiation balance and
thermal balance, and result in horizontal and vertical air current and induce
wind-blown sand or dust storms.
190 L. Dai et al.
3.2.1 Structure and Function Features of Desert Ecosystem
In desert community, there are poor plant types, simple plant structure and lower
vegetation cover, even complete bare land. Nutrient materials in soil also are very
little. Due to barren food supply, animal types and quantities are very less.
However, there are longer sunshine and abundant quantity of heat in growing
season. In some places with better conditions, such as oases, where can become
local high-productivity areas by irrigation and fertilization.
According to differences in physical features and cause of formation, desert
ecosystem can be divided into the following five sub-ecosystems (Table 2).
3.2.2 Several Problems in Desert Ecosystem Management
With the development of society and economy, a kind of Social-economic-natural

compound ecosystem had been built surrounding those areas in arid region where
generate water resources and produce runoff and been exploited and used, in which
inland river basin was taken as a unit (Qin et al. 1998). This system is a
semi-artificial ecosystem. In which, human activities were taken as the dominant,
and oasis ecosystem was taken as the support, and water resource was taken as the
key, and society system was taken as the frame.
The obvious contradict of water resources shortage in the northwest arid region
of China, mainly show in: (1) shrinkage of surface water, serious decline of
underground water level, increasing mineralization degree. The important reason is
lack of effective and reasonable allocation and management of water resources;
(2) lack of effective protective measures for natural vegetation resulted in the whole
ecosystem facing collapse; (3) soil salinization extending in the farmlands of oases.
3.3 Desert Ecosystem Management
3.3.1 Oasis Ecosystem Management
Oasis is the most harmonious ecosystem unit in arid region, with the better match
among climate resource, water resource, land resource, biological resource and
eco-environment. Modern oasis is supported by irrigation. Thus, at certain degree,
oasis ecosystem management actually is water resources management, including:
(i) to integrate and plan water resources taking river basin as a unit; (ii) to develop
saving-water irrigation agriculture and to enhance utilization ratio of water
resources; (iii) to determine farmland area according to water resources quantity and
to improve water transferring ditch net; (iv) to implement market-oriented irrigation
management mechanism; (v) to strengthen union management and associated uti-
lizing of surface water and ground water, and to prevent water pollution; (vi) to
Table 2 Classification of desert ecosystem in China

Sub-ecosystem Subsystem Type Structure Utilizing status
Oasis Artificial Irrigation Agriculture
ecosystem oasis farmland system tillage
Shelter forest Prevent wind
system for activities
farmland
Natural Woodland– Riparian sparse-tree shrub Protection
oasis grassland– meadow forest or
wetland system season pasture
Tamarix chinensis shrub Season pasture
meadow around oasis
Haioxyion ammodendron
and weeds in lake basin
Lakes or marshes with Fisher or
Phragmites australis weaving
Fixed, Shrubs or shorter arbors Fuel-wood
semi-fixed dune forest or
fields grazing
Gobi ecosystem Desert Sandy desert Haloxylon Persicum Grazing
grassland grassland Bunge ex Boiss. Et Buhse
and weeds
Calligonum mongolicunl
and weeds
Gobi desert Shorter semi-arbor or
grassland shrub
Semi-shrub or shorter
semi-shrub
Succulent and salt shorter
semi-shrub and herb
Bare gobi Deflation gobi Not utilizing
Accumulation
gobi
Sandy desert Sandy Fixed or
ecosystem desert semi-fixed dune
field
Shifting dune
field
Salty desert Salty
ecosystem desert
Arid middle or Lower Loess Artimisia-type desert Grazing
lower hill hills grassland
ecosystem Middle or lower Salt semi-shrub grassland
stony hills
192 L. Dai et al.
reasonably develop and utilize land resources according to ecological rules; (vii) to
protect natural vegetation, and to actively build artificial vegetation.
3.3.2 Oasis-Desert Transition Belt Ecosystem Protection
In natural conditions, there is a transition belt between oasis and desert. An

oasis-desert transition belt is the place that oasification and desertification begin and
frequently confront, where supports stability of inner oasis and agriculture sus-
tainable development, and where is also residents making cutting and grazing, and
where is a very significant part of oasis safe and stability.
Basic rule and approaches to restore oasis-desert transition belt ecosystem
include: (i) correctly recognizing ecological status of oasis-desert transition belt;
(ii) prohibiting to blindly expand artificial oasis under lack of enough irrigation;
(iii) making full use of high scientific and technical means to solve residents’ fuel
and to enhance their livelihood standards for avoiding woodcutting, gathering and
excessive human activities; (iv) increasing vegetation cover of oasis-desert transi-
tion belt and to extend its scopes, through air seeding or manual sowing.
3.3.3 Desert Ecosystem Protection and Reconstruction
Desert ecosystem is the most fragile one in land ecosystem, developing under the
conditions of rigorous climate and extreme imbalance of water and heat supply. The
fragility of desert ecosystem determines the place of desert ecosystem distribute as
the frequent area of natural disasters, and is also one of the most easily prone to
degradation (Liang et al. 2003).
Generally speaking, to restore degraded ecosystem should follow the three basic
principles: (i) natural restoring rule; (ii) scientific technology, feasible economy,
and acceptant measures rule; (iii) aesthetic rule (Peng and Lu 2003).
As far as desert ecosystem restoration is concerned, it is different from other
ecosystems to follow principles (Jiao 2003). They can be summarized: (i) coordi-
nation between ecology and economy rule; (ii) dominant preventing and combi-
nation with control; (iii) mutual complementarities among many measures rule;
(iv) coordination between long-term and short-term profit rule; (v) suitable mea-
sures for local conditions rule; (vi) combination between scientific–technological
support and administration rule; (vii) combination of biological, ecological, and
engineering technique rule (Zhao et al. 2009).
Protection methods of desert vegetation (including microbiotic crust) include:
(i) protecting sand for grass propagation and returning farmland to woodland or
grassland; (ii) controlling livestock quantities and conducting reasonable rotation
grazing. In addition, during comprehensively using desert industry, clear energy,
and developing travel industry, it should be insisted to protect environment.
3.4 Outlook
Aiming at desert ecosystem in northwest arid region of China, it needs to adopt

comprehensive ecological management for optimizing economy, society and
environment profits, through improving available ecological service level from all
types of support, regulation, supply, and culture provided by natural ecosystem, and
preventing continuous deterioration of ecosystem.
4 Wetland Ecosystem Management
4.1 Introduction
Wetlands ecosystems are around all over the world and are an ecological landscape
that has the most biodiversity in nature, as well as being one of the most important
environments necessary for humans to prosper (Mitsch and Gosselink 2000).
Wetlands are located in the interface of the atmosphere, terrestrial, and aquatic
ecosystems, they play an important role in water, nutrient, organic, sediment, and
pollutant transportation. The wetland is also called the cradle of life, the kidney of
the earth, species genes reserve, and so on. Since 1971, since the Ramsar
Convention was established, there has been an increase in awareness by interna-
tional communities of the importance and urgency of fostering wetland protection,
ecological restoration, and promoting reasonable and continuous wetland
exploitation (Liu et al. 1999). From initially emphasizing the wetlands’ function as
waterbird habitats, on the focus on wetlands has expanded to various aspects of
protecting and reasonably utilizing wetland ecosystems, wetland ecosystem man-
agement being a hot topic today.
Today, crucial hydrological, biological, chemical, and physical processes
maintaining ecological stability have been drastically changed on the global scale,
and rates of change are increasing in general, which results in ecological degra-
dation, sustainability weakness, biological diversity loss, and ecological function
reduction (Lu 2001).
Wetland ecological management styles emphasize driving and stressing factors
of ecological structure and function, as well as focusing on the interactions between
management activities and systemic structure and function, this includes wetland
ecosystem processes and natural and human factors which cause ecological process
change (Yuan and Lu 2004). Administrating human activities are the main parts of
wetland ecological management because it is more practical than adjusting natural
factors. The manager must learn the objective laws of wetland ecosystems, to clear
wetland processes and their mechanisms, making certain the purpose, problems,
methods, and routes of management activities to achieve the optimum configuration
of systemic structure and function. To realize these goals, natural laws of wetlands
must be followed (Zhao and Gao 2007).
194 L. Dai et al.
4.2 Wetland Amphibious Mutual Process

and Ecological Response
Wetlands are located in the transitional zones between terrestrial (e.g., forest,
grassland, and so on) and aquatic ecosystems (e.g., marine), and contain multiple
ecological functions due to the interaction of terrestrial and aquatic ecosystems.
Wetlands possess a unique structure, process and function, and are sensitive to
environmental change.
Wetland processes are the occurrence and development of dynamic character-
istics of events and phenomenon in wetlands. Wetlands are interracially affected by
multiple earth spheres and are among the most complex ecosystem on the Earth’s
surface. Wetlands often contain many physical, chemical and biological processes,
and wetland functions are the outside presentation of various processes.
4.3 Wetland Ecological Succession Processes

and Ecological Effects
Natural disturbances play important roles in maintaining wetland structures and

functions. Disturbances to wetlands due to human activities include both positive
and the negative effects, affecting wetland succession processes in various aspects.
Wetland ecosystem succession characteristics include changes of species compo-
sitions, diversity indices, and life-forms of plants at different succession stages (Yao
et al. 2009). Wetland succession process changes would bring great ecological
fluctuations. First, wetland environment changes result in wetland fragmentation
and degradation, wetland types change and biodiversity vary. On the other hand,
wetland ecosystem succession would also cause plant biomass and soil biogeo-
chemical nutrient levels variation (He and Zhao 2001; Zhang et al. 2013), and lead
to wetland function changes at last in the aspect of materials circulation, biodi-
versity protection, water purification, climate adjustment, and so on.
4.4 Wetland Ecological Function Assessment
Wetland function assessment methods include two types, which are energy analytic
approach and the price evaluation approach. Due to the variety of wetland eco-
logical service functions, its evaluation is also complex. Different wetlands require
different methods according to functions supplied by wetlands (Xu et al. 2006).
By the middle of the twentieth century, although some wetlands were protected
for hunting, fishing and water birds, wetland management policies both in China
and abroad mainly focus on agricultural and other uses, which limited the under-
standing of wetland value. Due to unreasonable utilization, key biological,
chemical, and physical processes maintaining wetland ecosystems were as dis-

turbed, which resulted in wetland degradation, biodiversity loss, and service
functions reduction.
Until the middle of the twentieth century, some managers of fishing and enter-
tainment industries realized the value of wetlands as wildlife habitats, and they
promote the maintenance of hydrological conditions of wetlands to protect fish and
waterbird communities. Other functions of wetlands were understood in the late
twentieth century, such as flood regulation and water quality promotion, and the
management of wetlands saw an increase in quality and purpose.
The wetland ecosystem is hierarchical and with different characteristics and
functions at different gradations (Chen and Lu 2003). Wetland management often
starts from wetland structure to reveal their ecosystem processes and functions
based on the understanding of material and energy circulation within the wetland.
Based on the results of the monitoring, changes of wetland functions, information
integration, adjustment and prediction were performed so as to provide scientific
policies to the government.
4.5 Wetland Management Practice in China
Since 1992, when China officially joined in the Ramsar Convention, The Chinese
government has been strengthening the intensity of wetland protection. In
December 2000, China’s wetland protection plan was established by the State
Forestry Bureau and other 17. In August 2008, the State Forestry Bureau and the
Nation Development and Reform Commission (NDRC) of China finished the
national wetland protection engineering plan (2002–2030), having it approved by
the State Council in September. Wetland protection and management in China is in
the rapid development period. There are three main models of wetland protection in
China, which are natural reserve, wetland parks, and wetland protection cells. Up to
now, a lot of work has been done for wetland restoration and reestablishment.
5 Marine Ecosystem Management
5.1 Introduction
The ocean can provide many resources, ecosystem services and functions, such as
seafood, energy, oil and natural gas. Marine ecosystems are very complex due to
multiple scales caused by flow of water and species movements, so marine
ecosystem are vulnerable to rapid social and environmental changes. It is necessary
for government and related stakeholders to apply more efficient solutions to manage
marine ecosystem.
196 L. Dai et al.
5.2 Concept, Features, and Principle of Marine Ecosystem

Management
Marine ecosystem has many characteristics that are unique and are different with
terrestrial ecosystem. The first factor is its openness and large scale; the second one
is the difficulties to collect ecosystem information; and the final one is the complex
impacts from human activities.
The marine ecosystem management concept is based on comprehensive coor-
dination among different ecosystem services in specific space and time range, and
following the inner structure and rule of the ecosystem, the administrations create
scientific and reasonable adjusting policy by motivating different stakeholders to
reach a healthy marine ecosystem.
The management of marine ecosystem also has three factors. First, there are
several variable (spatial and time) management targets. Second, there are many
management agents with different administrative implementations. Finally, the
decision-making process and the evaluation are complex.
The marine ecosystem management should follow some principles: sustainable
development, maintenance of ecosystem health, prevention, and early warning and
public participation.
5.3 Methods for Marine Ecosystem Management
5.3.1 Marine Spatial Planning and Marine Functional Zoning
Marine spatial planning (MSP) is a process about analyzing and allocating the
spatial and temporal distribution of human activities in the marine areas to achieve
ecological, economic, and social objectives.
Marine functional zoning (MFZ) is a management tool about utilizing sea space
areas in China based on its geographical and ecological features, natural resources,
current usage, and socioeconomic development needs. MFZ has been characterized
as a practice of MSP in China.
5.3.2 Marine Protected Areas Establishment
The marine protected areas (MPAs) in China started to be built from the 1960s.
A total of 201 MPAs which scattered in 11 coastal provinces have been declared in
China and total area amount is up to 3,300,000 hm2. The MPAs contain the main
habitats of mangrove, coral, coastal wetland, island, estuary, bay, and other areas
with fragile but important marine ecosystem.
5.3.3 Fishing Restriction and Fish-Ban System Reform
Fish-ban system has been implemented since 1995. The fish-ban period and the
category of restricted fishing instruments have been enlarged. Chinese adminis-
tration has controlled the license of marine fishing and encouraged the fishermen to
work in other industry of Mariculture such as aquatic product processing, recre-
ational fishery, and other relative industries.
5.3.4 Ecological Restoration and Marine Living Resources

Maintenance
Marine ranching is the best way to restore the impaired ecosystem and depleted
marine living resources. However, such method in China is premature and it mainly
focuses on the implementation of artificial reef as the primary step to carry out the
marine ranching method. Fisheries resources proliferation has been implemented in
China. Many species such as crab Portunus trituberculatus, jellyfish Rhopilema
esculentum, fish Paralichthys olivaceus, Pagrosomus major, and other demersal
fishes have been proliferated and released to the suitable ocean habitat. Ministry of
agriculture detailed the specification and standard about proliferation.
5.3.5 Establishment of Information System for Marine Ecosystem

Management
Establishment of information system is crucial to the marine management. The

European and American countries have established complete and effective man-
agement system but few effective marine manage systems exist. The National
Marine Data and Information System (NMIS) was built in 1997. Marine Scientific
Data Sharing Project System was activated in 2003.
5.3.6 Comprehensive Method for Marine Ecosystem-Based

Management
In fact, marine ecosystems are presently problematic despite of many attempts to

manage individual threats in the absence of a system-wide approach. Therefore,
ecosystem-based management (EBM) is a promising approach for managing the sea
areas proved by government, scientists, and others.
There are four steps to implement the EBM, the first is to determine the regulatory
boundaries of EBM, and the second is to fix the critical management objectives,
optimize management methods, and create the public feedback mechanism.
198 L. Dai et al.
5.4 Prospects on Marine Ecosystem Management
In the future, the marine ecosystem management would develop in the following
aspects: encouraging management consciousness about the whole ecosystem;
straightening out the model and system of marine ecosystem management; improving
the system about marine monitoring and evaluation; implementing comprehensive
management system.
6 Agroecosystem Management
6.1 Introduction
There are three interacting levels of agroecosystem regulation and control. The first
level regulation and control is provided by natural processes. The second level is
direct regulation and control exerted by human activities. The third level is indirect
regulation and control provided by social and economical background which deeply
affects the human behavior (Fig. 1).
6.2 Direct Intervention by Strengthening Natural Processes
The first-level regulation and control of agroecosystem is the natural processes.

Direct intervention exerted by people can make good use of the natural processes
and hence achieve ecologically sound results with much less negative impacts on
resources and environment. The direct intervention includes (i) regional and
landscape level land use planning, (ii) restoration of ecosystem recycling structure
and function, and (iii) the use of biodiversity to increase natural resource efficiency
and to deal with biology and physical stresses (Fig. 2).
The regional land use planning relates to the development strategy in the region.
It should carefully balance the relation of agricultural land use and nonagricultural
land use, the relation among residential, production, and ecological needs. The
optimum land use arrangement within agriculture production along different posi-
tions of a watershed according to physical and social economic situation should be
carefully considered. Natural vegetation within cropland including buffering zone
along the drainage channel, wind belt system, and cover on marginal space of
cropland are important landscape structures.
Agriculture and forestland can play an important role in the restoration of
ecosystem recycling structure and function. Six scales of recycling structure base on
agriculture land can be identified and should be strengthened (Fig. 3). They are
Fig. 1 The three levels of agroecosystem control and regulation demonstrated by pest control
(Luo 2010a, b)
(i) recycle of crop residue within field level, (ii) recycle of animal waste between
animal production and crop production, (iii) recycle of village waste, (iv) recycle of
processing waste from agro-industry, (v) recycle of organic waste from cities and
towns, and (vi) recycle of CO2 in a global scale.
The use of biodiversity in agriculture includes community, population, and
genetic diversity organization. Ground cover in orchard or woodland, and inter-
cropping or relay cropping system in the field are examples of biodiversity
atcommunity level. Niche differentiation among community species is an important
rule in the design of community structure. Good community diversity not only is
able to make good use of natural resources, but also can resist and withstand both
physical and biological stresses. Research by Zhu (2007) showed that the inter-
cropping of maize with potato, corn with sugarcane, corn with yam could gain
higher yield and less pest outbreak. Li et al. (2007) showed that the intercropping of
200 L. Dai et al.
Landscape level
Regional land use planning
Ecosystem level
Cycling system design
Introducing biodiversity
biological level
Fig. 2 The three scales of direct intervention by strengthening natural processes
Fig. 3 The restoration of recycling processes base on agriculture in different scales

corn and broad bean could increase the nitrogen fixation of bean and increase the
availability of soil P, Fe, Zn, etc. In population diversity organization, research by
Quan et al. (2008) showed that rice duck mixed system could reduce field pests,
increase lodging resistance and rice quality. Xie et al. (2009) showed the effect of
rice fish system could reduce weed, rice plant hopper, rice sheath blight, and rice
blast disease. Releasing natural enemies of pests is another important method to
increase population diversity in the field. Genetic diversity use including the use of
high-yielding gene, resistant gene, and high-quality gene is very important. Zhu
Youyong’s research (2000) showed that intercropping of traditional rice variety
which was sensitive to rice blast disease with hybrid rice which was resistant to rice
blast disease in the field with ratio of 1–4 lines could control blast disease very well
without chemical use.
6.3 Social Economic Regulation and Control

for Agroecosystem
In order to encourage the implementation of ecologically sound practices mentioned

above, social and economic measures should be worked out to regulate the behavior
of farmers and farming enterprises. Motivation of people mainly drives by their
judgment on whether the action is righteous or beneficial. Education through school
and public media will deeply influence the view of people about what behavior is
right or wrong. The technical standard and assessment standard for ecologically
sound practices will guide the right direction of framer and farming enterprises. Law
can let the ecologically wrong actions become illegal and hence can guide the
general direction of social behavior. In order to internalize the external economic
effect of ecological sound practices, on the one hand ecological compensation
measures such as high tax for the use of resources, high penalty for discharge of
pollutant, can be taken by government. On another hand, the method to clearly
define the ownership of natural resources and encourage the growth of market for
the exchange of natural resources can be adopted. The progress of the management
system for agroecosystem in China is significant in the past 30 years. New regu-
lation including the protection of agro-resources, rural planning and agricultural
regionalization, agro-environment protection, quality requirement for agricultural
input products, quality requirement for agricultural output products, and ecological
agricultural have been made. However, there are still a lot of serious challenges
faced by Chinese agriculture. An important consultation project “Strategy research
on the optimum resource allocation, integrated environment management and
regional agriculture development” was launched by the Chinese Academic of
Engineering and deal with this challenge in a comprehensive way (Shi 2008; Dai
and Hu 2008).
202 L. Dai et al.
7 Nutrient Management in the Food Chain
7.1 Introduction
Chinese food security and ecological sustainability remain among the greatest
challenges for the twenty-first century and both are significantly affected by the way
we manage nutrients for agricultural systems, particularly nitrogen (N) and phos-
phorus (P). Critical to the growth of plants and animals and ultimately to human
nutrition and health, N and P are also known to be major contributing factors for
ecological deterioration that can negatively impact atmosphere, ground, and surface
waters (Galloway et al. 2008). Nutrient management at farm and field levels has
been defined as achieving agronomic and environmental objectives through an
iterative series of six consecutive steps: analysis, decision-making, planning, exe-
cution, monitoring, and evaluation (Oenema and Pietrzak 2002). Such a concept has
not been defined and described at regional levels yet. Managing nutrients in the
food chain at regional level provide a safe and secure food supply while protecting
the ecological system.
Here we summarize developments of nutrient management in the food chain in
China in our group during the last 10 years. We begin with a brief introduction of
food chain model. We then summarize the main findings of nutrient management in
the food chain. We close by the prospects of the future research.
7.2 Development of Food Chain Model
Nutrient flows in Food chains, Environment and Resources use (NUFER) is a

deterministic model with large databases that calculate the flows, use efficiencies,
and emissions of N and P in the food chain of 31 regions and China on an annual
basis. It uses a mass balance approach with detailed accounts of the partitioning of
N and P inputs and outputs. It makes a distinction between “new” N and P (from
bio-fixation and imported fertilizers, natural grassland and fish), and “recycled” N
and P (from recycled material such as manure, crop residues, wastes, etc.).
NUFER consists of an input module with activity data and transformation and
partitioning coefficients, a calculation module with equations, an optimization
module and an output module. NUFER allows assessment of the N and P flows in
the pyramid in two directions, viz., from the food production side and from the
consumption side (Ma et al. 2010).
The progresses and compositions of NUFER model are shown in Fig. 4 and the
detailed information are presented in the references (Liu et al. 2007, 2008a, b; Ma
et al. 2008, 2009, 2010, 2011; Wang et al. 2007a, b, 2010, 2011; Wei et al. 2008).
NUFER model
Nutrient flow in the

food chain among CNFC model
regions
Nutrient Nutrient balance Nutrient

balance model of animal balance model
model of crop product in China of household
production in consumption in
China China
Model of animal
manure NH3 emission
Model of nutrient flow in Chinese grain crop production and

utilization
Fig. 4 Models of nutrient flows in the food chain in China
7.3 Main Findings
The main achievements of this thesis are:

• The major developments in nutrient management in China during the last
50 years were reviewed, and the future challenges for the next decades, con-
sidering nutrient management in the whole food chain of “crop production–
animal production–food processing–food consumption” were addressed (Ma
et al. 2013b).
• NUFER model was developed, as the first model that allows quantitative
assessment of the N and P cost of food chain and losses to air and waters at
regional and national level in China (Ma et al. 2010).
• Between 1980 and 2005, the mean N cost of 1 kg N in food in China increased
dramatically from 6 to 11 kg kg−1. Mean P cost increased even more, from 5 to
13 kg kg−1 (Ma et al. 2012).
• The N (P) use efficiency in the food chain (NUEf and PUEf) decreased from
*20 % to less than 10 % in most of the regions between 1980 and 2005, and the
regional variations were large (Ma et al. 2012).
• Quantitative analysis of driving forces indicated that a larger impact of changing
nutrient management practice than population growth on elevated nutrient flows
in China’s food chain (Hou et al. 2013).
• Losses of NH3 and N2O to air and N and P to groundwater and surface waters
increased greatly in China between, especially in the Beijing and Tianjin
metropolitans, Pearl River Delta, and Yangzi River Delta (Ma et al. 2012).
• In 2030 (the business as usual scenario), N and P fertilizer consumption will
both increase by 25 %, and N and P losses will increase by 44 and 73 %,
204 L. Dai et al.
respectively, relative to 2005, driven by population growth and diet changes in

China (Ma et al. 2013a).
• Implementation of a package of integrated nutrient management measures,
including balanced fertilization, precision feeding, and improved manure man-
agement, may roughly nullify the increase in the efficiency of N and P
throughout the whole food chain in China at national level (Ma et al. 2013a).
7.4 Concluding Remark and Prospects
A food chain approach for managing nutrient flows at regional and national level is
a new and evolving concept. The NUFER model is the first model that allows a
quantitative assessment of the N and P cost of food, and N and P losses to air and
waters at the food chain at national and regional level in China. Our researches are
the first integrated assessment of changes of NUE and PUE in the food chain in
China, and of N losses via NH3, and N2O emissions to air and N and P leaching to
groundwater and surface waters during 1980–2005 and future scenario in 2030.
For China, further research needs to close the knowledge gaps among
researchers, farmers, and policy-makers. Food production technologies improve-
ment should focus on, not only technologies themselves, but sound extension for
farmers practices. Further research is needed to develop the food chain approach not
only for nutrient management, but for water management, land management, and
energy management and integration of these aspects. Upscaling of insight in
nutrient management in the food chain to global scale is needed to understand the
effects of globalization on nutrient cycling, soil fertility and NUE and PUE in food
production—consumption chains (Sutton et al. 2013).
8 Fertilizer and Greenhouse Gas Management

in Agroecosystem
8.1 Introduction
While chemical fertilizer is important for China’s crop production, there have been
increasing concern on its intensive use and environmental consequences. Chemical
fertilizer application per hectare has grown rapidly after 1960s in China. The pre-
vious studies have showed that rising application of chemical fertilizer has sig-
nificantly lowered the efficiency of fertilizer use (Wang 2007; Zhang et al. 2008;
Zhu 1998) and also resulted in serious environmental stresses by increasing
greenhouse gas (GHG) emissions and polluting ground and surface water through
nitrogen leaching (Izaurralde et al. 2000). It is estimated that the manufacture and
use of N fertilizer contributed to approximately 30 % of agricultural GHG emis-
sions and about 5 % of China’s total GHG emission in 2007 (SAIN 2010).
Recent studies have also shown that excessively high uses of chemical fertilizer
have mainly occurred in N fertilizer. Several studies observed that N fertilizer used
in wheat and maize production was often overused by farmers in North China Plain
(Chen 2003; Cui 2005). Large number of studies also observed massive N fertilizer
use in the rice production and approximately 30 % of N fertilizer can be reduced
without lowering (and even increasing) rice yield in major rice production regions
(Hu et al. 2007; Peng et al. 2006; Want et al. 2007). Some scientists believe that
there is a lack of technology to improve the efficient use of N fertilizer for farmers,
therefore substantial efforts have been made to identify efficient N fertilizer use
methods in the field (Chen et al. 2006; Cui et al. 2008a, b; Zhao et al. 2006).
However, despite great efforts made by scientists to improve the efficiency of
fertilizer use, N fertilizer use continues to rise while its efficiency remains low,
which has brought economists’ attention to the rationality of overusing N fertilizer.
Huang et al. (2008) argued that farmers’ lack of knowledge and information on crop
responses to N fertilizer are the primary reason for its overuse. Chinese farmers
have been used their experience from the previous Green Revolution in 1960s–
1970s that significantly increased agricultural productivity by adopting high-yield
varieties and using highly responsive chemical fertilizer.
If the above arguments are valid for N fertilizer use in rice production, several
questions are raised. Can N fertilizer use also be reduced significantly in other
major crops such as maize in China? Will reducing N fertilizer in crop production
lead to declines in crop yields? How to deliver appropriate knowledge and infor-
mation on the efficiency of fertilizer use to millions of small farmers in China?
These questions are crucial, not only for the fertilizer industry, given the size of
China’s fertilizer market, but also for China’s public agricultural extension system,
which has a mandate to deliver technologies but has faced great challenges in
offering appropriate technology and knowledge to millions of farmers (Hu et al.
2007; Huang et al. 2009).
The overall goals of this study are to provide empirical evidence for the
above-raised questions by investigating the impacts of delivering information and
knowledge on the efficiency of nitrogen fertilizer use in maize production through
training. The following section will introduce the research design, the data col-
lection, and investigate the impacts of N fertilizer application training on farmers’
overall use of N fertilizer in the study sites. Then policy recommendations about
reducing nonpoint pollution through crop production and China’s public agricul-
tural extension system are drawn in the last.
206 L. Dai et al.
8.2 Method and Results
8.2.1 Research Design and Data Collection
The experimental research was conducted in Shouguang (SG) County of Shandong

Province in the North China Plain (NCP) in 2009. In the county, 3 townships and 5
villages from each township, were randomly selected. In each township, we divided
the 5 villages into 2 groups: 3 treated villages and 2 non-treated villages. In total,
there were 9 treated villages and 6 non-treated villages. Villages were randomly
selected to ensure these two groups of villages were comparable before the N
fertilizer use training course was conducted in the treated villages.
For each of the treated villages, a training course on nitrogen fertilizer use in
maize production was offered to farmers by the trained extension staff in April
2009, prior to maize being planted. The extension staffs were selected from local
townships and were trained by China Agricultural University. Extension staffs came
to each of the treated villages and randomly selected farmers in group for training.
Information provided during the training was based on the local soil situation
and the results of N fertilizer management experiments in maize production con-
ducted by soil scientists from China Agricultural University. Farmers were advised
to use N fertilizer in the following ways: (1) controlling the total amount of N
fertilizer use between 150 and 180 kg/ha; and (2) applying N fertilizer during maize
growing season twice—once before the 10-leaf stage and once after the 10-leaf
stage.
In November 2009 after the maize was harvested, we randomly selected farmers
from both treated and non-treated villages for a face-to-face questionnaire-based
household survey. In total, 226 farmers (66 trained and 160 non-trained) were
selected from treated villages. In each of the non-treated villages, we randomly
selected 20 farmers for a face-to-face questionnaire-based household survey, just as
we did for those farmers from treated villages. At the end, we surveyed a total of
116 farmers from non-treated villages.
8.2.2 Fertilizer Use and N Fertilizer Application
Table 3 reports average fertilizer use by trained and non-trained farmers in 2009,
which provides several interesting observations.
First, it seems that farmers were not interested in applying fertilizers twice
during one maize growing reason, one of two key findings provided in the training
course. Farmers might be used to their conventional fertilizer application practices,
and as such it was difficult to change their fertilizer use behaviors in the short run.
Some farmers might also be concerned about increased labor input by changing
their one-time fertilizer application to a two-time application.
Second and most importantly, while the application time does not change with
the introduction of training, trained farmers used much less N fertilizer than
Table 3 Average fertilizer use by trained and non-trained farmers in maize production and the
yield of maize in 2009
Trained farmers Non-trained farmers
Treated villages Non-treated villages
Fertilizer use
Total number of application 1.23 1.36 1.32
Number of N application 1.20 1.36* 1.32
Amount used (kg/ha)a
N 179 221** 217*
P 101 106 94
K 56 50 58
Average yield (kg/ha) 8512 7991** 7890**
Source CCAP’s survey
* and ** Denotes statistical significance of the mean different from the trained farmers in treated
villages at 1 %. There is no case with statistical significance at 5 %
a
The figures indicate pure content of N, P, and K
non-trained farmers (row 3, Table 3). Non-trained farmers applied an average of

221 kg/ha of inorganic N fertilizer in treated villages and 217 kg/ha in non-treated
villages, while the trained farmers applied an average of 179 kg/ha of N fertilizer
which was in the amount recommended by scientists (150–180 kg/ha).
Third, training in the improved N management practice for maize production had
no impacts on farmers’ potassium and phosphorus application.
Lastly, notwithstanding that trained farmers reduced overall N fertilizer use in
maize production, the yield was not affected. As shown in Table 1, the average
yield of maize for trained farmers in treated villages did not decrease when com-
paring the figures for farmers in non-treated villages.
8.2.3 Multivariate Analysis on the Impacts of Knowledge Training

on Farmers’ N Fertilizer Use
Model Specification
Based on the survey data, we created a cross-section dataset consisting of 342

farmers from 15 villages studied. To estimate the impacts of training on maize
farmers’ N fertilizer use, the following empirical model is specified:
Ni ¼ a þ b TFi þ c NTFi þ u X þ ei ð1Þ
Freqi ¼ a þ b TFi þ c NTFi þ u X þ ei ð2Þ
where Ni is the ith household’s N fertilizer use per hectares, and Freqi is the number
of N fertilizer applications. The key independent variable of interest is TF, trained
208 L. Dai et al.
farmers in treated village; it is a binary variable that equals 1 if a household

attended the N fertilizer application training in the treated village, otherwise it
equals 0. NTF indicates non-trained farmers in treated village; it is designed to
catch the likely spillover effect within a treated village. The bases for comparison
are those households from non-treated villages.
As a set of control variables, X includes a household’s demographics (for
example, land area, age of household head, education of household head, female
headed household, share of off-farm labor before the maize season, and con-
sumption asset per capita in 2009), and regional characteristics (for example, access
to the nearest fertilizer shop and county dummy variable). We specify an ordinary
least squares estimator (henceforth, OLS) and OLS with logarithmic transformation
to estimate Eq. (1), and use Poisson model to estimate Eq. (2). While the linear
model presents marginal effects directly, the logarithmic functional specification
directly provides coefficients with percentage effect interpretations. When the
dependent variable is discrete and satisfy Poisson distribution, the method of
Poisson model estimation is regarded more efficient than the OLS.
Estimation Results
The modeling performs well and the results are presented in Table 4. The estimated
coefficients of variables of interest and for control have intuitive signs. The sta-
tistical significance for all estimated coefficients is also robust and consistent in both
OLS and logarithmic transformation specifications. Results are summarized as
follows:
First, the training led to a significant reduction—23 % (34.82 kg/ha)—of
chemical N fertilizer use by trained farmers in treated villages. The reduction rate
related to knowledge training is 23 % (column 2, Table 4); the training was thus
effective in reducing maize farmers’ N use.
Second, there are no spillover effects in the treated village. As shown in Table 4
(row 2), the coefficients of non-trained farmers in treated villages in Eqs. (1) and (2)
are both insignificant, implying that, when holding all else constant, there is no
significant difference between farmers in non-treated villages and farmers who did
not receive the direct training in the treated villages.
Third, the rising household land area or farm size could result in a significant
reduction on N fertilizer use per hectare (row 3, Table 4). Double farm size could
reduce N fertilizer use by 15 % (column 2). As expected, the more aged farmers
tended to apply more N fertilizer.
Chemical fertilizer plays an important role in increasing food production in China.

However, farmers in China use much more fertilizer per hectare than do farmers in
Table 4 Estimated results of farmers’ N fertilizer use in maize production in 2009

Total N fertilizer use a Number of N
(kg/ha) fertilizer
N (1) Ln application (3)
(N) (2)
Trained farmers in treated villages −34.82** −0.23*** −0.14
(Yes = 1; No = 0) (2.12)b (3.03) (0.77)
Non-trained farmers in treated villages 13.21 −0.00 0.02
(Yes = 1; No = 0) (0.95) (0.02) (0.13)
Household land area −31.24*** −0.15*** −0.02
(ha) (2.63) (4.05) (0.16)
Age of household head 1.37** 0.00 0.00
(years) (2.23) (1.40) (0.22)
Education of household head −0.84 −0.01 0.02
(years) (0.39) (0.94) (0.66)
Female headed household 18.53 0.02 −0.02
(Yes = 1; No = 0) (0.82) (0.22) (0.09)
Share of off-farm labor before maize season −0.07 0.01 −0.00
(%) (0.38) (0.70) (0.04)
Consumption asset per capita in 2009 0.09 0.05 −0.00
(1000 yuan) (0.31) (1.57) (0.10)
Distance to nearest fertilizer shop −8.93 −0.00 0.02
(km) (1.61) (0.02) (0.31)
Intercept 170.62*** 4.82***
(3.81) (22.12)
Total samples 342 342 342
R2 0.08 0.10
Source CCAP’s survey
a
The figures indicate pure N content
b
The figures in the parentheses are absolute t ratios of estimates
*, **, and *** Represent the statistical significance at the 10, 5 and 1 %, respectively
many other countries. The overuse of nitrogen fertilizer has resulted in serious
environmental stress and increased greenhouse gas emissions. This study seeks to
find appropriate measures to reduce excess fertilizer use through a training program.
The results show that delivering information and knowledge on the efficiency of
nitrogen fertilizer through the public agricultural extension system can significantly
lower inorganic N fertilizer use by 22 % in maize production in the NCP;
knowledge training indeed matters. Farm size is negatively associated with per
hectare N fertilizer use.
Training for farmers on nitrogen management has great potential on reducing
agricultural GHG emissions. In China 30 % of agricultural GHG emissions come
from N fertilizer production and utilization, the total emissions generated by N
fertilizer have exceeded 500 million ton every year (SAIN 2010). Moreover, the
environmental damage resulted from the overuse of nitrogen fertilizer has also been
210 L. Dai et al.
significant. SAIN (2010) showed that through appropriate use of N fertilizer,

China’s GHG emissions could reduce by 320 million ton without lowering the grain
yield. However, such estimation has not fully considered the real world or farmers’
behaviors. The results of this study suggest that, under the current farming system,
farmers’ N fertilizer use could reduce by about 20 %, which would result in the
reduction of 100 million ton GHG emissions. Although this figure is much less than
the optimal emission-cutting scheme designed by the agricultural scientists, N
fertilizer management in crop production can significantly contribute to a reduction
of China’s GHG emissions in the coming years.
The findings of this study also have other important policy implications. First,
policies on land rental markets or land consolidation programs that aim to expand
farm size can also help Chinese farmers to reduce N fertilizer use in crop pro-
duction. Second, despite significant reductions of N fertilizer use by farmers
through training program, training more than 200 million small farmers is not
without cost. How to deliver appropriate information and knowledge on the effi-
ciency of N fertilizer to millions of farmers is an issue that requires further study
because the current agricultural extension system also faces great challenges related
to providing technology services to farmers (Huang et al. 2009). Finally, the rec-
ommended technologies to farmers should meet farmer’s demand for labor-saving
technologies. With rising wages and off-farm employment opportunities, and given
the predominance of small-scale farms in China, advising farmers to use higher
frequency but less-intensive fertilizer technologies seems not to appeal by farmers.
New technologies (e.g., slow release fertilizer and nitrification inhibitors) that are
less labor-demanding may fit with farmers’ habits and strategies of optimizing
household welfare.
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Chapter 9
Water Management
Wei Meng, Yuan Zhang, Weijing Kong, Qingwen Min, Wenjun Jiao,
Yaning Chen, Honghua Zhou, Shaozhong Kang, Ling Tong,
Xinmei Hao and Shirong Liu
Abstract Fresh water area in global surface is less than 1 % in the area of global
land. Human are connected to freshwater ecosystems closely, but also affects the
freshwater ecosystems. Water ecological degradation of river basin becomes the
main problems of the current global water ecosystem. River basin water ecological
management and quality management of water environment are the basis of water
environment management. Ecological water requirement is brought up under the
background of ecosystem degradation caused by extrusion ecological water from
water resources development and utilization of activity. Configuration of ecological
water requirement study will be integrated with the mechanism research and model
research in future, forming a complete organic research system. The response
between ecological process and hydrological processes is an important part of
ecological hydrology study in arid areas. We carry out dual research of the man-
agement of water resources in arid areas from the macro-scale and micro-scale
level. Saline-alkali land management and development has always been the hot spot
of the domestic and foreign research theory and method innovation, and it is the
important content of saline-alkali land management development. Minjiang river
basin is an important large-scale, complex ecological transition zone, and the
complexity of the natural environment, the borderline of economic development
W. Meng Y. Zhang W. Kong

Chinese Research Academy of Environmental Sciences, Beijing 100012, China
Q. Min W. Jiao
Institute of Geographic Sciences and Natural Resources Research, Chinese Academy of
Sciences, Beijing 100101, China
Y. Chen H. Zhou
State Key Laboratory of Desert and Oasis Ecology, Xinjiang Institute of Ecology and
Geography, Chinese Academy of Sciences, Urumqi 830011, China
S. Kang L. Tong X. Hao
Center for Agricultural Water Research in China, China Agricultural University, Beijing
100193, China
S. Liu (&)
Chinese Academy of Forestry, Beijing 100091, China

DOI 10.1007/978-3-662-48376-3_9
216 W. Meng et al.
and social cultural transition are typical in china. Hydrologic cycle of forest
ecosystem dynamics model and coupling of multiple scale water circulation regu-
lation theory has not yet been established, deforestation, and the effects of climate
change on river basin ecological hydrology is yet to be evaluated.
Keywords Eco-function zones

Freshwater eco-function management zone

Eco-hydrological processes Ecological safety and water demand Water-heat

balance Limiting crop water consumption
1 Water Eco-function Zones
1.1 Introduction
Although freshwater habitats occupy less than 1 % of the Earth’s surface, they host
nearly 10 % of all animal species found globally; hence, freshwaters are considered
biodiversity hotspots (Strayer and Dudgeon 2010). Freshwater ecosystems also
provide extensive resources and ecosystem services for humans. Human activities,
however, have resulted in point and non-point source pollution, overfishing, land
reclamation, invasive species, flow regulation, and excessive water withdrawals that
negatively affect the physical, chemical, and biological integrity of freshwater
ecosystems (Strayer and Dudgeon 2010). As a result, freshwater species are
increasingly threatened and endangered. Humans are also widely affected by eco-
logical degradation, with nearly 80 % of the global population now faced with
issues of water security (Vörösmarty et al. 2010). The current state of freshwater
resources demonstrates the need for comprehensive management of aquatic
ecosystems.
Within the current mode of economic development, environmental management
of freshwaters in China has undergone two stages: control of pollutant concentra-
tions, and control of the total amount of pollutant discharge. Since these pollutant
control measures were not linked to overall water quality targets, protection of the
aquatic ecosystem has not been ensured (Meng et al. 2011). Taking into account the
challenges for environmental management in China, Meng (2007) developed a new
strategy for pollution control done by categories, zones, and stages, with water
quality targets based on different levels.
In 2006, the National Long-Term Science and Technology Development Plan
and Outline included a provision for delineation of freshwater ecological function
management zones. In 2008, the National Major Science and Technology Program
for Water Pollution Control established several projects to delineate the freshwater
eco-function management zones in the main river and lake basins of China. These
programs will ensure the transition of freshwater management from water quality to
ecosystem management.
9 Water Management 217
1.2 Freshwater Eco-function Management Zones
1.2.1 Current Methods Used for Eco-Function Delineation
Eco-function zones are widely used to guide ecological management throughout the
world, including in the United States, European Union, Australia, and New Zealand
(Maxwell et al. 1995; European Union Commission 2000; Higgens et al. 2005).
Eco-function zones, or eco-regions, are typically arranged as hierarchically nested
systems, based on the extent of influence each factor exerts on the system (Sorrano
et al. 2010). Different classification systems exist for different regions, ecosystems,
and contexts. The system developed by The Nature Conservancy has four levels,
from broadest to narrowest, of aquatic zoogeography, ecological drainage, eco-
logical system, and macrohabitat units (Higgens et al. 2005). Aquatic ecological
units for North America include 11 levels extending from the very large continental
scale, to the coarse basin scale, down to the channel unit scale (Maxwell et al.
1995). The number and type of levels is determined by the scale and context of
management objectives.
1.2.2 Freshwater Environment Management Zones in China
Since the 1980s, several ecological regionalization schemes have been conducted in
China, including eco-function zoning and eco-geographical zoning. These zonings,
however, were based on terrestrial ecosystems, and were therefore not appropriate
for use in management of freshwater ecosystems. Delineation of freshwater
eco-regions in China started in the 1980s, with the first fish-based zoning scheme
completed in 1981. Zoning schemes were also completed to control the discharge of
pollutants into freshwaters. While such zonings work for management of pollutant
discharge based on human use of water resources, they are not sufficient for
ensuring ecological condition. Eco-function zoning that incorporates measures of
ecological integrity is now needed for effective and comprehensive management of
freshwater resources in China.
1.2.3 Definition of Freshwater Eco-function Management Zone
Freshwater eco-function zones are delineated based on hierarchical elements that

govern different levels of the system, resulting in the partitioning of a watershed
into spatial units based on environmental factors, ecosystem features, and ecolog-
ical functions. The zones represent the distribution of freshwater ecosystems and
habitats, which include key and endangered species and their habitats. The zones
also include aspects of ecosystem function, with targets for ecological security
according to management guidelines. The overall aim of the freshwater
eco-function zones is to protect the integrity of the freshwater ecosystem and
218 W. Meng et al.
provide the basis for ecological management, conservation, and rehabilitation of

freshwater resources (Meng et al. 2013).
1.2.4 Framework of Management Zone Systems
The current system of freshwater eco-function zones in China has four hierarchical
levels. Each level represents different ecosystem features and meets different
management demands. Levels I and II reflect the general ecosystem features of the
watershed, while Levels III and IV classify river types and ecological function.
Levels I and II were delineated based on overarching climatic and terrestrial factors,
which set the physical and chemical background of the rivers. Level III was clas-
sified based on integrated aspects of the river system. Level IV was based on
ecological function in smaller units of river segments. Each level is designed to
meet different management demands, such as river health assessment in Level II,
and standards for water quality in Level IV.
1.2.5 Management Use of Freshwater Zones
The freshwater eco-function zone provides the basic unit for ecosystem manage-
ment. Meng et al. (2011) discussed a framework for the use of eco-function zones
to determine water quality targets. Eco-function zones are mainly used in ecosystem
management to: (i) assess freshwater ecosystem health, (ii) determine sites for
monitoring, and (iii) set water quality standards and benchmarks (Meng et al.
2008a, b). These three uses for eco-function zones have been extensively studied
and widely applied in China (Fig. 1).
1.3 Discussion and Conclusions
Levels I and II of the freshwater eco-function zoning were completed in 2010 for
watersheds of the Songhua, Liao, Hei, Hai, Huai, Dong, and Gan Rivers, as well as
the Dian, Er, and Chao Lakes. Reference sites have been selected based on the
zones used in river health assessment. Level III and IV classification will be
completed in 2015 for the 10 main river and lake watersheds. These eco-function
zones will play an important role in management of water quality targets for
freshwater ecosystems.
Fig. 1 Framework for determining freshwater eco-function management zones for use in setting
water quality targets (Meng et al. 2011)
2 Water Quality Target Management
China has been faced with water problems in many aspects for quite a long time,
such as water pollution, water shortage, ecological degradation, and flood. Water
pollution has in effect aggravated to the other three water problems to a certain
degree. Work related to water pollution prevention and control has been extensively
carried out across major river and/or lake basins of the country and has achieved
some success for these years. However, water pollution will remain for quite a long
period as the key factor constraining economic and social sustainable development
of China.
Reasons are manifold. A very important aspect lies in the mismatches between
application details and setting targets in the “total quantity control of pollutant
emission” which is the major system implemented for water pollution prevention
and control in China. For instance, pollution control techniques mismatched the
conservation of aquatic ecosystems; emission control standards mismatched the
improvement of water quality; the district-based water environment function zoning
mismatched the watershed-based water pollution regulation.
The traditional ideas have been unable to meet China’s current requirements in
water environment management which is now in urgent need of reform and
220 W. Meng et al.
innovation. The whole country needs, as soon as possible, to change the target from
pollution control to ecological protection, to transform the mode from adminis-
trative management to basin management, and to improve the technique from target
control to capacity control
Water environment management is a complex system engineering. Even in
developed countries, water environment management is in a process of continuous
improvement as the level of awareness continues to rise and the demand is con-
stantly changing. The TMDL (Total Maximum Daily Loads) Plan of the United
States, the EU Water Framework Directive, and the Total Amount Control Plan of
Japan, are all very representative. After several years of development and
improvement, the TMDL program has gradually formed a complete system of
strategies, technologies, and methodologies for the total amount control of pollutant
emission. It has played a very important role in the improvement of water quality of
the United States and has represented the development direction of the world water
environment management.
A framework of water quality target management has been put forward after
learning from experiences of the TMDL technique and fully considering practical
problems such as policy continuity, measure operability, and data availability. This
framework regards the health of aquatic ecosystems as the objective of water
environment management, takes small watershed units that are called control units
as the foundation of water environment management, and considers the water
environment capacity as the key of water environment management.
When it comes to practical application, a complete system of the water quality
target management consists of six major parts. They are, respectively, defining the
protective function; determining the water quality target; calculating the water
environment capacity (that is, the total maximum loads the ecosystem can assim-
ilate); estimating existing pollution sources; allocating maximum loads among
sources; and formulating pollution reduction plans.
The water quality target management has been attemptedly applied to the Taihu
Lake Basin, which is facing serious water pollution and ecological degradation. The
upstream area of Taihu Lake Basin was selected as the case study area, which
includes Changzhou and Huzhou, two prefecture-level cities, and Yixing, one
county-level city, with the total area of about 12,242 km2. The study area was
divided into 31 control units, and for each unit the total maximum monthly loads
(TMML) were calculated, the existing pollution sources and their monthly loads
were estimated. Finally, the TMML were allocated among the pollution sources in
each control unit and pollution reduction plans for each control unit were
formulated.
The application in the Taihu Lake Basin indicates that, although it is difficult to
consider the daily loads for the current water environment management in China,
the amount of pollutants and the water environment capacity can be fully taken into
account on a month-by-month basis. That is why the water quality target man-
agement in the Taihu Lake Basin can also be named as the TMML. It is demon-
strated that the water quality target management helps to realize the reform and
innovation of the water environment management in the Taihu Lake Basin and it
also provides theoretical support and methodological guidance for similar basins.
3 Eco-hydrological Processes in Arid Region
3.1 Introduction
Arid area in northwestern China, account for 1/4 of land area of China, is a very
fragile region due to the dry climate and little precipitation, and is very sensitive for
the global climate change. Changes in water cycle process are the direct driving
force for ecological environment evolution of arid area. So, the interaction between
ecological and hydrological processes is an important part of the eco-hydrological
issues in the arid area. As the main producers of the arid inland river basin, desert
riparian forest vegetation is the most important part of arid ecosystems. Water,
which directly affects the desert riparian forest vegetation’s growth and develop-
ment, and controls plant communities’ composition and succession, is the key
ecological factor to control the composition, development, and stability of the
ecosystem in arid inland basin. Therefore, hydrological processes is the main line of
the eco-hydrological researches, and physiological and ecological responses and
adaptation of desert riparian forest vegetation is the main content of the
eco-hydrological researches (Chen et al. 2010).
In recent decades, ecological processes and hydrological mechanism in arid
inland basin always has been the priorities and hot issues of ecology and hydrology
researches. In China, researches conducted comprehensive, multi-angle and
in-depth eco-hydrological researches, and they have made many important results
about the eco-hydrological processes of desert riparian forest vegetation in the arid
inland basin. These results provide the theoretical and technological supports for
restoring the damaged ecosystem of arid inland river basin in northwestern China.
This section provides an overview of the researches of eco-hydrological processes
and mechanism in arid inland river basin, northwestern China.
3.2 Eco-hydrological Processes and Mechanism in Arid

Inland River Basin
3.2.1 Physiological Response of Desert Riparian Forest Vegetation

in Arid Inland River Basin
Under the drought stress, desert riparian forest vegetation could reduce the harm
caused by the drought though their physiological activities. Physiological responses
of the desert riparian forest vegetation to different groundwater depths were
222 W. Meng et al.
sensitive (Chen et al. 2003, 2010). With the increasing of groundwater depth,
drought stress became serious, and the leaves of Populus euphratica, Tamarix
ramosissima, and reeds could actively accumulate soluble sugar, proline, abscisic
acid, MDA, and SOD; in the other hand, their POD reduced with the increasing
groundwater depth (Chen et al. 2003, 2004).
Likewise, Photosynthesis, chlorophyll fluorescence parameters, and water
potential of P. euphratica changed with the increasing groundwater depth (Chen
et al. 2003, 2004, 2006, 2011; Zhou et al. 2010; Fu et al. 2006; Zhuet al. 2010).
According to the analysis between water potential of plant leaves in the arid area
and groundwater depths, −6.5 and −7.12 MPa, respectively, were critical water
potential to determine whether P. euphratica and Tamarix encounter drought stress
(Fu et al. 2006, 2007).
3.2.2 Water Use Strategy of Desert Riparian Forest Vegetation in Arid

Inland River Basin
In the lower reaches of Heihe River, the water resources of trees and shrubs in the
desert riparian forest mainly came from groundwater, but the water resources of
herbs mainly was from the surface water in soil. For example, Isotope analysis
showed that groundwater accounted for 71.5–97 % water resources used by
P. euphratica, and deep soil moisture (200–300 cm layer) accounted for 1.5–18.6 %
water resources by P. euphratica, but surface soil water did not significantly affect
the water use of P. euphratica (Hao et al. 2013). Similarly, 90 % water used by
Tamarix came from groundwater. But 97 % water used by Sophora alopecuroides
L. came from the soil water in 0–80 cm layers, and water used by sonchus oler-
aceus L. and Herba Taraxaci mainly came from the soil moisture in 0–20 cm and
precipitation (Zhao et al. 2008).
Further analysis indicated that diurnal variation of sap flow of P. euphratica
showed a ‘s’ shape, that is, in the morning (08:00–10:00), its transpiration was weak,
and its water consumption and velocity of sap flow were small; during 10:00–20:00,
the velocity of sap flow and the water consumption increased; after 20:00, the
velocity of sap flow and the water consumption decreased. The seasonal changes of
transpiration of P. euphratica also showed a regular change, that is, its transpiration
mainly occurred in June–September, which accounted for 87.5 % total transpiration
in a year, and the transpiration peak presented in July (Ma et al. 2010).
3.2.3 Ecological Water Depth for the Desert Riparian Forest in Arid
Inland River Basin
For the P. euphratica, its physiological characteristics did not showed a significant
change within groundwater depth 4 m, but soluble sugar and proline content in
leaves significantly increased when the groundwater depth increased, especially
proline in leaves rapidly increased from 11.28 μg·g-1.DW to 16.28 μg·g-1.DW
when groundwater depth was more than 9 m, which suggested P. euphratica

encountered the serious water stress. So, the rational and critical groundwater for
P. euphratica were 4 and 9 m, respectively. Similarly, the analysis of changes in
physiological characteristics with the change groundwater depths showed the
rational and critical groundwater for Tamarix were 6 and 9 m, respectively; the
rational groundwater depth for reed was 3.5 m (Chen et al. 2007).
For the plant community of desert riparian forest, species diversity was highest
when the groundwater depth was 2–4 m, followed by it in the groundwater depth
was 4–6 m, then it was in the groundwater depth was 0–2 m. Species diversity
sharply reduced and Hill diversity index tended to be straight when the groundwater
depth was more than 6 m. Combined with the changes in plant communities niche
and species diversity with the changes in groundwater depth, rational groundwater
for restoring plant community in desert riparian forest in the lower Tarim River
should be 2–6 m (Hao et al. 2008). Likewise, according to the analysis the rela-
tionship between groundwater depth and species diversity, including richness,
Shannon-Wiener, Simpson and Pielou, the rational groundwater depth to keep
species diversity in plant communities at oasis-desert ecotone in the lower reaches
of Tarim River should be less than 4 m, and the critical groundwater depth for
vegetation survive in the lower reaches of Tarim River should be not more than 9 m
(Zhou et al. 2008a).
3.2.4 Ecological Safety and Water Demand in the Arid Inland River
Basin
Minimum ecological flow for river course in the Lower reaches of the Tarim River
was showed in the Table 1, and ecological water demand for the river course in the
Lower reaches of Tarim River was 0.79 × 108 m3 without considering evaporation
and seepage (Ye et al. 2008). Ecological water demand for the ecological system
safety in the main stream of Tarim River was 31.74 × 108 m3, in which ecological
water demand in the upper, middle and lower reaches were 9.95 × 108 m3,
18.47 × 108 m3 and 3.32 × 108 m3, respectively (Chen et al. 2008). Moreover, the
Table 1 The minimum river flow calculation in the lower reaches of Tarim River
Items Qiala-Yingsu Yingsu-Aalagan Alagan-Yiganbujima
Length of river/km 210 128 96
Water consumption per unit 0.0111 0.0061 0.0041
river length/(108m3 km−1)
Multi-average river flow/ 29.31 26.82 25.63
(m3 s−1)
Minimum ecological flow/ 2.85 3.76 1.76
(m3 s−1)
Percentage of minimum flow 9.1 14.0 6.9
and multi-average flow/%
224 W. Meng et al.
critical groundwater depth for the phreatic evaporation was 5 m in the lower Tarim
River (Ye et al. 2007). So, according to the distribution of plants and phreatic
evaporation, annually minimum ecological water demand for the desert riparian
forest vegetation was 3.2 × 108 m3, and main period needed ecological water was
from April to September, which accounted for 81 % of annual water ecological
demand of plants, especially for the water demand in May to July, which accounted
for 47 % of annual water demand (Ye et al. 2007).
The annually average ecological water demand in the middle reaches of Heihe
River was (11.16 ± 2.67) × 108 m3, in which it was (9.13 ± 2.29) × 108 m3 for the
oasis ecosystem; the annually average ecological water demand in the lower reaches
of Heihe River was (16.16 ± 4.04) × 108 m3, in which it was (11.06 ± 2.77) × 108 m3
for the present status of oasis ecosystem (Wanget al. 2005).
Vegetation obviously affected ecosystem structure and function of arid inland river
basin, while water significantly influences physiological characteristics of indi-
vidual plants, which further influences the composition and structure of plant
communities. Therefore, ecosystem safety researches focused on ecosystem and
plants stability under water process. Although there were many researches on plant
and ecosystem in arid inland area, changes in composition, structure, distribution
and succession of plant communities as well as their ecological water demand with
different groundwater depths was main researches direction in future. Moreover,
adaptation and survival strategies of desert riparian forest vegetation to drought
stress still need further study.
4 High-Efficient Water Use Mechanisms in Arid Region
4.1 Introduction
Water shortage and deteriorated ecological environment have become the two
biggest obstacles that hinder social-economic sustainable development in inland
river basins of northwest China. How to rationally appropriate and effectively
protect the limited water resources, as well as to adopt high-efficient water use
schemes, therefore, has become the most urgent task and is expected to have great
impacts in promoting high-efficient use of the limited water resources in the region.
At present, related research work has been carried out primarily in Hei River
Basin, Shiyang River Basin, Shule River Basin of Gansu Province, and Tarim River
Basin of Xinjiang Uygur Autonomous Region. Shiyang River Basin is the most
populated region with the greatest extent of development and utilization of water
resources, the fiercest competition for water resources by different sectors, the most
severe eco-environmental problems, and the great hindrance to economic and social
development by water shortage in inland river basins of Hexi region, Gansu
Province. This paper focuses on research work conducted in Shiyang River basin in
recent years, specifically, regional water resource transformation theories and water
resource system modeling, estimation methods, and spatiotemporal variations of
different crops’ water consumption, water-heat balance, water transfer processes
and modeling for typical farmlands in northwest arid region, ecosystem-based
regional water resource rational allocation theories and optimization and regulation
schemes, water-saving, and quality-regulating irrigation technologies based on
limiting crop water consumption.
4.2 Regional Water Transformation Theories and Water

Resource System Modeling
Water resource and hydrological processes are the most important factors deter-
mining the regional economic structure, land use, and eco-environment of inland
river basins. Multiple transformations between surface and subsurface waters within
the region enable water reuse multiple times, which alters water transformation
process and utilization structure, and meantime affects water-dependent ecosystems.
To tackle the key research questions associated with regional water transformation
and system modeling, studies on regional water transformation, parameters calcu-
lation associated with soil properties, soil water flow modeling, effects of changing
environment on runoff and simulations, groundwater modeling have been carried
out (Lai and Ren 2007; Zhou et al. 2008a; Huo et al. 2011; Sun et al. 2009; Wang
et al. 2008; Ma et al. 2008). Zhou et al. (2008a) developed a two-dimensional
dynamic root water uptake model for grapevine, and a dynamic soil water flow
model under alternate partial root-zone drip irrigation for the vineyard was built
based on the root water uptake model; Huo et al. (2011) proposed the
ANN-FEFLOW model, which extended the applications of regional groundwater
level models to dynamic boundary conditions; Wang et al. (2008) modified the
evapotranspiration estimation module in a regional water transformation model
(SWAT model) through relating seasonal potential evapotranspiration (PET) to
regional digital elevation model (DEM), and established a SWAT-based distributed
hydrological model for Zamu River Basin; Ma et al. (2008) proposed an evaluation
method which can quantify the effects of climate change and human activity on
regional runoff, and the results showed that the contribution percentage from human
activity on runoff at regional mountain outlet was from 12.1 to 35.5 %.
226 W. Meng et al.
4.3 Estimation Methods and Spatiotemporal Variations

of Different Crops’ Water Consumption
At present, there are no uniform standard or module on estimation and measurement

of crops’ water consumption. To explore appropriate estimation and measurement
methods of crops’ water consumption grown in different types of farmlands in
northwest arid region, various methods including water balance, Bowen
ratio-energy Balance, eddy covariance, sap flow + micro-lysimeter, crop coefficient,
and theoretical modeling have been evaluated based on major crops of Shiyang
River Basin, such as corn, cotton, potato, grape, apple-pear, water melon, hot
pepper, and tomato in green house. The applicability and application conditions of
different measurement methods have been elucidated through systematic experi-
mental studies and comprehensive comparisons of those methods (Du et al. 2006;
Li 2009; Zhang et al. 2007; Hou et al. 2010; Liu et al. 2011; Wang et al. 2011; Ding
et al. 2010). Ding et al. (2010) monitored the temporal changes of ET during the
whole corn growing season using the large-scale lysimeter and eddy covariance
system, and their results showed that half-hour average ET values measured by
eddy covariance system (ETEC) during daytime were 21.8 % lower than those
measured by lysimeter (ETL). Average ETEC would be very similar to average ETL
over different growth stages after adjustment using forced Bowen ratio-energy
balance and filtering-interpolation methods. Zhang et al. (2009) developed a water
consumption estimation model for uneven wetting and sparse canopies. Zhang et al.
(2011), Tong et al. (2007), and Zhang et al. (2010) conducted studies on spatial
up-scaling of crop water consumption estimation. Using the scale-transfer function
which is set up from elevation (H), aspect (A), and latitude (V) which derived from
DEM, the spatial distribution model of ETc and net irrigation water requirement
(I) of different crops in the basin were obtained through GIS software, based on the
DEM and land use map (Tong et al. 2007).
4.4 Water-Heat Balance, Water Transfer Processes

and Modeling for Typical Farmlands in Northwest
Arid Region
Zhang et al. (2007) studied daily, seasonal, and yearly variations and changing
patterns of water and heat fluxes in a vineyard, and found that daily variations of
components of water and heat fluxes, and Bowen ratios displayed a typical
single-peak pattern during the entire growing season. Guo (2010) monitored water
and carbon fluxes of the vineyard and reported that daily change of CO2 flux
showed a typical two-peak curve with two peaks taking place, respectively, at about
10 and 14 o’clock, and the lowest flux around noon. Li (2009) investigated the
changing patterns of different components of corn energy, and quantify the per-
centage of each component over the whole energy. Their studies showed that daily
average net radiation tended to increase at the earlier stage, then decrease over time
during the whole growing season, soil heat flux fluctuated greatly at the earlier
growth stage, and then became relatively stable during the middle and late growth
stages, and latent heat changed as a convex-shape parabolic curve during the
growing season.
4.5 Ecosystem-Based Regional Water Resource Rational

Allocation Theories and Optimizing and Regulating
Scheme
Water consumption changing patterns and calculation model for wild wind pre-
vention and sand fixation species, such as Haloxylon ammodendron, Caragana
korshinskii, and Hedysarum scoparium, and artificially planting species such as
Tamarix elongata ledeb, Caragana korshinskii kom, and Populus alba L. var.
Pyramidalis were achieved based on experimental studies on water consumption of
typical vegetation at Shiyanghe Experimental Station for Water-saving in
Agriculture and Ecology of China Agricultural University (CAU) in Wuwei, Gansu
(Xia et al. 2008; Xu 2010). Their results showed that Haloxylon ammodendron
consumed the least amount of water among wild species, with May—October total
sap flow of 515.58 and 445.65L in 2004 and 2005, respectively. Among the three
artificial species, Tamarix elongata ledeb was the one saving most water, the next
saving-water species was Caragana korshinskii kom while Populus alba L. var.
Pyramidalis consumed the largest amount of water with May—October total sap
flow of 532.3–910.7 L, 587.3–922.6 L, and 1371.5–2375.2 L for 2005–2008
respectively. Xu (2010) developed an evapotranspiration estimation model for
Populus alba L. var. Pyramidalis, which extended the single-layer canopy resis-
tance model to dual-source model and improved canopy resistance and soil resis-
tance calculation methods in the dual-source model.
Methods for better estimating ecological water demand at watershed scale in
northwest arid region, and for dynamic evaluation of ecological value for inland
river basins based on coefficient of social development stages and degree of
resource shortage have been proposed. A water resource rational allocation model
accounting for ecological water demand for Shiyang River Basin was developed,
and allocation scheme for up, middle, and low reaches of Shiyang River Basin,
allocation scheme for ecological and economic water demands, and optimized
cropping structure for the region were achieved. The optimized irrigated farmland
would be within 213800–240300 ha, and the optimized crop acreage ratio for grain
—economic—forage crops would be around 54:31:15 in Shiyang River Basin.
Zeng et al. (2010) built a multi-objective irrigation decision model with uncertain
parameters and obtained optimized crop structure under different water-saving
irrigation methods in Shiyang River Basin.
228 W. Meng et al.
4.6 Water-Saving and Quality-Regulating Irrigation

Technologies Based on Limiting Crop Water
Consumption
Kang et al. (2009) first proposed the concept of water-saving and quality-regulating
high-efficient irrigation, and put forward theories and implementation method of
water-saving and quality-regulating high-efficient irrigation based on water-quality
interrelationships for typical economic crops. The effects of water control at dif-
ferent growth stages and at different parts of roots on crop growth were investigated
for cotton, apple, grapevine, tomato, and green pepper in greenhouse. The sensi-
tivity of different quality components to water stress at different growth stages were
studied, the relationships between quality and water control were quantified, and the
threshold values of different quality indices to soil water regulating were deter-
mined (Du et al. 2006, 2008; Wang et al. 2011; Kang et al. 2009). Du et al. (2008)
discovered that alternate partial root-zone irrigation could increase Vitamin C
content, reduce tartaric acid content, and substantially increase total soluble solid
content. They also proposed water-saving, quality-regulating, and high-efficient
integrative technological irrigation systems for wine grape based on
water-comprehensive quality-yield-economic benefit interrelationships under fur-
row and drip irrigations. The systems could save 40–60 m3 irrigation water during a
growing season. Wang et al. (2011) found that water shortage during blossom and
fruit-development stages could increase yield of favorable fruits and improving the
fruit uniformity for greenhouse tomatoes. Regulated Irrigations with 1/3 potential
ET during blossom and fruit-development stages, and with 1/3 or 2/3 potential ET
at ripe and harvest stages could enhance substantially fruit total soluble solid
content, soluble sugar, organic acids, Vitamin C and lycopene, improve fruit
hardness, and reduce fruit water moisture content.
4.7 Prospects
Coordinating multiprocesses and comprehensively studying mass exchange mech-

anisms between interfaces will help to understand water-heat-carbon circulation
mechanisms in soil-plant-atmosphere-continuum. Regional spatiotemporal crop
water use optimization technologies under water shortage will be a new research
topic. Decision systems on optimizing water-saving and quality-regulating irrigation
module based on crop water demand information and water-quality-yield-revenue
model need to be explored. Water-saving and quality-regulating irrigation module
for major cereal and economic crops and associated operation guidelines are needed.
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Part III
Restoration of Degraded Ecosystem
Chapter 10
Shaolin Peng, Ting Zhou, Deli Wang, Yingzhi Gao, Zhiwei Zhong,
Dong Xie, Hengjie Zhou, Haiting Ji, Shuqing An, Ming Dong,
Xuehua Ye, Guofang Liu and Shuqin Gao
Abstract Ecosystem is the most complete basic structure and functional unit for
the research of ecology and other branches, so ecosystem restoration is the basis of
different levels of ecological restoration research, and the research and practice of
ecological restoration should take ecosystem as the basic object. The theme for the
International Conference of Restoration Ecology in 2003 was “understand and
restore ecosystem”, which indicated the basic significance of ecosystem restoration.
There are many types of ecosystems, including forest, grassland, desert, ocean, lake
and river. They are not only different in appearance, but also composed with
separately unique biotic components. For different ecosystem types, the theory and
methods of recovery and reconstruction are different. In the first three sections of
this chapter, we discussed the ecological restoration for degraded forest ecosystem,
grassland ecosystem, and wetland ecosystem. The fourth section described pro-
tection and restoration of sandland ecosystem. In the restoration research of each
ecosystem type, the chapter emphasized the degradation actuality of different
ecosystems, its reasons, corresponding restoration ways, and benefits and evalua-
tion. There have been great achievements have been made in the ecosystem
restoration research field in China, and some have reached the advanced interna-
tional level. The authors of all sections are experts, who have spent years
researching the ecosystem restoration, thus whether their discourses were based on
themselves research, or their articles integrated peer research nationwide, they
summarized the front research which reflected the overall level of this field in
current in China.
S. Peng (&) T. Zhou

State Key Laboratory of Biocontrol, School of Life Sciences, Sun Yat-sen University,
D. Wang Y. Gao Z. Zhong
School of Life Sciences, Northeast Normal University, Changchun 130024, China
D. Xie H. Zhou H. Ji S. An
School of Life Sciences, Nanjing University, Nanjing 210093, China
M. Dong X. Ye G. Liu S. Gao
Institute of Botany, Chinese Academy of Sciences, Beijing 100093, China

DOI 10.1007/978-3-662-48376-3_10
236 S. Peng et al.

Keywords Ecological restoration Degraded ecosystem Forest ecosystem

Grassland ecosystem Wetland ecosystem Sandland ecosystem
1 Ecological Restoration of Degraded Forest
1.1 Introduction
Forest ecosystem contributes to the maintenance of biodiversity and regional

eco-balance, thus the restoration of degraded forest ecosystem is crucial for regional
sustainable development. On the other hand, we are all in the benefits of ecological
restoration against the background of resource exhausted and increasing global
change(Alcoze et al. 2000). Ecological restoration influences the environment
through regulating the global carbon dynamic and biogeochemical cycling (Stone
2009). In view of this, ecological restoration becomes a global issue. Bowers, the
chairman of the International Society for Ecological Restoration, proposed that
ecological restoration in the changing world is to restore the world’s future (Peng
and Hou 2007). Prof. Dixon, the chairman of the 19th International Conference of
Restoration Ecology, also pointed out that restoration ecology might be the only
choice in a changing world (Peng and Zhou 2009).
Many processes in restoration ecology have made in China, such as in the eroded
soils in tropical region (Li et al. 1996), desertification management (Li et al. 2005),
mangrove restoration (Peng et al. 2008), control of water loss and soil erosion in
loess plateau (He and Lang 2009). In this study, we reviewed the theory and
practice of the restoration of degraded forest ecosystem based on our long-term
researches.
1.2 Theoretical and Technological Background

of Ecological Restoration of Degraded Forest
1.2.1 The Basic Theory of Forest Ecosystem Restoration-Successional

Theory
Full-scale understanding of the dynamic principles increases the efficiency of forest

vegetation restoration and reconstruction. All successful artificial forest ecosystems
are the simulation of natural ecosystems and based on the principles of dynamics
and ecology, which conform to the successional law. Therefore, when restoring and
reconstructing degraded forest ecosystem we rely on restoration reference, which is
the representative community and species combination in a successional
chronology.
10 Restoration of Degraded Ecosystem 237
Successional
Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Stage 6
stage
Pinus needle-broa broad-needl evergreen evergreen mesophytic

Community massoniana d-leaved e-leaved broad-leaved broad-leaved evergreen
characteristics community forest forest forest forest broad-leaved
dominated dominated dominated by dominated by forest
by by heliophytic mesophytic (climax
Pinus trees broad-leave plants plants community)
trees
Fig. 1 Successional process of subtropical forest
Subtropical forest succession region generally follow the process in Fig. 1 and
Table 1 with the exclusion of anthropogenic interference and this restoration ref-
erence was proved as an effective practical guidance on afforestation and forest
vegetation transformation (Peng et al. 2010).
1.2.2 Technological System of Forest Ecological Restoration
The technological system mainly includes three aspects: the recovery technology
involving water, soil, air and other environmental factors; the recovery technology
involving species, populations and community; the overall planning and assembly
technology involving ecosystems and landscapes. And these technical method-
ologies of restoration and reconstruction of degraded ecosystems continue to
develop and improve.
1.3 Restoration and Reconstruction of Forest Vegetation

of Degraded Ecosystem
1.3.1 Degraded Ecosystems
Spontaneous restoration of forest vegetation in extremely degraded land under

natural conditions is infeasible and need the manual startup process.
Taking southern extremely degraded bare land as example, we should first take
engineering measures and biological measures to control the ecological factors
causing extreme degradation. Second, we should choose fast-growing, drought
resistance, barren pioneer species to reconstruct pioneer community. Third, we
should carry out stand improvement and accelerate the recovery process of suc-
cession according to local restoration reference. Finally, utilization of ecosystems
can be considered to improve the economic benefits of restoration of degraded
ecosystems.
238
Table 1 Time division of subtropical forest communities at different successional stages

Forest 0 0–25 25–50 50–75 75–150 150–∞
age/year
Community Pioneer Needle-broad-leaved Broad-needle-leaved Evergreen Evergreen Mesophytic
characteristics forest forest dominated by forest dominated by broad-leaved forest broad-leaved forest evergreen
community Pinus trees broad-leave trees dominated by dominated by broad-leaved
(e.g. Pinus (e.g. Castanopsis heliophytic plants mesophytic plants (e.g. forest
massoniana) fagaceae, Schima (e.g. Castanopsis Cryptocarya chinensis,
superba) fagaceae, Schima Cryptocarya concinna)
superba)
S. Peng et al.
In practice, ecological restoration can be obtained very significant ecological,

economic and social benefits (Palmer and Filoso 2009). It is proved by numerous
researches conducted in Chinese Academy of Sciences Heshan positioning station.
1.3.2 Restoration of Secondary Forest Ecosystem
The habitats of secondary forest ecosystems are generally well, so the restoration of
the ecosystem is primarily in line with restoration reference, and artificially promote
development along the line of succession. The main stages of secondary forest
ecological restoration include closing forest, stand improvement, increasing the
light transmission and post-secondary forest conservation.
1.4 Eco-benefit of Restoration of Degraded Forest
1.4.1 Biological Benefit of Restoration of Degraded Forest
The biological benefit is first reflected in the woodland biomass accumulation.

Because there are sufficient good light, heat, water and other conditions in tropical
and subtropical area, vegetation recovery and development could be very fast with
appropriate choice of species. Heshan degradation slope has been in re-vegetation
for seven years and the existing capacity has reached 100–150 t hm−2, which
accumulation process is very fast. During that recovery process, solar energy uti-
lization of vegetation grows, and it promotes the accumulation of forest biomass
and primary productivity, thereby increasing the functional intensity of forest
vegetation (Peng et al. 2003).
Second, the biological benefit is reflected in the increasing biodiversity, espe-
cially the plant diversity. Ecosystem biodiversity is built on the basis of plant
diversity. Different plant species have varied biological and ecological character-
istics and plant diversity will lead to community complex, which means that more
vertical stratification, higher levels of plague pattern and more complicated root
system. These diverse microhabitats would be easier for reside more living
organisms, such as insects, birds, microorganisms and animals.
1.4.2 Environmental Benefit of Restoration of Degraded Forest
In addition to the improvement of biological benefit, the eco-benefit of restoration of

degraded forest is largely reflected on the marked improvement of environmental
benefits, mainly in the aspects of controlling of soil erosion, soil quality improve-
ment in woodland and forest microclimate optimization and so on. Researches by
Chinese Academy of Science Xiaoliang Tropical Plantation Research Station sug-
gested that Bare land erosion is the most serious of 52.3 t hm−2 a−1; followed by
240 S. Peng et al.
eucalyptus, 10.79 t hm−2 a−1; Mixed lowest, 0.18 t hm−2 a−1. Soil and water con-
servation capacity of artificial broad-leaved forest in Xiaoliang Station close to
natural mixed forest (Peng et al. 2003). Soil organic matter content increased from
1.34 to 2.68 % in 5–25 years old artificial forest and the average annual growth was
0.067 %. Nitrogen increased from 0.076 to 0.0135 % and the annual average growth
was 0.003 %. In spite of the fast recovery, the simulation results predicted that it
would take 148 years for the soil organic matter to achieve zonal natural forest
vegetation level (Yu et al. 1996).
During forest vegetation restoration, forest development exerts high ecological
effects on forest soil, water and woodland microclimate. Vegetation restoration not
only affects the woodland itself, but also affects the surrounding environment, and
the regional and even global ecological balance. Since 1976, the new forest in
Guangdong Province, annually fixed more than half of industrial C emissions (Peng
et al. 2009). We should note that ecological restoration of vegetation not only
release the global increasing of CO2, but also important to the amelioration of other
global change issues, such as temperature rise, UVB increases and reduction of
biodiversity.
2 Grassland Degradation and Ecological Restoration
2.1 Introduction
As one of the most important terrestrial ecosystem types on earth, grassland plays a
key role in preserving water and soil, reducing pollution and purifying the air,
preventing desertification and maintaining ecological balance, the ecological
functions, and resource value of grasslands is unique and cannot be replaced by
other ecosystems. There are about 400 million hm2 of natural grasslands in China,
which account for 41 % of the total land area of the country. It is the biggest
terrestrial ecosystem in China, however, a majority of grasslands are now consid-
ered degraded due to the human utilization such as long-term overgrazing, and the
lack of adaptive management and capital investment. Grassland degradation has a
“bottleneck effect” on the sustainability of livestock husbandry and pastoral social
economy in China. Therefore, it is a critical issue to carry out the long-term
planning and comprehensive management or utilization strategies for those grass-
lands, especially for degraded grasslands.
Grassland degradation usually refers to the degradation of functions for grass-
land ecosystems, reflecting the decreases in forage yield, vegetation productivity
and animal performance, and the deterioration of soil conditions due to overgrazing,
high frequent cutting or reclaiming. Furthermore, grassland degradation includes
two basic aspects: one is the degradation of vegetation, which mainly refers to the
changes in various vegetation characteristics in grasslands, such as decreases in
vegetation coverage, productivity and plant diversity; the second is the degradation
of soil, which refers to the changes in soil physical and chemical properties that are
on longer suitable for plant growth (Wang et al. 1996; Gao et al. 2004). In gen-
erally, natural grassland ecosystems exhibit many kinds of degradation as deserti-
fication, and salination or alkalization. In Songnen grasslands of northeast China, a
large lands of salt and alkali were found to accumulate in the topsoil owing to the
special terrain and geological process and overgrazing which can make the grass-
lands become salinization and alkalization. Again, as a result of overgrazing and
continued drought, Maowusu sandy grasslands in Inner Mongolia of China is now
experiencing more and more serious desertification. Given different drivers and
changing processes for grassland degradation, it needs to have various techniques
with simple manipulation and low cost for combating the grassland degradation.
2.2 Causes of Grassland Degradation
Grassland degradation is due mainly to the integrated effects of natural causes and
human activities. Some scientists argued that grassland degradation should be
attributed largely to natural factors, and they believed that the changes in grassland
ecosystems are highly associated with the changes of geographical features, cli-
matic conditions, soil properties and natural disaster events in a region. The climatic
factor, especially the changes of annual precipitation, could largely determine the
developing direction of grasslands. By contrast, other scientists believed that human
activities such as excess reclamation, overgrazing and unreasonable use of water
resources are the main reasons of grassland degradation.
2.2.1 Natural Factors
It is no doubt that the ecosystems including grasslands are strongly affected by a

wide variety of natural factors on the earth. In fact, the formation and dynamics of
ecological systems are driven by various environmental factors such as physical
conditions-light radiation, temperature, precipitation, soil properties, fire, and other
geological activities. Empirical work clearly show that the dramatic changes in
these environmental factors may directly or indirectly cause the changes or
degradation in ecosystems. For a specific ecosystem, biological factors such as
exotic invasion, outbreaks of insects or rodents can also result in the significant
changes or degradation of grasslands.
Climate change is one of the main causes of grassland degradation. In recent
years, global change mainly refers to three aspects: first, global average temperature
rises as atmospheric CO2 concentration increases; second, the climate in most part
of the world, especially in grassland regions, will tend to be drier; third, the vari-
ation in climatic patterns such as precipitation and temperature. For grassland
ecosystems, vegetation production may be limited by drought and the uneven
temporal and spatial distribution of precipitation. Besides, the decreased
242 S. Peng et al.
Fig. 2 The variation dynamic

of grassland precipitation in
Jin Qiang district, Gansu
province in twenty years (Bai
and Pu 2003)
precipitation accompanying with the increased temperature, leads to higher soil

evaporation. Therefore, such changes often limit plant growth or production, and
thereby cause the degradation in grasslands. Lü and Lü (2002) reported a significant
increase in temperature and evaporation but a significant decrease in precipitation in
pasturing areas of northeast Tibet Plateau since the 1980s. Climatic warming-drying
trend has led to a shortage of water and the degradation of grassland in this region.
Again, Bai and Pu (2003) fund that grassland average annual temperature in
Jinqianghe area of Gansu Province has increased during the past twenty years.
Average annual precipitation in this region varied largely, average annual precip-
itation from 1991 to 2000 was 4.7 % lower than that from 1980 to 1990 (Fig. 2).
Pest insects and rodents are also the main causes of grassland degradation.
Nowadays, more than 28 million hm2 grassland areas in China are suffering from
various degree of rodent pest, which account for 10 % of the available grasslands in
the country (Zhong and Fan 2002). In the Qinghai-Tibet alpine meadow ecosystem,
rodent problem is particularly serious. Besides, by consuming a large amount of
above-ground biomass, pest insects can also lead to the degradation of grasslands.
There are two main groups of pest insects, namely grasshoppers and caterpillars.
Under suitable climatic conditions, it is particularly easy to provoke the outbreaks
of pest insects. For example, as the temperature in grassland regions is relatively
high during June and July each year, abundant summer precipitation may cause the
plague of locusts. In 1998, it was reported that the grassland of approximately
2 million hm2 in Qinghai Province were suffered from insect pest (Ma et al. 2002),
and it is a common phenomenon in the Inner Mongolian grasslands.
2.2.2 Human Activities Disturbance
As the same as the other parts in the world, the human activities such as over-
grazing, frequently mowing, reclamation are often considered as the main causes of
the degradation in grasslands. Overgrazing is the primary factor influencing the
sustainable development of grassland ecosystems. Livestock grazing is the main
way of human grassland use, and grassland resources were directly transformed into
animal products through livestock grazing. However, it should be noted that both of
the effectiveness of grassland use and the ecosystem health of grasslands depend on
the rationality of grazing regime, and the balance between grassland production and
animal foraging. With increasing grazing intensity, grasslands will fail to maintain
high and sustainable vegetation production, and thereby restrain animal production.
This may lead to serious consequences, as degradation of vegetation may develop
into soil degradation in grasslands (Wang et al. 1996, 2005). Under the overgrazing,
through the effect of trampling (also called hoof effect), livestock grazing can exert
strong impacts on grasslands. Previous studies showed that livestock trampling can
cause forage losses in grassland, for example, as grazing time increases, the falling
rate of Leymus chinensis has risen from 4.2 to 11.0 % (Table 2) (Teng and Wang
2002). Meanwhile, intensive grazing may change soil physical structure and
chemical properties by trampling (Teng et al. 2006).
The intensity and frequency of mowing can directly influence grassland vege-
tation dynamics, including plant species composition and plant productivity (Wang
and Yang 2003). In the Songnen grasslands, previous studies showed that mowing
significantly changed the composition of plant community (Fig. 3). As the intensity
of mowing increases, L. chinensis + forbs communities will turns into L.
chinensis + Carex duriuscula communities, finally leads to a decline in the number
of plant species. Therefore, just like overgrazing, intensive mowing will also exert a
strong negative impact on grasslands, and cause the degradation of grassland
vegetation.
Table 2 The foraging loss and falling rate of plants under different grazing rates (g DM m−2, %)
Item Grazing time 0.5 h Grazing time 1.0 h Grazing time 1.5 h
Loss Falling rate Loss Falling rate Loss Falling rate
Leymus chinensis 3.5 4.2 5.0 9.4 1.6 11.0
Phragmites communis 0.6 13.4 0.6 8.5 0.2 2.6
Kalimeris integrifolia 0.8 3.3 0.3 10.0 1.0 6.6
Apocynum venetum 0.1 0.0 0.0 14.8 0.0 10.7
Puccinellia tenuiflora 1.1 1.3 0.4
Total and average 6.1 5.2 7.2 8.5 3.2 6.8
Fig. 3 The vegetation degradation of Songnen grassland under different mowing intensity
244 S. Peng et al.
Reclamation is still a driven factor leading to grassland degradation in north-

easter China. Crop cultivation in the reclaimed grasslands can damage or decrease
native grassland vegetation productivity and soil fertility, and thus reduce the
stocking capacity, which naturally cause the degradation in grasslands. After the
founding of the country, the United States had conducted a large scale of recla-
mation on Great Plains of North America, and a huge black storm broke out in
Great Plains of North America in 1934, and resulted in huge damage. Two-thirds of
the land areas of the United States were suffered from the storm, and 15–85 % of
vegetation in these regions was destroyed, 45 million hm2 reclaimed farmland was
disappeared, and 60,000 farmers and herdsmen were bankrupt.
Except for the impact factors mentioned above, low investment is also another
cause of grassland degradation. According to the statistics of relevant departments,
during 1949–1986, the total investment in grasslands was 8.73 billion RMB in
China, which accounted for 3.4 % of the total investment in agriculture and 1.6 %
of the gross output in animal husbandry, the average investment per hectare per
year in grasslands was only 0.58 yuan (Sun et al. 1997).
2.3 Techniques for the Restoration of Degraded Grassland

Ecosystems
Techniques for the restoration of degraded grasslands mainly include physical and
chemical technology, engineering technology, and biological technology. In prac-
tice, in order to restore the degraded grasslands more effectively, these techniques
can be used separately or conjunctively.
2.3.1 Physical and Chemical Technology
‘Sand bedding’ is an effective physical technique for the restoration of degraded

saline-alkaline grasslands. The basic principle of this technique is to incorporate
sands into grassland soils. This technique could effectively change the physical and
chemical properties of these saline-alkali soils, and finally lead to a decrease in soil
salinity and alkalinity in the degraded grasslands. In Tongyu country of Jilin
Province, ‘sand bedding’ significantly improved soil physical structure and prop-
erties in a saline-alkali grassland after 4 years of large scale experiment (Table 3;
Jiang 1978). ‘Sand bedding’ technique mainly changes the physical structure of
soils, and thus improves the aeration and absorption of soils. However, it should be
noted that there are some limitations of this technique. First, sand sources should be
available for applying this technique into practice, but there are not sand sources in
many grassland regions; second, the cost of this technique is a little bite high, it is
estimated that the cost of this technique can be as high as 3000 yuan per hm2; third,
Table 3 The variation of saline-alkali soil properties before and after sand bedding
Treatment Item
Sampling Physical Physical Soil Salt Note
depth clay sand texture content
(cm) (<0.01 mm) (>0.01 mm) (%)
Before 0–20 52.07 47.93 Light 0.157
sand clay
bedding
After 0–20 23.23 76.77 Light 0.062 Four years
sand loam continuous sand
bedding bedding
Jiang (1978)
when the sand is taken from one place to grasslands, vegetation within source
region could be damaged.
Chemical technology is often considered as an experimental or practical way to
improve degraded grasslands. Indeed, this technique can effectively improve the
conditions of degraded soils, and then make the grassland vegetation easier to
recover. Chemical agents are the key of chemical technology. Usually, those
chemicals that used to improve degraded soils can be called soil conditioner.
According to the sources of raw materials, soil conditioner can be divided into four
types, namely natural conditioner, synthetic conditioner, natural-synthetic copoly-
mer conditioner and biological conditioner.
Xiao et al. (2009) conducted a field experiment testing the improvement of sodic
soils with desulphurization gypsum in a Latin square design in Ningxia Xidatan and
studied the application amounts of desulphurization gypsum in cropping rice
(Oryza sativa). Results showed that the application of desulphurization gypsum
reduced soil alkaline, total alkalinity and pH, and increased seedling rate and yield
of rice. However, different application amounts of desulphurization gypsum led to
different reductions of soil alkaline, total alkalinity and pH. According to the
simulation curve of the application amount of desulphurization gypsum with the
reduction of soil alkalization, total alkalinity and pH, the reduction of alkaline soil,
total alkalinity and pH reached the maximum when the application amount of
desulphurization gypsum was 2.8–3.1 kg m−2. Meanwhile, according to the sim-
ulation curve of the application amount of desulphurization gypsum with rice
seedling rate and yield, rice seedling rate reached the maximum of 84.7 % when the
application amount of desulphurization gypsum was 2.86 kg m−2; when the
application amount of desulphurization gypsum was 2.79 kg m−2, the highest rice
yield was up to 0.75 kg m−2. Therefore, the optimal application amount of desul-
phurization gypsum was 2.8–3.1 kg m−2 to improve sodic soils for planting rice.
246 S. Peng et al.
2.3.2 Engineering Technology
According to the formation of saline soils, an engineering technology for grassland

restoration was developed in China. Establishment of irrigation and drainage
facilities is the main engineering technique for the restoration of degraded
saline-alkali grasslands. Effective drainage systems can decrease the salinity and
alkalinity of grassland soils, and make the degraded grassland move back to normal
state. Generally, soils contain a variety of alkali and salt ions in the upper layers.
Some of these ions are the essential nutrients for plant growth. However, they are
also poisoned for plants, especially when their concentrations are high. Li and
Zheng (1997) showed that the as groundwater rose, soluble salinity will transfer
from deep soils to the surface soils, and resulted in salinization or alkalinization in
soils.
The establishment of irrigation and drainage facilities can effectively inhibit the
processes of salinization: First, drainages facilities can improve the drainage speed,
decrease the level of groundwater, and inhibit the transfer of soluble salinity from
deep soils to the surface soils; Second, drainages facilities enhance the leaching
effects, which can effectively decrease the concentrations of alkali and salt in soil
surface. To restore a desertification grassland, one of the first needs is to fix the
mobile sand dunes, and then to restore the grassland vegetation. By establishing a
various kinds of sand barriers, engineering technique plays a key role in changing
soil property, reducing the wind speed and preventing wind erosion in desertifi-
cation grasslands (Feng et al. 1994). Sand barriers can be made of concretes, soils,
woods and grasses. Grasses are the ideal materials to produce sand barriers in
degraded grasslands, because they are cheap and the supplies are abundant. More
importantly, grasses within the sand barriers could decompose quickly and then
enhance the fertility of grassland soils (Fig. 4).
Fig. 4 A framework of sand

barriers in the Shabotou sand
dunes
2.3.3 Biological Technology
Except for the technologies mentioned above, we can also use bio-ecological
technique to restore the degraded grasslands. According to the principles (or theo-
ries) of ecology and the resilience stability of grassland vegetation, bio-ecological
techniques such as grass planting, plant transplanting (Zhang and Wang 2009),
establishment of the litter layer (Guo et al. 1998), fertilization and irrigation can
significantly improve the conditions of degraded grasslands (Wang and Yang 2003).
(i) Grassland fencing Grassland fencing and planting grasses are the traditional
biological techniques to restore degraded grasslands. Generally, grassland
fencing is considered to be an effective bio-ecological technique in grassland
management and restoration. After long-term grazing or mowing, vegetation
and soil fertility in grasslands will decrease significantly. Moreover, under
intensive utilization, both natural and artificial grasslands will degrade within a
relatively short period of time. Before grasslands were completely destroyed, if
we immediately stop using the grasslands and further carry out grassland
fencing, grassland vegetation and soils will recover quickly. Chinese ecologists
have previously conducted grassland fencing experiments in multiple grass-
lands, and have achieved very good results. In Erdos of Inner Mongolia,
grassland fencing significantly changed plant species composition: the pro-
portion of fine quality forage such as legume and grasses increased signifi-
cantly, whereas the proportion of poisonous plants declined. In Songnen
grassland of northeast China, 5 years grassland fencing caused a strong
expansion of the dominant species L. chinensis, which significantly increased
grassland vegetation cover by approximately 50 % (Table 4; Li and Zheng
1997). In the Qinghai-Tibet alpine meadow ecosystem, the above-ground
biomass of fine quality forage has risen from 174.0 to 325.0 g m−2, and the
below-ground biomass was also significantly increased after 3 years of grass-
land fencing (Li 1994).
(ii) Seeding Planting grasses is the major technique in grassland restoration, and
this technique has been widely accepted and applied in China. Using the theory
of plant succession, ecologists from Northeast Normal University has previ-
ously conducted many experiments to explore how to restore the degraded
saline-alkali grasslands, and they have proposed an empirical mode for the
Table 4 The development of L. chinensis community (area) fenced after five years
Time Communities No. (m2) Total
1 2 3 4 5 6 7 8 9 10
Before fencing 0.50 0.4 4.2 2.1 1.2 1.3 51 0 0.8 12.4 73.9
Fened for 5 years 1.4 1.9 8.1 3.6 1.5 2.4 72 0.4 1.7 16.7 109.7
Extended area 0.9 1.5 3.9 1.5 0.3 1.1 21 0.4 0.9 4.3 35.8
Li and Zheng (1997)
248 S. Peng et al.
Fig. 5 Seeding patterns of saline-alkali grassland restoration
restoration of these grasslands (Fig. 5). To restore the salinized grasslands, we

should carry out the restoration step by step and closely according to the plant
succession theory. There are large areas of salinized soils in Songnen grass-
lands, as those soils are unsuitable for plant growth, directly plant grasses on
these soils is obviously not a viable alternative. Thus, we should firstly increase
the accumulation of organic matter in grassland soils before planting grass.
Generally, the establishment of litter layer may be a good way to improve the
organic matter accumulation in soils. Guo et al. (1998) reported that after the
establishment of litter layer, ground surface temperature has decreased by 7 °C,
and soil water content has increased by 27 %. The establishment of litter layer
can also decrease soil bulk density, soil pH and soil salt content, whereas
increase the content of soil organic matter and available nitrogen (Table 5). The
amount of litter could significantly influence the recover progress of grassland
vegetation and soils. For example, once litter mass is below 500 g m−2, the
effects of litter layer on the restoration of salinized grasslands are not obvious.
When litter mass is up to 1.5–2.0 kg m−2, the density, cover, height, production
and survival of plants will increase significantly. Compared with other types of
lands, it is more difficult to establish artificial grasslands in salinized lands.
Therefore, it is important to choose the native plant species for grassland
restoration in this region. Zhang and Wang (2009) reported that the trans-
plantation of L. chinensis to salinized grasslands could strongly improve the
conditions in these regions. The transplantation of L. chinensis may strongly
affect soil pH and electric conductivity in soils; likewise, as the physiological
tolerance to salinity of L. chinensis, this plant species will expanse quickly in
salinized lands, and thus can effectively restore this type of degraded grassland.
10
Table 5 The effects of litter layer on physical and chemical properties of salinization soil
Community Plot Surface Soil water Soil bulk density SOM Available nitrogen pH Salt content
type temperature (° content (%) (g cm−3) (%) (mg g−1) (mmol kg−1)
C)
Saline-alkai CK 35 18 1.73 0.75 0.13 10.2 0.838

patch Treatment 28 23 1.68 1.05 0.22 9.4 0.765
Suaeda CK 34 19 1.72 0.76 0.21 10.0 0.807
community Treatment 28 24 1.65 1.10 0.31 9.0 0.668
Chloris CK 32 20 1.68 1.32 0.23 9.5 0.664
Puccinellia CK 33 18 1.61 1.34 0.25 9.6 0.754
Guo et al. (1998)
249
250 S. Peng et al.
2.4 Outlook
Grassland degradation is a serious problem in China. At the dawn of the 21st

century, grassland ecologists in our country have put great efforts into the
restoration of degraded grasslands, and they have made a lot of progress and
achievements in this area. However, as the ecological and technological support
systems of grasslands are still relatively incomplete in our country, it is clear that
we need more studies on the restoration and reconstruction of degraded grasslands.
3 Ecological Restoration of Degraded Wetlands in China
3.1 Introduction
The wetland is one of the most important ecosystems on the earth, and an important
place for the world’s biological and genetic material (gene pool) storage. However,
the rapid growth of human population and economy, together with the long-term
over-exploitation, has made the global wetland ecosystems overwhelmed and on
the verge of collapse. More than 50 % of the global wetlands have been lost today,
and the situation of the Chinese wetlands’ damage is also not optimistic, as more
than 60 % of the wetlands have been damaged in varying degrees (Liao et al. 2006).
Therefore, improving and restoring wetlands’ various functions, such as slowing
the runoff, flood control and drought prevention, water purification and restoring
and rebuilding wetlands in the appropriate geographical places are the pressing
issues human face today (An 2003).
Today, the restoration of the degraded wetlands is one of the most important
issues of ecological research and has developed rapidly with the development of
wetland restoration theories. Researches on the degraded wetland restoration were
started early abroad: The United States invested huge funding for wetland restoration
which is organized and implemented by the Clean Lake Program (CLP) since 1970;
the U.S. National Research Council (NRC) commissioned the Committee on
Restoration of Aquatic Ecosystems (CRAE) to carry out water ecosystem restoration
and the overall evaluation in 1989. Also, some European countries have worked on
water environmental governance and the restoration since 1970s. Since 1980, Japan
has actively promoted and restored the natural state of the riparian environment
construction for a beautiful natural environment on the basis of ensuring the function
of the flood control and water utilization (Zhang et al. 2003).
Chinese researchers set out on the wetland restoration in 1980s, carrying out
water environmental restoration research in different regions such as Chaohu Lake
and Taihu Lake, and successful experience has been gained (Hu et al. 2008; Yang
and Liu 2010; Zhai et al. 2010). Based on the fundamental concepts of the wetland
restoration, this article expounded its principles and process, illustrated three basic
modes in China, and summarized the main goal and basic strategy. The assessment
and future trends of the wetland restoration were also discussed.
3.2 The Basic Principles and Processes of the Degraded

Wetland Ecological Restoration
3.2.1 Basic Principles of Ecological Restoration of Degraded Wetlands
(i) Holism principle. Broadly speaking, the wetland ecosystem is regarded as the
ecotone between typical terrestrial ecosystems and aquatic ecosystems.
Wetland ecosystems integrate hygrophyte, helophytes, hydrophyte, mesocole,
micro-organisms, some biological factors and other abiological factors closely
related to the sun and soil. It releases and absorbs the nutrients and other
chemicals through the hydrological pathways (such as rainfall, surface runoff,
groundwater flow and tidal exchange). Therefore, the various components of
the wetland ecosystem are a unified and indivisible organic whole.
(ii) Harmony and balance principle. The ecosystem is full of relative stability and
coordinated internal structure and function inside certain period in the
long-term process of evolution and development. Therefore, wetland ecosys-
tem restoration should focus on restoring ecosystems function rather than the
simple recovery and reconstruction of the structure, especially for the disap-
peared wetlands. Meanwhile, the restoration of the wetland ecosystem should
balance the natural, economic and social factors.
(iii) Self-resiliency principle. Wetland ecosystem restoration should fully consider
the wetland hydrology, biogeochemistry, ecosystem dynamics and the species
adaptation and so on, restoring and rebuilding a self-organizing,
self-maintaining, and self-design function for reducing unnecessary human
participation. However, since the self-regulating mechanism of the wetland
ecosystem is limited, over-reliance on the self-regulating mechanisms of the
ecosystem is bound to have an adverse impact.
(iv) Circulation principles. Ecological restoration adjusts all aspects of the circu-
lation, coordinating the amount of substance of the input, output and trans-
formation of these aspects. Ecological restoration aims at achieving the
ecological, economic, social benefits in the removal of endogenous and
exogenous pollutants.
3.2.2 The Guidelines of the Degraded Wetland Restoration
The overall goal of wetland restoration is to restore degraded wetland ecosystem

structure and function through the appropriate biological, ecological and engi-
neering, and ultimately reach a state of the wetland ecosystem’s self-sustaining
252 S. Peng et al.
(Sun et al. 2007). But the focus and requirements of the restoration will be varied as
the degraded wetland ecosystems are different.
(i) A comprehensive analysis about the original wetland ecological system should
be carried out before planning the restoration.
(ii) Determining the restriction factor of the ecological system is very important to
the restoration of wetland ecosystems.
(iii) As for different regions and types of the degraded wetlands, the corresponding
strategies and the index system are different.
(iv) Appropriate monitoring plan should be made for monitoring the wetland
ecosystem regularly and promptly.
3.3 Modes of Degraded Wetland Restoration
3.3.1 Function-Oriented Model
(i) Restoration of habitat function. Various measures are taken to protect and
improve the diversity and stability of damaged habitats and gradually restore
the function, such as building the wild feeding point, covertly or biological
wall, nest boxes or nest, ecological corridor, berm and gentle slope (Zhang and
Wang 2001; Zhang et al. 2009).
(ii) Restoration of biogeochemical function. An important task of ecological
restoration is to artificially change the dominant factor or terminate the process
of ecosystem degradation, adjusting and optimizing the inner system as well as
the flow and its temporal and spatial order with the outside substances to
restore the ecological system to a certain or even higher level. However,
concrete measures should be taken carefully to avoid secondary damage or
pollution by over-simplified physical and chemistry methods.
(iii) Restoration of water resources protection. Socio-economic developments and
lax environmental oversight have increased water demand and pollution (An
et al. 2007). Restoring the wetland through restoring water function for the
sustainable development and solving the contradictions between the devel-
opment and utilization of water resources are indispensable.
(iv) Restoration of social service function. The landscape design aims at overall
harmony in the wetland restoration, considering various factors such as the
harmony between the form and the internal structure, and the environmental
and social service functions. Based on the original body of water, plants,
topography and other constituent landscape factors, the design avoids the
destruction of the ecological integrity and the imbalance of the environment.
3.3.2 Policy-Oriented Model
(i) Restoration of hydrology and water resources. The primary goal of the
restoration is to maximally avoid evaporation and the loss of water resources.
So far, establishing the drainage system and the dam (raising the water level)
are the main measures for the replenishment and water diversion of the
wetlands.
(ii) Restoration of habitat diversity. Habitats’ diversity is fundamental to biolog-
ical diversity. In given geographical area, the diversity of the habitat and its
constituent elements greatly influence the biological diversity. The ecological
restoration such as flood storage, drought prevention and water conservation
lays foundation to biodiversity.
(iii) Restoration of biodiversity. Biodiversity restoration must first adjust the types
and structure of aquatic plants. For example, the aquatic plants provide a good
living environment for other organisms and improve the structure and function
of aquatic ecosystems in the degraded wetland restoration.
3.4 Type-Oriented Modes
(i) Restoration of swamps. The hydrological regime of the swamp ecosystem is

mainly determined by the replenishment (e.g., precipitation) and the amount of
water loss (e.g., evaporation, surface and underground runoff). Therefore,
wetland restoration first restores vegetation and habitat, reduces the surface
water loss (Labadz et al. 2002).
(ii) Restoration of rivers. The river restoration aims at restoring the healthy river
system, but it is a multi-objective, multi-level and multi-constrained issue. The
river ecosystem restoration should be set out from restoring the function (Li
and Ju 2005; Ni and Liu 2006).
(iii) Restoration of lakes. An effective way of the lake governance is restoring
aquatic plants to control the eutrophication and water purification. The aquatic
plants restoration needs certain preconditions. For instance, the eutrophic lake
ecological restoration needs moderate nitrogen and phosphorus concentration,
wind and waves and the water depth, as well as the mainly carnivorous fish
structure and no organic-rich sediments (Qin 2007, 2009).
(iv) Restoration of coastal wetlands. Although the overall reasons of the degraded
coastal ecosystems have known, the relationship among various components
and their interaction mechanism still needs furthered. Coastal ecosystem
restoration and pilot demonstration study are still stuck in the small, local
254 S. Peng et al.
region or centralized to a single biome or vegetation type, lacking compre-

hensive regional research and demonstration. The deficient study on the
functional indicators of sound coastal ecosystem blinds the restoration.
(v) Restoration of fishery ponds. Conversion of fisheries into lakes and wetland
and developing the ecological fishery is critical to the ecological restoration.
3.5 Evaluation of the Ecological Restoration of Degraded

Wetlands
The restoration program should be assessed after its completion for the construction
and environmental management, with the perspective of the ecological and envi-
ronmental protection and sustainable development. The influence of the restoration
construction could be predicted based on the full investigation of ecological
environment of regional and the surrounding area during and after the restoration.
Integrating the engineering and regional ecological environmental characteristics,
reasonable and feasible ecological protection and mitigation measures can be taken
to minimize the adverse effects of the restoration for ensuring the effective pro-
tection and sustainable development of the wetland ecosystems and biodiversity.
The assessment of degraded wetland restoration effect can be considered from the
following ecological, social and economic aspects.
The continuous deterioration of the wetland seriously constrains the rapid

socio-economic development, so how to restore the degraded wetland ecology and
maintain the sound structure and function of the wetland is a major issue for human.
Thus some aspects of the future study on the degraded wetland ecological
restoration should be emphasized as follows:
(i) Tolerance of the aquatic plant to pollutants. At present, most studies domestic
and abroad focus on the role of absorption and degradation of the major
aquatic plants to the pollutants. However, studies of the variability of the
tolerance of the different aquatic plants in different concentrations and types of
pollutants are less involved and need to be further studied. Additionally, for
the specific circumstances of the restoration in different regions, setting dif-
ferent planting density and species composition is also very necessary.
(ii) The integration of various wetland ecosystem restoration modes. It is difficult
to achieve the desired results by a single restoration mode for the water body
pollution is complicated. The complex ecosystem together with a variety of
ecological recovery modes can make up for its shortcomings and make the
system run more stable.
(iii) Complete the technical specifications and evaluation system and establish a
typical demonstration project of the degraded wetland ecological restoration.
(iv) Enhance the management of degraded wetland post-restoration. The influence
of the restoration could be predicted based on the full investigation of regional
ecological environment pre-restoration and post-restoration. Also, combining
with the engineering and regional ecological environmental characteristics,
reasonable and feasible ecological protection and mitigation measures can be
taken to minimize the adverse effects of the restoration for ensuring the
effective protection and sustainable development of the wetland ecosystems
and biodiversity.
4 Protection and Restoration of Sandland

Ecosystems in China
4.1 Introduction
Since 1960s, the term “sandland” or “sandy land” has been using to describe inland
dune ecosystems in North China, because they are in semiarid region, being dis-
tinguished from “desert” in arid region. The four most representative and largest
sandland ecosystems in China are: (1) Mu Us Sandland (107º 20′E–111º 30′E;
37º 30′N–39º 20′N), located in south-central of Ordos Plateau in Inner Mongolia
and northern Shaanxi province, with total area 32,100 km2 in the end of 1950s and
38,940 km2 in the middle of 1990s; (2) Otindag Sandland (112º 22′E–117º 57′E;
41º 56′N–44º 24′N), located in southern of Xilingol League and northwest Chifeng
city in Inner Mongolia, with total area 21,400 km2 in the end of 1950s and
29,220 km2 in the middle of 1990s; (3) Horqin Sandland (118º 35′E–123º 30′E;
42º 41′N–45º 15′N), located in Xiliaohe river in western Chinese Northeast Plain,
with total area 42,300 km2 in the end of 1950s and 50,440 km2 in the middle of
1990s; and (4) Hulunbeir Sandland (117º 10′E–121º 12′E; 47º 20′N–49º 59′N),
located in Hulunbeier High Plain in northeastern Inner Mongolia, with total area
7200 km2 in the end of 1950s and 6410 km2 in the middle of 1990s (Zhu et al.
1980; Zhong 1998). The four major sandlands cover in north-south direction about
10° of latitude and in east-west direction about 16° of longitude. All of them exist in
the semiarid temperate steppe region of northern China, where were historically
covered by highly productive grasslands (Chinese Academy of Sciences 1985);
currently, however, they are covered by aeolian mobile dunes, semi-fixed dunes and
fixed dunes.
The early study on the sandlands focused on status, monitoring and control of
desertification. Since 1990s, more researches had been done on the sandlands,
distinguished from the deserts. And a number of ecological research stations were
256 S. Peng et al.
established in the four major sandlands for their scientifical importance and their
importance for national economic development, including one in Ordos Sandland
(Ordos Sandy Grassland Ecological Research Station, which was established in
1990), three in Horqin Sandland (Naiman Desertification Research Station, estab-
lished in 1985; Daqinggou Ecosystems Research Station, established in 1988; and
Wulanaodu Desertification Experimental Station, established in 1975), three in
Otindag Sandland (Xilingol Grassland Ecosystem Research Station, established in
1979; Duolun Restoration Ecology Research and Demonstration Station, estab-
lished in 2000; and Otindag Sandland Ecological Research Station, established in
2002), and one in Hulunbeier Sandland (Hulunber Grassland Ecosystem Research
Station, established in 1997). After years of observation and study, these ecological
stations make great achievements not only in basic researches, but also in appli-
cation of the science and technology.
4.2 Protection and Restoration of Sandland Ecosystems
4.2.1 Ecosystem Characteristic in Sandlands
Sandy matrix is the major ecological feature of the sandland ecosystems. On the
one hand, the sand coverage is the cause of drastic temperature changes, poor water
and fertilizer retention ability of soil, and the instability of soil matrix. Sandy matrix
has a major role in ecological processes of sandland ecosystems. It even may cause
serious land desertification in the case of runaway operation. On the other hand, the
sand coverage can prevent and reduce evaporation in the arid climate conditions,
and it is conducive to store water in the deep layer. The “underground reservoir”
formatted by sand coverage prevents the occurrence of land salinization, while
results in richer biological and ecosystem diversity of sandland ecosystems, as
comparing to grassland ecosystems.
Highly environment heterogeneity is another feature of sandland ecosystem. The
terrain in sandland is characterized by alternative distribution of sandy dunes and
lowland (dune interphase). According to Mu Us sandland landscape ecological
processes and factors, there are 4 categories and 10 kinds of landscape ecological
types.
Composition
Producers in sandland ecosystem are mainly xerophytes, which are often sparse and
short. Animal species, as the consumer in sandland ecosystems, are few due to the
lack of food sources. The decomposers in sandland ecosystem mainly are soil
microbes, like bacteria, fungi and actinomycetes.
Plant Diversity
The four major sandlands are all located in ecotone between agriculture and animal
husbandry, with rich landscape and plant diversity. For example, there are total
1083 vascular plant species in Otindag Sandland, belong to 85 families and 392
genus; Mu Us Sanland, named as “the shrub kingdom” in northern China for its
most abundant shrub species, has 92 shrub species, including 22 semi-shrubs
species, belonging to 25 families and 50 genus.
Ecosystem Stability and Function
Just like the forests and grassland ecosystems, sandland ecosystems play a big role
in the carbon cycle. Studies have shown that the average biomass and productivity
in Otindag Sandland, are 90 and 59 % higher than in typical steppe respectively (Li
2011). But sandland ecosystems suffered from greater threat by global changes and
human interferences, for its relative simple structure and poor ecosystem stability.
Ecosystem Services
Sandlands’ ecosystem services are mainly reflected in the soil formation and pro-
tection, water conservation, climate mediation, biodiversity conservation and other
indirect ecosystem services. The value of these services accounts for 88.9 % of the
total value, while the production of food and raw materials are only 7.3 %, and
recreational and cultural value are 3.8 % (Zhang et al. 2007).
4.2.2 Ecosystem Succession in Sandlands
Cycle of Vegetation Succession
Due to instability of sandy matrix, specificity of regional climate (drought, strong

wind) and poor adaptable ability of shallow root species, the climatic climax, Stipa
communities, cannot exist stably for long-term in sandlands. Without shrubs with
strong soil fixation ability like Artemisia, sandy soil activate again and irreversible
desertification happen, resulting climatic climax succeed to the dune stage, then a
cycle of vegetation succession is formed (Guo 2000).
Plant Functional Types (PFT) in Different Succession Stage
In sandlands, it is often that annual pioneer species settled first in the early stage of
succession, and then perennial grasses became the dominant species in the later
succession stage. Perennial C3 clonal shrubs (PFT of perennial-C3-clonal-shrub)
258 S. Peng et al.
showed a more stable performance with higher important values and percentage of
species number in all succession stages, and play a key role in the early succession
stages. Along with the dune fixation from mobile, semi-fixed to mixed dune,
PFT-diversity and ecosystem primary productivity increased (Qiao et al. 2012).
Driving Force of Succession
Difference of adaptability of the dominant species to the sandy soil matrix in

different successional stages may be an important driving force in sandlands, and
global change, such as increased precipitation and nitrogen deposition, can modify
the succession process (Qiao 2009).
4.2.3 Degradation of Sandland Ecosystems
Many factors may have contributed to the sandland ecosystems’ degradation,

including climate warming and drying, decline of underground water level caused
by coal mining, irrational exploitation of vegetation such as overgrazing and fire-
wood collection. Overgrazing is considered as the direct cause of sandland
ecosystems’ degradation. Desertification in sandland ecosystems can be manifested
in the biodiversity, soil and ecosystem productivity.
Biodiversity
The process of ecosystem degradation is a process of decay of species diversity,

degradation causes most native species disappear (Jiang et al. 2008), species
diversity and evenness decreased (Zhang and Zhao 2010). In the four major
sandland, species diversity and functional diversity in mobile dunes were signifi-
cantly lower than which in the fixed dunes.
Soil
With the soil degradation process, soil becomes coarse-grained while nutritious tiny
particles in soil are eroded by wind, resulting in loss of soil organic carbon,
nitrogen, phosphorus and microbial activity. Vegetation restoration can produce
significant sequestration and protection on soil nutrient and water, promoting the
healthy development of soil-vegetation system.
Ecosystem Productivity
Poor soil nutrient of degraded sandland ecosystems resulting in the change of

vegetation composition and structure, then in low ecosystem productivity. Study
showed that aboveground biomass in mobile and semi-mobile dunes in Horqin
Sandland were 48.2 and 60.4 g m2, respectively much lower than those in the
semi-fixed and fixed dunes, as 152.8 and 167.6 g m2, respectively.
4.2.4 Restoration of Sandland Ecosystems
Principles
The protection and restoration of sandland ecosystems is a systems engineering,

needs to follow principles as follows: (i) moderate development; (ii) landscape
heterogeneity and multiple scales; (iii) integration of ecological, economic and
social benefits (Ye and Liang 2004).
Paradigms
Based on the long-term observation, experiments and demonstration, aiming at the

four major sandlands, a lot of eco-productive paradigms were constructed to protect
and restore the degraded sandland ecosystems (Zhang 1994; Ye and Liang 2004;
Jin et al. 2006; Ci et al. 2007; Yan and Zhang 2008), including the follows:
(i) “3-circles” eco-productive paradigm in Mu Us Sandland; (ii) Restoration para-
digm based on “10 % principle” in Otindag Sandland; (iii) “family ranch” complex
ecosystem restoration paradigm in Horqin Sandland; and (iv) comprehensive
management of agriculture, animal husbandry and forestry paradigm in Hulunbeir
Sandland.
4.2.5 Resources Available in Sandland Ecosystems
Biotic Resources
There are rich plant resources in sandlands, according to different uses they can be
divided into the following categories: (i) oil plants, such as Xanthoceras sorbifolia;
(ii) fiber plants, as Apocynum venetum; (iii) medicinal plants, as Radix Glycyrrhizin;
(iv) edible plants, including potherb and grass crops; (v) sand-fixing plant, as
Artemisia ordosica; (vi) ornamental plants as Sabina vulgaris; (vii) bio-energy
plants, as Salix cheilophila; and (viii) rare and protected plants, as Picea mongolia
in Otindag Sandland.
260 S. Peng et al.
Abiotic Resources
In sandland ecosystems, with sparsely populated and conventional energy shortage,

it is imperative and feasible to utilize new energy sources.
Wind energy: as an important natural resource, with no pollution, the total
reserves of wind power was estimated 1010 GW in Inner Mongolia, among which
101 GW were available for development and utilization (Zang and Feng 1997).
Solar energy: there are abundant solar energy resources in sandlands, especially
in the summer season. It is estimated that the potential of solar power generation
exceeds 3000 GW in Inner Mongolia.
Tourism resources: the unique natural landscape in sandland ecosystems is a
good tourist resource, such as grassland, sand ridges and honeycomb dunes, dotted
with numerous small lake and sand springs.
For the particularity of sandland ecosystems, people pay more and more attention
on it, and more and more studies about sandland ecosystems are carried out. Most
of earlier studies (i) focused on combating desertification; (ii) faced to climate
change; and (iii) payed attention to combining theory with practice.
Further researches about sandland ecosystems are needed to focus on:
(i) eco-hydrological processes; (ii) biological functional traits; (iii) adaptation to
global climate change; (iv) ecosystem services and biological resources, and
(v) sandland conservation model based on process and mechanism.
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Chapter 11
Ecological Restoration in the Typical
Areas
Yuancun Shen, Xianzhou Zhang, Jingsheng Wang, Peili Shi,

Yongtao He, Zhenxi Shen, Xinquan Zhao, Huakun Zhou, Shixiao Xu,
Liang Zhao, Buqing Yao, Ting Zhou, Shaolin Peng, Jianguo Wu,
Jianhua Cao, Fen Huang, Hui Yang, Liang Li, Qiang Li, Weikai Bao,
Zhenqi Hu, Peijun Wang, Jing Li, Pei Qin, Jie Fan and Pingxing Li
Abstract Human activities are strongly regional and targeted, and usually tightly
bound to the regional natural resources, the needs of social economic development,
and ecological fragility, which cause typical regional ecosystem degradation
problems. For serious degradation areas, it is an effective way to carry out regional
Y. Shen X. Zhang J. Wang P. Shi Y. He Z. Shen J. Fan

Resources Research, Chinese Academy of Sciences, Institute of Geographical Sciences and
Natural, Beijing 100101, China
X. Zhao H. Zhou S. Xu L. Zhao B. Yao
Chinese Academy of Sciences, Northwest Institute of Plateau Biology, Xining 810001, China
T. Zhou S. Peng
State Key Laboratory of Biocontrol, School of Life Sciences, Sun Yat-sen University,
J. Wu
School of Life Sciences and Global Institute of Sustainability, Arizona State University,
Tempe, AZ 85287-4501, USA
J. Cao F. Huang H. Yang L. Li Q. Li
Chinese Academy of Geological Sciences, Institute of Karst Geology, Guilin 541004, China
W. Bao (&)
Key Laboratory of Mountain Ecological Restoration and Bio-resource Utilization, Chengdu
Institute of Biology, Chinese Academy of Sciences, Chengdu 610041, Sichuan, China
Z. Hu P. Wang J. Li
Institute of Land Reclamation and Ecological Restoration, China University of Mining and
Technology (Beijing), Beijing 100083, China
P. Qin
Halophyte Research Lab, Nanjing University, Nanjing 210093, China
P. Li
Chinese Academy of Sciences, Nanjing Institute of Geography and Limnology, Nanjing
210008, China

DOI 10.1007/978-3-662-48376-3_11
266 Y. Shen et al.
ecological restoration and construction for restoration ecology study, which is the
key to promote sustainable development and ecological security, and also the
urgent requirement for the current reality. According to the demand of regional
sustainable development, this chapter focused on ecological deterioration, and
restoration and construction in typical areas. The chapter specially made thematic
discussions on new progression in degradation problems of developing and uti-
lizing the resource, ecological restoration practices, theory, techniques, mode, and
management. This chapter was trying to provide experience and lessons, macro
guidance and decision-making reference for ecological restoration in typical areas.
From the regional cases of this chapter, we can see that regional ecological
restoration and construction is intricate. Finally, it is necessary to point out that
there are many regional ecological restoration cases, here just introduce several
cases in western fragile region. The ecological restoration cases revealed in this
chapter are just the first attempt to conclude the past experiences in China, which
are initial identification for correlated theories and methods.

Keywords Ecological construction Loess plateau Tibet plateau Grassland

restoration Vegetation restoration Karst ecosystem Hengduan Mountains

Arid valley Mine land Coastal ecosystem
1 Ecological Construction on Loess Plateau
The loess plateau is wide, which is surrounded by the Taihang Mountain range in
the east, the Riyue mountain—Helan mountain in the west, the Qinling range in the
south, and Yinshan range in the north. It covers an area of some 64.2 × 104 km2,
about 83 % of Yellow River basin. The loess plateau is the key area of ecological
construction in China, due to its serious water loss and soil erosion.
1.1 Physical and Ecological Character of Loess Plateau
The terrain is slightly sloping, high in the northwest and low in the southeast with
elevation of 2000–500 m above sea level. There are sand loess, loess, and argillic
loess zones from northwest to southeast (Liu et al. 1985), which form sandstorm in
the north and loess plateau in the south. The climate is warm, with 2500–4500 °C
yearly accumulated temperature above 10 °C, frost-free period of 150–250 days.
The south belongs to warm temperate zone, while the north belongs to temperate
zone. The rainfall is 700–200 mm. From southeast to northwest, the climate,
vegetation, and ecosystem have zonal differentiations: semi humid—semiarid—
11 Ecological Restoration in the Typical Areas 267
arid, forest—forest and grassland—grassland—desert grassland, broad-leaved

deciduous forest in warm temperate climate—forest and grassland in semi humid
and semiarid warm temperate climate—grassland in semiarid warm temperate cli-
mate—desert grassland in arid temperate climate (Huang 1983; Synthetical expe-
dition team on loess plateau and Chinese academy of sciences 1990a, b, c; Yang
1990; Shen and Hong 2003; Shen and Yang 2006; The ministry of water resources
of the people’s republic of China et al. 2010).
1.2 The Status, Problem, and Harm of Ecology

Environment
There is fragile ecology environment and frequent ecological disasters in loess

plateau. In detail, the following are the main contents.
1.2.1 The Status and Harm of Soil Erosion
The quantity of soil erosion has been 1.6 × 109 t/a on loess plateau in recent 100
years, among which the quantity caused by nature has been 9.76 × 108 t/a (Ke et al.
1983). The soil erosion has made tremendous harm, especially it made the terrain
fragmentized. In half a century, arable land has been eroded more than
2.67 × 106 hm2, evenly over 6.7 hm2 per year (The ministry of water resources of
the people’s republic of China et al. 2010). The total quantities of lost nitrogen,
phosphorus, and kalium were more than 3.52 × 1010 kg in each year (Zhang 1992).
The quantity of silt piled up on the downriver bed was about 4 × 108 t. The riverbed
in lower Yellow river became higher and higher by 10 cm per year, which has been
higher than the ground, named “overground river”. There has been frequent floods,
which led to tremendous loss to the people (Li 2008). The silt made by soil erosion
can accumulate in the reservoir, which cut down the capacity of reservoir and
weaken its adjustment for the floods. Sandy area in the north of loess plateau is the
main source of the sandstorm in our country. The sandstorm can harm Beijing,
Tianjin, and the whole north of China.
1.2.2 Arid Climate and Severe Floods
The rainfall is lower than the transpiration in loess plateau (Zhang 1992). The
scarcity of water becomes more and more serious from southeast to northwest. So
there is severer arid in northwest than in southeast (Li 2008). In history, the arid
made less production in agriculture and results in famine. The drought with over
10,000 died happened 16 times from B.C. 180–1949, which made total
1.7988 × 107 persons die (Chen and Gao 1984). Averagely, severe drought
268 Y. Shen et al.
happened once per 2 or 3 years (Wang 1988). There was always heavy rain in loess
plateau, which made flood and secondary disasters, such as collapsed reservoir,
submersed field, road, and village.
1.2.3 Damage and Harm of Vegetation
The native vegetation has been seriously destroyed. Now the natural vegetation
coverage is only 41.42 % of total land area. The forest has been largely turned into
bushwood, meanwhile grassland degradation and desertification have become
serious. So disasters become common, such as floods, Debris flow, sandstorm, silt
accumulate in the riverbed.
1.2.4 Degeneration and Harm of Slope Farmland Ecosystem
The agricultural development in loess plateau began in the 8000 years ago
(Synthetical expedition team on loess plateau and Chinese academy of sciences
1991). During nearly 50 years, the population has increased from 36.395 million in
1949, 88.52 million in 1999, to more than 100 million in 2010 (Chen 1990; Zhao
1991). Due to serious shortage of food and fuel woods, excessive deforestation and
reclamation on the steep slope became more and more, which resulted in the
sloping farmland ecosystem seriously deteriorated (Institute of soil and water
conservation et al. 1990; Synthetical expedition team on loess plateau and Chinese
academy of sciences 1990a, b, 1991).
1.3 Strategy of Ecological Construction and Setting

up the Integrated Management System
1.3.1 Strategy on Ecological Construction
Strategic Concept
Based on the law of nature, we should set the target for eliminating human erosion
and establish long-term, continuous, and steady governance.
Strategic Goal
(i) Ecological strategic goal

The quantity of soil erosion should be decreased to 975 million t/a only caused
by nature after implementing ecological construction.
(ii) Goal of ecological industry
The goal of ecological industry should be moderate on loess plateau. The ele-
mentary goal is to realize self-supplying food production, for-sale fruit and drug
production, sheltered forest and stockbreeding of farming and grazing.
Strategic Measure
(i) A series of dams should be constructed to protect the cropland and realize food
self-supplying. High-production croplands should distribute on the gently
slope less than 7° and alluvium with dams in the valley. To construct
high-production croplands with dams is the premise and key to ensure people
survive and realize ecological construction. Now the quantities of this kind of
land resource is 3.36 μ/person, which shows there is steady basic for realizing
food self-supplying and good ecological environment (Synthetical expedition
team on loess plateau and Chinese academy of sciences 1992).
(ii) System of special industry should be set up to protect the ecology and soil
on the slope. It can improve local economic steady development and make
the people rich. This area is the most suitable place for developing the warm
temperate fruits and drugs. So it is suitable to develop ecologic and eco-
nomic industry on the slope, for example, crop-wood, crop-fruit tree,
crop-drug, crop-vegetable, crop-fence or crop-grass can get ecologic and
economic benefit. The system has had the case in the representative area on
loess plateau.
(iii) The special resource should be integrated and developed to improve eco-
nomic development in the sand area. The sand area is mainly distributed on
the north of loess plateau. On the premise of ecological protection, special
biology resources should be planted and efficiently developed with new
technology. Developing the economic in the sand area is believed to be the
soul of sand production. Now the special biology resources have been
planted and developed in Yanchi county, which is succeeded in both ecol-
ogy and economic.
(iv) Planting the vegetation according to the quantity of water and natural
restoration capability. The vegetation can be naturally restored with close
cultivation and management. The ecology and environment will go on well to
change the strategy of “suitable land, suitable tree” to “suitable water, suitable
tree”.
(v) Small drainage area should be the fathering unit in order to get the whole
development of regional ecology, social, and economic. Small drainage area is
the basic unit in geography. There are many typical and successful cases,
where all kinds of fathering methodologies and designs on developing industry
270 Y. Shen et al.
are based on the small drainage area to improve the ecology—production—

economic.
1.3.2 Building the System of Synthetic Management to Improve

the Ecology and Environment on Loess Plateau
To make a synthetic science plan on ecology construction is the premise of realizing

the good ecology and environment. Setting up an organization doing synthetic
management and making decisions can ensure realization of the goal—effective
ecology and environment construction. To widen the financing channel and built
omnidirectional financing system can ensure long ecology and environment con-
struction. It is necessary to construct monitoring system of the law and criterion.
2 Causes of Grassland Degradation and Grassland

Restoration Technology in the Northern Tibet Plateau
The Chang Tang Plateau is main body of Tibetan Plateau, with three grassland
types, i.e., alpine meadow, alpine steppe, and alpine desert grassland. The Chang
Tang Plateau is sensitive to global change and human activities due to its high
altitude, cold and drying climate condition, and fragile ecosystems. Many facts
indicate that the grassland degradation trend of the northern Tibetan Plateau gen-
erally turns for the better since 1980s, although local region shows more severe
degradation.
Climate change is one of the main factors causing grassland degradation. Annual
air temperature on the northern Tibetan Plateau has increased about 1.4 °C during
the past 50 years and the warming accelerates since 1980s. The warming magni-
tudes in fall (1.6 °C) and winter (1.8 °C) are significantly larger than the annual
average. Annual precipitation has increased about 55 mm, approximately 50 mm of
which occurs since 1980s. Overall, the warming and wetting trend increases
ecosystem productivity of grassland on the northern Tibetan Plateau, whereas the
positive effect of climate change is mainly concentrated on the eastern region. By
contrast, the decrease trend of net primary production results from the warming and
drying trend in the western region during the recent years (Ali region is one of the
typical area). The long-term overgrazing intensifies severe degradation on the
central and eastern of Chang Tang Plateau. In addition, the insect and mouse
damages caused by climate change should not be ignored.
In recent years, several grassland protection measures and techniques have been
continuously conducted on the Chang Tang Plateau. The enclosure mode, one main
method adopted by the grazing ban project of the Ministry of Agriculture in China,
increases coverage by 5 % and aboveground biomass by 42–65 % for the mod-
erately and severely degraded grassland. The enclosure and fertilizer mode is better
than the enclosure mode. N and P addition (5 g/m2) increases average coverage by
about 20 % and grass yield by 2.2–3.7 times in Stipa purpurea grassland. Mixture
of N and P addition significantly enhances plant biomass, with 24.1 % increase of
total biomass, 164.8 % increase of aboveground biomass, and 4.7 % decline of
belowground biomass, and the fertilizing amount is positively correlated with plant
biomass in alpine meadows. The enclosure, fertilizer, and resowing mode is fit for
overgrazing-induced severe degradation grassland and increases aboveground
biomass by 163.2–348.6 %, being 2–4.5 times equivalent to control. However, this
mode requires higher input cost and technique measures. Therefore, it has certain
difficulty to expand this mode.
The Tibetan Plateau is the most significant area in regional differentiation in
China and even the world. The Tibetan Plateau has three ecological function area:
(1) the northern Tibetan alpine grassland and desert region with an altitude of above
4000 m, (2) the Brahmaputra River and its two tributaries with an altitude of 3000–
4000 m, and (3) the southeast Tibetan forest region with an altitude of below
3000 m. Considering the ecological security barrier construction, grassland
degradation and recovery on the northern Tibetan alpine grassland region and the
high land productivity on the Brahmaputra River and its two tributaries, the Tibet
has requirement conditions of transporting artificial forage grass in the wastelands
and middle-and-low yielding fields on the agricultural region to the northern
Tibetan pasturing region. This can not only adjust industrial structure on the
agricultural region, but also alleviate feed-animal imbalance status and prevent
grassland degradation. Consequently, this eventually reaches the win–win situation
of ecological environment protection and increment of farmers and herdsmen
income.
3 The Restoration of Degraded Alpine Grassland

Ecosystem and the Sustainable Development Patterns
of Pastoral Livestock Production
3.1 Introduction
The alpine grassland is mainly distributed on Qinghai–Tibetan Plateau (QTP) in

China and Central Asia, the Andes mountains in South America, and the Alps in
Europe, but the QTP is the most typical representative of alpine grassland. The most
concentrated distribution of alpine meadow is in the region of the QTP in China’s
western area. With the different hydrothermal conditions within the plateau, the
alpine grassland ecosystem comprises alpine shrub, alpine meadow, alpine steppe,
alpine desert, and alpine wetland, and cushion vegetation and talus vegetation
distributing in high-altitude locales. In accordance with the “National Long-term
Scientific and Technological Development (2006–2020)”, the alpine grassland
belongs to the typical ecological fragile area. In recent years, due to the impact of
272 Y. Shen et al.
human disturbance and climate warming, alpine grassland degradation is serious,

with a sharp deterioration of the ecological environment. After several years of
large-scale ecological restoration engineering, grassland degradation trend has been
curbed, but the overall deterioration situation is not reversed, especially at the alpine
grassland in the headwater region of three rivers, degradation situation is becoming
increasingly grim. According to the survey, 90 % of the alpine grassland in the
headwater region of three rivers appeared in different degrees of degradation. At
present, area of moderate degraded grassland is of 187 million mu (1 hm2 = 15 μ),
accounting for 58 % of the useful grassland area in the region. Compared with that
of recent 50 years, yield per unit area decreased by 30–50 %, high quality forage
proportion decreased by 20–30 %, poisonous weeds increased by 70–80 %,
grassland vegetation coverage reduced by 15–25 %, dominant grass height
decreased by 30–50 %, and grass height decreased by more than 20 % (He et al.
2008). Only in the case of the source of the Yellow River, grassland degradation
rate from 1980 to 1990 was more than double than the average in 1970s . The
headwater region of three rivers “black soil beach” area has reached to 42.44 mil-
lion mu, accounting for 15 % of the total area of the grasslands. The desertification
area has reached to 44 million mu, and still expand in the speed of 78,000 mu
annual. The average rate of desertification increased from 3.9 % in the 1970s–1980s
to 20 % in 1980s–1990s. The fragmentation of the original ecological landscape,
vegetation succession showed the reverse succession patterns from alpine meadow
by degraded alpine meadow to the desert. Because of the conflicts of grass and
livestock, the number of livestock has been maintained over the grassland carrying
capacity, grassland degradation, the number of livestock will continue to decline,
entered the vicious circle of “the overgrazing of grassland degradation intensified
conflicts between livestock and herbage—the deterioration of the ecological envi-
ronment—seriously affected the healthy development of the life and pastoral
livestock economy of the headwater region of three rivers”.
The restoration to the degraded alpine grassland is a complex system engi-
neering, and the effective measures of comprehensive improvement of degraded
alpine grassland are to reduce the natural grassland grazing pressure, strengthen the
grazing management, make ecological environment not suitable for harmful biol-
ogy thriving, ecological control, and the construct degraded grassland ecology, and
protect and restore of organically structure and ecological function of alpine
grassland ecosystems. Degraded alpine grassland restoration and governance are a
long process, “prevention and control” combined with the specific ways and
measures, has been widely reported (Ma et al. 2007; Zhao 2011). In general,
adopting and carried out steadily what kind of control strategy and technical
measures, are rest with the strength of grazing system, causes of the local climate,
soil and grassland degradation, and other factors. Through the studies of different
degraded grassland, ecological restoration technology integration and demonstra-
tion of the alpine grassland, and highly targeted remediation technology of the
severe degradation grassland: “black soil beach” degraded alpine grassland
restoration process, there will provide a significance great demonstration and

radiation effect to prevent the “black soil beach” degraded alpine grassland further
degradation and desertification.
In recent years, the ecological restoration of damaged environment has attracted
more and more attention and got rapid development, ecological degradation of the
environment has become one of the hotspots in the field of ecology, and restoration
of degraded ecological system has become a hot issue of restoration ecology.
America is one of the world’s first country of ecological restoration research and
practice. At the beginning of the twentieth century, the Europe and the United
States have practiced under drought stress recovery in agricultural ecosystem (Peng
and Ren 2003). A lot of works have been done by ecological restoration in
degraded artificial grassland at home and abroad. Earliest research and deep
restoration were carried in large area of ecological mining that industrial revolution
left in British and European heath. Very fruitful research results have been obtained
in cold temperate coniferous forest stub land vegetation in the Nordic countries. In
Australia, African continent, and Mediterranean Europe, the focus of the study is
related to artificial restoration of degraded arid land. In foreign countries, the
methods of fertilization and irrigation are relatively common in the cultivation and
management of artificial grassland. The additions of trace elements were performed
according to the conditions of soil fertility difference. Guillaume (1986) and
Chambers (1997) restored and studied the degradation alpine ecosystem, respecting
to recovery of the vegetation succession characteristics and corresponding envi-
ronmental stress factors, in Western America using the methods of sowing, plant
grass transplanting, and turf transplantation, and received better results.
Because of the far transportation distance between the alpine grassland area and
county, high cost management, no relevant coordination mechanism, lack of
innovation mechanism in aspects of characteristic resources mining, marketing,
production organization, and horizontal cooperation, local resources cannot be fully
utilized. For example, animal husbandry was a characteristic resource in the
headwater region of three rivers, but only as a cheap raw material due to the need of
the backward development of animal husbandry and industrialization. After hun-
dreds of years of efforts, Europe and the United States and other developed
countries make full use of advanced scientific technology and management expe-
rience, the layout of the area, factory farming, automation, specialization, scale,
intensive production, standardized management, realize the modernization of ani-
mal husbandry to obtain high profits. Therefore, in guidance of Scientific Outlook
on Development, by speeding up the transformation of animal husbandry produc-
tion from traditional to the modern mode of production, promoting the healthy
development of animal husbandry and animal products, and increasing the added
value of alpine grassland distribution, is the route that must be taken to develop the
animal husbandry of the alpine grassland area.
Practice has proved that popularization and application of sci-technology on
alpine grassland distribution area of animal husbandry economic growth rate is the
driving force for the healthy development of animal husbandry and stable place,
such as cattle, sheep-fattening techniques, so that each sheep meat production
274 Y. Shen et al.
increased about 5 kg, cattle carcass weight increase about 40 kg. Application of
warm-shed feeding technology in pastoral industry has marked effect on improving
survival rate of lamb and numerous living rate, reducing death rate, and preventing
the fat loss in winter and spring, so that benefits are very obvious with propagation
rate increasing 13 % in average, adult livestock loss dead dropping 2.2 % (Zhao
2011). Ga and Qing (2004) think that the way of development of animal husbandry
in southern Qinghai area and actively exploring the development path of industri-
alization should accord to following methods: first, to vigorously support from the
capital, policies for development of animal products processing enterprises, through
the “ten households”, “base the household” business model, develop the order
animal husbandry industry; second, to support a number of large farm households of
cow, cattle and sheep fattening and trafficking, and animal husbandry; third, to
cultivate pastoral intermediary organization. It is necessary to use the scientific
methods to improve the overall production efficiency. High yield animal husbandry
and increase of herdsmen income would be achieved by shortening the breeding
cycle through the methods of “warm sukkah, improving variety of livestock, and
ammoniated grass”, to realize the transformation of the way of breeding, increase
rate of households, the contribution rate of science and technology, and accelerate
the development of animal husbandry science and technology.
Northwest Institute of Plateau Biology, CAS, and Qinghai Academy of Animal
Husbandry and Veterinary (QAAHV) have explored the experience, and broke an
ecological Qinghai characteristic animal husbandry industry road in the headwater
region of three rivers in recent years (Ma et al. 2007; Zhao 2011), made a complete
Qinghai alpine grassland ecological animal husbandry technology system and
promotion modes, such as grassland ecological animal husbandry model suitable
for poor natural conditions of the natural grassland, with premise of ecology pro-
tection, and development mode of the ecological animal husbandry of livestock and
modern organic ecological mode suitable for agricultural and pastoral areas,
returning farmland to grassland, and conditional planting artificial grassland area,
with the goal of resource recycling, have achieved good ecological, economic, and
social benefits.
3.2 Body Part
3.2.1 Alpine Grassland Degradation Classification and Restoration
Characteristics of Grassland Degradation and Its Index System
Degraded Grassland Assessment and Grades

The comprehensive evaluation was carried out according to some scholars to for-
mulate the evaluation index system of grassland, the vegetation fractional coverage
of grassland, forage yield, the biomass proportion and height of edible forage, and
compared to the native vegetation on alpine grassland quality. According to this

standard, the appropriate classification standard of the alpine meadow in the
headwater region of three rivers was developed, and alpine meadow in the head-
water region of three rivers can be divided into five grades: the original vegetation,
lightly degraded grassland, moderate degraded grassland, severe degraded grass-
land, and extremely degraded grassland (black soil beach) (Table 1). Such classi-
fication criteria can also be used in Tibet, Gannan, northwest Sichuan, northwest
Yunnan, and similar areas in alpine meadow (Ma et al. 2007).
“Black Soil Beach” Degraded Grassland Division Standards, Type, and

Size
In the degraded grassland classification, according to the terrain conditions and
engineering management, the extreme degradation grassland “black soil beach” is
divided into three types: namely, the beach slope between 0 and 7°; the gentle
slope ≥ between 7 and 25°; the steep slope ≥ 25°. The main index and then through
field investigation and questionnaire survey and application of principal component
analysis to optimize classification, each type is divided into three grades such as
mild, moderate, and severe one (Ma and Li 1999).
Take the headwater region of three rivers as an example, there are a total area of
73.6 million mu of different grades of “black soil beach” degraded grassland,
including mild “black soil beach” degraded grassland area of 29.0 million mu,
moderate “black soil beach” degraded grassland area of 25.4 million mu, and severe
“black soil beach” degraded grassland area of 19.2 million mu. In addition, the
different types of “black soil beach” degraded grassland (<7° slope) cover an area of
Table 1 The evaluation grade standard of grassland degradation in the headwater region of three
rivers
Degradation Coverage Aboveground Proportion Height of Grassland
level (%) biomass of palatable palatable quality
proportion herbage (%) herbage
(%) (cm)
Nondegraded 80–95 100 >70 25 Standard
grassland
Lightly 70–85 50–75 50–70 −(3–5) Fall 1
degraded level
grassland
Moderately 50–70 30–50 30–50 −(5–10) Fall 1
degraded level
grassland
Heavily 30–50 15–30 15–30 −(10–15) Fall 1–2
degraded level
grassland
Extremely <30 <15 0 – Very bad
degraded
grassland
276 Y. Shen et al.
46.8 million mu, the gentle “black beach” degraded grassland (7 ≤ slope < 25°)
covers an area of 23.0 million mu, and steep slopes to the “black beach” degraded
grassland (≤25° slope) cover an area of 3.8 million acres (Zhao 2011).
The Analysis Way to Restore Degraded Alpine Meadow
Analysis of Restoration of Degraded Grassland

Management regulation of degraded alpine meadow ecosystem can be divided into
two levels: the implementation of degraded grassland degradation reasons and
solutions. The previous level includes many factors that lead to the degraded alpine
meadow, which is the level of governance measures after recovery. Alpine meadow
degradation levels include the following six factors: F1—the long-term overgraz-
ing, F2—the harm of mouse insect, weed, F3—the human unreasonable interfer-
ence (shovel turf, herb digging, gold road, dredging, quarrying, deforestation, etc.),
F4—herd structure unreasonable, F5—warm and dry climate, F6—soil erosion,
freeze–thaw action. Restoring measures level consists of the following eight factors:
the E1—control to reduce grazing intensity, E2—fencing and grazing rotation, E3
—the establishment of artificial grassland, E4—rat and insect pest and weed con-
trol, E5—stop unreasonable human interference, E6—fertilization, sowing, har-
rowing, E7—optimizing livestock structure, E8—excellent forage breeding.
Grassland management objective is to achieve the best economic conditions and
protecting grassland vegetation, maintain the ecological balance of the total target,
and achieve sustainable development. Suppose the general goal of C management
problems, it can be formulated in an alpine meadow ecosystem for the hierarchy
below (Fig. 1).
Although the alpine grassland distribution areas of low population density,
grassland area is large, but because the grassland contracting sharply increasing
livestock and grassland, seasonal distribution is not balanced and artificial pasture
irrational use, resulting in most of the winter spring pasture overgrazing serious and
degradation of vegetation. In addition, according to investigation of Wang and
Cheng (2001) from the Cold and Arid Regions Environmental and Engineering
General objective C
Degradation causes l F1 F2 F3 F4 F5 F6
Measures of layer E1 E2 E3 E4 E5 E6 E7 E8
Fig. 1 Hierarchical structure of alpine meadow grazing ecosystem

Research Institute, the Chinese Academy of Sciences, in the headwater region of

three rivers, grassland rodent and pest hazard area is up to 6–21 % of the total area
of grassland, degradation area ratio can reach to 13–58.25 % because of pest
damage, the proportion varies across different regions. Under normal circumstances
of grazing intensity, the pests and rats and grazing intensity in alpine meadow in the
headwater region of three rivers is directly related to the more serious pests and rats
destruction.
In general, the reasons and interaction of alpine region to grassland degradation
ecological environment deterioration can be expressed in Fig. 2.
It can be clearly seen from Fig. 2 that climate change and human activities are
the two major factors leading to the deterioration of the ecological environment of
the study area. Rodent and pest were incidental to bring grassland overloaded,
produced on these two factors playing a very important role during grassland
restoration.
In the local natural conditions, fencing and grazing rotation (E2) governance best
benefit (Fig. 3), followed by the establishment of artificial grassland (E3), control
the reasonable grazing intensity (E1), rat pest and weed (E4), reducing the irrational
human interference (E5), harrowing, sowing, fertilization of improved grassland
(E6). These good governances were efficient. Because the optimizing livestock
structure (E7) and excellent forage breeding (E8) in the treatment of degradation
have indirect effects of grassland, their benefits and contributions are relatively low.
For mild degraded grassland, based on the protection, by reducing grazing pressure,
control of grazing intensity and fenced grazing, and other measures, can prevent the
further degradation, and succeed to the direction of native vegetation. For moderate
degraded grassland, we should take the harrowing, sowing, fertilizing, fencing, and
other measures, at the same time, for rodent control. These measures will effectively
curb the continued degradation of grassland, and improve soil fertility, good eco-
logical and economic benefits. For the severe degradation and extremely degraded
Climate change Human activity

temperature increase Grassland degradation overgrazing exploitation
precipitation fluctuation palatable herbage
widely deforestation
decrease, Reverse
succession of plant
community
Permafrost degradation
Pest harm
The shrinking glaciers
Land desertification The The reduction of

Wetland degradation Lakes biodiversity, ecological
land of "black soil beach",
dry atrophy bog drainage environment
desertification, salinization
deterioration
Fig. 2 The causes and its interactions of the ecological environment deterioration in alpine region
278 Y. Shen et al.
Fig. 3 The distribution of combination weights under different controlling measures. E1 grazing
intensity decrease, E2 fence, E3 artificial grassland construction, E4 pest control, E5 stop
unreasonable human interference, E6 fertilization, sowing, harrowing, E7 optimizing livestock
structure, E8 excellent forage breeding
grassland, natural recovery is more difficult to the restoration and reconstruction.

Comprehensive measures should be adopted to establish artificial or semi-artificial
grassland to rapid restoration of degraded grassland vegetation, so as to become the
ecosystem reconstruction and achieve a new ecological balance.
Different Types of Vegetation After the Destruction of the Resilience and

Recovery Rate
To take the Maqin alpine meadow (I), Maduo alpine grassland (II), and Tongde
steppe (III) in the headwater of three rivers in different years borrow natural
recovery sequence, as the comparative study of dynamic object, the restoration of
natural ability (SL) in Maqin alpine meadow (I), Maduo alpine steppe (II), and
Tongde with temperate grassland (III) were 0.41, 1.33, and 1.50, respectively. The
vegetation that completely destroyed after about 50, 40, and 30 years of natural
recovery can achieve near the top of plant community types, their natural recovery
(SL) and recovery rate are III > II > I.
Damage recovery capability of grassland community was quantitatively evalu-
ated with SL = H/H0 (1−ΔF) I (Wang 2010), in which: SL for the comprehensive
index of damaged grassland ecosystem vegetation restoration ability was dimen-
sionless, the greater values means the greater recovery capacity. I as the top species
invasive index, refers to function of dominant species number and the frequency of
Ps
occurrence in the natural conditions: I ¼ 1 þ Pi , where Pi and s denote the
i¼1
dominant frequency of occurrence (or dominant species relative abundance of
I relative importance value, Pi = Ni/N. Ni I absolute importance value, N plot all
kinds of important value of the absolute) and species number; H and H0 represent
the Shannon–Wiener indexes of sampling site and natural grassland, respectively;
ΔF is the difference of cover degree between the sampling site and natural grassland
vegetation.
The Overall Design of Grassland Management Technology of Degraded

Alpine Region
With the foundation of the ecology and system science, and restoration ecology and
sustainable development theory, using multidisciplinary cross-combining theory
with practice, combined supporting technology project is implementing ecological
engineering, science and technology training and the rule of law education methods,
based on the existing technology and research to develop the practical technology
of ecological construction and environmental protection, to achieve ecological
development between economic and social and environment; comprehensive con-
trolling measures of ecological control are widely used. The overall framework of
technical line is shown in Fig. 4.
The main innovations of this design are: (i) together with the technology
demonstration engineering and application promotion, driven technology devel-
opment and integration by the construction of the demonstration zone, achieving
the feasibility and practicability of inspection technology demonstration project. So,
this not only shortens the research cycle, but also can speed up the popularization
and application of comprehensive ecological treating technologies. (ii) through the
The strategies of alpine grassland community stability control
Community configuration optimization Environment pressure Disturbance
Sowing
Soil seed varieties Soil Soil Grazing Killing
rate clipping Fencing
bank proportionin nutrient moisture activity weeds
matching
Regulation mechanism and ecological process
Grassland productivity high and stable yields, and sustainable utilization
Fig. 4 Integrated management and sustainable utilization of grassland degradation in alpine

region
280 Y. Shen et al.
combination of scientific demonstration and the existing ecological treatment pro-

ject phase, and solved the key technology urgently that needs to solve the problems
in the ecological engineering, the research results can be directly applied to the
practice of the ecological environment governance. (iii) the degraded grassland
management and sustainable development of regional economy are combined, the
overall optimization can not only realize the alpine grassland ecosystem structure
and function, but also can achieve both in animal husbandry efficiency and the
income of farmers and herdsmen target. (iv) the degraded grassland vegetation
restoration combined with rodents ecological control can accelerate the restoration
of vegetation, also can inhibit the mice growth and invasion. (v) combining eco-
logical animal husbandry management mode will be harnessing degenerated
grassland and intensive, which can keep the rectification results, achieve the
coordinated development of grassland animal husbandry and ecological environ-
ment of the target.
The Degraded Grassland Management Mode and Technology Integration
Mode of Governance and the Main Technical Characteristics

Measures were carried according to the stage of succession and ecological degra-
dation of natural grassland in alpine area, integrated by techniques of fencing,
harrowing, sowing, fertilization, weed and pest control (Table 2), to restore rapidly
degraded grassland vegetation and improve the primary productivity, curb the
development and spread of degraded grassland.
(i) Application range and main technical means of mild degraded grassland
management mode
Table 2 The degraded grassland management technologies and modes

The degree of Technical measures Technical standard
degradation
succession
Lightly Fencing; rodent control; The vegetation restoration technology
degraded fencing + fertilize rules of the lightly and moderately
grassland degraded alpine meadow
Moderately Fencing; fencing + sowing The vegetation restoration technology
degraded herbage; killing rules of the lightly and moderately
grassland weeds + fertilize degraded alpine meadow
Heavily Fencing; harrowing + sowing The rules of classification and integrated
degraded herbage; artificial, control technology of black soil type
grassland semi-artificial grassland degraded meadow
Extremely Reconstruction of artificial Artificial vegetation construction and
degraded community utilization of grassland management
grassland specification of black soil beach
Primary grassland is generally applied to mild degradation of grassland plant

communities, the species composition is higher, and richness is more than 30
kinds of species. Vegetation coverage is more than 70 %, excellent forage
proportion is larger, and poisonous weeds accounted for less than 30 % in the
composition of plant community biomass. Grassland landscape neat, turf layer
remained intact; plant community has self-repair ability when grazing pressure
is reduced, and recovers soon under enclosure condition.
(ii) Application range and main technical means of moderately degraded grassland
management mode
The item is for the moderate degraded grassland restoration so that the
moderate degradation grassland in Qinghai distributed at an altitude from 3500
to 4500 m, with an average annual temperature of 0 °C. The method is suitable
for the thin soil layer or gentle hillside, where the total vegetation coverage is
50–70 %, the proportion of forage grass is 30–50 %.
(iii) Application range and main technical means of severe degradation grassland
management mode
According to the degree and the local climate, topography and land use of
degraded grassland, severe degradation grassland management mode is always
used, such as enclosure and reseeding + fertilization or artificial, semi-artificial
grassland planting pattern, etc. The treating methods were applied to the
degraded grassland of altitude from 3500 to 4500 m, with an average annual
temperature of 0 °C, flat terrain, slope less than 25°. The former is applicable
to the native vegetation coverage of 30–50 %, forage yield is 15–30 % with
soil of thin flat or gentle hillside. The technical measures of sowing time,
sowing quantity and seed selection, and sowing method are same as the
moderate degraded grassland management mode.
The construction of artificial, semi-artificial grassland model suitable for
native vegetation is that the plant cover is less than 30 %, plant species
composition of 60–80 % is the poisonous weeds, the hydrothermal conditions
are better, the economic value and ecological service function of the grassland
are poor, and the natural recovering ability is poor, and must use artificial
intervention measures in order to achieve the purpose of restoration.
(iv) Application range and main technical means of the extreme degradation
grassland management mode
Excellent forage rapid decreased with grassland degradation succession process. In
the extreme degradation as the “black soil type degraded grassland”, the proportion of
forage grass is almost zero, the grassland grazing value almost decline. The “black soil
type degraded grassland” is a severely damaged ecological system, which has lost the
capacity of natural recovery, or in the short term cannot naturally recover, must
through the ways of artificial rebuilding of damaged ecosystems restore the original
ecological and production function. To reconstruct the artificial community, the for-
age species suitable for alpine meadow growing, the top grass such as Elymus nutans,
Festuca Sinensis Keng, Elymus sibiricus Linn, E. sibiricus Linn var. Tongdeensis
et al. were chosen, and the low grass such as Poa crymophila Keng, Poa Pratensis L,
282 Y. Shen et al.
P. Pratensis var. anceps Gaud cv. Qinghai, Puccinellia tenuiflora, Festuca krylo-
viana, Festuca kirilowii, Poa poophagorum Bor at. al. were always chosen.
Agronomic measures and its process include the deratization, plowing, harrowing,
soil preparation, fertilizing, sowing (or row), covering by soil, and repression.
3.2.2 Process and Mechanism of the Degraded Alpine Meadow
Different Distribution Characteristics of Plant Communities in Degraded

Stages and Carbon, Nitrogen, and Reserves
Characteristics of Plant Communities in Alpine Meadow with Different

Degradation Stages
With degradation of alpine grassland, vegetation coverage, grassland quality index
and good aboveground biomass, and the similarity index between grassland
decreased, while the index of plant community diversity and evenness index in the
moderate degraded steppe reach the highest stage. With the degradation degree
increase, the plant community diversity and evenness index show a single peak
curve. The total aboveground biomass in the lightly degraded stage is the highest,
the lowest in the extreme degradation stage, with the degradation, weed biomass
increased significantly, and sedges and grasses biomass decreased significantly
(Table 3; Zhou et al. 2012). The 0–40 cm total root biomass, underground biomass
of sedges and grasses with aggravation of degradation decline, changes of under-
ground biomass of forbs is increased gradually, and the extreme degradation
decreased. With the degradation degree aggravate, root volume and distribution in
each layer are less, the underground root system has the characteristics of the
shallow layer trend. Among all kinds of ground, underground biomass was posi-
tively correlated with aboveground biomass significantly.
Different Succession Stages of Vegetation Carbon and Nitrogen Distribution

The total carbon, total nitrogen concentration, and C:N ratio on the main functional
groups of lightly degraded alpine Kobresia meadow were significantly higher than
those in severe degradation grassland (Table 4). In the mild degraded grassland, the
group’s order of carbon and total nitrogen concentration were forbs > grass > sed-
ges, C/N ratio was grass > sedge > forbs. In the severe degraded grassland, the
group’s order of carbon concentration was forbs > sedge > grasses, total nitrogen
concentration was forbs > sedge > grasses; C /N ratio was grass > forbs > grass. The
carbon concentration between grasses and sedges was different significantly to the
lightly degraded grassland and moderate degraded grassland; the carbon concen-
tration among forbs, sedges, and grasses was different significantly (P < 0.05) at the
severe degradation grassland.
The total carbon and total nitrogen concentrations of plant root at severe
degraded grassland are higher than those at the mild degraded grassland (Table 5).
Table 3 Properties and qualities of plant community at different degraded Alpine steppe (n = 6)
Degraded Nondegraded Lightly Moderately Heavily degraded
level alpine steppe degraded degraded steppe steppe
steppe
Dominant Stipa purpurea Stipa Lanceoleaf Ajania tenuifolia,
species of purpurea, thermopis, Stipa Saussurea
plant Leontopodium purpurea, arenaria Maxim,
community nanum, Carex Leontopodium Roegneria
sp. nanum, Carex sp., thoroldiana
Potentilla bifurca (Oliv.) Keng
Aboveground 15.67 ± 4.11 14.91 ± 4.84 25.83 ± 9.35 4.84 ± 0.98
biomass
(0.25 g/m2)
Species 6.17 ± 1.94 8.50 ± 1.87 11.50 ± 1.97 8.67 ± 2.16
number/m2
Diversity 0.67 ± 0.31 1.13 ± 0.29 1.59 ± 0.22 1.30 ± 0.51
index
Evenness 0.37 ± 0.12 0.52 ± 0.09 0.65 ± 0.08 0.60 ± 0.21
index
Index of 2.80 ± 0.06 2.29 ± 0.43 0.70 ± 0.40 0.43 ± 0.87
grassland
quality
Biomass 79.64 ± 12.15 63.45 ± 18.46 18.62 ± 8.53 7.66 ± 7.37
percent of
Stipa
purpurea (%)
Belowground 198.26 ± 13.04 230.51 ± 30.60 218.97 ± 59.67 102.78 ± 35.80
biomass at 0–
20 cm soil
layer
(g/0.25 m2)
The ratio of C/N in mild degraded grassland was significantly higher than that in
severe degradation grassland. With the increase of soil depth, the total carbon, total
nitrogen concentration of plant root decreased. Analysis of variance showed mild
Table 4 The C, N concentration of main function in different successional stages of alpine

Kobresia pygmae meadow (standard error)
Lightly degraded meadow Heavily degraded meadow
Total carbon Total nitrogen C/N Total carbon Total nitrogen C/N
(%) (%) (%) (%)
Grass 42.072 (0.615)a 1.335 (0.070)A 31.515 37.354 (1.752)b 1.310 (0.112)A 28.515
Forbs 42.544 (0.338)a 1.416 (0.079)A 30.045 40.488 (1.278)a 1.384 (0.063)A 29.254
Sedges 40.772 (1.875)a 1.330 (0.071)A 30.656 37.970 (2.680)b 1.265 (0.106)A 30.016
Note The data at the table is the average data for the 5 sampling. Lowercase letters as carbon
concentration variance test. Uppercase letters as nitrogen concentration variance test. Letter of the same
shows no significant difference (P > 0.05)
284 Y. Shen et al.
Table 5 The C, N concentration of plant roots in different successional stages of alpine Kobresia
pygmae meadow (standard error)
Soil Lightly degraded meadow Heavily degraded meadow
depth Total carbon Total nitrogen C/N Total carbon (%) Total nitrogen C/N
(cm) (%) (%) (%)
0–20 35.915 (1.117)a 0.563 (0.045)A 63.792 37.423 (1.132)a 0.654 (0.074)A 57.222
20–40 32.173 (1.044)b 0.477 (0.048)A 67.449 35.368 (1.518)ab 0.637 (0.062)A 55.523
Note The data at the table is the average data for the 6 sampling. A, a are same as Table 2, 3, and 4
degraded grassland, in addition to the carbon concentration of 0–20 cm and 20–

40 cm plant root, the carbon concentration of 20–40 cm plant root in lightly
degraded grassland showed different significantly (P < 0.05) compared with the
severe degraded grassland, carbon and nitrogen concentration had no significant
difference among the other treatments (P > 0.05). And in comparison for the main
functional groups on carbon and total nitrogen concentrations, both lightly degra-
ded grassland and heavily degraded grassland, the carbon and nitrogen concen-
trations of aboveground plant biomass were higher than those in roots. The nitrogen
concentration difference is obvious, and the ground portion of the nitrogen con-
centration is almost two times than that of underground part.
Storage Characteristics of Plant Carbon and Nitrogen in Different

Succession Stages
Based on the calculation of aboveground biomass at the peak point (August 30), the
carbon storage of main function groups in lightly degraded grassland and severe
degraded grassland was forbs > grass > sedges (Table 6).
The carbon storage of aboveground of severe degraded grassland (59.79 g/m2)
reduced by 15.4 % compared with mild degraded grassland (70.67 g/m2). Among
them, grass carbon storage decreased by 90.4 %, sedges by 82.2 %, and forbs
increased by 71.6 %. Trends of carbon storage and change trend of N storage were
similar. Aboveground total nitrogen (2.04 g/m2) of severe degraded grassland than
that of mild degraded grassland aboveground (2.30 g/m2) reduced by 11.3 %.
Table 6 The C, N contents of main function in different successional stages of alpine Kobresia
pygmae meadow (standard error) (g/m2)
Lightly degraded meadow Heavily degraded meadow
Total carbon Total nitrogen Total carbon Total nitrogen
Grass 30.81 (5.60)a 0.98 (0.18)A 2.96 (1.34)b 0.10 (0.05)C
Forbs 7.51 (1.82)b 0.25 (0.15)B 1.34 (0.72)b 0.05 (0.03)C
Sedges 32.34 (4.64)a 1.08 (0.15)A 55.49 (6.55)d 1.89 (0.22)D
Total 70.67 (10.23)e 2.30 (0.33)D 59.79 (8.49)e 2.04 (0.29)D
Note The data at the table is the average data for the 5 sampling. Lowercase letters as carbon
content variance test. Uppercase letters as nitrogen content variance test. Letter of the same show
no significant difference (P > 0.05)
Among them, 98.8 % reduction in nitrogen reserves grasses, sedges, and forbs
decreased by 80 %, and increased by 75 %, respectively.
The carbon, nitrogen storage of underground part (root) was significantly higher
than those of aboveground part (stem) at alpine Kobresia meadow, which mainly
concentrated in 0–20 cm soil layer. The root carbon storage of mild and severe
degraded grassland in the 0–20 cm layers occupied 90.3 and 97.3 % (Table 7) to the
0–40 cm soil depth root total carbon. In the severe degraded grassland, the root carbon
and nitrogen reserves (0–40 cm soil layer) decreased by 60.5 and 57.1 %, respec-
tively, when compared with mild degraded grassland. Among them, in 0–20 cm soil
carbon and nitrogen reserves were reduced by 57.4 and 53.6 %, in 20–40 cm soil
carbon and nitrogen reserves were reduced by 88.8 and 88.5 %, respectively.
The Soil Characteristics in Different Degraded Succession Stage
Soil C and N Characteristics of Different Degradation

Grassland degradation caused soil carbon and nitrogen concentrations decrease,
loss of soil organic carbon was far greater than the nitrogen (Table 8). Soil organic
carbon concentration of the severe degraded grassland at the soil layer of 0–20, 20–
40 cm decreased by 22.6, 20.4 %, respectively, and the soil total nitrogen con-
centrations of them were reduced by 9.85 and 5.2 %. Soil C/N ratio from severe
Table 7 The C, N contents of plant roots in different successional stages of alpine Kobresia
pygmae meadow (standard error) (g/m2)
Soil depth Lightly degraded meadow Heavily degraded meadow
Total carbon Total nitrogen Total carbon Total nitrogen
0–20 cm 817.93 (77.10)a 13.76A 348.25 (60.96)c 6.39C
20–40 cm 87.74 (33.33)b 1.57B 9.84 (1.97)b 0.18B
Total 905.67 (78.14)a 15.33A 358.10 (62.32)c 6.57C
Note The data at the table is the average data for the 9 sampling. The means of A, b, c, A, B, C are
same as Table 4
Table 8 The TOC, total N contents (standard error) and C/N of soil in different successional
stages of alpine Kobresia pygmae meadow
Soil Lightly degraded meadow Heavily degraded meadow
depth Total organic Total nitrogen C/N Total organic Total nitrogen C/N
carbon (%) carbon (%)
(TOC) (%) (TOC) (%)
0– 4.821 (0.428)a 1.138 (0.045)A 4.118 3.733 (0.248)b 1.027 (0.058)A 3.635
20 cm
20– 4.180 (0.853)a 1.053 (0.052)A 3.973 3.322 (0.311)b 0.998 (0.058)A 3.329
40 cm
Note The data at the table is the average data for the 6 sampling. The means of A, b, c, A, B, C are same
as Table 4
286 Y. Shen et al.
degraded grassland to slightly degraded grassland decreased by 14.29 and 18.4 %,

respectively. The difference of the carbon concentration was significantly
(P < 0.05), but there was no significant difference in nitrogen concentration.
The Degradation Effect on Soil Enzyme Activities and Soil Nutrients of

Alpine Grassland
Degradation of Soil Nutrients and Structure

Along with the alpine meadow degradation, soil bulk density increased. This is
closely related with the lush plants density and rich roots of the native meadow or
lightly degraded meadow and reverse characters of severe and extremely degraded
meadow. Soil organic matter in the lightly degraded stage was higher, and in the
other degradation stages was low. With the decrease of vegetation coverage, soil
erosion was becoming more and more serious, which had a tendency to decrease the
content of organic matter, which was correspondent with the different stages of
grassland degradation. The content of available N in the extreme degradation stage
is low, but higher in other stages (Table 9). Total and available phosphorus content
Table 9 The soil characters in different degraded alpine meadow at 0–20 cm

Degraded level Lightly Moderately Heavily Extremely
degraded alpine degraded alpine degraded alpine degraded alpine
meadow meadow meadow meadow
Soil bulk 1.20 1.32 1.36 1.57d
density (g/cm3)
Soil moisture 30.60 26.18 25.59 17.36
content %
Organic matter 8.44 5.54 6.85 6.38
(%)
Available 59.97 66.62 50.64 14.66
nitrogen (ppm)
Total Nitrogen 0.41 0.26 0.33 0.34
content (%)
Available 10.74 6.86 5.08 9.70
Phosphate
(ppm)
Total 0.071 0.035 0.048 0.051
Phosphorous
content (%)
Available 200.90 169.82 245.00 147.93
Kalium (ppm)
Total Kalium 1.86 1.85 2.09 1.84
content (%)
Total salt 0.107 0.081 0.081 0.068
content (%)
between the grassland degraded stages is not obvious, which was higher in the
lightly degraded stage, but lower in the other degradation stages, relatively
(Table 9). Compared with the soil phosphorus content in other areas of alpine
meadow, the degradation of soil phosphorus content lies at the middle level, and
can meet the need of plant growth. Total potassium and available potassium of soil
in the different degraded meadow have no obvious change pattern, and that at the
extreme degradation was the lowest (Table 9), but which can meet the need of
potassium in plant growth. With the increase of grassland degradation, the total salt
content decreased. With the increase of grassland degradation, soil properties will
change. In the moderate degraded stage, the pest harm was the most serious matter.
With the grassland degraded to severe degradation process, soil bulk density,
hardness, and other physical characteristics changed severely. With the increase of
grassland degradation, total salt content, soil moisture decreased, soil bulk density
increased. With the alpine meadow degradation degree increasing, the loss of
organic matter in the soil surface was serious. Soil available nitrogen content was
difficult to meet the need of plant growth in the extreme degradation stage. The
changes of total nitrogen, total phosphorus, total potassium, available phosphorus,
and available potassium content in different degraded were not obvious.
When the alpine grassland degraded from native and mildly degradation to
severe and moderate degraded stage, soil water content (%), soil organic matter
content, available phosphorus, and nitrate nitrogen decreased significantly, the
nitrate nitrogen content in heavy degradation stage cannot meet the need of plant
growth. With the alpine steppe degradation degree increasing, the content of
organic matter is serious loss in the surface soil. With the degradation of alpine
steppe increase, the available potassium and soil compaction decrease, the content
of ammonium nitrogen in severe degradation stage was higher than that in other
stages, and pH value wwas higher than 8, and did not change significantly
(Table 10). With the degradation of vegetation succession in alpine grassland, soil
degradation was more and more serious, and soils more and more barren. At the
severe degradation stage, xeric sandy plants appeared, and which present initial
desertification landscape.
So, on the whole, with the degradation succession of vegetation, soil degradation
was more and more serious, and while the soil more and more barren.
Effects of Alpine Meadow Degradation on Soil Enzyme Activity

Urease activities in different degraded alpine meadow were compared in Table 11.
The difference of urease activity of not degraded and lightly degraded stage was not
significant (P > 0.05); the urease activity of moderate and severe degradation stage
activity decreased. Variance analysis showed the urease activities in nondegradation
and lightly degraded meadow were significantly higher than those in moderate and
severe degraded meadow (P < 0.01). Mild degradation to the grassland have not too
much influence on the alpine meadow vegetation composition and physicochemical
properties of soil, although interfered by grazing disturbance, the soil urease activity
was similar with nondegraded stage under the protection of soil humic substances
288
Table 10 The soil characters in different degraded alpine steppe at 0–20 cm layer
Degraded level Soil PH Organic Total Total Ammonia Nitrate Available Available
depth matter Nitrogen Phosphorous Nitrogen Nitrogen Phosphate Kalium
(cm) (%) content (%) content (%) (ppm) (ppm) (ppm) (ppm)
Nondegraded 0–10 8.5 1.43 0.06 0.04 22.99 25.95 3.38 258.99
10–20 8.3 2.46 0.12 0.05 31.00 39.43 3.84 313.99
Lightly degraded 0–10 8.5 2.77 0.21 0.06 17.99 25.95 4.70 276.71
10–20 8.85 1.59 0.14 0.06 16.99 46.99 2.74 127.67
Moderately degraded 0–10 8.55 0.71 0.07 0.05 18.99 16.09 4.66 182.21
10–20 8.6 0.86 0.11 0.06 22.66 32.20 2.15 142.23
Heavily degraded 0–10 8.5 1.21 0.21 0.05 32.00 21.02 3.47 186.30
10–20 8.7 0.67 0.20 0.04 64.69 16.74 1.69 105.86
Y. Shen et al.
Table 11 The comparison between different layers of soil enzyme activity

Enzyme Soil depth Nondegraded Lightly Moderately Heavily
activity (cm) alpine degraded degraded alpine degraded
meadow alpine meadow alpine meadow
meadow
Urease 0–10 2.49 ± 0.34a 3.04 ± 0.26a 1.65 ± 0.25a 1.32 ± 0.68a
activity 10–20 1.58 ± 0.09b 1.59 ± 0.09b 0.84 ± 0.06b 1.35 ± 0.12a
20–30 1.24 ± 0.07c 1.09 ± 0.08c 0.56 ± 0.63c 1.10 ± 0.13a
Invertase 0–10 2.25 ± 0.03a 1.77 ± 0.02a 2.10 ± 0.01a 2.24 ± 0.05a
activity 10–20 2.23 ± 0.03a 1.79 ± 0.01a 2.08 ± 0.03a 2.20 ± 0.03a
20–30 2.28 ± 0.03a 1.77 ± 0.02a 2.10 ± 0.06a 2.22 ± 0.04a
Urease 0–30 1.77 ± 0.75A 1.91 ± 0.13A 1.02 ± 0.12C 1.26 ± 0.51B
activity
Invertase 0–30 2.25 ± 0.25A 1.77 ± 0.15B 2.09 ± 0.14C 2.22 ± 0.02A
activity
Note The same column with different small letters indicate significant difference (P < 0.05). The
same for the different capital letters indicate significant difference
or clay; but in moderate and severe degradation stages, along with the vegetation
degradation, vegetation coverage reduced, species changed, as well as soil water
content, pH, soil aggregate structure, microbial groups, etc. correspondingly, which
resulted in the soil urease activity decreased significantly. Urease activity of each
degradation stage showed obvious stratification, with the deepening of the soil,
urease activity decreased in turn as the upper, middle, and lower layers, which is
consistent with other studies on vertical distribution of enzyme activity in soil
layers. Analysis of significant difference in different degraded stages of urease
activity showed that: the urease activity in the first three stages of soil degradation
were significantly higher than those of middle and lower layers of the soil urease
activity (P < 0.01), middle soil urease activity was significantly higher than that in
the lower soil urea enzyme activity (P < 0.05); soil urease activity of severe
degradation stage with the increase of soil depth did not show significant difference
(P > 0.05). Secretion of soil enzyme is mainly from microbial and plant roots, plant
roots in alpine meadow were mainly distributed in the soil of 0–20 cm depth. Soil
microbes were distributed mainly in the surface soil layer, and the number of
microbes reduced with the depth increase. So, we can conclude that urease vertical
distribution in the soil is closely related to the distribution of plant root system and
microbial activity.
Sucrose enzyme belongs to the hydrolase enzyme hydrolysis in the soil, which
can participate in organic compounds, decomposed into soluble nutrients to plants
and microorganisms, plays an important role in the transformation of organic matter
in soil. The data in Tables 2, 3, and 11 show that sucrose enzyme activity showed
no significant difference (P > 0.05) among the three layers of the same degradation
plot, and did not show the trend of no further activity decrease with soil depth
increase. The headwater region of three rivers due to the long-term stress of cold
temperature, plant root, and microbial have the short growth period and weak
290 Y. Shen et al.
activity, alpine meadow plant debris and dead roots did not fully resolved, the
surface has obvious litter accumulation, which is probably the reason why there is
little difference of soil invertase in alpine meadow activity. Comparing sucrose
enzyme activity of the different degraded alpine meadows (Table 11), it had no
significant difference between nondegrading meadow and severe degradation
meadow (P > 0.05), but invertase activities of lightly degraded meadow and
moderately degraded meadow were low, sucrose enzyme activities of nondegra-
dation and lightly degraded meadow were significantly different (P < 0.01), sucrose
enzyme activities of lightly degraded meadow and heavily degraded meadow were
very significantly different (P < 0.01). The results as above showed that the meadow
degradation influenced the sucrose enzyme activity relatively large.
Grassland Degradation Can Affect Soil Water Conservation
Grassland vegetation coverage affects soil moisture content greatly. With the
increase of vegetation coverage, soil water retention capacity increased (Fig. 5).
Soil water content of lightly degraded grassland was significantly higher than that in
severe degraded grassland. Among them, compared with heavily degraded grass-
land, 0–20 cm soil water content in lightly degraded grassland increased by 55.2 %,
however, 20–40 cm soil water content increased by 21 %, and the difference was
significant. With the increase of soil depth, the difference reduced gradually. There
was a positive correlation between vegetation coverage and soil water content. Due
to the difference of vegetation coverage, the different sun’s radiation to soil, soil
water evaporation is also different, which lead to soil moisture variation. Changes of
vegetation coverage was according to the order of lightly degraded meadow
(92.92) > moderately degraded meadow (80.67) > heavily degraded meadow
(71.75) > extremely degraded meadow (55.05), soil moisture also exhibited the
same trend.
Fig. 5 The soil moisture in

different succession stages of
degradation
Close Relationship of Alpine Grassland Vegetation Degradation and Soil

Degradation
Vegetation degradation is the direct cause of alpine meadow soil degradation, and
soil degradation will cause the degradation of vegetation, they are reciprocal cau-
sation. Alpine meadow ecosystem in moderate grazing condition, flow and matters
are basically in a state of balance, the production level is relatively stable, sub-
system of the soil maintains the good structure, and have the function correctly, to
provide the space nutrient and water for plant growth, and plant litter and livestock
put back the excretion of soil, which can hold a good cycling and balance among
the grass, livestock, and soil. Matter of serious overgrazing existed close to the
settlements in general. After the excessive grazing and trampling of livestock, the
normal growth of herbaceous plants inhibited, the stable material balance is
destroyed, grass had become low sparse, changing structure, reducing coverage, the
decreased grass yield, and the number of species, and excellent forage decreased
obviously. At the same time, soil degradation is also significantly obvious, organic
matter, soil moisture, and available N content decreased, which showed the typical
characteristics of grassland degradation.
Responses of Soil Seed Bank of Grassland Degradation
Through the study on soil seed bank in different degraded grasslands, as shown in
Table 12: the soil seed bank density in moderate degraded grassland lies at max-
imum, with the increase of grassland degradation, soil seed bank density showed a
“low-high-low” variation. There were significant differences in soil seed density
between nondegradation and other degraded meadow.
In the first year, there was no significant effects of fertilizing and fencing
measures to the soil seed bank, seed density and species, soil seed bank dynamics,
and spatial distribution pattern. The vertical spatial structure of soil seed bank of
alpine meadow vegetation: absolute advantage in the number of seed bank at the 0–
10 cm soil layers, the proportion varies from 75 to 98 %, with an average of 86.5 %.
The number of the seeds ratio of 10–20 cm layer was from 25 to 2 %, the average
was 13.5 %.
Table 12 The extent of alpine grassland soil seed bank density in different degradation stages
Plot (0–10 cm layer) Seed number (seed/m2) P < 0.05
Nondegraded grassland 2483.7 ± 648.2 a
Lightly degraded grassland 8438.5 ± 2207.1 b
Moderately degraded grassland 7873.6 ± 1836.7 b
Heavily degraded grassland 6242.5 ± 1040.5 b
Note Duncan multiple comparisons, each column represents the difference between the different
letters samples significantly, P < 0.05
292 Y. Shen et al.
Temporal dynamics of soil seed bank of alpine meadow vegetation showed that
the seed ratio to total seed bank density of the grass family and sedges family plants
in the withering period changed from 9 to 7 % into 4.4 and 4.5 % in turning green
periods, and seed ratio of broad-leaved plants changed from withering period 84 %
into turning green period 91.1 %.
The soil seed bank of alpine meadow vegetation mainly consists of a large
number of broadleaf weeds species seeds, sedges family and the grass family seeds
were relatively small, the ratio closed to 87:7:6. With the grassland degradation, the
dominance of weeds increased, grasses and sedges advantages decreased obviously.
The proportions of different seed types had the same changing trends. The char-
acteristics of soil seed bank were correlated with the different plant life forms,
reproductive modes, and the external harsh environment.
Effects of Grazing on Grassland Productivity, Community Structure
Changes of Plant Biomass of Different Functional Groups Under Grazing

In order to effectively reveal the grazing disturbance on the QTP, especially the
contribution and role of degraded grassland, the study was carried out in Haibei
Alpine Meadow Ecosystem Research Station respect to the effects of different
grazing intensities of long-term grazing on alpine Potentilla fruticosa shrub. With
the grazing rate increase, the change of plant species diversity index was a typical
single peak curve model. Long-term heavy grazing simplified the alpine shrub
communities, and decreased the aboveground biomass, particularly for fine her-
bage. Height, total cover, and grass coverage of plant community decreased with
increasing grazing intensity, the green plant coverage was the highest in the
moderately grazed plot. From light grazing to heavy grazing, shrubs and grasses
dominance were replaced by typical forbs. The response of natural grassland under
long time grazing (more than 50 % utilization rate) was degraded, and the degra-
dation was more and more serious with the grazing intensities. We can conclude
that long-term heavy grazing plays an important role in the process of grassland
degradation on the QTP. The implementation of grazing principle of “half taking
with half leaving” on the QTP will benefit to prevent the degradation of grassland,
improve the forage utilization and maintenance of high biodiversity.
With grazing intensity increased, the biomass of the grassland communities
decreased (Fig. 6). The biomass from the heavy grazing intensity to moderate and
light grazing intensity decreased by 61.72, 65.09 %. The proportion of fine herbage,
litter ratio decreased with the increase of grazing intensity, the proportion of forbs,
sedge ratio increased with the increase of grazing intensity. Compared with mild
grazing conditions, severe grazing decreased the grass and litter proportions by
46.09 and 88.17 %, respectively, and increased forbs and sedges by 160.23 and
111.62 %, respectively. The shrubs percentage showed no difference, and under
Fig. 6 Effects of grazing on

grassland aboveground
biomass
moderate grazing conditions it was slightly higher than that of light and heavy
grazing.
Changes of Main Plant Populations under Grazing Conditions

In alpine meadow, all plants can be divided into four categories with the charac-
teristics of great fostering, sensitive, tolerant, and indifferent responses under the
long-term heavy grazing disturbance. From light to heavy grazing pasture, Prunus
fruticosa and grass gradually would be replaced by typical forbs. In the heavy
grazing and the second heavy grazing plot, Leontopodium nanum, Gueldenstaedtia
diversifolia, and Podospora anserina were significantly greater than those in light
grazing and nongrazing plots, these weeds benefit from continued heavy grazing
and have a large population with the increase of grazing intensity, which also
belonged to the poor quality of forage and greatly reducing the forage value. Some
excellent forage decreased significantly in the continuous heavy grazing distur-
bance, such as grasses and sedges biomass had been reduced along with treatments
from exclousure, light grazing to heavy grazing. With the increasing of grazing
intensity, the important values of grasses and sedges (such as Stipa aliena, Festuca
ovina, Platyraspedum tibeticum Kobresia capillifolia, etc.) continued to decrease,
and P. fruticosa and Ligularia virgaurea also had the same changes, which often
had characteristics of sensitive reaction to continue heavy grazing disturbance.
Kobresia humilis is a typical sedge on the QTP, an alpine Kobresia plant charac-
terized by tolerance on long-term heavy grazing disturbance, with resistant to
grazing and trampling showing the important value of K. humilis in heavy grazing.
In the second heavy grazing and moderate grazing plots, the important value of K.
humilis was higher than that of light grazing, the second light grazing, and non-
grazing plot. Some other forbs, such as Anaphalis lacteall, Saussurea katochaete,
Shorea superba, Panchlora nivea, Gentiana farreri, Taraxacum mongolicum, and
Aster flaccidus did not response actively on the long-term heavy grazing distur-
bance in each sample, and the important value had no obvious change with the
increase of grazing intensity.
294 Y. Shen et al.
Fig. 7 Successional process and mechanism of plant and small mammal communities of alpine
grassland on the QTP
The Community Succession Process of Plant and Animal in Alpine Kobresia

Meadow
Study on the relationship between vegetation succession and rodent population

dynamics showed that zokor like eating all the juicy taproot plants, such as
P. anserina, Ajania tenuifolia, Pedicularis kansuensis, etc., the representative
plants after grassland degraded seriously. The plateau pika like to eat the Kobresia
and Carex plants and grass. The trophic niche of two rodents is different largely, so
they can live in the same area peacefully. However, food resource spectrum of
Gansu Pika and root voles had similar with plateau pika, but the habitat difference
of Gansu pika and root voles was large with plateau pika, so they rarely live in the
same area. With the succession of plant communities, the community also changed
with the changes of food resources and habitat (Fig. 7). The plateau pika and
plateau zokor live in particular habitat of alpine meadow of the QTP, their living
habitat and biology were closely linked, once its habitat change or destruct, there
would be a serious threat to its survival and reproduction.
3.2.3 Forage Cultivation and Different Function of Artificial

Vegetation Construction
Screening of Annual Forage Varieties
After a long-term product ratio experiments, the researchers determined that the
Denmark 444, Ba Yan No. 3, and Ba Yan No. 18 as annual masters oat varieties in
alpine grassland of Qinghai province from about 10 oat varieties, such as Qinghai
444, Qinghai 18, Ba Yan No. 3, Ba Yan No. 4, Ba Yan No. 5, Ba Yan No. 6,
Yongjiu 108, Yongjiu 473, Yongjiu 233, and Yongjiu 001 (Zhao 2011).
Perennial Forage Breeding, Cultivation, and Domestication
The Screening of Fine Perennial Grass

The biological characteristics, cultivation techniques, and others were systemati-
cally studied from the introduced varieties of 13 genera 39 grass. According to the
standard of the overwintering rate and coverage degree above 80 %, the beginning
of the second year to complete the full reproductive growth, grass yield more than
800 g/m2, we chose the top grass species as follows such as E. sibiricus cv. Qingmu
No. 1, E. nutans, Elymus sibircus CV Tong De, and F. Sinensis Keng; grass yield
more than 400 g/m2 under the grass forage varieties such as P. poophagorum,
P. crymophila, F. kirilowii, F. kryloviana, P. tenuiflora, S. aliena, and Roegneria
thoroldiana; the overwintering rate and coverage degree above 50 %, but with the
quick occupation ability was Bromus inermis Leyss. Leymus secalinus and
Agropyron cristatum, these four species can be used as appropriate grass species at
the headwater region of three rivers and other alpine meadow areas in “black soil
type” degraded grassland vegetation restoration.
Main Points of Cultivation

E. nutans: sowing time for a mid May to early June, unicast uses kind of quantity
30–45 kg/hm2, 2–3 cm sowing depth. No grazing is necessary for growth period of
sowing year, mild grazing can be used after soil freezing period, the green period
of second year is also needed for fencing. In order to maintain community stability
of E. nutans dominated artificial grassland, E. nutans always can mix with other
grasses ensued seed weight of 22.5–30 kg/hm2.
Elymus breviaristatus: sowing time for a mid May to early June, unicast uses
kind of quantity 30–45 kg/hm2, 2–3 cm sowing depth. No grazing is necessary for
growth period of sowing year, mild grazing can be used after soil freezing period,
the green period of second year is also needed for fencing. Suitable cutting period is
in the early August, stubble height is at 5–10 cm. In order to maintain community
stability of E. breviaristatus dominated artificial grassland, E. breviaristatus always
can be mixed with other grasses ensued seed weight of 22.5–30 kg/hm2.
E. sibiricus cv. Qingmu No. 1: deep plowing and level ground are needed before
sowing. It can be planted in spring, summer, and autumn. In spring, we need to
prevent the harm of annual weeds in spring. Autumn planting time is 30–40 days
before the first frost. Broken awn before sowing seeds enhances liquidity, the
planter seeding gear clearance increased or the seed conveying pipe removed if it is
necessary. Seeding process should pay attention to the seed flow to prevent clog-
ging, and seed quality assurance. The sowing depth is 4–5 cm, seeding rate is
generally 16–22 kg per ha. Lime sulfur and zineb sprayed to eliminate rust and
296 Y. Shen et al.
superphosphate with 200 kg at tillering per hm2 need to strength the fertilizer if
necessarily.
P. crymophila. Cv. Qinghai: Suppression, weed control, shallow trenching,
shallow overburden on the land before sowing. It can be planted in spring and
autumn. Seed weight is 7.5–10 kg per ha. If sowing in line, with a row of 15–30 cm,
1–2 cm depth, and suppressed after sowing. Then treatments such as prevent
livestock trampling, timely weed control, tillering, jointing irrigation, and fertil-
ization, can increase the yield of planting grass.
F. Sinensis Keng cr Qinghai: Soil preparation of special fine, deep tillage, rake
thin, worn flat before sowing is necessary. Input tillage and fertilizer rotted manure
(15,000–20,000 kg/hm2), superphosphate (30–60 kg/hm2) while plowing. The time
of sowing is in late April to early May during spring soil thawing. Sowing in line
with a row of 15–25 cm, mixed sowing with a row of 15–30 cm, and the seed field
with a row of 30 cm. Sowing rate: 10–15 kg/hm2 of clean culture, 7.5–10 kg/hm2 of
mixture sowing. The sowing depth varies with soil types, 2–3 cm to sandy soil or
light loam, 1–2 cm to clay. The grazing is absolute prohibited at the sowing year
and second years. The grassland can be used to graze after 2 years with the stubble
height 4–5 cm. When the seeds mature above 70 %, it can be harvested for the seed
shattering. It is recommended to kill weeds with pesticides.
P. Pratensis L. var. anceps Gaund. cv. Qinghai: controlling weed, flatting land,
and repressing soil with rake at the sowing year. The time of sowing is from late
May to the early June. The seeding quantity is 15 kg/hm2, row spacing with 15 cm;
7.5 kg/hm2 seeding quantity for sowing seed production, row spacing with 30 cm.
Weed control at the seedling time and weeding at other period. The urea need
60 kg/hm 2 at the late tillering stage of sowing year, then 60 kg/hm2 at the late
tillering stage of next year. Artificial pollination at the blossom period can help to
improve the seed yield. Moderate graze was permitted at the second years after
planting.
P. tenuiflora: Deep plow at summer and autumn, raking level land and the
enough base fertilizer at the previous year before sowing. Tillage is carried at the 5–
7 days after irrigation. Weed control and suppression by machinery are needed
before sowing in order to control the depth of sowing to overcome the phenomenon
of broken bar at the area of without irrigation. The sowing times of P. tenuiflora are
not very strict, the latest time should not be more than mid July. 0.5–1 kg per mu of
unicast amount; 0.4–0.6 kg per mu of seed field amount, a row of 15 g to 30 cm to
sowing in line, 1–2 cm depth of seeding, repress after sowing. Livestock feeding
and trampling are prohibited at the sowing year.
P. Pratensis L. Cv. Qinghai: Plow at summer and autumn and fine soil prepa-
ration at the previous year before sowing. It is required to suppress the land, keep
soil moisture before and after planting. Sowing time should be from April to May.
As the artificial grassland, general seeding rate is about 7.5–12 kg per hectare.
A row of 15–30 cm to sowing in line, 2–3 cm sowing depth. The fertilizing time is
in early autumn and early spring of vigorous growth season. The amount of
nitrogen fertilizer can be in 75–150 kg per hectare while the phosphate fertilizer be
in 75–120 kg per hectare.
Planting Methods of Artificial Grassland
The Land Selection

To establish the artificial grassland, we always choose “black soil type” degraded
grassland with a relatively flat topography, soil layer above 30 cm, convenient for
mechanical operation, and near winter spring pasture from the herdsman settlement.
Planting area of grassland is appropriate with 200–500 μ/household, according to
the household management ability after construction. Too large area cause the
inconvenient management and high investment cost, and too small area cannot
achieve the economic benefit.
Plowing
The tillage needs below 15 cm depth to increase the water storage capacity of soil,
which can also be reached through the measure of two heavy harrow tillages at the
loose sections of top soil.
The Land Leveling

The heavily degraded land is needed for flat by heavy harrow because ground
rugged or some remnants of turf after the tractor plowing can create troubles for the
next step of seeding and fertilization.
Sowing
When unicast sowing, the amount of large seeds lies in the 30–40 kg/hm2, the small
seed lies in the 10–15 kg/hm2, and the mixture sowing is always 50–70 % the
amount of unicast sowing.
Fertilizing
When sowing, using (NH4)2HPO4 or sheep manure as base fertilizer, and the
(NH4)2HPO4 application is 150–300 kg/hm2; with urea as topdressing when
the phenology of grass is tillering and jointing period, 1–2 times topdressing with
the amount of 75–150 kg/hm2.
Earthing
Earthing measures should be carried out with light harrow after sowing and fer-
tilization and the depth is in 2–3 cm.
298 Y. Shen et al.
Suppressing
The process of soil suppression is very important, which is not only closely inte-
grated seed with the soil to make the seed germination, but also improve the soil
moisture and reduce wind erosion. In addition, the absolute prohibition of returning
green stage is necessary at the first years to second years after the establishment of
artificial grassland.
Classification of Artificial Grassland
Classification of three types of artificial grassland introduced below was determined

by the different criterions of uses, cultivation level, forage combinations, and life
form.
Annual Artificial Grassland

Temporary artificial grass based on annual oats planted in cow and sheep pens that
free in summer or a small area of forage base built on winter pasture near pens. Its
purpose is to use the micro-environment of soil and climatic conditions and the
quality characteristics and high yield of oats to produce the high quality forage and
solve problems of some domestic animals winter feeding. The practice proves that
the grassland plays an important role in production of animal husbandry in the
headwater region of three rivers, and has gradually been accepted by herdsmen.
Unicast-Based Artificial Grassland with Perennial Grasses

Unicast-based artificial grassland is to plant one forage species or varieties in the
same land. Unicast-based grassland has simple seeding method, and is easy to
cultivate and harvest with lower planting and management costs. Unicast-based
grassland based on E. nutans is main body of perennial artificial grassland in the
headwater region of three rivers, especially in the region that lack of suitable forage
varieties for cultivation time.
Mixed Artificial Grassland with Perennial Grasses

Taking full advantage of effect of interspecific complementary and space to establish
a relatively stable artificial vegetation community by planting suitable perennial
gramineae grasses in the headwater region of three rivers with different types of life
growth form, perennial gramineae mixed artificial grassland is not only for grazing
but also can be used as pasture. Commonly used grass seeds are some hardy grass
seeds, such as E. nutans, E. sibiricus L, Poa Festuca Linn, Puccinellia, etc.
Optimization of Artificial Grassland Community
According to request that improve artificial grassland aboveground biomass and

prolong the service life of grass, through the rational allocation among grass species
and optimization vegetation spatial pattern of plant community of grassland and
other means, the best artificial community group planted in mixed artificial grass-
land on “black soil beach” that belongs to the headwater region of three rivers of
Qinghai province is “E. nutans + F. Sinensis + P. crymophila + P. poophagorum”.
The Technology Integration of Artificial Grassland Establishment
First, alpine pastoral area suitable for planting perennial artificial grassland area
should be determined in the relatively high rainfall zone of the alpine meadow
grassland, and secondary bare land in the area required of more than 80 %. Second,
it should have a certain suitable soil, climate, and topography. Generally in the
grassland of soil thickness above 30 cm, altitude below 4300 m, flat terrain is
suitable for mechanical operation. Key techniques for artificial grassland estab-
lishment are below:
(i) the planting time selection: artificial grassland planting period should be
mastered in early May to early June.
(ii) the selection of grass seeds: annual artificial grassland planting oats in early
maturing varieties, perennial with the hay production for the purpose of arti-
ficial grassland should choose high yield varieties of E. nutans, E. sibiricus
Cv. Qingmu No. 1, E. sibircus CV Tong De, F. Sinensis Keng Cv Qinghai,
etc. Grazing and ecological restoration-based artificial perennial grassland
should increase the grass proportion in order to increase palatability of arti-
ficial community stability and grasses, which including P. Pratensis L. Cv.
Qinghai, P. pratensis L. var anceps Gaund Cv Qinghai, P. crymophila Cv
Qinghai, and some short grasses of Festuca genus.
(iii) agronomic measures of artificial perennial grassland: rodent poisoned—tillage
—rake level land—fertilization—sowing (sow or drill)—soil covering—
fencing.
(iv) the artificial grassland management: artificial pasture cultivation management
measures include: rodent control, weed control, fertilization, and reasonable
grazing (Zhao 2011). Rodent control techniques mainly include: physical
control, chemical control, and biological control. The main process of rodent
control is under the step of “measures of chemical control, physical control,
chemical control, biological control”. Artificial grass weed control in general
is always from the beginning of the third year, including chemical control and
cutting machine in two ways. Methods for chemical control use the one
thousand times intermixture of Metsulfuron-methyl 75 g/hm2 + 2-4D butyl
ester emulsion 1500 g/hm2 to field weed control, cutting mechanical control is
in poisonous weeds flowering by mechanical control cutting. The amount of
300 Y. Shen et al.
nitrogen fertilizer and phosphate fertilizer is 30−60 kg/hm2, 60–120 kg/hm2,

respectively, and nitrogen and phosphorus ratio is 1:2, cattle and sheep manure
is 22,500−30,000 kg/hm2. Artificial vegetation demands absolute prohibition
in growing season of first years after construction and the annual spring
regreening period. After grassland construction, using urea as topdressing
once, the total amount is 75–150 kg/hm2 since the third year or every other
year in forage tillering and jointing stage (late June—early July). Artificial
grassland should timely weed control since fourth year under the established
grassland. According to the rodent density, degree of harm in winter and
spring, rodent-killing measures are carried once in every year. The headwater
region of three rivers grassland grazing intensity: in warm season pasture was
2.89 yaks/hm2 (14.45 sheep unit/hm2), cold season pastureland in nutritional
impairment and grazing time conversion was 1.07 yaks/hm2 (5.35 sheep
unit/hm2), and best grazing intensity was 4.19 sheep units/hm2.
The Economic Benefits of Artificial Grassland
The investment of artificial grassland comprehensive cultivation measures includes

seed, tillage, plowing fee, cost of setting up the fence, as well as the necessary
management measures such as fertilizer, rodent control, and other investment
specifics as shown in Tables 13, 14, and 15. The total direct investment of 6 years is
2887.5 yuan RMB, while the natural succession is only 1897.5 yuan RMB, the
differences is 990 yuan RMB; the annual hay production under artificial regulation
is 35,648 kg/hm2, but it is only 19,189 kg/hm2 under the natural succession, the
production difference is 16,459 kg/hm2. If we calculate by the basic market price
0.40 yuan RMB per kilogram hay, the price difference is 6583.6 yuan RMB. The
cost of artificial control of herbage production fell by 0.46 yuan RMB/kg in the first
Table 13 Investment in the establishment of artificial grassland (yuan/hm2)

Planting Seed Tractor Fence Fertilizer Rodent Weed Sum
ages fee control control
First year 615.0 600.0 300.0 360.0 22.5 0 1897.5
Second 0 0 0 180.0 0 0 180.0
year
Third 0 0 0 180.0 22.5 0 202.5
year
Fourth 0 0 0 180.0 0 0 180.0
year
Fifth 0 0 0 180.0 22.5 0 202.5
year
Sixth 0 0 0 180.0 22.5 22.5 225.0
year
Total 615.0 600.0 300.0 1260.0 90.0 22.5 2887.5
11
Table 14 Direct income of artificial grassland establishment

Planting Direct Hay yield per Cumulative Cost of Annual earnings Cumulative Input–
ages investment year (kg/hm2) production production (yuan/hm2) revenue output
(yuan/hm2) (kg/hm2) (yuan/kg) (yuan/hm2) ratio
First 1897.5 4142 4142 0.46 1242.60 1656.80 1:0.87
year
Second 180.0 7768 11,910 0.17 2330.40 4764.00 1:2.29
year
Third 202.5 6340 18,250 0.13 1902.00 7300.00 1:3.20
Ecological Restoration in the Typical Areas
year
Fourth 180.0 6128 24,378 0.10 1838.40 9751.20 1:3.96
year
Fifth 202.5 5640 30,018 0.09 1692.00 12,007.20 1:4.51
year
Sixth 225.0 5630 35,648 0.08 1689.00 14,259.20 1:4.94
year
Total 2887.5 35,648 0.08 10,694.4 1:4.94
Note 0.40 yuan/kg hay (2006)
301
302
Table 15 Direct income of natural succession

Planting Direct Hay yield per Cumulative Cost of Annual earnings Cumulative Input–
ages investment year (kg/hm2) production production (yuan/hm2) revenue output
(yuan/hm2) (kg/hm2) (yuan/kg) (yuan/hm2) ratio
First 1897.5 4142 4142 0.46 1242.6 1656.8 1:0.87
year
Second 0.0 5200 9342 0.206 1560.0 3736.8 1:1.97
year
Third 0.0 3862 13204 0.146 1158.6 5281.6 1:2.78
year
Fourth 0.0 3036 16240 0.12 910.8 6496.0 1:3.42
year
Fifth 0.0 1849 18089 0.11 554.7 7235.6 1:3.81
year
Sixth 0.0 1100 19189 0.10 330.0 7675.6 1:4.41
year
Total 1897.5 19189 0.10 5756.7 1:4.41
Y. Shen et al.
year to 0.08 yuan RMB/kg of sixth year, down nearly 82.6 %, while the cost fell by
only 72.3 % under natural succession. According to Tables 13, 14, 15, both of the
cumulative output or cumulative revenue, artificial control values were about two
times as much as the natural succession. Thus, constructing the artificial grassland
can obtain higher forage yield, when choosing flat terrain areas with better soil
conditions in a vegetation type, plant high quality forage such as E. nutans, and
using artificial regulation necessary such as fences, fertilization, weed control,
rodent control measures; and can bear part or most of the carrying capacity, thus
will relieve the natural grassland grazing pressure, and reverse the degradation
process.
3.2.4 The Scientific Use of the Alpine Grassland Resource
The Rational Use of Natural Grassland Resource
People usually think that reasonable utilization of grassland is 50 % of aboveground

biomass, namely “half taking and half leaving” grazing principles and as the
rational use of natural grassland around the world. Of course, this is in terms of
nondegraded meadow or the most of aboveground biomass of pasture can be uti-
lized by herbivorous animal, and small proportion of inedible forage. In view of the
condition of the QTP pasture of short growth period and poor natural conditions,
the optimum utilization rate of nondegraded grassland is 45 %. Under system of
two season pasture rotational grazing, the maximum grazing intensity of summer
and autumn grassland without degradation is 4.30 Tibetan sheep/hm2, winter spring
pasture is 4.75 Tibetan sheep/hm2, maximum grazing intensity does not exceed the
2.5 sheep unit/hm2. Through the research of optimal grazing scheme and production
structure of alpine grassland, the ratio of Tibetan sheep and yak is 3:1 in alpine
meadow area. Tibetan sheep aged female proportion is 50–60 %, and yak
school-age female ratio between 30 and 40 % is more reasonable (Zhao 2011).
The Moderate Grazing Maintain Species Diversity
Effects of different intensity of long-term grazing on species diversity and evenness

can be explained by Shannon–Wiener index and Pielou evenness index. With
increased grazing intensity, the two indices were showing a single peak mode. In
moderate grazing intensities (C), Shannon–Wiener index and Pielou evenness index
maximum (Table 16), Duncan multiple test showed that the difference in the
Shannon–Wiener index of grazing after 17 years of 6 sample plots was not sig-
nificant (P > 0.05, n = 6, 2-3-16), moderate grazing plots (C) of the Pielou evenness
index was significantly higher than that of heavy grazing plot (A) and nongrazing
plot (P < 0.05, n = 6), and no significant difference among other three grazing plots
(P > 0.05, n = 6).
304
Table 16 The species diversity and evenness changes of different long-term grazing intensity
Grazing plot A B C D E F
Shannon–Wiener index 2.47 ± 0.38a 2.64 ± 0.23a 2.72 ± 0.20a 2.59 ± 0.12a 2.51 ± 0.11a 2.36 ± 0.11a
ab bc c abc abc
Pielou index 0.67 ± 0.10 0.74 ± 0.07 0.75 ± 0.06 0.72 ± 0.03 0.69 ± 0.03 0.65 ± 0.03a
Note The data at the above table showed the average value ± standard division. In the same row data, there is no significant difference in the same letter
(P > 0.05)
Y. Shen et al.
Table 17 The relationship between grazing intensity and the plant species diversity
Pasture Index Regression equation R value P value
Cold The number Y = −12.25x2 + 57.55x − 8.75 0.9940 (R2) <0.001
season of plant
pasture species
Evenness Y = −0.0172x2 + 0.0874x + 0.8081 0.9077 (R2) <0.05
index
Diversity Y = −0.3164x2 + 1.742x + 3.1763 0.8876 (R2) <0.05
indices
Warm The number Y = 0.1753x + 4.8633 0.9920 <0.001
season of plant
pasture species
Evenness Y = 0.0347x + 0.8975 0.9993 <0.001
index
Diversity Y = −x + 46.667 −0.9305 <0.05
indices
There was a significant positive correlation between grazing intensity and the
plant community diversity index, and evenness index, a significant negative corre-
lation with plant community constituent species in warm season pasture (Table 17).
This can be well explained by the theory of “intrinsic redundancy”. Because con-
stitute intrinsic redundancy of plant (weed) cannot be ingested by yak, some plants
can be used by other animal, which plays an important role in the grassland com-
munity biodiversity and evenness. Due to the intrinsic redundancy, in the case of
grazing intensity increased, compensation of edible plant community will be
strengthened. The number of population and biomass will also increase, while,
function of communities decrease under over high grazing intensity. But when
grazing intensities are 2.3, 2.4, and 2.5 sheep unit/hm2 , respectively, the number of
constituent species, diversity index, and evenness index of plant community reached
the maximum, and then began to decrease. This suggests that the intrinsic redun-
dancy was conditional. In winter pasture of alpine meadow, when grazing intensity
increased to some degree, adjustment and maintenance of intrinsic redundancy to
diversity index, evenness index, and the number of constituent species of plant
community will weaken, component redundancy strengthen, structure of plant
community structure change, and stability decreased. (Zhao 2011).
Yak Nutrition Balance Strategy Under Different Grazing Intensities
Under the condition of light grazing and adequate supply of summer forage, yak’s
forage digestibility was higher, the yak adjust its forage on the high digestibility and
lower intake to maintain nutritional balance at this time. Under the condition of
digestive and nutritional were sufficient, the effect of grazing intensity on yaks
defecation was significant, but the influence of grazing time (seasonal change) on
306 Y. Shen et al.
Table 18 Dynamic changes of yak dung dry matter under different grazing intensities (kg/yak
day)
Grazing treatment Grazing time (m.d–m.d)
6.20–7.5 7.5–7.20 7.20–8.5 8.5–8.20 8.20–9.5 9.5–9.20
Extremely lightly grazing 2.25Aa 2.28Aa 1.92Aa 2.25Aa 2.25Aa 2.35Aa
Lightly grazing 2.17Ab 2.01Ab 1.73Ab 1.98Ab 1.97Ab 2.21Ab
Moderately grazing 1.93Ac 2.21Ac 2.05Ac 2.23Ac 1.75Ac 2.01Ac
Heavily grazing 1.84B 1.75B 1.63B 1.71B 1.48B 1.69B
Different uppercase letters in the same row or column show the very significant difference
(P < 0.01). Different lowercase letters in the same row or column show the significant difference
(P < 0.05)
Table 19 Dynamic changes of yak dry matter digestibility under different grazing intensities (%)
Grazing treatment Grazing time (m.d–m.d)
6.20–7.5 7.5–7.20 7.20–8.5 8.5–8.20 8.20–9.5 9.5–9.20
Extremely lightly grazing 66.61Aa 68.41Aa 73.13Bb 70.13Bb 67.41Aa 65.11Aa
Lightly grazing 63.52Aa 68.47Aa 73.11Bb 70.14Bb 67.44Aa 65.13Aa
Moderately grazing 62.11Bc 62.83Bc 63.84Ba 65.41Ba 69.43Ab 62.41Ba
Heavily grazing 55.61Cc 59.82Cc 62.12Aa 63.51Aa 66.92Aa 58.91Cc
Different uppercase letters in the same row or column show the very significant difference
(P < 0.01). Different lowercase letters in the same row or column show the significant difference
(P < 0.05)
yaks defecation was not significant (Table 18.). Yaks defecation in the very light,
light, and moderate grazing area were significantly higher than those in heavy
grazing area in the summer, and the differences of yak dung dry matter among very
light, light, and moderate grazing area were significantly obvious.
The dynamic change of yak’s dry matter digestibility was shown in Table 19.
The dry matter digestibility of yak was the maximum in the very light and light
grazing area in July to August, while that in the moderate and severe grazing area
reached the maximum in mid August to early September. The differences between
grazing intensity, time, and yak dry matter digestibility reached extremely signifi-
cant level (Table 19). Under the condition of light grazing, differences between yak
dry matter digestibility and grazing time were not significant in summer. Under the
condition of moderate grazing, dry matter digestibility was significantly higher than
that of other grazing time in summer. Under the condition of heavy grazing, the
differences between yak dry matter and the digestibility of other grazing time were
not significant (P > 0.05), but significant difference between them (P < 0.01) in July
20–August 5, August 5–August 20, and August 20–September 5.
The Grazing Use of Artificial Grassland
Grazing experiments in the headwater region of three river showed that, in E.

nutans + P. crymophila mixed artificial grassland average annual change of
excellent forage and individual yak weight varied along the grazing intensity cor-
responding to the two point of intersection of a straight line (9.97 yaks/hm2), this
can basically maintain the ratio of good quality forage and the individual yak
weight increase unchanged annually. Therefore, it can be considered as about alpine
grassland (grazing in grass growing season) maximum grazing intensity without
degradation of the alpine grassland. In addition, on the basis of forage nutrition loss
in withered season at the grazing pasture, the maximum grazing intensity that
cannot cause degradation was about 4.01 yaks/hm2 (Zhao 2011).
3.2.5 The Development Patterns of Ecological Animal Husbandry

and Sustainable Management of Alpine Grassland
Low Transformation Efficiency of Traditional Animal Husbandry in

Resource Productions
After a lush growth during the summer and autumn, grasses on the QTP grasslands
generally had rich nutrition and good palatability, with the characteristics of “three
high and one low”: high contents of crude fat, crude protein and free nitrogen
extractions, and low crude fiber, which congenitally provided favorable breeding
conditions to cattle and sheep. However, the climate conditions on the QTP is
harsh, in which seasonal variation of precipitation is obvious, the rainfall concen-
trated mainly from June to September, and the season with dry and cold climate was
long. This caused plenty of grass withered in the winter and spring season, both of
the storage and nutritive value of forage greatly reduced, the storage of pasture was
only about to 43 % of the warm season, and the crude protein content of only about
5 %. All these caused the low efficiency of transformation of animal husbandry
resource production, and the bad cycle of livestock as “strong in summer, fat in
autumn, thin in winter and dead in spring”.
Seasonal Dynamics of Body Weigh Change of Yak

From birth to eight months of age (from April to December), yak’s weight increase
was 47.2 kg, in the subsequent first winter of fat off period (from December to
February in the next year) the weigh loss was 6.5 kg, 13.8 % of the accumulation
weight of the birth year, and in the first spring of fat off period (from February to
May of second years) the weight loss was 5.6 kg, 11.9 % of the accumulation
weight of the birth year. The difference of weight losses of the first winter and
spring was not statistically significant (P > 0.05). Therefore, the yak’s weight added
to 47.2 kg in the birth year, of which 25.6 % (from December to May of second
year) was consumed in the first cold season, which was slightly lower than the
308 Y. Shen et al.
Fig. 8 Weight change in

different months of age yak
under natural grazing
condition
alpine fine wool sheep in the same period (P > 0.05). In May, the yak began weight
accumulation of the second warm season with the grass germination (Fig. 8), until
in October of the same year, the yak added weight was 62.9 kg, in which the
summer weight addition (from May to July of the second year) was 22.2 kg, 363.9 g
daily on the average; the fall weight addition (from July to October of the second
year) is 40.7 kg, 442.4 g daily on the average, and the summer daily weight addition
of the yak was significantly high than the autumn (P < 0.05). Following by the
weight addition of the second warm season was weight loss of second cold season
(from October of second year to May third year), when total weight loss was
18.7 kg, of which in second winter (second years in October to third years in
February) was 6.0 kg, accounting for 9.5 % of the second weight accumulation, and
in second spring (from February to May of third years) 12.7 kg, 20.2 % of the
second weight accumulation. Therefore, in the second cold season, the yak weight
losses in the spring was greater than in the winter (P < 0.01), and 29.7 % of the
increased weight in the second warm season was consumed in the second cold
season.
Seasonal Dynamics of Body Weight Change of Tibetan Sheep

Sheep weight changed seasonally with the changes of forage storage and nutrient
contents, and seasonal variation showed a “S” curve (Fig. 9). In most alpine
grassland, Tibetan sheep was the livestock grazing on natural grassland throughout
the whole year. In traditional grassland animal husbandry, there was difficult to
achieve the dynamic balance of forage supply and livestock for low livestock
slaughter rate, slow turnover, inconformity of seasonal herd numbers and forage
yield. From the point of view of plant production, there were two critical period in
grass growth. One was the period of autumn storage nourishment of seed and root,
and another was the period of spring consumption of root storage nourishment by
germination and sprouting. In these two periods, grass was the less resistant to
grazing, so called “avoid grazing period”. But using period and grazing period of
cold season pasture were just overlapped in this time, causing bad conditions
of forage growth and development. In the grass growth season, storage capacity of
70
60
Sheep weight (kg)
50
40
30
20
10
2 5 8 11 2 5 8 11 2 5 8 11 2 5 8 11 2 5 8 11
Month
Fig. 9 The weight change of Tibetan sheep (2–7 ages) under the natural grazing conditions
forage grass was sufficient. To the end of August, forage storage was, respectively,
to 221.7 and 160 % of demand. Since then the storage of forage grass decreased, but
the nutritive value of which was still high, the increasing body weight of Tibetan
sheep sustained, and the storage of forage was abundant to the end of summer
pasturing (from June 1 to October 31). So, the summer grazing season is the golden
season of alpine grassland industry development of animal husbandry, when cattle
and sheep gained weight fast for sufficient grass storage and suitable climate. In the
period of November to December, the storage of forage grass was still sufficient to
the sheep demands, but livestock began losing weight for decreased forage nutrients
and palatability, and dropped temperature. From February to April, the contradic-
tion between livestock and grass storage was more outstanding, and shortage forage
accounted for only 85 % of the demand of livestock, 15 % deficiency, causing the
nutrients forage to provide much less than that of livestock demand.
Low Resource Use Efficiency

Feed Conversion Ratio (FCR) refers to the weight of forage consumption when
livestock or poultry increase 1 kg body weight. It is an important index for eval-
uating feed reward, and can directly reflect the animal husbandry forage resource
conversion efficiency (Hu 2000a, b). In the single natural grazing mode, FCR of 1–
7-year-old Tibetan sheep reached 130.5, meaning under the such mode every 1 kg
of meat growth need consume weigh of natural herbage reaching 58.5 and 130.5 kg
for the 2 and 7 age Tibetan sheep, respectively. However, in the mode of feeding
fattening, the FCR increased significantly, to 8.9 for 58 days Tibetan sheep,
meaning under such mode every 1 kg of meat growth need to consume herbage
only 8.9 kg, so the utilization efficiency of forage resources significantly improved
(Table 20).
In order to maintain the life activities, livestock had to consume the body fat
deposition, protein, and carbohydrate, which cause a sharp decline in body weight
310 Y. Shen et al.
Table 20 The ratio of feed and meat of Tibetan sheep under grazing and fattening treatment
Age 1 2 3 4 5 6 7
Grazing Forage consumption 246 900 1610 2020 2580 3140 3703.33
(kg)
Ratio of feed and 32.11 58.40 75.48 74.40 88.47 102.14 130.49
meat
Fattening Fattening time (day) 16 23 30 37 44 51 58
weight gain (kg) 1.41 2.63 3.74 4.84 6.00 6.92 7.20
Ratio of feed and 11.93 9.63 8.83 8.41 8.07 8.10 8.86
meat
and even death of the elderly patient. Digestible energy from intake energy was
always offset more seriously for the breeding Tibetan sheep, especially in the period
from February to April. This was the greatest weakness in the production process of
alpine grassland animal husbandry, and also the main causes of low economic
benefit and low conversion efficiency of energy and material.
The Development Pattern of Alpine Grassland Ecological Animal

Husbandry
“Two Segments” Mode of the Grassland Animal Husbandry Production

For a long time, the livestock ecosystem of the QTP was characterized by imbal-
ance between supply and demand under the traditional livestock grazing pattern:
grassland was in “surplus” period during summer and autumn, and “deficiency”
period during winter and spring season. This led to increased grazing intensity in
winter and spring season, and the grazing intensity could reach to 1.5–6 times of
summer and autumn season. This imbalance had affected livestock production, at
the same time, harmed the sustainable ability of grassland ecosystem, such as sharp
declines of forage yield, water conservation, sand fixation, soil conservation, and
ecosystem services.
Implementation of the concept of the “two segments” mode of the grassland
animal husbandry production (Fig. 10) should make full use of natural grassland for
grazing and breeding in the summer and autumn season, and fatten the lamb and
ewe in the end of autumn. This can not only improve the slaughter rate, speed up
the breeding cycle, increase household income, at the same time, can reduce the
winter season grazing pressure to maintain the sustainable ability of grassland.
“Three Zones Coupling” Mode Based on the Coupling Theory of Ecological

System
Currently, the grassland animal industry of the QTP was in a condition of vicious
cycle as “overgrazing of grassland-degradation grassland—intensified conflicts
adaptive phase Fattening period At later stage of fattening

expelling parasite
About 35 days About 30 days
epidemic prevention
1~14 day 15 ~ 45 day 46 ~ 80 day
Warm season Cold season

The purchase of
Natural grazing Feeding and fattening stage
about 10 kg sheep
May Jun. Jul. Aug. Sep. Oct. Nov. Dec. Jan. Feb. Mar. Apr.
Fig. 10 “Two segments” mode of the grassland animal husbandry production
between grassland and livestocks-declined second production capacity”. In order to

improve the ecological environment of the QTP, based on the theory of ecosystem
coupling, interaction, it will be of great significance and prospect to generalize the
animal husbandry production paradigm of “Three Zone Coupling” model that
suited to local conditions of the QTP (Fig. 11).
In pastoral area of natural grassland, herd optimal management implementation
was based on, the implementation of the “Seasonal Livestock Husbandry” mode,
through strengthening and improvement of livestock breeding, selling a large
number of livestock to the agriculture and livestock husbandry intercrossed zone
and valley agricultural area before the winter, to transfer the winter spring pasture
grazing pressure, make full use of forage resources in agricultural area, and realize
the complementary of forage resources and livestock resources in time and space.
For the large-scale farming pastoral regions, it should establish integrated con-
struction and supporting the processing technology of forage base to provide a
strong material base for the transferring grazing pressure of natural grassland,
delivering part of forage productions to the source area of livestock grazing base,
providing implementation feed stock for the winter animal husbandry. For the
valley agricultural area, it should take advantage of breeding livestock that from
pastoral areas, raise farmers’ small scale cattle and sheep fattening, and part of
forage could transfer to pastoral areas, causing interaction effect of plant and animal
resources between agricultural areas and pastoral areas, making the resource uti-
lization benefit beyond simple its added value, and increasing the overall business
benefit.
“120” Forage Replacement Mode

In the region of more severely degraded grassland, elevation below 4000 m, pre-
cipitation 400 mm, or the eastern the headwater region of three rivers of the
returning farmland to forest (grassland), establishing artificial perennial vegetation
with the main purpose of the restoration and update of degraded ecosystems suit its
312 Y. Shen et al.
Natural grazing area Farming pastoral area Valley Agricultural Area
Grazing and breeding of yak and Forage base/Planting high quality artificial Agricultural and sideline product
Tibetan sheep grassland ion (Wheat bran, rapeseed cake
etc.
female animal
supplementary
feeding Cattle and s
Calf, lamb Efficient forage production and
and elimi heep traffick
processing base
nated dams ing, Seasona
l fattening
with the mo
del of “Wes
Yak and sheep fattening and Semi fattening t pasture rai
with large scale sed in East”
To alleviate the contradiction between grass and livestock,
increase the income of farmers and herdsmen
Fig. 11 Three zone coupling mode
measures to local conditions, the grassland available for grazing livestock was equal
to 27.5 times the amount of natural grassland, and the herd load capacity increased
by 25.24 times in the same area (Table 21). Through the implementation of “120”
forage resources replacement mode, in Qinghai Province, the headwater region of
three rivers, suiting its measures to local conditions, it can provide excellent rich
forage grass resources by establish artificial grassland especially in the extreme cold
season lacking of natural pasture forage grass for livestock herd, alleviate contra-
dictions of grass and livestock; at the same time, construction of artificial grassland
plants every 1 acres of at least can recuperate and build up strength of natural
pasture more than 20 acres.
“324” Lamb Production Mode

Feed fattening was a basic method of investment in many animal husbandry
developed regions of the world, but due to the affect of traditional consciousness of
“depend on Heaven for livestock”, which was not acceptable for the local herds-
men. In the condition of lacking in both quality and quantity of the grass, carrying
Table 21 Comparison of before and after degradation under grassland management

Item Artificial Improved Fencing Native
grassland grassland grassland grassland
Grass fresh weight (kg/μ) 2200 870 526 300
The times of grass yield 7.33 2.9 1.75 1.00
increase
Harvest forage ratio (%) 75 80 40 20
Fresh weight of harvest 1650 696 210 60
forage (kg/μ)
The times of harvest forage 27.5 11.6 3.50 1.00
yield increase
Load capacity (sheep unit/μ 0.76 0.32 0.10 0.03
year)
The times of load capacity 25.24 10.67 3.33 1.00
increase
Note 15 μ = 1 hm2
out cattle and sheep fattening, making timely slaughter cattle market, and shorten
the time of livestock, which can not only reduce the grazing pressure, especially to
the winter pasture, and protect natural grasslands, but improve overwintering ability
of the pastoral households and increase the economic income of herdsmen. In
alpine pastoral area with winter lamb production, the weight of the lamb in the
winter feeding fattening 3 months will reach to the 2 years sheep (24 months)
growing under traditional natural grazing condition. Through the “324” can
accelerate the popularization and application of marketing mode, improve livestock
slaughtering rate, and reduce natural grassland grazing pressure, meanwhile
increase the income of the herdsmen.
The fattening Tibetan lamb weight reached to 8.25 kg, while Tibetan lamb
weights of the herdsman A and herdsman B decreased 3 and 1.86 kg, respectively,
differences reached to 11.25 and 10.11 kg, respectively (Fig. 12); according to the
Fig. 12 The weight gain of fattening Tibetan sheep lamb

314 Y. Shen et al.
Fig. 13 The weight gain of Tibetan sheep fattening
market prices of live weight Tibetan lamb in 2009, which is equivalent to 157.5
yuan RMB and 141.54 yuan RMB, respectively.
The growth of fattening Tibetan sheep weight reached to 10.5 kg, while the
decreases of Tibetan sheep weight growth of herdsman A and herdsman B were
4.16 and 1.25 kg, respectively; weight difference reached to 14.66 and 11.3 kg,
respectively (Fig. 13); according to the market prices of live weight Tibetan sheep
in 2009, which was equivalent to RMB of 205.24 yuan RMB and 158.2 yuan RMB,
respectively.
The Production of Effective Organization Mode

In alpine pasture of the headwater region of three rivers, the introduction of leading
enterprises could promote the organizational model of the herdsman (coopera-
tives) + base + coproduction enterprise, and enhance the comprehensive benefits of
industrialization of animal husbandry production (Fig. 14). Using the characteristics
in different production systems, based on the principle of ecosystem coupling
system, to solve production practice problem that contrary to the systems at dif-
ferent levels. Mode of operation should be changed from extensive management to
the intensive management to realize scale management and specialized production;
feeding mode should be changed from natural grazing to the feeding and semi
feeding; growth mode should be changed from a single quantity type to quality
type, through the strengthening of deep processing of animal products and
extending the industrial chain to improve the added value; market development
should rely on leading enterprise to expand from a small local market to domestic
and international market.
Government
policy
support Grass planting
To promote the
cooperative organization development and
Grass product Enterprise
virtuous cycle
development
of pratacultur
production base
Scientific The leading enterprises led Household

research Fattening base income
institution, Demonstration base with large
scale
Cultivating pollution-free, green
Animal
brand of livestock products Improvement husbandry
Key technology of the economic sustainable
development and Deep processing
of animal benefit
integration. products
Special skill
training
Fig. 14 Schematic diagram of ecological animal husbandry production organization pattern in

alpine region
3.3 Conclusions and Prospects
According to the present situation of the alpine area, combined with the actual
needs of the protection of the ecological environment and the ecological industry
development, it should focus on the plateau wetland ecosystem protection, biodi-
versity conservation mode and technology, different typical alpine region ecosys-
tem service function protection and maintenance, high effective artificial grassland
planting technology and forage production technology, comprehensive regulation
of grassland and forestry ecosystem, construction technology of agriculture and
forestry ecological system, sustainable management technology of ecological for-
est, ecological management mode and technology system of animal husbandry,
reduction of natural grassland animal husbandry to optimize the business model and
technology, etc. in the future.
In basic research, we should combine the actual needs of ecological environment
protection and construction in high cold area, continue to improve the research on
related theories of alpine meadow, further strengthen the alpine grassland, alpine
shrub, alpine desert, and other major ecosystem types structure and its evolution,
degradation mechanism and other aspects of the in-depth study, at the same time,
strengthen the evaluation of biodiversity research and function of water conserva-
tion, lay a solid foundation for maintenance ecological system of follow-up and the
restoration and reconstruction of degraded ecosystem. According to the survey,
“black soil beach” degraded grassland in the alpine meadow in Qinghai province
are located from east to west, from south to north, and only the headwater region of
316 Y. Shen et al.
three rivers is of 73.6 million mu. “Ecological Protection and Construction of the
Qinghai Head Water Region of Three Rivers Nature Reserve Master Plan”,
“Qinghai Lake Basin Ecological Environment Protection and Comprehensive
Treatment Planning”, and other major ecological projects are all take the black soil
beach management as an important content. Among them, one phase project plan of
black soil land management of the headwater region of three rivers is 5.2 million
mu, but to currently only completed about half. The main reason is that governance
is lake of mature technology, so the plan have not blindly implemented in large
area. But through the implementation of a number of research projects in recent
years, the research of “black soil beach” degraded grassland from reasonable uti-
lization of origin, classification type, appropriate grass seed breeding, recovery
mode research, grassland management after the restoration, etc. have achieved a
major breakthrough. There is an urgent need to bring these new technologies and
new achievements ripening, integration, and demonstration further, to promote the
“black soil beach” degraded grassland in the progress of the project integrated
management.
Further improvement of the relevant technology of the alpine meadow ecosys-
tem should be conducted in the aspect of ecosystem restoration and reconstruction
of degraded grassland, at the same time, of researches that aimed at reconstruction
technology of alpine grassland, alpine shrub, alpine desert, and other taxa by
employing different ways of introduction, integration, and innovation, to establish
suitable modes for different types of alpine ecosystem function recovery and con-
tinuously improving technical support, focusing on research and development or
integrated innovation ecosystem restoration and reconstruction technology of
degraded grassland, land desertification prevention and control technology, com-
prehensive controlling of soil erosion and sustainable technology, techniques of
nonpolluting ecological rodent control, comprehensive remediation technology
integration, demonstration in a typical ecological function degradation area, etc.
With the application and demonstration of ecological animal husbandry pro-
duction technology, it can change the traditional pattern of alpine pastoral livestock
production, implementing economic development, technological progress, envi-
ronmental friendly, the effective unification of herdsmen’s income and living
environment changes, and making useful exploration for the development of
modern animal husbandry. The key promotions are livestock balance technology,
artificial feed processing technology, processing configuration of multiuse matching
feed technology, complete Ration Mixing Technique (TMR), grain seeds steamed
flattening technology, production technology of lamb hybridizing, demonstration
and popularization of animal health breeding technology. The technical level should
take combination of feeding and grazing, planting grass and raising livestock,
annual species and perennial grass, company and farmer, the association and the
market, science and technology department and the department of agriculture and
animal husbandry, ecological engineering and ecological animal husbandry, and
traditional and modern, respectively. Operation pattern is market oriented, starting
from the forage processing, distribution, and cattle fattening, arousing the enthu-
siasm of the company, cooperative, households and governments and industries to
raise funds and attract private capital. Establishing professional cooperatives of

different forms, content, and scale with the principle of “voluntary, private, public
management, and public benefit”, through the forms of “transferring, helping, and
heading” and the contract and others to self-development and actively participate in
market competition. Actively promoting three business modes suitable for the
production of efficient animal husbandry in different regions: grass and livestock is
the mode of “pasture + herdsman” production service derived by state-owned farm;
fattening lamb is “ cooperatives + farmers” lamb industrial production type; live-
stock by buying grass is the mode of the whole village promotion production
particularly in immigration village implemented by purchasing grass. At the same
time, should actively explore the land circulation system and mechanism in agri-
cultural and pastoral areas, pattern of paid use of land; establish the animal hus-
bandry cooperatives and breeding community patterns; construct the system of
organic animal husbandry and operation model; establish linkage scale between
leading enterprises and farmers to achieve intensive, standardized, professional
production of animal husbandry, and leapfrog and low carbon developments in
animal husbandry production. The construction of the service system includes
ecological animal husbandry grass, grass storing, and training of scientific health
breeding technology, and technical services; training of organic livestock farming
technology; construction of information technology service of organic animal
husbandry; and comprehensive technical training of lamb fattening. Promoting
efforts of implement of scientific and technological achievements, improve the
forms of technology service organization such as science and technology corre-
spondent, farmer brokers, information platform of science and technology in project
area, etc.
4 Sustainable Restoration Ecology: A Conceptual

Framework and Application in Vegetation Restoration
Southern China
4.1 Introduction
The critical question in the light of rapid environmental changes facing us to realize
that the theoretical and practical underpinnings of restoration have to be recon-
sidered (Hobbs and Cramer 2008), and the goal of restoration should be
self-sustainability (Parker 1997). Sustainability was deemed as one of the criteria to
judge the success of ecosystem restoration (Ewel 1987). Specifically, ecological
restoration is a series of activities undertaken to return a degraded ecosystem to a
healthy state, and to some form of cover that is protective, productive, aesthetically
pleasing (Hobbs and Norton 1996, Palmer and Filoso 2009).
Restoration ecology and sustainability science have become increasingly
important. However, the traditional theoretical foundation for restoration ecology is
318 Y. Shen et al.
limited in scope and inadequate for meeting the needs of sustainable development.
Thus, here we proposed a conceptual framework—“sustainable restoration ecology
(SRE)”—to simultaneously achieve the goals of both ecological restoration and
sustainable development.
4.2 The Framework of Sustainable Restoration Ecology
This new conceptual framework is based on the integration of a number of related

disciplines across scales and organizational levels. Its core concept is consisted of
restoration ecology and sustainability science; its support disciplines included
conservation biology, landscape ecology, ecological engineering, landscape archi-
tecture, and ecological economics; and its basic science foundation relies primarily
on autecology, population ecology, community ecology, ecosystem ecology, global
change biology, soil ecology, and hydrology (Fig. 15).
4.2.1 The Core Disciplines of SRE
The main point of SRE is the integration of restoration ecology and sustainability
science. Actually, ecological sustainability is a dominant paradigm in restoration
ecology. Variously defined, sustainability implies species, community, and
ecosystem persistence over time, and they are often used as implicit or explicit
restoration goals (Millar and Brubaker 2006). Besides, SRE emphasized the
Fig. 15 The framework of

sustainable restoration
ecology
sustainable development of ecology, society, and economy. Ecological restoration

that satisfied socioeconomic principles can be sustainable and have ecological
resilience to confront various disturbance in the future.
4.2.2 The Supportive Disciplines of SRE
Among several support disciplines, integrating the principles of “conservation

biology”, we try to emphasize that balance the protection and application of
ecosystems. Hierarchical patch dynamics in “landscape ecology” is needed because
of that SRE is based on multihierarchical spatiotemporal scales, and restoration
efforts can only be well documented after long series of data have been amassed
(Fuhlendorf and Smeins 1997, Ehrenfeld 2000). In addition, the artistic element of
restoration, and the important role played by social values have been emphasized
(Davis and Slobodkin 2004). So the concepts and technology of “landscape
architecture” were added to SRE to plan the landscape after ecological restoration.
Specific to the restoration practice, much attention should be paid on “ecological
engineering”, especially in pre- or post-restoration monitoring of some projects
(Ewel et al. 2001). However, to make the case for ecological restoration, we must
analyze in economic terms the ecological benefits that will obtain, and also the full
costs if we fail to intervene. “Ecological economics” can help us to quantify the full
value of restoration, and thus bridge the gap between restoration costs and restored
value (Holl and Howarth 2000).
4.2.3 The Basic Disciplines of SRE
Various interactions of ecological basic disciplines are essential to SRE, and its
basic science foundation relies primarily on autecology, population ecology,
community ecology, ecosystem ecology, global change biology, soil ecology, and
hydrology.
4.3 The Application of Sustainable Restoration Ecology
4.3.1 The Application Foundation of SRE
SRE integrated the change in future and practice of ecological restoration, and make
it possible to restore ecosystem aimed at sustainable in the future. First, SRE tried to
solve the problems of restoration ecology and ecological restoration; second, SRE
achieved the sustainable development under the pressure of degraded ecosystem
and increased human demand, and the ultimate success of sustainable development
is likely to be tied with the ecological, economic and social sustainability. The
application success of SRE in practice is not only about the science of ecology but it
320 Y. Shen et al.
Sustainable restoration in hilly red soil region in Southern China
Degradation degree
Landscape Ecology
Ecological Economic
Evaluation Region characteristics
Input cost
Natural Anthropogenic Anthropogenic

restoration advance construction
Conservation Biology Ecological Engineering Landscape architecture

Community Ecology Ecosystem Ecology Ecological Economic
Natural community Functional community Ecological agriculture
Fig. 16 The main paths of sustainable ecological restoration in hilly red soil region of southern
China
also includes societal decisions on appropriate end points for restoration, economics
of restoration, policy, education, and other social and philosophical issues (Davis
and Slobodkin 2004). It is sustainable to connect the ecosystem health and social
benefits together.
4.3.2 The Application in Vegetation Restoration of Hilly Red Soil

Region in Southern China
Hilly red soil region in Southern China is one of the most productive regions in
China. However, the biodiversity decreased for natural disturbance and anthro-
pogenic unreasonable utilization, and it changed to ecological fragile region (Wang
et al. 2010). The concept of SRE can be used in the construction of ecological
restoration as Fig. 16.
4.3.3 The Application Restoration of Forest–Fruit–Grass–Fish

Complex Ecosystem in Heshan, Guangdong, China
The forest–fruit–grass–fish ecosystem in hilly region, Heshan, Guangdong, was

changed from degraded hilly region in 1986 (Qi et al. 2007). This is a successful
case of ecological restoration by integrating several compositive principles.
4.4 Conclusion
We proposed a conceptual framework—“sustainable restoration ecology (SRE)”—

to simultaneously achieve the goals of both ecological restoration and sustainable
development. This new conceptual framework was based on the integration of a
number of related disciplines across scales and organizational levels. Besides, the
application in vegetation restoration of hilly red soil region in Southern China, and
in the development of forest–fruit–grass–fish ecosystem in hilly region, Heshan
were addressed. The framework is helpful to the theory and application develop-
ment of restoration ecology.
5 Advancement of Karst Ecosystem in Southwest China
5.1 Introduction
As a key component of the earth surface system, the karst ecosystem has three key
characteristics: (i) Karst is widely distributed. Worldwide, carbonate rocks cover
12.34–21.09 million km2, representing 9.3–15.9 % of the Earth’s total land area
(Wang et al. 1999; Cao et al. 2012). China is home to large areas of karst, totaling
3.34 million km2 (including exposed, covered and buried karst), accounting for a
third of the country’s land area (Li and Duo 1983; Li 1985). The karst area in
southwest China, with Guizhou as the center, has an area of 540,000 km2 and is one
of the three largest areas globally, in which karst is concentrated (i.e., the
Mediterranean in Europe, eastern US, and southwest China) (Ford and Paul 2008).
(ii) There is a close relationship between karst processes and global change.
Carbonate rock dissolution consumes large amounts of atmospheric/soil CO2 and
results in carbon sequestration. Existing research data indicate that the carbon flux
due to carbonate rock dissolution and consumption of atmospheric/soil CO2 is 0.1–
0.6 PgC/a worldwide, or 1/3–1/4 of the “missing carbon sink”. At the same time,
when carbonate deposits in caves, the climatic and environmental change infor-
mation that it carried is stored in the deposits (stalagmites). (iii) Karst areas are
obviously fragile eco-environments. Limited soil resources: the karst areas of
southwest China feature old, hard carbonate rocks which contain small amounts of
acid-insoluble material, thus these areas have limited soil resources. Double-layer
karst aquifer: as carbonate rocks dissolve, a karst hydrogeological structure with
both surface and underground layers is formed, and underground river systems are
develop which focus underground water resources in karst areas. Harsh habitats for
vegetation: karst areas are characterized by a high percentage of exposed rocks,
discontinuous soil cover, thin soil, alkaline and Ca-rich soils, and harsh habitats for
vegetation.
322 Y. Shen et al.
Within this context, karst ecosystems can not only contribute to studies of global
climate change, but provide support for socioeconomic development and poverty
alleviation efforts in karst areas.
5.2 Karst Ecosystem: Definition, Structure, and Function
The karst ecosystem was first proposed by Yuan (2001): The karst ecosystem can
be explained as the ecosystem that is constrained by the karst environment
(Fig. 17). The karst ecosystem is composed of two parts: the inorganic environment
and living systems. The inorganic environment generally has two significant
characteristics: (i) The dissoluble rocks contain large quantities of Ca and Mg, are
alkaline and have poor soils; and (ii) The existence of underground voids makes it
possible to create a double-layer structure for water and air, forming a unique karst
hydroecological system. The living system has two primary components: (i) karst
vegetation featuring xerophytes, chomophytes, and calciphilous vegetation; and
(ii) underground biological communities living in dark, moist conditions with rel-
atively constant temperature.
Fig. 17 The structure, driving forces, and function of a karst ecosystem (Yuan 2001)
The functions of the karst ecosystem include the karst dynamic system
(KDS) function and the Genetic Code Transfer System (GCTS) function. The KDS
function is to drive karst formation and development; to contribute to the regulation
of greenhouse gases in the atmosphere and mitigation of environmental acidification;
to drive the migration of certain elements, and thereby influence the development of
life and species selection in karst areas; and to record the processes of environmental
change. These functions can be used to study global (climate) change, as well as
geological engineering for the rehabilitation of karst rocky desertification.
The GCTS function is to transfer various environmental factors in karst areas,
such as Ca richness, shortage of soil and water, double-layer structure, and dark,
humid conditions with relatively constant temperature, into living organisms, for
speciation or modification of organism habits, to help form a unifying community
of producers, consumers, and decomposers in karst areas. This function provides a
possible way for human beings to approach and realize sustainable development in
karst areas using genetic engineering.
The KDS impacts the abiotic aspect, couples with impact of the GCTS on the
biotic aspect of the operation of the karst ecosystem.
KDS involves the transfer of energy and matter within the carbon, water, and
calcium (and other nutrient elements) cycles. It occurs at the interfaces of the
lithosphere, hydrosphere, atmosphere, and biosphere, but is subject to the control of
already formed karst features.
GCTS involves the transfer of genetic information from DNA through RNA to
protein according to the Central Dogma of genetics. It constrains the formation and
evolution of special producer, consumer, and decomposer communities in both the
aboveground environment that has no soil, lacks water and is Ca-rich, and the
underground environment that is dark, moist and at a relatively constant
temperature.
5.3 Composition of Karst Ecosystem in Southwest China
According to Ma (1991), founder of Ecological Society of China, ecology is

defined as the science that studies the patterns and mechanisms of the relationship
between the biological system and the environmental system. An ecosystem refers
to a natural system that consists of a biological community and its surrounding
geographical environment. It is made up of four parts: inorganic environment,
producers, consumers, and decomposers.
5.3.1 Inorganic Environment of the Karst Ecosystem in Southwest

China
(i) Ca-rich and alkaline. The calcium richness of the karst ecosystem originates
from the carbonate rocks which contain large quantities of calcium, and it is
324 Y. Shen et al.
2.1 limestone soil 7.5

Soil Ca2+ content (%)
1.8 red soil
7.0
Soil pH value
1.5
6.5
1.2
6.0
0.9 limestone soil
5.5
red soil
0.6 5.0
0.3 4.5
0.0 4.0
0 1 2 3 4 5 6 7 8 9 10 11 12 0 1 2 3 4 5 6 7 8 9 10 11 12
plant species plant species
Fig. 18 Soil pH and calcium content in plants’ rhizosphere at Maocun Karst Ecological Station,
Guilin, China. 1 Pinus massoniana 2 Vitex negundo 3 Loropetalum chinense 4 Fractus rosae 5
Liquidamba formosana 6 Cinnamonum camphora 7 Agrimonia pilosa 8 Dendran thema 9 Senecio
scandens 10 Opsmanthus fragrans 11 Rhus chinensis
evident in the hydrosphere, atmosphere, and biosphere. The airborne dust

(particles) in karst areas is often calcareous, so the rainwater is rich in calcium.
For instance, rainwater in Guangxi and Guizhou karst areas contains 2.9–
6 mg/l calcium, while that in those non-karst areas often contains less than
1 mg/l (Yuan and Cai 1988; Jiang et al. 1996; Jiang and Lu 1991). Karst
underground water contains up to 50–120 mg/l bicarbonate, often decreasing
with increase in latitude (Yuan 1990). The pH of limestone soil is 2.16 units
greater than that of red soil, while the average calcium content in limestone
soil is 3.6 times that of acid soil (Lu et al. 2006).
(ii) Large underground voids. There are numerous caves in the karst regions of
China. The existing data show more than 500,000 caves can be found in bare
karst areas in China, with a density of 0.8 caves per km2. Among them, over
1000 caves have a measured length of over 500 m, approximately 150 caves
have measured length exceeding 3000 m, and about 400 caves have been
exploited as show caves (Chen et al. 2005). In karst areas, permeability ranges
from 0.3 to 0.6, and some times up to 0.8. A total of 2836 subterranean
streams have been identified in karst mountain areas which are continuously
distributed in southwest China, with a total flow of 1482 m3/s, and a total
length of 13,919 km, which is equivalent to the Yellow River. They are the
dominant medium for movement of water and storage of water resources
(Fig. 18 and Table 22)
5.3.2 Producers in the Karst Ecosystem of Southwest China: Regional

Karst Vegetation
Karst vegetation is regional vegetation rather than a zonal one (Li et al. 2003). Its
presence is mainly subject to the impact of regional geological conditions, rather
than the constraints of climate. This is particularly true in tropical and subtropical
Table 22 Distribution of karst underground water resources in southwest China

Province/Autonomous Carbonate rock outcrops Karst underground water
region resources
Area Percentage Volume Percentage
(×104 km2) (%) (×108 m3/a) (%)
Guizhou 11.61 61.2 177.77 83.1
Guangxi 8.21 34.8 514.8 66
Hunan 6.36 30.1 263.4 57
Yunnan 10.83 30.0 325.15 43.2
Hubei 5.18 27.9 186.8 44.8
Sichuan 10.04 17.8 293.63 41.4
Guangdong 1.03 5.8 5.19 6.5
areas, where the karst environment has vegetation that is not zonal, but rather
represents local climate.
Karst vegetation features calciphilous vegetation, chomophytes, and xerophytes.
Due to shallow soil layers and high rates of bare rock, plants in karst areas have a
more direct relationship with the nutrient elements of the underlying rocks. Also,
due to rugged nature of karst landforms, the nutrients and water necessary for the
growth of plants exhibit significant spatial differences. Different karst geochemical
contexts result in the differences of local niches, and thus exert influence on the
characteristics of communities.
The biodiversity of karst forest ecosystem in Maolan is much richer than that in
other non-karst areas of Guizhou. Niche diversity is a major factor in biodiversity.
Maolan’s karst forest contains various types of plants, ranging from xerophyte to
hygrophyte, from heliophile to shade-tolerant plants, from barren-resistant trees to
fertilizer-absorbing trees, and from the widely distributed plants to narrowly dis-
tributed calciphilous plants, which occupy niches that fit their characteristics (Zhu
and He 1993; Zhu et al. 1995).
In the 4000 m2 Maolan forest area, there are a total of 344 recorded species of
vascular plants which belong to 180 genera of 84 families. Plant species and genera
compositions vary significantly under different karst geochemical contexts, even at
higher taxonomic units like family (Hou and Jiang 2006).
The regional characteristics of karst vegetation are also demonstrated by large
numbers of endemic genera and species that can only grow in karst areas. For
instance, in Guangxi, China, 16 out of 38 currently known genera of Gesneriaceae
are endemic to karst areas; and 91 out of 166 species of Gesneriaceae uniquely
grow on karst substrates (Wei et al. 2004a, b).
The difficulty of restoring the vegetation in karst mountain areas is evidenced by
the distribution status and characteristics of existing vegetation in Guangxi. In the
1960s–1980s, the forests in Guangxi suffered from several periods of large-scaled
deforestation. Since the mid to late 1980s, hillsides in karst mountain areas have
been closed to facilitate afforestation. So far, great changes have taken place in
these areas of Guangxi. The coverage, on an average, of arbor, bush, and grass of
326 Y. Shen et al.
Guangxi is 21.18, 8.63, and 2.10 %, respectively. If karst county is defined as the
county with the ratio of carbonate rock exposure over 30 %, the average coverage
rate of bush in karst counties reaches 14.81 %, and the average coverage rate of
arber is 12.13 %; while the average coverage rate of bush in non-karst counties is
only 1.92 %, however, the coverage rate of arber averages 31.32 %. There is a good
corresponding relationship between the spatial distribution of arber/bush and dis-
tribution of carbonate rocks: the coverage rate of bush is positively correlated with
carbonate rock exposure ratios (r = 0.69), while a negative correlation exists
between coverage rate of arbor and carbonate rock ratios (r = −0.75) (Table 23).
5.3.3 Consumers in the Karst Ecosystem in Southwest China:

White-Headed Langur (Presbytis Luecocephalus Tan), a Rare
and Endangered Animal
The white-headed langur is only found in karst fengcong areas of southwest

Guangxi, China. The selection of habitats is generally a result of animals’ long-term
adaptation to their living environment. As an animal under the first-class state
protection in China, white-headed langur is only found in some of the karst
mountain areas within four counties in southern Guangxi, with a population of
about 1000, covering a total habitat area of 200 km2.
At night, white-headed langurs stay in high-altitude karst caves in rocky karst
mountains. Most feed on the leaves of calciphilous plants endemic to karst areas.
According to a survey of vegetation in the white-headed langurs’ habitat, the rocky
mountains feature northern tropical evergreen seasonal rain forest, including 15
families of tropical vegetation and 11 families of subtropical vegetation, of which
170 species are calciphilous plants endemic to karst areas (Huang et al. 2000).
Each year, white-headed langurs’ average habitat utilization rates are: 66.45 %
(foot), 21.15 % (hillside) and 12.78 % (mountain top). The dense vegetation at the
foot of mountains provides hiding places, shade, and different types of food. The
hillside is used for movement and rest. On mountain tops, the langurs can bathe in
the sun’s rays during winter, taking advantage of the bare rock on the mountain tops
to maximize exposure to the sun.
5.3.4 Decomposers in the Karst Ecosystem in Southwest China: Active

Soil Microorganisms
The number and activity of soil microorganisms are subject to the impact of various
factors, including different types of vegetation structure, vegetation growth and
development status, litter quantity, soil surface cover extent, and differences in soil
temperature and humidity. Meanwhile, different geological conditions also have
significant impact on soil microorganism communities.
Using traditional analytic techniques to detect the type and quantity of
microorganisms in 0–20 cm soils in woodland, bushes, and grass within karst areas
11
Table 23 Importance value (IV) of the main families of trees and shrubs in regions with different lithologies, Maolan, Guizhou, China
Pure limestone areas Pure dolomite areas Impure carbonate rocky areas
Tree layer Shrub layer Tree layer Shrub layer Tree layer Shrub layer
Family Importance Family Importance Family Importance Family Importance Family Importance Family Importance
value value value value value value
Aceraceae 29.02 Poaceae 72.00 Corylaceae 39.21 Poaceae 93.93 Anacardiaceae 40.59 Poaceae 145.62
Ecological Restoration in the Typical Areas
Lauraceae 28.24 Rosaceae 49.32 Fagaceae 29.80 Myrsinaceae 55.25 Fagaceae 34.06 Rosaceae 31.46
Juglandaceae 25.49 Berberidaceae 37.14 Aceraceae 21.68 Pittosporaceae 15.36 Lauraceae 28.95 Berberidaceae 28.15
Ulmaceae 21.45 Fagaceae 10.82 Cornaceae 21.03 Proteaceae 14.21 Juglandaceae 24.38 Smilacaceae 22.56
Fagaceae 21.12 Myrsinaceae 10.77 Ebenaceae 19.78 Palmae 14.17 Rutaceae 23.26 Caesalpiniaceae 17.96
Total 125.32 180.05 131.50 192.92 151.24 245.75
327
328 Y. Shen et al.
(limestone and dolomite) and clastic rock areas (sandstone and shale) in Maocun,
Guilin, the data show that: the average quantities of soil microorganism in wood-
land, bushes, and grass in karst areas are calculated to be 39.21 × 106, 31.70 × 106,
and 8.50 × 106 , respectively; while those in non-karst areas are calculated to be
2.34 × 106,1.35 × 106 and 6.04 × 106 , respectively.
Due to the differences in the quantity of soil microorganisms in karst versus
non-karst areas, indoor simulation experiments were employed to study the
degradation of corn stalks with the same source, by soil microorganism in karst
(limestone soil) and non-karst areas(red soil).
The results indicated that the peak degradation rate in karst was found at the 28th
day, while the 42nd day for non-karst, about 15 days later. The percentage of the
degradated corn stalks was to be 77 % in karst and 75 % in non-karst. These imply
the corn stalks decomposed more easy and faster.
When the corn stalks were added into soils, the number of microorganism began
to increase sharply, During the whole process of degradation, the number of soil
microorganism in limestone soil was greater than that in red soil: the number of soil
microorganism in red soil averaged 104.8 × 104/g of dry soil, compared with
220.3 × 104/g of dry soil in limestone soil. Of the three types of microorganism
detected, bacteria comprised the largest share, followed by Actinomycete and fungi.
In red soil, the microorganism composition was 36.0–86.3 % bacteria, 3.2–29.9 %
fungi, and 6.3–60.2 % Actinomycete. In limestone soil, the microorganism com-
position was 16.6–93.2 % bacteria, 0.3–2.6 % fungi, and 6.3–78.1 % Actinomycete.
Corn stalks were found to have different roles in promoting the growth of different
microorganisms: bacteria and fungi were more sensitive, and their numbers began
to increase on the third day, while the number of Actinomycete only started to
increase after the 15th day (Fig. 19).
5.4 Material Cycles in the Karst Ecosystem in Southwest

China
5.4.1 The Carbonate Rocks Dissolution/Weathering Is Actively

Involved in the Global Carbon Cycle
Carbonate rocks are the largest carbon pool in the earth system Carbonate pro-
vides the material basis for the KDS. According to existing data, the formation of
carbonate rocks is closely related to the evolution of atmospheric CO2. In terms of
geologic history, carbonate rocks are relatively young, mainly dating from the
Phanerozoic. Over geologic time scales the geobiological forces of the processes of
silicate rock weathering and carbonate rock formation, produced a huge reduction
in atmospheric CO2. Prior to carbonate formation, the earth’s atmospheric CO2
concentration was above 25 %. In contrast, the modern atmospheric CO2 concen-
tration is only 0.03–0.04 %, while 61 × 1015 tons of carbon are stored in carbonate
Fig. 19 The degradation rates of corn stalks in red soil and limestone soil, and the changes of the
number of bacteria, fungi, and Actinomycete at different degradation phases of corn stalks
rocks—the largest carbon reservoir in the modern earth (accounting for 99.55 % of
total global carbon).
The modern dissolution of carbonate rocks is actively involved in the global
carbon cycle In studies on the carbon sequestration process and the effects gener-
ated by terrestrial weathering, it was found that carbonate rock distribution areas,
which represent about 10 % of total land area, play a bigger role in carbon
sequestration. Gaillardet et al. (1999) estimated the atmospheric CO2 flux consumed
by global rock weathering was 0.288 PgC/a, among which 0.148 PgC/a was con-
sumed by karstification, accounting for 51.4 %. Similarly, Munhoven (2002) esti-
mated the atmospheric CO2 flux consumed by global rock weathering as 0.221
PgC/a, among which 0.088 PgC/a was consumed by karstification, or 37 %.
According to existing estimates, the atmospheric/soil CO2 flux dissolved and
consumed by carbonate rocks dissolution worldwide is 0.1–0.6 PgC/a. If the
median value of 0.3 PgC/a is taken, the carbon flux accounts for 17.65 % of total
carbon sink fluxes of terrestrial forest, and 37.5 % of the potential for soil carbon
sequestration globally. The atmospheric/soil CO2 flux dissolved and consumed by
carbonate rocks in China was estimated to be 0.016 PgC/a, which was equivalent to
21.3 %, 66.7–114.3 %, 2.3 times and 22.9–40 % of forest, bush, grass, and soil
carbon sink fluxes, respectively (Cao et al. 2012).
Monitoring data providing evidence for the karst carbon sink effect Comparison
of soil carbon transfer in karst and casolite areas with monitoring in Maocun karst
subterranean river basins, Guilin, China (Cao et al. 2011a), showed that: (i) The rate
of CO2 emission from limestone soil respiration in the karst area (ranging from 23.12
to 271.26 mgC/m2 h) is significantly lower than that from red soil respiration in the
clasolite area (ranging from 51.60 to 326.28 mgC/m2 h). The average annual CO2
emitted by limestone soil respiration in the karst area was 25.12 % less than that by
330 Y. Shen et al.
(a) (b) 0 2009.05

0 2009.08
2008.02 2007.11 2009.07 2009.04
Depth of soil layer/cm

2008.01 2007.10 -20

2007.12 2007.09
2009.06 2009.03
-20
-40
-40
-60
-60
-80 -80
-100 -100
0.0 0.2 0.4 0.6 0.8 1.0 1.2 0.0 0.2 0.4 0.6 0.8 1.0 1.2
Soil CO2 content /% Soil CO2 content /%
Fig. 20 Dynamic changes in the CO2 concentration in limestone soil profiles in the karst area.
a September to February, b March to August
red soil respiration in the clasolite area; (ii) The CO2 concentration at the limestone
soil profile in the karst area exhibited a bidirectional gradient, and this phenomenon
became more obvious during the seasons with good hydrothermal conditions. In
contrast, the CO2 concentration at the red soil profile in the clasolite areas had a
unidirectional gradient, in which the soil CO2 concentration increases with the depth
of the red soil layer. In terms of mean values of CO2 concentration in soil profiles,
the CO2 concentration in limestone soil ranged between 0.05 and 0.60 %, with an
average annual value of 0.25 %; while that in red soil varied between 0.05 and
1.09 %, with an average annual value of 0.57 %. This indicates that the soil CO2 in
the lower part of the profile could be consumed and absorbed by the carbonate rock
dissolution at the soil/rock interface in karst areas. In other words, the karst process
in soil is a process of carbon sequestration (Figs. 20 and 21).
5.4.2 The Water Use Strategy of Karst Vegetation Following

the Special Properties of the Water-Bearing Media in Karst Area
Carbonate rocks are dissolvable rocks. The long-term karst process forms a
double-layer (i.e., surface and underground) karst hydrogeological structure, and
(a) 0 (b) 0 2008.08 2008.05

2008.02 2007.11 2008.07 2008.04
-20 2008.01 2007.10 -20 2008.06 2008.03

2009.12 2007.09
-40 -40
-60 -60
-80 -80
-100 -100
0.0 0.5 1.0 1.5 2.0 0.0 0.5 1.0 1.5 2.0
Soil CO2 content /% Soil CO2 content /%
Fig. 21 Dynamic changes in the CO2 concentration in red soil profiles in the clasolite area.
a September to February, b March to August
water resources are mainly stored in underground. Karst water-bearing media

contain conduits, fissures, and pores. They are dominated by underground conduits,
whose formation and development is closely associated with the long-term and
frequent hydrodynamic processes near the underground water level. As a result, the
underground water in karst is often deep, and available groundwater resources are
very limited, which may bring some difficulty to the growth and development of
surface vegetation, particularly in the dry season.
Liang and Wang (1998) categorized 18 drainage basins with different rocks into
five types by cluster analysis, and then studies the relationship between these five
drainage types and their hydrological effects in karst areas of Guizhou. The results
were shown that the percentage of limestone was negative correlation with the
module of low runoff; while there was a positive relationship between the per-
centage of dolomite and the module of low runoff, with a confidence level of 0.95,
suggesting a statistically significant correlation. That is to say, in a subterranean
river system, the higher the percentage of limestone, the smaller the low runoff
module; while the higher the percentage of dolomite, the larger the low runoff
module. No statistically significant correlation was found between the module of
flood peak and percentage of lithology in a river basin (Table 24).
To adapt to the harsh and special karst hydrological conditions, karst vegetation
often increases underground biomass to enhance the capacity of plants in absorbing
and retaining water and using underground water. Luo et al. (2010) conducted a
survey and analysis on the field plot of root biomass for karst vegetation in Maolan
Nature Reserve (subtropical zone), Guizhou. The results indicated that: the
aboveground biomass in the karst area was smaller than that in non-karst forest
areas at the same latitude, and was only equivalent to that in non-karst temperate
forest areas. However, the underground biomass in the karst area was larger than
that in non-karst forest areas at the same latitude and that in non-karst both tropical
and temperate forest areas. The underground biomass in the karst area reached
Table 24 River basins’ lithology and their hydrological characteristics

Rock Lithological composition (average) Average low Average flood
type runoff value runoff value
Limestone Dolomite Tuff Sandstone 10d
M 10d
M m
M maxin
M maxd
M
10d
Cv 10d
Cv m
Cv maxin
Cv maxd
Cv
(%) (%) slate (%)
(%)
I 72.65 15.22 0.24 11.87 1:87 2:21 2:59 462 313
0:39 0:33 0:33 0:37 0:36
II 17.38 68.41 5.79 9.77 4:15 4:61 5:51 630 323
0:27 0:24 0:34 0:47 0:40
III 34.32 41.40 11.61 12.84 3:16 4:14 4:92 807 391
0:26 0:24 0:25 0:49 0:36
IV 50.96 0.00 0.00 49.04 2:83 3:28 4:21 312 191
0:16 0:10 0:24 0:42 0:40
V 2.83 0.00 94.83 2.83 2:63 3:04 3:47 781 431
0:24 0:24 0:24 0:72 0:66
Md, M10−d, Mm modules of the minimum low runoff in a day, 10 days and a month in a year, in
l s/km2; Mmax−in, and Mmax−d: maximum instant and daily flood runoff modules in a year; Cvd,
Cv10-d, Cvm, Cvmax−in, Cvmax−d: variation coefficient of annual low and flood runoffs
332 Y. Shen et al.
Table 25 Comparison of the drought resistance of Cyclobalanopsis glauca under different

geomorphological conditions
Average Average Average Water Water Proline Peroxidase
leaf leaf leaf content potential (μg/g (△A470/
width length thickness (%) (bar) fresh min g)
(cm) (cm) (mm) weight)
Hillside 2.74 9.42 2.67 45.50 −9.70 140 0.88
top 1.57 5.17 3.73 31.9 −17.30 150 1.15
57.49–58.15 mg/hm2, almost twice as much as that figure in non-karst tropical and
temperate forest areas.
Meanwhile, karst plants reduce water transpiration and enhance water use effi-
ciency to adapt to water stress by reducing leaf area, thickening cuticula and
reducing stomatal number. In Jidanbao Hill, Nongla Village, Mashan County,
Guangxi, China, Oriental white oaks (Cyclobalanopsis glauca (Thunb.) Oerst.)
grow both at the top and side of the Hill. Although their altitude difference is only
dozens of meters, their conditions in terms of solar radiation, air temperature, water,
or humidity are distinctly different. Due to harsh conditions at the top the hill, the
epidermal structures (i.e., cuticle, epidermal hair, epidermal cell, and stoma) of the
leaf of Oriental white oaks growing there tend to be xeric (Deng et al. 2004)
(Table 25).
5.4.3 Calcium Transfer Constrains the Geochemical Behaviors

of Various Elements in the Karst Ecosystem
As the most distinct element in the karst ecosystem, calcium is a necessary nutrient
element for plants’ growing and a base cation in soil. Plants can be divided into
calciphilous and calcifuge types, depending on their utilization strategy response to
calcium in soil. Tyler and Ström (1995) used the seeds of 10 species of typical
calciphilous plants and 10 species of typical calcifuge plants under dark conditions
with a constant temperature of 20 °C and constant humidity to conduct germination
tests. The results revealed that in the process of seed germination, the amount of
small molecular organic acid produced by the seeds of calciphilous plants per unit
weight was 3–4 times as much as that produced by the seeds of calcifuge plants.
The amount of tribasic carboxylic acid and dicarboxylic acid of the former was
twice and 3–4 times of the latter, respectively, however, the amount of the
monocarboxylic acid of former was only a third of that of the latter. In the
meanwhile, the biomass of evergreen–deciduous broad-leaved forest communities
in subtropical karst areas was only equivalent to that of zonal coniferous forest
communities in temperate areas. Insufficient intake of trace elements was consid-
ered to be one of the major obstacles affecting the growth and development of
plants in karst areas. It was believed that when the pH approaches neutral, calcium
will exhibit a stronger capacity to complete organic ligand, compared with other
cations, thus affecting the activation of other metal ions and restricting the
absorption of nutrient elements by plants.
Comparative study between limestone soil and red soil was conducted at karst
ecological experimental site in Maocun Village, Guilin, Guangxi. The geochemical
behaviors of Ca, Mg, Fe, Mn, Cu, Zn, Mo, B, Co, and P were analyzed. The results
indicated that: (i) the total content of all the nutrient elements except B in limestone
soil was larger than that in red soil. Specifically, the contents of Ca, Mg, and Zn in
limestone soil were 3.68, 4.64, and 3.96 times as much as those in red soil; the
figures for Mn, Cu, Co, and Fe were 1.68, 1.64, 1.39, and 1.25 times. However, the
contents of P and Mo in limestone soil were only slightly higher than that in red
soil, while the content of B in limestone soil is lower than that in red soil. (ii) The
contents of available nutrient elements, except Ca, Mg and Cu, in limestone soil,
were lower than those in red soil. Specifically, the contents of available Mn and Zn
in limestone soil were 60 % of those in red soil; while the figures for Fe, P, and Mo
were 30–40 %; and the figure for B was only 10 %. It suggests the nutrient elements
in limestone soils are strongly impacted by karst geochemical environment with
Ca-rich and alkaline (Fig. 22).
The calcium in the leaves of calciphilous plants is mainly calcium pectinate,
which is found in cell walls (Cao et al. 2011b). The Banzhai karst subterranean river
basin and the non-karst basin (sandstone and shale areas) within Maolan Nature
Reserve were selected as sites for a comparative study. Thirteen plant species each
in karst and non-karst areas were collected, including six species each endemic to
karst and non-karst areas, to analyze the total content, form, and distribution parts
(subcell components) of calcium in leaves. The results showed that: (i) The calcium
content of plant leaves in karst area was 58.45 % more than that in non-karst area;
(ii) Calcium in the leaves of calciphilous plants in karst area is mainly calcium
pectinate, which accounts for 27.91–32.82 % of the total calcium content; while
calcium in the leaves of calcifuge plants in non-karst areas is mainly calcium
oxalate, which represents 33.69–34.34 %; (iii) Calcium in the leaves of calciphilous
plants in karst area mainly occurs in cell walls, accounting for 59.05–66.54 % of the
total calcium content; while calcium in the leaves of calcifuge plants in non-karst
Fig. 22 Average ratios of total content and available content of soil nutrients with a confidence
level of 95 % (limestone soil versus red soil)
334 Y. Shen et al.
Table 26 Average content and percentage (by subcell component) of calcium in plant leaves
growing in karst area and non-karst area
Group Cytoderm Cytoplasm Organelle Total content
mg/kg (%) mg/kg (%) mg/kg (%) mg/kg
Karst area Mature 744.02 (60.29) 339.72 (27.53) 150.2 (12.17) 1233.94
leaves
Immature 566.16 (47.99) 432.63 (36.67) 181.02 (15.34) 1179.81
leaves
Average 687.86 (56.53) 369.06 (30.33) 159.93 (13.14) 1216.85
Non-karst Mature 284.56 (36.52) 340.53 (36.67) 154.09 (15.34) 779.18
area leaves
Immature 285.14 (38.34) 325.56 (43.77) 132.97 (17.88) 743.67
leaves
Average 284.74 (37.08) 335.8 (43.73) 147.42 (19.20) 767.96
areas mainly occurs in Cytoplasm, accounting for 36.67–43.77 % of the total

calcium content (Table 26).
5.5 Discussions
Over the last 15 years, karst ecosystem study has gradually become an interdisci-
plinary area between karst geology and ecology. Great progress has been made in
this field. In particular, the findings of “Research on Karst Ecosystems in Southwest
China”, a key S&T project during the period of 2001–2005 under the Ministry of
Land and Resources of the People’s Republic of China, played an important role in
providing S&T support for the state to prepare the Guideline of Planning the
Comprehensive Control of Rocky Desertification in Karst Areas in China (2006–
2015). However, many areas still need to be addressed, such as the national eco-
logical program on comprehensive control of rocky desertification in karst areas,
and policy options to addressing global climate change in karst areas. Additionally,
Karst ecosystem theory needs to be improved.
5.5.1 Karst Ecosystem in Southwest China that Needs to be Improved
Karst ecosystem is defined as an ecosystem that is restrained by karst environment,

consisting of inorganic environment and living systems. Although we have had a
good understanding about inorganic environment of karst ecosystem, comprehen-
sive review and further study on living systems of karst ecosystem still need to be
conducted, particularly on the study of consumers and decomposers in surface karst
ecosystem, as well as underground karst cave ecosystem. Therefore, ecologists and
geologists in China should work closely to make fully efforts, conduct dynamic
monitoring and research on different types of karst ecosystem in China on a
long-term basis, understand the operational patterns of karst ecosystem, and grad-
ually well understand karst ecosystem in southwest China.
5.5.2 Vulnerability of Karst Ecosystem and Comprehensive Control

of Karst Rocky Desertification
Among the factors that influence the formation and evolution of an ecosystem,
climatic and hydrological factors serve as the slow and long-term driving forces
shaping the ecosystem, while geological and geomorphological factors provide the
material basis for the existence and development of the ecosystem. As the karst
ecosystem is obviously constrained by geological conditions. Therefore, the
Chinese national program to comprehensively control rocky desertification is
confronted with the following three major challenges, due to the vulnerability of the
karst ecosystem.
Water: comprehensive exploitation and utilization of surface and underground
water with karst river basins. The accurate assessment and effective management of
surface and underground water resources depend on understanding the water cycle
pattern in the karst ecosystem, particularly the impact of plants’ water consumption
in the water cycle of karst river basins.
Soil: conservation soil resources, minimization of soil loss, and improvement of
land productivity. It is important to select the appropriate plants for water and soil
conservation and species of plants that can help promote dissolution of carbonate
rocks and increase the rate of soil formation.
Plants: Studies on species selection and elements biogeochemical cycles are one
of the fundamental approaches to promote ecological and economic development in
karst areas affected by rocky desertification. The Ca-rich and alkaline biogeo-
chemical conditions constrain the transfer of other biological elements, and con-
tribute to the formation of a large group of plants that can adapt to karst ecological
conditions and have economic value. For instance, the Chinese honeysuckle
(Lonicera japonica Thunb), a medicinal plant with economic importance, has many
ecological and physiological characters that can adapt to the karst ecological
environment. Research findings show that genuine Chinese honeysuckle contains
high levels of Ca, Sr, and Fe, but low levels of Cr and Pb, and the levels of Ca, , and
Fe in limestone soil in karst areas are higher than those in red soil and brown soil in
non-karst areas at the same latitude.
5.5.3 Material Cycle and Karst Carbon Sink Effect in Karst

Ecosystem
The “missing” carbon sink has long been recognized as an important component of
global carbon cycle studies, and the search for “missing” carbon sink has become a
frontier scientific point. According to recent studies, carbonate rocks can act as an
important carbon sink by dissolving and consuming large quantities of
336 Y. Shen et al.
atmospheric/soil CO2: (i) the distribution area of carbonate rocks worldwide ranged
from 12.34 to 21.09 × 106 km2, accounting for 9.3–15.9 % of the total continent’s
area. Carbonate rocks dissolve and absorb atmospheric/soil CO2 to generate dis-
solved inorganic carbon (DIC) in water bodies, serving as the major carrier of
transporting DIC from terrestrial water bodies to the sea; (ii) At a short time scale
(from several hundred to thousand years), the carbon sink flux of atmospheric/soil
CO2 dissolved and consumed by carbonate rocks varied between 0.1 and 0.6 PgC/a.
When a median value of 0.3 PgC/a was used, it was equivalent to 17.65 % of
carbon sink flux of terrestrial forests and 37.5 % of the potential for soil carbon
sequestration; (iii) Karst water with high concentration of HCO3− can stimulate
photosynthesis of aquatic plants (e.g., algae), transforming DIC into dissolved
organic carbon (DOC) and particulate organic carbon (POC). Some of the organic
carbon deposits in terrestrial water bodies (rivers and lakes), while the remaining is
transported to the sea. This finding will significantly increase the potential of carbon
sequestration dissolved by carbonate rocks; and (iv) Organic carbon in Ca-rich and
alkaline soils in karst areas tends to be more stable and have a longer cycle.
5.5.4 Evolution and Maintaining Mechanism of Biodiversity,

and Eco-Safety of Karst Ecosystem
Compared with the study on zonal vegetation, for example, evergreen broad-leaved
forests, the research on regional vegetation is still weak. Biodiversity of karst
ecosystems is, first of all, subject to the heterogenicity of karst habitats, and, next,
subject to the slow succession of karst populations and communities. Although
some karst forest ecosystems are survived in southwest China (i.e., Longgang,
Guangxi; Mulun, Guangxi; Maolan, Guizhou), most of these karst ecosystems have
suffered different degrees of degradation, and the areas that are affected by rocky
desertification have reached a total area of 126,000 km2. Quantitative analysis on
the succession stages of karst ecosystem is needed to reveal the succession process
of karst ecosystem and to control the rocky desertification. Meanwhile, it is nec-
essary to send out an early warning on the degradation process of karst ecosystem.
To achieve these two objectives, it is important to develop feasible assessment
indicators, approaches and models.
In addition, the total content of nutrient and heavy metal elements in Ca-rich and
alkaline limestone soil is rather high. In particular, the content of some heavy metals
exceeds that under Class 2 and Class 3 of the National Environmental Quality
Standards for Soils in China (GB 15618-1995), this makes it difficult for those karst
areas to apply to be green food production sites. Compared with red soil at the same
latitude, limestone soil has a lower biologically liable nutrient element content,
which constrains the normal growth and product quality of economic crops. For this
reason, revealing the patterns of element transfer and loading in the rock-soil-crop
system from a perspective of elements’ biogeochemical cycle, and exploring
methods for improving the quality of economic crops and overall
eco-environmental health, will play a significant role in helping alleviate poverty
and achieve prosperity, demonstrating and building green production sites for
special economic crops, and achieving sustainable development in karst areas in
southwest China.
6 Progress in Fundamental Research and Practice

for Ecological Restoration of the Arid Valley Across
the Hengduan Mountains of Southwest China
6.1 Introduction
The Arid Valley mainly distributes in the valley of major rivers, including the
Nujiang, Lancang and Jinsha River, Dadu River, Ya-lung River, Minjiang River,
Bailong River, etc., and its chief tributary across the Hengduan Mountains in the
southwestern China. The Arid Valley located in the lower section or the base belt of
the mountain-gorge systems with the relative elevation range from 200 to 1000 m.
The book, The Arid Valley across the Hengduan Mountains, reports that its area is
approximately 11,230 km2 (Zhang 1992). However, recent preliminary studies
show that its area is at least 26,500 km2, accounting for 5–6 % of the total area of
the whole Hengduan Mountains (Bao et al. 2012). The Arid Valley is a distinctive
geographical landscape across the Hengduan Mountains at least by three unique
aspects. First, this area is characterized by arid climate under the background of the
prevailing tropical, subtropical, and warm temperate climates in the regions.
According to the data analysis of 23 weather observation stations within the Arid
Valley, the annual precipitation is approximately 300–700 mm, whereas the annual
evaporation is 1500–2200 mm, which is approximately 2–6 folds of the precipi-
tation. More precipitation occurs in summer and autumn than in winter and spring.
The heat condition indicates that the habitat of the Arid Valley is not such harsh as
the global arid zone. The plants can grow as long as there is enough water in some
dry-hot valleys. Second, the climate of the Arid Valley root strongly from high
mountain-gorge landscape systems due to the foehn effects. It is the uniqueness of
the geographical landscape formed the featured climate (Zhang 1992). Third, the
vegetation in the Arid Valley, which is characterized by the dwarf shrubs, is
controlled by the local arid climate. Thus, the vegetation is similar to that in global
arid climatic zones rather than that in the regional tropical, subtropical, or temperate
zones. Therefore, the Arid Valley ecosystem is distinctive from the arid ecosystem
in north China. The Arid Valley across the Hengduan Mountains can be classified
into various subclasses such as dry-heat, dry-warm, dry-temperatures, etc., based on
the heat, temperature, and aridity (Zhang 1992). The dry-heat type locates in the
south of 25°N across the Hengduan Mountains, while the northern part are the
dry-warm and dry temperature types. Thus, the valleys along some rivers are
dry-warm, such as the Minjiang River valley and the Bailong River valley. Others,
however, maybe more complicated, for example, the valley along the Jinsha River
338 Y. Shen et al.
being dry-heat downstream (Panzihua), being dry-warm in the middle (Benzilan

and Rongxian), and being dry-warm and dry-cool upstream (Litang).
The Arid Valley characterized by closed terrain, unstable geological conditions,
complicated climate, shallow soil layer, and steep slopes. Thus, the Arid Valley is
of ecologically high vulnerability, low resistance, and difficulties for the restoration
in case vegetation degradation. With no doubt, the Arid Valley is always core area
with a high frequency of the geological hazards and disasters (Bao et al. 2007,
2012). In the past few decades, the Arid Valley also deeply disturbed by increasing
human activities with the rapid population growth and economic development, such
as hydropower and transportation construction, village expansion, urban develop-
ment, cultivation on steep slopes, cattle and sheep grazing, stone collection, land
preparation and afforestation. These disturbances make the Arid Valley became
most “trouble” zone across the Hengduan Mountains, leading to the serious
degradation of the local vegetation, rapid environmental deterioration, especially
severe water loss and soil erosion, and frequent mountain land hazards. Not only
the development of regional economy is influenced and the foundation of regional
sustainable development is weakened, but the development and ecological safety of
downstream are threatened.
The Arid Valley is also prominent and irreplaceable across the Hengduan
Mountains in terms of the economic and social development. Among the Arid
Valley and the nearby transitional area along the rivers across the Hengduan
Mountains, there are 75–80 % of the villages, 55–58 % of the towns (township,
district, county, and state), 80 % of the population, 55–60 % of the farmland, and
more than 90 % of the enterprises. Therefore, the Arid Valley becomes the social,
economic, and cultural center of the region (Bao et al. 2012). It is also the channel
and key link of the regional transportation, information, resources, energy, and
communication, as well as the corridor of the social and economic development
among the alpine valley. Thus, the conservation, restoration, and sustainable
management of the Arid Valley-mountain ecosystem is of the core and utmost
importance in the regional development.
The scientific research, which focusing the Arid Valley across the Hengduan
Mountains, mainly began in the 1970s based on a 100-year historical background.
The ecological restoration studies of it, however, started from the early 1980s
concentrated on the Arid Valley in the Minjiang River. Currently, the research and
practice of ecological restoration mainly focused on it being typical of the dry-hot
and dry-warm types downstream of the Jinsha River. Over the past 30 years, a lot of
work has been done on the theoretical understanding, restoration mode and tech-
nology, utilization of unique plant resources, as well as the engineering practice. In
conclusion, the work consists of three aspects: (i) The theories and basic knowledge
of the Arid Valley ecological restoration. (ii) The schemes and techniques of the
Arid Valley ecological restoration, as well as the result evaluation. (iii) The
resource exploitation of the Arid Valley ecosystem, the regional ecological
restoration, and the sustainable management strategies. Thus, this section will sum
up the fundamental understanding and improvement into the above three aspects.
The objective of this section is to propose the future direction for the ecological
restoration study and practice, as well as to provide theoretical implications and

guidance to the regional management.
6.2 Fundamental Research Related to the Ecological

Restoration
In the past 30 years, theories for the ecological restoration of the Arid Valley across
the Hengduan Mountains have been further and deeply improved. The main pro-
gresses are as follows:
6.2.1 Ecological Degradation Evaluation on the Arid Valley
Human disturbance is the necessary prerequisite to drive the ecosystem degrada-

tion. This degradation only occurs when the disturbance pressure exceeds the
system resistant threshold. The degradation itself and the degree of it are based on
the historical strength, frequency, and the spatial pattern of the human disturbance.
Before the planning and design of the ecological restoration, it should be scien-
tifically evaluated that whether the Arid Valley across the Hengduan Mountains
degenerate or not; if yes, which areas degenerate, and which do not? Moreover, the
degree, stage, condition, and the restrain factors of the degradation need scientifi-
cally diagnosis too. The prerequisite and basis for the reconstruction of the eco-
logical restoration is to clarify the progress, reason, and degree of the degradation.
The efficient reconstruction following the natural succession will not be fulfilled
until the reasonable decision for the position and progress of the degradation in the
system succession is made (Bao and Chen 1999a; Sun and Bao 2005).
There is an obvious misunderstanding in the range and degree of the Arid Valley
degradation. The Arid Valley is mountain ecosystem with the unique zonal climate
affected by the topography and landscape. Consequently, some researchers used to
mix the arid and degradation being not able to recognize the form and fact of the
degradation (Tang et al. 2003; Sun et al. 2005). Most misunderstandings come from
the inadequate consideration when analyze the development pattern of the Arid
Valley, or from its own formation and succession patterns and the selection of
non-Arid Valley vegetation like comparatively moist subalpine vegetation as cri-
teria and reference by mistake. The afforestation designed and applied based on the
misunderstanding of the Arid Valley degradation do not achieve the expected goals
but cause new degradation (Tang et al. 2003). Recent studies show that the eco-
logical degradation in the Arid Valley mainly occurs in the area partially affected by
the human disturbance rather than the whole area. At least, five types of regener-
ation areas or zones have been clarified.
(i) Severe degradation zones along the transportation line exist broadly. The road
construction is mostly based on the slope cutting in the valley, whereas the soil
340 Y. Shen et al.
and rock dust are usually dumped downward along the slope or into the river.
The original natural plantation or slope farmland is then covered forming
naked ground exposed to the strong natural erosions. Only a small part of the
steep slope obtains the preliminary treatment, but the majority does not. Thus,
the 40–200 m wide transportation road line often becomes the most severe
degradation zone. A 500–600 m wide degradation zone could be seen in the
part of the winds around the mountain road. According to the detailed survey
of the road along the Minjiang River Arid Valley, the severe regeneration area
has reached to 86 km2 accounting for 12 % in the total area (Bao et al. 2012).
(ii) The degradation islands surrounding the villages. The village, the living place
for the human beings, distributes among the mountain lands in the Arid Valley
as an island form. However, there are varied human activities (such as fire-
wood cutting, rock sampling, manure collecting, land reclamation, house
constructing, grazing, plantation, etc.) in the villages also treated as ecological
degradation area. Eventually, the ecological degradation island with the core
of village has been developed (Bao and Liu 1999; Bao et al. 2000). That island
exhibits the degradation of the vegetation structure and productivity, the
reduction of the plant sexual reproduction, the decline of the sciophilous
plants, soil compaction, the reduction of the biogeochemical cycle ability, and
severe water loss and soil erosion. The extent of the degradation of the island
is related to the village size, the social economic situation, the vegetation
resource surrounding, the topography and landscape and the traditional life
style. The village degradation islands vary in the scattering distribution and the
degradation area with 0.5–2.0 km2 (Bao et al. 2012). In certain areas, the
islands are overlapped with the barren mountain forestation and the road
construction. Multi-disturbance regimes make the extent of the degradation
worse.
(iii) The degradation zone in the afforestation area. Since the 1980s, the Arid
Valley across the Hengduan Mountains has been considered as the key area
for the afforestation with the development of series forestation. Forestation and
land preparation cut off the slope, disturb the surface area violently, stir the
soil, and destory the original plant cover and the soil biological crust. Because
strong wind with a pretty high frequency in the valley, the forestation and land
preparation would cause severe water loss and soil erosion and the air pol-
lution by means of disturbance. The soil exposed over a long period of time
would be further affected by the (heavy) rain and wind erosion, which makes
the water loss and soil erosion even worse. The plant cover in many forestation
areas could not recover back to the initial condition even after 6–16 years,
whereas the newly planted trees become dwarf trees with a very slow growth
constrained by the harsh environment (Zhu et al. 2009). Alternatively, even
temporary forest establishment could not prevent the degradation of the forest
environment and the weak ecological function. Hence, irrigation could lead to
local landslide and collapse, which makes the water loss and soil erosion
worse. Generally, the steeper the slope, the higher ratio of the naked surface
area caused by forestation and land preparation, the worse the plant cover
damage, the worse soil degradation, and the worse the water loss and soil
erosion. Although a large number of labor power and material resources have
been devoted and the provincial efforts have been paid, limited effect is
obtained from the barren mountain afforestation in the Arid Valley but causes
newly formed degradation. The severe disturbance by forestation and the
unique weak environment in the Arid Valley are the fundamental reasons for
the afforestation land degradation, besides, the forestation technique and the
proper tree species are the other two reasons.
(iv) The heavy degradation zone driven by the hydropower engineering. The Arid
Valley across the Hengduan Mountains is also one of the earliest developed
hydropower areas in China. Certainly, the hydropower stations take place and
damage the land resource, which results in the ecological degradation in
certain areas. The hydropower station construction itself could cause landslide,
collapse, and mudrock flow by road construction and mountain land cutoff.
Consequently, the land and vegetation are destroyed further. Various spoil
areas have been developed. A large number of earth and rock are dumped into
the river bank or river channel led to higher riverbed, stuck river channel, and
varied degradation zones.
On the other hand, the hydropower station construction has damaged
extensively the shape, structure, and function of the river resulting in a dev-
astating damage to the biomes. The hydropower scheme and the hydropower
station design do not connect closely with the ecological water demand and
the connectivity of the river. Moreover, the optimal monitor and sustainable
management for the structure and function of the river ecosystem have not
even been taken into consideration during post-construction. The river
ecosystem is getting worse under the circumstances of the jams and the river
division, which makes the river ecosystem even worse. Water division makes
the river rock naked, the plants along the river bank wilt and even fatal (Fan
et al. 2006).
The river section at a certain length above the floodgate turns into reservoir
with changes in the water flow, depth, water quality and the bottom materials
in the riverbed. The area between the dam and the station would be to some
extent free of water resulting in a large change in the water environment. Static
water, which used to be fluid, exhibits the tremendously weak self-purification
ability resulting from chemical, thermal, and physical changes. The water
quality deterioration and eutrophication have been developed. The domestic
sewage pollution leads to severe waste accumulation and the deterioration of
water quality, besides, severe reservoir and downstream pollutions.
Certainly, the river environment changed by the hydropower stations would
also cause serious damages to the aquatic biome, riverbank vegetation struc-
ture, and productivity. During the change of the natural river section above the
342 Y. Shen et al.
dam into the reservoir, the number of the species in Cyanophyta and
Chlorophyta increases as there is transformation of the rapid flow into slow
flow and the accumulation of silt and organic materials. Furthermore, the
aerobic and rapid flow like Bacillarophyta disappears; the eutrophicated water
like Annelid and Chironomid larvae increase gradually. However, the aerobic
and rapid flow like nymphs such as ephemera, caddis, and stoneflies disappear
and the aquatic algae appear in the river sections free of water. Especially, the
biomass and species of the adherent algae and invertebrates decrease signifi-
cantly (Fan et al. 2006).
(v) Extreme degradation sites driven by various geological hazards. The Arid
Valley is of steep slope, complex topography and landscape, unsteady slope,
soft and destructed rock, loose slope surface, overloaded ground, weak sta-
bility, more fissures, mudrock flow caused by water infiltration, hazard by
unbalanced slope. Therefore, there are abundant varied landslide, mudrock
flow, and collapse sites in the valley. The sparse vegetation, naked ground,
severe water loss, and soil erosion in this area being difficult for the natural
vegetation restoration makes it as the extreme Arid Valley degradation zone
across the Hengduan Mountains.
(vi) The extreme degradation sites on steep slope farmland. The Arid Valley across
the Hengduan Mountains, the regional farmland area, accommodates a large
scale of dry slopes. Dry slope includes terrace on the hillside and slope
farmland with varied gradient (15–35 °C). The main plantation mode in that
area is the interplanting of Chinese red pepper, beans, corn, and tomato. It has
always been one of the most important ways for the local peasants to increase
their economic income. The average dry slope farmland per family is around
0.13–0.3 hectares. For a long time, traditional plantation has been applied in
this farmland with naked ground from autumn to winter and spring and
extensive management in summer. The severe water loss and soil erosion
(with both water and wind erosion) and continuous soil fertility degradation of
the farmland cause one of the most important ecological degradation problems
today. Although the steep area of the dry slope farmland is the key site for the
returning after 2000, most areas have not been returned completely. The
plantation and severe water loss and soil erosion still exist.
The Arid Valley ecological restoration is used to concentrate on the forestation
on the barren mountains and slopes. However, the most severe degradation areas
and zones, such as steep slope farmland, landslide area, mudrock flow bottomland,
area along the transportation, area affected by the hydropower engineering, etc.,
have still been overlooked. Thus, it is urgent that the ecological restoration should
aim to the degradation areas. Properly evaluate the phenomenon, facts, degree, and
the key restraint factors of the ecological degradation, is the prerequisite and basis
in succeeding in the ecological restoration, which needs to be strengthened.
6.2.2 The Vegetation Origin and the Restoration Aim Selection

in the Arid Valley
The species composition of the native plants is the key point for us to understand
the regional vegetation diversity, and is the prerequisite and foundation for the
protection of the vegetation and its diversity and restoration. The shrub dominated
by the dwarf shrub and semishrub characters the current natural vegetation in the
Arid Valley (Zhang 1992; Jin and Ou 2000; Yang 2007). Although the shrub with
comparatively simple community structure and low productivity, it accommodates
abundant native mesophytic and xerophytic shrub, semishrub and herbaceous plants
with an exception of drought tolerance forest covering partially (Zhang 1992; Bao
et al. 2007, 2012). From the point of view of the floral composition and features, the
vegetation in the Arid Valley differs significantly from that of its nearby subalpine
type or the higher altitudinal area above it (Jin and Ou 2000; Bao et al. 2012). Bao
et al. (2012) indicated that the subalpine vegetation has not nothing to do with that
in the Arid Valley in terms of succession, which supports the theory that shrub–
grass vegetation is of original nature with local origin. Furthermore, many local
unique plants distributed around the Arid Valley could not be found in the nearby
subalpine area with higher altitude in terms of the floral specific species. Thus, the
vegetation in the Arid Valley is of distinctiveness. The comparative studies about
the vegetation transition in the Arid Valley during the past 100–150 years also show
that the shrub–grass dominated vegetation type could be still found in the area
without human disturbance, which in general, no significant vegetation degradation
has been detected. Recently, the analysis of climate changes during the past
200 years in the Zagunao River area in Li Province, Sichuan, China dendrocli-
matologically also shows that the Arid Valley is always stick to the drought climate,
which is of special local character determined by the local landscape (Moseley &
Tang, 2006). In conclusion, xerophytic shrub and grass are the typical vegetation
types in the Arid Valley as well as the highest plant in the drought (Jin and Ou
2000; Yang 2007; Bao et al. 2012). The unique mosaic xerophytic forest could be
found only in some local areas, such as the cypress (Cuppress chengjiana) forests in
the Minjiang River valley, the evergreen Quercus forests, and the pine forest in the
Jinsha River dry-hot valley.
Unfortunately, most large-scale forestations for the forest restoration in the Arid
Valley failed during the past 30 years (Yang et al. 2007). Contrary to the
hypothesis, afforestation, especially soil preparation, destroys the original natural
vegetation and its renewal ability. Furthermore, the soil structure and its function
are directly damaged; the water balance gets worse, and the wind erosion is even
worse (Wang et al. 2004; Yang et al. 2007; Zhu et al. 2009). It seems that we did
not aim adequately to the Arid Valley restoration. Ecological restoration for it
should focus on improving the physical environment including sparse vegetation,
severe water loss and soil erosion, and fertile soil condition, and protecting and
recovering the key resources to enhance the vegetation coverage (including the soil
biological crust coverage), not on reconstructing the forest overwhelmingly.
344 Y. Shen et al.
6.2.3 Spatial Patterns of the Ecological Key Elements

and the Strategies for the Ecological Restoration Planning
Across the Arid Valley
The Arid Valley develops from the high mountain-gorge systems. There is gen-
erally an individually relatively complete Arid Valley System along each gorge
with a near South-North axial across the Hengduan Mountains. Since the broad
range of the spatial distribution of the Arid Valley, the natural diversity in climate,
soil, and vegetation and the civilian complexity (social structure, economic basis,
cultural tradition, etc.) are classified as different types. The Arid Valley is of distinct
regional diversity, whereas it is grouped as different climatic types and subtypes
including dry-hot, dry-warm, dry-cool, and dry-cold from south to north. Bao et al.
(2012) thought that theoretically the ecological restoration and the sustainable
management for the Arid Valley post-degradation across the Hengduan Mountains
should be based on its regional traits. They also speculated that the most effective
way was to develop a strategy compatible to the natural social economy.
Typical cases for the Arid Valley along the Minjiang River have pointed out that
the natural renewal abilities of the soil, vegetation structure, diversity, population,
and community in that area mainly depend on the degree of drought, i.e., precip-
itation. Compared to the climate of the transitional zone between the upstream and
downstream and the high altitudinal zone in the Arid Valley, that of the core area
and the low altitudinal zone exhibits drier, poorer soil water content and fertility,
shorter plants, smaller vegetation coverage and soil seed bank, weaker vegetation
natural renewal ability (Li et al. 2011). Therefore, the selection of that transitional
or higher altitudinal degradation zone could fulfill easily the ecological restoration
aims and get better results for its arrangement and strategy.
Practically, proper partition and layout need to be based on the rock property and
soil water condition to obtain the ideal vegetation restoration results (Zhang et al.
2003). During the study in the Yuanmou dry-hot valley, Zhang and his cooperator
found that the rock property is one of the key factors in determining soil water
condition and vegetation type in that area. They thought that it should be considered
as an important site during the vegetation restoration. Besides, low slope infiltration
ability is another main reason for the dry soil in that valley. They tried to differ-
entiate the vegetation restoration zones in the dry-hot valley based on the rock
property and climate types, whereas their development is compatible to the vege-
tation restoration modes and proper restoration aims for different zones.
Consequently, their strategies have made remarkable progresses. Furthermore,
vegetation restoration modes for different stone areas and micro-water forestation
technique succeeded in practice (Xiong et al. 2005), which makes a good example
for studying the vegetation restoration in the dry-hot valley.
6.2.4 The Approaches and Methodology for Ecological Restoration
The plant growth and vegetation development in Arid Valley are jointly restricted
by drought and infertile soil condition (Bao et al. 1999a; Wang et al. 2003; Wu
et al. 2008; Li et al. 2008). The key point of the ecological restoration for the Arid
Valley is to improve the plant growth and vegetation development. Water loss and
soil erosion, such as wind erosion, would be efficiently cut down only by enhancing
the vegetation coverage. Eventually, the ecological restoration achievement would
be fulfilled (Bao et al. 2012).
Zhou et al. (2008, 2009) and Li et al. (2010a, b) found that the dominant shrubs in
the Arid Valley are of very strong both sexual and asexual reproductive abilities.
Those plants with natural renewal potentials result from the well developed seed
bank. Hence, vegetation and their renewal potentials protection are the major
strategies for the ecological restoration in the Arid Valley. However, the practices in
the past did not think the vegetation natural renewal ability in consideration and the
human disturbance actions were applied to restore the ecological conditions.
Consequently, post-ecological degradation in the target area occurs making the
ecological restoration aim hardly achieved (Zhu et al. 2009). Therefore, the real and
best feasible way is to utilize adequately the vegetation natural renewal ability in the
Arid Valley plus some artificial supplementaries (Bao et al. 2012). The method
combining the native plant natural renewal improvement and the appropriate sapling
replantation has been partially succeeded in some experiments (Shen et al. 2003; Li
et al. 2009).
The degradation in the Arid Valley is caused by intensively strong human dis-
turbance. The activities such as forestation, grazing, and harvesting in the barren
mountains has not only destroyed the vegetation and soil structure in those areas but
restricted severely the vegetation natural renewal abilities. Afforestation using a
large area of the field, itself, would also result in soil degradation and vegetation
disturbance. Thus, reasonable control strategies reducing the disturbance pressure
caused by human being are the prerequisite and guarantee for the ecological
restoration in the degenerated Arid Valley. Studies have showed that the proper use
of enclosure strategy could inhibit the Arid Valley degradation as well as signifi-
cantly enhance the biodiversity recovery, the productivity improvement and the
efficient control for water loss and soil erosion (Shen et al. 2003; Luo and Wang
2006; Li et al. 2010a, b). In conclusion, reducing the human disturbance pressure by
all means is one of the most indispensible and effective methods for the ecological
restoration in the Arid Valley across the Hengduan Mountains.
6.3 Techniques for the Ecological Restoration in the Arid

Valley
We have sorted out some technical measures based on the practice and experimental
studies of the ecological restoration in the Arid Valley during the past few decades.
346 Y. Shen et al.
6.3.1 Suitable Plant Selection for the Ecological Restoration

in the Arid Valley
In the past few decades, more than 50 tree species were used for the ecological
restoration practice in the Arid Valley. These trees did not show the ideal growth
based on the survey on the Arid Valley in the northern section (Dadu River,
Minjiang River, Bailong Jiang River) (Bao et al. 2007), suggesting moderate to
high phanerophytes (>3 m), especially large trees were difficult to adapt to the
environments in the Arid Valley. Afforestation using native tree species Cupressus
chengiana made some short-term effects in their natural distribution, such as the
Arid Valley along the Dadu River and the Minjiang River (Wu et al. 2006; Zheng
et al. 2007), but it does not succeed in the long run (Zhu et al. 2009).
In the hot-dry valley along the Jinsha River, tests for screening the afforestating
species showed that the majority of the fast-growing exotic species can be more
well adapt to the environment through quickly covering the surface, but its
long-term ecological effects lack systematic studies. However, Wang et al. (2004)
and Li et al. (2007) have found that afforestation using exotic species reduced soil
moisture and the native biodiversity. On the contrary, restoration by native shrubs
or small trees, such as slope willow, S. davidii, V. negundo, C. macyocarpa, A.
kalkora, P. emblica, and D. obtusifolia has showed good results in the valley (Yang
et al. 2007).
Studies indicated that species with larger individuals and a great amount of
transpiration per unit of time was not adapt to the Arid Valley environment.
Therefore, native xeric shrubs and herbs have more advantages than the trees to
restore vegetation from degraded habitats in the Arid Valley. Life forms, growth
forms, and leaf traits are integrated for plants to adapt to their environment
reflecting the adaptive strategies to some extent. Vascular plants in the Arid Valley
were characterized by the traits of monocotyledons, leaflets, herbaceous, deciduous,
etc. Natural vegetation mainly was constituted by phanerophytes with dry leaflets or
deciduous microleaf or hemicryptophytes (semishrub or perennial herb) (Liu et al.
2007; Bao et al. 2012). These plants have small seeds and great vegetative prop-
agation, by which better adapt to the Arid Valley. Thus, plant species for the
ecological restoration in the Arid Valley should be primarily selected from native
shrubs, semishrubs, or herbaceous plants (Bao et al. 2012).
6.3.2 Ineffective Model of Site Preparation for Afforestation
Over the past 30 years, afforestation and the ecological restoration have been car-
ried out to alleviate environmental degradation in the Arid Valley across the
Hengduan Mountains (Yang et al. 2007; Bao et al. 2007). Afforestation practices
from the Jinsha River and the Minjiang River Basin indicated that although field
preparation for afforestation formed forests temporarily and the target tree species
grew well, it brought significant ecological degradation (Wang et al. 2004,
Zhu et al. 2009). Field preparation for afforestation is not successful for the eco-
logical restoration in the Arid Valley.
Wang et al. (2004) found that the woodland exhibit “soil drying” based on the
water environment monitoring on the artificial vegetation in the Jinsha River valley.
Soil moisture content of native slope willow shrub was 42.68 % higher than that of
the woods, whereas it was also higher in natural grass than those in the woods
(34.36 %) and shrub (22.22 %). Afforestation has caused deterioration slope
hydrology in the hot-dry valley, and brought far-reaching consequences for the
regional ecological environment. In the Arid Valley along the Minjiang River,
Cupressus chengiana still did not adapt to the environment even after 7–16 years in
the measure of the contour level trench field preparation with this native tree
species. Its survival rate has reduced with afforestation, and high growth or diameter
growth also has shown declining trend. Most trees fruited with small size, which
resulted in the phenomenon of dwarf trees. Meanwhile, the contour level trench
field preparation reduced vegetation cover and soil water conservation against the
exception of the afforestation. Thus, the preparations for afforestation were not
effective measures for the ecological restoration in the Arid Valley along the
Minjiang River. It did not reach the expected aim for the vegetation restoration, and
even exacerbate the system degradation.
Soil crusts are common in the Arid Valley across the Hengduan Mountains,
including soil physical and biological crusts. Physical crust generally refers to a thin
layer of soil crust caused by the raindrops splashing, soil physical and chemical
dispersion, or deposition of fine particles when water flowing through the soil
surface. Physical crust is an important protecting mechanism for soil weathering.
Biological crust is cemented by biological components including different species
of mosses, lichens, algae, fungi, bacteria, etc. with their underlying thin soil par-
ticles. It is an important cover type in the Arid Valley, which covers up to 40 % of
the total crusts. Soil crusts play an important role in the desert landscape processes,
soil ecological processes, soil hydrological processes, soil biological processes, and
geochemical cycling, and ecological restoration in the arid and semiarid regions in
different bioclimatic zones (Li et al. 2009). Afforestation practices (especially field
preparation) destroyed the original natural vegetation and its regeneration ability as
well as the soil structure and function. Most soil crusts that formed under drought
conditions are also damaged causing serious soil erosion.
Field preparation techniques in the Arid Valley also need more data. Field
preparation aims to improve the soil structure, intercept rainfall and the soil
moisture content, but it also damages the surface, exposes the soil, and causes water
erosion or wind erosion. Field preparation can play an important role in mountain
region with greater rainfall and stronger resilience by significantly reducing soil
erosion and improving forest vegetation restoration efficiency. However, in the Arid
Valley where there are less precipitation events, small rainfall in a single event and
few event of moderate to heavy rain, the contour level trench field preparation
resulted in less result in improving the soil moisture. On the contrary, the negative
effect of the contour level trench field preparation was amplified in the Arid Valley
characterized by the low coverage and serious erosion and further resulting in the
348 Y. Shen et al.
ecological degradation (soil degradation and destruction of vegetation). Thus,

natural conditions in the Arid Valley should be considered during vegetation
restoration, whereas new techniques require a scientific evaluation of its feasibility
before utilization. In addition, most afforestation plan does not design appropriately
with proper management strategies, including monitoring, analysis, evaluation, and
adjustment programs. Short-term survey and evaluation are conducted after the
implementation of afforestation, and its purpose is not to assess the effect of the
ecological restoration, but the survival rate of seedling and growth status, making
an unsuccessful practice which may lose the opportunity for correction.
From a technical way, the human role was overemphasized during the current
practice of the ecological restoration, but the attention on natural restore capacity is
seriously lack in promoting replantation. Over the past 50 years, restoration aims to
restore the forest primarily (including economic forest) using two approaches:
seedling cultivation and seeding, which ignores the ability of the natural vegetation
restoration (Bao et al. 2007). Therefore, tree planting patterns are not feasible in the
Arid Valley due to the inherently contrary to the natural rule of the succession and
mismatch to the local unique ecological conditions from a technical point.
Meanwhile, this pattern is completely unrealistic for weak economic condition,
which cannot afford the high cost of afforestation projects in a wide range of the
Arid Valley.
Afforestation is characterized by “generalization” without practical focus on the
degradation in the Arid Valley. The planting density is not rational, and it is over 73
hectares in most regions of the Arid Valley. High density means more soil water
consumption, and this condition is exacerbated by the uneven distribution of
rainfall with a few rainy days. Further, poor soil structure and severe water deficit
are contributed to the soil moisture disappearance through transpiration during
afforestation.
In the future, vegetation restoration in the Arid Valley should be based on the
clarification of the factors and mechanisms, and minimizing human disturbance of
high intensity. Restoration would achieve the goal of the vegetation and soil benign
ultimately by promoting the restoration and the reproduction of the natural vege-
tation and improving the vegetation cover and soil quality (Yang et al. 2007; Zhu
et al. 2009).
6.3.3 Effectiveness of Seeding and Seedling Transplanted with Native

Plants
Seeding is an important means of the vegetation restoration. Native shrubs and

grasses are selected and the seeds are planted in the different sections and different
types of microhabitats in the Arid Valley along the Minjiang River (Li et al. 2009).
The results from seeding experiments showed that the germination percentage is
very low, whereas the mortality rate of the seedlings is fairly high under the arid
condition. Compared with the core area in the Arid Valley, more seedlings emerge
and survive for a longer time at the transition zone due to the greater precipitation
and higher humidity in the air and soil. In the same habitat condition, significant
differences of the germination rates are observed among species. Seed germination
and seedling survival are relatively high of the Bauhinia faberi var. Microphylla,
Indigofera lenticellata and Oryzopsis munroi indicating a stronger capacity to
tolerate the environment stress in the Arid Valley. These tree species are more
appropriate to adopt the seeding approach for vegetation restoration practices.
Sophora davidii and Miscanthus szechuanensis emerge difficultly under natural
condition. Consequently, seedling transplanting would be a better approach for the
vegetation restoration. The peak of seedling appearance is within 1 month after
sowing, but the survival number of seedlings decreases a month later with no
seedlings surviving till August. The results suggest that the appropriate planting
time is critical for the vegetation restoration with the native species. Sowing should
be conducted in April, thus seedling could form woody structures and consequently
show the stronger ability to resist hot and dry stresses in July and August. Sowing
in the container can significantly improve the seed germination in a short period of
time, but it ultimately failed to effectively improve the survival rate and the growth
rate of the seedlings.
Transplanting seedlings has better effect for the vegetation restoration compared
with seeding in the case of two rose species (Bao et al. 2012). Seed germination
percentage was higher, but the emergence rate was very low, with most seedlings
dying within one month for both rose species. Seed germination and seedling
survival did not differ significantly under each microhabitat conditions.
Transplanting seedlings has relatively low overall mortality (>15 %), especially for
biennial seedlings with mortality less than 5 %. Further, seedlings grew well
throughout the growing season after transplanting. Thus, transplanting seedlings is
one of the feasible vegetation restoration measures compared with seeding. Habitat
type also affects the seedling growth and the biomass accumulation, but it does not
affect the seedlings survival. Seedlings grew more rapidly in bare land indicating
that the plant seedling in the bare ground is more conducive to increase the plant
cover. Compared with the 1-year-old seedlings, the 2-year-old seedlings have a
higher survival rate.
6.3.4 The Appropriate Amount of N Fertilizer Can Promote

the Growth of the Transplanted Seedlings
Soil nutrient supplement by fertilization is a common way to ensure nutrients

requirement and to promote plant growth in the poor area. Soil available nutrients
supplied by fertilizing will change all aspects of the plant adaptation strategies,
whereas the adaptation of the growth and the morphological characteristics are
often the most basic mechanisms. Since N is an important component for the
enzyme, plants should balance the resource that allocate N to photosynthetic organs
or organs to absorb nutrients. Due to the complementation between limited factors,
N fertilization can promote seedling cultivation in dry conditions. We designed the
experiment with the varied moisture and nitrogen fertilization gradient, which the
350 Y. Shen et al.
purpose is to investigate if the nitrogen fertilizer could enhance the ability of plants
to withstand drought stress. Two-year observations showed that the application of
N cannot completely change the inhibitory effect by the drought stress for S. davidii
seedlings, but moderately applied N (92 mg N/kg soil) can alleviate the limitation of
drought stress on the plant growth to some extent. Moderate N application
increased soil N availability, consequently affecting the seedling growth and their
physiological characteristics. It improved the plant structure and the resource
allocation pattern and the photosynthetic capacity, whereas the efficiency of other
limited resources (such as water and P) was also increased. However, excessive
applied N (184 mg N/kg soil) did not improve the plant growth under the drought
stress. However, it made the damage of drought stress on plant more serious
indicating a tradeoff between the effects of the moisture and the nutrient on plants.
Therefore, appropriate N application can improve the soil environment, then the
plant growth and the population regeneration when a pioneer plant species of
S. davidii used for the vegetation restoration in the Arid Valley (Wu et al. 2008).
6.3.5 Multifunctional Plant Hedgerow Was Effective in Preventing

the Soil Erosion
Slope farmland is an important area with degradation in the Arid Valley. How to
reduce the soil erosion, restore the soil fertility, and improve the production effi-
ciency is a key issue in the Arid Valley across the Hengduan Mountains. The
climate is characterized by the obvious seasonal shifts, distinct wet and dry seasons
with precipitation mainly in summer (April to September). Therefore, in terms of
the slope land without vegetation cover, soil erosion is extremely serious and forms
a great contribution for the river sediment. Artificial Hedgerow with legumes cross
slope along the contour not only can significantly abate erosion and curb the
deterioration of the soil fertility, but improve the soil fertility through nitrogen
fixation by legume. This creates good conditions of water and fertilizer for the crop
growth. Tang and his team have developed a hedgerow mode in the mid-1990s in
the Jinsha River Basin. Their studies showed that the hedgerow has great ecological
efficiency in scattering stagnated surface runoff, reducing the flow rate, increasing
the infiltration and intercepting the sediment. Hedgerows with crops have some
economic benefits, except for the ecological benefits in improving the microclimate
between the hedgerow lines and providing a good environment for interrow crops
(Sun et al. 2001; Tang et al. 2002). Compared with traditional terraces, the biggest
advantage of the hedgerows is low cost, simple, and practical. In the Arid Valley
along the Minjiang River, the contour hedgerow with Astragalus adsurgens also
has proved that the hedgerow with shrub and grass, legume achieved better results
at the degraded shrub slope and landslide area.
6.3.6 The Ecological Restoration Supported by Cash Crop Cultivation

and the Agroforestry
The Arid Valley across the Hengduan Mountains is densely populated with the
agriculture dominated by farming, which account for more than 40–60 % of the
household income. The contradiction between people and land is outstanding causing
serious unreasonable land use and environmental problems. The exploitation of the
unique plant species is the fundamental way for the local people to get rich, and thus
promotes the social and economic development and supports the ecological restora-
tion and protection (Liu et al. 2000; Liu and Bao 2001). In fact, intercrop, agroforestry,
orchards, the construction of the special plant resource basis, and its industrial
development have been the main ways for socioeconomic development in the Arid
Valley across the Hengduan Mountains (Bao et al. 1999a, c). Agricultural models in
this region can be roughly summarized as follows: fruit and vegetable, fruit and
medicine, fruit and livestock, and fruit and grain (Xiang et al. 2007).
Three-dimensional planting mode (e.g., planting vegetable under or between the
fruit trees) is of high economic and ecological benefits in the Arid Valley based on
the special climatic and terrain conditions. The number of new varieties of veg-
etable species has increased, whereas the area of planting has expanded. Crisp
plum, sweet cherries, and golden delicious apple have achieved great economic
benefits with the net income per hectare from 30,000 to 120,000 CNY per year.
This mode makes the farmland covered with plants all the four seasons and the
vegetation cover rate is more than 99 %. It also enhances the biodiversity in the
farmland, which is a preparation for the pollution free agriculture model.
Exploitation of special plants developes rapidly for their obvious ecological and
economic effects. Special plants are rich in the Arid Valley, such as pepper, sugar
cane, raspberry, rose, and tamarind. Pepper has the greatest cultivate area mainly in
the Arid Valley along the Dadu River (Hanyuan, Xichang, Mianning, etc.) and the
Minjiang River (Maowen, Jiuzhaigou, etc.) (Cui et al. 2008). Pepper industry has
become a pillar industry locally. Planting pepper has also increased the forest
coverage rate effectively, and thus has controlled the soil erosion and desertifica-
tion. Recently, rose planted area has increased rapidly in the Arid Valley, Panxi.
The latest international fashion flavor varieties Damascus has been introduced and
planted. Damascus Rose III has been successfully cultivated, and the techniques for
the seedling efficient production and the rose oil industrial development were
applied. Currently, the average yield of oil rose buds is 600 kg, with the average net
income per hectare up to 768 CNY. Rose industry has an important role in pro-
moting the local economy and ecological effects such as preventing the soil erosion.
Special planting and agroforestry are effective models for the economic devel-
opment compatible to the special environmental condition in the Arid Valley across
the Hengduan Mountains. It promotes the economic development and poverty
alleviation by solving the problem of the labor surplus and firewood prevention
(Bao et al. 1999b, c, 2007, 2012). Furthermore, special planting and agroforestry
are very effective in solving the contradiction of the economic development and the
352 Y. Shen et al.
environmental protection. It also provides a useful exploration for the environ-

mental construction in the degraded regions with high population density.
6.4 The Ecological Restoration and the Sustainable

Management Strategy for the Arid Valley
After 30 years research, the scientific strategy for the ecological restoration and
sustainable management of the Arid Valley across the Hengduan Mountains have
been preliminarily established based on the experiment and practice on ecological
engineering.
6.4.1 Ecological Spatial Pattern Is the Scientific Basis

for the Ecological Restoration and the Sustainable Management
in the Arid Valley
The The Arid Valley across the Hengduan Mountains mainly consists of the
Bailong River, Minjiang River, Dadu River, Yalong River, Jinsha River, Lancang
River, Honghe River, and their tributaries. These rivers distributed extensively with
varied natural conditions. The causes and impacts of the ecological degradation
across these drainage basins are quite different. Due to the varied natural and social
economic conditions, the sort management is the key point for the ecological
restoration (Bao et al. 2012). The project should take the basin as a unit, types of the
The Arid Valley as the basis, the ecological restoration and sustainable management
as the fundamental points. Moreover, identifying the spatial pattern of the natural
and social elements in the The Arid Valley is the scientific foundation to develop
the strategies for the ecological restoration and sustainable management.
6.4.2 Land Use Planning and Classification Are Important Steps

for the Ecological Restoration and Sustainable Management
in the Arid Valley
Population is gathering in the Arid Valley, whereas the land is a limited resource.
The main point driving the ecological degradation here is the demand for the social
economic development. Whereas, the land use type and degree are quite different.
Farmland and barren hill are the two main types for the land use in the Arid Valley
which account for more than 90 % of the total area, among which the area of
woodland is generally more than 90 %. Other land use for construction or for traffic
is generally transformed from the two types. Farmland comprises the grain land, the
agroforest land, the orchard, and the vegetable land. Moreover, the woodland
mainly includes grass, shrubs and the farmland returned (patch forest), etc. Animal
husbandry is mainly depended on the woodland but not specifically defined to the
land ownership. Therefore, identification and the sort management for the land use
types are necessary for the ecological restoration and sustainable management in the
Arid Valley. Furthermore, comprehensive planning and sort management should be
made in the unit of basin. The restoration goals, methods, and detailed techniques
for each kind of the land use types must be clarified.
6.4.3 Clarify the Goals and Methods for the Ecological Restoration
and Sustainable Management in Different Land Use Types
According to the 30-year research and practice in the Arid Valley, the goals for the
ecological restoration in the barren hills are supposed to regenerate vegetation of
grass, shrubs, or shrub savanna rather than the woodland (Chai and Fan 2001; Jin
and Ou 2000; Bao et al. 2012). Furthermore, the reconstruction of the forest patches
can be achieved within local key regions (Bao et al. 2012). Specifically, the project
should aim to increase vegetation cover and decrease soil erosion. Ecological
conservation is supposed to be the major method in the large area and supplemented
by the necessary artificial restoration with native grass, shrub and small tree species
in important local regions. For the farmland, the project should focus on monitoring
the soil erosion and the degradation quality with intensive management. We try to
increase the productivity, benefit and income in the farmland, and then promote the
social economic sustainable development in the Arid Valley. Local characteristic
plant and animal products should be promoted with great efforts. The production
efficiency can be raised and the value chain can be extended by large scale based on
the construction and intensive management.
6.5 Prospects
The fact is that the ecosystem in the Arid Valley across the Hengduan Mountains
had degraded completely in past three decades. It has been developed a great deal of
theories and practices for the ecological restoration. First, the ecological restoration
styles should be developed properly in the Arid Valley. Second, the strategies have
been well known for the ecological restoration and sustainable management.
However, this question has not yet been answered, which should be improved as
following:
354 Y. Shen et al.
6.5.1 Deep Understanding About the Ecosystem Structure

and Function and the Regularity of the Spatial and Temporal
Patterns of the Arid Valley Across the Hengduan Mountains Is
Required
Because of the poor understanding, there are not enough information obtained
sufficiently in the vegetation succession and the natural resilience. Therefore, it
limits the formation and the improvement for the vegetation restoration technology
in the degradation area. In this area, natural vegetation is sparse, whereas the
development of the soil biological crusts is covered. The soil biological crust could
monitor the water loss and soil erosion, fix and storage the organic carbon, which is
the starting point during the primary vegetation succession and is important for the
ecological protection. However, the structure, the function, the spatial distribution,
the ecological effect, and the methods for the restoration and reconstruction for the
soil biological crust in the Arid Valley across the Hengduan Mountains are still
largely unknown. Especially, the research facilitates the afforestation and vegetation
replantation under the different interference intensity. All of the results from those
work can provide the science and technology support directly for the natural
vegetation protection and sustainable management in a large scale.
6.5.2 Ecological Protection for the Endemic Plant Species Fit

for the Drought Conditions, i.e., Being Adapt to the Arid Valley
is Needed
These species are different from those from subalpine areas. We knew well that the
resource trait rather than most plants still lacks enough attention. Therefore, it is
urgent to strengthen the theoretical and technological research for these plant
resources including the plants for industrial raw materials, flowers resources, fruit
and vegetable resources. Moreover, we should develop the industry with further
processing of the resource, which can not only enhance the regional economy but
protect the native plant resources. Beside, there are approximately more than 500
different kinds of native plant species with highly scientific research value.
However, only a few plant species have been protected, whereas others, on the
contrary, have not got enough attention and resource restoration in the Arid Valley.
Thus, investigation and survey for the endemic plants in the Arid Valley should be
done as soon as possible since it will provide a scientific basis for the native plant
protection and the ecological restoration.
6.5.3 Ecological Restoration Priority to Some Key Degraded Areas
Due to the high cost of the ecological management in the Arid Valley, the
investment is limited. We need to select some sensitive areas or zones for the prior
rehabilitation. The environmental problems are of prominent seriously restricting
the socioeconomic development and human productivity and daily life. Hence, the
ecological restoration for the damaged ecosystems with sensitivity and ecological
fragility should be conducted first. Because of the damage to the ecological envi-
ronment, the negative effects generally not appear visibly and immediately. Studies
have shown that earthquake damage caused abundant difficulties in the arid
ecosystem, in which the restoration is more complex than any other kinds of
damaged ecosystems. Ecosystems, especially in the fragile areas, would show the
amplification and the chain expansion effect as long as they are destroyed. If the
ecosystems are not recovered and management immediately, the damage will be
expanded and the degree of degradation will aggravate. Further, once we miss the
best restore period, postmanagement and investment will be greater with the poor
results. In this case, our country has got many painful lessons. The transportation
line, ground water protection sites, lakes, rural settlement sites, and the scenic spots
in the Arid Valley are the urgent and important targets for the restoration and
management. These areas present serious water loss and soil erosion, vegetation
degradation, disasters with high frequency. The greater the threatening is, the worse
the economic loss is.
6.5.4 Sustainable Utilization of the Animal and Plant Resources

and Further Processing of the Key Technologies
Establishing the special resources production base, value-added products and

resource utilization are urgent in terms of practice. In future, we should focus on the
direction of the efficient use of the resources, the increase of the income and
economic growth. The current resource exploitations in the Arid Valley across the
Hengduan Mountains are mainly classified as two aspects:
(i) The majority of the plant-based products and raw materials are primary
products with limited economy value. We should gradually shift from the
production of the raw materials into the production of the further processed
products. Furthermore, the development of the deep processing products, the
further resources utilization, and greatly improvement of the utilization effi-
ciency should also be taken into consideration.
(ii) Abundant plant resources lack complete utilization synthetically. For example,
the byproducts of walnut oil comprise low fat food and beverages, pastries,
and so on. Additionally, the utilization of walnut including its peels, leaves,
shells, etc. is to produce the pigment, lignin and cellulose, activated carbon,
etc. In addition, we should develop the products from the walnut peel and
leaves for the chemical studies. Walnut spikes and other organs can also
develop food and crafts. Besides, organic vegetable production, further pro-
cessing and other key technologies are still in urgent need for promoting the
vegetable base construction and product diversification, and providing the
sustainable development of the regional vegetables efficiently.
356 Y. Shen et al.
7 Ecological Restoration of Abandoned Mine Land

in China
7.1 Introduction
The exploitation of mineral resources not only provided the energy and raw
materials for the development of the national economy, but also caused the
destruction of land and ecological environment such as land subsidence, solid
waste, and geological disasters; in the western ecological fragile area, coal mining
also resulted in the intensifies of soil erosion and depletion of groundwater
resources; the toxic gases produced by the spontaneous combustion of the coal
waste plies and the harmful substance leached from the coal wastes jointly polluted
the air, water, and soil in the mining area, bringing serious harm to the industrial
and agricultural production and people’s lives (Peng 2009).
Land reclamation and ecological restoration is an effective way to use land
resources economically and achieve harmony between people and land in mining
area. In our country, large-scale and organized ecological restoration in mining area
began in the 1980s. So far, significant progress has been achieved in the ecological
restoration of mining subsidence land, excavated land, occupied land, and other
fields, providing a theoretical basis for the government to formulate and implement
environment protection strategy in mining area. At the same time, also providing
technical countermeasures for coal enterprises to implement the ecological
restoration of abandoned mine land.
7.2 Ecological Restoration of Abandoned Mine Land
Abandoned mine land referred to the land that were destroyed in the mining process
and could not be used without restoration or the land use function declined,
including the open pit, waste dump, tailings pond, subsidence land and the land that
lost economic value in use caused by heavy metal contamination.
The ecological restoration of abandoned mine land was a complex system
engineering problem, which was related to many disciplines, such as ecology,
geology, mining, soil, crop cultivation, forestry, environment, aesthetics, agron-
omy, geography, land, and so on.
7.2.1 Ecological Restoration of Abandoned Mine Land Caused

by Surface Mining
The destruction to land caused by surface mining was most direct and obvious
because surface mining needed to strip the topsoil and rock above the coal seam
(Hu 1996). The land destruction types of surface coal mine included excavation,
occupation and pollution, of which excavation and occupation were most direct (Hu
1995a).
The ecological restoration of the waste dump of surface coal mine included three
major parts: landform reshaping, soil reconstruction, and vegetation recovery.
The landform reshaping system of the waste dump of surface coal mine included
the base construct, main part construct, platform construct, and slope construct. Wei
et al. (2001) described the concept of the soil reconstruction method of outer waste
dump platform. Hu (1997) proposed the soil reconstruction method named “layered
peeling, staggered backfill”. Staggered backfill was the core principle of soil
reconstruction theory (Hu 1997). The mode of vegetation recovery that reasonable
configuration of grass, forestry and agriculture and the combination of short-term
and long-term benefits could be used as well as the mode called “grass first” and
“grass main” in the ecological restoration of the waste dump. Wei et al. (2004a, b)
analyzed the effect of reducing stream and sediment of different vegetations and
their configuration modes of south waste dump in Antaibu surface coal mine and
proposed suitable vegetation improvement measures. Tai et al. (2002) found that
sea-buckthorn was the ideal reclamation plant of the waste dump of surface coal
mine in grassland area.
The ecological restoration effect of the waste dump of Pingshuo surface coal
mine in Shanxi province was shown in Fig. 23.
7.2.2 Ecological Restoration of Abandoned Mine Land Caused

by Underground Mining
Ecological restoration technologies of mining subsidence land include planning

technology, reclamation engineering technology, ecological agricultural reclama-
tion technology, and biological reclamation technology.
The improvement plan of mining subsidence land belonged to the special plan in
the land use planning system, and earlier research began in the 1990s (Hu et al.
1994). Besides the traditional planning techniques, the principles, and methods of
landscape ecological planning were also applied in the reclamation planning pro-
cess of mining subsidence land.
After more than 20 years of research and practice, the engineering technology
system of ecological restoration of mining subsidence land in China has been
initially formed, including the land reclamation technology with the mud pump,
towed scraper and excavator, land leveling, dredging and draining method, filling
reclamation with the coal gangue, fly ash, lake mud, and so on (Hu et al. 2008).
There were many types of ecological agricultural reclamation technologies,
material recycling type of amphibious exchange and complementary was the most
typical one. Biological reclamation technology referred to restore the soil fertility
and biological production capacity, which was also considered as the continuation
of engineering reclamation and an integral part of the land reclamation process.
The ecological restoration effect of mining subsidence land of Tangshan coal
mine in Hebei province was shown in Fig. 24.
358 Y. Shen et al.
Fig. 23 Ecological restoration effect of the waste dump of Pingshuo surface coal mine in Shanxi
province
7.2.3 Ecological Restoration of Coal Waste Piles
The ecological restoration of coal waste piles mainly included three key stages:
analysis and evaluation of site conditions of coal waste piles, reshaping and soil
preparation and vegetation recovery.
Numerous studies showed that the coal waste pile had coarse particle, large
porosity, high permeability coefficient, barren nutrient content (Hu 1995a; Duan
et al. 1999; Wang et al. 2008a, b), low field capacity, low wilting coefficient, low
cumulative evaporation (Duan et al. 1999; Wang et al. 2008a, b), and other features.
The main limiting factors of the ecological restoration of coal waste piles were
texture, moisture, nutrients, pH, salinity, surface temperature, heavy metals in turn
(Wei et al. 2009).
The selection of reshaping form of coal waste piles and design of mountain
roads, drainage systems and erosion-resistant slopes were introduced in detail by
Zhang et al. (1997). Based on the ecological restoration practice of coal waste piles,
the cave-shaped site preparation and terracing land preparation were used more
often in our country (Hu 1995c).
Due to the limiting factors for the growth of many plants, matrix improvement,
selection of greening species, vegetation recovery planting and scientific tending
management should be implemented. The matrix improvement technologies of coal
waste piles mainly included physical, chemical and biological improvement mea-
sures. And the greening of coal waste piles should follow the principle named
“Greening comes firstly, Economics comes secondly”. The good varieties with the
resistance to drought and barren, strong germination force, high survival rate, fast
growth, especially the indigenous plants, would be the first choice of pioneer plants,
as well as the plants with developed root systems (Hu 1995b).Vegetation com-
munity structure should simulate the natural vegetation structure which was strat-
ified mixed with the trees, bushes, and grass (Li et al. 2006b).
Vegetation planting technology of coal waste piles included covering soil
planting, no covering soil planting (Li et al. 2006a) and drought-resistant planting
technology (Hu et al. 2006). For the poor site conditions of coal waste piles, it is
Fig. 24 Ecological restoration effect of mining subsidence land of Tangshan coal mine in Hebei
province
better to use the planting holes on the next season or interval season after exca-
vation (Li et al. 2006b).
The forestation effect of coal waste piles of Wangzhuang coal mine in 1991 and
1994 was shown in Fig. 25.
The ecological restoration of abandoned mine land is a complex system engineering

problem with characteristics of comprehensiveness and regional differences, which
is related to many disciplines, such as ecology, geology, mining, soil, crop culti-
vation, forestry, environment, aesthetics, agronomy, geography, land, and so on.
Therefore, intensive research should be carried out by the ecological and envi-
ronmental scientists, in conjunction with the scientific and technical personnel in
mining. Judging from the current situation, the following theoretical and technical
issues need to be solved: (i) Basic theories of ecological restoration of abandoned
mine land. (ii) Ecosystem succession process and mechanism of abandoned mine
land. (iii) Structure optimization of land use of abandoned mine land. (iv) Key
technologies of ecological restoration of abandoned mine land. (v) Establishment of
ecological restoration demonstration bases.
8 Restoration of Declined Coastal Ecosystem
8.1 Introduction
Coastal wetlands play an important role in nutrient cycling, sediment accretion,

pollution filtration, and erosion control in the world. In addition, they are known for
their distinctive flora and rich spectrum of wildlife, especially waterfowl, which
360 Y. Shen et al.
Fig. 25 Forestation effect of coal waste piles of Wangzhuang coal mine in 1991 and 1994
makes them more valuable and more prone to human impact than other ecosystems
(Costanza et al. 1997; Mitsch and Gosselink 2007). However, only a small per-
centage of the original wetlands remain around the world after over two centuries of
intensive development and urbanization. With so many wetlands lost, it seems that
there are many opportunities for wetland restoration along coastal lines, rivers,
lakes, etc. In the wetland restoration process, ecological engineering is an important
strategy to follow, as it is designed with natural components and strives to achieve
balance between human beings and nature. Many case studies have proven that
ecological engineering obviously benefits the wetland restoration and promotes
sustainable development for districts, countries, even the world. For example,
Spartina ecological engineering in China designed by Chung and Qin has gained
much benefit and its ecological-economic value had been estimated at US$
20,000/ha (Qin et al. 1997, 1998; Chung et al. 2004). Much saline land was
deteriorated wetland for many formation reasons and favorable to halophytes and
salt-tolerant plants. The research on salt-tolerant plants and halophytes is very
important, because these plants could be used for saline agriculture and biomass
energy on saline land, and for overcoming the worldwide problem of food shortage
and energy crisis. A new series of papers reflects the research in this field and shows
the potential of salt-tolerant plants and halophytes (Wang et al. 2008a, b; Li et al.
2010a, b; Zhang et al. 2011).
This study regards following issues: (i) Biological substitution and Spartina
ecological engineering; (ii) Halophyte and saline agriculture.
8.2 Restoration and Reclamation of Declined Coastal

Ecosystem
8.2.1 Spartina Ecological Engineering and Biological Substitution
Spartina alterniflora is a perennial deciduous grass which is found in intertidal

wetlands, especially estuarine salt marshes. It was introduced into China in the 1979
by Dr. Chung-Hsin Chung as an efficient countermeasure to solve problems of

disasters derived from storm, soil erosion, tidal pollution, even sea level rise, etc.
(Chung et al. 2004).
Due to the high nutrient content in S. alterniflora shoot, 11.85 % crude protein,
2.26 % fat, 27.1 % cellulose, 0.235 % calcium, 0.191 % phosphorus, and various
amino acid, vitamin, and trace elements, its fodder use for stock breeding has been
studied in China for many years. Living on the ecotone between terrestrial and
oceanic ecosystems, S. alterniflora contains not only rich nutrients as mentioned
above, but also high content of submetabolic materials, e.g., flavonoids, vitamines,
etc. which benefit human health. According to principles of ecological engineering,
we invented “Biomineral Liquid” extracted from S. alterniflora and produced a series
of green health food, such as “Weduo Beer” (with multi-trace elements), “Spartina
Capsule for Lipid Falling”, etc. All these formulated the important loops of Spartina
ecological engineering and favored its hierarchical utilization (Qin et al. 1998).
However, Spartina is an invasive species in China, and has got many ecological
problems, including competition with native species and preventing propagation of
the pure native strain, impacting of aquaculture and fishing, navigation, etc. In
Chongming dongtan, China, Spartina is a threat to birds in estuaries.
Considering the positive and negative effects of S. alterniflora, we prefer to take
measures of ecological regulation based on its integrative use and biological sub-
stitution, rather than eradicate and kill the exotic invader with some extreme
methods including herbicides. It is nearly impossible to eradicate a species in its
favorite habitat entirely. An old Chinese saying states that “it cannot be burned to
death and it will tiller when spring comes”. Furthermore, when you use herbicides
to kill it you will pay high prices not only economically but also environmentally.
Several means of control and eradication have been employed against S. alter-
niflora where it has become a pest. In our study, we tried an ecological engineering
of substitution of Spartina by Phragmites australis on salt marshes in North
Jiangsu, China. Phragmites is a native species in North Jiangsu and a habitat for
endangered species red-crowned cranes and some other waterfowls. In our exper-
iments, we succeeded in substitution of Spartina by P. australis about 50 ha in
4 years (Wang et al. 2008a, b). This situation occured via modifying the micro-
geomorghic and hydrological regime of salt marsh, when gradient change of ele-
vation, tide strength, and salinity took place in the habitat. When natural or artificial
disturbances take place above variables could experience a dramatic change, and
the normal vegetation succession could make a turn, even biological substitution
could happen. For example, in S. alterniflora marsh of North Jiangsu where we
constructed a rotund cofferdamed area with 55 hm2, tides and sea water were
obstructed, rain water was accumulated and the salinity of the soil solution
decreased in the cofferdamed area, resulting in fast growth of the native Phragmites
community and substitution for S. alterniflora to the end.
To study the involved mechanism of this substitution, we focus on the aspect of
allelopathy, using water extraction and decomposing products derived from the
litter of P. australis to investigate the effects on growth of S. alterniflora and a
362 Y. Shen et al.
unique fungus strain isolated from the topsoil of Spartina community in North
Jiangsu, China. A series of experiments proved that the fungus benefits growth of
Spartina. The results showed that both water extraction and decomposing products
of P. australis decreased the germination ratio and seed-sprouting speed, inhibited
the growth of young shoots of S. alterniflora, and inhibited the growth of unique
fungus strain significantly.
To further identify the unique fungus isolated from the topsoil of Spartaina
community, we deduced the taxonomic status of the strain according to the results of
plate culture observation, PCR amplification and sequencing. The results showed
that this strain presents the general characteristics of Mucorales morphologically,
and molecular identification showed that the strain has the nearest genetic distance
with two species of soil fungi, one is Saksenaea vasiformis (Mucorales-
Saksenaeaceae), and the other is Apophysomyces elegans (Mucorales-
Mucoraceae). Based on those evidences, we concluded that the strain is a new
family under the Mucorales order.
Our experimental results provide direct evidence that allelopathy involved in the
substitution of Spartina by Phragmites community. Further work on the identifi-
cation of allelopathic substance and characteristics of unique fungus will provide
further insight on the precise mechanisms of this community succession.
8.2.2 Halophyte and Saline Agriculture
Reclamation is another option for the restoration of coastal ecosystem, especially

for that of saline land in coastal region. Seashore mallow (Kosteletzkya virginica) is
a perennial salt-tolerant economic plant, with oil, fodder, ornamental, and even
medicine uses (Ruan et al. 2008). Over 20 years of studies of our Lab on this
species has proved that the plant could be used as the preferred pioneer in the
restoration of saline land, and benefited the amelioration of soil properties and
structure (Zhou et al. 2010). Its flower type is beautiful, big, and much more flowers
concentrates in its stem, so this is a major species for landscape prettification of
coastal region. The seed from bred lines is bigger, with around 24 % of crude
protein, and over 20 % of oil content, which is higher than that of soybean, is one of
the important plants for biofuel (Li et al. 2010a, b).
Also, choose this salt-tolerant oil plant as a major dominant species for the
construction of “Carbon Sequestration Forest” in North Jiangsu, China. The
capacity of fixing CO2 from seashore mallow plantation is rather high, and the CO2
sequestration quantity is as follows:
MCO2 ¼ A NPP 1:63 ð1Þ
In (1), MCO2 is the total quantity of CO2 sequestration in certain area per year
(g, kg, t/year), A means the area of seashore mallow plantation (m2, μ*), NPP is net
primary production (g/m2 year), and 1.63 is the coefficient of fixing CO2 from the
dry matter of plant.
l is Chinese unit of area; 1 hm2 equals 15 l:
According to (1), 1 million mu of seashore mallow every year could fix CO2 as:
MCO2 ¼ 1; 000; 000 2:2 t/l year 1:63 ¼ 3; 580; 000 t/year ð2Þ
Of course, NEP, that is the carbon sequestration quantity of plantation ecosystem

every year as follows:
NEP ¼ NPP(gm 2a 1Þ CSE A (m2 Þ 1:63 ð3Þ
In (3), CSE is the efficiency of carbon sink. Thus, 1 million of the ecosystem of
seashore mallow could fix carbon 128,900 t every year.
9 Resources and Environment Carrying Capacity

and Ecological Restoration of Stricken Areas
9.1 Introduction
As the anomaly occurred events in the nature, natural disasters cause various and
severe destructions on natural and human system of stricken areas. Therefore, it is
of urgent and special requirements for ecological restoration and reconstruction in
such areas. It is quite important for identifying the space that was destroyed during
the natural disasters and also the extent of being destroyed. Evaluation of resource
and environment carrying capacity (RECC for short hereafter) could reflect the
special task and target of ecological restoration and reconstruction, and is of
important supporting role for carrying out economic reconstruction and ecological
restoration in stricken areas.
9.2 Theory and Practice of RECC Evaluation in Stricken

Areas
9.2.1 Definition and Theoretical Basis of RECC Evaluation
RECC means the ability of certain spatial unit to withstand all kinds of human
social and economic activities of regional resource and environment systems
(Abernethy 2001; Zhang et al. 2009). RECC is a comprehensive concept integrating
various essential factors from the aspect of ecology, resources and environment
(House 1974; Price 1999). The goal of regional RECC research is to find the
representation of carrying capacity with qualitative or quantitative methods under
364 Y. Shen et al.
certain temporal and spatial conditions (Dhondt 1988; Sleeser 1990). Up to now,
relevant researches focus on carrying capacity of certain factors and comprehensive
carry capacity (Liu and Hou 2009). The former mainly aims at indicating the
carrying capacity of certain resources and environmental factors, such as land,
water, energy, environmental capacity of water or air, etc. The later integrates the
role of various factors, and gives a comprehensive result of all factors.
However, as the regional differentiation of resources and environment, and the
different role of each factor on location and distribution of productive and living
activities, it is of great significance for making sure the theoretical basis, technical
method and objective of RECC research, especially in stricken areas. Such research
could not only help understanding the changes of carrying capacity before and after
the disasters, but also help defining the orientation of restoration and reconstruction.
9.2.2 Role and Content of Ecological Evaluation for RECC Research
Ecological research first introduces the concept of carrying capacity and regards it
as a law of ecosystem (Del Monte-Luna et al. 2004). From the aspect of RECC
research, the need on ecological research mainly focuses on the expansion and
improvement of index system and technical method. For the index system, eco-
logical factors, such as vegetation, NPP, biodiversity, are among the important
affecting factors of RECC evaluation (Wang et al. 2000). There is upper limit for
carrying capacity of natural ecosystems that are essential for the survival and
development of human being (Gao 2001). It is necessary for adding the ecological
factors to the index of RECC evaluation and considering the threshold of pressure
that the natural ecosystem could bear. Such supplement helps reflecting the true
regional carrying capacity in a more objective way (Gao 2001; Zhang 2009). For
the technical aspect, the research methods of ecology, such as Logistic equation,
resources supply and demand balance method, comprehensive index method,
system and model analysis method, are widely adopted for RECC evaluation
(Zhang et al. 2007).
As an important part of RECC research, the following aspects are major tasks of
ecological evaluation. The first one is how to determine the main ecological factors
that affect regional RECC. From above introduction, ecological factors are various
including landform, soil, vegetation, climate, hydrology, biodiversity, etc., and
every factor was of different role for calculating regional carrying capacity (Gao
2001). Therefore, the first task is to determine the chosen ecological factors through
integrated analysis on regional ecosystem, social and economic development con-
ditions and objective of RECC research. The second one is to make sure the
threshold of choosed ecological factors on regional RECC. The role of different
ecological factors would be found in the definition of its weight in the index system
or the identification of threshold (Deng 2009). As one of the most important role of
RECC research, it is necessary to make sure the pressure that the ecosystem could
bear would not be exceeded. Therefore, the definition of weight and threshold are of
great significance for RECC evaluation.
9.2.3 Practice and Application of RECC Evaluation in Stricken Areas
First used in the reconstruction planning of stricken areas in Wenchuan earthquake

in the year of 2008, the RECC evaluation has been widely adopted in the restoration
and reconstruction in the Zhouqu debris flow and Yushu earthquake (Fan et al.
2008; Deng 2010). They helped to formulate and implement the planning of
postdisaster reconstruction in a short time and scientific approach by providing
many suggestions on the population & economic carrying capacity, and the spatial
location of restoration and reconstruction. However, as the natural ecosystem and
social and economic base were severely destroyed during the natural disasters, the
restraining factors changed greatly comparing with that before the disasters.
Moreover, the goal of restoration and reconstruction also changed. Therefore,
technical methods that were widely used before should be amended accordingly. In
the practice of Wenchuan earthquake, consequential amendment took full consid-
eration of the regional characteristic, destroy of earthquake and the goal of
restoration and reconstruction (Fan 2009).
The stricken areas of Wenchuan earthquake included northeast Sichuan pro-
vince, Southern Gansu province, and southwest Shaanxi province. It was the
transition zone from west Sichuan Plateau and Qinling Mountain to the Sichuan
basin from the aspect of topography, and also the transition zone from
development-prioritized zone to development-restricted zone from the aspect of
National Major Function Oriented Zoning of China (Fan 2009; Deng 2010).
Therefore, the geographical conditions, RECC and developing goals would be
specific for different areas. Based on integrated evaluation of geographical envi-
ronment, geological conditions, secondary hazards, and population & economic
base, the goal of RECC evaluation was defined as the following aspects: (1) car-
rying out zoning based on suitability of reconstruction conditions and identifying
the extent of zones with high, middle and low suitability; (2) calculating the rea-
sonable capacity of population and giving suggestions on regional economic
development. The suitability evaluation of reconstruction conditions were of
essential importance, and RECC evaluation including importance of ecological
protection was its foundation. Importance of ecological protection included the
evaluation of ecological sensitivity, ecological importance and the extent of damage
on vegetation. Ecological sensitivity was reflected by rainfall erosivity, soil texture,
topographic relief and land cover, and ecological importance was reflected by
ecological value on maintaining biodiversity and conserving water resources. The
extent of damage on vegetation was defined as an auxiliary index and was
expressed by the proportion of being destroyed vegetation.
Similar methods were adopted in Zhouqu and Yushu. As the spatial differ-
entiation was not as obvious as Wenchuan and their ecological importance
was much higher, the role of ecological evaluation was given higher importance
(Fan 2010).
366 Y. Shen et al.
Based on above theoretical thinking and practical application, the flowing con-
clusion and discussion are provided.
(i) As the temporal and spatial differentiation, the index and threshold should be
defined based on detailed analysis of objective area. Some special factors
should be adopted beside for general index that were widely used in regional
RECC evaluation. Moreover, the goal of RECC research should also be fully
considered (Fan 2009; Zhang 2009).
(ii) Zoning based on RECC should reflect the spatial differentiation as far as
possible (Fan et al. 2008; Deng 2009). Spatial units of one group should be
with similar RECC, but units of two groups should with higher difference.
Therefore, it is necessary for providing result of RECC evaluation with clear
break point, which is quite difficult to do. Multilevel zoning is carried out
accordingly (Gao 2001). The next level zoning is adopted to solve the diffi-
culty for identifying break points that could not be identified at upper level
zoning, but the function of next level zones should not disturb the develop-
ment of function of upper level zone at upper level.
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Chapter 12
Ecological Protection and Establishment
Projects
Shidong Li, Xiangyang Hou, Ping Li, Yating Dai, Xiliang Li,
Qingli Wang, Yong Zhang, Qi Lu, Peng Cui, Yongming Lin,
Jiangchun Wei, Zhou Li and Moucheng Liu
Abstract In China, the ecological and environmental conditions are inborn short-
age, and there is a huge population pressure; moreover, the natural resource is
overexploited. With the rapid development of economy and the accelerated pace of
construction, business activities, such as improper construction projects, have
brought new damages to the ecological environment, which aggravate serious
eco-environmental problem. The Chinese government has always attached great
importance to ecology protection. Especially after rapid growth of China’s economy
and ecological deterioration since reforming and opening-up policy, the government
has published several policies and carried out environmental engineering projects.
All efforts aim at ecological restoration and protection, and adhere to the principle of
S. Li
State Forestry Administration, Beijing 100714, China
X. Hou P. Li Y. Dai X. Li Q. Wang Y. Zhang
Chinese Academy of Agricultural Sciences, Institute of Grassland Research,
Hohhot 010010, China
Q. Lu
Chinese Academy of Forestry, Institute of Desertification Studies, Beijing 100091, China
P. Cui
Key Laboratory of Mountain Hazards and Earth Surface Process, Institute of Mountain
Hazards and Environment, Chinese Academy of Sciences, Chengdu 610041, China
Y. Lin
College of Forestry, Fujian Agricultural and Forestry University, Fuzhou 350002, China
J. Wei
State Key Laboratory of Mycology, Institute of Microbiology, Chinese Academy of Sciences,
Z. Li
Chinese Academy of Social Sciences, Rural Development Institute, Beijing 100732, China
M. Liu (&)

DOI 10.1007/978-3-662-48376-3_12
376 S. Li et al.
“conservation priorities and natural restoration based; pursue efforts to the protection
and construction of ecology; reverse the trend of ecological environment deterio-
ration from the source.” The government has constructed a state safety screen,
strengthened protection and restoration of ecological environment, and established
ecological compensation mechanism. While, most ecological projects have been
practiced for over years, it is necessary to summarize the experience and lecture of
project construction theories, technologies, patterns, and managements, which is
necessary for improving restoration projects construction. Therefore, this chapter
introduced the ecological environment protection and construction projects and the
corresponding technical means for current regional eco-environmental problems.
Through comparing between China and abroad, and between regions, teasing
development history, combining current typical cases, this chapter made an inte-
grated conclusion of the leading eco-construction projects of China, including nat-
ural forest protection project, conversion of cropland to forest project, returning land
for grazing to pasture project, desertification control project, and water and soil
erosion and debris-flow management. All of the authors proposed their own view
about principles, targets, partitions, technical systems, benefit evaluations, and
institutional arrangements, and policy orientations, which is beneficial for scientific
researchers and decision-makers to gain a fuller understanding of ecological pro-
tection and control projects.
Keywords Ecological protection

CFF
Grazing forbidden project

Desertification Debris-flow treatment Desert lichens Ecologically fragile areas
1 Conversion of Farmland to Forests Project
1.1 The Important Meaning of CFF
1.1.1 CFF Is the Historical Breakthrough of Chinese Ecology

Environment Construction
At present, the area of water and soil erosion is more than 3.6 million km2, and the
desertified lands up to 1.74 million km2, correspond to 18.2 of the realm area (Zhou
2001). The main reason of water and soil erosion and lands desertification in China
is destruction of forests and cultivation, which results in environment aggravation
and more natural calamity (Zhang 1993; Zhang 1997). At the beginning of the
century, Chinese government timely carried out the policy of the conversion of
farmland to forests project (CFF) in order to improve the environment. It is the
historical breakthrough and great epistemological progress from cultivating to
converting croplands into forests, from the devastating development at the price of
ecology environment to the sustainable development of ecology and economy. At
present, the CFF has been widely regarded and praised.
12 Ecological Protection and Establishment Projects 377
1.1.2 It is the Urgent Task of Thoroughly Combating the Yangtze

and the Yellow River Water Calamity to Carry Out CFF
and Improve Ecology Environment
Because of the steep lands cultivation and forest destruction in the upside and
midst, the Yangtze and the Yangtze River valley have become one of the most
serious regions in soil and water erosion. There are more than 2 billion tons of the
earth and sand flowed into the Yangtze and the Yangtze River every year, and
two-thirds of them came from steep sloping lands. The increasing water and soil
erosion results in the earth and soil accumulation in rivers, lakes, and reservoirs. It
not only makes the water calamity of the midst and underside of the Yangtze and
the Yangtze River valley more serious, but also makes North China more droughty.
The contradiction of lacking water resources brings out great danger to national
economic and people’s lives. Every year, Chinese government has to put a large
number of people, substances, and money into defending flood calamity, droughty
hazard, and relieving victims of natural calamities. The Yangtze and the Yellow
River would have no security forever if the soil and water erosion were not con-
trolled in the region. So taking resolute and decisive measures and carrying out CFF
is an urgent task.
1.1.3 Carrying Out CFF and Improving Ecology Environment is

the Underlying Measure to Put into the Great Development
in the West of China
According to the statistics, the steep lands above 25º in China are 6.067 million ha,
and the 70 % of which is centralized in the Western regions. The increasing
aggravation environment is the underlying reason restricting economic and social
development of Chinese Western regions. The most import thing is to improve
ecology environment for developing and flourishing Chinese Western regions. If
the ecology environment of Chinese Western regions cannot be evidently
improved, the strategy of transferring the emphasis of Chinese economic con-
struction from east to west will fail. Therefore, the strategy of carrying out CFF and
ecology environment improvement of Chinese Western regions is an urgent task,
and is the premise of the great development in Western China. Only if the ecology
environment was obviously improved, the rich resources of Chinese Western
regions can be well developed, and the investment environment can be better, and
the money, technology, and talents can be attracted, and the development of
Chinese Western regions can be speeded up (Jia 2001).
378 S. Li et al.
1.1.4 CFF and the Environment Improvement is the Important

Measure to Make the Countryside Economic Construction
Better, Promote Local Economic Development, and Make
Villagers Richer
Most regions carrying out CFF are poor and mountainous, so the development
conditions of these regions directly influence the national economic construction.
Carrying out CFF cannot only basically preserve water and soil and improve
ecology environment, but also can efficiently increase the ability to defense drought
and water calamities, and can elevate the land productivity and accelerate the
economic and social development.
1.2 The Construction Scope and the Natural and Social

Conditions
1.2.1 The Construction Scope
CFF involves 1897 counties of 25 provinces (regions and municipalities). The pilot
project of CFF have been carried out in 20 provinces, and they are Hebei, Shanxi,
Inner Mongolia, Liaoning, Jilin, Heilongjiang, Jiangxi, Henan, Hubei, Hunan,
Guangxi, Chongqing, Sichauan, Guizhou, Yunnan, Shaanxi, Gansu, Qinghai,
Ningxia and Xinjiang, respectively. But the other five provinces (regions and
municipalities), Beijing, Tianjin, Hainan, Anhui, and Xizang did not carry out the
pilot project.
1.2.2 The Natural and Social Conditions
The scope of CFF is wide and the natural conditions have great difference. The area
of CFF is 0.701 billion ha, about 70.89 % of the realm area. The population of CFF
is 0.705 billion people, with 0.55 billion farmers, and the average income of farmers
is 232.25 US$.
According to the investigation data of the Realm Resource Minister of People’s
Republic of China, the forthcoming area of cultivated lands is 0.134 7 billion ha. In
them, the steep lands over 25º are 5.868 7 million ha, including 0.922 million ha of
terrace, 0.547 million ha of croplands being converted into forest lands, 4.4 mil-
lion ha of lands needed to be meliorated. The cultivated lands from 15 to 25º are
0.122 billion ha, including 2.73 million ha terrace, 0.133 3 million ha of croplands
being converted into forestlands, 9.33 million ha of forthcoming steep lands, and
8 million ha of lands required to be rapidly combated with important ecology
function. The sanded lands in CFF are 7.73 million ha, and those demanded to be
rapidly combated and with important ecology function are more than 2.667 mil-
lion ha. In sum, about 14.7 million ha of the steep and sanded farmlands are
demanded to be rapidly combated at present.
1.3 The Construction Purpose, Overall Layout,

and Accomplishment
1.3.1 The Construction Purpose
On the basis of the pilot project in 1999 and 2000, the period of CFF is from 2001
to 2017. It is carried out in 2 phases: the construction phase from 2001 to 2010, and
the stability phase from 2011 to 2017.
The latest goal is to convert 6.667 million ha of croplands into forestlands from
2001 to 2005, including converting 3.333 million ha of steep lands into forest lands,
about the 75.8 % of forthcoming CFF croplands above 25º, planting forests
1.333 million ha in sanded lands, about 17.2 % of forthcoming CFF sanded lands,
planting forests 8.67 million ha in mountain and wasted lands. The vegetation area
of forest and grass will be increased to/by 15.3 million ha, the coverage in CFF
scope will be increased to/by 2.2 %, 40.7 million ha of lands with the water and soil
erosion will be controlled, and 48.7 million ha of windstorm lands will be com-
bated. The fragile ecology environment will be basically improved through CFF.
In the long run, from 2001 to 2010, 14.7 million ha of croplands will be
afforested, basically including all steep lands above 25º, planting in sanded lands
2.667 million ha, about 38.9 % of forthcoming sanded lands, and plantation
17.3 million ha in mountain and wasted lands. The vegetation of forest and grass
will be increased to/by 3.2 million ha, coverage of forest and grass in CFF will be
increased 4.5 %, and 8.67 million ha of soil and water erosion lands will be
controlled, and 0.102 7 billion ha of windstorm lands will be controlled. After CFF,
the forest ecology system will be basically recovered, and the ecology environment
of the Yangtze River and the Yellow River will be evidently improved.
1.3.2 The Overall Layout
In the scope of CFF, it is divided into 10 subregions according to the water and soil
erosion extent, sandstorm danger conditions, topography, and so on. The suitable
tall trees, shrubs, or grasses are selected in every subregion (Li 2001). The 10
subregions are: High mountain and deep valley subregion in Southwest China;
Yunnan–Guizhou plateau subregion; Lower mountain and hills subregion in
Hainan–Guangxi; Mountain and hills subregion in Sichuan–Chongqing–Hubei–
Hunan; Lower mountain and hills subregion in the Middle and Lower Reaches of
the Yangtze River; Frigid grassland and meadow subregion in the source of the
380 S. Li et al.
Yangtze River and the Yellow River; Hilly ravine subregion in loess plateau;
Semiarid subregion in Inner Mongolia–Shanxi–Hebei, Arid and deserts subregion
in Xinjing; and Mountain and sand land subregion in Northeast China (Li 2002),
respectively.
1.3.3 The Accomplishment
Initially, the experimental project of CFF began in 1999, including Sichuan,

Shanxi, and Gansu province, and later, the scope of CFF was widened. 1.16 mil-
lion ha of farmlands were converted to forestland, and 1 million ha of plantation in
mountains and wasted lands were completed in 3 years, involving 20 provinces
(autonomous regions and municipalities), 400 counties, 27 thousand villages,
5.7 thousand towns, 4.1 million farm families, and 16 million farmers (Li 2003).
CFF was officially initiated in 2002, covering 1897 counties (county-level cities
and districts) in 25 provinces (autonomous regions or municipalities) of China.
1.4 The Investment Budget and Fund Source
1.4.1 Investment Budget
From 2001 to 2010, the obligatory investment is 27.77 billion US$ according to the
subsidy of foods and funds, subsidy standard, plantation area, and so on. From 2011
to 2017, the obligatory investment is 13.689 billion US$ (113.621 billion RMB
yuan). The whole investment of CFF is 43.083 billion US$ including pilot project.
In them, the provisions subsidy is 211.9 billion kg, about 35.82 billion US$, the
cash subsidy is 4.108 US$, and seeds and seedlings subsidy is 2.899 billion US$.
1.4.2 Fund Source
The fund source of CFF is divided into two parts, basic construction investment and
financial subsidy funds from central government. The former is used to purchase
seeds and seedling, all of which is invested from 2001 to 2010. The latter is
39.929 billion US$, including provisions subsidy 211.9 billion kg, about
35.82 billion US$, and subsidy in cash 4.108 US$.
1.4.3 Comparison Between CFF and the World Forestry Ecological

Projects
CFF and other 10 world famous forestry ecological projects (Mitsch and Jorgensen
1989; Qin 1998; Wang 1998; Xiang 2001) are contrasted and analyzed in scale,
scope, investment, period, and start-up time in single factor and multifactors (using
AHP method, i.e., Analytic Hierarchy Process) methods (Xu 1988). The result
shows that CFF ranking first in investment and third in total scores. The 10 great
forestry ecological projects in the world and their compositor are: Chinese
Three-north and the Middle and Lower Reaches of the Yangtze River Shelter-belt
Forest Development Project (TNYR), Chinese Natural Forest Protection Project
(NFP), Chinese Conversion of Farmlands to Forestlands Project (CFF), Chinese
Wildlife Conservation and Nature Reserve Development Project (WCNR),
American Roosevelt Project (RS), former Soviet Stalin Rebuild Nature Plan (SRN),
Canadian Green Plan (GP), Japanese Combating Mountains Plan (CMP), the Green
Dam Project of the Five Countries in Northern Africa (GDFC), and Chinese
Fast-growing and High-yielding Timber Forest Development Project (FHTF) (Li
2001, 2002).
1.5 Main Policies and Measures
1.5.1 Government’s Provisions Subsidy for Farmer Houses

with Croplands Converted into Forestlands
The subsidy standard is that 2250 kg provisions are in subsidy for per ha per year in
the Yangtze River valley and Southern China, and 1500 kg provisions in the
Yellow River valley and Northern China. When the croplands are converted to
grass, economic forest and ecological forest, respectively, the period of subsidy is 2,
5 and 8 years, respectively.
1.5.2 Government’s Subsidy in Cash for Farmer Houses

with Croplands Converted into Forestlands
Considering everyday necessary expenditure, such as medicine, education and so

on, government offers subsidy in cash in a period of time after farmers converting
croplands into forestlands, with 36.23 US$ for subsidy in cash per ha per year. The
period of subsidy in cash is the same with that of provisions.
1.5.3 Free Seeds, Seedlings, and Subsidy for Plantation

from Government
90.58 US$ are supplied in cash for seeds, seedlings, and plantation subsidy.
382 S. Li et al.
1.5.4 Free Relative Taxes and Local Finance’s Part Compensation
For those croplands converted to forests lands, government should provide provi-
sions after deducting agriculture tax, and when the provisions subsidy is terminated,
the agriculture tax is free. For counties that carried out CFF, the decreased income
of agriculture tax is properly compensated by central government finance.
1.5.5 Individual Contract System
According to the principal that people who planted trees will protect them and get
benefits from them, farmers are guided and backed up to combat the mountain and
sloping lands, and the tasks of plantation and protection are contracted to farmer.
The plantation sites contracted by farmers can be inherited and/or transferred. The
usufruct of forestlands is prolonged to 50 years and the contract period can be
protracted in terms of relative rules in 50 years.
1.5.6 Render an Account System
The undertaking of CFF is finalized into farmer houses, and farmer houses put CFF
into effect. After checkup and acceptance, farmer houses obtain provisions subsidy
by cards and account system.
2 Ecological Effects of Grazing Forbidden Project
2.1 Introduction
Grasslands in China cover nearly 400 million hm2, occupied more than 47 % of
total land area, which is important green ecological barrier in northern China due to
grassland multiple functions including ecology, production, and life. However, the
grassland ecological environment has continued to deteriorate because of the
long-term reclamation and overgrazing. Over 90 % of the available natural grass-
land degradation had different degree degradation from the beginning of this cen-
tury. China carried on Grazing Forbidden Project in Inner Mongolia, Xinjiang,
Qinghai, Gansu, Sichuan, Tibet, Ningxia, Yunnan, and Xinjiang Production and
Construction Group since 2003. The period of Grazing Forbidden Project is from
2002 to 2015. The project was implemented in two periods, the first period was
carried from 2002 to 2010 and second period is from 2011 to 2015. Grazing
Forbidden Project is an important measure in Chinese grassland utilization and
management history, and has also an important action for the ecological and
livelihood. To cope with the problems in the project implementation, experts have
done a lot of research and discuss work, including grassland degradation, livestock
balance technology, fencing and fencing grazing, rotational grazing, engineering
benefit evaluation. This paper briefly described was as follows.
2.2 The Degradation Mechanism of Grassland
Grassland degradation is defined from two perspectives: grassland management and

ecology. The study of operate perspective suggests that grassland degradation is
grassland carrying capacity and livestock productivity decline because of the bad
changes under the influence of various factors such as biological, soil, and society;
the study of ecology perspective suggests that grassland degradation is grassland
ecosystem away from the state of top due to the influence of human activities, such
as grazing and reclamation. They are different between grassland degradation and
retrograde succession. It is not called degradation when retrograde succession with
the value increase under appropriate use. Based on the study of grassland sys-
tematic, Ren (2004) suggested that coupling relationship loss between vegetation
and soil subsystems caused system structural changes and functional degradation,
which is the contrary for reason of grassland degradation.
On the current, the theory is accepted widely that human activity and climate
change coaction lead to grassland degradation. However, the main driving mech-
anism for grassland degradation is still controversy, including climate theory,
human disturbance theory, dualism and comprehensive theory, etc. (Fan et al.
2007). The study of Wang and Cao (2010) thinks human disturbance is the main
reason for grassland degradation in the 54 county of Inner Mongolia pastoral and
semi-pastoral areas during 1980–2000 by using econometric models to quantify the
effect of climate change and human actives. The study of Bian (2008) livestock
increase bringing increasing pressure in part of pasture areas, population increase
and frequent human activities also bring serious damage to the grassland by ana-
lyzing the situation of grassland degradation in the Northwestern Tibet, but another
study showed that grassland degradation results from both climate change and
human activities (Hao 2006). Although the specific factors are different for grass-
land degradation in different regions, overgrazing is considered as main factors.
Overgrazing changes vegetation condition and soil structure due to foraging veg-
etation and soil trampling (Li et al. 2002; Zhang et al. 2002; Shang et al. 2009),
which lead to loss coordination relationship of habitat–grass–livestock, and finally,
the degradation happened for grassland system.
2.3 The Technology of Grazing Forbidden Project
The premise of grass–livestock balance management is grassland monitoring,

whereas the key of grass–livestock balance is management. Grassland
384 S. Li et al.
productivity and livestock production show a large seasonal fluctuations, therefore

for livestock balance dynamic equilibrium strategy must be adjusted by grassland
types, times, and livestock breeds (Ma 2008). For the problems in the livestock
balance implementation process, the new livestock balance mode in a grassland
ecosystem should be established, which will replace the old model of command
and control management for livestock balance. People should establish grazing
rights system, grazing rights monitoring mechanisms, and long-term grassland
ecological compensation mechanism in order to develop grassland animal hus-
bandry sustainable.
Fencing is an effective grassland protective measures, including rest grazing,
non-grazing, and rotational grazing. Therefore, fence build is an important part in the
Grazing Forbidden Project. As an important land use type, non-grazing strongly
modifies ecosystem processes and presents on the vegetation and soil. On one hand,
non-grazing can improve the vegetation biomass, coverage, diversity, richness,
evenness, etc. (Zhang and Du 2006; Liu 2009; Zhou et al. 2010). On the other hand,
non-grazing can reduce trampling damage to the soil, and improve the soil structure,
moisture, nutrient and enzymatic activity (Sun et al. 2009). However, a large number
of hay and litter is kept in fencing grassland, which is not good for grass productivity
and grassland diversity community stability. Therefore, non-grazing is undesirable
for grassland protection, whereas moderate grazing can help to improve grassland
productivity. Except for resting grazing and non-grazing, rotational grazing is
another important method for grassland protection. Rotational grazing is different
grazing treatment in the dividing areas by different schedules. Rotational grazing
enhances grassland primary productivity by reducing the degree of redundancy,
promoting grassland plant growth compensation or overcompensation. In addition,
when dominant species’ biomass or coverage decreased by livestock feed, other
species will grow fast with the living space, and improve the grassland ecosystem
biodiversity. Rotational grazing is intensive utilization of grassland, which requires
strict design and management. In the nongrow season, rotational grazing has no
obvious effect with the grassland and livestock. In addition, it is also hard to plan and
utilize effective grassland and livestock. However, it is of high price for building
fence, water resource point, and other facilities. Therefore, rotational grazing is also
not fit for the poor grassland area because building fence need a lot of money and
many herdsmen cannot be burdened.
2.4 Study on Benefit Evaluation of Grazing Forbidden

Project
With the benefit evaluation of Grazing Forbidden Project, people can grasp the
effects of Grazing Forbidden Project on the grassland ecological environment and
sustainable development in pastoral areas’ economy, accurately understand the
significance and sustainability of Grazing Forbidden Project, and ensure the project
successful implementation.
The project curbs the trend of ecological deterioration, improve grassland eco-
logical environment significant in some areas and promote the grassland ecosystem
to develop in the positive direction (Yin et al. 2010; Zhao and Yu 2011).
The herdsman’s production and life are affected by the project because their
income is reduced in the early stage of project, but their income will increase and
economics of the pasturing area will grow fast when they promote intensive
management development by adjusting the animal species and structure (Bai 2010;
Zhang and Wang 2010).
The ecological environment and animal husbandry are improved by the imple-
mentation of the project. The herdsmen change the traditional concept on livestock,
the production and management mode is changed from extensive grazing to inten-
sive feeding, including grassland contractual management and grassland protection
system are promoted, the herdsmen’s enthusiasm and creativity are transferred, the
capacity about disaster prevention and mitigation of pasturing area are improved,
concentration profit of the social development is obvious, economics of pasturing
area is developed, national unity and social stability of China are safeguarded.
2.5 The Grazing Forbidden Project Policy
Based on fencing, reseeding, non-grazing, rest grazing, and rotational grazing, the
policy of Grazing Forbidden Project has improved the grassland ecological envi-
ronment and vegetation productivity, coordinated development between grassland
ecology and animal husbandry.
The formation of a new and higher level of complex systems in order to highlight
the combination of agriculture and animal husbandry, improve the level of indus-
trialization and transformation of animal husbandry, increase herdsmans’ income,
coordinate the relationship of ecological, social, and economic benefits, and promote
the sustainable development of animal husbandry economy (Hou 2005).
The project started on December 16, 2002. The Sate Council authorized the
project in 11 provinces. In 2005, The Sate Council adjusted and improved the project
policy (Wang 2007). In 2010 Central No. 1 document proposed to build an eco-
logical security barrier, and strengthen the dimension of the project. In 2011, China
put the policy of Grassland Subside and Reward Mechanism into implementation.
The studies focus on the policy effect to the long-term mechanism of pastoral
ecological, economic, and social. The purpose of the studies is to provide a great
value for Grazing Forbidden Project policy.
386 S. Li et al.
2.6 Conclusion
This paper systematically summary the Grazing Forbidden Project in China. The
project changes Chinese utilization and management history, and makes the
herdsmen change the traditional concept on livestock. It has improved the eco-
logical environment, social economy and nation unity in the pasturing and
semi-pasturing areas.
3 Desertification and Its Mitigation Strategy in China
3.1 Introduction
China is one of the countries most severely impacted by desertification, as 37.2 %

of the country’s territory—some 3.57 million km2—is classified as drylands1 (in-
cluding arid, semiarid, and semihumid arid areas). Of the drylands, 2.64 mil-
lion km2 falls under the category of desertified land in accordance with the
definition of the UNCCD, and these desertified lands are distributed in 18 provinces
and account for 27.5 % of the country’s landmass. China’s desertified lands can be
largely attributed to wind erosion, water erosion, salinization, and freezing-thawing
processes. Over 400 million residents are affected by desertification, and the annual
direct economic losses exceed 64 billion yuan (Ci and Wu 1997; Zhu 2006).
China’s desertification mitigation efforts began in the late 1950s. Through a
number of high-profile programs, such as the Three-North Shelterbelt Development
Program initiated in 1978, the National Program on Combating Desertification
initiated in 1990, the Sandification Control Program for Areas in the Vicinity of
Beijing and Tianjin launched in 2000, and the Conversion of Croplands to Forests
and Grasslands Program initiated in 2000, the Government of China has poured on
average 0.024 % of the country’s annual gross domestic product (GDP) into
desertification mitigation efforts and, as a result, some 20 % of the desertified lands
have been brought under control.
Approximately 50 × 104 km2 of the existing desertified lands are considered
restorable given current technology. When the potential desertification increments
induced by global warming are taken into account, the overall area of desertification
that is subject to restoration and mitigation in the future planning horizon is pro-
jected to range from 55 × 104 to 100 × 104 km2. With the approximate restoration
rate of 1.5 × 104 to 2.2 × 104 km2 per annum, China’s antidesertification battle is
expected to last some 45–70 years. The current strategic plans set restoration targets
1
Dryland refers to the areas of “arid, semiarid and dry subhumid areas”, other than polar and
subpolar regions, in which the ratio (i.e., HI = humidity index) of annual precipitation to potential
evapotranspiration falls within the range from 0.05 to 0.65; this range also lays out the enabling
conditions and sets the boundary of the geographic region of potential desertification.
at 22 × 104 km2 by 2015, with an additional 33 × 104 km2 by 2030, and the final
45 × 104 km2 of the 100 × 104 km2 restored by 2050. The plans also specify a
number of crosscutting strategies to integrate vegetation rehabilitation and planting
for the improvement of local livelihoods and promotion of economic development.
The mitigation approaches are required to reflect local conditions and to combine
prevention, restoration, and utilization.
On the basis of an examination of state investment in mitigation and current
rehabilitation strategies, the paper provides the following suggestions on required
institutional arrangements and policy-making for future antidesertification efforts:
(1) expanding the previous sectoral perspective to embrace a multi-stakeholder
approach; (2) setting priority zones within the restorable area, and establishing
National Special Eco-Zones (e.g., forest farms, protected areas, and headwater
areas); (3) restructuring the state antidesertification investment portfolio by
changing the government direct investment in tree plantations to government
acquisition of planted/greened areas; and (4) introducing preferential policies in
favor of combating sandy desertification, such as permitting land tenures for up to
70 years and compensating for ecological services (Lu et al. 2004).
3.2 Desertification Status in China
3.2.1 Climatic Zones and Area of Potential Desertification
Based on UNCCD’s desertification definition (CCICCD 1997), China has a total of

3.32 million km2 that are either arid (1.43 million km2), semiarid (1.14 million km2),
or subhumid arid (0.75 million km2), covering 34.6 % of its territory. The
desertification-prone areas in the vast northwestern China cross the east corner of the
Qaidam Basin and extend westward to the southwestern edge of the Qinghai–Tibet
Plateau. In total, the desertification-prone area encompasses a total of 498 counties
(cities, banners) in 18 provinces (autonomous regions, municipalities). In addition,
island-shaped hyper arid areas—with a humidity index less than 0.05, are located in
Gansu, Inner Mongolia, and Xinjiang, representing a total of 25.3 × 104 km2, which
is equivalent to 2.6 % of China’s landmass (Ci and Wu 1997).
3.2.2 Types and of Hazard Desertification
Four major processes of desertification are present in China: wind erosion, water
erosion, salinization, and freezing-thawing. These processes occur on some
2.64 million km2 or 27.5 % of China’s territory, involving 18 provinces, autono-
mous regions and municipalities. With widely distributed desertified and
sand-encroached lands, China is one of the countries that is most severely affected
by desertification. Desertification causes the degradation of ecological environment,
induces natural disasters (e.g., dust and sandstorms) and takes a heavy toll on
388 S. Li et al.
human livelihoods by sharply reducing the availability of useable land, lowering

soil fertility, and aggravating poverty in the affected areas. In particular, it brings
about serious damages and drastic economic losses to communication and trans-
portation systems, water facilities, and the mining industries in the affected regions.
Direct annual economic losses are estimated at more than 64 billion yuan, equiv-
alent to about US$8.3 billion (Lu and Wu 2002). Statistics shows that approxi-
mately 400 million people, or 30.7 % of China’s population, are affected by
desertification, resulting in a considerable number of “environmental refugees” and
“disaster migrants” in severely affected regions. Severe desertification and sandi-
fication2 have threatened ecological security and sustainable economic develop-
ment. This paper, however, focuses on examining the formation, evolution, and
control of wind-erosion-type desertification.
Desertification causes ecological degradation, induces natural disasters (e.g.,
dust and sandstorms), and takes a heavy toll on human livelihoods by sharply
reducing land availability, lowering soil fertility, and aggravating poverty in the
affected areas. Especially, it brings about drastic losses to communication and
transportation systems, water facilities, and the mining industries. Direct annual
economic losses are estimated to exceed 64 billion CNY (Lu and Wu 2002).
Statistics shows that approximately 400 million people are affected, resulting in a
considerable number of “environmental refugees” and “disaster migrants” in
severely affected areas. Severe desertification and sandification have threatened
the ecological security and sustainable economic development. This paper
primarily focuses on examining the formation, evolution, and control of
wind-erosion-induced desertification.
3.3 Combating Desertification Through National

Programs/Projects
3.3.1 National Programs
Since the late 1970s, China has launched a number of high-profile initiatives,
including the Three-North Shelterbelt Development Programme (1979–2050), the
National Programme on Combating Desertification (1991–2000), and the
Sandification Control Programme for Areas in the Vicinity of Beijing and Tianjin
(2001–2010). The Three-North Shelterbelt Development Programme is also widely
known as the Great Green Wall. It has been recognized as “a great initiative to
2
Sandy land refers to degraded land characterized by surface sandy materials. Sandy lands can be
induced by single or multiple factors under different climatic conditions; hence, its distribution is
not limited geographically.
transform the nature” and “a wonder of ecological engineering in the world” (Lu
et al. 2004). The formulation and implementation of the Three-North Shelterbelt
Development Programme has ushered in a new era of nationwide forestry devel-
opment, and the national project itself is a landmark of forestry development
involving the civil society and government agencies. It has also been viewed as a
significant transition in undertaking forestry development projects using engineer-
ing and systematic and standardized approaches.
Since the beginning of the new millennium, the Chinese government has
launched a number of large, ecosystem-oriented desertification prevention and
control initiatives, such as the Conversion of Croplands to Forests and Grasslands
Programme (2000–2010) and the National Soil and Water Conservation
Programme (2000–2010).
3.3.2 National Action Plan to Combat Desertification – Nationwide

Blueprint
In 2013, the State Council approved the National Desertification Prevention and
Control Plan (2011–2020), which provides a vision and the guiding principles for
combating desertification in the decade, that is, through prioritizing prevention,
active rehabilitation and proper utilization, to bring under control the rehabilitatable
desertified lands within 10 years. Overall, 20 million ha are targeted. Specifically,
10 million ha of relegatable sandy lands are mandated to be closed off and grazing
ban areas set up to halt the advance of desertification and improve the local eco-
logical conditions by 2015. The goal is to reverse the deteriorating trend in at least
50 % of the total restorable desertified lands, particularly in the priority areas, by
2020. The Plan also specifies the following key strategies:
(i) Prioritized regional approach: The plan sets key antidesertification and
regional demonstration programs in five major regions and 15 subregions to
gather success stories and showcase best practices for other areas in the
regions (Table 1);
(ii) Layered management goals: The key programs should reflect layered man-
agement goals in their implementation methods—prevention (access ban,
establishing nature reserves, ecological migration, etc.), comprehensive reha-
bilitation (integrated physical, chemical, and biological approaches) and
effective utilization (husbandry, plantation, product processing, and so on);
(iii) Coordinated restoration and development: The implementation of the
restoration programs should integrate poverty alleviation, sectoral develop-
ment, and regional economic growth; program implementation should also
incorporate proper water resource usage and agriculture and animal
husbandry.
390 S. Li et al.
Table 1 National roadmap and blueprint on combating sandification

Rehabilitation arrangements Priority/pilot rehabilitation
programs/projects in typical areas
during 11th national five-year plan
(2006–2010)
Five 15 Subregions
Eco-rehabilitation
regions
I. Desert margin and I. (1) Taklimakan Desert 1. Phase II of the sandification
oasis in arid area I. (2) Gurbantonggut Desert control program for areas in the
vicinity of Beijing and Tianjin
I. (3) Hexi Corridor and
2. Phase IV of the three-north
Alex Plateau (Badan
shelterbelt development program
Jilin and Tengger
3. Sandified grassland control
Deserts)
program
I. (4) Some humid sandy 4. Soil and water conservation
land program
II. Sandy land in II. (1) Vicinity of Beijing 5. Conversion of croplands to forests
semiarid area and Tianjin program
II. (2) Korqin sandy land 6. Conversion of pasture to grassland
II. (3) Mu Us sandy land program
7. Afforestation project for areas in
II. (4) Hulun Baier sandy the vicinity of Lhasa City, Tibet
land 8. Ecological restoration project in
III. Sandified land in III. (1) Qaidam Basin Hetian, Xinjiang
Qinghai–Tibet Desert 9. National pilot areas of integrated
Plateau III. (2) Gongjhe Basin efforts to combat sandification
Desert 10. Pilot areas of integrated efforts to
III. (3) Sandy lands of river combat sandification along the
valley in Tibet Old Beds of the Yellow River
11. Pilot areas of integrated efforts to
IV. Sandy land in IV. (1) Sandified lands combat sandification in Southern
semi-humid and dry between Yellow and China
semi-humid areas Huai Rivers 12. Integrated rehabilitation project
IV. (2) Sandified lands in Shiyanghe/Minqin Basin,
between Yellow and Gansu Province
Hai Rivers 13. Integrated rehabilitation project
V. Humid sandy land V. (1) Coast sandy lands around Qinghai Lake, Qinghai
in southern China V. (2) Sandy lands along Province
middle/lower 14. Natural conservation and
Yangtze River rehabilitation in the headwater
areas of Yangtze, Yellow and
V. (3) Sandy lands in river
Lancangjiang Rivers
valley of
southwestern China
3.4 Mid-/Long-Term Disaster Reduction Strategy:

Institutional Arrangements and Policy
Recommendations
3.4.1 Establishing Ecological Special Zones and Zero-Access Reserves
China’s northern borderline extends some 7400 km. It is also the sand shield belt
and the lifeline of nearly 50 ethnic minority groups. The Xinjiang Uygur
Autonomous Region, for example, borders with Mongolia, Russia, Kazakhstan,
Kyrgyzstan, Tajikistan, Afghanistan, Pakistan, and India along its 5400 km bor-
derline. Of the 5400, 3100 km are under the impact of strong gusts and sandstorms.
Inner Mongolia shares its border with Mongolia and Russia along a borderline of
4221 km. In addition to the impact from gusts and sandstorms, western China is
also an important region in terms of national defense and security due to the
presence of a significant number of space industry towns, military sites, satellite and
missile launching bases, and border patrol stations.
State-owned forest farms, including nurseries and sand control stations, and
experimental and demonstration stations in desertified areas constitute the main
scientific and technical capacities in implementing initiatives for rehabilitation and
combating desertification. However, many research initiatives have been con-
strained by insufficient funding, and key technical issues remain unresolved, such as
water-saving techniques and improved seed selective breeding, and pest control.
Many seed production and seedling nurseries are at stake. In some cases, employee
salaries have not been paid on time, let alone technical support for program
implementation.
In view of the above situations, several policy recommendations are proposed:
(i) Areas containing military bases (army bases, space industry towns, military
sites, satellite and missile launch bases, and border patrol checkpoints) and
scientific research and experimental stations (long-term observatories, desert
control stations, new species experimental bases and new technical extension
service facilities) in western China may be set aside as special complex eco-
logical zones;
(ii) Primary and secondary Gobi, deserts and sandy lands in less populated areas,
alpine and rural plateau areas may be specified as zero-access nature reserves.
3.4.2 Establishing Specialized Rehabilitation Forest Farm Companies
On many sites for combating desertification, some unsustainable development

interventions have caused negative consequences for the expansion of croplands
due to pressures that forest farms and their employees faced to reduce seedling
nurseries for cereal production. The outbreaks of yellow-spotted long-horned beetle
and Asian long-horned beetle in recent years have devastated massive protective
392 S. Li et al.
forests and brought drastic losses to local agricultural production in northwestern

China. In the Ningxia Plain, the pest outbreaks have forced the removal of many
shelterbelts, resulting in the decline of crop yields by 20–30 %. Such originally
avoidable losses are directly linked to the operational and implementation diffi-
culties mentioned above.
In consideration of the lack of efficacy via direct—and rather limited—gov-
ernment investment and the need for sustained effectiveness of control activities, it
is proposed to engage economic entities as contractors to assume the responsibil-
ities for the implementation of ecological restoration projects at the ministerial,
provincial, prefecture, and county levels. Existing firms, rural shareholding coop-
erative forest farms, desert control stations, state-owned forest stations, and laid off
workers should be encouraged to participate in the bidding for state and local
governments’ programs for combating desertification. The ecological restoration
projects should undergo proper bidding processes and be put under proper con-
tractual arrangements. The program implementation would be able to leverage
benefits from incentive-based and market-oriented efficiencies frequently seen in
the private sector.
3.4.3 Legislation of Preferential Policies for Combating Desertification
A series of preferential policies for restoration and combating desertification have

been issued in China, such as low-interest loans, zero-fee use of sandy lands, and
tax-free development projects on sandy lands. However, most of these policies have
become outdated. To encourage further desertification control initiatives and
development of the affected lands, new preferential policies should focus on the
following four aspects:
(i) Providing financial assistance: The rehabilitation and development of deser-
tified lands demand huge investments. The budgetary allocations from the
Central Government for various purposes—poverty alleviation and develop-
ment in various sectors, such as agriculture, forestry, animal husbandry, water
resources and energy sectors, should be combined and utilized in a coordi-
nated manner, so as to enhance the intensity and enlarge the scale of the
investment, and to ensure its effectiveness;
(ii) Issuing preferential loans: The methods of discounting interest for the
fixed-target, fixed-term, and fixed-rate loans need to be improved. Repayment
schedules of the loans should be tailored to match the project components. For
example, the term of loans for fruit plantations should be extended to 8–
15 years to reflect the longer investment period needed until economic returns
can be reaped. The loan-granting conditions and procedures should be sim-
plified and the existing mortgage requirements be relaxed;
(iii) Reforming land tenure and property rights systems: Communities, civil society
groups, private individuals, and foreign enterprises are encouraged to contract
rehabilitation and development of desertified lands. A new tenure system
—‘the contributor gets the spoils’—should be built into formal institutional
settings for stable implementation (50–70 years) that allows for auctions,
leasing, inheritance, and transfer of the titles;
(iv) Introducing tax breaks: Forestry is a feeble undertaking with a long production
period, in comparison with agriculture. The tax-free period for the “special
agriculture-forest-products taxes” should be extended and the tax rates should
be reduced.
3.4.4 Improving Ecological Compensation Mechanisms
The essence of the various initiatives to combat desertification lies in ecological

restoration, which requires sustained management and maintenance over the long
term. The returns of such endeavors have been traditionally ascribed primarily or
entirely as public goods. The contribution and inputs made by the contributors need
to be compensated through payments. These payments will serve several purposes:
replenishing the depleting pools of funds for ecological rehabilitation, balancing the
welfare between bearers of the costs and beneficiaries from ecological rehabilita-
tion, and enhancing public awareness and the civil society’s sense of responsibility
for environmental protection. The payment system for ecological rehabilitation in
desertified areas needs to incorporate the following three components:
(i) A certain portion of the funds required for ecological rehabilitation will be
charged to the enterprises, communities, and individuals who benefit from the
activities; the proportion will be determined on the basis of the magnitude of
the benefits;
(ii) Those entities and individuals who will use the rehabilitated desertified lands
must pay fees to compensate for the costs of rehabilitation;
(iii) Those who bring detriments to the ecological environment will not only
receive penalties and be held responsible for restoring the damaged environ-
ment, but will also pay the prescribed ecological compensation fees. The fees
collected will be used strictly for the formulation and implementation of new
projects and initiatives for combating desertification. Diversion of these funds
for other purposes is strictly prohibited to ensure sound management, as well
as healthy and sustainable development of the desertification restoration
projects.
394 S. Li et al.
3.5 Conclusions
Climatic and other natural causes are considered to be the main factors that are
accountable for 70 % of China’s present desertified areas. The remaining 30 % of
desertified areas are largely due to anthropogenic causes and are believed to have
formed during the past 3000 years. Since the unification of China in 221 B.C., vast
land conversion programs that converted grasslands into farmlands, forests into
cultivated areas, and subsequently deserted farmlands into desertified areas, have
significantly changed the landscape of the original northern pastures.
A considerable area of these cultivated lands eventually became degraded and
turned into sandy lands.
Mitigation efforts in the past five decades by the Chinese government have
yielded significant achievements, in that nearly 20 % of the country’s desertified
lands have been brought under control using various biological and engineering
approaches. However, owing to the rapid increase in desertified area induced by
global climate change, the total rehabilitatable desertified lands are estimated to be
500,000–1,000,000 km2. Given the magnitude of desertification and the enormous
tasks for combating desertification, current levels of investment, even under a fairly
optimistic outlook, would prove to be inadequate to achieve the desired goals.
Combined with unsatisfactory effectiveness of existing investments, fundamental
changes in the investment level and methods will be necessary to advance closer to
the restoration targets.
This is a vision for China’s continuing battle against desertification: given the
estimated 500,000–1,000,000 km2 of projected area targeted for future desertifi-
cation restoration and mitigation, with the current restoration rate (approximately
10,000 km2 per annum), the battle for combating desertification could easily extend
over 50–100 years, the time span of the strategic blueprint. China’s current strategic
plan, which sets restoration targets at 220,000 km2 by 2015, an additional
330,000 km2 by 2030 and the final 450,000 km2 by 2050, is a difficult target to
reach.
A few institutional arrangements and policy recommendations may be considered
for future efforts to combat desertification: (1) readjust the management system and
project planning mechanisms to expand the previous sectoral perspective to an
all-stakeholder approach and encourage broad social participation; (2) set priority
areas amongst the entire restorable area, establish state special ecological zones (e.g.,
forest farms, protected areas, and headwater areas), so as to channel limited funds
toward priority areas rather than spreading them out thinly; (3) restructure state
investment portfolio for combating desertification by changing the government
direct investment in plantations to government acquisition of planted areas; and
(4) adopt policies that favor desertification control and rehabilitation, enable com-
pensation of rehabilitation activities for ecological services, and make improvements
to the institutions for long-term land tenure and ecological compensation.
4 Debris-Flow Treatment: Integration of Botanical

and Structural Countermeasures
4.1 Introduction
Debris flow brings damages to engineering constructions and ecological environ-

ment such as towns, factories, roads, farmlands, and forest. It, as one of the major
global hazards, has drawn more and more attention throughout the world.
4.1.1 Debris-Flow Hazards in China
China, over two-thirds of the land occupied by hills and mountains, suffers lots of
debris flows and has over 74 million people living in risk. According to a primary
statistical research, in China, there are over 8 × 104 debris-flow gullies with
intensively active areas of 1.3 × 106 km2 (Kang et al. 2004). In recent decades,
thousands of debris flows have occurred in China. Geohazards including debris
flows and landslides took 15,649 lives from 1997 to 2010, in total 1043 a year in
average. The direct economic loss is estimated to be over 5 billion RMB per year.
In 2010, the death toll reached 2913 including 1765 death caused by debris flow in
Zhouqu. Frequent geohazards and increased risk have raised a key issue of disaster
prevention in regional development of mountainous areas. And it is indispensable
to improve the techniques of disaster prevention for adapting the rising risk (Cui
et al. 2007).
4.1.2 Advances in Debris-Flow Control
After the first project achieved by professor Guan Junwei in early 1950s, from
1961, Chinese scientists had organized a series of regional debris-flow investiga-
tions in the regions of Tibet, Hengduan Mountains, etc. Based on the results of field
surveys, the map of debris-flow distribution and its hazard characters regionaliza-
tion was drew up (Tang et al. 1991), and the database of debris flows and landslides
was established (Zhong et al. 1998). Subsequently, the technology of disaster
prevention and reduction was developed by combining prevention and control,
incorporating botanical and geotechnical countermeasures, as well as accommo-
dating disaster prevention and utilization of resources (Tang et al. 1980; Cui 2009;
Cui et al. 2008).
Despite achieved advances, there is still room to improve the methodology for
amalgamating geotechnical engineering with botanical methods in debris-flow
mitigation projects.
396 S. Li et al.
4.2 Techniques of Debris-Flow Mitigation
4.2.1 Technical System for Preventing and Controlling Debris Flow
In China, a debris flow is often treated throughout whole catchment, taking both
upstream and downstream into consideration and regulating gullies and slopes
simultaneously, with the methodology of incorporating botanical countermeasures
and geotechnical engineering (Chen et al. 1983; Zhou et al. 1991; Tang 2000; Wu
et al. 1993; Li 1997) (Fig. 1).
4.2.2 Botanical Countermeasures
On slopes, usually, botanical countermeasures for debris-flow control are adopted

by using highly effective spatial configuration pattern with multiple vegetation
structures. Besides in some locations with serious gravity erosion, the designed
vegetation reduces hydrodynamic conditions during debris-flow formation process.
4.2.3 Geotechnical Engineering Countermeasures
Geotechnical engineering methods, including the works of water storage and

diversion, slope stabilization, sediment trap, drainage, and so on, are constructed to
Fig. 1 Technical system for preventing and controlling debris flow in small watershed
control the processes of debris-flow formation and to reduce damage energy in

source area, transmission area, and accumulated area.
4.3 Integration of Botanical and Geotechnical

Countermeasures
The system of multilevel control for runoff and solid materials in

“slope-gully-valley” system is set up to limit formation conditions of debris flow
and regulate its movement.
4.3.1 Regulation for Infiltration and Runoff Process on Slope
The key point to prevent debris-flow formation is using reasonable configuration of

botanical countermeasures and geotechnical structures to regulate the processes of
infiltration and runoff on slope as follows:
Regulating rainfall and runoff using multilayer structure of vegetation: The
function of multilayer vegetation can reduce rain-splash erosion and alleviate
runoff. Therefore, vegetation should be planted on the slopes in the upstream of
debris-flow gully to reduce soil erosion, delay runoff convergence concentration
and flood formation, and limit hydrodynamic condition of debris-flow formation.
Controlling soil erosion by contour methods: Contour countermeasures can
allay soil erosion and sediment yield by reducing the amount and velocity of
surface runoff. For example, contour hedgerow, planting in twin-row belts with an
interval from 4 to 8 meters, has been proved to reduce soil erosion (Sun et al. 2001)
(Fig. 2).
Mini-works of water conservancy on slope for regulating the process of
overland flow confluence: Mini-works of water conservancy is constructed to
redistribute or trap runoff, reduce water scour and sediment discharge, store runoff
and drain excessive runoff safely. The systems can regulate the processes of surface
flow confluence and control the slope runoff (Fig. 3).
4.3.2 The Countermeasures for Controlling Retrogressive Erosion

of Gully Head
Retrogressive erosion of gully head is a key point in debris-flow prevention. There

are many kinds of structural works for controlling gully head erosion, such as water
retaining ridge, water storing ridge, closed gully ridge, drainage ditch, waterfall, etc.
In the areas with sufficient water supply, botanical methods can provide effective
398 S. Li et al.
Fig. 2 Contour hedgerow used for reducing soil erosion
Fig. 3 The diagram of

Water storage pool
mini-works of water Soil and water
conservancy on slope conservation forest
Sediment
deposition pool Level ditch
Terrace
Side walk
Drainage ditch
toward river or
reservoir
Main ditch
retrogressive erosion control. The combination of botanical methods and geotech-

nical engineering works has better effects on retrogressive erosion control than a
single method.
4.3.3 The Techniques of Energy Dissipation in Gully
In mountainous areas, step-pool system can control river flow velocity, dissipate
flow energy, regulate sedimentation in river, and also reduce the huge potential
energy of water flow in steep slope to protect river bed from heavy water scour (Xu
et al. 2003), which also creates favorable habitats for aquatic. Based on the prop-
erties of step-pool system, huge boulders can be used to create artificial step-pool
system to prevent debris-flow initiation from the upstream of gully (Wang et al.
2009) (Fig. 4).
(a) (b)
Step
Hydraulic jump
Pool
s= tan
Fig. 4 The step-pool system benefits energy dissipation, river bed stability and erosion reduction,
and improves ecological status (from Wang Zhaoyin) a step-pool system b artificial step-pools and
good ecological status in Shnegou gully, Dongchuan city, Yunnan Province
4.3.4 The Techniques for Regulating Movement and Composition

of Debris Flow
For the objective of regulating the processes of a mature debris flow, step-check
dams should be set up to reduce solid content, velocity, and flow rate of debris flow
through blocking solid materials step by step. Sometimes, the step-check dams
provide openings with various sizes reduces from upstream to downstream for
trapping and sorting the gravels in debris flow. Normally, a drainage channel or a
deposition barrier is constructed to control debris flow flowing over the last check
dam.
4.3.5 Case Study: Debris Flow Treatment in Jiuzhaigou, a Site

of World Heritage
In Jiuzhaigou, the above treatment, integrating botanical and geotechnical coun-

termeasures were applied to protect the landscapes and eco-environment and to
make engineering works be operated in harmony with landscapes. This method-
ology consists of control work in the source areas and various structures for trap-
ping sediment and diverting flows. All works in 14 debris-flow tributaries of
Jiuzhaigou have been worked well and protected landscape effectively.
Debris flow prevention techniques have been summarized as botanical and

geotechnical engineering methods. The treatment system of multilevel runoff and
unconsolidated soil in the catchment was also set up. The treatments applied in
Jiuzhaigou have worked well and protected landscape effectively. However, for
400 S. Li et al.
more effective mitigation of debris flow disaster, the following scientific issues
should be approached further in future.
4.4.1 To Study Debris-Flow Prevention Mechanism of Botanical

Countermeasures
At present, little is known about the mechanism of disaster mitigation by plants’

underground parts as well as that of the “plant-soil-structure-water” system in
different conditions. In future, we should highlight the study on the debris-flow
mitigation mechanism of botanical methods for the planning, design, species
selection, and combine with geotechnical engineering structures.
4.4.2 To Quantitatively Assess the Functions of Botanical

Countermeasures
Up to now, little attention was paid to the function of debris-flow prevention due to
plants’ underground parts, especially to soil structure and soil strength. Further
study should focus on soil consolidation capacity of plants’ root system and critical
depth of root. Furthermore, the evaluation indices of disaster reduction function of
botanical countermeasures should be set up quantitatively.
4.4.3 To Develop Technical Specification of Botanical

Countermeasure Design for Debris Flow Mitigation
The technique of botanical countermeasures should be developed for each

eco-geographical zone. Afterward, the technical regulation for botanical counter-
measures design in different conditions should be proposed.
4.4.4 To Improve the Techniques of Integrating Botanical

and Geotechnical Engineering Countermeasures
So far, little is concerned about spatial configuration modes and comprehensive

disaster reduction benefit due to lack of research data. The further study on opti-
mization allocation of botanical methods and geotechnical engineering structures
should provide technical support for the establishment of synthetic management
system to control debris flow.
5 The Present Status and Prospect of the Researches

on Desert Lichens and Ecological Restoration in China
This paper is dealt with the desert lichens based on the analysis of the community
succession in the arid and semiarid deserts from China. The results demonstrate that
the community succession of all living things in the arid and semiarid deserts
depend mainly on the water balance. On the one hand the artificial vegetation
provided a habitat suitable for the crust microbiota, and led to developing the crust
microbiota, and on the other hand the artificial vegetation with water pump effect
expended the deep soil water during the long process of ecological succession
under the water balance, and led itself to decline year by year. On the contrary, the
crust microbiota without water pump effect and with sand-fixating function well
developed year after year. Then, the declined artificial vegetation protection system
was replaced by the new protection system of the dominant carpet-like crust
microbiota. This is a living example of the “Natural Selection, or the Survival of the
Fittest.”
The crust microbiota results from an intimate association between soil particles
and cyanobacteria, algae, microfungi, lichens, and bryophytes. Soil particles are
aggregated through gathering by the presence and activity of these biota, and the
resultant living crust covers the surface of the ground as a coherent layer. The
lichens are dominant group among the crust microbiota in the desert of the
Shapotou region.
A lichen is a symbiotic association of a fungus (mycobiont) and a photosynthetic
partner (photobiont), which may be an alga (phycobiont) or a cyanobacterium
(cyanobiont). The association is a complicated arrangement in which the fungus
produces a thallus or body within which the photobionts are housed.
Such a result provided a scientific basis for the feasibility of constructing
“Bio-Carpet Engineering” on the arid desert.
The “Bio-Carpet Engineering” is to construct the crust microbiota by means of
the biotechnique of isolation and inoculation of the crust microbiota, including the
mycobionts and photobionts to form the lichens in the crust microbiota on the arid
desert. Second, in order to improve the “Bio-Carpet Engineering,” it is necessary
also to study the drought-resistant transgenic sward plants using the
drought-resistant genes from the desert lichens.
6 The Ecological Conservation and Development

in the Ecologically Fragile Areas
6.1 Introduction
China is one of the countries in the world with the most obvious ecological fragility
and the largest areas and the most types of ecological fragility. The ecological
402 S. Li et al.
fragile areas are mainly located in northern arid and semiarid areas, southern hills,
southwestern mountainous areas, Qinghai–Tibet Plateau, and the connection areas
between water and land in the eastern coastal areas. Twenty one provinces (regions
and/or municipalities) are involved; they are Heilongjiang, Inner Mongolia, Jilin,
Liaoning, Hebei, Shanxi, Ningxia, Gansu, Qinghai, Xinjiang, Tibet,Sichuan,
Yunnan, Guizhou, Guangxi, Chongqing, Hubei, Hunan, Jiangxi, and Anhui. The
major types of ecological fragility include the northeastern forests and grass transfer
areas, the northern agriculture and animal husbandry transfer areas, the north-
western desert and oasis transfer areas, the southern red soil and hill areas, the
southwestern karst desertification areas, the Qinghai–Tibet composite erosion areas,
and the coastal water and land transfer areas.
The major problems in the ecologically fragile areas are the grassland degra-
dation and land sandification, obvious vegetation degradation and severe erosion,
frequent natural disasters and difficult poverty alleviation, water shortages and
drought, and wetland function decrease and biodiversity loss. Besides the original
fragility, there are two other major reasons for the ecological degradation in the
ecologically fragile areas, i.e., excessive disturbances of human activities, such as
reclamation on the hills and in the areas with water shortages, and the government
supervision departments separated in the functions, poor capacity in the coordi-
nation and inefficient in the monitoring.
6.2 The Conservation of Ecologically Fragile Areas
The principles for the ecological conservation in the ecologically fragile areas
should be, giving the emphasis on the prevention and the priority to the protection,
moving forward part by part, delivering the guidance by the types, strengthening
the monitoring and moderately developing the areas, and formulating an overall
plan and implementing the plan step by step. The measures to conserve the eco-
logically fragile areas could be divided into four categories. The first category is the
adaptation measures, including to replace the growing grains by planting fruit trees
and developing animal husbandry which are more adaptable to climate change and
to develop nonagricultural industries safely.
With the development of the national economy, the adaptation measures for the
ecologically fragile areas have expanded from agriculture to industry and services.
The increase in the appropriate measures could not only reduce the pressure of
production activities on the ecological system, but also promote the development of
the ecologically fragile areas.
The secondary category measures to protect the ecologically fragile areas are
mutually complementary. It is complementary to provide forage by the agricultural
areas to pastoral areas. It should establish a mutual complementary relationship
between the animal husbandry and the other industries. It should establish a
complementary relationship between the ecologically fragile areas and the other
areas. It also should form a complementary relationship between the production and
conservation.
The third category measures are protective. The priority is to establish nature
reserves, effectively protecting the fragile ecological system. The fourth category is
management measures. First, it should strengthen the capacity building in the
ecological monitoring and evaluation, establishing an ecological early warning
system for the ecologically fragile areas. Second, it should formulate the supervi-
sion regulations for the resource development in the ecologically fragile areas, work
out various technical standards and technical specifications for the resource
development, ecological recovery and reconstruction in the ecologically fragile
areas, and actively promote the process of ecological conservation, restoration, and
reconstruction in the ecologically fragile areas. Third, it should strengthen the
supervision and law enforcement of resource development and improve the envi-
ronmental monitoring in the ecologically fragile areas.
6.3 The Development of Ecologically Fragile Areas
When the ecologically fragile areas were divided over 20 years ago, around 76 % of
the counties located in the area were under the poverty line. These poor counties
accounted for 73 % of the total poor counties in the provinces they were located.
Around 43 % of the ecologically fragile areas were located in the poor counties,
accounting for 47 % of the total area of the total poor counties within the same
provinces. Around 68 % of the farmland in the ecologically fragile areas was
located in the poor counties, accounting for 74 % of the total farmland in the total
poor counties within the same provinces. Around 74 % of the population in the
ecologically fragile areas was located in the poor counties, accounting for 81 % of
the total population in the total poor counties within the same provinces.
After the over 30-year economic reform and opening up, the transformation of
China’s economic system has primarily completed. With the stronger and stronger
market pull, the more and more laborers are employed outside the ecologically
fragile areas, and the problem of absolute poverty has basically solved.
After the over 30-year rapidly economic growth, China’s comprehensive
national power is obviously strengthened, and the government push is stronger and
stronger. With the implementation of the western development strategy, the
infrastructure of water, power, and transportation in the ecologically fragile areas
has been remarkably improved. And conditions for the development of nonagri-
cultural industries are better and better. The implementation of the ecological
programs and projects, including the natural forest conservation, conversion of
farmland to forests, prevention and control of sandification, “Three-North”
afforestation, comprehensive improvement of farmland on the hills, natural
reserves, and the issue of the forest and grassland ecological compensation systems
have notably improved the macro-environment of the ecological conservation and
404 S. Li et al.
construction in the ecologically fragile areas, and pressures on the ecological

environment and natural resources have continuously declined.
At the end of 1990s, China entered the stage of basic balance between the supply
of and demand for the agricultural products, with surplus in the harvest years. Since
then the characteristics of marketization, specialization, and regionalization are
more and more remarkable. With this context, the comparative advantage has been
clear to grow fruit trees and develop animal husbandry in the ecologically fragile
areas.
6.4 Several Relationships for the Conservation

and Development of the Ecologically Fragile Areas
6.4.1 The Relationship Between the Ecological Improvement

and the Economic Development
It is necessary to strengthen the ecological construction in the ecologically fragile

areas and at the same time to promote the economic development as well. It should
make the ecological system used efficiently on the one hand, while the industrial
structure adjusted from unsustainable to sustainable, on the other hand. The con-
ditions to grow and develop the organic, green and nonpollutant fruit trees, and
animal husbandry are much better in the ecologically fragile areas rather than in the
other areas. Therefore, the meaning to conserve the ecologically fragile areas is not
to take the extreme measures such as prohibiting the logging, grazing and fishing,
but to take appropriate measures which are able to keep the sustainable use of the
resources.
6.4.2 The Relationship Between the Investments in the Ecological

Improvement and in the Human Capital
Ecological conservation has a large externality. Therefore, the government should

induce the residents in the ecologically fragile areas to invest in the human capital,
making them have the ability to upgrade the employment structure and industrial
structure and continuously reducing the pressure of economic growth on the eco-
logical resources, while increase the investment in the improvement of the eco-
logically fragile areas. The government’s ecological compensation should be made
for both the stocks and the incremental amount of the ecological assets. If the
ecological compensation is simply delivered in light of the area of the ecological
assets, it would be difficult to encourage the residents in the ecologically fragile
areas to protect the ecological environment, even if the standard of the ecological
compensation is quite high. The residents would have no the incentives to expand
the ecological assets without the establishment of the ecological compensation

system in light of the incremental ecological assets.
6.4.3 The Relationship Between the Ecological Improvement

and Reasonable Planning
First, there must be forward-looking and operational planning for the ecological
improvement, ensuring the work of the ecological conservation and construction
carried out smoothly. Second, it must organically unify the planning preparation
and cycle management. On the one hand, it should prepare the overall planning and
the implementation programs for different areas and levels, combining the short,
medium, and long-term goals organically. On the other hand, it should timely (re)
adjust the planning and implementation programs in light of the changes in the
conditions, keeping them always suitable to the reality.
6.4.4 The Relationship Between the Technical and Mechanism

Innovations
First, the ecological improvement must be led by technical innovation. The inno-
vation should be conducted in the key techniques for the ecological conservation,
restoration and reconstruction, really practicing the principles of priority ecological
improvement. It should based on the local conditions grow fruit trees and develop
the animal husbandry, eco-tourism and other nonagricultural industries, forming the
industrial structures and land use structure suitable to the ecologically fragile areas,
really implementing the principle of ecological and economic coordinated.
Second, it must follow the rules of gradual progress, keeping going and step by
step. Third, the government should really protect the property right, maintain the
fair competition, and provide public goods, completing the transformation from a
management government to a service government.
6.5 Tasks and Measures to Maintain the Ecological Stability
The major tasks for the ecological conservation are given below. It should improve
the policy, law and regulation systems, establish a diversified comanagement
mechanism for the communities, enhance the public awareness in the participation,
and promote the ecological conservation and construction. It should establish the
ecological compensation system, realize the balance between the demand and
supply sides of the positive externalities, achieve the ecological conservation
socialization, and gradually eliminate the differences between the areas, residents’
income, and public services. It should strengthen the scientific and technological
innovation, promoting the ecological conservation and restoration. It should
406 S. Li et al.
establish a suitable system for the industry access, limit or reduce the human
disturbance, mitigate the population pressure on the land, and effectively overcome
the ecological fragility.
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Part IV
Global Change Ecology
Chapter 13
The Contribution of Ecology
in International Global Change Projects
Quansheng Ge, Bangbo Cheng, Panqin Chen, Xiuqi Fang

and Xiubin Li
Abstract Since 1980s, global environmental change has gradually become the hot
research field of earth science and life science. Ecology, as an interdisciplinary of
the two sciences, intervenes more global environmental change study. This study
concerns the change of support capacity from earth system to life, which obviously
accords with ecology’s mission. Recognizing the importance of integral systematic
concept and long-term systematic simulating observation on solving the problem of
environmental change, international geological and ecological circles changes the
organization formation of scientific research and continuously establish many large
research projects. The research organization formation and related academic
exchange activities had promoted the intercross fusion between different subjects
and the meta-synthesis of studies on resource, environment, ecology, and disaster.

Keywords IGBP IHDP China’s contribution Ecological research Academic
exchange
Q. Ge B. Cheng X. Li (&)
Institute of Geographic Sciences Natural Resources Research, Chinese Academy of Sciences,
P. Chen
Bureau of Science and Technology for Resources and Environment, Chinese Academy of
X. Fang
Beijing Normal University, Beijing 100875, China

DOI 10.1007/978-3-662-48376-3_13
412 Q. Ge et al.
1 China’s Contributions to IGBP Research
1.1 Introduction
The International Geosphere-Biosphere Program (IGBP) was founded by the

International Council of Scientific Unions (ICSU) in 1987. In October 1988,
the first meeting of Scientific Advisory Council of IGBP (SAC-IGBP) adopted the
outline of IGBP, which included four main contents as follows (Chen 1989):
(i) Terrestrial biosphere–atmosphere chemical interaction
(ii) Marine biosphere–atmosphere interactions
(iii) Biosphere aspects of hydrological cycle
(iv) Effects of climate change in terrestrial ecosystem
Ecosystem is one of the few major research objects of IGBP. Many core projects
of IGBP, such as GCTE, GLOBEC, iLEAPS, and IMBER are designed and
implemented in the fields of ecosystem, biological processes, and biogeochemistry.
Therefore, IGBP has become an important platform for the development of
ecology.
As one of the initiators of IGBP, China was also one of the early global change
researchers in the world and has made important contributions to the development
of IGBP in many fields, including ecology.
1.2 Establishment and Development of China’s IGBP

Research Organizations and Participation of Ecological
Academic Circles
1.2.1 Establishment and Development of CNC-IGBP and Its Working

Groups Related to Ecology
In 1988, only one year later than IGBP’s foundation, the Chinese National
Committee for the International Geosphere-Biosphere Program (CNC-IGBP) was
established in Beijing. Under the leadership of the China Association for Science
and Technology, CNC-IGBP is an academic organization that organizes and pro-
motes Chinese scientists’ participation in IGBP research.
Since the establishment of CNC-IGBP, its members’ number and representa-
tiveness have both expanded. From 1988 till now, the number of CNC-IGBP’s
members have increased from 27 to 59, participating academic societies have
increased from 13 to 16 and participating government agencies have increased from
5 to 9. Its working groups have increased from 2 to 12, with group members
increasing from less than 20 to nearly 300.
Each working group of CNC-IGBP works on ecology and some of them are
highly related to ecological core projects of IGBP, like working group on GCTE
13 The Contribution of Ecology … 413
and working group on GLOBEC/IMBER. These groups have promoted partici-

pation of Chinese scientists in IGBP ecological research and development of
China’s ecological research.
1.2.2 Ecologists’ Participation in CNC-IGBP
China’s IGBP related researches are gathering many excellent ecologists and sev-
eral ecological societies. Each successive session of CNC-IGBP committee has
representatives from Ecological Society of China, Botanical Society of China,
Chinese Society of Forestry, etc. There are many ecologists in CNC-IGBP working
groups. Some of these ecologists are not only members of CNC-IGBP, but also
leaders of international ecological programs like IGBP, DIVERSITAS, MAB, and
IGBP ecological core projects.
1.3 Contribution of China’s Ecological Research to IGBP
1.3.1 Establishment and Development of CERN
In 1988, the Chinese Academy of Sciences established Chinese Ecosystem

Research Network (CERN). In the past quarter of the century, CERN set up basic
platform for China’s long-term ecological experiment and data accumulation,
provided firm support for deep research on ecology, and put good experience of
ecosystem management into demonstration. Till now, it has made important
achievements in dynamic observations of ecosystems and related researches,
experiments, and demonstrations. Because of its outstanding achievements, CERN
has become one of the three most important national ecosystem research networks
in the world, equal to the Long Term Ecological Research (LTER) network of the
United States and the Environmental Change Network (ECN) of the United
Kingdom.
CERN is not only playing an important role in ecological research, but also in
global change research. For example, it developed spatial climate elements database
of China’s terrestrial ecosystems, clarified spatial change characteristics of China’s
soil, carbon, and nitrogen in 1990s, and constructed a series of models as base for
coupling research of carbon and hydro cycles (CERN Scientific Committee 2008;
CERN Synthesis Research Center 2010; CERN website 2011).
1.3.2 Studies on Transects of Global Change
Terrestrial transects is an effective platform for global change studies, in order to

understand how terrestrial ecosystems will respond to global change, to predict and
evaluate the possible effects of global change, and to ensure the sustainable
414 Q. Ge et al.
development of our life supporting system. Chinese ecologists made important

contributions in this field. Northeast China Transect (NECT) and North–South
Transect of Eastern China (NSTEC), which were proposed by Chinese ecologists,
have been selected as IGBP standard transects and have become important bases for
global change and ecosystem studies (Zhang et al. 1997; Zhou et al. 2002; Peng
2001; Li et al. 2004; Yu et al. 2010).
1.3.3 Development of Ecosystem Models
Accurate prediction of climate change and its possible impact to ecosystems is one
of the major objectives of IGBP. In these researches, ecosystem models have been
proved to be an effective tool. Chinese scientists have developed several terrestrial
and marine ecosystem carbon cycle models, and made some important progresses
in the development of models of typical ecosystems and coupling of ecosystem
models and models of other earth subsystems. These models are playing significant
roles in researches on understanding relationship between ecosystem evolution and
climate change, and on estimates of characteristic and potential of carbon budget of
China’s terrestrial ecosystem(Zeng et al. 2005, 2008a, b; Zhou and Zhang 1995;
Zheng and Zhou 2000; Gao et al. 1997; Zeng 2010; Zeng and Lin 2010; Liu et al.
2009; Mao et al. 2005).
1.3.4 Studies on Carbon Storage of China’s Terrestrial Ecosystem

and Its Spatiotemporal Distribution
Mechanisms of carbon storage change and carbon cycling process of earth system
are scientific basis for analysis of climate change causes, prediction of its climate
trends, and mitigation and adaptation policy making. Since 1980s, Chinese scien-
tists have studied the carbon cycles of terrestrial ecosystem, and these studies
produced important results. For example, Fang et al. (2007) estimated terrestrial
vegetation carbon sinks for China’s major biomes between 1981 and 2000, using
China’s ground observations. Tao et al. (2007) used a high-resolution climate
database and an improved ecosystem process-based model to quantify spatiotem-
poral pattern and dynamic net ecosystem productivity (NEP) in China and its
responses to climate change during 1981–2000. Ji et al. (2008) investigated the
projected changes in carbon exchange between China terrestrial ecosystem and the
atmosphere, vegetation, and soil carbon storage during the twenty-first century,
using an atmosphere–vegetation interaction model (AVIM2).
1.3.5 Studies on Marine Ecosystem Dynamics
Marine ecosystem dynamics is an important part of researches on global change and

marine ecosystem. Chinese scientists started studies on mega marine ecosystem
from the early 1980s, and Chinese studies on marine ecosystem dynamics have
been developing together with international scientific community since then. Both
the Ministry of Science and Technology (MOST) of the PRC and the National
Natural Science Foundation of China (NSFC) arranged key research projects on
marine ecosystem dynamics, such as “Ecosystem Dynamics and Sustainable
Utilization of Living Resources in the East China Sea and Yellow Sea” (1999
−2004) within national basic key research program. These research activities have
made many innovative achievements (Tang et al. 2005).
1.4 Domestic and International Academic Exchanges
Since Chinese scientists joined in IGBP research, there have been numerous aca-
demic exchanges in many different ways, among Chinese scientists themselves and
with international scientific community. Such exchanges not only promote the
understanding and cooperation among scientists, but also advanced the develop-
ment of China’s global change ecology.
1.5 Outlook
In future, international global change research will pay more attention to sustainable
development of human society, integration of earth system factors, application of
new technologies and modeling, data sharing, and international strategic coopera-
tion (Ge et al. 2007).
As for China, ecology will play a more important role in global change research,
and addressing global change will be one of the major objectives of China’s eco-
logical research. Meanwhile, there will be need of adjustment and improvement in
research contents, studying methods, basic capacity, and international cooperation
(Li 2010; Li et al. 2005).
2 China’s Contributions to IHDP Research
The International Human Dimensions Program on global environmental change

(IHDP) is an academic organization to coordinate, plan, and organize international
social science researches related to global environmental change. IHDP was
established in 1996, and was jointly sponsored by the International Council for
Science (ICSU) and the International Social Science Council (ISSC). It is an
international nongovernmental organization. The predecessor of the IHDP is
Human Dimensions Program (HDP), which was founded in 1990 by the ISSC. In
2006, the United Nations University joined as an institutional sponsor. IHDP’s
416 Q. Ge et al.
mission is to promote innovative interdisciplinary researches in global environ-

mental change. These researches take the coupled human and nature system under
the background of global environmental change as the research object, aiming to
describe, analyze, and understand the humanistic factors of global environmental
change.
In China, the basic characteristic of economic and social development in recent
years is the rapid industrialization and urbanization with rapid economic growth. It
has resulted in high pressure on natural environment, and it requires scholars for
further improving the recognition of the earth system, especially the coupled human
and nature system. Improved recognition should then be translated to relevant
knowledge and techniques for solving the existing problems. In addition, human
activities should be reasonably organized for sustainable development. In this
context, IHDP attracted the active participation of Chinese scholars at the very
beginning.
(i) The initial IHDP included four core projects, including the Global
Environmental Change and Human Security Project (GECHS), the Institutional
Dimensions of Global Environmental Change Project (IDGEC), the Industrial
Transformation Project (IT), and the Land Use and Cover Change Project
(LUCC). Of them, LUCC was the first one jointly launched by IHDP and IGBP
(Turner et al. 1995). Chinese scholar Liu Yanhua participated in the formula-
tion of the LUCC plan. The project started in 1995 and ended in 2005. During
this period, another Chinese scholar Xu Jianchu, made contributions to the
IGBP-LUCC project as a member of the scientific steering committee. The
Urbanization and Global Environmental Change Project (UGEC) began in
2005, and Deng Xiangzheng, from the Institute of Geographical Sciences and
Natural Resources Research (IGSNRR), Chinese Academy of Sciences (CAS),
was elected as one of its scientific steering committee members.
After 2005, LUCC combined with another core project of the IGBP, the Global
Change and Terrestrial Ecosystems Project (GCTE), and formulated a new project
named the Global Land Project (GLP) in the context of the Earth System Science
Partnership (ESSP) framework. Chinese scholar Liu Jiyuan participated in the
formulation of the GLP plan, and was a member of the first scientific steering
committee of the project. GLP established three project offices for effective exe-
cution of the project, with one hosted by IGSNRR of CAS in Beijing.
(ii) In July 2003, 26 academicians and scientists with Sun Honglie as the leader,
made a suggestion to the MOST about the establishment of the Chinese
National Committee for the International Human Dimensions Program on
Global Environmental Change (CNC-IHDP). This suggestion was approved
by the MOST. After one year’s preparation, CNC-IHDP was established in
Beijing on August 30th, 2004.
CNC-IHDP’s mission is to organize and coordinate experts from natural sci-
ences and humanities for cooperation in major topics on global environmental
change and global social sustainable development. The first scientific steering
committee of the CNC-IHDP had 69 members from 16 governmental ministries and

their affiliating research institutes, 12 universities, and 2 nongovernmental organi-
zations. Liu Yanhua was elected as the chairman of the committee; Sun Honglie
was elected as the chairman of the consultant committee; Ge Quansheng was the
secretary. The secretariat is hosted by IGSNRR, CAS.
(iii) A new core project named Integrated Risk Governance Project (IRG) was
proposed during the IHDP scientific committee meeting in Bonn, Germany in
September 2010. The IRG was the first IHDP core project led by Chinese
scholars. Shi Peijun from Beijing Normal University and Carlo Jaeger from
the Potsdam Institute for Climate Impact Research were elected as
co-chairmen; Ye Qian from the CNC-IHDP was appointed as the executive
director. International program offices (IPO) are in Beijing, Normal University
and the Potsdam Institute for Climate Impact Research.
IHDP-IRG provides a platform for communications among the experts and
organizations around the world who are engaged in risk research and management.
It also leads the researches on future international integrated risk prevention to start
from the scientific, technical, and management issues, and to carry out innovative
researches on theories and methods of the integrated disaster risk prevention from
multidisciplinary perspectives through case studies and comparison, aiming at
promoting further development of the global integrated risk prevention practice.
Communication is a fundamental activity during the process of scientific
research. It is also a catalyst for academic innovation. It is believable that Chinese
scholars will make full use of the CNC-IHDP as an academic communication
platform, and make further contributions to the IHDP and the sustainable devel-
opment of human society.
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Chapter 14
Ecosystem Positioning Research
and Models
Guirui Yu, Nianpeng He, Guirui Yu, Biao Liang, Zhiwei Xu,
Shenggong Li, Xuebing Guo, TianXiang Yue and Moucheng Liu
Abstract Looking through the three tendencies of Global Change Ecology in the
past several years, there are two related to this chapter: (i) insisting on a long term
of systematic observation, and building a data acquisition network; and
(ii) strengthening systematic simulation study, deeply understanding the mechanism
and rules of the earth’s coupling change and doing further prediction research. It is
the scholars’ consensus that in the background of global changing, a long-term and
multi-scale networking observational study of ecosystem would be the most
effective method to reveal its evolvement rule, and system simulation is a basic tool
to build and test theoretical assumptions and to predict the ecosystem’s evolvement
directions. The Chinese Ecosystem Research Network (CERN) and the Chinese
Terrestrial Ecosystems Flux Observation and Research Network (ChinaFLUX) take
a wide participation in the International Long-Term Ecosystem Research Network
(ILTER) and the Global Flux Observation and Research Programme (FLUXENT),
and play an important role pushing the development of relevant academic subjects.
At present, China’s stations in the ecosystem observation network almost cover its
main diverse ecosystem types, and with these observation data, we launched deep
analysis on the main types of ecosystems, of its photosynthetic carbon fixation,
respiration of carbon emissions, dynamic time and space distribution rules of
ecosystem’s net carbon exchange flux and the environmental and biological control
mechanism, etc., with which we acquired a series of important scientific findings,
and developed terrestrial ecosystem carbon-cycle process-mechanism model of
forest, farmland, grassland, etc. and satellite remote sensing system of carbon
balance evaluation. Readers can also get a comprehensive understanding of
ecosystem modeling’s theories, methods, and its practice from this chapter’s
massive cases and relevant essays.

Keywords CERN ChinaFLUX Multi-scale network observation CNERN
Methods for earth surface modeling
G. Yu N. He G. Yu B. Liang Z. Xu S. Li X. Guo T. Yue M. Liu (&)


DOI 10.1007/978-3-662-48376-3_14
420 G. Yu et al.
1 Multi-scale Network Observation in Chinese Terrestrial

Ecosystems: Progress and Prospects
1.1 Introduction
Multi-scale network observations in Chinese terrestrial ecosystems have been

conducted since the 1980s. The field ecosystem station networks that were estab-
lished in China in 1989 promoted their development because of the consistent
observation system and monitoring parameters. The symbolic events established the
Chinese ecosystem research network (CERN) by the Chinese Academy of Sciences
in 1988 and formed the Chinese forest ecosystem research network (CFERN) by the
Ministry of Forest of People’s Republic of China. Moreover, a series of terrestrial
transects, including the Northeast China temperate grassland transect (NECT in
1993), the North-South transect of eastern China (NSTEC in 1999), and the
Chinese Terrestrial Ecosystem Flux Observational Research Network (ChinaFLUX
in 2003), have also been important approaches in conducting the multi-scale net-
work observations. In 2006, on the basis of the former ecosystem stations, we built
the China National Ecosystem Research Network (CNERN), which was composed
of 51 important field ecosystem stations. With the development of ecosystem
observation networks, the multi-scale network observations in China have covered
all important ecological regions (or typical ecosystems) and have a comprehensive
monitoring system for the long-term monitoring of water, soil, atmosphere, and
biological elements of ecosystems and important ecological processes. Here, we
briefly review the progress of the multi-scale network observations in Chinese
terrestrial ecosystems in the past two decades.
1.2 Multi-scale Network Observation in China
1.2.1 Ecosystem Research Networks
CERN was established in 1988. Over the past 20 years, as a major component of
the Global Terrestrial Observing System and International Long-Term Ecological
Research, CERN has grown to be an important research platform for the sites and
partners, both at home and abroad. This has been mainly attributed to the data and
measurements that were collected on a long-term and continuous basis, and to the
up-to-date facilities and instruments in the field stations covering the major
ecosystem types in China (Fu et al. 2010). CFERN is a large ecology research
network that focuses on long-term fixed observations of forest ecosystems. It
14 Ecosystem Positioning Research and Models 421
embodies 15 sites that represent diverse ecosystems and research priorities (Wang
et al. 2004). CFERN uses the multi-approach ground and spatial observation
technologies to study the structure, function, and feedback mechanism of Chinese
forest ecosystems respond to climate change, as well as the effects of climate
change on China’s social and economic development. In 2006, the Ministry of
Science and Technology of the People’s Republic of China initially established
CNERN on the basis of the former ecosystem stations, which included 51 important
field ecosystem stations.
All the field stations (CERN, CFERN, and CNERN) continuously measure and
record the temporal variations in hydrological, pedological, atmospheric, and bio-
logical elements of major terrestrial and aquatic ecosystems in China.
Meteorological and atmospheric parameters (such as solar radiation, ultraviolet
radiation, photosynthetic active radiation, net radiation, surface reflected radiation,
soil heat flux, soil temperature profile, wind direction, wind speed, air temperature,
air humidity, precipitation, and pan evaporation), soil physical and chemical
properties, vegetation structure and function (such as plant species composition,
leaf area index, and biomass), water budget (such as precipitation, evaporation,
transpiration, and runoff), and nutrient budget (N, P, and K) are periodically
recorded at some of the stations in accordance with standard monitoring protocols.
Most stations initially implemented the routine long-term ecological and environ-
mental monitoring and began accumulating long-term data over 20 years ago. The
high-quality datasets that were collected on the long-term and continuous basis
provide the foundation for the ecological research. For example, observations at
CERN field stations showed that ultraviolet radiation and PAR in China increase
longitudinally from east to west, and they increase latitudinally from north to south
in the west and from south to north in the east (Hu et al. 2007a). Nutrient cycle
experiments, particularly nitrogen cycle experiments conducted at the CERN
research stations of forest, grassland, cropland, and desert ecosystems, highlight the
nutrient status and dynamics.
1.2.2 Transect Investigation
Chinese scientists established the NECT in 1993, which was officially registered as
the fifth transect of the Global Change and Terrestrial ecosystems (GCTE) by IGBP
in 1994 (Chen et al. 2003; Ni 2003). This transect is located in the mid-latitude
semiarid region, encompassing 42–46°N latitude and 110–132°E longitude. Later,
the NSTEC, from the polar tundra to rain forests along the east coasts of the
Eurasian continent, was proposed and accepted as the 14th transect of the GCTE
(Hang and Zhou 2008). Moreover, other transects were established subsequently for
specific scientific issues, such as the China grassland transect to study the grassland
ecosystem carbon cycle and its driving mechanisms and the Euro-Asian continental
grassland transect to study the carbon and water flux at the ecosystem level using
eddy flux technology.
422 G. Yu et al.
In the past decades, Chinese scientists have conducted several integrative

investigations in NEST. The primary driving forces for global change are precip-
itation and land-use change. Research progress was made during the past decade in
the following aspects: ecological database development, climate and its variability,
ecophysiological response of plants to environments, vegetation and landscape
changes, biodiversity patterns and their changes, plant functional types and traits
relative to the climatic gradient, productivity and carbon dynamics, pollen–vege-
tation relationships, trace gas emissions, land-use and land-cover changes, and
biogeographical and biogeochemical modeling (Chen et al. 2003; Ni and Wang
2004).
In NSTEC, scientists also conducted several investigations and collected
information, including plant community structure, soil conditions, land cover, and
climate. On the basis of these data, scientists have explored how primary produc-
tivity, biodiversity, and soil properties vary with changes in precipitation and
temperature along the transect, and they predicted the influence of climate change
and human activities on the function and structure of typical forest ecosystems in
China (Yu et al. 2013). Moreover, some studies have analyzed the relationship
between plant functional traits, the C:N:P stoichiometry of leaves, and
non-biological factors (precipitation, temperature, and soil traits) along the transect.
1.2.3 Eddy-Flux Technology
ChinaFLUX is a long-term network that relies on CERN and applies eddy

covariances of micrometeorology and chamber as the main research method to
study fluxes in carbon dioxide, water, and heat between vegetation and soil of
typical ecosystems and the atmosphere (Yu et al. 2008). ChinaFLUX is built with
the support of the Knowledge Innovation Program of the Chinese Academy of
Sciences “Study on Carbon Budget in Terrestrial and Marginal Sea Ecosystems of
China,” the National Key Basic Research and Development Program (973 Program)
of the Ministry of Science and Technology of the People’s Republic of China
“Carbon Cycle and Driving Mechanism in Chinese Terrestrial Ecosystem,” and
other international cooperation programs.
Now, ChinaFLUX consists of 54 sites that apply a micrometeorological method
and 17 sites that apply a chamber method. In addition to the long-term flux
observations, ChinaFLUX will systematically collect related data, such as those on
vegetation, soil, hydrology, and climate, and simultaneously carry out a synthesis
study on the ecosystem carbon and water cycle processes.
On the basis of these observations, scientists have explored carbon and water
exchange properties with seasonal and annual dynamics in these typical terrestrial
ecosystems. Furthermore, the findings help us to determine the gross primary
productivity, net ecosystem productivity, water-use efficiency, and (TE) at the
national scale and to predict the response of terrestrial ecosystems to climate change
in the future (Yu et al. 2013).
1.3 Future Research Outlook
Multi-scale network observations in China will further depend on the established

networks of field ecosystem stations, terrestrial transects, and ChinaFLUX to
explore the dynamics of ecosystem structure and function over time and the
response of Chinese terrestrial ecosystems to climate change and human distur-
bance. The main perspectives are as follows: (i) to strengthen the integrated
monitoring capacity of existing networks, particularly for the three-dimensional
monitoring (traditional investigation, eddy flux observation, and remote monitor-
ing); (ii) to provide better service for some key scientific issues, such as the
response and adaptation of ecosystems to global climate change, biodiversity
conservation, ecosystem restoration, and sustainability; and (iii) to establish the
networks of multi-factor field control experiments and explore the underlying
mechanisms of responses of terrestrial ecosystems to changes in temperature,
precipitation, land-use type, and N deposition. We believe that long-term
multi-scale integrative investigation will play more and more important roles in
long-term ecological monitoring, research, and applications in future, and it will
provide unique information services to promote the national and local socioeco-
nomic development and environmental conditions in China.
2 Construction and Development of Chinese National

Ecosystem Observation and Research Network
2.1 Introduction
According to the definition by Tansley (1935), an ecosystem is an integrated system

composed of interacting biotic (Plants, animals, and microbes) and abiotic com-
ponents which are closely contact with each other through material circulation and
energy flow (Odum and Barrett 1971). In the 150 years since the industrial revo-
lution, ecological problems such as vegetation degradation, land desertification,
biodiversity, and ecosystem service function loss caused by climate change and
economic development have become the focus of system ecology and global
change. The long-term observation research station is one of the effective methods
to solve these problems.
Due to the complex of ecosystem structure and function, only through the
long-term ecological research network, ecosystem ecology can reveal ecosystem
formation mechanism, evaluate the impact of global change on ecosystem, and
424 G. Yu et al.
predict ecosystem evolution trends in the future (Yu et al. 2009). The long-term
ecological research has begun in agriculture and forestry. There already have more
than 30 research stations which have observation history of more than 60 years in
the world and mainly distributed in Russian, Europe, the United States, Japan, and
India (Gosz 2000; Waide 2000; Parr and Lane 2000; Zhao 2004). The foreign
research stations develop toward internationalization, and form different scales of
monitoring, observation, and experiment research network. It put emphasis on the
long-term, continuity and globalization of research, automation, and information
technology of monitoring. According to the requirement of economic development,
research institutes and universities have established a large number of field moni-
toring research stations combined with the implementation of the national research
programs and projects. The Chinese Academy of Sciences already has 42 research
stations including agriculture, forest, grass land, wetland and desert, five discipline
branches, and one synthesized center. The stations are reasonable distributed with
regional representative and ecosystem diversity. The selected stations have become
the research platform and demonstration base for monitoring and experiment with
advanced infrastructure (Yang et al. 2008; Fu et al. 2010).
2.2 Construction and Development of CNERN
2.2.1 Background and Development Course CNERN
The construction of field research station exists the following problems: (i) The
spatial distribution is not reasonable with redundant construction and lack unified
planning at the national level; and (ii) there are no unified technical specifications
and standards of Observations with difficulty in data sharing. Therefore, it is
important to resolve these problems.
In 1999, Ministry of Science and Technology of the People’s Republic of China
has selected 35 research stations with better infrastructure, regular staff, and higher
research level to carry out the experimental work including ecology, agriculture,
resources and environment, earth science, and astronomy. The stations are dis-
tributed in northeastern, north China, south China, northwest, and antarctic region
which laid a solid foundation for the construction of national research network. In
2004, Ministry of Science and Technology of the People’s Republic of China
entrusts the panel to carry out the program the CNERN including select measures,
procedures, and indicators, make national field research articles of association,
management regulations, and monitoring index system. At present, CNERN is
composed of 51 stations, 1 National Soil Fertility and Fertilizer Effects Long-term
Monitoring Network, 1 Germplasm Resources Network, and 1 Comprehensive
Research Center.
2.2.2 Science and Technology Resources of CNERN
All stations achieved the networking research and accumulated a lot of first-hand
research data. CNERN has strong analysis ability of soil, plant, water, carbon,
nitrogen, phosphorus, and morphological with field observation field of 2.80 mil-
lion m2, permanent plot of 1.38 million m2, and 288 monitoring facilities. CNERN
has saved all kinds of plants, animals, soil, water, and atmospheric composition
samples of 280032 and file of 857740 and construct data management and sharing
system. In 2010, CNERN has different data of 42,86,622.54 MB and construct a
number of unique observation and test database, such as China agricultural mete-
orological information database, China 1:10,00000 grassland resources project
database, China flux observation database, etc. The comprehensive research center
has established specification of long-term observation data for the first time,
independently developed a series of products of multi-scale elements, and published
four volumes books, a total of 51 volumes of datasets, pioneering in the data
sharing of ecosystem permanent observation in China (Fu et al. 2007; Yu and Yu
2013).
2.2.3 Development Program of CNERN
Construction of Observation and Experimental Research Platform
CNERN has implemented many special networking observation and experimental

plan based on the long-term dynamic observation and scientific research which
meet the requirements of national science and technology. The programs which
have been carried out were ecosystem carbon and nitrogen flux and cycle, response
and acclimation of ecosystem to global change, biodiversity and ecosystem func-
tion, and so on. In the future, it will put emphasis on China FLUX, China ETS, and
isotope observation of terrestrial ecosystem in China (Yang et al. 2008).
Long-Term Ecology Research
The long-term ecology research is the major task of CNERN with object of
understanding ecosystem structure, function, process, and pattern under the drive of
global change and human activities. It provide reliable knowledge of science, and
applicable technical measures for biological resources improvement and conser-
vation, ecosystem management, food production, natural resource management,
ecological environment protection combined with the long-term observation and
simulation experiment, remote sensing, and other technical methods. The research
mainly includes the following six aspects: (i) effects of human activities on
ecosystem structure and function; (ii) carbon and nitrogen cycle processes and
management; (iii) the ecosystem response and adaptation to global climate change;
(iv) biodiversity conservation and biological resource utilization; (v) ecosystem
426 G. Yu et al.
restoration and regional sustainable development; and (vi) the ecological moni-
toring, simulation, and application technology of ecological information.
Ecosystem Network Research
Ecosystem network research is a method to solve the problem of major science and
technology on regional and national scale, which making an important contribution
to ecological construction, environmental protection, farming, and animal hus-
bandry production, and to cope with climate change in recent years (Yang et al.
2008). The researches include (i) spatial and temporal pattern and mechanism of
ecosystem services in China; (ii) mechanisms of C–N–H2O coupling cycle and the
carbon sinks in the Chinese terrestrial ecosystem function; (iii) forest ecosystem
structure, function and the ecosystem services, and its response to global change;
(iv) the grassland biodiversity change mechanism and its response to global change
and human activities; and (v) soil and plant C:N:P stoichiometry ecology of
Chinese terrestrial ecosystem, etc.
What is more, every station should carry out ecological system optimization
management demonstration work to provide technology support and demonstration
model for ecological environment construction and local economic development.
CNERN has reformed the infrastructure, established the specimens sample library,
and realized the data integration and sharing and optimal allocation of resources,
integration after continuous construction and development. The establishment of
CNERN has realized the unity of all field stations across departments. In the future,
CNERN should put emphasis on the construction of observation and experimental
research platform, long-term ecology research, and ecosystem network research,
and provide important scientific basis for the government to solve the problem of
ecological environment and global change.
3 Chinese Ecosystem Research Network (CERN)
3.1 Founding of the Chinese Ecosystem Research Network

(CERN)
Since the founding of People’s Republic of China, the central and local govern-
ments have invented a lot in ecosystem monitoring and capacity building of field
stations. For example, since the mid 1950s, the Chinese Academy of Sciences
(CAS) has established a lot of field stations, over 90 only in the resources and
environmental science fields (Niu et al. 2006; Fu et al. 2007; Yang et al. 2008; Fu
et al. 2010).
Under the auspices of the Chinese government and the World Bank Loan, the
was founded in 1988. The CERN facilitates research on the China’s ecosystems
across large spatial and temporary scales. There are more than 2000 scientists and
graduate students of various disciplines across the country to do scientific research
using the CERN field stations.
There were only 29 field CERN stations in 1988, which were selected from the
field stations of the CAS to represent different types of vegetation and climate. The
number of the CERN field stations has increased to 42 as of 2013, encompassing
diverse ecosystems in China (Table 1). Within the CERN, five disciplinary
sub-centers (atmospheric, aquatic, pedological, biological, and hydrological) and
one synthesis center were set up. The administrative management of the CERN is
completed through the Scientific Advisory Committee, the Science Committee, and
the Leading Group.
The CERN receives its funding from the CAS for its operation, but other gov-
ernment departments such as the China’s Ministry of Science and Technology
(MOST), National Natural Science Foundation of China also support a wide range
Table 1 Distribution of the CERN field stations

Agricultural ecosystem: 15 Forest ecosystem: 10 Aquatic ecosystem: 8
AKA Akesu MXF Maoxian Bay 3
ASA Ansai BJF Beijing F JZB Jiaozhouwan
CSA Changshu ALF Ailaoshan SYB Sanya
CWA Changwu BNF Banna DYB Dayawan
FQA Fengqiu CBF Changbaishan Lake 4
HJA Huanjiang DHF Dinghushan DHL Donghu
HLA Hailun GGF Gonggashan THL Taihu
LCA Luancheng HSF Heshan DTL Dongtinghu
LSA Lasa HTF Huitong PYL Poyanghu
QYA Qianyanzhou SNF Shennongjia Marsh 1
SYA Shengyang SJM Sanjiang
TYA Taoyuan
YCA Yucheng
YGA Yanting
YTA Yingtan
Desert ecosystem: 6 Grassland ecosystem: 2 Urban ecosystem: 1
CLD Cele HBG Haibei BJU Beijing U
ESD Erdos NMG Neimenggu
FKD Fukang
LZD Linze
NMD Naiman
SPD Shapotou
428 G. Yu et al.
of research at field station and network levels. From the onset of the CERN, many
national key projects (e.g., the National Basic Research Program, i.e., the 973
program, initiated by the MOST) have been conducted at different CERN stations.
3.2 Missions of the CERN
The CERN’s missions include (i) to carry out long-term routine observation and
monitoring of ecological processes and their environmental controlling factors of
China’s ecosystems; (ii) to conduct experiment-based multiple disciplinary
researches on dynamics of structure and functions, processes and patterns of
China’s ecosystems; and (iii) to make experimental demonstrations of patterns for
sustainable management of ecosystems, and to develop practical techniques for
national agriculture production, and ecological restoration. Further information on
the missions of the CERN is available in Fu et al. (2010).
Since its establishment, CERN has collected very large amounts of long-term
data with more than 200 monitoring variables across the country, and massive
datasets have been built at the five disciplinary sub-centers and the synthesis center.
Enormous studies based on the CERN and its field stations have been published
in Chinese and foreign journals since the CERN founding. For example, from 2001
to 2010, the CERN was published over 12,000 papers, among of which about 3500
papers were in Science Citation Index (SCI) journals. In the same period, about 200
monographs, books, and proceedings were published.
Through long-term experimental demonstration in the CERN field stations,
many sustainable ecosystem management practices and eco-restoration patterns for
degraded ecosystems have been tested and optimized and subsequently have been
well received by the local governments and farmers.
Many scientists from the CERN field stations won the Scientific and
Technological Progress Awards issued by local, provincial, and central govern-
ments because of their excellent achievements in scientific and technological
development and application. In 2012, the CERN won the First Prize of the State
Scientific and Technological Progress Award for the project “The Establishment,
Experiment and Demonstration of CERN,” leading by the Academician Prof. Sun
Honglie, ranking the first among 15 award winners in the Prize.
3.3 Future Orientation of the CERN
The CERN has grown in size and will see a more promising future as outlined in the
Strategic Plan of CERN (2008–2020) (CERN 2008; Fu et al. 2010). The new
motivation is to further strengthen capacity building of the CERN, including
improvement of experimental conditions (such as lab and communication facilities)
and updating of monitoring instrumentation. More importantly, the long-term and
network scale holistic research on ecological processes will be further emphasized.

In addition, the connection with other national, continental, and global networks
such as International Long-Term Ecosystem Research Network (ILTER) and its
member networks will become more intensive and extensive in the future.
4 Methods for Earth Surface Modeling

and Its Applications
Ground observation is able to obtain highly accurate data with high temporal res-
olution at observation points, but these observation points are too sparsely to satisfy
the application requirements at regional scale. Satellite remote sensing can fre-
quently supply spatially continuous information on earth surface, which is
impossible from ground-based investigations, but remote sensing description is not
able to directly obtain process parameters. In fact, in terms of fundamental theorem
of surfaces, a surface is uniquely defined by the first fundamental coefficients, about
the details of the surface observed when we stay on the surface, and the second
fundamental coefficients, the change of the surface observed from outside the
surface. A high accuracy and speed method (HASM) for surface modeling has been
developed initiatively to find solutions for error problem and slow-speed problem of
earth surface modeling since 1986. HASM takes global approximate information
(e.g., remote sensing images or model simulation results) as its driving field and
local accurate information (e.g., ground observation data and/or sampling data) as
its optimum control constraints. Its output satisfies the iteration stopping criterion
which is determined by application requirement for accuracy. This paper reviews
problems to be solved in every development stage and applications of HASM.
4.1 Introduction
Ground observation can obtain high accuracy data at observation points, but
observations at fixed positions are confined within some limited dispersal points
and not able to directly calculate relative parameters at regional scale. Satellite
remote sensing can frequently supply surface information of geographical processes
and ecological processes, but remote sensing description is not able to directly
obtain process parameters. Remote-sensing data can generate information about
earth surface that is impossible from ground-based studies. The timing and extent of
land-cover change and the relationship between climate and phenology highlight
unique information that is available only from satellite and airborne sensors.
However, maps derived from satellites observations are patchy and cannot be used
reliably as an independent source of information for earth surface monitoring
430 G. Yu et al.
because of the well-known limitations of satellite retrievals, such as missing data for
cloud-covered pixels.
The most effective use of remote-sensing data is through its fusion with
appropriate field investigation. For instances, utilizing a satellite image as sec-
ondary information decreased errors associated with yield monitor data and also
allowed better prediction in areas where no reliable yield measurements were
available. Gross primary production (GPP) and net ecosystem exchange
(NEE) were simulated by assimilating meteorological data derived from the mea-
surements from existing weather stations, forest volume data derived from a pre-
vious investigation, satellite data, flux tower data, and other ancillary data, which
rendered the simulation more stable and accurate.
In fact, earth surface systems are controlled by a combination of global factors
and local factors, which cannot be understood without accounting for both the local
and global components. The system dynamic cannot be recovered from the global
or local controls alone. In terms of fundamental theorem of surfaces, a surface is
uniquely defined by the first fundamental coefficients and the second fundamental
coefficients. The first fundamental coefficients express the information observed
when we stay on the surface, about the details of the surface. The second funda-
mental coefficients express the change of the surface observed from outside the
surface (Somasundaram 2005).
A HASM for surface modeling has been developed initiatively to efficiently
assimilate remote sensing data with ground-based observation data since 1986 so
that solutions could be found for error and slow-speed problems which have
long-troubled earth surface modeling. This paper focuses on HASM, especially
how problems, appearing in every development stage, were solved by introducing
appropriate theories and methods.
4.2 Progress in HASM
The development process of HASM can be divided into four stages. In the 1st stage
from 1986 to 2001, studies were based on curve theorem, dealing with a surface as a
combination of its profiles. It was learnt that slope and curvature are significant
variables of surface analysis. In fact, a curve is uniquely determined by its slope and
its curvature in terms of curve theorem in the plane. Following this consideration, a
model for modeling cirques was constructed in terms of curve theorem, which was
then developed for change detection of earth surface.
In the 2nd stage from 2001 to 2007, studies were based on fundamental theorem
of surfaces, paying attention to error problem (Yue et al. 2011). It is proven that the
equation of Earth’s surface can be formulated as z = f(x, y), where z is an attribute
value of the earth’s surface at location (x, y). For the surface z = f(x, y), an iterative
formulation of HASM was developed in terms of the fundamental theorem for
surfaces, which was transformed into a symmetric positive-definite and large sparse
linear system.
In the 3rd stage from 2008 to 2011, studies were based on fundamental theorem
of surfaces, paying attention to low computational-speed and large
memory-requirement problems. HASM has a huge computation cost because it
must use an equation set for simulating each lattice of a surface. To speed up the
computation of HASM, we developed a multigrid method of HASM (HASM-MG),
an adaptive method of HASM (HASM-AM), an adjustment computation of HASM
(HASM-AC), and a preconditioned conjugate gradient (PCG) algorithm of HASM
(HASM-PCG). Multigrid method is the fastest numerical method for solving partial
differential equations, which is based on two principles that are error smoothing and
coarse grid correction. The principle of the adaptive method is that grid cells where
the error is large will be marked for refinement, while grid cells with a satisfied
accuracy are left unchanged. The adjustment computation permits all observations,
regardless of their number or type, to be entered into the adjustment and used
simultaneously in the computations by means of least squares. A conjugate gradient
algorithm was originally viewed as an acceleration technique for the effective
solution of large linear systems by a succession of well-convergent approximations;
the preconditioned conjugate gradient algorithm can be developed by introducing a
preconditioner to ensure faster convergence of the conjugate gradient method.
In the 4th stage since 2012, Gauss–Codazii equation set was introduced into
HASM. We found that accuracy of HASM was not so satisfied in a few cases of
multitudinous numerical tests and real-world tests. In other words, HASM perfor-
mance was not stable enough for all applications. The reason was that second-order
central difference stencil, which we employed for HASM solution, had no element
on the diagonal corresponding to fi,j. This led to algebraic systems with loss of
diagonal dominance.
A combination of a forward difference stencil and a backward difference stencil
has produced a symmetric stencil, which has a non-zero coefficient in the diagonal
and can thus restore the diagonal dominance of the corresponding matrix in the
algebraic systems. This refined symmetric stencil is of second order on a uniform
grid and can give a solution to the instability when solving the algebraic equations
of HASM.
Let fi;j ¼ fi;j at the sampled point ðxi ; yj Þ in the computational domain,
ð0Þ

ðxi ; yj Þ 2 U, and U ¼ xi ; yj ; fi;j j0 i I þ 1; 0 j j þ 1 be the set of
sampling points, then the matrix formulation of HASM can be expressed as
2 3 2 3
A dðnÞ
6 B 7 ðn þ 1Þ 6 qðnÞ 7
½A B C kS 6 7
4 C 5z ¼ ½A B C kS 6 7
4 pðnÞ 5 ð1Þ
kS kk
T
ðn þ 1Þ ðn þ 1Þ ðn þ 1Þ ðn þ 1Þ
where zðn þ 1Þ ¼ f1;1 ; . . .; f1;J ; . . .. . .; fI;1 ; . . .; fI;J ; A, B, and C,
respectively, represent coefficient matrixes of the first, second, and third equation of
HASM master equation set; d(n), q(n), and p(n) are, respectively, the right-hand side
432 G. Yu et al.
vectors of the HASM master equation set; the non-zero element of the sample
matrix S can be expressed as Sp; ði1Þ I þ j ¼ 1 and the non-zero element of the
sample vector kp ¼ fi;j ; and k is the weight of the sampling points and determines
the contribution of the sampling points to the simulated surface.
In terms of fundamental existing theorem for surfaces, if the first and second
coefficients satisfy Gauss–Codazii equations, there exists a surface uniquely
determined within a Euclidean displacement. The Gauss–Codazii equations can be
transformed into
2 2 2
u1y /2x u2 P /1 Q þ u2x /1y u1 Q /2 P þ Qx Py u1 u2 /1 /2 ¼ 0
ð2Þ
where E, F, and G are the first fundamental coefficients; L, M, and N represent the
pffiffiffiffiffi
L N Ey
second fundamental coefficients; u1 ¼ pffiffiffiffi ; u2 ¼ pffiffiffiffi ; P ¼ pffiffiffiffi ;
pffiffiffiffi E G G
Gy
Q¼ pffiffiffi ; /1 ¼ pMffiffiGffi ; and /2 ¼ pMffiffiEffi.
E
Thus, we can design an iteration stopping criterion of the improved HASM as

2 2 2
u1y /2x u2 P /1 Q þ u2x /1y u1 Q /2 P þ Qx Py u1 u2 /1 /2 \EI
ð3Þ
where EI is determined by the requirement of an application for simulation

accuracy.
Although HASM performance has been considerably improved because of the
introduction of the refined symmetric stencil and the Gauss–Codazii equations, as a
consequence it has caused the low-speed problem once again.
4.3 Applications of HASM
HASM has been successfully applied to constructing digital elevation model (Chen
et al. 2013a, b), filling voids of dataset of the Shuttle Radar Topography Mission
(SRTM), simulating climate change and modeling surfaces of soil properties and
soil pollution. In all these applications, HASM produced the highest accurate results
compared with the classical methods.
For instances, HASM was applied to simulating elevation surfaces of Dongzhi
tableland in Loess Plateau of China. The validation results showed that HASM-AM
has the highest accuracy and the fastest computation speed, compared with widely
used classic methods. Dong-Zhi tableland has its area of 2724 km2, consisting of
27.24 million pixels on spatial resolution of 10 m × 10 m, while area of Earth
surface is 510 million km2, consisting of 5.1 million pixels on spatial resolution of
10 km × 10 km. In other words, HASM has the capacity of computing more than
five Earth’s surfaces on spatial resolution of 10 km × 10 km.
Datasets of the SRTM, which were derived from the Space Shuttle Endeavour in
February 2000, have become a useful source of elevation data and are so critical to
modern imagery analysis and geospatial intelligence requirements. However,
STRM data have variously sized voids, resulting in incomplete datasets. These
voids account for 0.15 % of the total dataset in China. They amount to up to 30 % in
rugged terrain. HASM was used to filling voids in China. Verification in nine
regions with three different geomorphologic types of hills, plateaus, and mountains
demonstrated that HASM results always had the highest accuracy compared with
all the classic methods, whether auxiliary data were added or not, landform com-
plexity was higher or lower, and void area was larger or smaller in all the nine
regions of the three topographic types.
HASM has been employed to simulate climate change trend in China since
1961. We have found that mean annual temperature (MAT) during the period from
1961 to 2010 exhibited spatial stationarity, while mean annual precipitation
(MAP) showed spatial non-stationarity. A statistical transfer function (STF) of
MAT was formulated using minimized residuals output from HASM with an
ordinary least squares (OLS) linear equation that used latitude and elevation as
independent variables, abbreviated as HASM-OLS. The STF of MAP under a
BOX-COX transformation was derived as a combination of minimized residuals
output by HASM with a geographically weight regression (GWR) using latitude,
longitude, elevation, impact coefficient of aspect, and sky view factor as indepen-
dent variables, abbreviated as HASM-GWR-BC. Cross validation of HASM-OLS
and HASM-GWR-BC indicates that mean absolute errors of MAT and MAP are
−0.15 °C and 1.52 mm, respectively, which were much more accurate than the
classical methods. In terms of HASM-OLS and HASM-GWR-BC, MAT had an
increasing trend since 1960s in China, with an especially accelerated increasing
trend since 1980. Our simulation showed that MAT has increased by 1.44 °C since
the 1960s. The warming trends have spatially increased from the south to the north
in China, except Qinghai-Xizang plateau. Specifically, the 2100 °C·d contour line
of annual accumulated temperature (AAT) of ≥10 °C shifted northwestward
255 km in the Heilongjiang Province of northeastern China since the 1960s. MAP
in Qinghai-Xizang plateau and in arid region had a continuously increasing trend.
On average, China became wetter from the 1960s to the 1990s, but drier from the
1990s to 2000s. The Qinghai-Xizang Plateau and Northern China experienced more
climatic extremes than Southern China since 1960s.
Temperature and precipitation data from a General Circulation Model
(HadCM3) were downscaled by means of HASM-OLS and HASM-GWR-BC.
Correlation coefficients of MAT and MAP between the downscaled HadCM3
output and the observed meteorological station data are 0.95 on average under three
Special Report on Emissions Scenarios (SRES) A1FI, A2, and B2 during the
baseline period T1 (1961–2010). This means that the downscaled HadCM3 output
and the observed meteorological station data are comparable. Estimating MAT
during the period 2010–2099 under the HadCM3A1FI, HadCM3A2, and
434 G. Yu et al.
HadCM3B2 scenarios would increase by 4.62, 3.37, and 2 °C, respectively; MAP
under the three HadCM3 scenarios would increase by 173.22, 141.55, and
79.68 mm, respectively. The decadal increasing rate (DIR) of MAT estimated
between the years of 2010 and 2099 would be, respectively, 0.64, 0.51, and 0.36 °C
under each scenario. MAP from 2010 to 2099 would have a DIR of 23.42, 16.48,
and 11.76 mm under the three scenarios of A1FI, A2, and B2, respectively.
Taking 5374 soil profiles collected during the second national soil survey (1979–
1994) as optimum control constraints of HASM and using regression relations
between soil properties and their environmental factors as the driving fields, sur-
faces of soil properties were simulated on spatial resolution of 1 km × 1 km in
China on national level. The validations indicated that HASM results were at least
17 % more accurate compared with Ordinary Kriging (OK) method. HASM was
specifically once again validated in the middle part of Jiangxi Province of China,
for which 150 samples were collected in different land-use types of woodlands,
croplands, and grasslands. Performance of HASM on simulating soil properties,
such as pH, AN, C, N, K, AI, Ca, Mg, and Zn, was evaluated by comparing with
widely used methods of OK, stratified kriging (SK), and regression-kriging
(RK) using a generalized linear model. The evaluation demonstrated that HASM
maps of soil properties presented more details and more accurate spatial pattern.
Taking sampled biomass data in grassland as optimum control constraints and
remote sensing image as a driving field, HASM was applied to simulate spatial
distribution of grassland biomass in China. Output of Lund-Potsdam-Jena dynamic
global vegetation model (LPJ-DGVM) was used as driving field and sampled forest
biomass as optimum control constraints of HASM, and spatial distribution of forest
biomass was simulated (Sun 2011). The simulation results in last 100 years showed
that vegetation biomass in China first increased slowly from 1901 to 1953, and then
increased faster since 1953. Total biomass under planned development scenario is
0.09 Gt higher than the one under business as usual scenario in 2030.
4.4 Conclusions
HASM is becoming theoretically perfect. Input of HASM is conducted by taking

global approximate information (e.g., remote sensing images or simulation results)
as driving field and taking local accurate information (e.g., ground observation data
and/or sampling data) as optimum control constraints. Its output is the results
satisfying the iteration stopping criterion which is determined by application
requirement for accuracy.
HASM has been successfully applied to construct digital elevation model, filling
voids of dataset of the SRTM, simulating climate change, and modeling surfaces of
soil properties. In all these applications, HASM produced the highest accurate
results compared with the classical methods. However, slow computational speed
and large memory requirement remain the limitation of applications with huge
computational work, although we have developed the adaptive method and a

multi-grid method of HASM.
To meet the huge computational requirement of big data, one way is to use a
faster single-processor computer, but continually pursuing the fastest computer can
be very expensive and does not scale well as problem size increases. The second
way is to develop a fast numerical algorithm. It has been demonstrated that PCG is
the most efficient algorithm of HASM that can be transformed into a linear system
with a symmetric positive-definite matrix. A third possibility is to break down the
computational problem into a number of smaller problems, e.g., using adjustment
method of HASM; the smaller computational problems can be solved simultane-
ously on less-expensive computers utilizing parallel computing methods.
Graphics Processing Units (GPUs) have become a powerful many-core pro-
cessor. The massively parallel architecture offers high performance in many com-
puting applications. Numerical algorithms can be significantly accelerated if the
algorithms map well to the characteristics of the GPU. GPU-based parallel algo-
rithm of PCG can considerably improve the efficiency and robustness of HASM.
GPU implementation of PCG algorithm for HASM is up to 12 times faster com-
pared with HASM-PCG. However, it is not faster enough for many applications,
especially at high temporal and spatial resolutions on the global level.
Message Passing Interface (MPI) is the most popular choice in parallel com-
puting environments on clusters of workstations, of which version 1 was released in
1994. MPI represents the standard adopted by most of the industries and
researchers. When a parallel algorithm is implemented in a cluster of workstations
using MPI, computational-speed can be greatly improved. Parallel computing with
MPI on clusters of workstations is an effective way to significantly solve the slow
computational-speed problem of HASM, especially for huge computation of big
data.
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Chapter 15
Climate Change and Carbon Cycle
Quansheng Ge, Jingyun Zheng, Haolong Liu, Guirui Yu,

Huajun Fang, R.L. Wang, Jingyun Fang, Huifeng Hu, Zhaodi Guo,
Haihua Shen, Yunshe Dong, Yuchun Qi, Qin Peng, Xiaoke Wang,
Hong Zhao, Fei Lu, Changchun Song, Xiaomin Sun and Xuefa Wen
Abstract Climate change is often called changes caused by natural factors or

human activities in terms of worldwide or regional, and it usually means a giant
change or lasting a long time (≥10 years) on average and statistically, which
includes changes in terms of mean value and change rate. Whereas, United Nations
Framework Convention on Climate Change (UNFCCC) defines it as “climate
change caused directly or indirectly by human activity’s changing the combination
of the atmosphere after a long time of observation, apart from natural climate
changes”. Although the two definitions differ a lot, now people mainly concern
these climate change phenomenon: global warming in climate and ocean, frequency
changes of extreme climate events, polar and mountain snow and glacier melting,
lining up of the global ocean surface level, global precipitation changes in terms of
time and space, increasing drought and flood, and other physical and chemical
factors influencing global temperature and precipitation directly. Terrestrial
ecosystem’s carbon cycle is the key to its material and energy cycle, and also a tie
of geosphere–biosphere–atmosphere interaction. To deeply understand the carbon
Q. Ge J. Zheng H. Liu G. Yu (&) H. Fang R.L. Wang Y. Dong Y. Qi Q. Peng

X. Sun X. Wen
J. Fang Z. Guo H. Shen
Department of Ecology, College of Urban and Environmental Science, Peking University,
H. Hu
State Key Laboratory of Vegetation and Environmental Change, Institute of Botany, Chinese
Academy of Sciences, Beijing 100093, China
X. Wang H. Zhao F. Lu
State Key Laboratory of Urban and Regional Ecology, Research Center for
Eco-Environmental Sciences, Chinese Academy of Sciences, Beijing 100085, China
C. Song

DOI 10.1007/978-3-662-48376-3_15
438 Q. Ge et al.
cycle’s process and mechanism is the basis to discuss ecosystem’s carbon man-
agement strategy and to analyze human’s progress in preventing and regulating
global warming. This chapter systematically states our country’s research progress
on climate change’s historical process in the first place, and then it makes comments
on China’s carbon cycle study from several perspectives as the relationship between
carbon cycle and climate change, carbon budget and its cycling mechanism, human
activity’s influence on carbon cycle, global change’s influence on carbon cycle, etc.
It then summarizes research progress in studying carbon cycle process, its
influencing factors and global changing response from different perspectives of
forestry, grassland, farmland, wetland, etc. Finally, it makes a comprehensive
comment on our country’s technological progress in terrestrial ecosystem’s
carbon-nitrogen-water flux observation technology and applications, which pro-
vides valuable information to China’s scientific research work, state-level carbon
budget evaluation, and greenhouse gas management in the field of ecosystem
carbon cycle.

Keywords Climate change Terrestrial ecosystem carbon cycle Forest carbon

stocks Grassland carbon cycle Agroecosystem carbon Wetland carbon cycle
Novel techniques on measuring carbon–nitrogen–water fluxes over terrestrial
ecosystems
1 Historical Climate Changes of China and the Global
1.1 Introduction
Historical climate change of China and the Globe is of great significance for the
current ecological research, and provides a scientific basis for the actions to reduce
the ecosystem vulnerability and enhance its recoverability during the process of
adaptation to climate change.
The relative research in China could be traced to Zhu Kezhen, who outlined the
temperature variation of eastern China during the past 5000 years using the phe-
nological and disaster records for the first time in 1972. Since then, great progresses
have been obtained in these two periods for the Holocene and the past 2000 years.
Many series with high spatial and temporal resolutions were reconstructed, which
formed an information network about the historical climate change all over the
country.
Only until the International Geosphere–Biosphere Program (IGBP) and the
World Climate Research Program (WCRP) carried out during 1990s, did significant
progress of fact analysis and process reconstruction of climate change during the
past thousand years achieve, especially during the nearly 1000 years in the Northern
Hemisphere. Among these reconstructions, the temperature series over the past
15 Climate Change and Carbon Cycle 439
1000 years in Northern Hemisphere with evidences of tree rings, ice cores, his-
torical documents, and others (Mann et al. 1998, 1999) received the most attentions.
The IPCC Fourth Assessment Report (2007b) conducted a comprehensive assess-
ment on these reconstructions over the past 2000 years, and gave the associated
confidence levels and uncertainties. This greatly clarifies the people’s understand-
ing of historical climate change process.
1.2 Climate Changes of the Global and China in Holocene
1.2.1 Temperature Change
According to various global natural evidences, the Holocene climate was warm in
general, interrupted by several abruptly cold events lasting for hundreds of years.
Meanwhile, the Holocene climate change of global and China can both be divided
into three basic stages: early, medium, and late. Among them, the earlier (about
11.5–8 ka BP) climate rapidly heated; medium-term (about 8.0–4.3 ka BP) was far
warmer than the modern, known as Megathermal; The temperature decreased in late
Holocene (after 4.3 ka BP) compared with that in Megathermal.
1.2.2 Precipitation Change
Precipitation change all over the world generally synchronized with the temperature
change in Holocene. In the early term, precipitation in most parts of the world
rapidly increased, and the precipitation in Chinese monsoon region reached its
maximum during the period of 9.5–9.0 ka BP. In the medium term, most parts of
the world were wetter than now and the highest sea level over the whole Holocene
appeared about in 6 ka BP. In the late term, many lakes shrank and desert expanded
significantly. After 3 ka BP, drought frequently emerged in China.
1.3 Global Climate Changes Over the Past 2000 Years
Currently, there exists large uncertainty of the temperature variation reconstruction

for the Southern, the Northern Hemisphere, and the Globe over the past 2000 years.
It could be said with a high level of confidence that global mean surface temper-
ature was higher during the last few decades of the twentieth century than during
any comparable period during the preceding four centuries (NRC 2006). The NRC
Assessment Report also pointed out that less and very little confidence can be
placed in large-scale surface temperature reconstructions for the two periods from
440 Q. Ge et al.
A.D. 900 to 1600 and prior to about A.D. 900, respectively. About the historical
status of the twentieth century warming, the IPCC (2007a) believed that average
NH temperatures during the second half of the twentieth century were warmer than
in any other 50-year period over the last 500 years in a likelihood higher than 90 %
and was also the warmest 50-year period in the past 1300 years in a likelihood
higher than 66 %.
Existing researches showed that rainfall in Eurasia from A.D. 300 to 450 is scarce,
along with serious droughts. Afterward, during the sixth to eleventh century, there
were a lot of floods in Europe and the water levels of lakes in Central Asia rose. In
the Medieval Warm Period (prior to about A.D. 1400), the warm and dry weather
frequently appeared in most areas of the world. However, during the following
Little Ice Age, the global climate trended to be wet in general.
1.4 Climate Changes in China Over the Past 2000 Years
The temperature variations in China since Qin dynasty have experienced seven
phases, including four warm periods, i.e., 210 B.C.–A.D. 180, 541–810, 931–1320,
and 1921–2000, and three cold periods, i.e., 181–540, 811–930, and 1321–1920
(Ge et al. 2010). Temperature variations over China are typically in phase with
those of the Northern Hemisphere (NH) after A.D. 1000, a period which covers the
Medieval Climate Anomaly, the Little Ice Age, and the Present Warm Period.
On the decadal-to-centennial timescale, the duration and amplitude of regional
phases of warm/cold fluctuation were different in China. For example, the
“Medieval Warm Period” characteristic of Western China (especially the Tibetan
Plateau) was not as significant as that of Eastern China; and the climate of the
Tibetan Plateau during the Little Ice Age was less durable and cold than that of
Eastern China.
However, according to the assessment by Ge (2010), the regional temperature
reconstructions for the period prior to 1470s still have large uncertainties.
There exist very obvious millennial precipitation variations in China. In the eastern
monsoon region, the precipitation had two obvious trends since Qin Dynasty, i.e.,
climate was gradually becoming dry before the middle of the thirteenth century; and
after that, it was becoming wet (Zheng et al. 2006). The eastern precipitation
fluctuated around the mean status of the past 2000 years, but the wet conditions
were centered at A.D. 600, 730, 820 and 900, and the dry conditions were centered
at A.D. 660, 760, 800, and 850. In the West China, the dry condition was prevalent
before 1500, and after that, the climate was becoming wet with a couple of short
fluctuations (Shao et al. 2010).
At present, several key scientific issues on the historical climate researches remain
unsolved: (i) uneven data quality cannot meet the needs of climate reconstruction
with high spatial and temporal resolutions; (ii) few researches focused on the
regional differences in climate change; (iii) the driving mechanism of climate
change has not been deeply analyzed; (iv) people lacked of a comprehensive
understanding to the impact of climate change and the social response.
To solve these issues, the individual researchers and groups should take the
following four approaches (PAGES 2009): (i) put efforts on proxy interpretation
and development, analytical innovation, and calibration refinement, with the aim to
reduce uncertainty in proxy-based reconstructions; (ii) achieve a better under-
standing of past regional climatic and environmental dynamics through comparison
of reconstructions and model simulations; (iii) focus looks at the links between
regional and global-scale changes; (iv) address the long-term interactions among
past climate conditions, ecological processes, and human activities.
2 Process of Terrestrial Ecosystem Carbon Cycle

and Its Driving Factors
2.1 Introduction
The increase in CO2 atmospheric concentrations, greenhouse effect and atmospheric

nitrogen deposition induced by human activities, are influencing the physiological
and ecological characteristics of plant, animal and microbe, species competition and
distribution, which may lead to the species extinction and biodiversity loss. As the
important bond between the geosphere, biosphere and atmosphere, carbon cycle in
terrestrial ecosystem is the core of material and energy circulation in land. Due to its
diversity, terrestrial ecosystem in China is among the most powerful ‘natural
experiments’ for global carbon circle (Yu et al. 2009). Thus, understanding the
process and function of terrestrial ecosystem carbon cycle and its response mech-
anism to environmental changes and human disturbance in China, increasing the
442 Q. Ge et al.
knowledge of terrestrial ecosystem carbon cycle and carbon balance, developing the
technology to reduce the carbon emission of terrestrial ecosystem, are the urgent
and important tasks for Chinese scientists.
2.2 Progress in Terrestrial Ecosystem Carbon Cycle

in China
2.2.1 Carbon Storage in Chinese Terrestrial Ecosystem and Its

Influencing Factors
The value of vegetation carbon storage in China ranged from 6.099 to 35.23 PgC,
among which the forest ecosystem was the largest carbon pool, including 3.7–
8.7 PgC for carbon storage and 3.2–6.2 PgC for carbon density (Li et al. 2003).
Carbon storage in grassland ecosystem ranged from 1.15 to 3.32 PgC (Fan et al.
2008; Fang et al. 2007), and the average carbon density was 3.46 MgC hm−2 in
China (Fang et al. 2007). Forest vegetation carbon pools were mainly distributed in
the northeast and southwest China (Fang et al. 1996) and carbon pool in grassland
ecosystem was mainly in Tibet Plateau and North China (Fan et al. 2008).
Temperature and precipitation were the important factors affecting the distribution
pattern of vegetation ecosystem carbon pool. In addition, community composition
and forest age exerted great influence on vegetation carbon storage in China (Lu
and Sun 2004).
For soil organic carbon pool, carbon storage was 80–90 PgC and carbon density
was 8–10 kg m−2. Northeast area, eastern Tibet Plateau, and Yunnan–Guizhou
Plateau in China had the high value of carbon density. In terms of soil inorganic
carbon, carbon storage was 60 PgC and the average carbon density was
4.29 kg m−2. The value of average carbon density in Northwest China was highest,
about 36.48 kg m−2. High precipitation and low temperature were beneficial to the
formation and storage of soil organic carbon, while the area with low precipitation
tended to accumulate soil inorganic carbon.
2.2.2 Carbon Flux in Chinese Terrestrial Ecosystem and Its

Influencing Factors
Annual net primary productivity (NPP) of terrestrial vegetation in China gradually

decreased from the southeast to the northwest (Piao et al. 2001), gross primary
production (GPP) in grassland ecosystem was lower than that of the typical forest
and farmland ecosystem (Sun et al. 2006a, b; Zhang et al. 2006a; Fu et al. 2006).
Temperature, moisture, and radiation condition were the main factors to influence
and control the carbon uptake of terrestrial ecosystem. Ecosystem respiration
(ER) generally showed a unimodal seasonal variation pattern in natural ecosystem,
consistent with the seasonal variation in temperation (Zhang et al. 2006b; Fu et al.
2006), while the pattern of ER in farmland ecosystem was different from that of
natural ecology. Temperature, soil moisture, organic matter content, and microbial
activity were the key factors influencing ER.
2.2.3 Carbon Budget in Chinese Terrestrial Ecosystem

and Its Influencing Factors
Annual net ecosystem exchange (NEE) varied with latitude and longitude, which
increased with decreasing latitude, indicating that the carbon absorption capacity of
terrestrial ecosystems was stronger in southern China, and the potential of forest was
significantly higher than that of grassland. Carbon absorption occurred mainly in the
west region of Southwest China, southeastern Tibet Plateau, Northeast Plain, central
and western regions of North China and Southern China region. The carbon release
appeared mainly in the Sichuan Basin, Qin Ba mountain area, Zhejiang and Fujian
Hilly Area, northwestern Inner Mongolia, and parts of Xinjiang (Tao et al. 2006).
NEE was closely related with temperature, precipitation, and photosynthetic
active radiation.
2.2.4 Terrestrial Ecosystem Carbon Cycle in China Related

to Anthropogenic Factors and Climate Changes
Due to the land use change, carbon pool of terrestrial biomass in China increased
from 8833.04 TgC in 1991 to 12,279.33 TgC in 2006 by 0.2–0.5 PgC per year, and
carbon pool of soil organic carbon increased from 25,780.72 TgC in 1991 to
29,575.26 TgC in 2006. Through a series of ecosystem managements, the carbon
sequestration potential of afforestation will be 1.81 PgC hm−2 a−1 in the future, and
for cropland, grassland and wetland in China, 160 PgC, 1.3 PgC and
0.46 PgC hm−2 a−1 could be sequestrated in the future 50 years, respectively.
Climate changes could have a profound impact on terrestrial ecosystem carbon
fluxes. Warming reduced the carbon sequestration capacity of temperate grassland
ecosystem in Inner Mongolia, while increased precipitation could ameliorate the
negative impacts of climatic warming on ecosystem C fluxes (Niu et al. 2008).
Nocturnal warming increased leaf respiration of dominant grass species, enhanced
consumption of carbohydrates in the leaves, and consequently stimulated plant
photosynthesis in the subsequent days (Wan et al. 2009). This plant photosynthetic
overcompensation transferred typical grassland ecosystems from carbon source to
carbon sink.
Elevated atmospheric CO2 concentration increased the yield of rice and wheat by
17 and 20 %, and the soil respiration under low nitrogen and high nitrogen treat-
ment increased by 14.8 and 15.1 %, respectively. The high CO2 concentration
promoted the photosynthesis of Pinus koraiensis seedlings, improved water use
444 Q. Ge et al.
efficiency (WUE) and simulated the growth of P. koraiensis at the early phase,
whereas showed adverse effect later.
The influence of precipitation on grassland ecosystem was more obvious and
significant than on forest ecosystem. For semiarid grassland ecosystem of Inner
Mongolia, increase in precipitation alleviated the soil water restriction and the
negative effects of warming on ecosystem carbon and water exchange, conse-
quently promoted gross ecosystem productivity (GEP) and ER, net ecosystem CO2
exchange (NEE), and soil respiration (SR) (Niu et al. 2008). The short-term effect
of precipitation change on forest was not significant (Wu et al. 2009a, b).
Atmospheric nitrogen deposition increased the nitrogen availability in terrestrial
ecosystems, and then fixed a certain amount of organic carbon through increasing
net primary productivity (NPP), which could slow down the increase in atmo-
spheric CO2 concentration and explained partly the distribution of missing sink.
However, on the other hand, long slow nitrogen deposition may generate nitrogen
saturation of terrestrial ecosystem, and thus reduce the terrestrial ecosystem pro-
ductivity, improve soil nitrogen leaching, accelerate decomposition rate of litter and
soil organic carbon, thereby weaken the carbon sequestration of terrestrial
ecosystem.
2.3 Conclusion
Over the past few decades, Chinese scientists have done a lot of work and achieved
remarkable results on the investigation of the carbon storage and dynamic of ter-
restrial ecosystem at the regional scale, control experiments on the responses of
carbon, nitrogen, water cycles to global changes in typical ecosystems, the simu-
lation of terrestrial ecosystem processes and remote sensing models. However, the
interactions between carbon cycle and climate, human activities, water and nutrient
cycles are extremely complex, together with the inconsistency of data sources and
evaluation methods, leading to the lack of our knowledge about the temporal
variation, spatial distribution of the global and regional carbon source or sink and
its driving forces.
Focus of future research is to construct a new generation of coupling model on
the process of carbon, nitrogen and water cycle, based on the data from the
long-term observation and experiments of different regions and ecosystems. In
addition, we should adopt multi-scale to observe, multi-method to verify, multi-
process to reconcile and cross-scale to simulate, in order to carry out the compre-
hensive study to evaluate ecosystem carbon sequestration and understand the
variation in the process and pattern of ecosystem carbon cycle, and regulation and
management approaches of carbon sequestration of regional ecosystem driven by
global change and human activities.
3 Forest Carbon Stocks and the Changes in China
As the largest part of terrestrial ecosystems, forests play a leading role in regional
and global carbon (C) cycles. Located in the eastern margin of Eurasia, China ranks
the fifth in its forest area in the world and encompasses various forest biomes, from
boreal forests in the north to the subtropical/tropical evergreen broadleaf forests in
the south, which provides a unique area to study the regional forest C cycle.
Therefore, detailed assessment of the C stocks and dynamics of China’s forests is
critical to the estimation of the national C budget and can help to constitute sus-
tainable forest management policies for climate change. Here, we summarized the C
stocks and dynamics of China’s forests in recent decades among the four major
components, including living biomass, soil organic carbon, litter, and coarse woody
detritus. Based on six periods of the national forest inventory data between 1977
and 2008, living biomass C stocks of China’s forests increased from 4.7 to 6.4 PgC
with an average C sequestration rate of 63.3 TgC year−1. The area-weighted mean
biomass C density also increased from 38.2 to 41.3 MgC ha−1. Using the data from
China’s second national soil survey, soil organic C storage in a depth of 1 m in
China’s forests is 15.8–34.2 PgC. In addition, the C stocks of forest litter and coarse
woody detritus in China is 0.54–1.15 PgC and 0.1–2.4 PgC, respectively. The
recent study showed that the total C stock in China’s forests during 2000–2007 was
24.2 PgC, including 6.5 PgC of living biomass, 16.3 PgC of soil organic carbon,
1.2 PgC of litter, and 0.1 PgC of coarse woody detritus. Therefore, China’s forests
have significantly contributed to the regional and global C sinks in the past several
decades, mainly due to the areal expansion and forest regrowth. Furthermore,
China’s forests are characterized by young forest age, low C density, and a large
area of planted forests, indicating China’s forests have high potential to act as C
sinks in the future.
4 Grassland Carbon Cycle and Its Response

to Climate Change
4.1 Introduction: Carbon Cycle and Grassland Ecosystem
Climate changes such as global warming caused by the enrichment of atmospheric

greenhouse gases, e.g., carbon dioxide (CO2), nitrous oxide (N2O) and methane
(CH4), have been the key environmental problems and received worldwide attention
in recent years. Currently, the effects and the corresponding mechanism of envi-
ronmental changes and human activities on the carbon (C) cycle and C budget in
terrestrial ecosystems have become the hot topics in many international research
projects. The responses and feedbacks of terrestrial C budget to global changes are
446 Q. Ge et al.
crucial to seek the residual C sink, which is thought to come from the terrestrial
ecosystems in the mid- and high latitudes of the Northern Hemisphere (IPCC 2007a).
Grassland is one of the most widespread land cover types worldwide, which
covers nearly one-fifth of the natural land surface (Scurlock and Hall 1998) and
accounts for approximately 34 % of the global terrestrial C stock (World Resources
Institute 2000). Grassland ecosystems, ranging from the savannas of Africa to the
temperate steppe of Eurasia and from the North American prairies to the pampas of
South America, play a very important role in regulating global C budget through the
C fixation and C turnover by plant and soil.
Grasslands comprise the largest terrestrial ecosystem in China, covering an area
of approximately 4 × 106 km2 or 41.7 % of the land area of China (Ren et al. 2008)
and 11.8 % of the world’s total grassland (Zhao et al. 2005). In addition to some
small disjunct areas spreading in the tropical regions, most of the grasslands in
China are distributed in temperate arid and semiarid regions of North China or in
the alpine regions of West China (Hou et al. 1982; DAHV & CISNR 1994). As the
major C pool of grassland ecosystem, the grassland soil C stock and its variation are
very sensitive to global changes such as temperature, precipitation, and human
activities because of the fragile eco-environments in the arid or alpine grassland
regions. Thus, it will result in great fluctuations of grassland C budget and increases
the difficulty and complexity of research on grassland C cycle (Wever et al. 2002).
Because of the wide distribution and the high sensitivity to climate change for
Chinese grassland, the potential effects of global change such as multiple envi-
ronmental factors (climate change, increasing atmospheric CO2 concentration,
nitrogen deposition, and land cover/land use change) on net C balance in grassland
ecosystems of China have received much attention in recent years. These relative
researches have focused on the magnitude, spatial distribution, and temporal
dynamics of the grassland C emission and soil C sequestration as well as the
underlying mechanisms.
The objectives of this chapter are to: (i) present an overview of the main pro-
gresses of C cycle in Chinese grassland and the main effects of environmental
factors on grassland C budget, and (ii) discuss the research emphases of the related
field in the future.
4.2 C Storage and Its Spatial Distribution in Chinese

Grassland Ecosystem
The knowledge of the spatial–temporal allocation of grassland C in China is

important for understanding the role of Chinese grassland in global C cycle. Studies
on grassland C storage in China started from the 1990s (Ding and Peng 1991; Zhu
and Jia 1991), developed rapidly in the last 10 years, and most of them were
focused on the temporal dynamics of soil C storage and C emission (Wang et al.
2004; Dong et al. 2005; Qi et al. 2010), but seldom on the spatial distribution of
grassland C pool. With the development of model research, more and more
attentions are paid to the quantitative assessment on the grassland C storage and its
distribution in plant biomass and soil at both regional and national scale. Based on
lots of field experiments and model simulations, the average C density and the total
C stock in biomass and soil in Chinese grasslands are estimated (Tables 1 and 2).
Various estimates of total C stock in biomass ranged from 562 to 4660 TgC
(Table 1) and differed by a factor of approximately eight. Soil was the largest C
pool in grassland, and large differences also exist among various studies on
grassland soil C stock in China, with estimates ranging from 16.7 to 41.0 PgC.
Temperate grassland is the main part of the grassland in China and the estimated
total soil C stock is about 16.7–28.1 PgC (Table 2). The vegetation and soil C
density as well as the corresponding C storage in different Chinese grasslands have
also been calculated (Ni 2001, 2002; Zhong et al. 2005). The results obtained by Ni
(2002) indicated that approximately 54.5 % of the total C is stored in alpine regions
and 31.6 % in temperate regions. Together, these two regions constitute more than
85 % of all the carbon stored in grasslands of China (Ni 2002). In addition, about
93 % of grassland organic C stored in the soil in China, which is about 13.5 times of
biomass C (Ni 2001). In alpine grasslands, the decomposition rates of soil organic
matter remain slow, as may become an important C sink and will make a great
contribution to the global soil C sequestration.
Table 1 The biomass C density and C stock in Chinese grasslands

Study Area Biomass C Biomass C Data sources and methods
sites (104 km2) density stock (TgC)
(g/m2)
Chinese 569.9 215.8 1230 National grassland resources survey
grasslands data, root to shoot ratio
Chinese 405.9 1148.2 4660 The global average biomass C density
grasslands of different grassland types
Chinese 299.0 1023.5 3060 The global average biomass C density
grasslands of different grassland types
grasslands data, root to shoot ratio, NDVI data
Chinese 167.0 340.0 562 CEVSA model; NDVI data
grasslands
grasslands data, NDVI data
grasslands data, field measured biomass data
From Fang et al. (2010)
448 Q. Ge et al.
Table 2 Soil C density and carbon pool in Chinese grasslands

Study sites Area Soil Soil C Soil C Data sources and methods
(104 km2) depth density pool
(cm) (kg/m2) (PgC)
Grasslands in 168.9 102.7 16.6 28.1 The first national soil
Northern China survey of China and others
Grasslands in 196.3 100 8.5 16.7 The observational data in
Northern China 2001–2005
Chinese 249.3 103 15.1 37.7 The second national soil
grasslands survey of China
Chinese 167.0 100 10.0 16.7 CEVSA model
grasslands
Chinese 311.8 100 13.2 41.0 Global soil database
grasslands
From Fang et al. (2010)
4.3 The Response of Grassland C Budget to Environmental

Changes and Human Activities in China
Ecosystem C budget is decided by the differences between the fixation of atmo-

spheric carbon dioxide (CO2) through photosynthesis and the simultaneous or
subsequent release of CO2 through autotrophic or heterotrophic respiration. Under
the background of rapid global environmental change, there is an urgent need to
better understand how the above-mentioned processes response to the climate
change (e.g., the variations in temperature and precipitation) and the anthropogenic
disturbances (e.g., overgrazing, fire, nitrogen deposition, and land use changes).
Most of the currently available researches in China have been conducted in tem-
perate steppes and alpine meadow regions. The C budget estimation was mainly
based on the following three processes: (i) C accumulation in aboveground and
belowground parts of vegetation; (ii) C turnover in some standing dead grass and
litter; (iii) C emission from soil to atmosphere. The results obtained from these
researches are largely disputed and uncertain.
Temperature and precipitation are considered to be the primary climatic factors
determining the C budget in grassland ecosystem of China. They controlled both
the processes of C accumulation through net primary production (NPP) and the
processes of C sequestration and C mineralization in soil. For the process of C
fixation, annual precipitation was positively correlated with grassland vegetation
productivity from the point of spatial view (Bai et al. 2000), and temporally, the
relationship between NPP and precipitation is site specific. For example, Guo et al.
(2006) gathered field data of 48 grassland sites in northern China from 31 published
papers or monographs, and they found that ANPP was controlled by the precipi-
tation of growth period. While in the temperate meadow steppe and the alpine
meadow, precipitation showed its time lag effect on NPP. Precipitation has also
been regarded as the most key determinant of C emissions through respiration in
Chinese grassland (as reviewed by Bao and Zhou 2010). Generally, precipitation is
more important than temperature to influence the C cycle processes and C budget in
most of grasslands, especially in the growing seasons of temperate grasslands. The
increasing temperature plays even more complex role in driving the change of
grassland vegetation biomass and the C balance which varies greatly between and
within sites, and over the duration of the experiment.
Besides climate change, anthropogenic activities such as grazing, one of the
important management measures in grassland ecosystem, also significantly influ-
enced the C processes of the grasslands. It has been suggested that the impacts of
grazing on vegetation growth and C emissions depended largely on the grazing
intensity and duration (Wu et al. 2009a, b). Commonly, overgrazing not only
reduces the plants NPP and corresponding C fixation, greatly decreasing soil C input
from grassland vegetation, but also accelerates SR and stimulates C release from the
soil to the atmosphere. A number of experiments have demonstrated that over-
grazing can lead to a 30–50 % decrease in belowground production in Inner
Mongolia temperate grasslands and reductions of 20–40 % and 30–43 % in above-
and belowground biomass, respectively, in alpine grasslands (Fang et al. 2010).
A recent meta-analysis suggested that grazing can lead to a large amount of C loss
from soils (Huang et al. 2010). However, a few studies also indicated that grassland
vegetation has certain compensation and overcompensation abilities with modest
grazing intensity, and moderate grazing can reduce C emissions and increase soil
organic C (SOC) storage in soils in the inner Mongolian steppe (Yang et al. 2006;
Xilin et al. 2009) and alpine meadow (Gao et al. 2007). Generally, the effects of
grazing on soil C are mostly within the surface layer (0–30 cm). In addition, some
studies have argued that long-term heavy grazing increased SOC and total nitrogen
content in surface soils compared with light grazing management (Wang et al. 2011).
Land use/cover change (LUCC) is another important global change factor in
grassland ecosystem and it has been widely recognized as a key driving forces of
soil C balance (Yang et al. 2009). Wang et al. (2011) synthesized 133 papers
published in the last 10 years about the effects on soil C of grassland management
and related land use conversions in China. The result they obtained was that the
effects of conversion from native grassland to cropland on SOC were variable and
even contradictory across different grassland biomes. Most of experiments showed
that the cultivation of grassland would reduce the organic carbon sequestration by
soil. For example, Jiao et al. (2009) found that cultivation of typical steppe wors-
ened soil erosion, and resulted in the decrease of SOC by approximately 18 % after
20 years cultivation. But, some other studies have demonstrated that the conversion
from grassland to cropland had increased soil TOC. The research results of Horqin
sandy land reported by Chen et al. (2004) showed that the TOC concentration of the
0–20 cm has increased by about 5.96 % after grassland conversion to arable land for
8 years.
450 Q. Ge et al.
4.4 Future Perspectives
Grasslands in China, because of their extensive distribution and high C density, are
a prominent part of the global C cycle. Great progresses have been made during the
past several decades in the spatial–temporal dynamics of C emission and C storage,
and their responses to global changes as well as the underlying mechanisms in
Chinese grassland. These works have made great contributions for us to clarify the
potential for grassland C sequestration in China, to provide scientific guidance on
grassland management, and finally accomplish the goal of increasing global sink for
atmospheric CO2. Nevertheless, given the large uncertainties in the current research
results, some related fields are needed to be further strengthened.
(i) The long-term and multifactor field manipulative experiments should be
strengthened. The short-term researches spend less and could capture the rapid
response of ecosystem to environmental change easily, but their results are
often with poor stability. The large differences among various current studies
may be caused by the poor stability and the different approaches used in these
studies. Thus, long-term repeated observations are urgently needed to increase
the stability and reliability of experimental data. Meanwhile, it is imperative to
continue to initiate and support multifactor experiments to explore the inter-
actions of multiple factors on ecosystem C cycle in different grasslands of
different locations, which will be much better for the more accurate estimation
in grassland C budget under the scenario of complex environmental changes.
(ii) Quantifying belowground C stocks and its sensitivity to climate change and
anthropogenic disturbances are critical for ecosystem C estimation. The
belowground C processes and their driving mechanisms are less well under-
stood so far compared with relative researches on aboveground portion. Soil C
pool is the main body of ecosystem C pool, and that more than 85 % of
biomass occurred belowground, thus, it is important and indispensable for us
to reduce uncertainties in belowground C processes and to provide more
optimal parameters to improve existing dynamic models of grassland C cycle.
(iii) A uniform and standard observation method for grassland ecosystem pro-
ductivity and soil C sequestration should be established to increase the data
comparability and obtain more accurate estimates on grassland C stock.
(iv) Strengthen the researches about the responses of grassland C storage and C
budget to the anthropogenic disturbances such as grazing, fire, and the con-
version of native grassland to cropland, etc. In China, the related work initi-
ated earlier, however, they are still sporadic and not systematical, thus become
the important sources for the uncertainty in the grassland C budget estimation
and cannot provide a scientific guidance for grassland C management either.
5 Agroecosystem Carbon Cycle and Its Response

to Climate Change
5.1 Introduction
China has succeeded in feeding 22 % of the global population (1.3 billion) on 7 %

of the global arable land (130 million ha). With explosive economic growth and
increasing population in recent decades, the absolute growth of Chinese greenhouse
gases (GHGs) (calculated in CO2 eq) has been over than other countries. China has
become a major country of GHGs emission, and the rapidly increasing of GHGs
emission in China indicated its influence on global climate change.
As a country with a millennial history of agriculture, Chinese agricultural soils
contain lower level of soil organic carbon (SOC), especially in the regions with
long-term drought, and serious water and soil erosion. The soils less than 1 % level
of SOC account for 31 % of upland soils. In recent decades, numbers of regions
showed the accumulation of SOC, with the increasing amount of crop yield and
organic carbon return. The tremendous carbon sink and potential of carbon
sequestration would contribute to mitigate global warming effect.
Based on the current agricultural soil carbon pool and its dynamic change, this
section focus on summarize the primary conclusions regarding of net ecosystem
CO2 exchange (NEE), SR, soil carbon pool and its dynamic change, and potential
of carbon sequestration in China.
5.2 Research Status and Primary Results
The three methods in agroecosystem carbon cycle as follows: first, measurement of

field flux on NEE and SR (Zou et al. 2004); second, long-term field experiment,
SOC pool and its dynamic change were measured under long-term plots design and
samples determination (Huang et al. 2006); third, model analysis, stimulate the
critical factors in influence agroecosystem carbon cycle, and estimate the ability and
potential of carbon sequestration in agroecosystem, by building or in adoption of
available biogeochemical model (Wang et al. 2005; Yan et al. 2007).
5.2.1 Agroecosystem Carbon Exchange and Soil Respiration
The chamber measurement was used to measure agroecosystem NEE in early study,
currently, eddy-correlation technique was the common method to determine NEE.
There were significant difference in growth period NEE under different crop types,
overall, the averaged NEE was in the decreasing order from maize, wheat and rice,
soybean, rape to naked oats.
452 Q. Ge et al.
Since 2000, there have been reports on agricultural soil respiration in the primary
agricultural regions and crop types (wheat, rice, maize, soybean, highland barley,
rape, etc.). Maize, wheat, and soybean and rice cropland generally has SR rate over
20 gCO2/(m2 d), over 10 gCO2/(m2 d), and less 10 gCO2/(m2 d) in growing stage,
respectively. The main influence factors of SR include: soil temperature and water
content (Zhang et al. 2008); drought (Dai et al. 2004); precipitation triggering
(Zhang et al. 2008); organic fertilizer (Dai et al. 2004) and chemical fertilizer
application (Wang et al. 2002; Zhang et al. 2005); straw incorporation (Zhang et al.
2005); tillage (Meng et al. 2006); and irrigation (Yang and Cai 2004). In terms of
the measurement of SR in block plot, the study obtained that root respiration
account for the total soil respiration varies in crop types and regions (13–77 %, Han
et al. 2008)
5.2.2 Agrocosystem Carbon Storage and Development
The estimation of Chinese SOC pool is mainly based on the twice general surveys
of soils in the nationwide scale, however, due to in adoption of different scale of soil
distribution, different amount of samples, and different estimation of soil bulk
density, the results of SOC storage occurred great difference (Wang et al. 2005; Yan
et al. 2007). The total carbon storage of Chinese agroecosystem is 69–180 PgC in
the entire profile (1 m), with an averaged carbon density of 5.46–19.6 kg/m2. The
spatial pattern of Chinese agricultural topsoil SOC showed an increasing trend from
West to East and from South to North. The mean SOC concentration is in the order
of Northeast > Southwest, South, North, and East > Northwest. It could be attri-
butable to the lower temperature, and higher soil moisture in Northeast, which
reduce the decomposition of SOC; while due to the lower plant cover rate and
drought conditions, there is lower SOC storage in Northwest region of China.
The dynamic of SOC pool primary base on the two methods: (i) general survey
of soil and local soil survey data; (ii) model analysis. Based on the first and second
general survey of soil, Wang et al. (2003) estimated the SOC loss 1 PgC during
1960–1980 in China. Since the second general survey of soil, there is no soil survey
in the entire China. However, many local and research institutions conducted the
survey work with respect to SOC since 1990s. In comparison of the second general
survey of soil, the dynamic trend of Chinese agricultural SOC could be obtained.
Xie et al. (2007) estimated the accumulative rate of agricultural SOC was
23.61 TgC/a in the last two decades; Yu et al. (2009) calculated the Chinese arable
SOC pool increased 0.26 PgC during 1980–2000; Yan et al. (2010) obtained the
averaged SOC increased 0.22 % per year from 1980 to 2008 in China; according to
the literature analysis, Huang et al. (2006) found, in recent 20 years, 53–60 % of
arable area’s SOC concentration increased, and estimated Chinese agricultural SOC
storage increased by 311.3–401.4 TgC. The increase of Chinese agricultural SOC
storage could be ascribed to the adoption of fertilizer and conservational tillage in
recent 20 years. There only scare studies reported the dynamic of Chinese SOC
based on the model research. In terms of the DNDC model, Li (2000) estimated
Chinese agricultural SOC loss 73.8 TgC per year; Tang et al. (2006) also proved the
decline in Chinese agricultural soil organic carbon.
5.2.3 The Rate and Potential of Carbon Sequestration in Primary

Agricultural Managements
The widely accepted carbon sequestration management include minimal and no

tillage, straw return, organic fertilizer and chemical fertilizer application. Jin et al.
(2008) estimated the carbon sequestration rate of combination of chemical and
organic fertilizer, straw return, organic fertilizer application, no tillage, and chemical
fertilizer application was 0.889, 0.597, 0.545, 0.514, and 0.129 t C/(hm2 a); Han
et al. (2008) determined the carbon sequestration rate of chemical fertilizer appli-
cation, straw return, organic fertilizer application, and no tillage was 0.38, 0.224,
0.316, and 0.284 t C/(hm2 a).
There are two methods to estimate the potential of carbon sequestration:
(i) based on the soil carbon saturation level, (ii) based on the carbon sequestration
rate of agricultural managements. According to the result of DNDC model, Han
et al. (2005) confirmed agricultural SOC saturation level was 4.8–51.4 g/kg in
1990s; by analysis the long-term experimental data, Cheng et al. (2009) indicated
the potential of SOC level in upland and rice paddy could reach 17.2 and 27.7 g/kg,
respectively; Jin et al. (2008) estimated the saturation of SOC in chemical fertilizer
application, organic fertilizer application, straw incorporation, formula fertilizer,
and no tillage was 17.4, 22.3, 25.6, 25.9, and 31.4 g/kg; Han et al. (2008) reported
the potential of agricultural SOC sequestration in chemical fertilizer application,
straw incorporation, organic fertilizer application, and no tillage was 94.9, 42.2,
41.4, and 3.58 TgC/a, totaling 182.1 TgC/a; Yan et al. (2007) assessed that the
potential of SOC sequestration under 50–100 % of straw return, and 50–100 % of
no tillage application could be reached in 23–57 TgC, and 22–43 TgC m
respectively.
5.2.4 The Effect of Climate Change on Agroecosystem Carbon Cycle
Currently, there are rare studies reported the cycle of agroecosystem carbon in
China. In the 1980s, some papers reported the effect of CO2 on farmland ecosys-
tems and its carbon cycle, for example, Wang and Lin (1999) reported the effect of
elevated CO2 on yield of wheat and soybeans, and Wang and Lin (1999) reported
the effect of elevated CO2 level on rice roots exudates. Since 2000, Zhu et al.
established FACE experiments in Yangzhou, Jiangsu Province, and investigated the
effect of elevated CO2 level on photosynthesis of wheat, rice, crop yield, soil carbon
and nitrogen, and trace element. In this FACE experiments Zheng demonstrated the
effect of elevated CO2 concentration on methane emission (Xu et al. 2004). The
researches concerning the impact of climate warming on agroecosystem are rarely
reported in China. Recently, Zhang et al. (2010) established the opening nighttime
454 Q. Ge et al.
warming system to study the responses of rice and wheat to warming. The impacts
of precipitation on carbon cycle of agroecosystems could primarily contribute to its
changing soil moisture conditions. There are many reports on the effect of water
change on agroecosystem, especially focusing on the effect of drought on crop
growth and yield. But there are still rare experiments on the impact of precipitation
on carbon cycle of agroecosystem. Model is the important tool to study the effect of
climate change on agroecosystem carbon cycle. Currently, Li Changsheng’ s
DNDC, Huang Yao’ s Agro-C, and Tian Hanqin’s DELEM model are the primary
model being applied to the study in Chinese agroecosystem carbon cycle.
Additionally, further research is needed to assess the effect of future climate change
scenarios on Chinese carbon cycle of agroecosystem and food security.
Since the 1990s, researchers have estimated the carbon pool and its dynamic
change, and the ability and potential of carbon sequestration in Chinese agriculture,
however, there are great different and uncertainty among the different estimated
results. For reduction the uncertainty in estimation the dynamic and potential of
carbon sequestration, and making agroecosystem play a role in mitigation global
climate change, the following research is needed:
(i) Currently, it was usually adopted soil types when estimated SOC storage. In
fact, SOC density generally has great difference in the same soil type. The
change of agricultural SOC pool was generally less than 1 t C/hm2 a, the mean
SOC pool is 100 t C/hm2, which result in the difficulty to measure the change
of soil carbon pool in 1–2 years. SOC pool change year by year, and it is
susceptible to the carbon input and climate conditions, which would make
difficulty to estimation the dynamic change of SOC pool. Consequently, it is
necessary to analysis the critical factors that impact estimation accuracy.
(ii) There are considerable reports on the mechanism of SOC cycle, for example,
the studies of physical, chemical, and biological fractions of SOC, SR, the
decomposition of soil organic matter, and soil microorganism. However, there
are no reasonable explication respecting the stability and resilience mechanism
of SOC. So the above topic needs to further discussed. For example, the
relationship of soil carbon structure among the physical, chemical, and bio-
logical properties, and the relationship between them and the stability of SOC;
how tillage and climate change impact long-term soil respiration; and the
relationship between the decomposition of soil organic matter and SR and the
stability of SOC.
(iii) Recently, model analysis method had been applied in the research of Chinese
terrestrial ecosystem carbon cycle, for example, the model building of
CEVSA, BEPS, BIOME & BIOME-BGC, GLO-PEM, EALCO, and SIB2 is
based on the interaction of energy, water, and carbon transmission. Most of the
models focus on the ecosystem production and NEE, lacking of the study
regarding agricultural managements, such as fertilizer application, tillage, and
straw incorporation. Due to the special agricultural production in China,
domestic scholars develop C-Agro model. Li (2000) have used biogeochem-
istry DNDC model to study the carbon cycle of Chinese agricultural soil. In
the future, development of Chinese agriculture and climate change should be
synthetically considered, and confirm the impact of climate change on the
carbon cycle of Chinese agricultural soil.
(iv) As an important approach of mitigation greenhouse effect, soil carbon
sequestration and agricultural emission reduction have received the great
attention from international community, the program of cooperation in the
local and international organizations is implied, and countries have legislated
laws to improve the ability to combat climate change. As one of the most safe,
available, economic emission reduction way, biological carbon sequestration
technique attracted universal attention from international society, and become
one of the hottest topics in interdisciplinary research. Currently, the primary
carbon sequestration managements of agriculture include fertilizer application,
straw incorporation, no tillage, and irrigation. According to the case study and
the analysis of influence factors in carbon sequestration, the impact of tillage,
rice paddy arable area, straw incorporation, fertilizer, cropping system, land
use, and the development of society economic on Chinese agricultural carbon
sequestration and emission reduction should be evaluated, and put forward the
relative management for increased carbon sequestration and emission
reduction.
6 Wetland Carbon Cycle and Its Response

to Climate Change
6.1 Introduction
Natural wetlands, one of the significant carbon sinks in the terrestrial ecosystems,
play important roles in the carbon budgets of the global carbon cycles. Wetland
ecosystems hold the highest soil carbon density (Post et al. 1982), and serve as
sinks or sources of greenhouse gases (GHGs), such as CO2, CH4, and N2O
(Freeman et al. 1993; Song et al. 2009). The carbon processes in the natural
wetlands could influence climate changes in the regional or global scales.
Global changes, such as water regimes, land use changes, nitrogen
(N) deposition, etc., could affect the carbon cycle in wetlands. For example, water
table changes can greatly influence carbon storages and carbon fluxes in wetland
ecosystems (Tiiva et al. 2009; Berglund and Berglund 2011). Strom and
Christensen (2007) reported that a change in hydrology may result in an increasing
source of radiative forcing in the mire. N addition to wetland ecosystems alters
456 Q. Ge et al.
microbial communities (Keller et al. 2005; Banger et al. 2012), and vegetation
communities (Chapin et al. 2004; Keller et al. 2005), and thus the resulted changes
in the three main GHGs. It is vital important to investigate the responsible mech-
anism of carbon cycles between soil, vegetation, and atmosphere to global changes.
In this part, the carbon cycles in responses to N deposition, water regimes, and
wetland conversion were explored. Carbon sequestration in plant, soil carbon
storage, the main carbon gases (i.e., CO2 and CH4) and litter decomposition were
introduced. In the end, the long-term systematic research about wetland soil
microorganisms in different environment regimes and the potential biodegradation
ability of organic carbon were emphasized. More sophisticated models of carbon
cycles in wetland ecosystems should be developed in the future to predict the
carbon budgets from wetland ecosystems with regard to global carbon budgets.
6.2 Responses of Carbon Cycle in Wetlands to Global

Changes
6.2.1 Responses of Carbon Cycle to Water Regimes and Exogenous

Nutrient Inputs
Water regimes and exogenous nutrient inputs exert large effects on carbon pools
and fluxes from wetland ecosystems. Flooding condition significantly increased soil
CH4 emission, total amount of CH4 emitted under 15 cm flooding water table was 2
and 30 times of those under 0 and −10 cm (Table 3). Water table was positively
correlated to CH4 emission amount. CO2 emission rates increased with water table
rises when the soil was inundated. The effects of N fertilization on greenhouse gases
are described in Song et al. (2013). Exogenous N inputs also speeded the litter
decomposition rate under submerged condition, while there were no significant
differences between different N levels. The accumulated carbon released as CO2–C
and DOC–C was less than 26 % of the total losing carbon in litter under moist
condition, however, more than 50 % of the total losing carbon released as the form
of CO2–C and DOC–C (Table 4), which suggested DOC is the main losing way in
the decomposition process of submerged litter.
6.2.2 Land Use Change and Carbon Cycle in Wetland Ecosystem
Land use and management obviously affect dynamics of wetland ecosystem carbon
cycle. Soil carbon storage (SOC) decreased apparently after wetland conversion in
the first five years, while it begins to stabilize after 10 years of wetland conversion
(Fig. 1). SOC increased significantly after cultivated soil abandonment.
Table 3 Total emissions of CO2, CH4, N2O and the calculated total CO2 equivalents of
greenhouse under different water table levels during the whole growing season
Water CO2 (g m−2) CH4 (g m−2) Total C emission Total CO2 equivalents
condition (cm) (g m−2) (Mg m−2)
15 635.59 (41.09) 130.34 (2.04) 285.07 (12.35) 38.94 (0.83)
10 573.46 (22.64)a 98.82 (8.64) 241.10 (2.08) 30.44 (1.94)
5 552.06 (45.99) 61.16 (13.42) 202.98 (23.08) 20.81 (3.75)
0 804.01 (74.80) 7.99 (0.63) 226.12 (20.21) 10.04 (0.71)
−5 1269.94 (137.89) 8.16 (0.51) 353.34 (37.75) 14.74 (1.42)
−10 1257.19 (76.19) 4.40 (1.32) 346.64 (20.61) 13.67 (0.78)
Note This table is cited from Hou (2012)
Table 4 DOC–C and CO2–C output and output rate from litter in wetland under N addition
Conditions DOC–C DOC–C CO2–C flux CO2–C Carbon pool loss in
output output rate (mg C/g) flux rate litter (mg C/g)
(mg C/g) (%) (%)
Moist K 9.90 14.00 4.35 6.15 70.71
1 15.83 14.91 5.66 5.33 106.12
2 17.14 19.36 5.29 5.97 88.54
3 16.69 20.85 4.59 5.73 80.08
Submergence K 16.77 59.46 3.02 10.70 28.20
1 26.05 55.88 3.29 7.06 46.62
2 29.99 63.23 3.16 6.66 47.43
3 30.69 65.62 3.17 6.78 46.76
Note N1, 60 kgN ha−1 year−1; N2, 120 kgN ha−1 year−1; N3, 240 kgN ha−1 year−1. This table is
cited from Liu (2009)
Global changes, such as exogenous N input and climate warming that caused the
change of wetland plant communities and productivity, may be the reason for
changes in quality and quantity of litter in the soil and the underground root,
resulting in the varying quantity of input carbon in the wetland and the stability in
deep soil organic carbon, but the controlling factors of deep soil organic carbon
stability is still unclear. Understanding of these controlling factors for the evaluation
of wetland soil carbon pools in the future global change is essential. In addition, on
the landscape scale, permafrost degradation process affects carbon balance in the
high latitude regions. However, studies about the estimate of carbon accumulation
in permafrost ecosystem are limited, and also much more studies about carbon
fluxes and net carbon exchanges for these areas, especially in the context of the
458 Q. Ge et al.
20
14
18
12 y = 8.991*exp(-x /2.459) + 2.952
2 y = 7.448*exp(-x/2.947) + 8.066
R = 0.97 16 2
P<0.0001 R = 0.87
SOC /(%)
10 N=21 P <0.001
TOC/TN
14 N =19
8
12
6
10
4
8
2
6
-5 0 5 10 15 20 25 30 35 40 -5 0 5 10 15 20 25 30 35 40
The year of wetland conversion/(year) The year of wetland conversion/(Year)
SOC/ (%)
0 2 4 6 8 10 12 14
0-10
Depth (cm)
10-20
20-30
Natural wetland
5 years after wetland conversion
30-40 10 years after wetland conversion
15 years after wetland conversion
Fig. 1 SOC changes after wetland conversion (Zhang 2006)
future global change scenarios, need to be done. The limitations also lie in insuf-
ficient understanding of some key carbon cycle processes, the quality of frozen soil
organic carbon content in the soil, and the potential of carbon biodegradability
within the permafrost. In conclusion, researches about the function in carbon
sources/sinks in wetland ecosystems in the context of global changes still remain far
from certain. Long-term field studies about the soil microorganism and carbon
fluxes from wetland ecosystems are rare. Comprehensive researches in the key
processes in soil microorganism and enzymatic activity regarding carbon cycle in
wetlands are needed. The synthetic study with regard to soil, plant biomass, soil
microorganism and enzymatic activity in the processes of wetland carbon cycle
would help in comprehensively understanding the responses of carbon sequestra-
tion in wetlands to global changes. In the future, the mature dynamic carbon model
for wetlands should be developed to better predict the carbon fluxes from wetland
ecosystems. The combination of climate model, land use change model, and wet-
land carbon model might be an important direction in future wetland carbon cycle
studies.
7 Application of Novel Techniques on Measuring

the Carbon and Water Fluxes over Terrestrial
Ecosystems
7.1 Introduction
The coupled cycle of carbon (C) and water (H2O) in terrestrial ecosystems and their
environmental and biological controlling mechanisms is one of key issues for global
change ecology in the recent decades. Understanding the coupled cycles and their
environmental and biological controlling mechanisms are important to explore the
response and feedback of terrestrial ecosystems to global change (Yu et al. 2008b).
Some novel technique, such as eddy covariance and isotope ratio infrared spec-
troscopy (IRIS), provides us continuous measurement of CO2 and H2O fluxes and
their isotopic flux ratio, which are applied in the study of the coupled cycle of carbon
(C) and water (H2O) in terrestrial ecosystems (Baldocchi 2008; Griffis 2013).
7.2 Novel Techniques of the Carbon and Water Fluxes
7.2.1 Eddy Covariance Technique
The Chinese Terrestrial Ecosystem Flux Research Network (ChinaFLUX) is a

long-term national network of micrometeorological flux measurement sites that
measure the net exchange of carbon dioxide, water vapor, and energy between the
biosphere and atmosphere based on the eddy covariance technique. It relies on the
existing Chinese Ecosystem Research Network (CERN), fills an important regional
gap and increases the number of ecosystem types in FLUXNET. Expanding the
scope of the FLUXNET database, ChinaFLUX offers new opportunities to quantify
and compare the magnitudes and dynamics of annual ecosystem carbon and water
balance and to explore the biotic and abiotic effects on ecosystem processes of
carbon dioxide and water vapor exchange that are unique to ecosystems in China,
such as the vegetation communities on the Qinghai–Tibet plateau. Besides,
ChinaFLUX also provides more insights to help define the current status and enable
future prediction of the global biogeochemical cycles of carbon, water and trace
gases (Yu et al. 2006; Sun et al. 2006a, b).
Comparison of ecosystem carbon exchange among the three forests, include
Changbaishan temperate mixed forest (CBS), Qianyanzhou subtropical coniferous
plantation (QYZ), and Dinghushan subtropical evergreen broad-leaved forest
(DHS), shows that RE was mainly determined by temperature, with the forest at
CBS exhibiting the highest temperature sensitivity among the three ecosystems (Yu
et al. 2008a). The RE was highly dependent on GEP across the three forests, and the
ratio of RE to GEP decreased along the North–South Transect of Eastern China
460 Q. Ge et al.
(NSTEC) (i.e., from the CBS to the DHS), with an average of 0.77 ± 0.06. The
slope of NEP that decreased with increasing latitude along the NSTEC was
markedly different from that observed on the forest transect in the European
continent.
GEP, ER, and net ecosystem productivity (NEP) of terrestrial ecosystems in
China showed a significantly latitudinal pattern, declining linearly with the increase
of latitude (Yu et al. 2013b). However, GEP, ER, and NEP did not present a clear
longitudinal pattern. The carbon sink functional areas of terrestrial ecosystems in
China were mainly located in the subtropical and temperate forests, coastal wet-
lands in eastern China, the temperate meadow steppe in the northeast China, and the
alpine meadow in eastern edge of Qinghai–Tibetan Plateau. The forest ecosystems
had stronger carbon sink than grassland ecosystems. The spatial patterns of GEP
and ER in China were mainly determined by mean annual precipitation (MAP) and
mean annual temperature (MAT), whereas the spatial variation in NEP was largely
explained by MAT. The combined effects of MAT and MAP explained 79, 62, and
66 % of the spatial variations in GEP, ER, and NEP, respectively. The GEP, ER,
and NEP in different ecosystems in China exhibited ‘positive coupling correlation’
in their spatial patterns. Both ER and NEP were significantly correlated with GEP,
with 68 % of the per-unit GEP contributed to ER and 29 % to NEP. MAT and MAP
affected the spatial patterns of ER and NEP mainly by their direct effects on the
spatial pattern of GEP.
The majority of Asian terrestrial ecosystems are currently large carbon sinks
based on long-term observation data from ChinaFLUX (19 sites) and published data
from AsiaFlux (37 sites) and 32 other sites in Asia (Chen et al. 2013). The average
net ecosystem productivity (NEP) values were 325 ± 187, 274 ± 207, 236 ± 260,
89 ± 134 g C m−2 year−1 in cropland, forest, wetland and grassland ecosystems,
respectively. The spatial variation of gross primary production (GPP) and ecosys-
tem respiration (Re) were mainly controlled by the mean annual temperature
(MAT) and the mean annual precipitation (MAP) in the Asian region. There was a
clear linear relationship between GPP and MAT, and a strong sigmoid relationship
between GPP and MAP. Re was exponentially related to MAT and linearly related
to MAP. Interestingly, those response modes were consistent across different
ecosystem types. The different responses of GPP and Re to MAT and MAP
determined the spatial variation of NEP.
7.2.2 In Situ Measurement of Carbon and Water Isotopic Ratio
The δD and δ18O in atmospheric water vapor provide rich information on the
hydrological cycle and gaseous exchange processes between the terrestrial vege-
tation and the atmosphere. Isotope ratio infrared spectroscopy (IRIS) provides an
in situ technology for measuring δD and δ18O in ambient conditions (Lee et al.,
2005; Griffis 2013). Wen et al. (2008) have demonstrated the feasibility to
simultaneously measure both δD and δ18O in atmospheric water vapor using a

tunable diode laser absorption spectrometer. Our laboratory tests showed that the
1-h precision (one standard deviation) was 1.1 ‰ for δD and 0.07 ‰ for δ18O at the
dew point temperature of 15 °C. Our atmospheric measurement captured the rapidly
changing isotopic signals in both δD and δ18O. An intercomparison experiment was
carried out with four commercial IRIS analyzers to characterize their performance
and transferability of calibration methods (Wen et al. 2012b). These analyzers
tracked the natural variability in ambient conditions very well and achieved an
average difference between one another within 2 ‰ for δD and within 0.1 ‰ for
δ18O after calibration at appropriate frequencies. Two of the calibration methods
(discrete liquid water injection and continuous dripping) agreed with each other
within the tolerance thresholds of 2 ‰ for δD and 0.1 ‰ for δ18O. The concen-
tration dependence underscores the importance of using a calibration procedure at
multiple mixing ratios to bracket the range of natural variability.
Isotope ratio infrared spectroscopy (IRIS) also provides an in situ technique for
measuring 13C in atmospheric CO2. A number of methods have been proposed for
calibrating the IRIS measurements, but few studies have systematically evaluated
their accuracy for atmospheric applications (Wen et al. 2013) carried out laboratory
and ambient measurements with two commercial IRIS analyzers and compared the
accuracy of four calibration strategies. Calibration based on the 12C and 13C mixing
ratios (Bowling et al. 2003) and on linear interpolation of the measured delta using
the mixing ratio of the major isotopologue (Lee et al. 2005) yielded accuracy better
than 0.06 ‰. Over a 7-day atmospheric measurement in Beijing, the two analyzers
agreed to within −0.02 ± 0.18 ‰ after proper calibration. The high sensitivity of the
Keeling analysis to the concentration dependence underscores the challenge of IRIS
for atmospheric research.
Leaf water 18O enrichment is an important factor controlling the H18 18
2 O, C OO,
18
and O O exchanges between the biosphere and the atmosphere. At present, there is
limited capacity to explain the enrichment mechanisms in field conditions. Three
models of varying complexity were used to simulate the leaf water 18O enrichment
at the canopy scale. Comparisons were made among the models and with
high-frequency isotopic measurements of ecosystem water pools in wheat and corn
(Xiao et al. 2012). The results show that the steady state assumption was a better
approximation for ecosystems with lower canopy resistance, that it is important to
consider the effect of leaf water turnover in modeling the enrichment and not
necessary to deal with time changes in leaf water content, and that the leaf-scale
Péclet effect was incompatible with the big-leaf modeling framework for canopy–
air interactions. After turbulent diffusion has been accounted for in an apparent
kinetic factor parameterization, the mean 18O composition of the canopy foliage
water was a well-behaved property predictable according to the principles estab-
lished by leaf-scale studies, despite substantial variations in the leaf water enrich-
ment with leaf and canopy positions.
Dew formation has the potential to modulate the spatial and temporal variations
of isotopic contents of atmospheric water vapor, oxygen and carbon dioxide (Wen
et al. 2012a) demonstrate that the equilibrium fractionation played a dominant role
462 Q. Ge et al.
over the kinetic fractionation in controlling the dew water isotopic compositions.
A significant correlation between the isotopic compositions of leaf water and dew
water suggests a large role of top-down exchange with atmospheric vapor con-
trolling the leaf water turnover at night. According to the isotopic labeling, dew
water consisted of a downward flux of water vapor from above the canopy (98 %)
and upward fluxes originated from soil evaporation and transpiration of the leaves
in the lower canopy (2 %).
Deuterium-excess (d) in water is a combination of the oxygen (δ18O) and
hydrogen (δD) isotope ratios, and its variability is thought to indicate the location
and environmental conditions of the marine moisture source (Welp et al. 2012)
analyze d of water vapor (dv) from six sites, all between 37 and 44 N to examine
patterns in the atmospheric surface layer and identify the main drivers of variability.
A robust diurnal cycle was found in dv at all sites with maximum values during
midday. Isotopic land surface model simulations suggest that plant transpiration is
one mechanism underlying the diurnal pattern. An isotopic large-eddy simulation
model shows that entrainment of the free atmosphere into the boundary layer can
also produce high dv values in midday. Daily midday means of dv were negatively
correlated with local midday relative humidity and positively correlated with
planetary boundary layer height at the North American sites, but not the Chinese
sites. The mechanism for these differences is still undetermined. These results
demonstrate that within the diurnal time scale, dv of the surface air at continental
locations can be significantly altered by local processes, and is therefore not a
conserved tracer of humidity from the marine moisture source region as has pre-
viously been assumed.
Carbon, nitrogen, and water cycles in terrestrial ecosystem are three critical subjects
in global change science. The coupling modes of these cycles and their biological
regulation mechanisms had been frontier issues in global change ecology. At pre-
sent, lack of knowledge on the processes of carbon-nitrogen-water coupling cycles
and the regulation mechanisms had limited assessment of terrestrial carbon sink
enhancement and emission reduction (Yu et al. 2013a). This had become a major
problem in predicting the effects of global change on the productivity and carbon
sequestration of ecosystems. The main processes and biological regulation mech-
anisms of carbon-nitrogen-water coupling cycles discussed included: (i) biological
processes of plant leaf canopy/root canopy and its regulation mechanism on
carbon-nitrogen-water coupling cycles and the interactions among them; (ii) soil
microbial functional group network and its effects on carbon, nitrogen, and water
cycles; (iii) spatial and temporal variations in carbon, nitrogen, and water fluxes in
terrestrial ecosystem along with the theory and practice of ecosystem stoichiometry.
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Chapter 16
Impacts and Its Adaptation of Global
Change
Peili Shi, Dingpeng Xiong, Xiaoguang Yang, Zhijuan Liu, Ming Xu,
Feng Ge, Yucheng Sun, Guangsheng Zhou, Qijin He, Nuyun Li
and Wenhua Li
Abstract It is important research fields of global change ecology to study the

influence that global climate change has on ecosystem and agroforestry, environ-
mental factor such as water resources. And it is also important scientific basis on
which to cope with climate change, to manage ecosystem adaptively and to make
relevant policies. If the change of the earth system’s strength power is the ultimate
concern of global climate change study, it will be to focus on questions to recognize
the change of ecosystem’s structure, process, and function motivated by climate
change and human activities. The earth feeds on massive diverse natural ecosystem,
and diverse semi-natural semi-artificial ecosystem, which is already a result of a
long-term adaption of the earth to natural environment and human activities. In that
case, the adaption research of the ecosystem to the environment change plays a key
role in humans getting to know what influence global changes may have on the
supporting capacity of earth system. This chapter mainly concerns about the
ecosystem’s adaptability. It is defined as the adaptive abilities of lowering envi-
ronment changes’ negative influence and making good use of favorable opportu-
nities when environment changes but the ecosystem tries to maintain its main
functions. And this balance mechanism and adaptability of ecosystem is a basis on
P. Shi D. Xiong W. Li (&)

X. Yang Z. Liu
China Agricultural University, Beijing 100193, China
M. Xu
Key Laboratory of Ecosystem Network Observation and Modeling, Institute of Geographic
Sciences and Natural Resources, Chinese Academy of Sciences, Beijing 100101, China
F. Ge Y. Sun
G. Zhou Q. He
Chinese Academy of Meteorological Sciences, Beijing 100081, China
N. Li
State Forestry Administration, Beijing 100714, China

DOI 10.1007/978-3-662-48376-3_16
470 P. Shi et al.
which to judge the influence degrees of global changes on ecosystem’s structure

and function. To dig into this question, we generally study from two different
perspectives, one of which is global changes’ influence on the ecosystem, and the
other one is the ecosystem’s responses to these changes, which is the principal
framework of this chapter.

Keywords Impact Adaptation Global change Agriculture Ecosystem

Pest Insect Terrestrial transect
1 The Impacts of Global Change on the Spatial

Distribution of Ecosystems
1.1 Introduction
In the scenario of global warming in latter half of twentieth century (Houghton

2001), warming was also significantly in China. The global mean temperature
increased by approximately 0.55 °C in recent 100 years, and mean precipitation
increased by ca. 21 mm. While in China, the mean annual temperature
(MAT) dramatically increased by about 1.1 °C from 1951 to the end of twentieth
century. Compared with the same period over the world, the mean rate of global
warming is much higher in China. Climate warming took place mainly in the 1980s,
indicating a regional and seasonal variability. It was warming higher in North China
than in South China, and warming is much dramatic in winter than in summer (Sha
et al. 2002).
In the past 50 years, air temperature increased more in west than in East China,
especially with significant warming trend in the eastern Qinghai–Tibet Plateau and
northwest Xinjiang Autonomous Region (Wang et al. 2002). At the latitude of 35°
N, temperature increase in the north but decrease in the south. But temperature
variations were not obvious in the Yangtze River Basin and southeast area (Chen
et al. 2002).
1.2 The Effects of Hydrothermal Condition on Primary

Productivity and Soil Carbon Storage
There are regional differences in response to the net primary productivity (NPP) of
terrestrial vegetation to climate change in China. In recent two decades, NPP
increased with favorable hydrothermal conditions (Zhu et al. 2007). The NPP was
correlated positively with precipitation, while negatively with potential evapo-
transpiration in China, especially in grassland ecosystems (Xu 2004). The driving
16 Impacts and Its Adaptation of Global Change 471
effect of precipitation on vegetation NPP seasonal variation is more significantly

than that of temperature. The driving effect of hydrothermal condition on the
seasonal variation of vegetation NPP is higher in north than in South China. In the
interannual variation of NPP, the interactive effects of water and heat factors varied
with seasons and latitude (Hou et al. 2007). In terms of relative increase in NPP, it
was increased the most in Qinghai–Tibet Plateau. But NPP, in terms of absolute
magnitude, increased highest in forest, least in desert (Sun and Qijiang 2001). The
response of NPP and net ecosystem productivity (NEP) in Northeast China is more
sensitive to elevated temperature than precipitation. With increase of 20 % of
precipitation and 3 °C of temperature, the NPP and NEP of northeast forest were
simulated to increase highest but the least in current scenario (Zhao et al. 2008).
Grassland is one of the important ecosystems in China. Water plays a decisive
role in the distribution pattern of grasslands. Precipitation is key factor to determine
NPP (Yuan et al. 2008). Interannual variation of grassland biomass in northern
China is determined by precipitation from January to July, but its relationship with
temperature was weak. There are differences in the relationship between grasslands
and hydrothermal conditions. And therefore, the response of the NPP to climate
change is different (Ma et al. 2010).
The relationship between soil carbon storage and hydrothermal factors was
negative in the areas with MAT ≤ 10 °C, positive but more dependent on precip-
itation in areas with MAT higher than 10 °C and lower than 20 °C, and no trend in
areas with MAT > 20 °C (Zhou et al. 2003). The soil labile carbon and soil organic
carbon are dependent on precipitation positively in Northeast China Transect
(NECT) (Wang et al. 2003).
1.3 The Spatial Distribution of Main Ecosystem in Response

to Climate Change in China
1.3.1 The Impact of Global Change on Zonal Vegetation Distribution
Vegetation distribution is dependent on climate and its change. In general, zonal

vegetation of Northern Hemisphere will move to north in the global warming
scenarios, but the responses of different species are dependent to its adaptability to
climate change. In vertical distribution, the upper limits of mountain vegetation may
migrate to high altitude. The response of timberline to climate change is indicative
in the future climate change scenario.
In the scenario of global warming, warm temperate zone in Northeast China will
expand but cold temperate zone will be reduced, and the distribution of vegetation
boundaries will move northward. The area of humid area will decrease, but the area
of semi-humid area and semiarid will increase, leading to shrink of forests and
expansion of grasslands (Wu et al. 2003). Taking land-use constraints into con-
sideration, deciduous broad-leaved forests are simulated to be increased and
472 P. Shi et al.
conifers, shrubs, and grasslands to be decreased in the scenario of future doubling

carbon dioxide (CO2).
Timberline trees are very sensitive to climate change, but its sensitivity increases
with altitude (Chang et al. 2009). The response of timberline to climate change
usually has time lag. Climate change influences on dynamics of timberline first
from tree growth, and then to community structure and species interaction (Liu
et al. 2002). And therefore vegetation ecology approach is the pathway to disen-
tangling the relationship between ecological process, pattern, and climate factors.
Growing seasonal temperature is one of the key climatic factors to determine
timberline. In subalpine, the radial growths of tree rings are negatively correlated
with precipitation after growing season, while positively correlated with tempera-
ture in former early autumn. But these relationships disappear in lower altitudes
(Chang et al. 2009).
1.3.2 The Impact of Global Change on Agricultural Ecological System

Structure
Global climate change will cause changes of agricultural climate resources, soil
quality and as well, and thus will directly affect the agricultural planting structure,
planting area, planting system, production capacity, crop variety layout (Yuan et al.
2011; Liu et al. 2010).
Thermal resources in China will increase in different extent in response to cli-
mate warming. For example, increase of accumulated temperature above 0 °C and
extending growing season is beneficial to multiple cropping, consequently leading
to the northern boundary of the multiple cropping moving northward. In China
winter wheat, maize and double-cropping rice moving northward may enhance their
yields in the cropping areas (Yang et al. 2010a, b; Zhao et al. 2010). Frost damage
risk will increase in the sensitive cropping area if boundary of cropping moves
northward (Li et al. 2010; Liu et al. 2010).
1.4 The Impacts of Global Change on Ecological Sensitive

Areas
1.4.1 The Change of Northern Agro-livestock Ecotones
Vegetation coverage of north agro-livestock ecotone has obvious change in

response to climate change. In the last two decades of twentieth century, the area
with high vegetation coverage decreased but that with low coverage increased. In
the past 40 years, the climate risk increased in agro-livestock ecotones, with
increase trend from southeast to northwest (Sun and Zhao 2009). Ma et al. (2011)
found that climatic productivity was increasing slowly in agro-livestock ecotone of
northern China, with trend higher in south than in north. In east-west direction
increasing trends expand from the center to the periphery. Warmer and humid
climate is most suitable for crop growth, but cold and dry climate is not profitable.
1.4.2 The Vegetation Response to Climate Change on the Qinghai–

Tibet Plateau
Qinghai–Tibet Plateau is the sensitive area in response to climate change and thus a
fragile eco-region (Sun and Zheng 1998). Climate change is earlier in the plateau
than in other areas of China, and therefore the responses of ecosystems to global
change are also more sensitive. Since 1980s, the vegetation coverage generally
showed increasing trends with improvement in the extensive areas of, northeast,
east central, while degraded in the arid and semiarid areas in the west and north
plateau (Zhang et al. 2010). Earlier start of growing season and accelerated growth
are the main reasons for the increase of NDVI (Yang and Piao 2006). Spring is the
season for NDVI increase in maximum, but summer increases to a minimum extent.
The vegetation belts will move toward higher altitudes with climate warming and
horizontal vegetation belts will change from semiarid type of alpine grassland to
semi humid type of alpine meadow expansion (Yu and Xu 2009).
In the past 20 years, the NPP of natural vegetation increased as result of increase
of air temperature and precipitation on the Qinghai–Tibet plateau. The total amount
NPP of shrubs and forest increased 1.14 and 0.88 % per year. But the NPP of
grasslands increased less than forests and shrubs (Huang et al. 2008). Ye (2010)
found interannual variability of NPP increased with the interannual variability of
precipitation and temperature, but the effects of precipitation was the most in the
past 30 years on the Qinghai–Tibet Plateau.
2 The Impacts of Global Change on Agriculture
2.1 Introduction
During the past ten decades (1906–2005), the global surface air temperature has
increased by 0.74 °C. This generally increasing temperature is especially obvious in
the high latitude areas of the Northern Hemisphere (IPCC 2007a, b). Climate change
in China and its impact are studied by many scholars, and a lot of stage progress has
been made. The research results showed that, climate change in China was consistent
with global climate change, but obvious difference still existed. Under the back-
ground of global climate change, the mean annual surface air temperature in China
had significantly increased in recent 100 years, with the amplitude of 0.5–0.8 °C. In
recent 50 years, MAT in northern China showed the maximum increased amplitude
(Ding et al. 2006). Precipitation in the western basins of China increased the most,
474 P. Shi et al.
with the maximum amplitude of 10–15 % per decade, while precipitation in North
China and the south of Northeast China decreased. The prediction trend of climate
change in the twenty-first century showed that, climate in China would continue to
significantly warm up, especially in the winter half year of North China, also pre-
cipitation would increase (Qin et al. 2005).
As the demands for food and energy increase due to the increases in global
population, society will be pressed to increase agricultural production, especially in
China. Therefore, it is important to understand the effects of climate change on
cropping systems and crop productivities in China.
2.2 The Effects of Climate Change on Agriculture in China
2.2.1 The Effects of Climate Change on the Cropping Systems

in China
The Effects of Climate Change on the Northern Limits of Multiple Cropping

Systems in China
As the temperature rises, the accumulated temperature increases, the planting

northern limits of both double-cropping system and triple-cropping systems during
1981–2007 moved northward, compared to that during the 1950s–1980. Without
considering the variety change, social economy and other factors, the per unit area
grain yield would increase if single-cropping system was replaced by double-
cropping system or triple-cropping system. Also in the future, with the climate
warming, the northern limits of double-cropping system and triple-cropping sys-
tems would move northward (Yang et al. 2011a, b).
The Effects of Climate Change on the Planting Areas of Winter Wheat and
Double Rice
Due to climate warming, the planting northern limits of winter wheat in North
China moved northward and expanded westward. The climate warming also caused
the northward move of planting northern limits of double rice (Hao et al. 2001; Jin
et al. 2002).
The Effects of Climate Change on the Northern Limits of Different

Maturity-Type of Maize in China
In Northeast China with relative lower heat resources, climate warming extended
the length of the potential growing period of crops. Therefore, an effective
management option to counteract the negative warming effect is to plant new

hybrids with a longer growing season, (Liu et al. 2013b) analyzed the effects of
warming over the past five decades on the northern limits of cropping systems and
the production of maize in NEC, the results indicate that climate warming would
caused a northward expansion of the northern limits of maize (Fig. 1). Thus, in
some places, the early-maturing maize cropping area was planted with the
middle-maturing maize hybrids, and in other areas the late-maturing maize hybrids
replaced the middle-maturing maize hybrids. Compared with the early- and
middle-maturing maize hybrids, the yields of late-maturing maize hybrids were
relatively higher because the longer growing season. Therefore, the change in maize
maturity types could increase the maize yields.
2.2.2 The Effects of Climate Change on the Crop Phenology in China
If other factors were constant (fixed genotypes and management practices), the
warming trend would result in a negative impact on maize production; the warmer
climate would speed up crop development and lead to a reduction in the length of
the growing season (Ma et al. 2008; Liu et al. 2010, 2012, 2013a; Xue et al. 2010;
Yang et al. 2010a, b). In Northeast China, the warming trend significantly shortened
the vegetative period, ranging from 1.8 to 3.1 days per decade from 1981 to 2007;
the magnitude of the reproductive period trend was slightly reduced (0.5–2.4 days
per decade). Thus, maize yield decreased by 4–22 % for each 1 °C increase in
growing-season mean temperature (Liu et al. 2013a). In North China Plain, the
warming trend shortened the growth duration of wheat if no varietal change had
occurred. This was mainly attributed to a significant reduction in the length of the
pre-flowering stage. The lengths of post-flowering stage remained stable. For
maize, the simulated pre-flowering stage tended to decline, but not significant. The
post-flowering stage remained stable (Liu et al. 2010).
Fig. 1 The safe planting

northern limits for
early-maturing,
middle-maturing, and
late-maturing maize hybrids
during the periods 1961–1980
(red lines) and 1981–2007
(blue lines)
476 P. Shi et al.
2.2.3 The Effects of Climate Change on the Crop Productivity

in China
If there was no hybrid changes and management improvement, most of results

indicated that warming trend would result in a negative impact on crop production
in China. In the 2080s, the yield of wheat would decrease no matter whether there is
irrigation under the condition with no CO2 fertilizer effects (Xiong et al. 2006). The
results of (Yang et al. 2010a, b) indicated that rice yield will decrease as the
temperature rising in the middle and lower valley of the Yangtze River. However, it
is likely that this result is also crop dependent; for instance, the results for maize in
China indicates that climate change would result in the positive impacts on maize
under the rain-fed condition, but the negative impacts under the irrigation condition
(Xiong et al. 2005).
According to the above previous results, because climate warming would accelerate
the crop development, hasten the maturation of crops and lead to a reduction in the
length of the growing season, climate warming can lead to a negative impact on
crop yield if there are no hybrid and management changes. On the other hand,
climate change increased the heat resources, which can lead to the northern limits of
multiple cropping systems, wheat and double rice moved northward. In the areas
with relative lower heat resources, climate change can lead to the planting areas of
different maturity-type varieties of maize in Northeast China moved northeastward.
Thus, the effective management options to counteract the negative warming effect
are to change the cropping systems and plant new hybrids with a longer growing
season.
3 Ecosystem Adaptation to Global Change
3.1 Introduction
Global change here refers to the changes, which often produce adverse impacts on
ecosystems and human socioeconomics, of the environmental factors beyond the
normal fluctuation range at global scale. Currently, such changes may include
global climate change, atmospheric chemistry change, increasing UVB radiation
due to damages of the ozone (O3) layer, oceanic acidification and sea level rising,
nitrogen deposition, and land-use and land cover change. More broadly, global
change may also include changes in global socioeconomic conditions, such as
population growth and globalization.
The ultimate impacts of global change on ecosystems depend on not only the
magnitude of global change, but also the adaptation capacity of various ecosystems
to the changes. Many ecosystem adaptation measures can offset the impacts of
global change and, meanwhile, may mitigate the global change (Frankhauser 1996;
Tol et al. 1997). For instance, improving forest management can enhance biodi-
versity conservation and meanwhile sequester atmospheric CO2 by promoting
forest growth, and thus reduces the global warming effect. Given the breadth of
global change, this chapter focuses on the mechanisms of ecosystem adaptation to
global climate change.
3.2 Mechanisms of Ecosystem Adaptation to Climate

Change
3.2.1 Physiological and Biochemical Acclimation/Adaptation
Thermal Acclimation/Adaptation of Photosynthesis
To many plants photosynthesis stops at either very low or very high temperatures.
Photosynthesis, in general, increases with the increase of temperature and reaches
the maximum photosynthetic rate at an optimal temperature. Then the photosyn-
thetic rate declines with further increase in temperature (Berry and Björkman 1980).
Previous studies found that the optimal temperature of photosynthesis (Topt) is
highly related to the growing temperature (Battaglia and Beadle 1996; Cunningham
and Read 2002). The change of the optimal temperature is one of the key features of
plant thermal acclimation/adaptation to global warming, which is pivotal to the
projection of ecosystem functions in a warming climate. However, the mechanisms
of the thermal acclimation/adaptation are not fully understood with some
hypotheses as follow: (i) RuBP carboxylation is a limiting factor. Under saturated
CO2 concentration, Rubisco activity enhances exponentially with temperature
(Jordan and Ogren 1984). The maximum carboxylation rate (Vcmax), an indicator
of Rubisco activity, increases with temperature through the Arrhenius model. The
activation energy (Eav) of Vcmax also increases with rising temperature. The Topt
increases 0.54 °C when Eav increases 1 KJmol−1 (Hikosaka et al. 1999). (ii) RuBP
regeneration causes the shift of Topt. The optimal temperature of the maximum
electron transport rate (Jmax) shifts toward the high temperature under warmer
growing temperature, which may cause the shift of the Topt (Yamasaki et al. 2002).
Many previous studies found that the heat tolerance of the enzymes involving in
RuBP regeneration varied with growing temperature. The thermal stability of
photosystem II also changed with growing temperature (Yamasaki et al. 2002).
(iii) The TPU may limit photosynthesis, generally under high CO2 concentration.
But Labate and Leegood (1988) found that the TPU limitation on photosynthesis
478 P. Shi et al.
could also happen under normal CO2 concentration. The temperature effect on
photosynthesis may be caused by the TPU response to temperature change. (iv) The
balance between carboxylation and RuBP regeneration determines the shift of the
Topt of photosynthesis. In general, the carboxylation process has a lower temper-
ature sensitivity and lower Topt than the RuBP regeneration process. As temper-
ature increases, photosynthesis is limited by both processes, resulting in the shift of
Topt to the high temperature end. (v) stomatal limitation. Stomatal conductance
determines intercellular CO2 concentration (Ci) and the Topt increases with Ci
(Berry and Björkman 1980). Every 1 ppm increase in Ci may lead to 0.05 °C
increase in Topt.
Acclimation/Adaptation of Respiration to Warming
The temperature sensitivity of plant respiration is commonly indicated by an index,

Q10. Recent studies found that the Q10 value decreased with the increase of
growing temperature (Tjoelker et al. 2001). Warming has a larger impact on plants
living in cold climate (high latitudes or high altitudes) than in warm temperature
(tropics).
3.2.2 Acclimation/Adaptation at Individual Level
Adaptation Mechanisms and Strategies of Plants
In addition to the acclimation/adaptation in physiological processes, plant adap-

tion to climate change may also happen with morphology, growth, and repro-
duction. Stomatal size, density, and openness are critical to the gas exchange
between plants and atmosphere (Ferris et al. 2002; Xu et al. 2009). Previous
studies found that high CO2 concentration significantly reduced stomatal density,
stomatal index, stomatal conductance and transpiration (Luomala et al. 2005).
Additionally, high CO2 concentration enhances leaf and cell wall thickness, the
number, width, and surface area of chloroplasts, and the size and number of
starch grains in mesophyll cells, but high CO2 concentration significantly
decreases the number of thylakoids in chloroplasts (Teng et al. 2006). Few studies
have been reported on exploring the temperature effect on plant structure and
development. So far, no consistency has been made on warming effects on
stomatal density and stomatal index. Furthermore, elevating CO2 concentration
may also affect plant flowering and reproduction. Earlier studies found that ele-
vating CO2 concentration may shorten plant flowering and growth periods and
increase the production of flowers, fruits and seeds and their C/N ratio, but
decrease seed nitrogen content (Ziska et al. 2004).
Adaptation Mechanisms and Strategies of Animals
With global warming in the past decades, animals in the arctic region have
decreased their body size, which has relatively increased body surface area to
dissipate more heat to better acclimate to the warming climate (Yoram and Jonathan
2005). Reproduction time is the most sensitive period of animals to climate change,
which may determine the success rate of reproduction. Some animals may benefit
from climate change and others may be adversely affected by climate change.
Animals with greater dispersal ability may move faster and colonize a larger area of
habitats under climate change, but animal with poor dispersal ability may face
shrinking distribution ranges or even the risk of extinction. It is noted that many
recent species extinctions are related to extreme climate events which are likely to
become more frequent under future climate change (Parmensan 1996).
3.2.3 Adaptation Mechanisms at Population and Community Level
Population dynamics are determined by the competition among individuals within

the population and the community dynamics are determined by the competitions
among populations and the individuals. Previous studies reported that elevating
CO2 concentration would promote seed germination and seedling growth (Hussain
et al. 2001; Steinger et al. 2000). This enhancement in seedling growth might
increase competitions among seedlings for space, light, and nutrients, leading to a
higher death rate and smaller number of offspring. Climate change may also alter
the competition among species resulting in changes of community structure and
composition. Different species may respond to climate change differently, such as
variations in phenology, growth, reproduction, and dispersal. All the impacts on
cellular, individual, and population levels could eventually lead to changes in
communities, such as species composition and biodiversity.
3.2.4 Adaptation at Ecosystem and Landscape Level
The CO2 fertilization effect on photosynthesis and the inhibiting effect on respi-
ration at leaf level will eventually impact ecosystem productivity through carbon
cycling. The short-term FACE experiments have shown that ecosystem productivity
(NPP and NEP) has increased with the elevation of CO2 concentration, but other
studies showed that the CO2 fertilization effect might not be as strong as expected
(Long et al. 2006). Many studies have predicted that global warming induced
longer growing season may enhance NPP of various ecosystems. But warming may
also stimulate microbial respiration, thus the net ecosystem productivity (NEP) may
not necessarily increase. Ecosystem water cycle may also be affected by elevating
atmospheric CO2 concentration which generally will improve water use efficiency
480 P. Shi et al.
(WUE). In addition, ecosystem nitrogen cycle will also be affected through nitrogen
deposition and the coupling of carbon and nitrogen in various ecosystem processes.
3.3 Facilitated Adaptation
Adaptation of agriculture to climate change may involve many planning and

managing strategies, such as adjusting sowing area for different crops, changing
cropping system by enhancing the area of double-harvesting crops, adjusting
sowing date, promoting the varieties with longer growing period and greater
resistance to hot waves, droughts, and pest damages, and improving irrigation
systems with advanced technologies. Adaptation in forest ecosystems should first
protect the natural forests, which are more resistant to climate change than plan-
tations, from logging, deforestation, and disturbances. In planting artificial forests,
selecting local native tree species is very important because native species usually
have greater adaptability to local climate variations through the long evolution
process. In addition, southern provenances should be considered for reforestation
and afforestation because of their greater thermal tolerance. Adaptation of grassland
to climate change should focus on predicting and forecasting extreme climate
events, such as drought and snow storms, to minimize their damages on livestock.
Grassland management should also pay special attentions on biodiversity conser-
vation which may increase the stability of grassland ecosystems to various distur-
bances including climate change. Ecosystem adaptation to climate change is a
long-term process and many unknowns and uncertainties need to be tackled through
international and multidisciplinary collaboration, large-scale multifactor experi-
ments, and applications of new technologies.
4 Pest Adaptation to Global Change
4.1 Introduction
Global climate change is resulted from the joint action of changes in the internal
and external factors (natural and anthropogenic) of climate system. The main causes
of global climate change is due to the emissions of CO2 and other greenhouse gas
which change the composition of the atmosphere and drive the global warming.
According to the report from IPCC (2007a, b), the atmospheric CO2 concentration
has been increased from 280 μl/L at the year of 1700 to 379 μl/L at 2005, and is
anticipant to reach 540–970 μl/L at the end of this century. The global mean surface
air temperature over the past 100 years (1906–2005 years) increased by 0.74 °C,
and is expected to increase 1.1–6.4 °C by the end of this century.
As the most important components of biodiversity, insect is extremely sensitive

to the environmental changes, i.e., CO2 concentration, drought, and temperature.
Moreover, insect pest is an important factor affecting agricultural production, which
is not only directly related to the structure and function of agricultural ecosystem
but related to the food and ecological securities. Consequently, domestic and abroad
scientists have attached great importance to the research concerning the insect
responses to climate change factors including temperature, drought, and greenhouse
gases (CO2, O3). Because these researches not only can theoretically explain the
general rule in insect responses to climate change, and reveal the response mech-
anism of “crop-pest-natural enemy” to global climate change, but can practically
predict future occurrence trend of pests and the develop new technology of bio-
logical control in order to meet the challenge of global climate change.
During recent years, China entomologists focused on how insect responses to the
climate change, especially on elevated greenhouse gas (CO2, O3), drought and
elevated temperature, and carried out vast amount of research work. This chapter
will review our previous work and provide some perspectives in the future study.
4.2 Insects Response to Climate Change
4.2.1 Insects Response to Elevated CO2
Global atmospheric CO2 concentrations have risen rapidly since the Industrial
Revolution and are considered as a primary factor in climate change. The effects of
elevated CO2 on herbivore insects were found to be primarily through the CO2-
induced changes occurring in their host plants, which then possibly affect the
intensity and frequency of pest outbreaks on crops. This section reviews several
research models using primary pests of crops (cotton bollworm, whitefly, aphids)
and their natural enemies (ladybeetles, parasitoids) in China to examine insect
responses to elevated CO2. It is generally indicated that elevated CO2 prolonged the
development of cotton bollworm, Helicoverpa armigera, a chewing insect, by
decreasing the foliar nitrogen of host plants (Chen et al. 2005b; Yin et al. 2010). In
contrast, the phloem sucking aphid and whitefly insects had species-specific
responses to elevated CO2 because of complex interactions that occur in the phloem
sieve elements of plants. Some aphid species, such as cotton aphid, Aphis gossypii
and wheat aphid, Sitobion avenae, were considered to represent the only feeding
guild to respond positively to elevated CO2 environment (Chen et al. 2005a; Sun
et al. 2009). Although whitefly, Bemisia tabaci, a major vector of Tomato yellow
leaf curl virus, had neutral response to elevated CO2, the plants became less vul-
nerable to the virus infection under elevated CO2 (Huang et al. 2012). The predator
and parasitoid response to elevated CO2 were frequently idiosyncratic (Sun et al.
2011). These documents from Chinese scientists suggested that elevated CO2 ini-
tially affects the crop plant and then cascades to a higher trophic level through the
food chain to encompass herbivores (pests), their natural enemies, pathogens and
482 P. Shi et al.
underground nematodes, which disrupt the natural balance observed previously in

agricultural ecosystems.
4.2.2 Insects Response to Elevated O3
The concentration of O3, a major tropospheric photochemical oxidant, has risen

from less than 10 nl/L a century ago to 40 nl/L today, and it is projected to continue
to increase at an annual rate of 1–2 % (Vinzargan 2004; Jaffe and Ray 2007). Levels
of atmospheric O3 are anticipated to reach 68 nl/L by the year 2050 (Wilkinson and
Davies 2010). Elevated O3 can affect herbivores by altering the nutritional quality,
the secondary metabolites and the resistance of plants (Percy et al. 2002; Agrell
et al. 2005; Cui et al. 2011). However, the observed effects of elevated O3 on
herbivorous insects are often inconsistent across species (Jondrup et al. 2002).
Generally, the developmental rates of chewing herbivorous insects are enhanced
when these insects feed on O3-exposed plants (Jackson et al. 2000; Mondor et al.
2004). Phloem-feeding insects such as aphids exhibit variable responses, including
increased, decreased, or unchanged growth or oviposition rates, when fed on plants
grown in conditions of increased O3 (Holopainen 2002). Furthermore, elevated O3
tends to reduce the nutrition of tomato plants and increases the SA content, the
relative PR mRNA expression and the products of secondary metabolism in these
plants, which together result in a decrease in the fitness of whiteflies on these hosts
(Cui et al. 2012). Thus, it seems that the effect of elevated O3 on insects via changes
in host plant quality vary depending on the insect and plant species investigated, the
O3 level, and the fumigation time (Holopainen et al. 1995; Jondrup et al. 2002;
Holopainen 2002). Moreover, the mechanism underlying fitness changes in insects
that result from host plant interactions in elevated O3 conditions remains unclear.
4.2.3 Insects Response to Elevated Temperature
Global average surface temperature has increased by around 0.74 °C during the past
century and will continue to rise in the future. Understanding how these changes
have affected biological systems has attracted a vast amount of research during the
last two decades. As ectotherms, the growth and development of insects is affected
by temperature (Deutsch et al. 2008). We here reported the existing evidence on
how insects have responded to the increases in temperature (Guo et al. 2009). The
fitness of insects can be predicted to change in response climate change in five
ways, including changes in geographic distribution, winter survival, voltinism,
dispersal/migration and phenology (Zhang et al. 2009, 2010; Stige et al. 2007;
Dong and Ge 2011). However, there are still many unknowns in our understanding
of the effects of climate warming on insects. Future works were needed to consider
the relationships among host plants, insect herbivores and their natural enemies, and
their long-term response to global warming at the population level.
4.2.4 Insects Response to Precipitation and Drought
The moisture factor plays a vital role in the growth, development, and fecundity of
insects. Rainfall can directly kill insects through mechanical scouring. Drought can
affect physiological metabolism of insect directly, and has the indirect effects
through altering the host plants (Gange and Brown 1989; Masters et al. 1993). For
example, drought alters the interspecific interactions among insects on the common
host plants, and thereby changes the diversity and stability of the insect population
and ecological community. This section summarizes the effects of rainfall and
drought on the growth, development and fecundity of insects, and introduces the
behavioral responses of migratory and gregarious insects, as well as the soil insects
response to rainfall and drought (Dang and Chen 2011). The strategies of insects
use to cope with rainfall and drought are described in detail, including behavioral
adaptations, and the tactics of diapauses and migration. Artificial regulation of
environmental moisture, especially soil moisture, (e.g., artificial rainfall and irri-
gation, etc.) is suggested as a means of controlling agricultural insect pests.
In the long process of evolution, plant–insect pest–natural enemy are interrelated,

interact, and mutually restrict. During recent decade years, climatic factors
including carbon dioxide concentration, temperature, rainfall, global warming have
been changed dramatically. The tritrophic levels among plant, pest, and natural
enemy have specific temporal and spatial response pattern to these environmental
factors, which break the original inherent balance in tritrophic levels, and lose the
biological control ability from crop resistance and natural enemies and in turn
increasing the outbreak risk of pests. Meanwhile, it should be also clarified that the
process of global climate change is relatively slow. IPCC (2007a, b) predicts that
the atmospheric CO2 concentration has been increased by 1.5 μl/L per year and
temperature has been increased by 4 °C per 100 years. Since insects have relative
shorter development duration, higher fecundity and polymorphism, they are able to
adopt different strategies in aspects of genetic, physiological, behavioral and pop-
ulation levels, to maximize the survival, reproduction and population expansion and
fitness in context of climate change.
Apparently, future work concerning how insects response and adapt to climate
change mainly focus on resolving the following three scientific problems: (i) since
insect has species-specific response to global climate change, how do these envi-
ronmental factors change the spatial and temporal occurrence patterns of pests and
natural enemies in China? (ii) How do pests and natural enemies adapt to these
environmental factors? And (iii) how to adopt new pest control strategies to meet
484 P. Shi et al.
the challenge of pest occurrence in the context of global climate change.

Furthermore, future research will focus on how the agriculture pests, regional and
migrant pests, and invasive pests respond to environmental changes including CO2
concentration, temperature and precipitation, from the multi-scales of genetic,
molecular, species, ecosystem and landscape levels. These works should concen-
trate on the response characteristics, adaption mechanism and the control tech-
nology of pests through long-term monitoring, controlled experiment, and modeling
establishment. Thus, there are four aspects should be emphasized as following:
(i) Occurrence and calamity law of pests affected by global climate change. The
temporal and spatial pattern of occurrence and distribution of pests and their
natural enemies have been changed in the context of global climate change,
which need to analyze the historical data and meteorological data, and com-
bine with the field investigation and environment controlled experiment to
simulate the effects of climate change. In addition, these studies cannot only
clarify new characteristics and new calamity laws of pest under climate change
but establish the correlation between pest outbreak and key factor in climate
change, which are the basis of monitoring, early warning, emergency pre-
vention, and control technology of pest outbreak under global climate change.
(ii) Adaption mechanism of insect pest and natural enemy in response to climate
change. Facing the challenge of climate change, pests have different adaptive
strategies in genetic, physiological, behavioral, and population levels to
maximize their survival, reproduction, and expansion in response to elevated
temperature, CO2, and drought. Moreover, study on the mechanism of adap-
tation can elucidate the biological effect of climate change, and enhance the
stability and adaptability of ecosystem, which lays a theoretical foundation for
the construction, early warning, emergency prevention, and control technol-
ogy of pest outbreak.
(iii) New assessment of pest outbreak in calamity and agricultural loss in the
context of climate change. With the impact of global climate change, industrial
structure adjustment of agriculture and the revolution of management system
of cultivation, the damage of pest to crop exhibited new pattern and rules. The
virulence of insect pest in individual and population level should be quanti-
fied, and the feeding behavior, life history variation, niche determination,
population growth and interspecific competition of pest should be determined.
Moreover, the regional crop yield loss (i.e., assessment of economic loss,
evaluation of compensation capacity, growth potential measurement and
analysis of C fixation of forest), control index of major agricultural pests and
invasive pest and economic threshold parameter should be considered. All
information should be integrated and drafted under global climate change
which can provide the basic data, evaluation index, and evaluation model
parameters for plant protection.
(iv) New technologies and methods for early-warning and prevention of pest
calamity. By combining the traditional pest population model (i.e., the
effective accumulative temperature model, population growth model),
molecular detection, pheromone monitoring, 3S technology and network
technology, and integrating the remote sensing, geographic information and
weather information, the prediction model for pest detriment and identification
of migration and diffusion were established to monitor regional calamity rules
of pest. Meanwhile, we should integrate the sustainable emergency prevention
and control management system for pest damage under context of climate
change, and seek for some new technologies and new methods for biological
control, life history variation and crop tolerance under climate change, and
finally establish national sustainable pest prevention and control system.
5 Terrestrial Transect Study on Global Change
5.1 Introduction
The terrestrial transect has been widely used in the studies of interactive global
change and terrestrial ecosystems (GCTEs), which is sponsored by the GCTE, a
core project of the International Geosphere-Biosphere Programme (IGBP). The
principles of transect selection are that the gradient of a particular ecological factor
significantly changes along the transect, and the other ecological factors remain
almost constant or their changes are quite small, so that the possible process of
global change could be revealed by way of temporal–spatial substitution (Zhou
et al. 2002). GCTE supported the establishment of 15 global change terrestrial
transects distributed in different key regions of the Earth. Two of these are located
in China: the water-driven NECT and the heat-driven North-South Transect of
Eastern China (NSTEC) (Peng and Ren 2000). NECT was established in 1994 and
is mainly a rainfall-driven transect centering at 43.5°N and extending 1400 km from
132°E in the east to 108°E in the west. Vegetation types along the transect are
determined largely by rainfall gradient and shift from dark conifer forest, conifer–
broadleaf mixed forest (Pinus koraiensis, Abiesholophylla), deciduous broadleaf
forest (Quercus mongolica), woodlands and shrublands in the east, to meadow
steppe (Aneurolepidium chinenses, Stipa baicalensis, Filofolium sibiricum) and
cropland in the middle, and to typical steppe (Leymus chinensis, Stipa grandis),
desert steppe (Stipa krylovii, Stipa gobica) in the west. The region covered by
NECT has been subject to increasing human pressure, including cultivation and
overgrazing. A general question guiding the NECT is how the water availability
will influence the composition of plant functional types, soil organic matter, NPP,
trace gas flux, and land-use distribution (Zhang et al. 1997). NSTEC is composed of
two parts: 110–120°E, 15–40°N and 118–128°E, 40–57°N. It covers about
2,889,100 km2, about 30.1 % of the total land area in China. The main driving
486 P. Shi et al.
forces along NSTEC are temperature and land use. Eight vegetation types from
south to north have been identified: mountain tropical rain forest, tropical seasonal
rain forest, low subtropical monsoon evergreen broadleaf forest, mid-latitude sub-
tropical evergreen broadleaf forest, high latitude subtropical evergreen–deciduous
broadleaf forest, warm temperate broadleaf deciduous forest, temperate coniferous
and broadleaf mixed forest, and cold temperate coniferous forest.
This chapter will report on the highlights of more than 20 years researches on the
impacts of global change (climate, elevated CO2, and land use) on terrestrial
ecosystems from these two Chinese transects, and discuss the research tasks in the
future.
5.2 Advance in the Terrestrial Transect Studies in China
5.2.1 Resources Use Efficiencies of Plant Species
Long-term WUE of plant species could be indicated by δ13C values, and it is

defined as the ratio of leaf photosynthetical rate to evapotranspiration rate per unit
leaf area. The responses of WUE for 15 plant species along the grassland zone of
the NECT showed strong differences in the responses of water use status to envi-
ronmental gradients among different plant species and each species has its own
adaptive strategy to environmental change. When considering restoration of
degraded grasslands, it is important to consider variation between plant species in
their potential to adapt to dry habitats (Su et al. 2000). The ecological plasticity of
L. chinensis stoma density and WUE was an important mechanism for its broad
ecological adaptability, and water factors were primary ecological factors
influencing the stoma density of L. chinensis. However, the responses of the stoma
density and WUE for L. chinensis to environmental changes were complex (Yang
et al. 2007). The maximum photosynthetic rate of dominant plant species in main
forests along the NSTEC was coniferous species > broad-leaved species, and
deciduous species > evergreen species (Zhan et al. 2012), and the foliar WUE and
nitrogen use efficiency were dominated by plant life-form, and a trade-off existed
between the two resources use efficiencies.
5.2.2 Environmental Regulation of Plant Carbon and Nitrogen
Plant carbon (C) and nitrogen (N) metabolisms and their allocations are linked each
other, both their biological processes and the abiotic environment regulation are
responsible for plant net primary productivity (NPP) and nutrient status (Xu and
Zhou 2007). The relationship between leaf nitrogen level and its photosynthetic
capacity might depend on the chemical components of leaf nitrogen, especially the
ratio of nitrogen in soluble protein (Xu and Zhou 2006). The environmental factors
including temperature and precipitation are important ecophysiological factors
affecting plant growth, their alone and combination changes have to influence plant
biological processes from molecular, whole plant, and ecosystem levels. The effects
of drought on plant nitrogen allocation might rely on different plant species and
experimental conditions (Xu et al. 2004; Xu and Zhou 2006). Nocturnal warming
significantly exacerbates the adverse effects of soil water stress, and their syner-
gistic interactions might reduce the plant productivity and constrain its distribution
in the region dominated by L. chinensis (Xu and Zhou 2005b).
Drought and high-temperature stresses have been extensively studied; however,
little is known about their combined impact on plants. The ratio of root to shoot
would increase under appropriate drought conditions, and not change obviously
under severe drought conditions (Xu and Zhou 2005a). Drought would improve the
adaptability of plant species to high temperature and keep the stronger carbon
sequestration capacity (Hamerlynck et al. 2000), and severe water stress might
exacerbate the adverse effects of high temperature, and their combination might
reduce the plant productivity of L. chinensis (Xu and Zhou 2006), which depends
on the two stresses’ time and severity degree. High temperature, combined with
severe soil drought, might reduce the function of PSII, weaken nitrogen anabolism,
strengthen protein catabolism, and provoke lipid peroxidation (Xu and Zhou 2006).
Usually, both elevated CO2 concentration and drought would increase carbon
allocation to plant root, and the combination of elevated CO2 concentration with
drought would promote this kind of the effect. Doubled CO2 concentrations
enhanced plant growth of Carogana intermedia under well-watered conditions but
increased root growth under drought conditions resulting in an increase in root to
shoot ratio (Xu et al. 2005).
5.2.3 Driving Mechanisms of the Transect Vegetation Changes
The vegetation distribution patterns along NECT would change significantly under
future climate, and the major factors driving the vegetation changes were water and
heat. However, the responses of various vegetation types to the changes in water
and heat factors were obviously different. The vegetation changes were more
sensitive to heat factors than to water factors (Zhang and Zhou 2008).
Land use practice is also an important driving force affecting terrestrial
ecosystems. The stability of grassland community diversity was as follows: desert
steppe > typical steppe > meadow steppe > saline moist meadow (Yang et al.
2010a, b), and the Shannon index was the highest in moderate grazing or heavy
grazing stages, changing as follows: moderate grazing–heavy grazing > heavy
grazing–moderate grazing > light grazing > over grazing. The pattern of plant
diversity of the steppe region along the NECT was meadow steppe > typical
steppe > desert steppe > alkaline meadow (Yang et al. 2001). Land-use practices
(grassland fencing, mowing, and grazing grasslands) along the precipitation gra-
dient result not only in changes in grassland communities but also in qualitative
changes of their structure and function (Zhou et al. 2002).
488 P. Shi et al.
5.3 Prospect
Global change terrestrial transects have proved to be an important and useful sci-
entific approach to study the spatial and temporal dynamics of multiple drivers and
complex responses. Although a number of studies on GCTEs have been done
during the recent decade, much remains to be learned of the interactive effects of
multiple drivers and their spatial and temporal dynamics. In order to improve
integrative global change studies in China and develop the capability to predict the
responses of terrestrial ecosystems to global change in China, the following
research fields should be emphasized in the future: (i) Adaptability of ecosystems in
semiarid region to climatic change; (ii) Interactive biological-physical-chemical-
social processes and terrestrial ecosystem management; (iii) Global change simu-
lation and warning system for terrestrial ecosystems in semiarid region.
6 Innovation and Practice of Forestry Carbon

Management in China
Forests are a principal part of the terrestrial ecosystem. Accelerate the restoration of
forest vegetation to increase carbon sinks, and protect forest to prevent degradation
as well as reduce carbon emission have become a global consensus in response to
climatic change, and also one of three voluntary commitments made by the Chinese
government in controlling the greenhouse gas emission, namely: To greatly
increase forest carbon sinks by increasing 40 million hm2 of forest acreage and
1.3 billion m3 of forest stock volume by 2020 from the level of 2005, which
indicated that forestry1 is playing a strategic role in coping with climatic change in
China. In recent decades, China has made great achievements in forestry, which can
be elaborated as: China now has forest with an area of 195 million hm2, the forest
coverage with a percentage of 20.36 %, the total growing stock volume has reached
14.913 billion m3, the total carbon storage of forest vegetation has reached
7.811 billion tons, and the total forestry ecological benefit is now worth
1.001 billion CNY. China is now becoming a country of most artificial forests, with
the fastest growing in forest area, and has a great increment of carbon sink in the
world. In 2004, China’s forests absorbed about 500 million tons of carbon dioxide,
equalling to 8 % of the industrial discharge that year.
State Forestry Administration of China2 attaches great importance to forestry
carbon management and proposed the concept of Carbon Sequestration Forestry
with Emphasis on Playing Forest Multiple Benefits. Five aspects included in the
concept: (i)To meet to the requirement for sustainable economic and social
1
http://cdm.unfccc.int/Projects/projsearch.html.
2
http://www.forestry.gov.cn/main/175/content-631662.html.
development and the national strategy in responding to climatic change; (ii) Except
for the carbon sink accumulation, to improve the stability, adaptability and inte-
grated ecosystem service of forest ecosystem, promote the protection of biodiversity
and ecosystem, and fully play forests’ multiple benefits including community
development; (iii) To establish a technical supporting system in line with interna-
tional rules and China’s reality; (iv) To increase the public awareness on climatic
change adaptation and climate protection; (v) To develop ecological service market
giving priority to carbon sinks by improving market mechanisms and legal mea-
sures. To fully play the forestry’s functions in responding to climatic change, the
State Forestry Administration3 adopted forestry carbon management with the main
objective of climate change adaptation from aspects of institution building, policy
developing, technical standards improving and climate fund foundation establish-
ing, and initially established a forestry carbon management system from macro-
scopic to microcosmic, which vigorously promoted China’s climate change
adaptation from forestry’s perspective.
Institution establishment and standard development From 2002, the State
Forestry Administration set up Carbon Sequestration Office, Climate Office and
Energy Resource Office, released some guidance documents, and granted carbon
sequestration measurement and monitoring qualification certificates to 10 units. In
November, 2009, The Forestry Action Plan to Address Climatic Change was
published, making clear the guiding ideology, basic principles, stage targets as well
as key fields and main actions of China’s forestry to cope with climatic changes.
Over the past decade, the State Forestry Administration4 has been conducting
leading research and exploration on the development of carbon sequestration
technical standard system. The methodologies and standards developed cover three
aspects: the first is national-level carbon sink measurement and monitoring system,
including National Measurement and Monitoring System for Forestry Carbon
Sequestration and National Measurement and Monitoring Guideline for Forestry
Carbon Sequestration. The second is project-level methodologies, including
Methodology on China Carbon Sequestration afforestation project, Methodology
on China Bamboo Carbon Sequestration project, Methodology on China Forest
Management Carbon Sequestration project and Methodology on China Shrub
Carbon Sequestration project. The third is market-level standards and rules,
including Examining and Verifying Guideline for Forest Carbon Sink, Forest
Carbon Trading Standards, Rules on Forest Carbon Trading and Trading
Procedure of Forest Carbon Trading. Meanwhile, China Forest Carbon Project
Registration System was set up at Academy of Forest Inventory and Planning of the
State Forestry Administration for project registration.
Set up Green Carbon Foundation To promote China’s enterprises contribute to
forestation and voluntarily participate in emission reduction, in 2010, as approved
3
http://www.forestry.gov.cn/main/95/content-628083.html.
4
http://www.forestry.gov.cn/Zhuanti/content_2012tjzh/517913.html.
490 P. Shi et al.
by the state, registered at the Ministry of Civil Affairs and supervised by the State
Forestry Administration5, China Green Carbon Foundation, the first public foun-
dation with the main objective of coping with climatic change, was founded, with
its precursor founded in July 2007. The mission of China Green Carbon Foundation
is to promote activities of combating climate change including afforestation, forest
management, decreasing deforestation, and other activities associated with
increasing carbon sink and reducing emissions, to spread relevant knowledge so as
to strengthen public capacity of combating climate change, to support and perfect
the Forest Effect Compensation Mechanism of China. By June 2012, the social
donation received was more than 500 million CNY and afforestation for carbon sink
was more than 80,000 hm2 in more than 20 provinces and autonomous regions in
China. The Foundation is a public welfare platform for enterprises and the public to
store carbon credits, fulfill social responsibility, improve farmer income, and
improve ecological environment. Its running mode is as follows: the ownership of
forests planted with the enterprise donation belongs to local farmers or those with
the land use right, and the donators get carbon sink credits which are produced by
each project, and measured, audited and registered by professional organizations.
The purpose is to show the social responsibility of enterprises and realize
low-carbon production. Many individuals also donate money to the Foundation to
buy carbon sinks to balance out their daily emitted carbon dioxide. Furthermore,
China Green Carbon Foundation also developed nearly 20 forest carbon neutral,
including those for UN Climatic Change Tianjin Conference, Annual Summit of
China Green Companies and Official Travel of International Network for Bamboo
and Rattan. It also founded the “Afforest Motherland and Low-Carbon Action”
Tree-planting Day to guide the public to perform the duty of tree planting, which
was actively responded by the government and the public. China Green Carbon
Foundation has set up 40 forestation bases accepting personal donations, which are
platforms for the public to participate in “carbon compensation and carbon foot-
mark removal.” It also compiled China’s first textbook Forestry Carbon
Sequestration and Climatic change for high school students, which was studied by
students in Grade 1 of the High School Affiliated to Beijing International Studies
University for 32 credit hours, and thus carbon sink knowledge enters the classroom
formally.
The outlook of forestry carbon management Key forestry ecological projects
will be continually implemented and the national compulsory tree planting activities
will be developed further. To carry out missions specified in the Forestry Twelfth
Five Year Plan and realize the forestry “double growth” target, the afforestation is
planned to reach more than 6 million hm2 and the forest tending reaches more than
5.4 million hm2 so as to increase forest area, promote forest quality and increase
carbon storage; woodland expropriation will be strictly controlled to protect forest
vegetation and soil; prevention and control of forest fire and diseases and insect
pests will be strengthened to reduce carbon emission from forest; replacing plastic
5
http://www.forestry.gov.cn/Zhuanti/content_apec/499030.html.
and steel with wood is advocated; forestry biomass energy will be developed to
extend the function of forestry carbon storage and carbon emission reduction.
Technical standard systems will be developed further to integrate forestry carbon
sink into national carbon emission trading system. Policy advice on carbon
sink/source balance at each level (country, province, city, county, and enterprise)
will be given in accordance with national data on forest carbon sink and industrial
discharge, including the policy of offset carbon tax with carbon sink. Maximize the
function and role of forestry in coping with climate change in order to make a
greater contribution to national economic development.
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Part V
Sustainable Development Ecology
Chapter 17
Principles and Application of Sustainable
Development
Jingzhu Zhao, Longyu Shi, Lina Tang, Lijie Gao, Gaodi Xie,
Shuyan Cao, Yanying Bai, Chuanglin Fang, Chao Bao, Wenhua Li,
Guangmei Yang, Moucheng Liu, Guihuan Liu, Yihui Wen,
Yanmin Zhang and Huiyuan Zhang
Abstract At present, sustainable development has become the consensus of gov-

ernments and the people around the world, and has come from concept to practice.
However, it involves the reform of population, resources, environment, production,
technology, institutions, and concept. In order to achieve this goal, the road is long
and full of hardships in the future. Especially for China, which is a country con-
fronted with an enormous population, a serious shortage of resources per capita,
high pressure on employment, outstanding ecological and environmental problems,
and the promotion of regional sustainable development has important practical
significance. To promote sustainable development, first we need to choose an index
that can fully reflect regional natural, economical and social characteristics from the
perspective of system, then follow certain principles to establish evaluation indi-
cator or indicator system to evaluate the sustainable development. Single index or
multi-index evaluation method can be used for the evaluation of sustainable
development. Eco-compensation aims at the conservation and sustainable use of
ecosystem services; it is an institutional arrangement that regulates the relationship
between different stakeholders using economic method and an important means to
realize sustainable development. In China, the theory and practice of
eco-compensation has experienced the following stage in turn: groping sponta-
neously, theoretical research, and combining theory and practice. On the whole, the
J. Zhao L. Shi L. Tang L. Gao

Institute of Urban Environment, Chinese Academy of Sciences, Xiamen 361021, China
G. Xie S. Cao Y. Bai C. Fang C. Bao W. Li (&) M. Liu
G. Yang
Shanghai Hongqiao New Energy Investment Corp, Shanghai 201306, China
G. Liu Y. Wen Y. Zhang H. Zhang
Academy for Environmental Planning, Beijing 100012, China

DOI 10.1007/978-3-662-48376-3_17
500 J. Zhao et al.
goal of realizing global sustainable development reflects the coordination between

human and nature, and between different individuals. Coordination between human
and nature provides guarantee for sustainable development, and guarantee of har-
monious relations between different individuals reflect the rationality and orderly
organization of sustainable development. Implementing the strategy of sustainable
development in China, is not only an inevitable choice in the long term, but an
inevitable conclusion to improve and promote their development ability in the
contrast with countries all over the world.
Keywords Sustainable development

Ecological footprint Biocapacity

Ecological deficit Urbanization Eco-compensation
1 Methods and Indicator Systems
As the global economy continues to grow rapidly, a series of crises have appeared
such as overpopulation, shortage of resources, ecological destruction, and pollution.
Therefore, it has become the common choice of humankind to consider changing
the traditional mode of development, so as to pursue sustainable development. The
grim reality and upcoming problems tell us that it is important to promote regional
sustainable development for China, and it has become a key issue in current
research to build a sustainable development evaluation indicator system to help
answer the question, whether human activities contribute to the goal of sustainable
development or not. Selection of evaluation indicators and how to determine
weights, thresholds, and the overall discrimination method all present challenges for
sustainable development evaluation. Regional sustainable development evaluation
seeks to evaluate the sustainability of regional development based on research
needs, and to choose indicators from a regional point of view reflecting natural,
economic, and social characteristics, while building an evaluation indicator system
using appropriate mathematical methods.
This study describes research progress toward sustainable development evalu-
ation, both domestic and abroad; analyses several important regional sustainable
development evaluation indicators; builds a sustainable development evaluation
indicator system for China; notes some problems in the current evaluation of
regional sustainable development; and makes proposals for the future of sustainable
development evaluation.
17 Principles and Application of Sustainable Development 501
2 Application of Ecological Footprint in the Evaluation

of Regional Sustainable Development
2.1 Introduction
The biologically productive area was used in the ecological footprint method to
measure the demand and impact of human activities on the natural capital
(Wackernagel and Rees 1996), and further judge whether the impact is within the
scope of the regional biocapacity. In this method, land use was used as a limiting
factor to provide us the information of human dependence on nature. Because it has
rich connotation of the concept, simple method and vivid expression of the results,
it is comprehensive, comparable, and easily understood and accepted. Ecological
footprint is taken as a powerful indicator for assessing the regional sustainability. In
the twenty-first century, it is a big challenge facing China’s sustainable develop-
ment to improve biocapacity, reduce ecological footprint, and maintain an
acceptable eco-environment. In this paper, we used the ecological footprint method
to evaluate ecological footprint, biocapacity, and ecological deficit of China from
1980 to 2005.
2.2 Ecological Footprint and Biocapacity in China
2.2.1 Changes in Ecological Footprint
From 1980 to 2005, the consumption of ecosystem services was multiply increased
in China, and the ecological footprint per capita increased from 0.98 to 2.17 ghm2,
with the average annual exponential growth rate of 3.2 %, which is three times the
world level over the same period. With the strong growth momentum of ecological
footprint, the gap between per capita ecological footprint of China and the whole
world was reduced by 55 %. It reaches 0.5 ghm2 in 2005. With the same trend, per
capita ecological footprint of China will reach the world average in 2015 or so.
Table 1 shows the components and their changes of per capita ecological
footprint of China. We can see that the land used for CO2 absorption has accounted
for more than half of the ecological footprint of China since 1995, and it is
becoming the primary element to decide the ecosystem services of China and its
growth rate.
Table 1 Components of per capita ecological footprint of China in major years/%

Type 1980 1985 1990 1995 2000 2005
Raw material consumption 56.3 54.6 54.9 48.6 46.4 33.3
Fossil energy consumption 43.7 45.4 45.1 51.4 53.6 63.9
Total 100 100 100 100 100 100
502 J. Zhao et al.
From 1995 to 2000, the total energy consumption of China was kept almost
unchanged with an increase rate of 0.6 × 108 tec, and the per capita ecological
footprint level of China was also unchanged for the same period. From 2000 to
2005, the total energy consumption of China increased by 63 % and reached
22.5 × 108 tec in 2005, the per capita ecological footprint of China increased about
0.7 ghm2 over the same period, of which 75 % new ecological footprint come from
fossil energy consumption.
With the vast territory of China, the level of socio-economic development and
consumption habits for different regions vary greatly, so there are significant
regional differences in per capita ecological footprint. From 1980 to 2005, despite
the reason that per capita ecological footprint is different for each province, there
was an overall increasing trend and it changed significantly in the distribution
pattern. At the very beginning, high value per capita ecological footprint was
distributed mainly in the northeast China and three municipalities including Beijing,
Tianjin, and Shanghai. With the uneven growth of per capita ecological footprint
and the expand of high value areas, the per capita ecological footprint currently had
the overall pattern of “higher in north and northeast China, medium in east and
south China, lower in central, southwest and northwest China”.
2.2.2 Changes in Biocapacity
From 1980 to 2005, the total biocapacity of China increased 1.5 times, varying from
5.8 × 108 to 15 × 108 ghm2. The per capita biocapacity was doubled, varying from
0.59 to 1.15 ghm2, however, the per capita biocapacity of the world over the same
period was shrinking. China is still a country with low biological capacity, and its
per capita biocapacity is only half of the world average. China supports nearly 1/4
of the world’s population with only 1/11 of the world’s farmland. This reality
determines that the per capita biocapacity will still be relatively low in the future.
With the uneven distribution of biological resources and productivity, per capita
biocapacity is greatly different for different provinces. Table 2 shows that the
distribution range of per capita biocapacity for different provinces changed from
0.17–8.25 ghm2 to 0.32–7.06 ghm2 gradually from 1980 to 2005, with the highest
value in Tibet and lowest value in Tianjin and Shanghai.
2.2.3 Changes in Ecological Deficit
The natural space for per capita biocapacity is relatively low in China. The con-
tradiction between the supply and demand of ecosystem services is very prominent
since it is necessary not only to protect the life of the new population, but also to
meet the economic development and improve people’s welfare. Table 3 showed
Table 2 Change of per capita ecological service of China in different province/ghm2
17
11980 11990 1995 2000 2005

TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES
Beijing 2.2 0.2 −2.0 2.3 0.4 −1.9 2.9 0.4 −2.6 3.3 0.3 −3.0 3.2 0.4 −2.8
Tianjin 1.7 0.2 −1.6 2.2 0.3 −1.9 2.5 0.4 −2.1 2.4 0.5 −2.0 3.4 0.7 −2.7
Hebei 0.9 0.4 −0.6 1.2 0.5 −0.7 1.4 0.7 −0.8 1.5 0.7 −0.8 2.6 1.0 −1.7
Shanxi 1.5 0.5 −1.0 1.3 0.6 −0.8 1.7 0.6 −1.2 1.6 0.5 −1.1 3.1 0.5 −2.6
Neimeng 1.1 3.1 2.1 1.6 2.4 0.8 1.5 2.4 0.8 1.8 2.1 0.4 3.9 3.3 −0.6
Liaoning 1.9 0.6 −1.3 2.1 0.8 −1.3 2.3 1.1 −1.2 2.2 1.3 −0.9 3.3 1.8 −1.5
Jilin 1.3 0.7 −0.6 1.8 1.0 −0.8 1.9 1.0 −0.9 1.6 0.9 −0.7 2.4 1.3 −1.1
Heilongjiang 1.3 1.2 −0.2 1.7 1.4 −0.3 1.9 1.5 −0.4 1.8 1.4 −0.4 2.5 1.6 −0.9
Shanghai 2.0 0.3 −1.6 2.9 0.4 −2.5 3.1 0.4 −2.7 3.0 0.3 −2.7 4.0 0.3 −3.6
Jiangsu 1.0 0.3 −0.6 1.2 0.5 −0.6 1.5 0.7 −0.8 1.5 0.8 −0.7 2.2 1.0 −1.2
Zhejiang 1.0 0.7 −0.4 1.4 0.8 −0.6 1.9 1.3 −0.7 2.0 1.4 −0.6 2.6 1.5 −1.1
Anhui 0.8 0.3 −0.5 0.9 0.5 −0.4 1.2 0.6 −0.6 1.2 0.8 −0.4 1.5 0.9 −0.6
Fujian 0.7 0.8 0.2 1.5 1.1 −0.4 1.7 1.5 −0.2 1.3 2.1 0.8 2.1 2.4 0.4
Principles and Application of Sustainable Development
Jiangxi 0.7 0.6 −0.1 1.2 0.7 −0.5 1.2 0.8 −0.3 1.0 0.8 −0.2 1.5 1.0 −0.5
Shandong 0.8 0.4 −0.4 1.0 0.7 −0.4 1.2 1.1 −0.1 1.2 1.4 0.2 2.3 1.6 −0.7
Henan 0.7 0.3 −0.4 0.8 0.4 −0.4 0.9 0.5 −0.3 1.0 0.6 −0.3 1.6 0.8 −0.8
Hubei 1.0 0.4 −0.6 1.2 0.6 −0.6 1.3 0.8 −0.5 1.5 0.9 −0.6 2.0 1.2 −0.8
Hunan 1.2 0.5 −0.7 1.5 0.6 −0.9 1.5 0.7 −0.9 1.3 0.7 −0.6 2.0 0.9 −1.1
Guangdong 0.9 0.6 −0.4 1.1 0.9 −0.2 1.7 1.0 −0.7 1.7 1.0 −0.6 2.2 1.2 −1.1
Guangxi 0.8 0.7 −0.1 1.1 0.7 −0.4 1.1 0.9 −0.2 1.2 1.2 0.0 2.0 1.4 −0.6
Hainan 1.5 1.6 0.1 1.6 2.7 1.1
Chongqing 1.6 0.4 −1.2 2.2 0.6 −1.6
Sichuan 1.0 0.4 −0.5 1.1 0.6 −0.5 1.3 0.6 −0.6 1.2 0.7 −0.4 1.6 0.8 −0.8
(continued)
503
Table 2 (continued)
504
11980 11990 1995 2000 2005

TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES TEF BC ED/ES
Guizhou 0.9 0.5 −0.4 1.4 0.5 −0.9 1.2 0.5 −0.7 1.6 0.5 −1.1 2.3 0.5 −1.8
Yunnan 0.9 1.2 0.2 1.5 1.1 −0.4 1.5 1.0 −0.5 1.3 0.9 −0.4 1.8 1.0 −0.7
Xizang 1.1 8.3 7.1 1.4 7.8 6.4 1.3 7.3 5.9 1.7 6.4 4.7 2.3 7.1 4.7
Shaanxi 0.8 0.7 −0.1 1.2 0.7 −0.5 1.2 0.7 −0.5 1.1 0.6 −0.5 1.5 0.7 −0.8
Gansu 0.9 0.6 −0.3 1.2 0.7 −0.5 1.3 0.7 −0.6 1.4 0.6 −0.8 1.4 0.7 −0.7
Qinghai 1.1 1.6 0.5 1.6 1.5 −0.1 2.2 1.6 −0.6 2.1 1.3 −0.7 2.2 1.8 −0.5
Ningxia 1.0 0.4 −0.6 1.5 0.7 −0.9 1.5 0.7 −0.8 1.7 0.8 −0.9 3.2 1.1 −2.1
Xinjiang 1.7 0.7 −1.0 2.0 1.2 −0.8 2.0 1.4 −0.6 2.0 1.4 −0.6 2.1 1.9 −0.2
Note: Hainan data was included into Guangdong and Chongqing data was included into Sichuan before 2000; Calculation for ecological footprint of energy
used production area as standard; TEF refers to total ecological footprint; BC refers to biocapacity; ED refers to ecological deficit; ES refers to ecological
surplus; Due to the limited page space, the data of 1985 was not listed in the table
J. Zhao et al.
Table 3 Change of per capita ecological deficit of China/ghm2

Type 1980 1985 1990 1995 2000 2005
Raw material consumption 0.09 0.05 0.02 0.14 0.27 0.44
Fossil energy consumption −0.30 −0.38 −0.54 −0.76 −0.79 −1.46
Total −0.39 −0.32 −0.52 −0.61 −0.52 −1.02
Note: Ecological deficit of fossil energy consumption = (biocapacity of woodland-ecological
footprint of woodland)-ecological footprint of fossil energy consumption
that the per capita ecological deficit increased from 0.39 ghm2 in 1980 to 1.02 ghm2
in 2005. The natural occurrence constraint of land resources makes China to face
more serious ecological deficit problems than the world average. As the world’s
engine of economic growth, China is in a period of rapid amplification of energy
consumption, the growing trend of the ecological deficit will last for the coming
period.
Every province in China has faced contradiction between supply and demand of
ecosystem services. From 1980 to 2005, more than 85 % provinces has expanding
ecological deficit. In 2005, only Hainan, Fujian, and Xizang have ecological surplus
in China, and more than 40 % provinces need twice the biologically productive area
to balance the demand of ecosystem services. A study has divided these provinces
into three groups. Group A includes four municipalities (Beijing, Tianjin, Shanghai,
and Chongqing). Group B includes four economically backward western provinces
(Guizhou, Ningxia, Sichuan, and Shaanxi). Group C includes four populated
eastern provinces (Hebei, Jiangsu, Henan, and Hunan).
The main reasons for the formation of ecological deficit differ for different
groups. The reason for group A and group C is the conflict between development
scale and resource constraints, while the reason for group B is both the fragile
eco-environments and the deficient economic development capacity and more than
40 % provinces need twice the biologically productive area to balance the demand
of ecosystem services in 2005. Compared with 1980, the ratio of biocapacity to
ecological footprint of 11 provinces was declined, indicating that the gap between
ecological supply and demand might widen, but the relative conflict eased.
Since ecosystem service is dependent on area, the consumption of ecosystem ser-

vices by regional socio-economic metabolism and its satisfaction can be measured
by three indicators, including ecological footprint, biocapacity, and ecological
deficit. Studies have shown that due to the increasing demand of socio-economic
metabolism on ecosystem services, from 1980 to 2005, the consumption of
506 J. Zhao et al.
ecosystem services is more than double in China, and the per capita ecological
footprint increased from 0.98 to 2.17 ghm2. At the same time, since the biological
productivity was improved, the per capita biocapacity doubled from 0.59 to
1.15 ghm2. However, due to the rapid growth in fossil energy consumption, per
capita ecological deficit continued to expand and reached 1.02 ghm2 in 2005. The
ecological footprint has exceeded 89 % of the biocapacity. At the provincial level,
more than 85 % provinces are in ecological deficit status, and only Hainan, Fujian,
and Tibet have ecological surplus. The ecological debts in most provinces of China
are soft in nature, caused mainly by the contradictions between supply and demand
of ecosystem services in time, space, and structure. This kind of debt can be
alleviated by way of cross-trade and advance occupation. Same as most of the
world countries and regions, the main way for China to deal with the ecological
deficit is also to occupy the current and future global commons, which is an
inevitable result of external diseconomies of development. For a long period of time
in the future, China will face more severe ecological deficit than the world average.
This means that we are increasingly overdraft future ecological capital to maintain
existing lifestyles and economic growth, which will cause the ecosystem degra-
dation and collapse.
3 Interactive Coercing Effects Between Urbanization

and Eco-environment
3.1 Introduction
An extremely complex interaction exists between urbanization and eco-

environment. How to harmonize their relationship has become an important issue
that holds the attention of academic circles and governmental departments in China.
At the same time, it has also become a global strategic issue. With the rapid
urbanization throughout the world, urbanization has become an actual or potential
threat to the surrounding eco-environment. All kinds of conflicts and threats have
come forth between urbanization process and eco-environmental protection (Fang
et al. 2008). From the view of national strategic demands, how to harmonize the
relationship between urbanization and eco-environment has become an important
topic for national development plan in China. It is of great importance to choose a
healthy urbanization mode which can match the urbanization speed with the
eco-environmental protection in China, so as to accelerate the process of regional
industrialization and construct an ecological industrial structure. It can also help to
build resource-saving and environment-friendly cities and eco-cities.
3.2 Interactive Coercing Effects Between Urbanization

Process and Eco-environment
3.2.1 Basic Laws and Evaluative Types of the Interactive Coercion

Between Urbanization and Eco-environment
The interaction between urbanization and eco-environment is extremely complex. It

manifests as three kinds of interact, interactive coercion, interactive promotion and
coupling symbiosis (Fang 2004). In general, the interactive coupling and coercing
system of urbanization and eco-environment should follow six basic laws, i.e., the
coupling fission law, the dynamic hierarchy law, the stochastic fluctuation law, the
nonlinear synergetic law, the threshold value law, and the forewarning law (Fang
et al. 2006). The six basic laws have important theoretical guiding significance to
reveal the interactive coercing and coupling relationship between urbanization and
eco-environment.
The interactive coupling and coercing relationship between urbanization and
eco-environment may be various in different areas with different eco-environmental
backgrounds or urbanization modes. In general, the evolutive types of the inter-
active coercion between urbanization and eco-environment can be classified into
nine basic coupling types, i.e., the rudimentary coordinating type, the ecological
dominated type, the synchro coordinating type, the urbanization lagging type, the
stepwise break-in type, the urbanization exorbitant type, the fragile ecological type,
the rudimentary break-in type, and the unsustainable type (Qiao et al. 2006).
3.2.2 The Double-Exponential Function and Curve for the Evolutive

Track of the Interaction Between Urbanization
and Eco-environment
Based on the mathematic model on urbanization, economic development and

eco-environmental change, it can be deduced that the coupling relationship between
urbanization and eco-environment is a double-exponential function (Huang and
Fang 2003) as
yb
z ¼ m n½10 a p2
where z is the degree of eco-environmental deterioration, y is the urbanization level,

and m, n, a, b, p are undetermined parameters.
When y < algP + b, the eco-environment will deteriorate gradually with the
increase of the urbanization level.
When y = algP + b, the degree of eco-environmental deterioration will reach the
maximum value m.
508 J. Zhao et al.
When y > algP + b, the eco-environment will be improved gradually with the
increase of the urbanization level.
The double-exponential function relationship indicates that as urbanization
progresses the ecological pressure will raise at first and then decline. In other words,
eco-environmental deterioration and pollution may appear due to urbanization at
first. However, such phenomena will diminish predictably with further urbaniza-
tion. This is a common rule and a general tendency to the interaction between
urbanization and eco-environment.
First, a logarithmic curve and an environmental Kuznets curve (EKC) are put into
the first and third quadrants of the same coordinate system, respectively. The former
represents urbanization changing with economic development, while the latter rep-
resents eco-environment changing with economic development. Next, horizontal and
vertical lines are drawn out from the two curves in the first and third quadrants to the
second quadrant. Finally, a curve in the second quadrant is formed, which describes the
coupling and coercing relationship between urbanization and eco-environment. This
curve is divided into two parts by the middle inflection point. The two parts are both
exponential curves. The front part (below the middle inflection point) is a monotoni-
cally increasing curve. The latter is a monotonically decreasing curve. Prior to the
inflection point, the degree of eco-environmental deterioration increases with the
increase of the urbanization level. After the inflection point, the degree of
eco-environmental deterioration decreases. Combined with a mathematical model, it
may be determined that the urbanization level at the inflection point is y = algP + b.
3.2.3 Basic Stages of the Interactive Coercion Between Urbanization

and Eco-environment
According to the development stages and the dynamic mechanisms of urbanization,

as well as changes of the interactive coercing relationship between urbanization and
eco-environment, the interactive coercing process of urbanization and
eco-environment can be divided into five basic stages, namely low-grade coordi-
nating stage, antagonistic stage, break-in stage, ameliorative stage and high-grade
coordinating stage (Huang and Fang 2003; Qiao and Fang 2005; Qiao et al. 2005).
When the urbanization process steps into the mature stage (urbanization level is
higher than 70 %), the destroyed eco-environment will be recovered step by step,
and the eco-pressure will decrease to the minimum and remain unchanged. The
conflict between urbanization and eco-environment will be eliminated. The urban-
ization system and the eco-environmental system will coordinate with each other.
(i) An extremely complex, interactive coupling, and coercive relationship exist

between urbanization and eco-environment. This kind of relationship can be
described by a double-exponential function or curve deduced by a power

function and an exponential function. It can be divided into five basic stages,
namely low-grade coordinating stage, antagonistic stage, break-in stage,
ameliorative stage, and high-grade coordinating stage.
(ii) The urbanization process mainly follows the human law while the
eco-environmental change mainly follows the natural law. Their relationship is
extremely complex and nonlinear. Restricted by some conditions, we tentatively
summarize the basic theory and method on the interactive coupling and coercing
relationship between urbanization and eco-environment. However, how can we
find the middle inflection point for the double-exponential curve of interactive
coercing relationship between urbanization and eco-environment? How can we
make the urbanization circle (or system) and the eco-environmental circle (or
system) maintain the best distance and keep a dynamic balance (Wang 1993)? It
is a hard question that we are querying all the time. It is also an important
theoretical orientation for our further study in the future.
(iii) From the view of national strategic demands, how to practice the moderate
urbanization mode, the eco-urbanization mode, the environment-friendly
urbanization mode, the resource- saving mode, and the healthy urbanization
mode, how to construct eco-cities, resource-saving cities, environment-
friendly cities, and healthy cities (Xiao et al. 2002), how to step into a healthy
urbanization road adapting to the eco-environmental capacity, are all impor-
tant practical orientations for our further study in the future.
4 Theoretical Researches and Practices of Ecological

Compensation in China
4.1 Theoretical Researches of Ecological Compensation

in China
Looking back to the history of ecological compensation researches in China, the

features are distinctive by stages, coincided with specific historic and practical
needs. In China, ecological compensation researches have been dated back to the
1980s’ discussions of ecological compensation in ecological senses and exploration
of ecological compensation in economical senses (Zhang 1987). After the United
Nation Conference on the Human Environment, ecological compensation resear-
ches have entered into a phase of active theoretical discussions on the basis of
“damager pays” principle. With the practices of ecological protection programs and
the contradictions between ecological protection and economic development, eco-
logical compensation researches have paced into a phase of theoretical and practical
discussions expanding to “beneficiary pays” principle. Connotation, standard, and
theoretical basis are the key scientific issues in ecological compensation researches.
Connotations of ecological compensation have goes from ecological senses through
510 J. Zhao et al.
economical senses to multidisciplinary senses. It is critical to clarify relationships

among the ecological compensation fee, environmental and resource fee for its
precise positioning in Chinese policy. Ecosystem service and externality theory is
the main theoretical basis for ecological compensation. While there is disparity in
benefit compensation or value compensation for ecosystem services, it is more at
agreement for externality compensation of environmental economics. The standard
of ecological compensation is mainly determined by monetary value of ecosystem
services, cost or compromise based on analysis of supply and demand. These
scientific problems are decisive for the effectiveness and efficiency to put ecological
compensation into practice. So, it is in urgent need to do some researches from the
angle of theoretical renovations and practical need of different regions in China.
4.2 Practices in Ecological Compensation in China
The practices of ecological compensation in China are dated back to the 1970s in
the twentieth century, when 30 % ticket sales of Qingcheng Mountain were used for
the conservation of forests in Chengdu of Sichuan province (Feng et al. 2009).
Then, the practices in forest and mining areas became the hot spots all over the
country. In Yunnan province, 0.3 yuan/ton Ming Phosphate was used as the
recovery fee of local environmental damages from the year 1983. The State Council
approved the energy base in Inner Mongolia Baotou and contiguous areas to levy
eco-environmental fee. Then, 145 counties of 14 provinces accelerate the pilot
practices. Before the year 1998, the practices of ecological compensation have
focused on the environmental damage pay. Afterwards, the ecological protection
and construction are given more priority due to the flood in Yangtze river, Songhua
River, and Nen River in 1998, and dust storm in 2001. The central government
launched six ecological projects, including natural forest protection project,
three-north shelterbelt protection project, Yangtze river shelterbelt protection pro-
ject, reforestation project, reverting farmland to forest and grassland project,
antidesertification projects in Beijing area, wildlife conservation project, natural
reserve construction project, and key areas of fast growing timber base construction
project. In 1998, China’s new forest law defines the legal regime of forest eco-
logical benefit compensation fund.
Entering the twenty-first century, the exchanges and cooperation in the inter-
national area are strengthened. Governments at all levels, especially development
and reform commission and environmental protection system are the key forces to
promote communications internationally and summarize international experience,
including “Proposal for China to promote ecological compensation practices and
international cooperation.”
The central government put great efforts to promote the practice of ecological
compensation. Programmatic document clearly put forward the ecological com-
pensation requirements such as the report at 17th/18th Party Congress. Ecological
compensation has been the important content in environmental protection, accel-

erating pilot ecological compensation. The legal and policy support of ecological
compensation has also been strengthened. Ecological Compensation Ordinance has
been included in the legislation plan from 2010.
Table 4 Overall frameworks of ecological compensation in China

Types of compensation Contents of Ways of
compensation compensation
International Worldwide/regional/international Worldwide Global purchase under
compensation ecological and environmental forest and multilateral
problems biodiversity agreements
protection,
pollutions
transferring,
greenhouse gas
emission,
transboundary
rivers, etc
Ecosystem compensation Forest, State
grassland, (public)compensation
wetland, ocean, by financial transfer
farmland, etc., payment, ecological
ecosystem compensation fund,
services market transaction,
compensation and participation of
businesses and
individuals
National Watershed compensation Watershed Financial transfer
compensation Compensation payment, local
across provincial government
borders, coordination, market
Watershed transaction
compensation in
local
administrative
districts
Regional compensation Compensation Financial transfer
for the eastern payment, local
region of the government
western region coordination, market
transaction
Resources development Mining Beneficiary payment,
compensation development, damage payment,
land reclamation, development payment
vegetation
restoration, etc
512 J. Zhao et al.
The local governments have accelerated the pilot ecological compensation,

mainly in watershed areas and regional areas, including Fujian, Shandong,
Zhejiang, Fujian, Henan, and Hebei provinces.
Under the active promotion of government, the market transaction of ecological
compensation has important progress. By actively improving the management
mechanism of market transactions, setting up carbon trading platform, promoting
carbon trading pilot projects, and by other means the carbon trading market in
China has been more mature. In 2003, State Forestry Administration established the
office of carbon sequestration, energy offices, climate office and other agencies, and
relevant policies and regulations of forest carbon management has been put for-
ward. In 2010, China Green Carbon Foundation was incorporated, which became
the first national public foundation aiming to increase carbon sequestration and
countering climate change. Companies can buy carbon sequestration through
donation for afforestation. In 2008, the first batch of six carbon sink afforestation
projects was implemented. In 2011, China Green Carbon Foundation and the East
China Forestry Exchange launched national rreen carbon trading pilot ceremony.
Ten companies signed the first batch of 148,000 tons to subscribe forestry carbon
sinks, the price is 18 Yuan per ton, which is China’s first forestry carbon seques-
tration transaction under standardized operation. In 2012, Beijing, Shanghai,
Chongqing, Tianjin, Guangdong, Hubei, and Shenzhen are approved to start carbon
emissions trading pilot in order to gradually establish a domestic carbon emissions
trading market, with a lower cost, to achieve 2020 Chinese action to control
greenhouse gas emission targets (Table 4).
4.3 Proposals for Improvement of the Theoretical

Researches and Practices of Ecological Compensation
in China
Theoretical researches of ecological compensation in China are ecological and

environmental protection-oriented to address the relationship between environ-
mental protection and economic benefits for the target distortions. A large number
of academic scholars hold for a long-time discussion on the domestic ecological
compensation policy formulation and improvement of laws and regulations, which
have played an important role in guiding. But theory and practice still exists dis-
jointed. Theory is behind the practice and exploration, Ecological protection in
practice, still is in the absence of structural policies, especially lack of specific
ecological compensation policies and implementation guidelines. Not only the
ecological protection and construction advancing toward a higher level face great
difficulties, but also affect the harmony between regions and between stakeholders.
So, we propose to improve the following aspects:

(i) Unifying ecological compensation connotation and gradually improve the
overall framework of ecological compensation;
(ii) Conducting partition guidance and classification implementation;
(iii) Establishing sound fiscal policies of ecological compensation system, and
actively exploring financing mechanisms and multi-channel;
(iv) Handling the relationship of ecological compensation policies, including the
relationship between central and local governments, the relationship between
government and the market, the relationship between financial transferring and
self-reliance, and the relationship between the new account and the old
account;
(v) Creating ecological compensation legal environment and improving the
management mechanism;
(vi) Strengthening scientific research and pilot project of ecological compensation.
5 River Basin Eco-compensation Progress in China
China’s river basin eco-compensation has strong policy basis and rich practice
progress. In this chapter, it sorts China’s eco-compensation policies, laws, and
regulations, and summarizes China’s exploitation of typical cases and main models
in river basin eco-compensation, which addressed current status of China’s river
basin eco-compensation in aspects of policy and regulation basis and practice basis.
5.1 Introduction
Since the end of 1990s, the Chinese government began to pay close attention to
research on eco-compensation in river basin; with the twenty-first century coming,
the quantitative research on eco-compensation in river basin reached a peak. Now
the pattern has been formed with a variety of compensation types and modes coexist
after over 10 years of evolution. The eco-compensation has been really focused by
the whole society of China after the “11th Five-Year Plan”; the NPC and the
CPPCC members put forward many suggestions and bills every year during “two
sessions”, the reports on government work also highly valued it. Many local
governments have started the positive exploration on eco-compensation mecha-
nism, and carried out the pilots for river basin eco-compensation mechanism; some
provinces have established the river basin eco-compensation mechanism through-
out the province. The river basin eco-compensation pilots in China have initially
formed a mode suitable for the regional characteristics.
514 J. Zhao et al.
5.2 Chinese River Basin Eco-compensation Progress
5.2.1 Basis of Policies and Regulations
The Related State Policies and Regulations
With worsening river basin environmental pollution and aggravating environmental

management since the 1970–1980s, Chinese Government and relevant ministries
have successively issued a series of laws and regulations and policy documents,
which called for strengthening the river basin environmental protection and increase
the related inputs. In recent years, more laws and regulations and policy documents
clearly put forward the eco-compensation mechanism, especially since Decision of
the State Council on Implementing the Scientific Outlook on Development and
Strengthen Environmental Protection (State [2005] No. 39) was issued in Dec
2005; the Party Central Committee and the State Council clearly required to
establish eco-compensation mechanism in the relevant files for many times, the
Ministry of Environmental Protection, the Ministry of Finance (MOF), the National
Development and Reform Commission, Ministry of Water Resources, etc., are also
actively preparing for study and formulation of eco-compensation policy, and carry
out the eco-compensation pilots in river basin.
It is stipulated in the Water Law of the People’s Republic of China, effective
since Oct 2002 that “if the livelihood and production of other units or individuals
are caused losses as groundwater declined, exhausted or ground depressed and so
on due to the exploited mine or underground engineer, the mining or construction
entity shall take remedial measures and compensate for such losses”. This kind of
loss compensation actually reflects the implications of eco-compensation. In the
field of eco-compensation in river basin, Chinese government has carried out some
programs, such as the natural forest protection project and returning farmland to
forest project, as well as the ecological protection project in three-river source, etc.,
since the end of last century. These policies implemented at national level, reflect
the national emphasis on eco-compensation in the upstream to a certain extent.
In March 2004, the Several Opinions of the State Council on Further Promoting
Development of the Western Region (State [2004] No. 6) was issued to specify: “to
establish the compensation mechanism for ecological construction and environ-
mental protection, and encourage all kinds of investors to participate in the eco-
logical construction and environmental protection.”
In April 2005, the Key Works of the State Council 2005 was released (State
[2005] No. 8) to stipulate: “to strengthen management of the mineral resources
exploitation, rectify and standardize the order of mineral resources exploitation,
improve the compensation mechanism for resources development and utilization
and ecological environment restoration.”
In June 2005, the Several Opinions of the State Council on Promoting Sound
Development of the Coal Industry (State [2005] No. 18) was issued to stipulate: “to
strengthen the ecological environment and water resources protection, management
of wastes in the mining areas and coal-mining subsidence area according to the
principle of ‘developer protects, destructor recovers, beneficiary compensates, and
polluter pays’; research to establish the compensation mechanism for ecological
environment restoration in the mining areas; define management responsibilities of
the enterprise and government; increase inputs for the ecological environment
control, and gradually make the mining area environment control step into a vir-
tuous cycle. For the historic issues during the environmental management such as
mining subsidence caused by original key state-owned coal mines, the special
planning shall be prepared to continuously implement the comprehensive man-
agement, the central government shall give necessary funds and policy supports,
and the local governments at various levels and the coal enterprises shall arrange
the supporting fund according to the regulations.”
It is provided in the circular of the State Council on Accomplishing Key Works
During Construction of Conservation-Minded Society (State [2005] No. 21) issued
in June 2005: “to research how to establish and improve the resources exploitation
and eco-compensation mechanism on the basis of straightening out the existing
channels for charges and fund sources.”
In July 2005, the Several Opinions of the State Council on Accelerating the
Circular Economy Development (State [2005] No. 22) was issued to specify: “to
positively research how to establish and improve the eco-compensation mechanism
for restoration of enterprise ecological environment on the basis of straightening out
the existing channels for charges and fund sources.”
In December 2005, the Decision of the State Council on Implementing the
Scientific Outlook on Development and Strengthen Environmental Protection (State
[2005] No. 39) was issued to provide: “to improve the eco-compensation policies,
and establish eco-compensation mechanism as soon as possible. The
eco-compensation factors shall be considered in the central and local fiscal transfer
payment, the State and local governments can implement some eco-compensation
pilots.”
In December 2005, the Several Opinions of the CPC Central Committee and the
State Council on Pushing Forward New Socialist Rural Construction (Central
[2006] No. 1) was issued to specify: “to continuously promote the ecological
construction; earnestly implement key ecological projects, such as the returning
farmland to forest and natural forest protection; stably improve the policies; culti-
vate the follow-up industries; consolidate the ecological construction results
according to the requirements for construction of environment-friendly society;
continuously push forward the return the grazing land to grassland and compre-
hensive development of mountainous area; establish and improve the
eco-compensation mechanism; carry out major pest control, take effective measures
to prevent the exotic biological invasion; strengthen the desertification control, and
actively implement the comprehensive control project for soil and water erosion for
the rocky desertification area and northeast black earth area; establish and perfect
the responsibility mechanism of hydro-electric power and mining enterprises for the
environmental restoration and control, extract certain funds from the revenue of
516 J. Zhao et al.
hydro-electric power and mineral resources development for the restoration and
management of local environment, and prevent water losses and soil erosion.”
In March 2006, the Key Works of the State Council 2006 was issued (State
[2006] No. 12) to stipulate that: “the eco-compensation mechanism shall be
urgently established.”
In March 2006, the Outline of 11th Five-Year Plan for the National Economic
and Social Development was issued by the National People’s Congress to stipulate
that: “the eco-compensation mechanism shall be established according to the
principle of developer protects and beneficiary compensates.”
On April 17, 2006, Premier Wen stressed at the 6th National Environmental
Protection Conference that “the eco-compensation mechanism shall be established
according to the principle of ‘developer protects, destructor recovers, beneficiary
compensates, and polluter pays’.”
In October 2006, the Decision of the Central Committee of the CCP on Major
Issues about Constructing Harmonious Socialistic Society (Central [2006] No. 19)
was issued by the 16th CPC Central Committee at the Six Plenary Session, which
provided: “to improve the industrial policy, finance and tax policy, and pricing
policy in favor of environmental protection, establish an evaluation system and
compensation mechanism for ecological environment, and strengthen the respon-
sibilities of enterprise and the whole society to save resources and protect the
environment.”
In December 2006, the Several Opinions of the CPC Central Committee and the
State Council on Positively Developing Modern Agriculture and Steadily Pushing
Forward New Socialist Rural Construction (Central [2007] No. 1) was issued to
specify: “to continuously push forward the major ecological projects, such as
natural forest protection and returning farmland to forest, further improve the rel-
evant policies and consolidate the achievements; start the comprehensive treatment
engineering for rocky deserts, continuously implement the coastal shelter forest
project; improve the forest eco-compensation fund system; explore to establishment
of grassland eco-compensation mechanism; and speed up some projects of
returning the grazing land to grassland.”
In March 2007, the Key Works of the State Council 2007 was released (State
[2007] No. 8) to stipulate: “to accelerate establishment of eco-compensation
mechanism.”
In May 2007, the Work Scheme on Energy Conservation and Emission
Reduction (State [2007] No. 15) was issued by the State Council to specify: “to
improve the paid-use system for mineral resources, improve and perfect the
eco-compensation mechanism for resources development; and conduct the pilot for
trans-basin eco-compensation.”
In July 2007, Opinions of the State Council on Compiling the Planning for
National Main Function Regions (State [2007] No. 21) was released to specify that:
“in order to realize the equal access to basic public service, the central and
provincial financial transfer payment system shall be improved through mainly
increasing the financial transfer payment for public service and eco-compensation
of the development-limited and development-prohibited regions; gradually
implement the investment policy according to major function regions and the rel-
evant field, the governmental investment shall mainly support the public service
facilities construction, ecological construction and environmental protection in the
development-limited and development-prohibited regions; and support the infras-
tructure construction in the key development areas.”
On October 15, 2007, General Secretary, Hu Jintao’s report at the 17th National
Congress definitely required: “to implement the fiscal and taxation systems con-
ducive to the scientific development, establish and improve the paid-use systems of
resources and eco-compensation mechanism.”
In November 2007, the 11th Five-Year Plan for National Environmental
Protection was promulgated (State [2007] No. 37) to provide: “to implement the
target responsibility system for river basin management and assessment system for
water quality at the trans-provincial monitoring section; speed up establishment of
eco-compensation mechanism; increase input from various channels; accelerate
construction of regulation project; plan development, utilization and protection of
river water resources as a whole, distribute water for life, production and ecology as
a whole, so as to ensure the ecological runoff of rivers”; “define the range, leading
function and development direction of key ecological function reserves, and explore
establishing the evaluation index system, management mechanism, performance
evaluation mechanism and eco-compensation mechanism for ecological function
reserves according to the requirements for development-limited areas”; “accelerate
establishment of the earnest money system for mine environment to restore; push
forward mine environment management, and promote the ecological restoration for
new and old mines and resource-exhausted cities”; “give priority to establish and
implement the eco-compensation mechanism in the western regions”; “according to
the principle of ‘developer protects, destructor recovers, beneficiary compensates,
and polluter pays’, Three Gorges Reservoir Area, the catchments area for The
South-to-North Water Diversion Project, key energy development zones and
national nature reserves shall be taken as a breakthrough to expand the pilot,
improve the eco-compensation policies and establish the eco-compensation
mechanism”; “the finance and tax departments shall formulate the finance and
tax policy favorable to environment protection, establish and improve the
eco-compensation mechanism, support construction of early warning system for
environmental monitoring and supervision system for environmental enforcement.”
In December 2007, Several Opinions of the State Council on Promoting the
Sustainable Development of Resource-Based Cities (Central [2007] No. 38) was
issued to specify: “to improve the pricing mechanism for resource products; speed
up reform of resource prices, and gradually form a pricing mechanism of resource
products which can reflect the scarcity degree of resources, relation between market
supply and demand, as well as cost of environmental and ecological restoration;
scientifically formulate the financial accounting method for cost of resource prod-
ucts, the resource product cost shall be listed with such expenditures as acquisition
of mining right, resources exploitation, environment management, ecological
restoration, safety facilities, infrastructure construction and enterprise transforma-
tion; improve the eco-compensation system for forest benefit, prevent
518 J. Zhao et al.
exteriorization of the internal cost of enterprise and socialization of private cost”;

“combine with establishing the pilot of margin system for mining environmental
restoration, research to establish the reserve fund system for sustainable develop-
ment, the resources enterprises shall be extracted a certain proportion from the
pre-tax income as the sustainable development reserve fund which is specially used
for environmental restoration and eco-compensation to develop the substitution
industry and solve the historic problems and rehabilitative work after the enterprises
are closed, etc., the local people’s governments at all levels shall strengthen
supervision of the reserve fund in accordance with the principle of owned by
enterprise, special fund for special purposes, deposit in the special account and
regulated by the government”.
In March 2008, the Key Works of the State Council 2008 was released (State
[2008] No. 15), which stipulated: “to reform resources tax and fee system, and
improve the paid-use system of resources and eco-compensation mechanism.”
As a milestone of eco-compensation in river basin, Law of the People’s Republic
of China on Prevention and Control of Water Pollution was amended and passed in
2008 and was implemented on Jun 1, 2008, which first put forward
eco-compensation for water environmental protection in the national laws. Article 7
is stipulated that: “the State will establish and improve the eco-compensation
mechanism of water environment protection for drinking water source reserves,
rivers, lakes and the upstream of reservoirs through the financial transfer payment,
etc.” Article 4 is provided that: “The governments at or above county level shall
incorporated water environment protection in the national plan for economic and
social development.” “The local governments at or above county level shall take
countermeasures or measures to prevent and control water pollution, and be
responsible for water environmental quality in their respective administrative
regions,” and Article 5 is stipulated that: “the State will implement the target
responsibility system and evaluation system for water environmental protection, the
completion situations of water environmental protection goals shall be brought as a
content to evaluate the local governments and the responsible persons.”
On July 22, 2008, circular of the State Council Forwarding Opinions of National
Development and Reform Commission on Deepening Reform of Economic System
(General Office [2008] No. 103) was promulgated to stipulate that: “the paid-use
system of resources and eco-compensation mechanism is one of the three major
mechanisms of resource conservation and environmental protection.” The circular
requires the MOF, MEP, and NDRC which lead to push forward the pilot work to
establish the trans-provincial basin eco-compensation mechanism.
2009 Governmental Work Report pointed that: “to push forward the pricing
reform of resource products; continuously deepen the reform of electricity price;
gradually improve the pricing mechanism for feed-in electricity price, electricity
price of transmission and distribution and sale, timely rationalize the pricing rela-
tion between coal and electricity; actively promote water price reform; and grad-
ually increase water price of water conservancy projects for nonagricultural
purposes; improve the management and collection system of water resources fee;
accelerate establishment and improvement of the paid-use system of mineral
resources and eco-compensation mechanism; and actively carry out pilot for
emission trading.”
Since 2005, the MEP, MOF, NDRC, and MWR have actively prepared to make
eco-compensation policy and implement pilot work for eco-compensation in river
basin.
In 2007, the former SEPA (State Environmental Protection Administration)
promulgated the Guidance on Implementation of Eco-Compensation Pilot (MEP
[2007] No. 130) to require the local governments to gradually establish the
eco-compensation mechanism in four fields including the nature reserves, the major
ecological function areas, exploitation of mineral resources, and water environ-
mental protection; among of them, the basin eco-compensation is one of the key
fields of the ecological environment compensation.
In 2008, MEP issued the Guidance of Ministry of Environmental Protection on
Prevention and Handling Trans-Provincial Water Pollution Disputes (MEP [2008]
No. 64) to require that the trans-provincial water pollution disputes shall be pre-
vented from the beginning, and the long-term work mechanism shall be established
to prevent and handle the trans-provincial water pollution disputes.
In May 2008, the MEP approved Min River Basin in Fujian province as the first
batch of eco-compensation pilot areas.
Since 2008, the MOF has successively issued several transfer payment policies
related to eco-compensation, mainly including the Circular of Ministry of Finance
on Issuing 2008 Transfer Payment Fund for Ecological Reserves, such as
three-river source (Financial Budget [2008] No. 495) and the Measures for Transfer
Payments to National Key Ecological Function Areas (Pilot), etc.; among them, the
former points out that: “according to the current general transfer payment method,
now the central finance hereby increases your province (autonomous region,
municipality directly under the central government) the local general transfer
payments in 2008 through increasing the subsidy coefficient for some counties, etc.,
all of these funds must be used for natural forest protection project, Qinghai
Three-River Source, and Middle route Project of South-To-North Water Diversion,
Danjiangkou Reservoir Area and the upstream Counties and Districts.”
Since April 2010, the Chinese government launched the legislation work on
eco-compensation, the Regulations on Eco-Compensation (hereinafter referred to as
“Regulations”), which is intensively drafted with leaded by the NDRC at present;
Cooperate with drafting of the regulations, NDRC also organized to prepare the
Several Opinions on Establishing and Improving the Eco-Compensation
Mechanism as the prelude of the regulations; The basin eco-compensation is the key
field of the regulations, the related research and investigation and subsequent file
organization are conducted by the “river basin team” of MEP before drafting the
regulations.
By the end of 2010, the MOF and MEP totally allocated RMB 50 million as
startup capital to Anhui province for Xin’an River as the first national
trans-provincial water environment compensation pilot, which is of great signifi-
cance to the cross-boundary basin eco-compensation in China.
520 J. Zhao et al.
In 2011, Outline of 12th Five-Year Plan for National Economic and Social
Development required: “to accelerate establishment of eco-compensation mecha-
nism according to the principle of ‘developer protects, and beneficiary compen-
sates’; strengthen the balance transfer payment for key ecological functional areas,
research to establish the national special eco-compensation funds; implement the
reserve fund system for sustainable development of the resource-based enterprises;
encourage, guide and explore implementation of eco-compensation from the
downstream to upstream, from development area to the protected area and from
the ecological beneficiary area to the ecological protection area; actively explore
the market-based eco-compensation mechanism; and speed up implementation of
the Regulations.”
In 2011, the 12th Five-Year Plan for National Environmental Protection spec-
ified that: “the Central Finance will increase support to the western region,
development-prohibited area and development-limited area, and special poverty
areas, and improve the provision level for basic public services for environmental
protection through general transfer payments and eco-compensation measures.”
In 2011, Opinions of the State Council on Strengthening Key Works
during Environmental Protection (State [2011] No. 35) explicitly provided to
speed up establishment of eco-compensation mechanism and national special
eco-compensation fund, and expand scope of eco-compensation.
In December 2011, the 7th National Environmental Protection Conference
proposed that: “it shall be adhere to integrate the development with protection, and
actively explore new route for the sustainable environmental protection with lower
cost, better benefit and less emission.”
Related Regulation Documents at Local Level
On local level, the local legislation first defined that the river basin
eco-compensation was an eco-compensation measure on rivers within the boundary
of Changsha City, Hunan province (trial implementation), issued in February 2012.
The measures have defined “river eco-compensation” as: “a public system, aimed at
protecting eco-environment, promoting the harmonious development between man
and nature, make an overall use of economic means and adjust the economic benefit
relation between upstream and downstream of river basin and among water eco-
logical protectors, beneficiaries and destroyers.” Some departments, on provincial
and municipal level have also successively launched the study and practice of
trans-provincial or cross-boundary river basin eco-compensation, effectively
pushing forward the establishment of two-way or one-way responsibility mecha-
nism concerning compensation from river basin downstream to water resource and
water environment protection of upstream and compensation from upstream to
downstream for pollution discharge beyond the standard or environmental liability
accident.
Amid the establishment of river basin eco-compensation mechanism, the launch
of eco-compensation work has been promoted through river basin eco-compensation
Table 5 Summary of agreement on river basin eco-compensation at local level

Year Document Content
2007 The guideline on launching Support upstream and downstream areas
eco-compensation pilot work of river basin to reach environmental
cooperation agreement based on water
quantity distribution and water quality
control
2007 Management measures on special fund “Encourage the cities (districts) in
for water environment protection of min upstream and downstream areas of river
river basin and Jiulong River Basin basin to protect basin water environment,
improve water quality through
consultation, signature of agreement and
other approaches, based on the
assessment requirement of meeting the
ecological water quantity demand,
specify the compensation liabilities and
control tasks of both parties, ensure the
capital to yield return, gradually
establish and improve eco-compensation
mechanism, give reward and punishment
to the cities and counties in upstream and
downstream of “two river” basins
according to water environment quality
status of “two river” basins and regional
border sections”
2011 Framework agreement on city alliance The people’s government of two cities
for Wei river basin environmental and one district in Shaanxi and Gansu
protection province established a basin
eco-compensation mechanism, built
water quality monitoring network at
provincial and municipal boundaries, set
leaving-the-boundary water quality
objective for trans-provincial or
tans-municipal boundaries, make
assessment and give compensation
according to water quality objective. The
interim assessment factors for sections
leaving the boundary include chemical
oxygen demand (COD) and ammonia
nitrogen. The leaving-the-boundary
water quality assessment is based on
monitoring result jointly recognized by
Shaanxi Provincial Department of
Environmental Protection and Gansu
Provincial Department of Environmental
Protection. Eco-compensation fund is
specially used for pollution control
projects, water source ecological
construction projects and water quality
monitoring capacity improvement
projects in Wei River Basin and is not
(continued)
522 J. Zhao et al.
Table 5 (continued)
allowed to be used in balancing the
financial power
2011 Management regulation on Taihu Lake Where the upstream areas have not
Basin finished key water pollutant discharge,
total amount reduction and control plan
and the administrative region border
section water quality fails to meet the
stage water quality objective, they shall
give compensation to the downstream
areas; where the upstream areas have
finished key water pollutant discharge
section water quality meets the stage
water quality objective, the downstream
areas shall give compensation to the
upstream areas. The compensation will
be paid through financial transfer
payment mode or other modes agreed by
local governments through consultation.
The specific approaches shall be
formulated by competent departments in
charge of finance and environmental
protection under the State Council
together with people’s governments of
two provinces and one city
The issue of the document is an
important milestone of basin legislation,
which will inevitably produce
tremendous promotion effect and
far-reaching historical influence
2012 Protection regulation on Xiangjiang Establish and improve a handover
River, Hunan Province responsibility and compensation
mechanism for administrative region
border section water quality in upstream
and downstream water body of
Xiangjiang River Basin. Where the
upstream areas have not finished key
water pollutant discharge total amount
reduction and control plan and the
administrative region border section
water quality fails to meet the stage
water quality objective, they shall give
compensation to the downstream areas;
where the upstream areas have finished
key water pollutant discharge total
amount reduction and control plan and
the administrative region border section
water quality meets the stage water
(continued)
Table 5 (continued)
quality objective, the downstream areas
shall give compensation to the upstream
areas. The compensation will be paid
through financial transfer payment mode
or other modes agreed by local
governments through consultation
2012 Regulation on water pollution prevention Where the upstream areas have not
and control of Chaohu Lake Basin finished key water pollutant discharge
(revised draft) total amount reduction and control plan
section water quality fails to meet the
stage water quality objective, they shall
give compensation to the downstream
areas; where the upstream areas have
finished key water pollutant discharge
section water quality meets the stage
water quality objective, the downstream
areas shall give compensation to the
upstream areas
agreement signed between local governments. Since it does not involve any change
of existing administrative management system, it is less difficult. Besides, it is
subject to timely adjustment according to implementation result, therefore, it has
gained the support of SEPA, especially water environment eco-compensation pilot
for Xin’an River basin in 2011, which has offered a good pilot and exploration
specimen for award and punishment to water environment in Chinese
trans-provincial major river basins and building a sharing protective mechanism
(Table 5).
To sum up, two-way type eco-compensation of upstream and downstream based
on river basin cross-boundary section water quality assessment, generally practiced
in various regions at present is actually a comprehensive system integrating
eco-compensation and pollution indemnity, which can be called as a two-way
mechanism of compensation by polluters and indemnification to beneficiaries or
penalty for water quality beyond the standard and reward compensation for water
quality up to the standard. Under this system, downstream will give compensation
to the upstream when the upstream has reached the prescribed water quality and
quantity objective according to “environment liability agreement” concluded by
upstream and downstream or river basin water quality objective defined in river
basin environmental protection plan, where the upstream fails to meet the pre-
scribed water quality and quantity objective, or cause water pollution accident to the
downstream; the upstream shall give its compensation or indemnification to
the downstream conversely. Among others, indemnification shall be compensation
to downstream areas made by upstream areas for the loss caused by pollution
524 J. Zhao et al.
beyond the standard. The compensation amount is related to category, concentra-

tion, and water quantity of pollutant beyond the standard and duration exceeding
the standard. Compensation method by agreement shall proceed from the “fair”
angle; the eco-compensation criterion shall be determined among stakeholders in a
fair and reasonable way through consultation and coordination in a bid to achieve a
“win-win” compensation result to both parties of interest. Therefore, it is necessary
to intensify water quality liability mechanism of river basin cross-boundary sec-
tions, highlight “common but distinguishing responsibilities” assumed by river
basin governments to water quality in outbound sections. As a matter of fact, there
are a lot of highlights with reform of basic level, deserving our attention. Eastern
region has especially condition and liability to implement and test in reform.
Regulation on eco-compensation in Yangtze River delta is also being drafted.
5.2.2 Practice Progress
Cases of China’s Eco-compensation Practices in River Basins
Presently, many local governments have begun to boldly explore river basin
eco-compensation mechanism which has been already established province-wide in
some provinces. So far, nearly 20 provinces have issued and implemented some
river basin eco-compensation policies, of which contents cover its principles,
objectives, criterion, organization, and implementation. Such policies have made
certain effect in the relevant river basins, promoting management and water quality
improvement in such river basins. The eco-compensation in China has initially
formed its mode suitable for local characteristics, which can be divided into two
types, namely economic compensation for water source protection and
cross-boundary eco-compensation and pollution indemnity.
(I) Economic Compensation Mode for Water Source Protection
The economic compensation for water source protection is a kind of institu-
tional arrangement with priority of economic incentives to encourage eco-
logical protection and construction of water source, to curb ecological
destruction, to adjust the distribution relations of ecological and economic
benefits among the stakeholders, and to promote the regional fairness and
coordinated development, so as to improve the ecological environment, sus-
tain the ecosystem balance, and maintain ecosystem services of water source.
In most cases, the economic compensation for drinking water source is a kind
of compensation from the developed regions to the underdeveloped regions, in
order to compensate them giving up economic development due to protection
of the ecological environment. In practice, China’s eco-compensation in river
basin is mainly realized by means of special funds, development relocation,
and the water rights transaction.
• Special fund for eco-compensation mechanism in the Min River Basin in

Fujian province
The Min River is the largest river in Fujian province with an annual runoff
of 62.1 billion m3. It mainly flows through Fuzhou, Nanping and Sanming,
with a drainage area about half of the total area of Fujian province. As the
mother river of Fujian province, Fujian provincial government set up a
special fund for eco-compensation in the Min River basin. From 2005 to
2010, Fuzhou city government from the downstream portion, annually
provided RMB 10 million to the upstream Sanming city and Nanping city
(RMB 5 million each); and meanwhile, each of Sanming city and Nanping
city annually invested RMB 5 million to the Min River basin water
treatment. In addition, the provincial environmental protection bureau
arranged RMB 15 million to support the special fund for
eco-compensation. At the same time, the Provincial Department of Finance
and Department of Environmental Protection have formulated
Administration Measures of Special Fund Water Environmental Protection
of Min River Basin to regulate forms and content of eco-compensation.
The special fund is mainly used in implementation of the projects listed in
the Plan of Water Environmental protection in Min River Basin approved
by the Provincial Finance Department under jurisdiction of Sanming and
Nanping as well as the annual treatment program. Focus is on pollution
control for livestock and poultry breeding, township waste disposal, water
source protection and rural non-point source pollution control, industrial
pollution prevention and control, and construction of online monitoring
facilities of the pollution sources.
• Special fund for eco-compensation practice in five river source areas in
Jiangxi province
As Jiangxi province is the source area of the Dongjiang River, Jiangxi
Provincial Finance Department set up a special fund to establish an
eco-compensation mechanism that began in 2008, aimed at rewarding the
local counties and cities for their ecological environmental protection of
the source areas of “five rivers and one lake” and the Dongjiang River
source area with compensation range covering 40 towns. The special fund
has been annually increased from RMB 50 million in 2008 to RMB
80 million in 2009 and RMB 103 million in 2010. The reward amount
consists of two parts, the first is determined on the basis of area of each
protection zone in the source area, accounting for 30 % of the total reward
amount; the second part is determined according to effluent water quality of
each protection area, accounting for the remaining 70 %.
The special funds are arranged by each county’s financial department as a
whole, mainly used for expenditure related to pollution control and eco-
logical protection. The application of funds is subject to random supervi-
sion and management by the provincial department of finance and
environmental protection bureau. The provincial department of finance and
526 J. Zhao et al.
environmental protection bureau also jointly issued the Administration

Measures of Jiangxi Province for Ecological Environmental protection
Reward Fund of “Five Rivers” and Dongjiang River Source Areas for
standard use and management of the funds.
• Mode of water right transaction
Water right transaction refers to situations when the upstream adopted a
series of water-saving measures to make the water amount leaving the
border more than the target limit, then the downstream should pay to the
upstream for utilization right of this part of water resources, even that part
of which the initial water right does not completely use. Water right
transaction is essentially to minimize the marginal cost of water resources
utilization or maximize value-added benefits with exchange.
The first water right transaction was initiated in the Jinhuajiang River
basin, Zhejiang province. On November 24, 2001, an agreement between
Yiwu city and Dongyang city in the midstream of the river basin was
initially signed. Dongyang city transferred permanent water rights of an
annual 49.999 million m3 in the Hengjin Reservoir to Yiwu city at a price
of RMB 4/m2 in a one-off deal with the current state of Grade-I drinking
water quality guaranteed. Similar cases of water resources trading also
exist between Ningxia Hui Autonomous Region and Inner Mongolia
Autonomous Region, namely the upstream irrigated areas through
water-saving transformation sell the redundant water to the downstream
hydropower station.
• Mode of development relocation
To avoid pollution caused by the industrial development in the upstream
and compensate the loss due to limits to development rights, the industrial
zone is established at the downstream city, and income tax belongs to the
upstream city, which is a specific mode of development relocation.
A case of development relocation mode was carried out in Jinhua city,
Zhejiang province. Pan’an County, under jurisdiction of Jinhua city, is
located in the source area of the Jinhua River, and it is an important
ecological function area with a backward economy. To support economic
development in Pan’an County, the “Jin-Pan Poverty Alleviation
Economic and Technology Development Zone” for Pan’an County was set
up within the Jinhua Industrial Park at the downstream of the Jinhua River
with support in aspects of policy and infrastructure, while all income tax
from the development zone belongs to Pan’an County.
(II) Mode of Cross-Boundary Eco-compensation and Pollution Indemnity
The cross-boundary eco-compensation and pollution indemnity means, when
water resource use or pollution in river basin can be controlled within the
corresponding total amount or the assessment criterion of cross-boundary
section, if there is not sufficient water yield and environmental capacity to be
occupied by other regions, and then the positive externality is produced, the
downstream shall compensate the upstream investment for their ecological and
environmental protection costs input to provide water ecosystem services

higher than the benchmark. On the contrary, if the negative externality is
produced, the upstream shall undertake the downstream additional treatment
cost due to pollution surpassing the standard and compensate the downstream
corresponding damage, namely certain economic compensation shall be paid
to the downstream.
In China, the specific practices of river basin eco-compensation and pollution
indemnity is to monitor the administrative cross-boundary section water
quality of a river basin, if water quality provided by the upstream meets the
target requirements, the downstream areas must provide eco-compensation to
the upstream; if not, the upstream must provide pollution indemnity to the
downstream.
• Trans-provincial water environment compensation in the Xin’an River
Basin
The Xin’an River originates in Huangshan city, Anhui province and flows
through Anhui and Zhejiang provinces with a total area of 11,674 km2,
53.6 % of its total area is located in Anhui province, only behind that of
Yangtze River and Huai River, ranking as the third largest water system in
Anhui province. Xin’an River is also an important source of the Qiantang
River, the biggest entry river of Zhejiang province. In December 2010, the
Xin’an River basin was officially inaugurated for water environment
compensation as the first trans-provincial pilot area in China. The MOF
allocated RMB 50 million as the initial capital for pilot eco-compensation
in the Xin’an River in Huangshan city, Anhui province. In October 2011,
MOF and MEP jointly issued the Implementation Plan of Water
Environment Compensation in Xin’an River Basin, which specifically
provided the guiding ideology, basic principles and specific measures, etc.,
for the implementation of eco-compensation in the Xin’an River basin.
Specific measures of the eco-compensation in the Xin’an River Basin are
as follow:
The reference of eco-compensation is the water pollution composite index
of the trans-provincial monitoring site—the Jiekou site. The composite
index is determined on the basis of four indices: potassium permanganate
index, ammonia and nitrogen, total nitrogen, and total phosphorus con-
firmation. The central finance arranged RMB 300 million as a compen-
sation fund. When Anhui province supplies water with water quality better
than the basic standard, it will receive compensation of RMB 100 million
from Zhejiang province, and otherwise it will lose it upon poor water
quality or serious water pollution accidents in Xin’an River basin within
Anhui province. The special fund for compensation is mainly used in the
industrial restructuring and optimization of industrial layout, integrated
river basin management, water environmental protection and water pol-
lution control, ecological protection, etc., in the Xin’an River basin. The
528 J. Zhao et al.
agreement on eco-compensation was signed by both provinces under

endorsement of MEP.
• Tai Lake in Jiangsu Province
Measures of Jiangsu Province for Regional Compensation of Environment
Resources (trial) and Scheme of Jiangsu Province for Regional
Compensation of Environment Resources in Tai Lake Basin (trial) were
issued by Jiangsu Provincial Government, respectively, in early 2008 and
early 2009, to implement regional compensation system for environment
resources of major rivers in the Tai Lake basin in Jiangsu province
according to the principle of “who pollutes, pays; and who destroys,
compensates.”
The main idea is to determine the compensation amount of which the
upstream cities at prefecture level and counties (city) under its jurisdiction
receive compensation from the downstream cities at prefecture level
according to the formula: “compensation capital of single factor = (sec-
tional water quality index—sectional water quality goal) × monthly sec-
tional water amount × compensation criterion.” Jiangsu Provincial
Environmental Protection Bureau and Department of Finance are respon-
sible for accounting and consolidating the compensation amount of each
quarter. The Provincial Department of Finance is responsible for collecting
and allocating compensation capital, which is mainly used in water pol-
lution control for the Tai Lake basin.
Implementation effect: among 15 major rivers flowing into the Tai Lake
Basin, 12 rivers with inferior Grade-V water quality before the pilot study
was conducted sharply reduced to only one river of that grade by March
2010.
• Ziya River Basin in Hebei Province
In 2008, Circular on Implementing the Policy of Responsibility Assessment
on Cross-Border Section Water Quality Goal for Major Rivers of Ziya
River Water Body and Trying out Withholding Eco-Compensation Fund
was released by Hebei Provincial Environmental Protection Bureau. Since
April 2008, this policy was implemented at five cities and 57 rivers of the
Ziya River basin. Water quality of the Ziya River basin improved signif-
icantly in the first year of implementation, Circular on Implementing
Responsibility Assessment on Cross-Border Section Water Quality Goal
was issued by General Office of Hebei Province Government to specify
that the eco-compensation fund policy will be fully promoted in the seven
top water systems within the whole province.
Its main idea is to determine the eco-compensation amount, according to
the times of COD concentration beyond the limit at cross-border sectional
water quality of each city under responsibility appraisal. If the multiples of
COD concentration beyond the limit are the same, in event that the entry
water quality is beyond the limit and COD concentration in the
cross-border sectional water continuously increased, the compensation
amount of each city under responsibility assessment will be more than that
paid when the entry water quality meets the criterion (or no entry water).
The Provincial Finance Department will directly withhold the compensa-
tion amount from the annual expenditure of the city according to the total
withholding amount provided by the departments of environmental pro-
tection. The eco-compensation fund must be specially used in water pol-
lution projects of the Ziya River basin.
Implementation effect: by the end of March 2009, the total
eco-compensation fund withheld from five cities within the Ziya River
basin reached RMB 14.3 million, and a declining trend is presented for the
overall pollution level. Compared with the previous year, the average
concentration of COD reduced to 42.8 % and average concentration of
ammonia nitrogen 13.7 %, which achieved the best level over many years
and effectively curbed sewage discharged by the upstream to the down-
stream. By the end of 2009, the eco-compensation fund withheld reached a
total of RMB 35.7 million. Among seven top water bodies, percentage of
sections with Grade-III and superior Grade-III water quality accounts for
40.1 %, increasing 9.7 % in comparison with the same period in 2008; and
percentage of sections with Grade-V and inferior Grade-V water quality
reduced to 9 % in comparison with the same period in 2008.
• Shayin River Basin in Henan Province
Interim Measures for Water Environment Eco-Compensation in Shayin
River Basin was promulgated by the former Environmental Protection
Bureau and Department of Finance of Henan province at the end of 2008,
and Interim Administrative Measures of Henan Province for Reward Fund
of Water Environment Eco-Compensation in Shayin River Basin was
jointly issued in February 2009. This policy has achieved good effect.
Interim Measures of Henan Province for Water Environment Eco-
Compensation was issued jointly by Henan Provincial Environmental
Protection Bureau and Department of Finance in January 2010, to fully
implement the surface water environment eco-compensation mechanism
within whole province.
Its main idea is to adopt a “two-way” compensation mechanism combined
with “penalty for exceeding the limit” and “reward for reaching the stan-
dard”. Compensation criteria are determined according to the formula:
(concentration values monitored at section water quality—target concen-
tration value for assessment sectional water quality) × weekly assessment
sectional water amount × Eco-compensation criterion. The monitoring
indexes are COD and ammonia nitrogen. Provincial departments with
relevant capabilities for environmental protection and water administration
are responsible for verifying compensation criterion, and the provincial
financial department together with the competent departments of envi-
ronmental protection conduct compensation and rewards. The compensa-
tion fund will be used for river basin pollution control and compensating
530 J. Zhao et al.
cities which have completed the responsibility goal of water environment

well under jurisdiction within the province.
Implementation effect: the compensation fund withholding within the
Shayin River basin amounted to RMB 650 million in the first half of 2009,
and it reduced to RMB 180 million in the second half of 2009 due to
improved water environment. In 2010, the preliminary achievement was
achieved after an eco-compensation system for surface water environment
and has been implemented in Henan province for only 3 months. The
withheld eco-compensation fund totaled RMB 37.18 million, and surface
water quality in Henan province has been improved significantly.
Analysis on China’s River Basin Eco-compensation Features
Regardless of economic compensation for water source conservation or

cross-boundary eco-compensation and pollution indemnity in river basins, they are
essentially government-led eco-compensation mechanisms, which have been
developed as an environmental economy policy according to the current condition
of China. In such mechanisms, the government promotes eco-compensation; the
relationship between the upper and lower levels of the government spurs the quick
and comprehensive implementation of eco-compensation in river basins. Support
from their rich financial resources ensures stable fund source for eco-compensation.
Moreover, the government can make supportive policies according to the charac-
teristics of the regions which need eco-compensation such as specific financial
policies for major rivers, market-based compensation policies for regions with
relatively high levels of economic development, and compensation policies based
on technical projects or policies that encourages development relocation for
small-scale river basins. Such policy-based eco-compensation provides more lasting
effects. Meanwhile, much improvement should be addressed in China’s
eco-compensation in river basin, mainly including the following aspects:
(I) The Understanding of Eco-compensation is not yet Comprehensive
Eco-compensation areas are often backward and they suffer from poverty,
and eco-compensation often closely combines with poverty alleviation. Yet
in fact, eco-compensation cannot be equated with poverty alleviation and
poverty alleviation cannot be solved just by eco-compensation. In addition,
the existing research programs, especially eco-compensation research pro-
grams of water source protection, only focus on the existence and devel-
opment of the upstream contemporary issues to be met, and hardly
emphasize compensation research for future generations.
(II) Determination of Eco-compensation Criterion Lacks Scientific Rigor
and Comprehensiveness
First, COD is mainly considered during determination of eco-compensation
factor in cross-border section water quality without focusing on some
characteristic pollutants according to the actual situations of the river basin

pollution. It is rare to bring small tributaries into appraisal range or consider
the small tributaries, but the compensation criterion differs from that of the
mainstream. Second, the eco-compensation criterion in river basins was
determined under the government leadership, and is mainly prepared through
direct discussion among the relevant departments, so there is lack of a sci-
entific calculation method as the basis. The eco-compensation figures set
were not an agreed price despite the upstream and downstream governments
repeatedly “bargaining”. So, such compensation criterion are unconvincing
to the wider range of stakeholders.
(III) The Follow-up Mechanism in Research on the Eco-compensation Fund
is Insufficient
The existing research mainly focuses more on how to obtain an
eco-compensation fund, and less on how to distribute, utilize, and manage
the compensation fund within the compensation receiver milieu, as well as
the usefulness of the compensation funds, namely the compensation moni-
toring and evaluation mechanism. Thus, it is a less favorable setting for the
eco-compensation mechanism to play its deserved role.
(IV) The Dual Compensation Means of Government and the Market Need to
be Further Rationalized and Strengthened
Eco-compensation policy has promoted the combined utilization of admin-
istrative command and control instrument and economic means. From the
eco-compensation practice in river basins, its implementation in each region
is dominated by the government with deferring promotion due to awareness
of the governments at all levels to this policy. The market means are also
gradually diversified, such as the mode of development relocation, mode of
water right transaction and mode of emission trading, etc. The “synergy
effect” of government-led means and market-based instruments is gradually
emerging. However, the government is still the main buyer of
eco-compensation at present, which has resulted in a strong administrative
component during eco-compensation and certain instrument constraints. It is
easy to cause transaction costs that are too high by market means, and thus
unfavorable for further development and maturation of eco-compensation
market mechanisms. In addition, the compensation form of the government
is relatively singular, mainly with capital compensation. The legality issue of
eco-compensation paid by the finance still exists. Other means such as policy
compensation, in-kind compensation, technology compensation, and sup-
porting compensation are less frequently adopted.
(V) Trans-provincial Eco-compensation in River Basin is Difficult to Promote
During establishment of trans-provincial eco-compensation mechanisms in
river basins, the upstream provinces usually appeal with high enthusiasm,
while the downstream provinces passively avoid it. Therefore, except for
trans-provincial water environment compensation in the Xin’an River basin
532 J. Zhao et al.
promoted at the national level, other domestic trans-provincial eco-

compensations in river basins have not started substantive work. The rea-
son lies in undefined stakeholder’s responsibilities and unclear responsibil-
ities between the upstream and downstream for water pollution control.
Water quality protection compensation criterion need to be set further. Thus,
the upstream provinces often provide more compensation to the upstream
region within the province, but it is difficult to negotiate eco-compensation
issues between two provinces from a whole watershed without promotion at
the national level. For example, there is not much progress for the com-
pensation issue between Guangdong province at downstream Dongjiang
River and the three counties under jurisdiction of Ganzhou City, namely
Anyuan, Xunwu, and Dingnan at the source of the Dongjiang River. The
Eco-compensation of the Xin’an River Basin has preliminary progress just
due to the policy issued by the State.
Based on the above analysis, while giving full consideration to the specific con-
dition of our country, we could learn from successful foreign experiences in the
practice of river basin eco-compensation. Such experience includes
Promoting public involvement: The eco-compensation mechanism is a huge
project, which involves a game among interested parties during its implementation.
The government alone cannot solve all problems, so public participation should be
fully solicited. By learning from foreign experience, making contracts based on
agreement between the buyer and seller by means of negotiation among interested
parties, and clearly defining the transaction amounts and expected goals of both
parties, we can not only facilitate supervision and performance evaluation of
compensation, but also fill the gap between the compensating party and the com-
pensated party with various flexible compensation methods and thus helping us
reach and implement the agreement. In addition, effective social participation and
social supervision mechanisms should be established to construct a relatively
uniform platform for the operation and coordination of policies which ensures the
efficient implementation of eco-compensation in the river basins of China.
Designing transparent eco-compensation policies in river basins: The design of
eco-compensation in China is mostly guided by the dominant form of government.
During the actual implementation, therefore, the ecological system service provider
is usually active to have equal negotiation and communication with the ecological
system service beneficiary. Due to the lack of a transparent and well supervised and
evaluated process, both the compensating party and the compensated party find
themselves subject to weak moral and legal bonds, which seriously affect the
outcomes of the implementation of compensation measures. Therefore, we should
learn from foreign experience by enabling equal negotiation and talks between the
ecological service provider and the ecological service beneficiary, so that both
parties can timely manage and follow up the eco-compensation project, regularly
sum up the effects of related policies, and thus ensure the sustainability of the
policies.
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Chapter 18
Industrial Ecology
Wenliang Wu, Yifeng Zhang, Songlin Mu, Linsheng Zhong,

Guofan Zhang, Huayong Que, Jianguang Fang, Xiwu Yan,
Zhihua Lin, Yongyun Zheng, Yunhe Li, Kongming Wu, Yufa Peng
and Gaodi Xie
Abstract After a long era of fishing-and-hunting civilization, human came into

agricultural civilization era about ten thousand years ago, while Industrial
Revolution makes industry replace agriculture as the center industry 200 years ago,
and at the same time the technical transformation of agriculture made it grow into
modern agriculture. Though modern industry and agriculture have greatly promoted
the development of social productivity, they caused unprecedented environmental
problems. Therefore, looking for a kind of industry pattern that realize harmonious
development of human and earth, can not only promote the economical develop-
ment, but conserve resource and environment become the urgent affairs, ecological
W. Wu
College of Resources and Environmental Sciences, China Agricultural University,
Y. Zhang L. Zhong G. Xie (&)
CAS, Beijing 100101, China
S. Mu
Beijing Agriculture Information Technology Research Center, Beijing 100097, China
G. Zhang H. Que
Institute of Oceanology, Chinese Academy of Sciences, Qingdao 266071, China
J. Fang
Yellow Sea Fisheries Research Institute, Chinese Academy of Fisheries Sciences,
Qingdao 266071, China
X. Yan
Dalian Ocean University, Dalian 116023, China
Z. Lin
Zhejiang Wanli University, Ningbo 315100, China
Y. Zheng
Marine Biology Institute of Shandong Province, Jinan 250014, China
Y. Li K. Wu Y. Peng
State Key Laboratory for Biology of Plant Diseases and Insect Pests, Institute of Plant
Protection, Chinese Academy of Agricultural Sciences, Beijing 100193, China

DOI 10.1007/978-3-662-48376-3_18
536 W. Wu et al.
industry emerged consequently. Ecological industry is a kind of network-based,

evolutionary and complex industry organized according to the principles of eco-
logical economics that based on ecosystem carrying capacity, has a complete
lifecycle, efficient metabolic process and harmonious ecological function.
Compared with traditional industry, it makes material and energy be used repeat-
edly and output efficiently, can realize the systematic exploitation and sustainable
utilization of resource and environment through the systematic coupling of two or
more production systems or links. The essence of ecological industry is the
application of ecological engineering to various industry, thereby ecological agri-
culture, ecological industry and ecological tertiary industry are formed and con-
stitute a ecological industrial system. Both human society and nature can benefit
from ecological engineering, it focuses on the ecosystem, especially the engineering
technology that can enhance the sustainable development ability of social-
economic-natural compound ecosystem. It promote the harmonious coexistence
between human and nature, coordinated development of economy and environ-
ment, it make the simplex pursuit of economic growth or natural protection move
toward compound ecosystem prosperity of affluence, health and civilization. The
birth and development of ecological industry will make the mankind step into a new
social form, thus a new ecological civilization will be formed.

Keywords Ecological agriculture Ecological industry Recycling economy
Ecotourism Ecosystem carrying capacity
Cleaner production Valley

economy Mariculture Intertidal mudflat Genetically modified (GM) crops

Herbicide tolerance Insect resistance Non-target organisms Gene flow
Biodiversity
1 Ecological Agriculture
1.1 Introduction
1.1.1 Development of Ecological Agriculture
World agriculture has experienced the stages of primitive agriculture, traditional

agriculture and modern agriculture (petroleum-based agriculture). Petroleum-based
agriculture is characterized by high input and high energy consumption. Although
oil agriculture plays a positive role in improving agricultural productivity, it also
brings lots of problems, such as overpopulation, resource declination, environ-
mental degradation, food and energy shortages. Many counties have begun to study
on these issues since 1960s.
The modern ecological agriculture in China has gone through three stages
including initial stage, exploration stage and stable development stage. The initial
stage is from the end of 1970s to the beginning of 1980s. The symbol of this stage
18 Industrial Ecology 537
is the defining of ecological agriculture concept in academic community, which

initially described the basic principles of ecological agriculture. The demonstration
of ecological agriculture was carried out in some areas of China for trials. The
period from the middle of 1980s to the beginning of 1990s is regarded as the
exploration stage. The basic concepts of ecological agriculture were complement-
ing, with a large number of research papers published and the ecological agricul-
tural theoretical system formed with Chinese characteristics during this exploration
stage. After 1990s, ecological agriculture stepped into stable development stage.
The features of this stage are the beginning of pilot work of national
eco-agricultural counties and deep study of its theory and methods (Chen 2004).
Ecological agriculture in China has inherited and developed the essence of
traditional agriculture. Meanwhile, it integrated and used modern scientific and
technological achievements, with wealth experience and valuable lessons accu-
mulated during rural economic reform. Ecological agriculture is exploring of a
stainable development model in China (Wang 2008).
1.1.2 Connotation of Ecological Agriculture
Ecological agriculture, guided by the principles of coordinated development of

economy and environment, in line with the principles of ecology, ecological eco-
nomics and biological and material recycling, summarizes and absorbs the suc-
cessful experience of various agricultural production models, applies the ecosystem
engineering methods and modern science and technology to create and develop
reasonable arrangements to optimize agricultural production patterns and
site-specific farming systems. It requires the combination of grain production and a
variety of cash crop production; combination of plantation with forestry, animal
husbandry, and fisheries, as well as the combination of agriculture with sector
development. By combining the traditional agriculture and the essence of modern
science and technology, through artificial ecological engineering design, harmo-
nizing the relationship between resource utilization and protection and coordinating
economic development and the environment, ecological agriculture can achieve a
harmonious circle of ecology and economy to achieve sustainable development of
agriculture (Shi 2001; Wang 2001; Li and Min 2001, 2003; Lu 2002).
Different countries have different names for ecological agriculture, but the
purposes and objectives are the same, i.e., to produce clean food production, to
improve human’s health and promote the sustainable development of agriculture on
clean land in a clean way (Ren 2004). In new era, China has entered the new
development stage of industrialization of ecological agriculture.
538 W. Wu et al.
1.2 Strategies for Ecological Agriculture Development
1.2.1 Ecological Agriculture Industrialization
Ecological Agriculture Industrialization employs ecological agriculture as the

development process of an independent industry sector. In accordance with the
rules of marketing economy and effective industrial organization and operation and
the inherent requirements of market economy, the economic efficiency of ecological
agricultural will be improved. Laterally, intensification of capital, technology, land,
labor and other factors of production will be implemented. Vertically, ecological
agriculture shall be market-oriented and based on processing or economic coop-
eratives; farmers shall be initiated with the means of science and technology. The
farming, animal husbandry, food process and storage are integrated into a holistic
sector system. Ecological agriculture industrialization system will help to improve
and achieve efficient harmonization of agro-ecology, economic and social benefits.
1.2.2 Main Types of Ecological Agriculture Industrialization
Current ecological agriculture industrialization types are diversified and consist of

multi aspects. Major ecological agriculture industrialization types are as follows.
Comprehensive Development and Holistic Coordination
In ecosystem, the features of multi-level, multi-objective and multi-connections

require the overall coordination of ecosystem during ecological agricultural
industrialization process. The ultimate goal of ecological agriculture industrializa-
tion is to achieve harmonization of environmental protection and agricultural
development as well as the efficient harmonization of agro-ecology, economic and
social benefits.
Relying on the Production Base
Ecological agriculture production base is the base of ecological agriculture industry

and also an important linkage between small-scale production and a large market.
Hence, the development of ecological agricultural industrialization must go further
to speed up reform of Rural Land Property System and guide farmers to expand the
scale of operation to strengthen the construction of ecological agriculture produc-
tion base.
Leading Enterprise
Leading enterprise in the industrial management system is an organizer, operations

center, service center, information center, the main technological innovation and
market pioneer. It plays a key role in the hub. Its drive function is the key to achieve
ecological agriculture industrialization. Thus, the leading enterprises need more
education and cultivation, including precise designing, focusing on support,
strengthening the drive functions and so on.
Brand Cultivation and Green and Healthy Production
Under the situation of marketing economy, ecological agriculture, as the highly

social and green industry, has to use brand to develop new markets, to improve
product awareness, to market share and increase added value and to form of market
competition and price advantage. In addition, brand cultivation can create a good
brand image and corporate identity. This could help companies accurately locate
and obtain legal protection.
Eco-tourism
Due to the constant deterioration of ecological environment, improvement of the

economic income and increase of leisure time, people’s material and cultural life of
the ecological demands are also rising. Agricultural eco-tourism has become a new
way of entertainment. In this way people can appreciate the pastoral scenery to
enhance people’s awareness of environmental protection, and also increase farmers’
income and develop the rural economy.
1.3 Outlook of Ecological Agriculture Development in New

Era in China
1.3.1 Overall Principles
Modern ecological agriculture shall be guided by the scientific development per-

spective. To promote the coordinated development of agriculture from the per-
spective of sustainable development and the overall agricultural industry and
consumption, a modern industrial system of ecological agriculture need to be built
following the principles of “harmless, low emission, zero damage, high efficiency,
sustainable and beautiful environment”. In addition, it shall also save resources and
adopt cleaner production technologies during the process, to recycle the agricultural
wastes and promote clean consumption in rural areas; the focus shall be on saving
540 W. Wu et al.
and agricultural sector expanding; agricultural technical demonstration and orga-

nization shall be reformed. The ultimate goal is to establishing a modern ecological
industrial system.
The development of modern ecological agriculture needs the change of three
goals: First, the change from production function to taking into account ecological,
social development. Second, change from the use of resources by the one-way loop
to environmentally friendly utilization. Third, change from the extensive high
resources consumption to resources efficient technology system.
1.3.2 Main Activities of Modern Ecological Agriculture Construction
Ecological landscape construction in rural areas; Agricultural cycle system;

Relationships rebuilding of integrated innovation of agricultural diversity; Integration
and renovation of ecological agriculture bio-technology system; Organization and
support system construction for ecological agriculture.
1.3.3 Construction of Policy Support System for Modern Ecological

Agriculture Development
To Establish Typical Comprehensive Demonstration Area of Modern

Ecological Agriculture, the Technology and Compensation Policies
Implementation
Based on the planning of functional areas, according to the characteristics of the

regional ecological environment, fully coordinated ecology, life, the overall pattern
of the production function, national typical modern ecological agriculture demon-
stration area should be established at provincial level to provide financial, technical
and policy support and encouraged to explore successful experiences.
To Develop and Improve Relevant Laws and Regulations for Modern

Ecological Agriculture System
“Ecological Agriculture Law of the People’s Republic of China” needs to be set up

timely as the basic law in accordance with the development of ecological agri-
culture. Based on the short and long-term development goals defined in “National
Program for the Development of ecological agriculture”, the stage goals, tasks and
measures of ecological agriculture development shall be incorporated into the
five-year plan for national economic and social development to guide the practice
and implementation.
To Uniform Product Concepts and Standards, Improve the Modern

Ecological Agriculture Market Trading Platform and Regulatory System
The regulatory and supervision system should be complemented for green food,
organic products with multiple oversights of certification bodies, local authorities
and farmers themselves.
To Establish and Improve the Modern Ecological Agriculture Compensation

Mechanism and Policy Support System
For ecological agricultural products, organic agricultural production base and the
scaled husbandry, effective economic compensation should be given to farmers
during the transitional and stable production phase.
To Improve the Ecological Agriculture Model, Supporting Technology and

Personnel System
According to the type of ecological resources, different types of agricultural pro-

duction in the country training shall be held for the responsible persons of main
agricultural sector, pilot agricultural enterprises, professional big farmer, farmer
cooperatives and family farms at provincial, city and county level. From the per-
spective of the theory and practices, the core elements of management and action of
ecological agriculture need to be understood and management and technical per-
sonnel construction of ecological agriculture in China should be improved.
To Establish a Special Budget Fund for Modern Ecological Agricultural

Development
Special fund should be established for modern ecological agricultural demonstra-

tion area to ensure the national comprehensive demonstration of modern ecological
agriculture demonstration, exploration, summarization the successful experience for
the guidance of further full implementation. Based on the comprehensive explo-
ration of various national and provincial modern ecological agriculture demon-
stration area, special fund for modern ecological agricultural development budget
should be established and increased year by year, as the essential component of
state budget in particular green budget to ensure strategic transformation of modern
ecological agriculture.
542 W. Wu et al.
2 Theory and Application of Valley Economic

Development
Valley economy is a band new concept that is developed from the research of
agriculture, farmer, rural area, production, and ecology, which combines the eco-
logical economy and developmental characteristics of the mountainous areas,
hence, it becomes a new angle of view in the research of mountain development
(Zhang et al. 2009a, b).
As an important geographical type and the enforced ecological function of
mountains during the past decades, there is a growing interest in mountains from
both the overseas and domestic scholars. Up to now, a new research focus involved
in resources, eco-environment, land and enterprise development in mountains has
been formed (Li and Tian 2007; Duan et al. 2004; Balamirzoev et al. 2008; Corinne
et al. 2007; Sarah et al. 2005). Most previous researches have only focused on one
single factor, i.e. concept (He et al. 2010; Chen et al. 2010), characteristics (Li et al.
2011; Fan et al. 2009), development patterns (Shi et al. 2009), or spatial and
organized pattern of valley economy, while the interaction between the develop-
ment of valley economy and ecology was ignored. With spatial pattern as the
prominent character, the propose of valley economy was much facilitated to decide
the developmental trend of the mountainous area. Valley economy highlight the
importance of unification of ecological conservation and economic development,
which is proven to be very helpful for guiding the mountain development in a kind
of macro arrangement in space, meanwhile, it also follows the principle of com-
bining tightly with the micro examinations.
The spatially organizing process of valley economy is a process of optimizing
the spatial structure of the eco-environmental elements, production elements,
industries and villages within a specific area in the valley. According to the con-
ditions of resources and the changes in rural residential areas, the spatial organizing
process of valley economy can be divided into five developmental stages: (1) the
stage with separating spatial structures; (2) the stage for the first concentrating
spatial organization; (3) the stage of dispersing spatial organization; (4) the stage of
the second concentration of spatial organization; (5) the stage of balanced spatial
organization. We have built a multi-functionality evaluation index system and index
analysis model used 17 indexes by taking geographic characteristics, environmental
factors, resource endowment, and develop capacity into consideration from the
perspective of nature and humanity. Furthermore, to optimized future development
pattern of valleys’ economy, we first should clarify the role of mountain according
to development priority zones. Based on that, we suggest that development of deep
mountain area should pay more attention in ecology and water conservation, and
more front mountains could be an regions to nurture ecological industry and sub-
stitution industry, while piedmont should deal with the harmonious development of
urban and rural areas and promote their function as model of the new rural
construction (Fig. 1).
Fig. 1 Developing stages and spatial organizing process of valley economy
Further development of valley economy should take geographical conditions,

function of region system, economic development momentum, and development
stages into consideration to quantify the effects and disturbance of valley economy
on mountain systems and development. We have to break the administrative
boundaries and make greater effort to do the research of interaction among energy
flow, material flow, and human flow of valley system that include variety of pro-
vinces, counties, and towns to quantitatively depict the mutual promoting mecha-
nism between development of valley economy and ecosystem.
3 Ecotourism
3.1 Introduction
Due to rich resources, ecotourism experienced fasted development during past

20 years and contributed to sustainable tourism in China (Yang et al. 2010). It plays
an important role in improving the structure of the tourism products, strengthening
environmental education and tourism environmental protection, promoting
544 W. Wu et al.
construction of ecological civilization and energy saving in tourism industry and

increasing income of community residents (Zhong et al. 2006).
3.2 Ecotourism Development Model
Because of China’s booming development of ecotourism and the realistic

requirement of developing activities, Chinese scholars has being studying the
ecotourism development model (Pang et al. 2001; Cen 2003; Jiang 2004).
Especially, a lot of empirical researches were carried on how to develop ecotourism
in different types of destinations such as world heritage sites, man and biosphere
reserves, nature reserves, forest parks, scenic spots, geological parks, the scenic
spots of water, wetland parks and so on. Research contents meet the requirements of
ecotourism features and tourism industry system construction (including ecotourism
products, ecotourism scenic area, ecological catering, accommodation and eco-
tourism operators, etc.). These studies are of good guidance to promote ecotourism
concept and improve the level of the regional ecological tourism management.
3.3 Ecotourism Planning
Ecotourism planning is involved in a relationship between tourists’ activities andtheir

environment. For example, based on research results from United States, Canada and
other countries’ experts, Rollins (1992) believed the theory of “island”, “environ-
mental capacity” and “recreation ground level theory” is suitable for China’s national
conditions, applied to the natural reserve tourism development planning and man-
agement. It will help with solving the conflicts between human activities and nature
protection. Zhong et al. (2003) put forward the basic theories on ecotourism plan and
design including ecological ethics theory, sustainable development theory, ecological
economics theory, and landscape ecology. Yang et al. (2000) put forward an eco-
tourism development plan in protecting which was divided into 11 steps.
3.4 Ecotourism Management
Ecotourism management is a comprehensive system. Based on the analysis of the

differences and similarities of traditional tourism and ecological tourism manage-
ment, Yang et al. (2000) regarded ecotourism management includes ecotourism
industry management, community management and ecological environment. In
order to ensure that all the stakeholders would continue to benefit from the eco-
tourism activities’, Ceballos-Lascurain (1996) put forward to establish a strategy
system of tourism management in the protected areas.
3.5 Ecotourism Destination Certification
There are two main types on certification research in China. One is on the intro-
duction of foreign certification experience (Huang et al. 2009); and the other is about
the index system for evaluating ecotourism certification standards and models.
3.6 Ecotourism Impact
Ecotourism impact included social and cultural influence, economic effect and
ecological environmental impact, usually giving the priority to the impact on
destination, and with negative impact on research. Among them, introduction on
related studies from western countries was paid more attention on (Liu et al. 1996).
The quantitative research of tourism impact on the environment mainly focus on the
scenic spot monitoring and evaluation of environmental factors and for one or two
factors evaluation, but the comprehension is not enough (Jiang et al. 1996; Li et al.
1998; Ma et al. 2008). In addition, how to work out strategies for tourism envi-
ronment protection is concerned about by researchers and managers. In summary,
there are different ways to protect tourism environment. Of course it should be
applied to the different tourist areas based on their characteristics (Lin 1999).
3.7 Prospect
Ecotourism research has been 20 years or so in China. It was needed to strengthen

in the following aspects: (1) How to improve ecotourism residents’ life in less
developed areas and coordinate the relationship between ecotourism and the
development of regional economy are urgent needed; (2) Chinese scholars have
different understanding on the definition of ecotourism, the content of the essence,
core standards and other aspects, which results in inconvenience in researching the
theory and the practice of ecotourism; (3) Lack of depth on quantitative research
and operability on theoretical research results; (4) Research method is relatively
single; (5) Lack of research on community residents and tourists behavior.
4 Mariculture Ecology
4.1 Introduction
Mariculture has been growing rapidly in China since the 1980s. In 2010, China
produced approximately 16.4 million metric tons (MMT) of seafood from
546 W. Wu et al.
aquaculture, more than two thirds of global mariculture production (FAO 2012).
The dramatic increase was largely driven by rapid growing in shellfish and seaweed
culture in shallow coastal waters. The common cultured species include seaweed,
mollusks, shrimps, crabs, sea cucumber and fish. Farming operations take various
forms ranging from inshore raft or longline culture, sea ranching, to intertidal zone
cultivation and coastal ponds culture.
China is the largest producer of cultivated shellfish and seaweeds in the world
with an annual production of over 10 million tons. The amount of carbon
sequestered by harvesting shellfish and seaweeds is not trivial, estimated that
3.79 ± 0.37 and 1.20 ± 0.11 Mt C year−1. Cultivation of seaweeds and shellfish
therefore plays an important role in carbon coastal cycles and could improve the
capacity of carbon sequestration by coastal systems.
In the past decade, unprecedented activities such as petroleum processing
industry, navigation have substantially changed the environment of traditional
culture sites. Meanwhile, mariculture itself has been subject to some controversy in
terms of the environmental impacts. Abnormal mortality and intensive disease have
hampered the industry’s development and caused large economic losses. This was
partly attributed to inadequate management and planning such as overstocking.
Same as most farming practices, the degree of environmental impact depends on
hydrography of the culture site, stock density, carrying capacity, and husbandry
methods. Research on mariculure ecology has consequently gained increased
attention to provide guidance and operational protocols to insure the sustainable
development of marine aquaculture.
4.2 Advance in Mariculture Ecology
In recent years, the Chinese Government has paid much attention to investigate and
evaluate marine living resources and their inhabiting environment for a sustainable
development of mariculture and fisheries management. The project has been
focused on carrying capacity in aquaculture, stock enhancement, as well as
assessment of the impact of mariculture on coastal environments. Consequently,
different culture models have been developed and industrialized successfully along
the coast of China.
4.2.1 Inertial Mudflat Cultivation
At least 14 species of clams have been farmed in intertidal mudflat in China. The
Manila clam farming production was about 1.8 million tons annually, accounting
for about 80 % of mudflat fishery production in China and about 90 % the total
global production. A new three-phase culture method has been adopted by the clam
farming industry in northern China for mass production of the Manila clams. The
new method involves early spawning and over-wintering in indoor greenhouse,
optimized stocking size and density and substrate for mudflat grow out (Zhang and
Yan 2006).
Long term intensive farming could lead to deterioration of culture mudflat
environment. The mariculture industry is seeking a new efficient clean cultivation
technology for clam cultivation, along with an effort to reconstructing and restoring
degrading culture mudflat. Based on the on-bottom culture carrying capacity, a
numerical model is established to address the relationship of seeding size, stocking
density and clam production, which provide guidance and the needed information
for a more efficient ecological culture model (Zhang and Yan 2010).
4.2.2 Coastal Pond Culture
In recent decades, pond culture has been extended to the coastal waters of China,
using cages, nets and pens. Progress in shellfish pond aquaculture ecology has been
made in the physiological ecology, bait biology, ecological farming model, eco-
logical restoration, etc.
Physiological and energy metabolism of Meretrix meretrix, Cycnlia sninessi,
Tegillarca granosa and other major shellfish were in-depth studied, which laid the
foundation for the establishment of carbon income model, evaluation of shellfish
growth rates, and assessment of ecological efficiency of shellfish cultivation. The
effects of different microalgal diets for the growth of M. meretrix, C. sninessi, T.
granosa, and other shellfish juveniles were estimated (Tang et al. 2006). Oriented
cultivation of microalgae in ponds is under way.
Polyculture has been found to be an effective way to improve performance of
cultured animals in ponds. The following combinations of multispecies culture are
commonly adopted in the coastal area of southeast China: fish, shrimp and shellfish;
fish, shrimp, shellfish and seaweed; shellfish and seaweed, respectively. Studies
also suggested that co-cultivation of large seaweed will improve water quality and
even the health of cultured animal.
4.2.3 Inshore Culture
Culture systems from inshore areas have been well developed along the coastal
waters in China. The cage aquaculture sector has grown very rapidly and marine
fish cage farming has proven to be a productive subsector within mariculture
industry. Following this rapid development, marine fish cage culture has system-
atically been considered as a potential source of serious environmental impacts on
its surrounding aquatic environment, which may cause localized hyper-
eutrophication that could lead to eutrophication.
In order to reduce such effects, integrated multi-trophic aquaculture (IMTA),
where “extractive” and “fed” species are grown simultaneously, has been proposed
as a means of using the fed waste resource. A bioremediative approach, utilizing
lower trophic levels as nutrient recyclers, could reduce waste products and
548 W. Wu et al.
sedimentation, diversify products, and provide economic gains for growers.

Successful IMTA activities have been implemented in the Sungo Bay of Shandong
Province, east China. A series of sustainable culture models have been set up,
including polyculture of fish, shellfish, and seaweed. Other polyculture models
consisted of kelp with abalone, abalone with sea cucumber and kelp, respectively,
have also been performed in the bay (Zhang et al. 2009a, b). Based on the results
from assessment of carrying capacity, measures were proposed and practiced to
optimize culture densities in Sungo bay.
4.2.4 Sea Ranching
Many of the marine fisheries are no longer profitable due to over fishing and
degradation of ecosystem conditions. Hatcheries allow mass production of larvae
and juveniles for economically important species and facilitate the recovery of some
marine stocks. The Pacific Abalone, Japanese scallop, giant cockle, sea cucumber
and sea urchin have currently listed on commercial stock enhancement project in
China based on comprehensive ecological assessment for designated areas.
Hatchery-produced seeds are released to the bottom of various locations designated
for sea ranching area, where larvae and juveniles for commercially important
species will be naturally distributed and harvested. Preliminary results from this
relatively new practice were promising, which in turn gained more momentum in
this practice. Overall, a systematic and productive sea ranching project requires
further investigation of the potential of using hatchery-produced juveniles as a
means to enhance the yield of natural resources.
Marine culture in intertidal mudflats, seawater ponds, sheltered bays, and shallow
waters has been proved successful in both economic return and social development.
Due to improved understanding of ecological processes for mariculture practices and
culture techniques innovation, industrial organizations have moved from primarily
empirically oriented to more sophisticated ecological models. Integrated aquaculture
of multi-trophic levels will be eventually dominated in future mariculture.
Culture of finfish, shellfish and seaweeds in offshore waters is now technically
feasible, and has become one of the new frontiers for marine aquaculture. China is
working on offshore aquaculture technology and legal regimes. Moving to the
offshore areas would provide an avenue to overcome the conflict of interests for
marine spatial planning and to reduce environmental impacts. Currently, most of
the emphases are on offshore farming of finfish, high-value species, due to high
costs and risks of practicing in offshore waters.
In general, sea ranching is a good system to enhance or to re-establish a declined

population. There are likely numerous ecological factors involved in stock
recruitment and overall sea ranching. Recent field experiments suggested relatively
low recapture rate with large fluctuation. Therefore, there is still a long way to go.
5 Ecological Effects of the Commercial Cultivation

of Genetically Modified Crops
5.1 Introduction
Since the first planting of genetically modified (GM) crops in USA in 1996, the
globally commercial growing area of GM crops has been steadily increasing, and
the total area reached 170 million ha in 2012 (James 2012). To ensure the safe use
of GM crops, regulatory risk assessment is necessary prior to the use of any GM
crop variety. In this chapter, we summarize and analyze the current data regarding
the environmental risk assessment of GM crops in the hope of providing the sci-
entific basis for development, risk assessment and management of GM crops in
China.
5.2 Commercial Use of GM Crops and the Related

Ecological Risks
Although a large number of GM varieties with multiple traits have been developed
by genetic engineering, the primary currently grown GM crops express the traits of
herbicide tolerance (HT) or insect resistance (IR) or both (James 2012). Presently Bt
cotton and Bt maize are the only commercialized IRGE crops, while multiple types
of HTGM crops including cotton, maize, canola, soybean and sugar beet have been
widely grown in the world. Since the commercial use in 1997, Bt cotton has been
quickly adopted in China. And in 2012, Bt cotton was grown by 3.9 million ha,
occupying 80 % of the total cotton area (James 2012).
In spite of the great benefits with the use of GM crops (Brooks and Barfoot 2013),
the potential risks to the environment associated with the cultivation of GM crops
have to be critically assessed prior to commercialization (USEPA 2001; EFSA
2010). In summary, the major concerns regarding environmental risks of GM crop
include: (i) effects on non-target organisms (NTOs) and the biodiversity; (ii) gene
flow and the ecological consequence; (iii) GM crop-associated weediness and
invasiveness; and (iv) resistance evolution of target pests (Romeis et al. 2006, 2008;
Yu et al. 2011; Li et al. 2012, 2013; Chandler and Dunwell 2008; Liu et al. 2010).
550 W. Wu et al.
5.2.1 Effects on Non-target Organisms
Based on the principle that risk is a function of hazard and the likelihood that this
hazard will be realized, and by summarizing and analysing the previous data
regarding the assessment of non-target effects of GM crops, we elaborate the basic
rationale of the tiered approach that has been widely accepted for assessing the
potential effects of GM crops on NTOs (Romeis et al. 2006, 2008; Garcia-Alonso
et al. 2006). In addition, the potential effects of Bt maize and Bt cotton on non-target
arthropods are reviewed. A general conclusion has been drawn that the current used
Bt proteins are very specific to target pests, and have no direct toxicity on non-target
arthropods (Romeis et al. 2006, 2008; Yu et al. 2011; Li et al. 2013). Moreover, the
use of IRGM for pest control can apparently reduce the application of insecticides,
thus provides protections for natural enemies that further enhance the control
against insect pests (Lu et al. 2012).
5.2.2 Gene Flow and the Ecological Consequence
According to the prerequisite conditions and the principles for the occurrence of
pollen-mediated gene flow of plants, we here propose a general procedure for
assessing the gene flow between GM plants and their relative species (Li et al.
2012). In addition, the gene flow of GM canola and GM soybean as cases has been
discussed. It is concluded that gene flow between GM and non-GM plants or their
wild relatives is normal ecological phenomenon, and it is affected by multiple
environmental factors (Rong et al. 2010; Li et al. 2012). By taking appropriate
measures such as setting isolation belts between GM plants and non-GM plants or
their wild relatives or staggering their flowering periods, gene flow can be pre-
vented or significantly reduced (Li et al. 2012).
5.2.3 Effects on Biodiversity
With the introduction of GM crops, concern has been raised that genetic diversity
within crop species will decrease because breeding programs will concentrate on a
smaller number of high value cultivars. However, multiple studies suggest that the
introduction of GM cultivars in agriculture has not significantly affected the levels
of genetic diversity within crop species. Thus the development and introduction of
GM crop varieties does not represent any greater risk to crop genetic diversity than
the breeding programs associated with conventional agriculture (Ammann 2005;
Carpenter 2011).
The evaluation of the potential impact of GM crops on farm-scale and
landscape-scale diversity such as effects on soil organisms, arthropod and weed
communities suggests that the current grown GM crops have reduced the impacts of
agriculture on biodiversity, through enhanced adoption of conservation tillage
practices, reduction of insecticide use, and use of more environmentally benign
herbicides (Carpenter 2011; Bigler and Albajes 2011; Yu et al. 2011; Lu et al. 2010,
2012). Additionally increasing yields due to the use of GM crops also alleviate
pressure to convert additional land into agricultural use (Carpenter 2011).
5.2.4 Resistance Evolution of Target Pests
One of the significant challenges associated with the use of IRGM crops is the
potential for populations of target pests to develop resistance to these crops,
resulting in failure of this control method (Liu et al. 2010). However, So far only a
few field pest populations have developed resistance to Bt crops, such as the cotton
pink bollworm Pectinophora gassypiella (Liu et al. 2010; Wan et al. 2012). This
should be attributed to the successful deployment of refuge strategy. In China,
although the strategy of artificial refuge is not adopted, no field populations of
cotton bollworm have developed Bt resistance with more than 15 years of Bt cotton
planting. This is due to the fact that cotton bollworm has many non-Bt host crops
(e.g., maize, soybean, peanut and vegetables) that are planted around cotton fields
working as the natural refuge to produce the susceptible individuals of cotton
bollworm (Wu et al. 2002, 2004; Wu 2007). But natural refuge strategy does not
apply to cotton pink bollworm, which feeds almost entirely on cotton in China
(Wan et al. 2012).
GM crops have been widely grown in the world, and they have brought great benefits
to the farmers and the environment. With the further development of agricultural
biotechnology, they will play a larger role in improvement of agricultural produc-
tivity. However, to ensure the safe use of GM crops, regulatory risk assessments are
an important part of the introduction of such products. Presently China has estab-
lished a relatively well-developed regulatory system for risk assessment and man-
agement of GM plants that lays a firm basis for safe use of GM crops.
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Chapter 19
Eco-city Construction
Kongjian Yu, Linbo Zhang, Zhifeng Yanng, Xiangrong Wang

and Moucheng Liu
Abstract City is a kind of special artificial ecosystem that is created according to

the will of human. Urbanization in china have created unlimited opportunities for
the theoretical development and practice of urban ecology, Chinese scholars have
achieved important progress in the practice of urban ecological planning and
design, especially about ecological security pattern, “anti-planning” theory and
practice oriented to ecosystem service and based on ecological aesthetics. They are
not only widely used in the city construction in china, but get a high evaluation of
the international community. In recent decades, urbanization has become an irre-
versible and inevitable trend, however, the development of most city depend on
high resource consumption and the damage to environment, a series of ecological
problems such as declining in air quality, water environment pollution and dramatic
increase in the number of waste have been brought about. In the face of growing
ecological pressure, constructing eco-city has gradually become the consensus of
governments all over the world. Theory of ecological carrying capacity, ecological
function zoning, and construction of ecological civilization are the key theory in
urban ecological planning and practice in China. In the past twenty years’ theo-
retical research and practical exploration for eco-city construction, Chinese-featured
eco-city development pattern has been formed on the basis of fully absorbing
K. Yu
College of Architecture and Landscape Architecture, Peking University,
L. Zhang
Chinese Research Academy of Environmental Sciences, Beijing 100012, China
Z. Yanng
School of Environment, Beijing Normal University, Beijing 100875, China
X. Wang
Department of Environmental Science and Engineering, Fudan University,
Shanghai 200433, China
M. Liu (&)

DOI 10.1007/978-3-662-48376-3_19
556 K. Yu et al.
international experience and lessons of eco-city construction and combining with

their own practical situation, it played an important role in environmental protection
in the process of rapid urban development. But in practice, the related theory still
have some problems and insufficiencies, in future practice of eco-city construction,
the key theory and technology research need to be strengthened, the connotation of
urban ecological construction need to be further improved, so as to keep the vir-
tuous cycle of urban ecosystem, show the pattern of harmonious development of
urban construction, economic construction and environmental construction.

Keywords Eco-city Eco-county Ecological infrastructure Ecosystems services

Ecological security pattern Regional ecological baseline Urban ecosystem health
Regional ecological planning
1 Ecological Infrastructure for China Beautiful
The strategy of Ecological Infrastructure is to plan and develop land more effec-
tively with the goal of preserving valuable ecosystem services. In China, the
concept can be traced to the pre-scientific model of Feng-shui—the sacred land-
scape setting for human settlement. In the West, precedents include the nineteenth
century notion of greenways as urban recreational spaces, the early twentieth
century idea of greenbelts to limit sprawl, and the late twentieth century strategy of
connecting ecological networks to preserve biodiversity, all of which strove to
balance human habitation with natural processes (Yu 2010c; Yu et al. 2011b). From
broad-scaled ecological planning for all of China, to regional-scale planning of the
capital Beijing and various sized cities, to the fine-scale urban park, this article
summaries the researches and practices in using the powerful tool of Ecological
Infrastructure to safeguard nature’s processes and to recover ecologically degraded
environment and to make China beautiful, which the author and his colleagues have
done in the past 15 years (Saunders 2012).
1.1 The Integrated Solution Across Scales: Ecological

Infrastructure for Ecosystems Services
China are now facing many ecological challenges: Floods, storm-water inundation
in urban areas, draught and ground water drop at vast scale, water and soil pollu-
tion, native habitat and biodiversity loss, to name just a few. The conventional
single-minded engineering solutions, such as building flood control dams and
dykes, storm-water pipes and pumps, expensive sewage plants implemented as
quick solutions, but usually cause more complicated problems and are not sus-
tainable. Designing and building Ecological Infrastructure that solve the
19 Eco-city Construction 557
complicated problems in an integral way, and by the force of nature, becomes the
practical and wise solution. Here, Ecological Infrastructure is defined as “the
structural landscape network that is composed of the critical landscape elements and
spatial patterns that are of strategic significance in preserving the integrity of the
landscape and securing sustainable ecosystem services.” (Yu 2011c, 2013a, b; Yu
et al. 2011b).
The cognition of landscape in terms of structural frameworks has deep roots,
both in China and the West. Among the pre-scientific models is the ancient Chinese
art of geomancy, or Feng-shui, which always gave priority to the natural patterns
and processes of Qi (or breath) (Lip 1979; Skinner 1982; Yu 1994).Orderly from
large to small, the entire national landscape, including mountains and water courses,
is considered as an interconnected dragon vein and a network of Qi movement, a
sacred landscape infrastructure that any human actions have to come to terms with
(Yu 1994).This model has been applied to the establishment and construction of
villages and cities, roads, bridges, and even tombs, all of which are understood as
connected in hierarchical patterns. From the model of Feng-shui or Geomancy,
there are three points to be learned:
(I) the protection of landscapes of a minimum critical size that are strategic for
multiple processes;
(II) the integration of natural, biological and cultural processes;
(III) the understanding of landscape in terms of hierarchical form and across
scales.
Ecological Infrastructure, as a contemporary concept and methodology, is an
important tool for moving built landscapes, metropolitan regions, and cities towards
more sustainable conditions. But what makes the concept of Ecological Infrastructure
such a powerful tool today is its marriage with the understanding of Ecosystem
Services. Four categories of services have been identified: provisioning, related to
production of food, water, and energy; regulating, related to the control of climate and
disease and the mediation of flood and drought (i.e., the purification of water, carbon
sequestration and climate regulation, waste decomposition and detoxification, crop
pollination, pest and disease control); supporting, related to nutrient dispersal and
cycling, seed dispersal, and habitat for wild plant and animal species; and cultural:
intellectual and spiritual inspiration, recreational experiences, ecotourism and scientific
discovery (Constanza and Daily 1992; Constanza et al. 1997; Daily 1997; MEA 2005).
With respect to ecosystem services, Ecological Infrastructure can be understood
as the necessary assets of sustainable landscapes or ecosystems in which the output
of the goods and services is maintained, and the capacity of those systems to deliver
same goods and services for future generations is not undermined. The many
traditions of landscape ecology and more contemporary ideas about landscape as
infrastructure finally come together the understanding of natural capital and
ecosystem services, and merge into the concept of Ecological Infrastructure.
Although largely based in natural systems, other landscape elements such as cul-
tural heritage corridors can also be integrated into plans for ecological infrastructure
(Yu 2011c, 2013a, b; Yu et al. 2011b).
558 K. Yu et al.
1.2 Defining Ecological Infrastructure Through Landscape

Security Patterns
Here, ecological infrastructure is defined as the structural landscape network in

which essential landscape elements are configured hierarchically. Both existing and
potential spatial patterns are of strategic significance in preserving natural, bio-
logical and cultural processes, which in turn are critical in securing the integrity and
identity of the natural and cultural landscapes, as well as in securing the natural
capital that supports sustainable ecosystem services.
It is important to note that ecological infrastructure is process-oriented, not just a
visible spatial pattern. With respect to the identification and planning of ecological
infrastructure, a processes-oriented model of spatial analysis, what I term a security
pattern approach, are proven to be useful (Yu 1995, 1996). Landscape, particularly
ecological security patterns are composed of strategic geographic elements and
spatial patterns that are critically important in safeguarding and controlling eco-
logical processes and landscape change. Security patterns can be identified
according to the properties on a general surface model of flows and processes.
Potential surfaces are developed using landscape resistance to represent the
dynamics of horizontal ecological processes (e.g. species movement, the spread of
urban development, and water flow).
Four strategic landscape components are commonly identified on the potential
surfaces: buffer zones, inter-source linkages, radiating routes, and strategic points.
These components, specified by certain quantitative and qualitative parameters,
together with the identified sources (e.g. native habitats), compose the landscape
and ecological security patterns and can be maintained at various security levels
depending on their critical significance. These security patterns can be integrated
into an overall ecological infrastructure, and can be used by defenders of ecological
processes as defensive frontiers and strategies of spatial bartering in landscape
changes.
With these objectives in mind, the planning of Ecological Infrastructure is
composed of the following steps (Fig. 1):
(I) Process Analysis
Processes associated with critical ecosystem functions or services are tar-
geted to be safeguarded by ecological infrastructure, so systematic analysis is
carried out using Geographical Information Systems (GIS), an efficient tool
to simulate natural and cultural processes across the landscape. These pro-
cesses include:
• Abiotic processes, associated with the regulation and life supporting
services of ecosystems;
• Biotic processes: associated with providing habitat for wild plant and ani-
mal species, safeguarding native species and biodiversity conservation;
• Cultural processes associated with information functions including visual
perception, heritage protection, and recreational activities.
Fig. 1 Identify ecological security pattern of bio-diversity
(II) Defining Ecological Security Patterns

Ecological Security Patterns are identified for the individual targeted pro-
cesses. Models including suitability analysis, minimum cost distance and
surface analysis are used in the identification of Security Patterns for the
individual processes (Yu 1995, 1996). Alternative security levels—low,
medium and high—are used to define the attributes of the security patterns in
safeguarding each of the targeted processes.
(III) Defining Ecological Infrastructure Across Scales: XL–L–M–S
An overlay technique is used to integrate the security patterns for individual
processes. Alternatives are developed at various quality levels: high, medium
and low. Green lines are drawn to define and protect the ecological
infrastructure.
The ecological infrastructure is planned across scales:
• National scale (X-large): The overall ecologically-protected land.
• The regional scale (hundreds to thousands of square kilometers) (large): At the
regional scale, green lines are drawn to define the structural elements as corri-
dors and restricted areas for construction.
• The intermediate scale [tens of square kilometers (medium)]: At this scale, the
overall design and management guidelines are developed for ecological infras-
tructure, and especially for the green corridors that work as critical elements in
water management, biodiversity conservation, heritage protection, and recreation.
• The small scale (less than ten square kilometers) (small): At a specific site, a
green network is designed to allow ecosystem services to be delivered into the
urban fabric and serve humanity.
560 K. Yu et al.
1.3 Ecological Infrastructure Across Scales
1.3.1 Ecological Infrastructure at the X-Large Scale: The Chinese

National Ecological Security Pattern
Sustainable development is crucial for China today and for the future. The popu-
lation of China has grown from 541.67 million in 1949 to 1.34 billion in 2008,
making it one of the most densely populated countries in the world. By 2050, the
total population is expected to reach 1.41 billion and 70 % will reside in urban areas
(UNFPA, State of world population 2008). Given this magnitude of development,
the environment will continue to be under relentless pressure. So, ecological
security in China has become a key area of scientific research for a strategy of
sustainable development.
In Spring, 2007, at the request of Premier Wenjia Bao (in response to a letter
from the author) and the National Bureau (now Ministry) of Environmental
Protection, Peking University initiated a pilot project that aims at establishing an
ecological security pattern at the national scale to protect the most sensitive eco-
logical landscapes and to guide wise conservation and development. Critical natural
processes were analyzed systematically at the national scale, including headwater
conservation, prevention of soil erosion, stormwater management and flood control,
combating desertification, and promoting biodiversity conservation. Individual
security patterns for safeguarding each of these natural processes were identified
and then integrated into an overall ecological security pattern. Three levels of
National Ecological Security Pattern were defined, the lower security level, the
moderate security level, and the higher security level, which encompass 35.7, 65.1
and 84.9 % of the national land respectively. This study is expected to provide a
scientific basis for on-going national function zoning, incorporating ecological
security patterns into land use planning at the national scale. An alternative
urbanization pattern at national scale is also proposed based on the national eco-
logical infrastructure: the foothill strategy (Yu et al. 2009, 2012; Saunders 2012;
Yu 2012) (Fig. 2).
1.3.2 Ecological Infrastructure at the Large Scale: Defining

the Regional Ecological Baseline of Urban Development Plan
for Beijing
Strategic landscape elements and patterns for stormwater management and flood
control, biodiversity conservation, cultural heritage protection, and recreational use
are integrated using GIS models into a comprehensive ecological infrastructure,
which is then used to determine future urban growth patterns. This project
demonstrates how landscape planning can play a leading role in urban development
through applying ecological infrastructure as a tool for smart growth and conser-
vation (Yu et al. 2011b).
Fig. 2 The framework for identification of national ecological security pattern and ecological
infrastructure (Source Peking University Graduate School of Landscape Architecture)
Beijing, the capital of China, is situated in the North China Plain, with a total
area of 16,410 km2. Due to rapid urbanization during the last 30 years, its popu-
lation has doubled from 8.7 million in 1978 to about 17 million in 2009, and its
built-up area has expanded-fold and is still growing. The notorious “scrambled egg”
pattern of Beijing today is the evidence of the speed and magnitude of urban sprawl
and the failure of conventional planning, which tries to control urban growth using
arbitrarily-located green belts. As payment for the uncontrolled spread of the
growing city, local and regional natural systems and cultural heritage have all been
damaged significantly. The city is now facing multiple challenges, including water
shortages; increased vulnerability to geological disasters; habitat and biodiversity
loss; diminished integrity and authenticity of cultural landscapes; decreased access
to landscape for recreational uses; and dramatic loss of agricultural land and soil
fertility.
Although greenbelts and green wedges have been planned to stop urban sprawl
and maintain good landscape structure, they have largely failed. Greenbelts encir-
cling Beijing city were planned artificially and lack an intrinsic relationship with
topography and ecological systems. They also lack integration with ecosystem
services, and are vulnerable to land use change—they have already been frag-
mented by large settlement areas. New and more effective tools have to be
developed to address a wiser and sustainable development of the limited land.
Using minimum space, an ecological infrastructure for Beijing would safeguard
critical ecosystem services. It would retain stormwater as much as possible to
recharge the aquifer, while protecting the city from the threat of floods; minimize
the risk of geological disasters; protect critical native habitats, and build an effective
biological framework to maximally safeguard biodiversity; protect and regain the
562 K. Yu et al.
integrity and authenticity of cultural landscapes; increase the accessibility of the

landscape for recreational uses; and maximally protect fertile land from being
swallowed by urban development while not impeding urban growth. The overall
objective is smart protection with smart growth (Fig. 3).
Landscape Security Patterns that safeguard individual processes are integrated
into the overall comprehensive Ecological Infrastructure. Using an overlay tech-
nique to integrate the security patterns for individual processes, alternatives of
regional ecological infrastructure are developed at three quality levels (Fig. 4):
Fig. 3 The framework of EI approach to urban growth planning of Beijing

Fig. 4 Beijing regional ecological infrastructure: the integrated ecological security patterns for
various processes (Source Peking University Graduate School of Landscape Architecture)
(I) ecological infrastructure at low (minimum) quality: 47 % of the total land,

including 24 % of the most fertile land, is protected. The integrity of the
critical ecological processes will be protected at a minimum level, providing
basic ecosystems services. The regional environment will be stable for the
time being.
(II) ecological infrastructure at medium (satisfactory) quality. 70 % of the total
land, including 45 % of the most fertile land, is protected. The integrity of the
critical ecological processes will be protected at a satisfactory level, pro-
viding adequate and sustainable ecosystem services. The regional environ-
ment will be regenerated gradually.
(III) ecological infrastructure at high (ideal) quality. 85 % of the total land,
including 100 % of the most fertile land, is protected; the latter for organic
agriculture. The integrity of critical ecological processes will be protected at
an ideal level, providing the best possible ecosystem services. The regional
environment will be regenerated dramatically.
Detailed guidelines have been developed for the protection and management of
ecological infrastructure components at various scales. Using the three alternative
quality levels as a guide, multiple scenarios of regional urban growth patterns were
simulated using GIS:
564 K. Yu et al.
Scenario-1, The “scrambled egg”: urban growth without ecological infrastructure;

Scenario-2, green infrastructure within the city: urban growth based on minimum
ecological infrastructure;
Scenario-3, city on green infrastructure: urban growth based on satisfactory eco-
logical infrastructure;
Scenario-4, urban garden: urban growth based on ideal ecological infrastructure.
Comparative evaluations are made for all four urban growth scenarios based on
their impacts on ecological, cultural, and economic processes, and their capacity to
address the national and regional challenges identified at the introduction of this
essay. Scenario-3, city as green infrastructure, might best fulfill the goals of both
conservation and development, and meet the requirement of all competing land use
requirements. This is a smarter scenario, in which the limited land can be used more
efficiently, through a better configuration, for both conservation and urban devel-
opment (Yu et al. 2011a) (Figs. 5 and 6).
Fig. 5 Beijing urban growth scenarios based on ecological infrastructure at medium security level:
city on green infrastructure (Source Peking University Graduate School of Landscape Architecture)
Fig. 6 The Foothill strategy for Beijing’s urbanization based on ecological Infrastructure
1.3.3 Ecological Infrastructure at Medium Scale: Eco-city Design

Based on Ecological Infrastructure
Alternative Urbanism Based on Ecological Infrastructure
Cities are by far the largest and most complicated artificial devises that human
beings have constructed, and they are considered by many to be the very testament
of human civilization. From the origin of the city to its “modernized” form today,
natural forces and patterns have become increasingly controlled and dependent on
artificial processes. The quality of urbanity thus becomes measured by how quickly
rain-water drains off our streets, how stable temperature and humidity are main-
tained in our rooms (or even in open spaces), how garden trees and shrubs are
grown for ornamental purposes rather than for their productivity. Over time, we
have drifted away from nature and become disconnected with our roots as farmers
and herdsmen. This standard of civilization is built upon heavily engineered gray
infrastructure. It comprises of complicated transportation systems designed for
vehicles to deliver goods and services; huge pipe networks laid underground to
drain excess stormwater; rivers reinforced with concrete walls to control floods;
large sewage plants built to treat waste water; power lines to convey energy nec-
essary to run all the machines and devices, etc. Built upon this gray infrastructure,
are showy buildings with deformed heads and twisted bodies that that deviate from
what natural forces allow.
566 K. Yu et al.
Such model of urbanity, has unfortunately been adopted by developing countries

in general and the Chinese cities in particular today. Here, landscape is largely
limited to tamed gardens and parks where lawns and flowers are irrigated with tap
water and stormwater is drained by underground pipes. Here, landscape is just like
other components of an artificial city, it is a sink of energy and services, rather than
a source. Landscape as a natural ecosystem in and around cities are largely
neglected, natural processes (are) disintegrated and contaminated, and natural
patterns are fragmented. The landscape therefore completely loses its capacity in
providing what would have been free goods and services for the urban
communities.
What would an alternative city look like if its natural forces are respectfully used
and not controlled? Vegetables and food would be produced on the streets or in
parks, floods would come and go to the benefits of the city, waste would be
absorbed and cleansed by the natural processes, birds and native species would
cohabit the city with human beings, and the beauty of nature would be appreciated
in its authenticity, not tamed nor heavily maintained. This alternative practice has
many names and is known as agricultural urbanism, landscape urbanism, water
urbanism, new urbanism, sustainable urbanism, green urbanism, and certainly
ecological urbanism. The key here is that these alternative solutions do not rely on
gray infrastructure, but instead, utilize green or ecological infrastructure to deliver
the goods and services the city and its urban residents need. (Yu 2010a).
Designing Wulijie Eco-city Based on Ecological Infrastructure
This project searches for an alternative urbanism, ecologically sound, and culturally
sensitive, based on the essential needs of human beings. The key of this approach to
urbanism is the planning and design of ecological infrastructure that provides key
services for the city, including stormwater management, food production, habitats
for biodiversity, cultural and spiritual experiences, and mobility across the
landscape.
Wulijie new town is 10 km2 (6.2 square miles) in the eastern part of Wuhan
about 30 km (19 miles) from the city center. Just to its west is a large high tech area
called Optics Valley, and at its south and east is the protected, high-water-quality
Liang Zhi Hu Lake, to which the water from the Wulijie is drained. The climate is
hot and rainy in the summer and cold in the winter. Precipitation is around
1200 mm (47 inches) per year; the average high temperature in the summer is 38 °C
(100 °F), and the average low temperature in the winter is just above freezing. The
elevations are between 15 and 100 m, with a landform of rolling hills, small basins,
and many ponds of different sizes that catch stormwater. Helping alleviate both
floods and draughts, the ponds are important features in this previously agricultural
land.
Wulijie is planned to be one of many new towns in China to accommodate rapid
urbanization. It will have 100,000 residents, of which 10 % will be current locals
and 90 % immigrants who will work in Optics Valley and the new town.
The main urban design concept for the town is to use landscape as ecological
infrastructure to integrate various natural and cultural processes to frame the city,
and to provide diverse ecosystem services for the residents. Integration and con-
nectivity of natural, biological, and cultural processes are central to the project
(Figs. 7, 8 and 9 ).
Here are the urban design strategies for the town:
(I) A water-based ecological infrastructure (EI) will organize the town. The EI is
designed around the existing water systems and land forms. The key functions
Fig. 7 The concept model of eco-city based on ecological infrastructure that is based on the
existing stormwater retention pond (Source Turenscape)
568 K. Yu et al.
Fig. 8 The existing water

system as adaptive solution to
stormwater (Source
Turenscape)
are to retain and clean stormwater. Different rainfall amounts are simulated to
determine the area and pattern of the pond/wetland system so that all
stormwater will be retained on site and will have little impact on the regional
water system. This will reduce the construction costs of underground drainage
pipes and preserve or create habitat for native wildlife and wetland vegetation
such as lotus, wild rice stem, water chestnut, water caltrop, and Chinese
arrowhead. Public spaces are integrated with the EI. Three levels of green and
water corridors are designed to accommodate various functions. The main
corridors are 120–150 m wide and will catch runoff from the whole area during
the severest storms. Secondary corridors are 60–90 m wide, and these will catch
runoff from the subdivisions of the watershed during medium rainstorms. The
third level corridors are 20–30 m wide and will catch the water of small storms.
(II) A network of pedestrian trails and bicycle paths will make the town com-
pletely walkable and allow residents to commute and have recreational
experiences in the green space. While the regional mobility of the city is still
serviced by a transit system and roads, the town will use the EI help people
move around. The maximum walking distance from any corner of the town
to a bus station will be 600 m, and all residents will be able to reach the green
network within 5 min.
(III) Urban land is valued according to its relationship with EI. The land over-
looking the ecological infrastructure will be given priority for residential
development. The overall city form is defined by the EI.
(IV) The eco-friendly, environmentally sensitive, and low carbon landscape and
architecture create a new aesthetic environment and a new lifestyle. Native
biodiversity, low maintenance, and productivity are the main traits of the
vegetation in the green space around the EI. Buildings have roof gardens and
Fig. 9 The master plan of the Wulijie eco-city based on ecological infrastructure (Source
Turenscape)
living green facades. Retired people can spend their time fishing in the ponds
in front of their apartments or the streets; workers go along the EI to their
workplaces; and children play in the productive agricultural fields where
parents are growing vegetables in community gardens.
The construction of this ecological city is underway, and the executed first phase
of this eco-city has proven to be successful in terms of its ecological and liveability
quality.
570 K. Yu et al.
1.3.4 Designed Ecologies: Four Experiments
Ecological Solution to Cleanse Contaminated Water: Landscape as a Living

System and Shanghai Houtan Park
Water pollution and shortages pose bigger threats to humankind than do future oil
shortages. More than 30 years of rapid urbanization and uninformed hydrological
engineering for flood control in China have severely damaged China’s water sys-
tem. Some 75 % of surface water (lakes, streams, rivers, etc.) in China is polluted,
up to 60 % of the ground water in metropolitan areas is polluted, and half of
China’s coastal wetlands have disappeared in the last 50 years. Some of the largest
lakes in China (including Taihu, Dianchi, and Caohu) are heavily polluted. All the
major rivers in China—the Yangtze, Yellow, Heilong, Pearl, and more—are
equally polluted. The author proposes an ecological approach to address
surface-water pollution in continuous and complete “natural” systems allowing
integration with plant life and free flows between water bodies.
Houtan Park, in China’s Shanghai City, became an experimental showcase of
regenerative design in the middle of a densely populated urban setting. Created in
conjunction with the 2010 Shanghai Expo, the park integrated site topography,
flood control, and native habitat to rejuvenate ecosystem services. It reactivated
valuable open space and rebuilt biodiversity while managing stormwater, cleaning
contaminated river water and soil, and educating the community about the beauty of
diverse native landscapes (Yu 2011a).
The 14-ha (34.6 acre) site is located on the southern boundary of the Expo
grounds, locked between the east bank of the Huangpu River and Puming Road, a
main city thoroughfare. Currently, the Huangpu River water is designated as Lower
Grade V, the poorest quality on a scale of I–V. Water from the Huangpu River is
diverted to the constructed wetland where it is biologically treated to an improved
Grade III designation via a series of wetland cells that facilitate settling, aeration,
and vegetative and microbial processes. The treated river water can then be used
safely for landscape irrigation and other non-potable uses in adjacent parks.
Full-scale pilot-testing results indicated that the Houtan Park treatment wetland has
the ability to treat over 2400 m3 of water per day.
In addition to its performance as a water-cleansing infrastructure, the park has
proven to be a great success in other ecological aspects, and one unusual aspect of
this success is that the park has become a refuge for diverse native species. Just one
year after completion, some 20 species of birds have found a home in this small
park. In addition to the designed plantings, many species have immigrated from the
adjacent remnant riparian patch and taken root along the river corridor. It is
important to note that the protection of this habitat immediately adjacent the park
played an important role as one of the key sources of biodiversity, and the Huangpu
River has actually played a role as a species-transporting and migratory corridor.
Although it is but a node and a small-scale place, Houtan Park acts as part of
landscape infrastructure at the regional and even national scale (Figs. 10 and 11).
Fig. 10 Shanghai Houtan Park: landscape as a living system that cleanse the contaminated river
water and provide multiple ecosystem services (Source Turenscape)
Ecological Solution to Storm-Water Management: A Green Sponge for

Water-Resilient City and Qunli Storm-Water Park
Contemporary cities are not resilient when faced with inundations of surface water.
Landscape architecture can play a key role in addressing this problem. This project
demonstrates a Stormwater park that acts as a green sponge, cleansing, and storing
urban stormwater and can be integrated with other ecosystem services including the
protection of native habitats, aquifer recharge, recreational use, and aesthetic
experience, in all these ways fostering urban development (Yu 2011b).
(I) Challenges of Storm-Water and the Ecological Solution
Beginning in 2006, a 2733 ha new urban district, Qunli New Town, was
planned for the eastern outskirts of Haerbin in northern China. Thirty-two
million square meters of building floor area will be constructed in the next
13–15 years. More than one-third of a million people are expected to live
572 K. Yu et al.
Fig. 11 The designed ecologies: the intensified constructed wetland that clean water and support
wild life and sits in the middle of the metropolitan area (Photo Yu)
there. While about 16 % of the developable land was zoned as permeable

green space, the majority of the former flat plain will be covered with
impermeable concrete. The annual rainfall there is 567 mm, with the months
of June, July, and August accounting for 60–70 % of annual precipitation.
Floods and water logging have occurred frequently in the past, while at the
same time the ground water table continues to drop due to its overuse.
In mid-2009, the landscape architect was commissioned to design a park of
34 ha right in the middle of this new town, which is listed as a protected
regional wetland. The site is surrounded on four sides by roads and dense
development. This wetland had thereby been severed from its water sources
and was under threat. The original task given by the client was to preserve this
wetland. Going beyond the original task of preserving the wetland, the
landscape architect proposed to transform the area into an urban storm-water
park that will provide multiple ecosystems services, and will collect, cleanse,
and store stormwater and infiltrate it into the aquifer, protect, and recover the
native habitats, proved a public space for recreational use and aesthetics
experience, as well as foster urban development.
The challenges are obvious: How can a disappearing wetland be preserved in
the middle of the city when its ecological and biological processes have been
cut off by the urban context? How such an urban wetland ecosystem can be
designed to provide multiple ecosystems for the city? And what is the eco-
nomic way to deal with such a big landscape?
(II) The Ecological Solutions

Several design strategies and elements were employed (Figs. 12 and 13):
(a) The central part of the existing wetland is left along to allow the natural
habitats to continue to evolve.
(b) Cut-and-fill strategy to create an outer ring of mounds and ponds. The
cut-and-fill around the perimeter is a minimum earthwork strategy to
transform the site. Earth is excavated and used to build up a necklace of
ponds and mounds around the perimeter of the park. This ring acts as a
stormwater filtrating and cleansing buffer zone for the core wetland, and a
transition between nature and city. Stormwater from the newly built urban
area is collected around the perimeter of the wetland and then released
evenly into the wetland after having being filtered through the ponds.
Native wetland grasses and meadows are grown on ponds of various
depths, and natural processes are initiated. Groves of native silver Birch
trees (Betula pendula) grow on mounds of various heights and create dense
woodland. A network of paths links the ring of ponds and mounds,
allowing visitors to have a walking-through-forest experience. Platforms
and seats are put near the ponds to enable people to have close contact with
nature.
(c) The network of paths and platforms: A network of paths links the ring of
ponds and mounds, allowing visitors to have a walking-through-forest
experience. Platforms and seats are put near the ponds to enable people to
have close contact with nature. A skywalk links the scattered mounds
allowing residents to have an above-the-wetland and in-the-canopy
Fig. 12 Qunli Storm-water Park: the design concept and site plan (Source Turenscape)
574 K. Yu et al.
Fig. 13 Qunli Storm-water Park: cut-and-fill to create an outer ring of mounds and ponds acting
as a stormwater filtrating and cleansing buffer zone for the core wetland, and a transition between
nature and city (Photo Yu)
experience. Platforms, five pavilions (Bamboo, Wood, Brick, Stone, and

Metal), and two viewing towers (one made of steel and located at the east
corner, the other one made of wood and looking like a tree at the
north-west corner), are set on the mounds and connected by the skywalk,
allowing visitors to have views into the distance and observation of nature
in the center of the park.
The completely transformed site performs many functions, including collecting,
cleansing, and storing storm-water, and recharging underground aquifers. The
pre-existing wetland habitat has been restored and native biodiversity preserved.
Potentially flooding stormwater now contributes to an environmental amenity in the
city. The stormwater park has not only become a popular urban amenity but has
also been upgraded to a National Urban Wetland Park because of its improvement
to ecological and biological conditions.
Ecological Solution to the Recovery of a Degrade Land: Adaptation Pallets

and Tianjin Qiaoyuan Park
Through Regenerative Design and by changing the landform, the natural process of
plant adaptation, and community evolution is introduced to transform a former
deserted shooting range used as a garbage dump, into a low maintenance urban
park; providing diverse nature’s services for the city including containing and
purifying stormwater; improving the saline-alkali soil, providing opportunities for
environmental education and creating a cherished aesthetic experience (Yu 2010b).
(I) Challenges of Degraded Land
This is a park of 22 ha in the northern coastal city of Tianjin, China. Rapid
urbanization had changed a peripheral shooting range into a garbage dump and
drainage sink for urban stormwater; the site was heavy polluted, littered,
deserted, and surrounded with slums and temporary rickety structures, which
had been torn down before the design was commissioned. The soil is quite
saline and alkaline. Densely populated at the south and east boundaries, the
site is bounded on the west and north sides by a highway and an overpass.
In early 2006, in response to residents’ call for environmental improvement of
the site, the municipal government of Tianjin contracted the landscape
architect with the difficult task of an immediate transformation of this
degraded site.
The overall design goal for this project is to create a park that can provide a
diversity of nature’s services for the city and the surrounding urban residents,
including: containing and purifying urban stormwater; improving the
saline-alkali soil through natural processes; recovering the regional landscape
with low maintenance native vegetation; providing opportunities for envi-
ronmental education about native landscapes and natural systems, stormwater
management, soil improvement, and landscape sustainability; creating a
cherished aesthetic experience.
The regional landscape is flat and was once rich in wetlands and salt marshes,
which had been mostly destroyed by decades of urban development and
infrastructure construction. Though it is difficult to grow trees in the
saline-alkali soil, the ground cover, and wetland vegetation are rich and vary in
response to subtle changes in the water table and PH values.
(II) Ecological Sotuions
Inspired by the adaptive vegetation communities that dotted the landscape in
this region, the solution for this park was developed called The Adaptation
Palettes, which was designed to let the nature work. A simple landscape
Regenerative design strategy was devised, one that included digging 21 pond
cavities varying from 10 to 40 m in diameter, and from 1 to 5 m in depth. The
garbage was handled in the earth work. Some cavities are below ground level
and some above on mounds (Figs. 14 and 15).
Through the raining season and due to the shallow underground water, some
cavities turn into water ponds, some into wetlands, some into seasonal pool,
and some stay as dry cavities. Through seasons’ rain wash and filtration, the
saline-alkali soil of the dry cavities get improved, while nutrients deposit in the
deeper ponds that catch stormwater runoff.
Diverse habitats were created and the natural process of plant adaptation and
community evolution were initiated. Seeds of mixed plant species were sowed
initially to start the vegetation, and other native species were allowed to grow
576 K. Yu et al.
Fig. 14 The adaptation pallets: the site plan for Tianjin Qiaoyuan Park (Source Turenscape)
wherever suitable. Through the seasons’ evolution, patches of unique vege-

tation establish in correspondence to the individual wet or dry cavities, and
various PH values. The allotment landscape reflects the regional water- and
alkaline-sensitive vegetation.
Within some of the cavities are wood platforms that allow visitors to sit right
in the middle of the vegetation patches. A network of red-colored asphalt was
designed to weave through the palettes and allow visitors to stroll through the
Fig. 15 Before: the degrade urban environment (Photo Yu)
patchy landscape. Along the paths is an environmental interpretation system

that gives descriptions of natural patterns, processes, and native species.
The park achieved its goals in just 2 years. Stormwater is retained in the water
cavities, allowing diverse water-sensitive communities to evolve. Seasonal
changes in plant species occur and integrate with the beauty of the “messy”
native landscape, attracting thousands of visitors every day. In the first 2
months of its opening, from the October to November of 2008, about 200,000
people visited the park. It is a successful park which changes its landscape
throughout the year period, constantly visited by the community, needs very
little maintenance.
This project helps to define the new aesthetics of landscape today, defined by a
continuous evolving process. Untidy forms, unplanned biodiversity and nat-
ure’s “messiness” keep ongoing, letting plants live and expose their genuine
beauty to enrich the landscape. The ecology-driven Adaptation Palettes has
become a valuable and remarkable site of the community of Tianjin (Fig. 16).
An Integral Ecological Approach to Recover a Destroyed Mother River: An

Urban Ecological Infrastructure and Sanlihe Greenway
The Qian’an Sanlihe Greenway is transformed from former garbage dump and
sewage drainage. It stands as an example of how a neglected landscape can be
578 K. Yu et al.
Fig. 16 After: the ecologically recovered Tianjin Qiaoyuan Park (Photo Yu)
recovered as an ecological infrastructure and everyday landscape with restored

ecosystem capacity in providing multiple services, including mediating flood and
draught, providing habitats for native biodiversity, integrating pedestrian and
bicycle paths for commuting and recreational uses, creating spiritual and aesthetic
benefits, and catalyzing urban development (Saunders 2012; Yu 2013a, b).
(I) Challenges of A Destroyed Urban River
The greenway stretches 13.4 km in length and varies 100–300 m in width
across the city of Qian’an. It covers approximately 135 ha and benefits a
population of approximately 700,000. Qian’an City is located at the south foot
of the Yanshan Mountain, at the bank of Luan River, in the northeast of Hebei
Province. Although the main city lies near the Luan River to the west, one
cannot see the water since Qian’an’s topography is situated below the riverbed
with its high embankment blocking the river view. The river is notorious for
its unpredictable flooding, and has thus been kept outside of the city for
decades through this high embankment. Meanwhile, as the life source of
Qian’an, Sanlihe River has shouldered the long history of the city and carried
the collective memory of the inhabitants. Before 1973, the Sanlihe River had
crystal clear water from the groundwater recharge of Luan River, which
ensured that the temperature of the city stayed cool in summer and warm
enough to never ice up in winter. Although frequented by storms and heavy
rain, Sanlihe River never experienced disasters of drought and flood in its
history, which also provides rich water resources for nearby industries and
agriculture, as legendary records witness: “reeds flourish, trees shade, and

birds inhabit”.
However, since the 1970s, the river has been badly polluted by sewage and
waste which has resulted from the territory’s continuous industrial develop-
ment and urban population growth. As a consequence, with the depletion of
regional water sources, the Sanlihe River became subsequently dried up and
its channel blocked by solid waste. The life source of the city became festered
with sores of urbanism, and the hearts and souls of local residents long for its
spiritual landscape reincarnation.
(II) Ecological Solutions to Turn A River Corridor as an Ecological
Infrastructure
The landscape architect was commissioned to recover this mother river. The
scope of job included sewage management (the redesign of sewage pipes that
had previously discharged directly into the river with a passive natural infil-
tration system), as well as ecological restoration and the urban design along
the greenway (although this submission only focuses on the planning and
design of the greenway itself).
The design strategies are comprehensive and developed across scales:
• Clean the site: A sewage management system was planned to separate waste
water from the urban stormwater runoff. As well, organic garbage from the
household was used as material to shape landforms, and industrial waste was
cleaned and properly treated.
• A scenic water byway: the design for the greenway took full advantage of the
existing natural elevation change between the Luan River bed and the city.
A fountain was made through a pipe that goes under the high embankment, so
that a constant controlled amount of water will make its way through the city
before running back to the Luan River at the lower reach. This strategy turns the
Sanlihe into a “scenic byway” of the larger Luan River and transforms the
dangerous natural force into a pleasant amenity.
• Resilient green river strategy: the existing concrete channel of the river was
removed, and a multiple water course riparian wetland system was created,
including the creation of emerald-like wetland bubble chains at the edge of the
main water course which regulates floods and collects and dissipates urban
stormwater runoff. When the river’s water level drops to its lowest point, pools
of water remain in the emeralds as wetlands, creating a “Green River.”
Furthermore, these wetlands work as an ecological purification buffer for urban
stormwater runoff from both sides. These meandering natural waterways, at
various surface levels, becomes diverse habitats for wildlife.
• Tree islands: The existing trees on the site were saved and the riverbanks were
transformed into a number of tree islands connected by boardwalks, creating a
unique setting for daily activities of the nearby residents.
• Pedestrian and cycling paths: Along the greenway are the pedestrian and bicycle
routes fully accessible to communities along the channel.
580 K. Yu et al.
• Landscape guides Urbanism: The greenway is used as catalyst for urban

development. High density residential development was envisioned at both sides
of the greenway. Immediately after the greenway was built, an enormous
amount of new housing development investment was attracted and completely
transformed the urban morphology of the city.
• Low maintenance: The project used low-maintenance native vegetation, lush
wetland species, and self-reproductive wild flowers for the undercover. The
resilient green river strategy allows the water table to naturally fluctuate over
seasons. The contrast between “messy” nature and the minimum design of the
boardwalk and waterfront platforms turn the big greenway project into an artful
everyday landscape.
Through only 3 years of design and construction, this project has transformed
this seriously polluted landscape back to its previous splendour as a scenic urban
ecological corridor. The mother river has been recovered and the legendary tale
narrated by the grandmothers once again rings true: as a place “where reeds and
lotus flourish and water abundant with fish and soft-shelled turtles.” (Figs. 17, 18
and 19)
Fig. 17 The Sanlihe Greenway: recovering the mother river of Qian’an (Source Turenscape)
Fig. 18 Before: the badly degraded urban river (Photo Yu)
Fig. 19 After: the ecologically recovered greenway along Sanlihe River (Photo Yu)
582 K. Yu et al.
1.4 Conclusion
It is argued that, the current urban growth model in China is unsustainable.

Recognizing this fact, the Chinese leadership is now calling for ecological civi-
lization and new type of urbanization (Hu 2007; Xi 2013), a totally new concept
proposed in Chinese language and especially worded from the top Chinese leader. It
reflects an important change in the top Chinese leadership understands of devel-
opment. Rather than emphasizing economic construction as the core of development
as it did in the past, the Chinese leadership has come to realize that development, if
sustainable, must entail a list of elements including the right relationship between
man and nature. The ecological civilization concept is proposed at a time when
ecological and environmental issues are at a very serious stage. Facing such a
reality, the construction of ecological civilization was absolutely not rhetoric for
chest thumping by officials in their speeches. It needs to be transformed into tangible
measures that will change the way our economy develops and reshape the landscape
that can meet the serious challenges of sustainable development.
Accordingly, it is important to recognize that the conventional approach to
development planning, which is based on population projection and then
built-infrastructure, is unable to meet the challenges and needs of the ecological and
sustainable urban development, and certainly unable to meet the goal of ecological
civilization. It is in this situation, that the negative approach is proposed (Yu et al.
2008a, b, 2011b). Using the analogy of photography in describing the film and picture,
the term “negative” is used to describe the urban development model being negatively
en-framed by Ecological Infrastructure, not the other way around. To say it in the other
way, the EI is positively defining the urban form and growth pattern. Conventionally,
landscape and green elements such as Greenbelt and Greenheart are usually nega-
tively defined by architectural and built infrastructure. By positively defining the EI
for the sake of Natural Capital and cultural integrity of the land, the urban growth
pattern and urban form are negatively defined. The concept of Ecological
Infrastructure builds a bridge between the disciplines of ecology and especially
landscape ecology, the notion of Natural Capital and ecosystems services, and sus-
tainable development. It is a bridge between smart growth and smart conservation.
It has been demonstrated that by implementing ecological infrastructure as a
solution to urban environmental issues, such as flood control, stormwater man-
agement, soil remediation, water cleansing, and recreation, alternative, and more
sustainable and pleasant urban environment and landscape can be achieved.
2 Theory and Methods of Urban Ecological Construction
With the development of economic globalization and continuous quickening of

urbanization process, the quantity and scale of cities is continuously expanded. The
increasingly serious urban problems which appear since 1960s and 1970s makes the
seeking for more reasonable urban development mode and human settlement mode
become an important and urgent task which the national governments, international
institutions, and academic communities shall confront at present. Since 1970s, the
ecological city attracts wide attention from all sectors of society, and all countries
actively seek for construction of ecological city. The ecological city is a brand-new
stage of urban development, and it is also a new mode for human’s sustainable
development.
In 1984, Ma Shijun et al. proposed a theory that the city is a complex
society-economy-nature ecosystem. From perspective of geographic space, the
ecological city has exceeded the concept of “city” in traditional sense; with
emphasis on essential identity of inhabitation as human’s living place, it is repre-
sented as a kind of new pattern of urban-rural relation, and the integrated devel-
opment of city and rural area forms urban-rural network structure. From perspective
of man and nature, the ecological city not only promotes human’s healthy evolution
and development, but also pays attention to development of the nature; therefore,
the ecological city can become a new habitation environment which can make
offerings to man and nature; under this environment, the man and nature realizes
mutual adaptation, concerted evolution, coexistence, and co-prosperity, which
shows the inseparable unity between human and nature. The ecological city not
only changes the form and function of current human settlement, but also changes
the humans themselves and creates a kind of new civilization and culture. The
construction of ecological city can effectively improve habitation environment for
urban people and enhance urban people’s living quality. Currently, many cities at
home and abroad are under planning and construction toward ecological city, which
raises a great upsurge in construction of ecological city.
The urban ecological construction is the only road to solve current ecological
environment problem, and it is also the critical link to realize sustainable devel-
opment. Up to now, the idea of urban ecological construction has been developed
into a construction system integrated with cultural inheritance, target integration
and multiple modes, and the research fields are continuously expanded, involving
philosophy, religion, ethics, aesthetics, architecture, economics, technology, etc. In
China, there is deeper and deeper research on urban ecological environment
problem and urban ecological construction. In the process of specific planning and
practice of urban ecology, the theories (such as ecological carrying capacity, eco-
logical function zoning, and ecological civilization construction) play the most
critical role. The ecological carrying capacity is the important condition for urban
development, and it influences and restricts the way and strength of urban land
utilization. The urban ecological construction is restricted by ecological carrying
capacity, thus all parts of ecological environment carrying capacity shall be used as
reference factors for urban ecological construction; otherwise some hidden danger
may be left in urban development. Therefore, it is of important significance to
master the trends and features of ecological carrying capacity. The ecological
function zoning is the foundation for reasonable management and continuous uti-
lization of ecological system and natural resources, and it can provide scientific
basis for construction of ecological environment and formulation of environmental
584 K. Yu et al.
management policies. On the basis of full research on features and laws of such
elements as China’s ecological territory, ecological service function, ecological
asset, ecological sensitivity, and intimidation of human activities on ecological
environment, the important content of urban ecological construction is to establish
principle, method, and index system of China’s ecological zoning, and then to
merge and distinguish the related ecological territory. The ecological civilization
pushes the urban ecological construction to a new height. The ecological civiliza-
tion construction is inheritance and development of current urban ecological con-
struction and it aims at promoting ecological civilization construction and pushing
the urban ecological construction to a new height through comprehensive opti-
mization and improvement of six systems, that is, ecological concept, ecological
economy, ecological environment, ecological habitation, ecological society, and
ecological system.
3 Urban Ecosystem Health Assessment and Management
3.1 Introduction
Acting as centers for various socioeconomic activities, cities play a driving role in
regional development and human civilization (Su et al. 2009, 2010b). Meanwhile,
although cities have made obvious economic growth and notable wealth, we cannot
ignore the negative impact of various emerging eco-environmental problems, such
as air pollution, water resource scarcity and energy shortage, which further lowered
the human living level and impeded the urban sustainable development (Guidotti
1995; Su et al. 2010a). Therefore, a systematic assessment of urban ecosystem
health (UEH) is urgently needed for effective ecological management and sus-
tainable development.
3.2 Urban Ecosystem Health Assessment Indicators
Based on the understanding of UEH concept, i.e., (1) the ecosystem’s ability for its
own renewal and satisfying human demands should be integrated, and (2) various
factors should be taken into account, several assessment indicators have been
established (Table 1).
Table 1 Typical urban ecosystem health indicators

Focus Indicators Reference
External WHO: (1) Proposed 79 indicators of a healthy urban Takano and
characteristics ecosystem in 1996 from nine aspects (e.g., influence Nakamura
factor, progress, management, service, etc.); (2) Further (1998)
developed 459 indicators in 1998 from 12 aspects
Taking the classic framework of natural ecosystem Guo et al. (2002)
health assessment (Mageau et al. 1995; Rapport et al.
1998), a similar framework of UEH indicators was
established using 24 factors
Organized 30 UEH indicators using the framework of Zhong and Peng
natural, economic and social subsystems in the urban (2003)
ecosystem
Put forward the distance index and coordination index, Hu et al. (2005)
for the spatial difference of UEH into account
Internal Established 17 biophysical UEH indicators, by Su et al. (2009)
process integrating energy with vigor, structure, resilience,
ecosystem service maintenance and environmental
impact
Developed an energy-based UEH indicator by Liu et al.
integrating five energy indexes (2009b)
3.3 Urban Ecosystem Health Assessment Models
Many mathematical models are developed to treat and process the indicator data to
satisfy a UEH assessment. The models can be summarized into two categories
(Table 2): one is based on understanding the UEH’s character while another faces
the problems during the UEH assessment.
Table 2 Typical urban ecosystem health assessment models

Emphasis Models Reference
The character of UEH Fuzzy synthetic assessment Guo et al.
model (2002)
Relative vector assessment Sang et al.
model (2006)
Attribute theory model Yan (2007)
Set pair analysis model Su et al. (2009)
Treating emerging problems during UEH Unascertained measure Shi and Yan
assessment model (2007)
Matter element model Dai et al.
(2007)
586 K. Yu et al.
3.4 Urban Ecosystem Health Management
3.4.1 Identification of Limiting Factors of Urban Development
Based on the UEH assessment results, Yang et al. (2010) identified the limiting
factors of Ningbo’s healthy development (Fig. 20) such as the water resources
shortage, the pressure of SO2 emission, insufficiency of sewage treatment, etc. Then
urban ecological regulation scheme is suggested aiming at these limiting factors.
3.4.2 Classification of Urban Ecosystem Health Patterns
According to cluster analysis of UEH (Liu et al. 2009a), the Chinese cities are
classified into four patterns (high economy development, low economy develop-
ment, high economy restraint, and low economy restraint patterns in Fig. 21).
Measures for different patterns are thus proposed.
3.4.3 Zoning Management Based on Urban Ecosystem Health
Based on the spatial distribution of UEH levels (Fig. 22), the zoning management is
suggested in Guangzhou, China, where the north part (mainly including forests,
grasslands, rivers, and wetlands) is defined as a conservation area, the middle and
southern parts (mainly including cultivated land and general commercial area), are
2007 Per capita public green area
2006 Coverage rate of green area in built-up area
Excellent and good rate of air environment quality

2005
Discharge intensity of SO2 per unit GDP

2004
Year
Per capita area of paved road

2003
Population density
2002
Percentage of sewage treatment
2001
Discharge intensity of COD per unit GDP
2000
Water consumption per unit GDP
-0.9 -0.6 -0.3 0.0 0.3 0.6 0.9 1.2 1.5
Shortage index Per capita water resource quantity
Fig. 20 Limiting factors analysis results of Ningbo, China

2.5
EUEHI
II I
Kunming Chengtu
2
Hohhot
Chongqing
Changchun 1.5
Nanning
Changsha
1
Wuhan
0.5
Tsinan
Nanchang
Guiyang
Lanchow
0
Haikou
-1 0 1 2 3 4 5 6
Shenyang
Yinchuan Sian
Harbin Shijiazhuang
-0.5 Guangzhou
Hefei Foochow
Nanking
Hangzhou
Beijing
Sining -1 Tientsin Shanghai
Urumchi Taiyuan Zhengzhou
III IV
EDI
-1.5
Fig. 21 Cities classification based on urban ecosystem health patterns
Fig. 22 Spatial distribution

of urban ecosystem health
levels in Guangzhou, China
588 K. Yu et al.
defined as maintenance areas, while the south central and southwestern parts
(mainly including production and consumption centers and traffic areas) are defined
as key regulation areas (Su and Fath 2012).
3.5 Conclusion
Driven by the rapid urbanization and the increasingly deteriorated urban environ-
ment, research in UEH assessment has obtained much progress in assessment
indicators, assessment models, and applications to specific urban management.
Future research can focus more studies on the dynamic trends of UEH and pro-
jecting possible development scenarios. Also, studies on larger scales like urban
cluster can be developed to adapt to the modern urban development trend and make
the research more beneficial for urban well-being.
4 Construction and Practice of Eco-city and Eco-county

Planning
4.1 Introduction
Faced with the acceleration of worldwide urbanization trends and the severe reality
of ecological environment since 1960s–1970s, the international society hoped to
apply the ecology principles and methods to guide the urban construction by
officially promoting the idea of ‘Eco-city’, whose ideological origin and theoretical
basis were developed on the basis of assumptions, such as the British T. More’s
‘Utopia’ in the sixteenth century, C. Fourier’s ‘Phalanstère’, R. Owen’s ‘Village of
New Harmony’ and E. Howard’s ‘Garden city’ in the eighteenth and nineteenth
century, L. Corbusier’s ‘the Radiant City’ and F. Wright’s ‘Broadacre City’ in the
1930s–1940s.
Human settlement and urbanization work must be planned in order to avoid the
adverse effects on environment, and to achieve the best interest of the society,
economy, and environment. This idea was proposed from the ‘Human Environment
Declaration’ of the Stockholm conference in 1972. Since then, the West, especially
Nordic countries, has carried out a lot of research and debate on this from 1970s to
1980s. At that time, people mainly focused on making efforts to reduce human
impact on the environment and to promote environmental friendly behavior. The
eco-city not only involved the parks and other green spaces within the city, but also
began to involve the relationship between human and nature within the urban
environment in concerned with human energy flow and material flow. Urban
ecology began to represent the transform of the current energy-intensive lifestyle,
and was considered to be a way of reaching the ecological and social sustainability.
Urban ecological projects set out to establish environmental consciousness through

the use of alternative energy sources, water supply technology, and waste disposal
and drainage technologies. Eco-city construction has been widely carried out
around the world since the concept of eco-city was proposed by MAB Plan (Man
and the Biosphere Program) in 1972. The concept of eco-city develops in many
aspects, and the understanding of the reconstruction of ecological balance also
becomes more specific and ideal rather than just as common sense.
At present time, it is generally believed that ‘eco-city’ refers to the coordinated
development of society, economy, and nature, the highly efficient utilization of
material, energy and information, and the human settlements with perfect infras-
tructure, reasonable layout, and virtuous ecological cycles. The scientific conno-
tation of eco-city is to advocate the social stability of civilization, the efficient
economy and the harmonious ecological environment. Eco-city is not only a pro-
cess of human social development, but also a desirable goal of state to achieve at
the time when productive forces highly develop; social culture and human eco-
logical environmental consciousness reach a certain level (Wang 2003).
The key to constructing an eco-city is to build an artificial complex ecosystem
with a reasonable structure, functional efficiency, and coordinated relationship,
which is also the current demand for modern urban people. In terms of the present
overall situation of our country, whose level of urbanization only reaches about
51.3 %; its urbanization is in rapid growth stage of development. However, as the
driving force of nation’s economic reforms, Shanghai and the coastal economic
developed area have entered the urbanization stage of ‘overspeed.’ Urban con-
struction and economic development in these areas are in an unprecedented scale.
The urbanization level of most of the eastern coastal cities reaches more than 75 %.
At the same time, in the process of urban construction and development, there are a
lot of behaviors which are limited to short-term economic benefits and ignore the
long-term environmental benefits, lacking of vision. Therefore, it is a practical
problem in the construction of eco-city that how to avoid building the city at the
expense of urban ecological environment quality and how to avoid the phenomenon
of ‘first pollution, then governance’ likes many foreign industrialized countries
have done.
4.2 On the Theories of Eco-city and Eco-county Planning

and Construction
4.2.1 International Theory
In last two decades, European countries, the United States, Canada, Australia, and
other countries have made a lot of exploration on the theory of eco-city planning
and construction. Their representative work mainly includes the following
aspects:
590 K. Yu et al.
Yanistky (1981), a Russian Ecologist, considered that the process of designing

and implementation of an eco-city can be divided into three kinds of knowledge
levels and five action stages, namely:
Level of time and space
Level of society and function
Level of culture and history
The five action phases are basic research, applied research, design, planning, the
implementation of construction and the formation of organic organizational
structure.
The first level based on the urban ecological design and implementation can be
understood as a natural geographic level, which is the spontaneous level of human
activity and is the trend to pursue urban ecological niche and compete for balance,
in order to do all it can. As human activities become more intensified, contradic-
tions between urban and natural environment are more and more obvious in con-
cerned with time and space. As a result, human’s desire of improving the
relationship between city and nature, and strengthening the function of the whole
system become more and more strong. This is what the second level, namely
the level of society and function, mainly discusses. The concept of eco-city is in the
third level, the level of culture and consciousness. It aims to study men’s ecological
awareness, to change external control to internal adjustment, and to change the
spontaneous behavior into conscious ones. Therefore, the ecological construction of
city must develop from the first level to the second and third level. People should
integrate the knowledge of sociology, economics, ecology, environment, geogra-
phy, behavioral science, psychology, and other disciplines into the city planning
and construction field. Changes the past simple material construction planning and
construction for the social economy and the natural integration of comprehensive
planning and construction, and change the past simple material construction plan-
ning into social, economic, and natural integration of comprehensive planning and
construction. Yanistky’s idea of ecological urban planning and construction can be
summarized as ‘A kind of human settlements established in according to ecology
principles, where society, economy and nature develop harmoniously, material,
energy and information were efficiently utilized, and ecology circles virtuously,
namely efficient and harmonious human habitat.’
Gordon (1990) published a book called ‘green city.’ discussing the approaches
of ecological construction of urban spaces. The idea of green city from an Indian
scholar Dr. Rashmi Mayur is especially prominent. His idea includes: (1) Green city
is the embodiment of the harmonious relationship between biological material and
cultural resources, and is the condensed matter of the link between them. (2) Green
city has full capacity, a balanced energy output, and even a surplus value in the
nature. (3) Green city protects natural resources, eliminates or reduces waste with
the minimum requirements, and recycles the waste produced inevitably. (4) Green
city has a wide open space and other species coexisting with humans. (5) Green city
emphasizes on human health, advocates green food, and reasonable consumption.
(6) Each key elements of the city were planned according to aesthetic principles and
arranged based on the relationship between creativity and nature imagination.

(7) Green city provides comprehensive cultural development. (8) Green city is the
final result of scientific planning of urban and human community.
Russian urban planning departments summarized the urban eco-environment
planning work in 1991, and put forward the way and principle of urban
eco-environment construction and protection strategies: (1) The proportion of
planning layout and technology in solving the problem of urban nature conserva-
tion. (2) Urban geology, ecological border, the layout link and function link
between the adjacent areas and population planning. (3) Ecological zones limiting
the contamination effect and artificial load of each partition and reducing its
influence. (4) The basic principle of solving the problem of land function and
spatial organization against environmental damage. (5) Urban transportation,
engineering, and energy infrastructure meeting the requirements of ecology.
(6) Reasonable proportion of architectural space and green space, with green as the
‘skeleton’. (7) Reconstruction principles of residential areas and industrial areas that
meet the requirements of ecology. (8) Ecological aesthetic requirements of the
spatial organization of urban construction.
The sustainable development planning of Ventura County in USA put forward
the ‘Eight principles of ecological construction in sustainability planning’ in1991.
The principles include: (1) the protection, conservation and restoration of natural
environment. (2) The city should establish a net price system as a foundation for
economic activity. That is to say, price should not only reflect the state of avail-
ability, but should be established from different perspectives that are long-range,
recycled, and systematic. (3) Supporting local agriculture and local industrial and
commercial services. (4) Developing ecological community which is scattered,
functional comprehensive and has a reasonable pedestrian system. (5) Using
advanced traffic, communication, and production system. (6) Protecting and
developing renewable resources as far as possible. (7) Establishing cycle plan and
recycled materials industry. (8) Supporting management education in popularity of
to participate in.
The Danish urban ecological committee considers that ‘Urban ecology rep-
resents a kind of environmental strategy, which takes localization and public par-
ticipation as a starting point, and is engaged in solving local problems that are
relevant to energy consumption, environmental strain and local natural environ-
ment’. The importance of visible localization and public participation has played a
key role in this definition
The international association of eco-city construction, put forward the 10
principles of establishing an eco-city:
• Priority right of changing the land use management. Preferentially, developing
compact, diverse, green, safe, pleasant, and energetic communities which are
with mixed land uses and near the bus station and transport facilities.
• Priority right of modifying traffic construction. To place priority on walk, bikes,
carriages, and public transportation than cars. Emphasis on access by proximity.
592 K. Yu et al.
• To repair the damaged urban natural environment, especially the rivers,

seashores, ridge lines, and wetlands.
• To construct economical mix-housing of decent, cheap, safe, convenient, and
suitable for a variety of ethnic.
• To cultivate social impartiality and to improve the lives of women, visible
minorities, and people with disabilities and social status.
• To support local agriculture, urban greening projects and to make the
garden-like community come true.
• To advocate recycling, to use appropriate technology, and resource protection
technology. To reduce emissions of pollutants and dangerous goods at the same
time.
• To support economical activities of good ecological benefit with the business
community. To control pollution, waste, and the use of dangerous toxic
materials.
• To advocate consciously simple way of life and to be against the excessive
consumption of resources and goods.
• To improve the local environmental and bioregion consciousness of the public
by education programs and publicity campaigns aimed to raise their awareness
of ecological sustainable development.
The development principles of eco-city put forward by the Urban Ecology
Australia (UEA) are as follows:
• Restoration of degraded land.
• Coordinated development of urban and biological regions, balanced
development.
• To achieve the balance of the urban development and land bearing capacity.
• To end the spread of the city.
• To optimize the energy structure, committed to the use of renewable energy,
such as solar energy, wind energy, and to reduce fossil fuel consumption.
• To promote economic development and to provide community service of
healthy and a sense of security.
• To encourage community participation in urban development.
• To improve social justice.
• To protect historical and cultural heritage.
• To cultivate colorful cultural landscape.
• Corrective to the destruction of the biosphere.
The ten key principles of sustainable human settlements put forward by the
European Union are as follows:
• Budget of resource consumption.
• Energy protection and improvement of the efficiency of energy use.
• Development of renewable energy technologies.
• Building structure of long-term use.
• Residence and work place closed to each other.
• Efficient public transportation system.
• To reduce garbage output and recycle the rubbish.

• Compost with organic waste.
• Urban metabolic system following cycles.
• The main food of the local production requirements.
The relevant standards of eco-city put forward by The United Nations include
the following six aspects:
• Guided by strategic planning and ecological theory.
• Industrial products are green products, advocating closed-loop process system.
• On the way of organic agriculture.
• Residential standards on the principle of improving the life of people.
• To protect the cultural and historical sites. Not to destroy the natural resources.
Correctly handle the relationship between protection and development.
• Introduce natural into cities.
Experts majoring in ecological design believe that these are the basic concepts of
eco-city. They make a very good guidance of the practice of changing the unsus-
tainable features in the existing urban system.
The second and third international conference have passed the Rebuilding
Program of International Eco-city and put forward the International Ecological
Rebuilding Program. The program above epitomizes all kinds of the concepts of
eco-city in common:
• To refactor the city and to stop the disorder spread of cities.
• To transform traditional villages, small towns, and rural areas.
• To repair the natural environment and production system of production capacity.
• To design the city according to the requirements of energy conservation and
garbage recycling.
• To establish a transportation system oriented by walking, cycling, and public
transportation.
• To stop all kinds of subsidy policy for car transport.
• To make efforts to provide powerful economic incentives for ecological
reconstruction.
• To establish various levels of government agencies of urban, state, and national
levels for ecological development.
The fourth session of the International Eco-city Construction Forum on
August 18, 2010 was held in Chengde City of China. The Conference which
centered on eco-city, ecological industry, ecological restoration, and ecological
civilization focused on urban ecological civilization, reconstruction, and transfor-
mation and carried out academic exchanges and field trips from four aspects of
indicators and standards, technology and engineering, science and empirical,
inheritance and innovation, and so on. Famous scientists and entrepreneurs from all
around the world carried out monographic academic exchanges around those topics.
The forum also passed the declaration of ‘revival of ecological civilization and
promoting urban transformation.’
594 K. Yu et al.
The International Eco-city Construction Forum is an international academic

conference held by the international council of eco-city construction and is aimed at
promoting eco-city construction. It is intended to exchange and spread new ideas,
new method, and new technology of ecological urban planning construction and
management at home and abroad. It also concludes experiences and lessons of
industrial ecological construction in the process of urbanization and shows typical
urban ecological construction, and promotes urban ecological engineering tech-
nology and capacity building. It has successfully conducted three sessions in
Ningbo, Chongqing and Huaibei Since 2004, having a wide range of influence at
home and abroad.
Series of seminars participated by the experts and scholars, local administrative
personnel, and folk communities was held by the Japanese Ministry of
Construction since 1992. It discusses the basic concept of eco-city construction,
the implementation of the policy, and the specific steps. They think that the con-
struction of eco-city includes at least the following three aspects of content:
Urban system with energy conservation and circulation pattern. To maximize
pertaining to the urban system construction and the utilization efficiency of
resources and energy. To maximize the waste heat, exhaust fumes, and rubbish in
our city in order to reduce the environmental load of the city and to achieve
coordination of the system in the city
Water environment and water cycling. The water system of an eco-city should
meet the requirements of production and living at the same time, giving the city a
moderate circulation system. It is a place to reduce the water intake and wastewater
discharge from the outside, and to reduce the impact on the surrounding environ-
ment, and to provide recreation entertainment function to urban dwellers.
Urban landscaping. Urban greening is considered to be the foundation of eco-city
construction that has the function of mitigating urban heat island effect, flood
controlling, fireproofing, wind-proofing, noise-proofing, and controlling of atmo-
spheric pollution. It can provide habitat for animals in the city, and provide a good
ecological environment for urban residents. The green coverage rate of urban
built-up area is suggested to be 30 % and to be up to 50 % for surrounding areas.
The research of Japanese Ministry of Construction improves Japanese urban eco-
logical research to the specific practice stage, and the reports of the seminars
become guides to explore the construction of eco-city
4.2.2 Domestic Theories
Chinese famous ecologists, Prof. Ma Shijun and Prof. Wang Rusong proposed the
theory of ‘social-economic-natural complex ecosystem’ in 1984, mading it clear
that the city is a typical social-economic-natural complex ecosystem. Wang Rusong
continued his research on urban problems and eco-city, thinking that the ecological
essences of a city are those shown in Table 3.
Table 3 Ecological essences of urban problems

Problems Principles Strategies Methodology Goals
Low efficiency Regeneration and Technical Ecological High
of resource competition transformation technology efficiency
utilization
Unreasonable Symbiosis/phyletic Relationship Ecological Harmonious
relationships of evolution adjustment planning relationships
the system
Low Autogeny and Act induced Ecological Strong
self-regulation self-learning management vitality
Rusong Wang etc. also put forward the Chinese ideology of eco-city and eco-
logical cybernetics principles, pointing out that the construction of eco-city should
meet the principles of the satisfaction of human ecology, efficient principles of
economical ecology, and harmonious principles of natural ecology. What’s more, it
should also meet the tide principles, optimum-oriented principles, promotion and
restriction principles, feedback principles, compensation principles, principles of
bottleneck, circulation principles, the diversity and dominant principles, principles
of ecological design and principles of cleverness, etc.
Wang pointed it out in his article called ‘ecological transformation theories and
methods on environmental construction of urban human settlement’ that at the turn
of the century, the urban ecosystem research of various countries mainly focuses on
various natural ecological factors, factors of technology and physics and the hier-
archy, heterogeneity, and diversity of the sociocultural factor sysplex. They also
pay attention to the urban metabolism process, information feedback process, the
health of ecological succession process, urban economical production, social life,
and the strength and vitality of natural regulating function. Ecological assets,
ecological health, and ecological service function are among the current hot topics
in the study of urban ecological system.
The purpose of the eco-city construction is to make the single biological link,
physical link, economical link and social link assembled into a powerful ecosystem
through ecological planning, ecological design, and ecological management, what’s
more, to regulate the structure and function of the system, to promote the coordi-
nated development of urban society, economic, and nature and the efficient uti-
lization of information, material and energy, the fully mix of technology and the
nature from the perspective of the system reform, technological innovation, and
behavior induce. The creativity and productivity of people will be limitless, system
function of life supporting, and physical and mental health of residents will get
maximum protection, economic, ecology, and culture will develop sustainably and
healthily. What is more, it will promote the comprehensive utilization of resources,
the comprehensive improvement of the environment, and comprehensive devel-
opment of people.
596 K. Yu et al.
The city of Shanghai put forward the goals of eco-city construction in the early
1990s. The scholars in Shanghai, such as Xixian Chai, Yongchang Song,
Xiangrong Wang and Wu (2000), etc. in the field of urban planning, environmental
protection, urban ecology, have conducted many studies of eco-city.
It is also considered by many domestic researchers that an eco-city is the sus-
tainable subsystem to share its fair share of carrying capacity in global or regional
ecosystem. It is a compound system with social justice, natural harmony, and
economic efficiency, which is established on the basis of the principles of ecology.
It also has its own cultural characteristics of nature and is an ideal living envi-
ronment with artificial coordination and interpersonal harmony.
Guangyu Huang and his colleagues of Chongqing University cooperated with
the People’s Government of Leshan, Sichuan Province, making planning research
and practice of ‘Combining of heaven and man: new mode of eco-city structure
with green heart and circular in Leshan.’ Approved by the government of Sichuan
Province, their achievements and paper called ‘Ecopolis: Concept and Criteria’
participated in the Earth Summit ‘1992s Global Forum’ of The World Conference
on Environment and Development in Brazil, achieving widespread high praises.
Academician Wenhua Li pointed it out in the Academic Conference of Chinese
Ecological Society in 2011 in Changsha, Hunan Province, China that the per-
spective of globalization, networking, and cross research and the introduction of
new technology create new conditions for the ecology research in China. China’s
ecology, which is at the turning point of its developing process, should seize the
opportunity of global change, take advantages of scientific and technological
competition, and promote the progress of ecological research development.
From the above analysis it can be recognized that the planning and construction
of eco-city is actually to plan and construct the overall process of targets, programs,
contents, methods, results, and implement countermeasures of the comprehensive
improvement of urban ecological factors. It is also an effective way of imple-
menting the dynamic balance of urban ecosystem and regulating the relationship
between human being and the environment.
The scientific connotation of eco-city construction is embodied in the following
aspects:
(I) Environmental protection system with high quality.
(II) Operation system with high efficiency.
(III) Management system with a high level.
(IV) Perfect green space system.
(V) A high degree of social civilization and eco-environmental consciousness.
4.3 Practice of the Planning and Construction of Eco-cities

and Counties
Under the guidance of the eco-city theory and the initiative of the MAB (Man and
Biosphere) Program by the United Nations in 1972, many cities, at home and
abroad, have put ecological planning into practice. So far, there are a lot of cities
carrying out the urban ecological planning and construction, trying to meet the goal
of eco-cities. The Cleveland and Portland metropolitan area (U.S.A.) are among the
demonstration cities, as well as Frankfurt (Germany), Bangalore(India), Curitiba
and Santos City (Brazil), Whyalla and Adelaide (Australia), Whitaker City (New
Zealand), Copenhagen (Denmark), Rome (Italy), Washington, D.C. (U.S.A), Tokyo
and Kitakyushu (Japan), and Moscow (Russia). And in China, more than 110 cities
and 500 counties, including Yichun, Ma’anshan, Hong Kong, Tianjin, Changsha,
Beijing, Shenzhen, Guangzhou, Shanghai, Nanning, Xiamen, Qingdao, Rizhao,
Weifang, Dalian, Nanjing, Zhenjiang, Yangzhou, Changzhou, Haining, Changshu,
Zhangjiagang, Guangzhou, Shaoxing, Panjin, Mianyang, etc., have put forward the
target of eco-city (or county) construction and carried out the work of eco-city (or
eco-county) planning up to now. Besides, 14 provinces, such as Hainan, Fujian,
Zhejiang, Jiangsu, Jilin, Heilongjiang, Shandong, Anhui, Jiangxi, Sichuan, and
Shanxi Province, have carried out the work of the construction of eco-provinces.
4.3.1 The United States of America
The Long-Term Ecological Research (LTER) and the Eco-cities Plan (ECP)
The Long-Term Ecological Research (LTER) and the Eco-Cities Plan (ECP) devote
to the construction of eco-city in the United States. The former mainly models the
natural and artificial variables, which affect the natural and social factors of the
ecosystem, so as to do analysis on the urban ecological system from the perspective
of long-term ecological effect. The latter, started with the support of the US Forest
Service and EPA, receives its funding from NSF and the US Geological Survey.
With the unified leadership of the National General Committee, and the technical
support of the technical committee consisting of several universities, the ECP has
set up a close network among research scholars, social activists and local leaders.
Its goals are as follows:
Changing Perceptions of Nature in Cities;
Multiple Uses of Natural Spaces in Cities;
Alternative Scales of Intervention;
Institutional Flexibility and Innovation;
The Role of Science in Urban Landscape Design.
598 K. Yu et al.
The Eco-city Project of Berkeley
Under the influence of Professor Richard Register and the Eco-city Builder
Association led by him, the practice of the construction of “eco-city” in Berkeley, a
coastal city in the West Coast of the United States, has proved highly successful
(Very good results have been achieved in the practice of constructing an eco-city in
Berkeley, a coastal city in the West Coast of the US). Some people think that it is a
model for the world’s construction of eco-city, which can also be regarded as a test
or an experiment of eco-city construction. In Berkeley, the overall practice is based
on a series of concrete actions, that is, to build the non-motorized streets, allow the
abandoned rivers to resume, plant fruit trees along the streets, build green residence
using solar energy, improve energy utilization structure through energy use rules,
optimize the allocation of bus lines, advocate walking instead of driving, delay and
try to stop the building of the fast lane, and to hold city construction meetings with
the relevant parties, etc. These actions may be insignificant to some people, but it is
these small actions that make the work of eco-city construction proceeding solidly
and effectively. With more than 20 years’ efforts, Berkeley has walked out a suc-
cessful way of building an eco-city. There is a typical special structure of
urban-rural integration in Berkeley. In the residence area, with every independent
house there is a piece of farmland covering an area as large as that of several
houses. And the vegetables and fruits planted there is very popular among the local
residents and urban residents nearby as “green food”.
Since the 1960s, this kind of urban agriculture has been developed gradually in
some cities in the developed countries. The “Fairview Gardens” Education Farm,
located in a fertile valley in California, is completely surrounded by the develop-
ment of urban areas, with the high way on one side and urban housing on the three
others. The farm covers an area of 4 ha, promises not to use chemicals in the
growing practices and produces about 75 different kinds of fruits and vegetables
which are available for nearly 500 families to eat. It is very popular with the
residents and has become an education center for a school nearby.
The Ecological Construction Plan in Portland, Oregon
Portland is considered to be an example of a city which has successfully avoided

and solved many urban issues. In the late 1960s, like many other cities, Portland
was also in the trouble of problems such as traffic congestion, housing shortage,
environmental degradation, and social culture decadence. Therefore, the city carried
out a plan for the development of a new urban region and took comprehensive
measures to stimulate the vitality of the city. The plan has changed the direction of
the urban development. On one hand, improve the traffic conditions. A decision
closely related to the citizens was issued—to impose restrictions on the newly
bought cars entering the city, which at that time had the decisive significance. It
limited the development of the urban parking lot and transformed an old one into a
public square. It also converted a highway, which stretched along the river bank at
the edge of the city and had separated the city and the river, into a park built along
the river. Besides, a new light rail line was built to take the place of the highway.
The new plan actively supported the designation and building of walking and public
transport-oriented traffic system, thus, limited the use of private cars through the
promotion of public transportation. On the other hand, Portland concentrated efforts
on solving the housing problem and focused on the retention and provides available
housing for the average families. Great attention has always been paid to the
improvement of housing condition in Portland, and even if plans are in the
implementation, the city has always put emphasis on housing construction. In
addition, Portland also concerned about public culture and art, requiring that all new
projects contribute a certain percentage of their funds to it. The protection of
historical heritage was also taken into consideration and important historical
buildings were protected with great efforts.
4.3.2 Australia
Since 1994, led by the urban ecology scholar Paul Downton, the pioneers of the
ecological movement sponsored an eco-city construction project in Adelaide City in
South Australia, which was called The Halifax Eco-city Project. This project was
organized and implemented by UEA. And it was designed to be 1000 people on
2.4 ha in the eco-city.
The fundamental principles of this project are as follows:
• Restoring the degraded land;
• Construction projects fitting the characteristics of the local communities;
• The intensity of development shall be in harmony with the land ecological
capacity, and to protect the ecological conditions of the developing areas;
• Effectively limiting the excessive extension of the city on the basis of the
ecological conditions;
• Optimizing the energy structure, reducing energy consumption, using renewable
energy and resources, and promoting resource recycling;
• Maintaining an appropriate level of economic development;
• Providing a health and safe living environment;
• Providing a variety of social and community service activities;
• Ensuring the fairness for social development such as gender, skin color, religion,
opportunity to work, etc.;
• Respecting the past history of development and construction, protecting the
historic natural landscape and human landscape;
• Promoting ecological culture construction, improving the residents’ ecological
consciousness;
• Improving the state of natural ecosystem, including air, water, soil, energy,
biomass, food, biodiversity, biotope, ecological sensitive region, waste water
recycling, etc.
600 K. Yu et al.
Upto now, the project has been fully implemented, and attracted ecological
scholars from all over the world to visit and organize a series of seminar on
eco-city. The smooth implementation and success of eco-city construction lie in the
first-class program plan and implementation scheme.
4.3.3 Denmark
The City Copenhagen, Denmark, undertook the “Danish Eco-city 1997–1999”

project in the densely populated zone—Indre Norrebro. Their main experience is
developing a manual to guide and promote residents to take part in. In addition,
they also established the system of “green account,” recording the resources con-
sumption of a city, a school, or a family for daily activities, providing the
knowledge about environmental protection. By using green account to compare the
structure of resources consumption of different urban areas, they could identify the
consumption of major resources and provide the basis for reducing resource con-
sumption effectively and resource recycling.
The most famous achievement on the ecological construction in Denmark is the
construction of Kalunborg Eco-industrial Park, which is also the world’s most
famous pioneering industrial ecological park. Located on the coast of the North Sea,
about 100 km west of Copenhagen, with a population of about 20,000 people,
Kalundborg is a small industrial city with a natural deep sea port. The five main
industrial enterprises are: Denmark’s largest thermal (coal) power plant, Denmark’s
biggest refinery, Denmark’s largest biological engineering company (which is also
one of the world’s largest industrial enzymes and insulin production plants), a
calcium sulfate factory and a building materials company. The distance between
each of these five companies is not more than hundreds of meters. In the process of
production and development, they gradually started to exchange the ‘waste’
spontaneously: steam, water (of different temperatures and different purity) and a
variety of by-products, and gathered by using special pipe system. Among them, the
power plant burnt gases exhausted from the oil refinery, the refinery share with
other enterprises the cooling water, the slag of the power plants can be used as raw
materials for the building materials factory and the construction company, and
industrial waste heat can be used as heating for the nearby residents or enterprises,
etc. Thus, a kind of “industrial symbiosis system (industrial symbiosis)” was
formed. The development mode of industrial symbiosis in Kalunborg inspired
people’s concept and interest of plan and designs an “ecological industrial park,”
and provided successful experiences.
Since the 1980s, the local departments of management and development have
provided support from all sides. In this small industrial city, with the pattern of
interdependence and mutual utilization of steam, hot water, materials, such as
gypsum, sulfuric acid, and biotechnology sludge, the early phase of an ecological
industrial park formed and therefore Kalunborg has become famous of this.
4.3.4 Netherlands
In 1990, on the “long-term environmental policy meeting,” the Netherlands put

forward the five gradual stages of healthy ecological urban planning and policy
making1:
(I) Pollution of the environment as a negative effect
(II) Pollution of the environment as a cost factor
(III) Environment as constraints
(IV) Environment as a policy guidance
(V) Environment as the target
The Eco-city Strategic Framework
The construction of eco-city is corresponding with the fourth and fiveth stage
mentioned above. In 1995, the Netherlands Breda and Ankara institutions jointly
studied the eco-city planning with research institutions, and put forward the
strategic framework of the eco-city as below (Table 4):
(I) A City with Sense of Responsibility
Saved utilization: to use energy and material economically, for example,
strongly advocate the using of bikes instead of cars, attach importance on
developing energy-saving technologies, and strengthen the research on
conservation measures, etc.
Recycling: reuse raw materials and at the same time the wastes should be
classified and purified.
Renewable using: such as solar power, rainwater, and trees.
Control the quality and quantity of material and energy flow: the use of some
resources should be under control even if they are renewable, taking the
tropical hardwoods as an example, excessive deforestation will cause the
destruction of the rainforests. To where there lack of renewable or permanent
energy, try to use clean energy, such as using nature gas instead of coal.
(II) A City Full of Vigor
Make use of the local natural and cultural potential: make heavy use of the
local ecological resources (both biological and no biological), and meet the
needs of the residents’ life.
Combine the programming of urban space structure with the management of
material/energy flow: for example, the rainwater storage pond is more than a
1
Meadows et al., 1996: Ecologically sound urban development, pp. 53–80.
602 K. Yu et al.
Table 4 Strategic framework of the eco-city

Slogans (A) A city with (B) A city full of (C) A city where everyone
sense of vigor participate in
responsibility
Objects Material and Region The general public
energy flow
Social - Products - Effectiveness - Prosperity
goals - Quality - Attraction - Welfare
- Justice
Problems - Wastage - Health problems - Alienation
- Pollution - Dysfunction - Apathy
- Interruption - Loss of
(stress) biodiversity
Objectives - Sustainable flow - Sustainable - The commitment that the
of eco-city management development of the ecological relationship remain
territory the same
- Control - Regional potential - Organize to plan
programs planning spontaneously
Policy - Integrated flow - Special and - Target group policy
themes management regional
management
- Management - Result-oriented
policies for the policies
source
restriction factor of space planning, which can become the highlight of the
city landscape.
Provide a healthy and diversified human habitat: As posed by the WHO, the
city should first be a healthy place for the citizens, as well as a safe and quiet
one. So the living environment should be good for the health of people and
take into account people’s different needs for different life style and behavior
habits.
Protect the animals and plants: take into consideration the protection of their
habitats and migration passages.
(III) A City Where Everyone Participate in
Create the conditions for the operation of the market: bring environmental
causes to market with/through providing some economic benefits
Create opportunities for cooperation: Some organizations tend not to eco-
nomic interests as the goal, but a more important social impact, such as
schools, government agencies, and communities.
Popularize ecological views extensively and intensively: and turn the
thoughts into practical actions of everyone in our everyday life.
Enforce: through the related policies and laws.
The Guidance Model
Under the strategic framework, a series of guidance model were put forward in the
Netherlands, and focus on two kinds of urban networks and the three-level structure.
The two kinds of networks refer to the road network and network of rivers, and the
three layers are buildings, community or city level, and regional or national level.
(I) Development Planning for Water Resources
The key points are:
Saving water: such as reduce the waste of water through the update of the
technology of faucets;
Recycling: flush the toilet with the laundry water, bath water, or rain water.
Storing the rainwater: there are facilities to store rainwater in each building
or block.
Rain and sewage diversion: the rainwater pipe and sewage pipe are under
separate management.
Preventive measures: to get clean rainwater, use materials with no zinc as the
road facilities, and take oil isolation measures at catch-basins of the parking
lots. When packed into small lakes, rainwater can be purified by wetland
plants such as reed or calamus.
(II) Energy Planning Model
The key points are:
Energy conservation: consider architectural lighting and leeward when
deciding the building orientation, develop materials of good sealing perfor-
mance, use energy-saving appliances, etc.
Develop sustainable and renewable energy: make full use of solar power,
wind power, hydroenergy and biological gas, stop building more large power
stations, and large dams and nuclear power plants are not recommended
because of the high risk.
The ultimate ways of energy utilization are electricity and hydrogen, which
can minimize the pollution.
(III) Waste Treatment Guidance Model
The key points are:
Household: waste classification; economical use of goods; ensuring that there
is enough space for piling up the classified waste; collecting the wastes and
getting them into the life cycle of recycling.
Construction and destruction: to construct sustainable buildings; recycling of
buildings and materials; to destroy with caution; be vigilant and try to avoid
secondary pollution in the process of production and transportation of
building materials.
Waste disposal: Encourage individuals and enterprises to participate in the
waste collection work, set up an efficient collection system; do waste dis-
posal as regionally as possible.
Enterprises and industry: to save resources; does reusing plan for some of
the products, and separation and recycling plan for some others.
604 K. Yu et al.
(IV) Traffic Guidance Model

The key points are:
Shorten the distance between the residential areas and the companies so that
the demand for transportation is reduced.
Encourage the company shuttle bus system, extend the city along the public
transportation route.
Encourage the use of bicycles, build safe bikeways with good charming
sights, which is in good cohesion with the public transportation.
Reduce environmental pollution: collect parking fees; promote underground
parking; develop electric and hydrogen vehicles; keep cars from the city
center and residential areas while retain emergency channels for fire trucks;
use maglev train instead of plane for transportation more than 800 km.
Freight transportation: reduce traffic demand by centralized urbanization,
raised cost of freight, and development of durable goods; increase the effi-
ciency of traffic land use; use electricity or clean fuel; develop shipping and
railroad transportation.
(V) Urban Planning Guidance Model
The key points are:
The design of the road made rows of buildings facing the southeast or the
south, so that the buildings and green spaces can get enough sunlight;
The water supply and drainage system was built based on the circulation
system of each community; therefore, there is a big pool in each community
for seasonal water storage. Besides, there are a certain number of purification
facilities.
Build a bicycle road system with a green belt with beautiful scenery. These
roads can be access to the city center, the main station and factories within
one quarter of an hour to an hour’s drive.
To ensure the peace and security of the residential area, no parking is allow
but the access for fire trucks, garbage trucks, the ambulance, and other
emergency vehicles;
Starting from the station, transport the goods to the downtown area by
electric vehicles instead of trains or trucks.
(VI) The Suburban Area Guidance Model
The key points are:
Precision agriculture: develop industries of fine products, livestock breeding,
or gardening.
Urban agriculture: extensive management, the function of both education
and conservation;
Urban forest: wood land growing and recuperating naturally;

Fallow land: quiet outdoor leisure places and lakes for swimming;
Conservation areas: places for the protection and rehabilitation of natural
ecosystem.
Residential areas: building communities of low density and low rise, with
some infrastructure.
Urban parks: community parks with ponds and in the communities or among
the communities.
4.3.5 Brazil
Curitiba in Southern Brazil is so called the Eco-Capital City’ of Brazil and is

respected by the most eco-city in the world. Its main experiences focused in the
following aspects: public transportation-oriented urban developing plan, paying
close attention to social public welfare project, and the environmental education for
the citizens. In Curitiba, urban planning and development programming make the
urban design and planning and management in one system. Through the pursuit of
highly systematic, progressive and thoughtful designing, the target of implemen-
tation of land use, and public transport integration were achieved in urban planning,
which is a great achievement.
In the public transportation oriented urban development planning, the measures
took by this city are “increasing the area of parks and improving the public
transport,” “the farther from bus lines, the lower the floor area ratio.” The gov-
ernment encouraged high-density development only in the two blocks near the bus
lines, and limited strictly the development of the area away from the two blocks.
The integration of road system provides a high accessibility to promote the
development and the utilization of land along the transport corridor. The plan also
strengthened this axis measure, ensuring that there was enough space for the BRT
road in the broad traffic corridor. In many built up area, similar methods were also
used to make the development, which is along the existing bus lines, stretch for-
ward along the main routes to the outer edge of the city. In addition, the planning of
the high density utilization and the planning of the existing traffic corridor were
fixed as an organic unity. These policies effectively guaranteed the level of bus
service in the developed zone and the new developing zone of the city. At present,
there is two-thirds of the citizens use the bus every day, and the bus service does not
need fiscal subsidy. The city is on the road of developing an eco-city, in which the
transportation is with low economic cost and environmental cost, and it is as
harmonious as possible between human and nature. From this point, when decide
the ecological community’s location, the traffic convenience is a very important
factor.
The eco-city construction of Curitiba is embodied in the harmonious develop-
ment of society and the promotion of the ecological literacy education program. So
far, there are hundreds of social public welfare projects, from the project of building
606 K. Yu et al.
a new library system to the project of helping homeless people. In the poorest
communities, the “Line to work” project started, of which the purpose is the
training of all kinds of practical skills. Curitiba also actively carried out street
children rescuing projects, and organizing outdoor markets, in order to meet the
requirement of the street vendors in the informal economy.
Curitiba has carried out the ecological literacy education plan in all schools. This
project is rewarded as one of the world’s 60 best environmental protection and civil
education projects by the United Nations. Each year, schools would organize the
students to participate in environmental protection activities on the World
Environmental Day. Curitiba’s successful experience shows that to create a green
home we should not only pay attention to hardware construction, but also pay
special attention to the education since people’s childhood to improve the popu-
lation quality.
4.3.6 Japan
With the Japanese industrial revolution and the rise of capitalism in the twentieth
century, Kitakyushu gradually developed from a small fishing village into a large
industrial city, which is mainly composed of steel industry. In the mid-1950s, the
Japanese economy has entered into the stage of take-off and all kinds of environ-
mental problems came along. From the 1960s, the governments of Kitakyushu
enact a series of regulations and laws to control environmental pollution, as well as
strength the supervision and management system. By the joint efforts from local
governments, residents, and enterprises, they basically overcame the environmental
pollution problem in the mid-1980s eventually. In 1985, the white paper of the
OECD (Organization for Economic Cooperation and Development) says,
“Kitakyushu has turned into a green city from the gray city.” In 1990, Kitakyushu is
awarded “the top 500 global cities” title by the United Nations environment
organization.
Kitakyushu is in Kyushu Fukuoka County of the Western Japan, located
between Kyushu and Honshu. It’s a traffic artery between the western Japan and
other Asian countries. The population is 1.01 million and covers an area of
482.94 km2. Along with the developing of the revolution of Japanese industrial
revolution and the rise of capitalism in the twentieth century, Kitakyushu gradually
developed from a small fishing village into a large industrial city. The city is mainly
composed of steel industry, also has the petroleum chemical industry, metal
manufacturing, electronic machinery, and other relevant industries. From the
mid-1950s, Japanese economy stepped into the take-off stage, with all kinds of
environmental problems coming along. Kitakyushu, as one of the four big industrial
districts of in Japan, experienced serious air pollution and water pollution, with
dust, soot, and SO2 being the main atmospheric pollutants and industrial drainage
was the main sources of water pollution.
In the 1960s, the Kitakyushu government set a series of laws and regulations to
control environment pollution and to strength the supervision and management
system. Through the joint efforts from local governments, residents and enterprises,
in the mid-1980s, they basically overcame the environment pollution, also provided
many technology and experience of overcoming pollution for the developing
countries. The international society thinks highly of this achievement. In 1985, the
white paper of the OECD (Organization for Economic Cooperation and
Development) pronounced that Kitakyushu has turned from the gray city into a
green city. In 1990, Kitakyushu is awarded as “the global top 500 cites” title by the
United Nations environment organization.
In the early 1990s, Kitakyushu began the program of eco-city construction, the
main content of which is reducing waste and realizing the circular society. They
put forward that “The wastes arising from these industries might be used for those
industries and in this way the overall waste can emissions zero.” This kind of
eco-city construction idea was approved by Japan’s trade and industry in 1997,
and got much support in terms of money to accelerate the pace of eco-city
construction. The Kitakyushu ecological urban program planned to construct the
city in coastal landfill area. Specific planning of the program includes the fol-
lowing three aspects:
(I) Formation of the environmental industry. Construct a comprehensive envi-
ronmental recycling industry area, including the household appliances, waste
glass, waste plastics, and auto chip crushing. This plan will treat Kyushu
Island and apart of the state district as the target, and the recycling industry of
the waste glass and drink plastic has already begun to construct and put into
production.
(II) Development of new environmental technology. Build the technology
research center to develop new environmental technology, do researches
about the safety of the recycling and reuse technology and the feasibility of
the transition. The center also had the ability to cultivate the high new
technical enterprise and the function of the international education practice.
This plan began in 1997.
(III) Comprehensive development of the society. Construct the basic research and
education center to foster talents in environmental policies and environ-
mental technology. Set up the school of engineering for international envi-
ronment in the University of Kitakyushu. Attract university institutes from
the relevant disciplines in the area to form international environment
cutting-edge technology and information center. Fukuoka University
Institute of resources environment and environment suppression system has
decided to construct in the place. Since 1997, Kitakyushu began to put all the
plans into practice to make efforts to form large scale in all kinds of plan by
2005, and make them all fully operated.
608 K. Yu et al.
4.4 Eco-city Planning and Practice in China
4.4.1 Index System of Ecological Construction [State Environmental

Protection Administration (the Ministry of Environmental
Protection of China), 2003 Trial Implementation, and 2005
Amendment]
Eco-city Building Indicator System (Trial Implementation)
(I) Definition
Eco-city (including municipal-level administrative region) is municipal
administrative area with the harmonious development of social economy,
ecological environment, and various fields coordinated with the requirements
of the sustainable development. Eco-city is the continuation, development
and the final target of ecological demonstration zone construction of
municipal administrative area.
The outstanding feature of eco-city: a good ecological environment and
continue to a trend of higher level balance, environmental pollution basically
eliminated, natural resources to obtain the effective protection and rational
utilization; basically forming stable and reliable ecological security system;
environmental protection laws, regulations, and institution effectively
implemented; accelerating to the development of society and economy with
the characteristics of the circular economy; the human and the nature har-
moniously coexistence, ecological culture have a great progress; clean and
beautiful environment of the city and village; people’s living standards
all-round improvement.
(II) Basic Conditions

• Formulated the ‘Eco-city construction planning’, and passed the
Municipal People’s Congress, promulgated, and implemented.
• The more than 80 % counties in the whole city reached the index
requirement of Eco-county construction; urban built-up area passed the
assessment for national model city, checked, and approval of environ-
mental protection and was named.
• The above county government (including county-level) in the whole city
(including economic development zone) has independent environmental
protection agency, and it is a first class administrative unit, and the
township has a full-time staff of the environmental protection work.
Environmental protection has brought into performance evaluation con-
tent of the county (including county-level city) party committee, gov-
ernment leadership, and established relevant assessment mechanism.
• The relevant environmental protection laws, regulations, and institution

of the state and various environmental protection regulations and insti-
tution issued by local were effectively implemented.
• Pollution control, ecological protection, and construction are very fruitful,
no major environmental pollution and ecological destruction within three
years.
(III) Construction Indicators
There are three categories in indicators of eco-city construction, which
include economic development, environmental protection, and social pro-
gress, a total of 30 indicators (Table 5).
Eco-county Building Indicator (Trial Implementation)
(I) Definition
Eco-county (including county-level city) is county-level administrative area
with the harmonious development of social economy and ecological envi-
ronment and various fields according with requirements of the sustainable
development. Eco-county is the continuation, development, and the final
target of county-level ecological demonstration zone construction.
(II) Basic Conditions

• Formulated the «ecological county construction planning», passed the
County People’s Congress, promulgated, and implemented.
• More than 80 % of towns reached the assessment criteria of beautiful
environment towns.
• The above government has independent environmental protection
agency, and it is a first-class administrative unit, and the township has a
full-time staff of the environmental protection work. Environmental
protection has brought into performance evaluation content of the town
party committee, government leadership, and established relevant
assessment mechanism.
• The relevant environmental protection laws, regulations, and institution
of the state and various environmental protection regulations and insti-
tution issued by local were effectively implemented.
• Pollution control, comprehensive treatment of rural environment, eco-
logical protection, and construction are very fruitful, no major environ-
mental pollution and ecological destruction within 3 years.
(III) Construction Indicators
Index of ecological county construction has three categories, including
economic development, environmental protection, and social progress, a
total of 38 indicators (Table 6).
610 K. Yu et al.
Table 5 Index of eco-city construction

Serial Name Unit Index
number
Economic 1 Per capita gross RMB/capita ≥30,000
development domestic product
Economically ≥20,000
developed areas
Economically
underdeveloped areas
2 Annual per capital RMB/capita ≥3600
government receipts
Economically ≥2400
developed areas
Economically
3 The annual per capita RMB/capita ≥7500
net income of farmers
Economically ≥5500
developed areas
Economically
4 Average annual RMB/capita ≥16,000
disposable income of
urban residents
Economically ≥13,000
developed areas
Economically
5 The proportion of % ≥50
third industry in GDP
6 Energy consumption Tons of ≤1.4
per unit of GDP standard
coal/10
thousand RMB
7 Water consumption m3/10 thousand ≤150
per unit of GDP RMB
8 The rate of scale % ≥20
enterprises through
the ISO-14000
certification
Environmental 9 The forest coverage % ≥70
protection rate
Mountain Area ≥40
Hilly area ≥15
Plain area
10 The ratio of protected % ≥17
area in the total land
area
(continued)
Table 5 (continued)
number
11 Recovery treatment % ≥90
rate of degradation
land
12 City air quality Number of days ≥330
Southern Region better than or ≥280
equal to 2 grade
Northern region
standard/year
13 Water qualification % 100, and city without
rate of water function over 4 class water
area in the city body
The qualification rate
of water
environmental quality
of offshore area
14 The main pollutant kg/10 thousand <5.0
emission intensity RMB (GDP)
sulfur dioxide <5.0
COD Do not exceed the
control index of total
emission amount of
major pollutants of
state
15 Water qualification % 100
rate the centralized ≥70
source of drinking
water
Centralized treatment ≥50
rate of urban sewage
The repetition rate of
industrial water
16 Coverage rate of noise % ≥95
standard area
17 Harmless treatment 100
rate of urban living
garbage
The disposal and % ≥80, and no hazardous
utilization rate of waste emission
industrial solid waste
18 Per capita urban m2/capita ≥11
public green area
19 Environmental % 100
compliance rate of
tourist area
20 Environmental % ≥3.5
protection investment
ratio in GDP
(continued)
612 K. Yu et al.
Table 5 (continued)
number
Social progress 21 The intact rate of city % ≥80
lifeline system
22 City per capita area of m2/capita ≥8
paved roads
23 Urbanization level % ≥50
24 rate of gasification in % ≥90
the city
25 The central % ≥50
heat-providing rate of
city
26 Engel coefficient % <40
27 Gini coefficient Between 0.3 and 0.4
28 Enrollment rate of % ≥60
Higher Education
29 Technology, % ≥7
education funds
account for the
proportion of GDP
30 Popularization rate % >85
with the >90
environmental
protection and
propaganda and
education
Public satisfaction rate
with the environment
Table 6 Index of eco-county construction

number
Economic 1 Per capita gross domestic RMB/capita ≥25,000
development product
Economically developed ≥16,000
areas
Economically
2 Annual per capital RMB/capita ≥3000
government receipts
Economically developed ≥1900
areas
Economically
3 The annual per capita net RMB/capita ≥7000
income of farmers
Economically developed ≥5000
areas
Economically
4 Average annual RMB/capita ≥15,000
disposable income of
urban residents
Economically developed ≥12,000
areas
Economically
5 Energy consumption per Tons of ≤1.2
unit of GDP standard
coal/10
thousand
RMB
6 Water consumption per m3/10 ≤150
unit of GDP thousand
RMB
7 Organic and green % ≥20
products in the
proportion of mainly
agricultural products
(continued)
614 K. Yu et al.
Table 6 (continued)
number
Environmental 8 The forest coverage rate % ≥75
protection Mountain Area ≥45
Hilly area ≥18
Plain area
9 The ratio of protected % ≥20
area in the total land area
Mountain Area and Hilly ≥15
area
Plain area
10 Recovery treatment rate % ≥90
of degradation land
11 Air environment quality Up to the standard of function
12 Water environment zone
quality Water
environment quality of
offshore area
13 Noisy environment
quality
14 The emission intensity kg/10 <4.5
(COD) thousand Do not exceed
RMB the control index
(GDP) of total emission
amount of state
15 Centralized treatment % ≥60
rate of urban sewage
The repetition rate of ≥40
industrial water
16 Harmless treatment rate % 100 ≥ 80, and no
of urban living garbage hazardous waste
The disposal and emission
utilization rate of
industrial solid waste
17 Per capita township m2/capita ≥12
public green area
18 Environmental % 100
compliance rate of tourist
area
19 The proportion of new % ≥30
energy in rural life
energy consumption
20 The rate of % 100
comprehensive
utilization in straw
(continued)
Table 6 (continued)
number
21 The rate of % ≥90
comprehensive
utilization of manure in
large scale livestock and
poultry breeding plant
22 Recycling rate of % ≥90
agricultural plastic film
23 Integrated Prevention % ≥80
and cure rate of
Agriculture and Forestry
Pests
24 Fertilizer use intensity kg/hm2 <250
(pure)
25 Water qualification rate % 100
the centralized source of
drinking water
The qualified rate of rural
drinking water
26 The popularization rate % 100
of sanitary latrines in
rural areas
27 Compliance rate of rural % 100
sewage irrigation
28 Agricultural production % <10
system resilience (loss
rate)
29 Environmental % ≥3.5
protection investment
ratio in GDP
Social progress 30 Natural population ‰ Conform to local
growth rate standard
31 Popularization rate of % ≥95
junior school education
32 Urbanization level % ≥45
33 Engel coefficient % <40
34 The proportion of poor % <0.2
people
Economically developed <3
areas
Economically
35 Gini coefficient Between 0.3 and
0.4
(continued)
616 K. Yu et al.
Table 6 (continued)
number
36 Technology, education % ≥6
funds account for the
proportion of GDP
37 Popularization rate with % >85
the environmental
38 protection and % >90
propaganda and
education Public
satisfaction rate with the
environment
4.4.2 The Case of Eco-city Planning of Shanghai
Wang Xiangrong and his groups researched the ecological planning and con-
struction of Shanghai, and put forward that the first-class city should have first-class
ecological environment. A rational layout of the city, perfecting city infrastructure,
improving environment quality, promoting sustainable development between
economy, society, and ecological environment, constructing international eco-city
with “The sky more blue, air cleaner, clearer water, more green, living better,” are
the strategic target of the development of Shanghai. According to the demand of
eco-city and the context of Shanghai, Shanghai eco-city planning measurements
should include index system of eco-city construction, the structure construction,
and function construction of eco-city and coordination measures of ecological
relationship and so on.
Indicator System of Construction
Eco-city should be the reasonable structure, efficient function, and relationship

coordination of eco-city system and livable environment type. Reasonable structure
refers to the moderate population density, reasonable land use, good quality of the
environment, adequate green space system, perfect infrastructure, effective pro-
tection of nature; Efficient function refers to the optimal allocation of resources,
material resources into the economy, full play of manpower, smooth and orderly
physical distribution, fast and convenient information flow; Relationship coordi-
nation refers to the coordination of relationship between human and nature, the
social relationship coordination, coordination of relationship between of urban and
rural, coordination of resources utilization and update, coordination of environ-
mental stress and environmental capacity. The goals of eco-city should be clean and
beautiful of the environment, healthy and comfortable life, giving full scope to the
talents, turning material resources to good account, useful of land, the coordinated
development of man and nature, and ecological benign cycling.
The index system of Shanghai eco-city construction is a complex layer of index
system including four levels structure, the highest level indicator (0 level) is the
ecological comprehensive index, one class index under them which include urban
ecosystem structure, function, and coordination measures index; the second class
index consist of a number of similar factors which under the one class index
property, the third class index consist of a number of similar factors which under
the second class index property.
The Structure Construction of Urban Ecosystem
(I) Control the Population Size and Density and Improve the Population
Quality
At present, there are some problems in Shanghai, such as high population
volume and density, the aging of the population, large floating population,
although the number of people with higher education is highest in Chinese
cities, there is still a gap compared with the developed international cities. The
appropriate population density and the high quality of the population are the
key to the construction of the eco-city, therefore we should strictly control the
total volume and density of population. The urban population volume should
reach the planning standard value, i.e., 3500 person/km2 in 2015.
(II) Control of High-Rising Building and Reduce the Building Density
In recent years, the high-rising buildings in Shanghai spring up like bamboo
shoots after a spring rain, improve the city visage graces, and attract foreign
investment, as well as improve the living conditions. But due to the fast
development, increasing impervious areas, and unreasonable layout, there are
many potential ecological environment issues in Shanghai. Relevant data
shows, nearly 3 years, the annual high-rising building reached more than 400
buildings. There are 4000 high-rising buildings with 16 floors, ranking no.
1 in the world in October, 2009. Because of the high building density, energy
consumption, water consumption, traffic flow, and impermeable ground area
increase, the heat island effect also increase. In recent years, heat island area
in Shanghai expands further from mono-center to multi-center. At the same
time, the most original urban waterways are blocked or filled, and affects the
flood drainage capacity. Therefore, strict control of high-rising buildings,
reduce building density should be imperative.
(III) Strengthen the Greening Construction and Protect the Bio-diversity
The goals of green construction in Shanghai city are expanding the green
area, improving the coverage of green space, and improving the quality of it.
Optimization of green space structure, abundant plant varieties, reasonable
layout of green space system, give full play to ecological environment benefit
of the green land are the targets. Green construction in Shanghai should be
618 K. Yu et al.
based on the construction of large green space, greenbelt, traffic greenbelt,

and residential green space and as the focus, emphasizing on the combination
of small, middle, large green, the combination of line with face mutually, and
the combination of urban and rural. Green layout should further improve the
existing municipal and district level parks, develop residential, and a housing
estate public green space, build a series of theme parks and characteristic
parks, and develop the riverside greenbelt of the Huangpu River, Suzhou
River, Chuan Yang River, Taipu River and the Pudong canal, develop the
green belt on both sides of radiation roads, such as Huqingping, Xinsong,
Huning, Huhang, and so on. The construction of green space in the inte-
grated structure partition of the central city improves the environmental
quality.
Total 395 commonly used landscape plant species exists in Shanghai,
including 210 species of arbor, 139 species of shrub, 34 species of ground
cover, and 15 species of bamboo. The ratio of arbor to shrub is 1:3–6.
Broad-leaved evergreen plants are 218 species, accounting for 63 % of the
total, among them, only 80 are the highest frequency of use, and low
bio-diversity. Greening work should be paid attention to the development of
the zonal vegetation in Shanghai, at the same time, the varieties introduction
and cultivating of practical and ornamental exotic plants and adapted to the
ecological environment condition of Shanghai region. Vigorously develop
the urban forest, ground cover plants, perennial flowers, evergreen lawn and
climbing plants, in order to adapt to a variety of the needs of Shanghai as an
international metropolis in the green form. At the same time, we should
further strengthen the construction of urban natural reserve. In addition to the
current Chongming Dongtan migratory birds National Nature Reserve and
Jiuduansha National Wetland Nature reserve built so far, all or a part of place
located in the Hangzhou Bay port of small and large Jinshan Island, Sheshan
of Songjiang; Tianmashan, Dianshan Lake of Qingpu, Pudong, and other
places can be all or a part of the nature reserve. Currently natural reservation
area in Shanghai has reached about 12 %, and can make positive contribution
for more effectively protection and improvement of biodiversity.
(IV) To Strengthen Environmental Protection and Improve the
Environmental Quality
The city of Shanghai has been officially launched in early 2009 the Fourth
Round Three Year Action Plan for environmental protection. This program
plans to carry out 260 project construction, a total investment of over 80
billion RMB, is two times than the Third Round Three Year Environmental
Protection Action of expected investment. The program cover the seven
fields including the water environment management and environmental
protection field, atmospheric environmental governance and protection field,
noise pollution control, and solid waste utilization and disposal field and so
on. Since 2000, Shanghai has continued to increase environmental protection
investment. Environmental protection investment accounted for the ratio of
the GDP has been more than 3 % for 8 years, and the total investment
reached about 180 billion RMB. Among them, the environmental protection
investment in 2007 had reached 36.6 billion RMB. After the first few round
of 3 year environmental actions, Shanghai’s total emissions of major pol-
lutants and emissions intensity are declining. In 2007, the emissions of COD
and SO2 decreased 65 and 59 %, respectively, compared to the 2000 (Xu and
Huang 2008). Recently, environmental protection still need to grasp the
comprehensive environmental treatment for water, gas, and noise as the
center of the regulation and the development of new energy, energy saving
and emission reduction in Shanghai. In the water environment management,
it mainly focus on the urban waterway pollution remediation, completely
eliminates the black odor of Suzhou creek, further to make the creek clean,
gradually transform it into a city sightseeing creek. However, in the suburb it
mainly focus on the water quality protection of the drinking water, gradually
restores the ecological function of the rural waterway, completes the
expansion project of the water intake upstream and Chenhang reservoir.
In-depth development of ecological construction in a water source protection
areas of the Huangpu River and Yangtze River Estuary, the grass sand
reservoir; In the air environment management, We should further adopt
smoke abatement and desulfurization process, reduce sulfur oxide pollution,
at the same time, expand the development of central heating and continuous
heating, strict control of exhaust emissions of cars and pollution of CFC. The
660 km2 within the outer ring exists urban dust pollution control area.
Strengthen the management and disposal of the noise and solid waste pol-
lution, and striving the standards in the pollution control.
(V) Adjust the Structure of Land Use, Improve Infrastructure and Improve
the Level of Urban Construction
In recent years, Shanghai has made great achievements in the construction of
three infrastructure including roads, housing, and hospitals. But the original
foundation, especially roads and housing, compared with the advanced inter-
national city has a lot of distance. Therefore, we need to make greater efforts to
completely change the traffic jam, crowded housing phenomenon. In addition,
we should also complete the comprehensive planning of eco-city construction
as soon as possible, pay attention to structural adjustment, strictly control the
number of high-rise buildings and decrease trend of the cultivated land area,
and realize the target of in 2015 initially building eco-city.
The Function Construction of Urban Ecosystem
(I) Improve the Treatment Rate of the Three Wastes and Strengthen the
Urban Material Cycle
Requirements of treatment rate for the three wastes reached 100 %. At the
same time, We should recycle and comprehensive utilization to waste,
620 K. Yu et al.
imitate the natural ecosystem, and make the waste in the last production
process into raw material of the next link, achieve material recycling and
reuse. For this, we should promote the development of Industrial ecology,
promote clean production, make the relevant industrial enterprise into
Industrial Park, and make useful of the material and energy. At the same
time, we should also practice water conservation and electronically conser-
vation. Application of natural energy should be used in the place where the
natural energy can be used. We should reduce water and fossil energy
consumption, and improve the utilization efficiency of water, electricity and
other natural resources.
(II) The Construction of Fast Information Circulation System
The development of the modern society has put forward higher requirements
on information circulation. Some gaps exist in Shanghai with the interna-
tional metropolis in this aspect. Therefore, we should speed up the devel-
opment of the emerging modern means of communication including the
Internet, global positioning satellite communication system, and so on. The
government should have greater efforts to promote the hardware and soft-
ware construction of information system.
(III) To Coordinate the Relationship in Urban and Rural Ecosystems
The implement of the planning of urban and rural integration, optimization
of the spatial structure of urban and town. Urban and rural ecological
environment is closely related because of the exchange of material, energy
and information between the city and the surrounding countryside. City can
provide the products to rural villages, and villages provide resources for the
city, and handle the waste which the city can’t disposal the waste produced
by the city. The separate planning of urban and rural areas is not conducive
to the mutual coordination between the various elements of the whole eco-
logical economic system, and even produces mutual restriction. The city and
countryside is a complex ecosystem, and we should break the administrative
area boundary for planning of urban and rural integration, in order to clear
the logistics channels, to achieve a virtuous circle of urban and rural eco-
logical environment.
To strengthen urban public service facilities, and improve the quality of
resident life. We should exploit concentrated plots of residential areas,
improve the living standard of residents, In dwell district, we should provide
a complete community service facilities, form the multilevel, multi-type of
community service network, make the traffic, shopping, leisure, and educa-
tion of the residents more convenient. The emphasis of environmental quality
of residential area, strengthening of the residential green building, improving
the design level of residential construction and outdoor environment should
be made, and to meet the different needs of people. The construction of four
levels of cultural infrastructure network in the city, district (county), street
(township), neighborhood (Village), and the construction of three level sports
facilities network in the city, district (county), grass-roots enrich the cultural
life of the people.
Improve the ecological environment consciousness, and strengthen the
construction of institutional framework. Nowadays, many domestic and
foreign city ecological environment problems are caused by the lack of
ecological awareness of the decision makers, planners, managers, and the
public. Therefore, we must proceed from the popularization of ecological
knowledge, and popularized basic knowledge of ecology to the all publics
through various educational and publicity channels. Then, they will grasp the
basic principles of ecology, and understand the value of natural resources,
the function of natural environment and the position, function of human in
the ecological system. Promoting the masses consciously protecting the
ecological environment, emphasizing the resource saving and environment
friendly, actively participate in the construction of Eco-city.
The construction of eco-city need to make through leadership step by step,
Therefore, Eco-city construction should have full-time leadership mecha-
nism, and it directly responsible for the construction of eco-city in Shanghai.
We should invited other administrations including economic, planning,
resource management, planning and design, environmental protection, water
supply, greening and city, propaganda, legal system and the District, county
leaders, etc., to discuss the decision on the construction of eco-city policies,
measures, major problems, and comprehensive coordination of city ecolog-
ical construction. In the macroeconomic regulation and coordination decision
and we should explore a new mechanism of eco-city construction and
comprehensive decision according with the international metropolis.
4.4.3 Cases of Regional Ecological Planning in Nanning
Nanning, a capital city of Guangxi, has already a good foundation in urban eco-
logical construction. In 1991, Nanning won the title ‘One of the top 50 in com-
prehensive strength in China.’ In 1997, it won the national title of ‘garden city,’ and
was in the ranks of the 12 ‘garden city.’ After then, it obtained the title of ‘National
Excellent Tourism City.’ and won the ‘Chinese Habitat Environment Prize in 2002’
again. A higher goal of creating ‘Chinese Green City’ and ‘UN Habitat
Environmental Award’ were pitched for new ecological construction of Nanning in
the twenty-first century.
In 2003, the green coverage area was 4128.79 ha in the built-up area of Nanning,
and coverage ratio reached 37.47 %. The green area of garden was 395.43 hm2, of
which, public green area was 851.02 hm2 and the per capita public green area was
8.5 m2, which were increased, respectively 4.47 % and 3.8 m2 than 10 years ago;
There have 13 kinds of open park, which public green area was a net increase of
504.2 hm2 and an increase of 1.5 times than 10 years ago. The forest coverage ratio
reached 38.38 %.
622 K. Yu et al.
As the present achievement in Nanning, it has been into the ranks of national
advanced eco-city. Environmental quality of the ambient air, water, sound reached
the requirements of national environmental protection model city. The loss of soil
and water in urban surrounding areas has been basically governance. Up to now, its
urban green coverage ratio reached more than 45 %, and the ratio of green reached
more than 40 %, the public green area of per capita reached 15 m2. The planning of
Nature Reserve, Scenic Area, and the Forest Park were basically completed.
Totally, the whole city reached the requirements of national ecological demon-
stration area and established a benign ecosystem of sustainable development.
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Chapter 20
Regional Ecological Construction
Peicheng Li, Qilei Li, Jinfeng Wang, Feimin Zheng, Jianli Yuan,
Danghui Xu, Gang Wang, Xingtu Liu, Ming Wang, Zuofang Yao,
Xianghao Zhong, Xiaodan Wang, Shuzhen Liu, Daming He,
Shaohong Wu, Tao Pan and Qingwen Min
Abstract Ecological construction is the process of using engineering or biological

measures to regulate the structure and improve the ecological function of the system
according to the principle of ecology and ecological economics, and making full
use of modern science and technology and the nature of ecosystem. Ecological
construction is aimed to make a particular ecosystem meet the growing demand of
survival and development by human in that system and make the system realize
sustainable development. The connotation of ecological construction widely
includes urban ecological construction, rural ecological construction, the restoration
and reconstruction of degraded ecosystem, ecological engineering, ecological
education, and so on. Ecological construction is a key element for a region in
achieving sustainable development, it can not only improve regional ecological and
environmental quality, but also establish a good regional image, realize the
appreciation of regional intangible assets value, and promote economic growth. At
present, different regions in China have made some important progress in ecological
construction according to their own characteristics. Overall, ecological construction
is vital for sustainable development, our country is vast in territory, different regions
P. Li Q. Li J. Wang F. Zheng
Research Institute of Water and Development, Chang’an University, Xi’an 710054, China
J. Yuan D. Xu G. Wang
School of Life Sciences, Lanzhou University, Lanzhou 730000, China
X. Liu M. Wang Z. Yao
X. Zhong X. Wang S. Liu
Institute of Mountain Hazards and Environment, Chinese Academy of Sciences, Chengdu
610041, China
D. He
Asian International Rivers Center, Yunnan University, Kunming 650091, China
S. Wu T. Pan Q. Min (&)

DOI 10.1007/978-3-662-48376-3_20
626 P. Li et al.
are faced with different ecological and environmental problems, for each area, it is
necessary to identify the ecological security problems first, and then using princi-
ples of ecology and combing each subjects to improve the function of ecosystem
and to meet the demand for survival and development by local people, thus the
region could realize sustainable development.

Keywords Desertification Water loss and soil erosion Salinization Returning

farmlands to forests and grasslands Species diversity Seed bank Life history

strategy Salinity tolerance Drought resistance Soil crust Commodity grain
base Tibetan Plateau Ecological security
“Corridor-barrier” functions

Longitudinal range-gorge region (LRGR) Ecocompensation mechanism
1 The Ecological Environment and Reconstruction

of Landscape in Northwest of China
The northwest of China is a vast area with resources superiority, but its ecological
environment is vulnerable. So it is necessary to improve its condition for sustain-
able developing. In the last 10 years, some scientific researches on ecological
environment construction and reconstruction of landscape in northwest area of
China were carried by Chinese government.
1.1 Vast Land, Sufficient Sunlight, Rich Mineral, with Very

Huge Development Potential
The northwest of China is vast area, including Shanxi, Gansu, Ningxia, Qinghai,
Xinjiang, is 3.04 million km2 in total, representing 58.7 % of the total west area,
occupying 31.7 % of the whole national land area. Its population is 90 million,
accounts for 7 % of the whole country. In comparison, a vast territory with a sparse
population, the land area per capita is 3.8 hm2, which is 4.75 times the number of
whole nation, including 18.53 million hm2 cultivated land, per capita cultivated
land is 0.203 hm2, which is more than two times as much as the national per capita.
Moreover, there are 65.44 million hm2 grassland in northwest of China, 0.76 hm2
per capita, and 14.13 million hm2 forest land. Thus, the northwest area has the most
abundant land resources in China (Li et al. 1999).
Besides land resources, the solar thermal resource is plentiful in northwest area
also. The sunshine duration in this area is longest in China, which is benefit for
developing agricultural production. Take Yulin in Shaanxi province as an example,
if the efficiency for solar energy utilization increased by 2 %, the yield of sorghum
will be doubled.
20 Regional Ecological Construction 627
There are abundant mineral resources in northwest area. The coal, oil, and
natural gas are top-ranked nationwide. Nonferrous metals such as nickel, copper,
lead, zinc, cobalt, and molybdenum, rare metals such as palladium, iridium, man-
ganese, beryllium, lithium, niobium, and tantalum, precious metals such as gold,
silver, and platinum, chemical miners such as salt, sylvite, boron, and nitration,
nonmetallic minerals such as gypsum, asbestos, mica, limestone, and silicon. They
occupy very important position nationwide and provide significant material basis
for large-scale developing industrial and mineral industry and energy heavy
chemical industry. The Xinjiang Uygur Autonomous Region will be the Chinese oil
reserve base in twenty-first century and the reserves of natural gas in north of
Shaanxi is top-ranked nationwide.
This shows that the northwest area, located in the Eurasia hinterland, plays a
fundamental role on the national future development and promotion on economic
prosperity of the world. It is a vast area which is urgent to exploit. And it is also a
huge potential market. Its accelerated development will provide broad development
space and inject great vitality for national economy in west of China and the whole
country.
1.2 The Ecological Environment is Severe and Vulnerable

in Northwest of China
The ecological environment in northwest of China is very severe and vulnerable

that mainly displays in the following aspects (Li et al. 1999):
1.2.1 Low Precipitation, Drought, and Water Shortage
The northwest area of China locates in the Eurasia hinterland, obstructing by

mountains, far away from ocean, so ocean could not affect it and the precipitation in
most area is very low, the annual rainfall is lower than 400 mm, belongs to the arid
and semiarid regions. The annual rainfall in loess plateau is between 300 and
500 mm, less than 200 mm in Tsaidam Basin, less than 100 mm in Hexi Corridor,
only 29.5 mm in Dunhuang, less than 20 mm in Turpan, and less than 10.9 mm in
Nuoqiang, where there is nearly no rain in the whole year.
Because of low rainfall, the surface water capacity in northwest is about
200 billion m3/a and groundwater dynamic reserve is about 65 billion m3/a. There is
265 billion m3/a in total. It occupies 9.4 % of 2.81 trillion total water resources in
our country. The area of northwest represents 31.7 % of national territory area, but
only accounts for less than 10 % of water resources that shows the lack of water in
the northwest. Moreover, the imbalance of spatial and temporal distributions and
high sediment concentration in most rivers make big trouble on development and
water resource utilization. In recent years, the serious pollution leads the water
628 P. Li et al.
shortage worse and worse, hinders the economy development and people’s liveli-
hood improvement, results in vulnerable ecological environment.
It is important to emphasize that drought and water shortage are the most serious
ecological environment problems. The water shortage condition of each province
(or autonomous region) is showed in Table 1 on the basis of author and coauthors’
research works.
Table 1 showed that if it develops as usual in the northwest area, the water deficit is
10.82 billion m3/a in 2010 and will be 20.75 billion m3/a in 2020. The water demand
will be 100 billion m3/a in 2030 and the water deficit will be 23.1–25.6 billion m3/a
(Li et al. 1999). We should know that the water deficit amount is smaller in fact,
because the water demand amount calculation is on the basis of normal development
of northwest area without considering the all demand of “large-scale development in
west China”. The deficit amount cannot reflect the water shortage actual condition in
different regions of northwest area in different periods, so it represents average level
and lessen the time and territory difference which is obvious in northwest area.
Therefore, the severe water shortage problem in northwest is the main leading
factor of ecological environment vulnerable and the huge obstacle of playing
superiority. According to the bottleneck theory of region development, the
restrictive factors should be eliminated and the water resources sustainable supply
issue on development and reconstruction in west China should be resolved.
1.2.2 Desert and Gobi Widespread, Strong Wind that Carries Sand
and Drives Stones, Severe Habitat
The biggest deserts and gobis were spread in northwest of China. The deserts
include Taklimakan desert (0.3376 million km2), Gurbantunggut Desert
(48,800 km2), Badain Jaran Desert (44,300 km2), Tengger desert (42,700 km2), Mu
Us Sandland (32,100 km2), and so on. The total area is 0.492 million km2; rep-
resents 69 % of 0.7129 million km2 total desert area in China. The gobi area in
northwest area is 0.4175 million km2, comprises 73.3 % of the total gobi area
0.5695 million km2.
Most desert and Gobi are covered by dry sand and gravel except some small area
oasis. It is scorching hot in summer and bitter cold in winter. Strong wind that
carries sand and drives stones and water shortage threaten all lives here. The people
who work on economic activities here must make great efforts on ecological
environment reconstruction.
1.2.3 The Area of Desertization and Desertification Extending

Continuously
The desertization area in Xinjiang is up to 96,100 km2 (about 9.61 million hm2).
The oasis lost its protective screen because of natural vegetation, such as populus
euphratica forest, degenerated and died in large scale, especially the natural
20
Table 1 The water shortage predication of each province (or autonomous region) in northwest area
Provinces and 2010 2020
Regional Ecological Construction
regions Water demand Water deficit Water deficient Water demand Water deficit Water deficient
(0.1 billion m3) (0.1 billion m3) ratio (%) (0.1 billion m3) (0.1 billion m3) ratio (%)
Shaanxi 144.44 52.74 36.57 175.10 83.40 47.63
Gansu 145.80 20.80 14.26 171.80 46.80 27.24
Ningxia 102.60 4.10 4.0 110.60 12.10 10.94
Qinghai 36.90 6.96 18.70 45.70 15.70 34.35
Xinjiang 468.60 23.60 5.04 494.50 49.50 10.01
Total 898.34 108.20 12.04 997.70 207.50 20.80
629
630 P. Li et al.
vegetation around oasis is destroyed by people. So the desertization area is

increased by 400 km2 every year.
The desertization area in Qinhai is up to 0.1252 million km2 (about 12.52 mil-
lion hm2) and increased by 1300 km2 (0.13 million hm2) every year. The deserti-
zation problem also exists in Gansu, Ningxia, even Shaanxi province.
Grassland degeneration area is increased continuously in northwest. The mea-
dow degeneration area in Qinghai is up to 11.73 million hm2, accounting for 32.3 %
of total meadow area. Yield of grass and grazing capacity declined sharply because
of grassland degeneration and desertification. The grass yield per unit area in
Qinghai decreased by 30–80 % in different region compared with the yield in
1950s. The average grazing capacity in Xinjiang is only one in 1.49 hm2 because of
grassland degeneration and desertification in large scale.
1.2.4 Water Loss and Soil Erosion is Still Severe and the Macroscopic
Effect of Management is Still not Good Enough
Severe water loss and soil erosion is still the universal ecological environment
problem through many years control and management, especially loess soil covered
regions in Shaanxi, Gansu, Ningxia, and Qinghai. The distribution situation of
water loss and soil erosion area is as follows: 0.118 million km2 in Shaanxi,
representing 57.4 % of its total land area; 0.3966 million km2 in Gansu, repre-
senting 87.43 % of its total land area, including 0.105 million km2 in loess plateau;
17,800 km2 in Ningxia, representing 34.4 % of its total land area; and 75,000 km2
in Yellow River basin region in Qinghai, representing 10.4 % of its total land area.
Moreover, the amount of soil loss in northwest is very huge, especially in
Shaanxi. The sediment runoff in Shaanxi is 0.92 billion tons, constitutes one-fifth of
that in the whole country, 0.8 billion tons sediment loads of the Yellow River
comes from Shaanxi and 0.518 billion tons comes from Gansu. The total sediment
loads of these two provinces to the Yellow River is 1.3 billion tons, make up 80 %
of total amount of the Yellow River.
So water loss and soil erosion in northwest not only destroy the local production
and living environment, but also threaten the life and property security in down-
stream of the Yellow River, even the lower reaches of Yangtze River.
1.2.5 Productivity of Land Decline Sharply Because of Serious

Salinization Problem
The salinization area in Xinjiang is about 1.45 million hm2 (21.75 million mu),
takes 45 % of cultivated land area; the salinization area of cultivated land area in
Ningxia is 86,700 hm2, accounts for 26.6 % of cultivated land area in irrigation
district. Moreover, it is possible to generate salinization in new irrigation area. The
salinization problem also exists in Shaanxi, Gansu, and Qinghai.
1.2.6 River and Lake Shrink, Water Quality Deteriorate Seriously
The biggest river, Wei River in Guanzhong region of Shaanxi province dries up
sometimes. And eight rivers of “Eight water around the Chang’an” cut off fre-
quently from the latter half of the twentieth century. The rainfall is rare and the
ground water system is sparse. In recent decades, river and lake shrink and water
quality deteriorate sharply.
Tarim River in Xinjiang is the longest inland river in our country, its flow path
shortens 300 km because of human activity, leading Lop Nor disappeared. In recent
100 years, the water table of famous Qinghai Lake dropped 11.12 m and the rate of
descent is speeding up in recent half a century. Some rivers in Shaanxi have dried
already, and some became pollution discharge channel. The charming magnificent
landscape has gone and you could not find a clear river in “Eight hundreds Qin
plain” (alluvial valley and plain of Wei River in the north of Qinling Mountains)
now.
The water quantity is decreasing; wet land and marsh are shrinking; and ecology
is deteriorating badly in Jiangheyuan, the source region of Yangtze River and
Yellow River.
1.2.7 It is Mountainous in Northwest and the Ecology of Mountainous

Area Suffered Destruction
The nationwide, even universal famous mountains, such as Qingling Mountains, Ba

Mountains, Qilian Mountains, Altun Mountains, Kunlun Mountains, Tianshan
Mountains, Altai Mountains, and so on, locate in the northwest. Numerous huge
mountain systems make a big trouble on local traffic economy and culture devel-
opment. However, there are abundant mineral, forestry, and biological resources in
mountain area, where there are the repository of ice and snow and the water
resource of plain and basin.
The ecology of mountain area suffered destruction by intensive human activity,
especially in Qingling Mountains. According to the statistics in Ankang area, the
forest vegetation coverage dropped from 36.5 % in 1949 to 27 % in 1985. Take
Shangluo area as another example, it covered 0.43 million hm2 (640 mu) forest in
1950s, but only 0.265 million hm2 (398 mu) left in 1971. Half of the forest dis-
appeared, which makes the timberline go up by 300–500 m, ecocatastrophe (such as
water loss and soil erosion, landslide, debris flow, and so on) intensifies, water
quality in river deteriorates, water quantity reduces … . It is worrying that the
deteriorating trend is aggravating now.
632 P. Li et al.
1.2.8 The Survival Condition of Living Beings Is Hard, Biodiversity

Suffered Threat
The survival condition of living beings is hard and biodiversity suffered threat due
to natural and anthropogenic reasons. In recent years, the wildlife species which are
threatened by hard habitat condition account for 22.3 % of total species in Xinjiang,
some of them become extinct already. The threatened species constitute 15–20 % of
total species in Qinghai, which is above the worldwide average of 10–15 %.
1.2.9 Flora and Fauna Diseases and Insect Pests Endanger

the Ecological Environment and Life Security
The ecological environment is very vulnerable in northwest and struggle for

existence is very intensive. Because of biodiversity reduction, some noxious ani-
mals with strong fertility and adaptability, such as murid, become rampant to
destroy grassland and vegetation. In addition, some forest and crop pest are also
kinds of ecological environment problems in the project of Reconstruction of
Landscape. If we do not take it seriously, the achievement of “conversion of
cropland to forest and return grazing land to grassland” will be destroyed.
1.2.10 Some Ecological Environment and Social Problems Caused

by Local Resources Overexploitation
Pre-chairman Jiang Zemin has written instructions on the project of reconstruction

of landscape. He pointed out that the severe ecological environment in northwest is
because of war, natural disaster, and deforestation denudation. It shows that the
ecological environment problems are caused by natural and human factors.
Take the north and central of Shaanxi as examples, where the development of
history is long and human activity is intensive. In 50 years after the founding of
republic, on the one hand, large-scale afforestation and small watershed integrated
management were carried out to alleviate the disadvantage natural conditions
restrict on agricultural production and improve the local condition of people’s
production and living. It did get some achievement in the short term in the face of
powerful harsh nature. On the other hand, the demand of food, fuel, and forage
grass increasing dramatically because of population growing, result in predatory
production and operating activities, such as disorder reclamation and deforestation
denudation, overgrazing, picking medicinal herbs, and so on. All these activities
destroy vegetation, soil, water sources, and land, aggravate water loss and soil
erosion. Though some local ecological environment was improved, it deteriorated
on the whole.
In fact, many other serious ecological environment problems in northwest area

are not listed above. We can see that the northwest area of China has the most
serious ecological environment problem in the world. These problems will weaken
resources superiority and hinder the economic development and social progress.
1.3 Facing Severe Ecological Environment in Northwest

Area, Carrying Out Deep-Going Researches
on the Project of Reconstruction of Landscape
1.3.1 The Definition of Reconstruction of Landscape in Northwest

Area
The “landscape” in Chinese includes high land, desert, meadow, basin, mountain,
water, woods, field, road, irrigation area, town, and so on, covers first nature and
second nature.
“Reconstruction of Landscape” means protecting, repairing, and remolding the
first nature and the second nature with adjusting measures to local conditions to
form territory social environment with everything booming, accompanying an
interdependence and virtuous cycle habitat—beautiful landscape by means of
advanced productivity. It is according to ecology principle, sustainable develop-
ment principle, and socioeconomics principle with “civilization, glorious, rich,
health and happiness” concept.
It is to create “blue sky, green land, flourish mountain and rich people” world by
popular and visualizable expression.
Reconstruction of Landscape involves heaven, earth, and man and its aim is
equilibrium increasing in ecology, economy, and social benefit.
It is a great and onerous undertaking and needs powerful and systematic science
and technology support. Therefore, we carried out “preliminary research on
reconstruction of landscape in northwest area” from 1999 to 2002, and further
research project “significant science and technology issue and experiment
demonstration area construction on reconstruction of landscape in different eco-
logical region in northwest of China” from 2003 to 2008. The preliminary research
was acceptance checked in 2003. We also got some significant achievement in
further research, some of them are list in this section.
1.3.2 The Guiding Ideology, Research Objects, and Technical Route

of Research on Reconstruction of Landscape in Northwest Area
The Guiding Ideology
“The science and technology action plan about reconstruction of landscape in

northwest area of China” preliminary research followed the guiding ideology as
follows (Li et al. 2007):
634 P. Li et al.
1. As mentioned previously, the nature features are much worse than before
because of two powers action in long history. One is the nature force, which is
the age long, evolutional, and primary one as a whole. Another is human
impact. It is much shorter and secondary compared with the former, but is
probably drastic and dominate in local area. Thus the nature transformation in
reconstruction of landscape project should focus on two aspects. One is
transforming nature following natural law, for example, how to solve water
shortage problem in arid area; the other is restricting and amending human
harmful activities.
2. This study is carried out for afforestation and water conservancy and deserti-
fication control in northwest area for reconstruction of landscape. Project set-
tings require comprehensiveness, pertinence, succession, and innovativeness. It
focuses on practical problem solving on the premise of integrating theory with
practice to guarantee collaboration of the large-scale northwest development
and reconstruction of landscape.
3. The research was carried out from three aspects: the integration and promotion
of previous scientific and technological achievements, significant problem
research, and experimental demonstration area construction.
4. Choosing the topics according to regionalization classification management
concept considering task and target based on the actual conditions of northwest.
Most task settings should consider subject category and department of own-
ership, particularly regional characteristic. Most researches should carry out in
local area to speed up the reconstruction of landscape realization directly. It
should avoid repetition and windbaggary, following realism and truth.
5. Deal with the relationship between reconstruction and exploitation, utilization
and protection, damage and restoration and accomplish “combinating of
exploitation and reconstruction, promoting reconstruction by exploitation and
guaranteeing exploitation by reconstruction”.
6. The implement of reconstruction of landscape refers to many aspects. The
research subject design should deal with the relationship among areas, between
the urban and the rural, between economic development and environment
construction to make sure unified design, coordinate implement, division of
labor responsibility and achievement sharing.
7. It should carry out joint research on some significant common problems, such
as drought, water shortage, desertization, desertification, salinization, water loss
and soil erosion, and so on. For interprovincial river basin management, it is
better to carry out cooperative work and responsibility system.
8. Considering the big regional diversity and long process of science and tech-
nology action plan, the project designer should pay attention to joint, region-
alization, and staging. The stage, territoriality, continuity, and integrality should
be embodied in project design.
9. It should consider international cooperation and attract the technical and

economic cooperation of some brother provinces and foreign public and private
departments.
10. The government’s unified command and people’s positive participation should
be considered in subject setting because of the large-scale, strong sociality, and
practicalness of project.
Research Objects
The persistent object of this project is developing science and technology to prompt
the implement of “reconstruction of landscape in northwest area” undertaking
successfully. The accomplishment of “reconstruction” undertaking is a long pro-
cess, so the scientific research should set stage object: near-term object (2001–
2005); medium-term object (2006–2020); long-term object (2021–2030).
Technical Route
1. Integrating and matching previous achievements and promoting the application

actively;
2. Applying theory to reality, studying the significant problem, and paying atten-
tion to technological innovation;
3. Strengthening experimental demonstration area construction and demonstration
radiation;
4. Playing multidisciplinary superiority and strengthening comprehensive analysis
and research;
5. Combining management and exploitation and prompting industrialization
positively;
6. Persisting the mass route and stimulating the cadres and the masses to
participate;
7. Persisting the reform and opening-up policy and striving for international
cooperation;
8. Emphasizing ecology, economy, and society comprehensive benefits.
1.3.3 The Regionalization of Ecology–Economy–Society

in Reconstruction of Landscape in Northwest Area
The ecology–economy–society factors were considered synthetically in the

regionalization of reconstruction of landscape. It provides science and technology
support for the reconstruction of landscape project construction and different type’s
experimental demonstration layout and the basis for governmental macro
636 P. Li et al.
decision-making by carrying out and implementing scientifically reconstruction of

landscape regionalization research (Li et al. 2007).
In this strategic research, the first-level regionalization research focus on eco-
logical and economic factors, the social factor will be considered in second-level
and third-level regionalization researches in the future. In the first-level regional-
ization, the northwest area was divided into 12 first-level regions considering
ecological environment and economic activity. They are as follows:
The Strict Conservation Area of Mountain Ecological Environment
Some famous mountains locate in northwest, such as Qingling Mountain, Ba

Mountains, Qilian Mountains, Altun Mountains, Kunlun Mountains, Tian
Mountains, Altai Mountains, and so on. Mountains are the natural barriers of plain
and basin. The stored ice and snow and conservation moisture in mountains are the
important water resources. Deforestation denudation, disordered mining and dis-
orderly hunting lead to forest deterioration, grass coverage rate decrease, water loss
and soil erosion, landslide, debris flow aggravation, river water quality deteriora-
tion, water quantity reduction and biodiversity damage … . In a word, intensive
human activities result in mountain ecological environment deterioration. It should
be protected by powerful measures.
The Prevention Area of Desertification
The Taklimakan Desert locates in Tarim Basin and Gurbantunggut Desert locates in
Dzungaria Basin in Xinjiang. Ulan Buh Desert, Tengger Desert, and Badain Jaran
Desert surround the north boundary of Ningxia and Gansu, so it is an important
ecology task to prevent deserts invading southward. The serious desertification,
vegetation, and grassland degeneration influence the development of husbandry
because of drought climate and sand storms hazards.
The Ecological Active Maintenance Area in Gobi and Desert Plateau
The barren gobi is distributed widely in the east of Xinjiang and west of Gansu. The
ecological environment is very atrocious there. It is a serious issue that how to
change this condition. Gobi maintenance is the way to prevent its further expansion
at present. If there is water diversion to gobi area in the future, it is possible to form
semi-oasis and oasis gradually and develop there.
The Reasonable Development Area of “Conversion of Cropland to Forest

and Grassland” and Water Loss and Soil Erosion Management Area
in Loess Plateau
Severe water loss and soil erosion is the common ecological environment problem
in northwest area, especially in loess plateau in Shaanxi, Gansu, Ningxia, and
Qinghai. There are thousands of furrows, loess hills, and ridges in this region
because of wind erosion and water erosion. The water loss and soil erosion area is
vast, and soil erosion is also very big in this region, which is the main
sediments-producing area of the Yellow River. It should strengthen comprehensive
treatment and carry out large-scale popularization actively for reconstruction of
landscape on the basis of summarizing and applying previous achievements, like
implementing in Zhuanglang County in Gansu province.
The Ecological Intensive Governance Conservation Area in River Valley

Plain
The river valley plain is the crucial economic development zone in northwest area,
such as the Wei River valley plain area (the Guanzhong Plain), the Yellow River
valley plains (the Yinchuan plain), and so on. The ecological environment is
advantageous in this area. It is a prosperous place since ancient times. Agriculture,
industry, science, education, and culture concentrated here, with developed urban
traffic and prosperity economy. The high-level industrialization and dense popu-
lation make a big pressure and adverse impact on ecological environment, such as
environment pollution, water contamination, river dry, and so on. So it should pay
attention to prevent the destroying ecological environment by human activity, the
pollution prevention and control, water saving and reasonable allocation of water
resources.
The Ecological Maintenance Control Area of Intermountain Basin

and Plateau Basin
The intermountain basin is rich and populous place in northwest area, such as Hami
basin and Turpan basin in Xinjiang. The unique ecological environment provides
condition for specialty amphisarca and economy development in basin. But the
ecological environment stress is very big because of dense population. For example,
more karez were excavated in Turpan basin and the water quantity is decreasing
gradually. So maintenance and protection of local ecological environment should be
strengthened.
Qaidam basin in Qinghai is a large-scale basin in northwest area. It is famous for
its abundant mineral resources nationwide, such as sylvite, sodium salt, lithium
638 P. Li et al.
magnesium rock (grit), mirabilite, and so on. But the strong sand wind, vegetation
degradation, desertification, soil salinization, and ecological environment deterio-
rate caused by mine exploitation should be prevented and controlled actively.
The Ecological Preservation Area in Piedmont Plain (Including Oasis)
Different size of piedmont pluvial alluvial plains were distributed in submountain

region of most mountains in northwest area, such as the piedmont plains in the
north and south foot of Tianshan Mountains, the north foot of Kunlun Mountains in
Xinjiang, the north foot of Qilian Mountains in Gansu. These plains are the
important areas of industrialization and economic development with abundant land
and water resources. There are different size oases in some region with good soil
and water condition. Most oases locate in the middle to lower part of piedmont
plain, so soil salinization is a common problem. The water quantity reduced sharply
in downstream of some rivers leading desertification in natural oasis in downstream
plains because of building reservoir and retaining water in upper and middle
reaches. The piedmont plains in arid and semiarid area play a key role in economic
development, so it is necessary to maintain ecological environment and enhance the
reasonable allocation of water resources and the prevention and control of
salinization.
The Conservation Area of Alpine Plateau Grassland, the Source Regions of

Yangtze River and Yellow River and Rare Creatures
Alpine plateau in Qinghai is the headstream of Yangtze River and Yellow River. It
is famous of rare animals and plants in alpine grassland. It has alpine drought,
desertization, intensive desertification, wetland and greenbelt shrink, conservation
water function declined, grassland degradation, severe rats and pests, biodiversity
reduction, and salinization problems in this region. The ecological environment has
significant meaning in this region, so it is necessary to manage and protect actively
by means of effective measures.
The Protection Area of River, Lake, Reservoir, and Aquatic Life
The river, lake, reservoir, and groundwater are the precious water resources in
northwest area and the important foundation of existence and development. The
rivers and lakes shrinking, dry up, and cut off, groundwater overexploitation, water
pollution and aquatic life decreasing happened because of unreasonable utilization
for many years, leading water environment deterioration. Thus, water shortage
phenomenon appears, such as oasis ecosystem deterioration, vegetation recession,
desertification aggravation, and so on, it is urgent to protect all kinds of water

bodies by means of effective measures.
Pollution Prevention and Control Area in Urban and Peri-urban Area and
New Water Loss and Soil Erosion Area
Urban beautification is the key character of urban modernization, including

buildings beautification, coordination layout, gardens, greening, roads, traffic, neat
typing, and civilization. It is called “garden city” for short. People who live and
work in it will enjoy the beauty.
In recent years, the urban construction develops fast. Cities have completely new
outlook because of paying attention to urban landscaping and water body con-
struction. But the pollution problem in rural–urban fringe is still serious, such as
black sewage, foul water, garbage, and so on. The “zip object” still exists because
of repairing road and laying all kinds of pipeline, leading some environmental
problems, such as water loss and soil erosion, big noise and air dust.
Urban and its periphery is a local window, so it must strengthen governance to
build good urban ecological environment.
Cropland Landscape Area and Pollution Prevention Area in Countryside,

Town, and Village
The countryside, town, and village have vast area. It is necessary to change concept
to build new beautiful countryside, town, and village. There is the construction
model of “village beautification” in every province and region. So it should build
new characteristic beautiful villages and small towns according to local condition.
Cropland construction is mainly to build protection forest and “green food” area.
Meanwhile, it should pay attention to environmental health and the possible
arrangement of people, livestock, and birds to create new village graceful envi-
ronment and reconstruct landscape.
Ecological Environment Construction Area of Energy Base and Township

Enterprise, Prevent and Control Pollution Area and New Water Loss and
Soil Erosion Area
The northwest area, with abundant resources, is the construction area of national
energy resources and heavy chemical industry base. Energy base construction
should conduct environmental protection exploitation, prevent and control pollution
and new water loss and soil erosion and pay attention to the ecological environment
restoration and landscaping construction after exploitation. Township enterprise
640 P. Li et al.
should change the bad habits of “product regardless of ecological environment” to

prevent and control pollution and new water loss and soil erosion, maintain eco-
logical environment. These are the basic conditions of a prosperous enterprise.
1.4 The Main Contents of Science and Technology Action

Plan Research on Landscape in Northwest Area
of China
The main content of science and technology action plan research on landscape in
northwest area of China includes three sections according to three aspects guiding
ideology: the integration and promotion of previous relevant achievements, sig-
nificant problem research, and experimental demonstration area construction.
1.4.1 The Integration and Promotion of Previous Relevant

Achievements
The integration and promotion of previous relevant achievements are listed as

follows according to its property: territorial resources, agricultural regionalization,
survey achievements integration, ecological agriculture research achievements,
comprehensive treatment technological achievements of different small watershed
in loess plateau, key technological achievements of soil and water conservation,
wind prevention and sand fixation and desertification treatment technique
achievements in wind-blown sand area, salinization prevention and control tech-
nique achievements, research achievements on tourism resource and its exploita-
tion, dryland agricultural technical system achievements in different ecotopes,
scientific research achievements on shelterbelt networks construction, meadow and
grassland improvement and rodent control technique achievements, graziery pro-
duction technological achievements in rural area, courtyard economy development
and special cultivation technique achievements, efficient facility agriculture tech-
nological achievements, medium and low-yield field improvement comprehensive
technical achievements, water-saving and water resource utilization technology
achievements in irrigation area, famous quality local melon and fruit cultivation and
process technology achievements, renewable energy resource exploitation and
utilization technological achievements in rural area, environment protection and
cropland pollution comprehensive treatment technological achievements, and so on.
1.4.2 Preparing to Carry Out the Significant Problems’ Researches
It is preparing to carry out 16 projects, including 98 subjects. They are listed as

follows:
The Reexamination and Supplemental Investigation of Economy–Society–

Ecology Environment in Northwest Area and Information System
Establishment
The northwest area is vast. Though some comprehensive investigation and regional
geological survey were carried out in different regions in this area regardless of
ecological environment, the information is not complete. So it is necessary to
conduct comprehensive investigation on ecological environment for implementing
reconstruction of landscape successfully. Moreover, it is better to set up relative
integrity comprehensive information database with ecological environment, econ-
omy, and society information to adapt the accurate implementing and dynamic
tracking of reconstruction of landscape science and technology action plan in
northwest area (“978 plan” for short). So three researches were carried out as
follows:
1. Accomplishing ecological environment background investigation and mapping
of “978 plan” applying “3s” new technique (complete the investigation in 2003).
2. Establishing economy–society–ecology environment comprehensive informa-
tion system on landscape in northwest area.
3. Constructing water–soil–light–heat–air–plant–human being (human activity)
eco-environment system fixed-point monitoring and forecasting station in dif-
ferent regions (building with base construction).
The Research on Nature Historical Vicissitude and Heaven–Earth–Man

Interaction in Northwest Area
With regard to the vulnerable ecotope in northwest area, people have the consensus
that it is caused by natural deterioration and bad human activity including war. But,
for the vast northwest, how does nature change? How is the intensity of process?
How is future trend? For the environment deterioration, where is mainly caused by
natural calamities. Where is mainly caused by man-made misfortunes. And what is
percentage of the natural calamities and man-made misfortunes? How to acquire
farsightedness by means of scientific research? The answers of these questions will
play a very significant role in dealing with the relationship between nature and
human being correctly, preventing blindness action and inaction and guiding
management and “reconstruction” correctly.
642 P. Li et al.
The relevant subjects are as follows:

1. The geological history in northwest area and relevant loess region: Qinghai
plateau, loess plateau, Tarim basin, Qaidam basin, Hexi Corridor, and
Yulin-Yanchi wind-blown sand area;
2. The textual research on climate vicissitude in northwest area and adjacent
regions;
3. The textual research on the loess plateau natural vicissitude, vegetation change,
and human-economy-social activity vicissitude (Starting from the formation,
focusing on since 5000 years);
4. Water body dynamic process and the reason analysis of shrink and dried-up in
Qinghai lake and Lop Nor.
Ecology–Economy–Society Comprehensive Regionalization and Staging

Research on Reconstruction of Landscape in Northwest Area
The northwest area is vast. The nature and socioeconomic condition are distinct in
different provinces and regions, even the regional disparity is prodigious in each
province or region. How to act appropriately to the situation? Conducting man-
agement and exploiting by regionalization and stages, taking the experience gained
at one unit and popularizing it in a whole area, from part to whole, from the recent
to forward, to realize the overall objective of “reconstruction” step by step. This is
the crucial decision-making thought and will be listed as important projects in this
science and technology action.
The reconstruction of landscape ecology–economy first-level regionalization
preliminary was finished in the earlier study by reconstruction of landscape
regionalization in northwest area. The first, second, and third levels of ecology,
economy, and society regionalization will be conducted in further research project.
Thus, some subjects of this research are listed as follows:
1. Subarea conditions in past 50 years, including the collection of agricultural
zoning information;
2. The principle of zoning and staging; the hierarchical formulation of zoning and
staging;
3. Selecting content and appropriate plotting scale of regionalization map;
4. Making regionalization map;
5. Writing specification of regionalization map.
Soil Conservation, Water Storage, Farmland Building, and Slope

Revegetation Science and Technology Action in Loess Plateau
The loess plateau covers parts of Shaanxi, Gansu, Ningxia, and Qinghai. Complex
geomorphic type, fragmented surface, sparse vegetation, severe water loss and soil
erosion, and frequent drought are the main ecology problems in this area.
After republic foundation, central and local governments call for people to
prepare soil, repair field, afforest, green slope, improve water and soil conservation,
and make a great progress. Especially since 1980s, the small watershed compre-
hensive management has achieved a series of achievements and experiences. But
the water loss and soil erosion is not controlled effectively from a macro point of
view, so it is in “reconstruction of landscape” research list as follows:
1. Agriculture water conservation and conservation tillage cultivation technique in
loess plateau;
2. The optimum construction of big agriculture (crop, fruit tree and grass) con-
sidering local condition and the establishment of corresponding ecological
agriculture demonstration in loess area;
3. The flat parts of dryland–slope land–cheuch–watercourse water loss and soil
erosion system analysis and intensified water conservation macroeffect
research;
4. All kinds of land (the flat parts of dryland, cheuch, slope) efficient utilization
and local fruit trees (persimmon, jujube, apricot, pear, plum, and so on) cul-
tivation techniques;
5. Rainwater harvesting, water storage, water conservation, water-saving match-
ing comprehensive technical standard, rained farming research;
6. Efficient terraced field and dam land water conservation system and old terraced
field remolding;
7. Optimum land condition for conversion of cropland to forest and grassland,
forest establishment key technology;
8. Water conservation type roads construction in loess area;
9. Water conservation type livestock selecting and the feeding model;
10. Developing chemical water conservation method and technique like surface
protection coagulating agent specific to arsenic sandstone;
11. The feasibility and relevant technique of planting sea buckthorn to stabilize
sands in arsenic sandstone area;
12. Water–soil–light–heat–air–plant ecology system monitoring and regulation and
control mechanism in loess plateau.
Desert Control and Soil Improvement in Tarim Basin, Qaidam Basin, and
Hexi Corridor, Oasis Construction Agricultural Science Action
The ecological characteristics of above-mentioned basins are as follows: low pre-

cipitation, poor surface water, most rivers are inland rivers, in which the flow is
controlled by glacier and snow; strong evaporation, most of the region is arid and
semiarid region; vast desert and gobi distributed, threatening the surrounding land
by desertification. And there are some severe ecological environment problems,
such as rivers shrinking, lake water salinization, dry up, natural forest degeneration,
land desertification, grassland degradation, soil salinization, and frequent sand–dust
weather.
644 P. Li et al.
On the other hand, some advantages exist in this region also: abundant
groundwater, some oasis with good condition, rich solar thermal resources and land
resources, plentiful petroleum and natural gas, and so on. So it has a bright future of
large-scale development.
For the reconstruction of landscape in this region, some research subjects should
be carried out:
1. The desertification prevention and control in the downstream of Tarim River,
the research and demonstration of territorial comprehensive management
technology;
2. The desert area (especially in Hexi desert area) comprehensive management in
Gansu province;
3. The advantages and disadvantages analysis on present development mode of
inland rivers and the best development plan study;
4. The search, development, and utilization of groundwater in piedmont alluvial,
pluvial regions, and desert area;
5. Oasis farming shelter forest system model;
6. The research on developing deserticulture.
Preventing Sand, Garden Making, Forest Planting, and Seeding in

Yulin-Yanchi Wind-Blown Sand Area, the Construction of Ecological
Agriculture Science and Technology Action
The Yulin-Yanchi wind-blown sand area in Shaanxi locates along the Great Wall,
about 50,000 km2. The advantages in this region are vast land, plentiful light
resource, sufficient groundwater, and abundant oil, gas, and coal. The main eco-
logical environment problems are sandstorm striking, desertification threatening,
and intensified water loss and soil erosion caused by large-scale energy develop-
ment in ecologically vulnerable area.
1. The groundwater formation condition, water and soil resource evaluation and
rational development and utilization in wind-blown sand area;
2. Prevention and control of desertification comprehensive technical measures in
wind-blown sand area;
3. The impact assessment of energy development on the ecological environment
and relevant countermeasures;
4. The ecological environment problems caused by exploitation of energy
resources, construction of cities and towns, and development of township
enterprises in ecologically vulnerable area;
5. The benefits survey of the present protection forest in wind-blown sand area, the
continued construction scale and density, the selection and collocation of
optimum tree species;
6. The best ecological agriculture model (entity) of compound management with
farming, forestry, animal husbandry, fruit trees, vegetables, and others in
wind-blown sand area.
Mountainous Area Development and Green Protection Science and

Technology Action in Qingling Mountains, Qilian Mountains, Kunlun
Mountains, and Tianshan Mountains
As mentioned above, the nationwide, even universal famous mountains, such as

Qingling Mountains, Ba Mountains, Qilian Mountains, Altun Mountains, Kunlun
Mountains, Liupan Mountains, Tianshan Mountains, Altai Mountains, and so on,
locate in the northwest area. The human activity is intensive in Qingling Mountains,
Qilian Mountains, Kunlun Mountains, and Kunlun Mountains. Especially in
Qingling Mountains, the ecological environment caused by human activities is the
most serious. The Qilian Mountains come second. The main problems are forest
and vegetation destroyed, forest shrink, snow line up, water loss and soil erosion
aggravation, and environment problems caused by disorderly mining. The deteri-
oration of mountainous ecology environment directly threats the plain region,
which take mountains as protection screen. Thus, “reconstruction of landscape”
should give enough attention on mountainous area.
1. Water loss and soil erosion mechanism, topsoil protection, and mountainous
land and water resources rational utilization in rocky mountain;
2. The protection of forest and biodiversity in mountainous area;
3. Mountainous area clean, rational mining, the protecting of vegetation, soil and
water quality;
4. The glacier dynamics and its environmental implication on rivers, forest, and
vegetation;
5. Mountainous area economic development mode and its support system;
6. Mountainous area communication and transportation and corresponding
machines;
7. The prevention and control of landslide and debris flow geological disaster;
8. Tourism resources development, recreation site construction, and ecological
environment protection in mountainous area;
9. Man–land relationship, population policy, poverty alleviation, and poverty
elimination in mountainous area.
646 P. Li et al.
Large-Scale Common Water Matter Activity and Ecological Irrigation

District Construction Science and Technology Action in Arid Area
of Northwest
Water is the most important factor of northwest development. Besides carrying out
researches in different regions as mentioned above, there are some common,
large-scale, lack researches water problems which are urgent to make breakthrough
in implementing “reconstruction of landscape” project.
Therefore, some subjects are selected as follows:
1. The ecological environment, water source dynamic, and the prevention dete-
rioration countermeasures in source region of the Yangtze and the Yellow
River;
2. The optimum plan of interbasin water diversion to northwest area for “recon-
struction of landscape” project implementation and relevant ecological envi-
ronment problems;
3. Water resources comprehensive assessment and optimum exploitation and
utilization mode in mountainous area in Xinjiang and Hexi area under the
glacier snow-river flow-groundwater-overflow region hydrologic cycle
condition;
4. The features of inland river, the interaction between inland river and human
activity and its rational exploitation;
5. Water resource efficient utilization in high-lift pumping project from the Yellow
River in Shaanxi, Gansu, and Ningxia;
6. Tri-water (surface water, groundwater, and atmospheric water) transformation
mechanism and regional water resources optimization;
7. Water quality protection, wastewater reclamation, and wastewater irrigation
development;
8. Brackish water utilization and its development and utilization;
9. Wells and canals combination in irrigation district to regulate groundwater table
and prevent and control soil salinization;
10. Irrigation district reconstruction and water-saving technique method system;
11. Ecological irrigation district construction in different regions.
Grassland Management, Grass Industry Construction, and Animal

Husbandry Development of Large-Scale Common Science and Technology
The vast grassland in northwest area is about 65.44 million hm2, is a vast ecology
area with its own characteristic. Carrying out “reconstruction of landscape” project
here not only has significant meaning for developing animal husbandry and prat-
aculture in northwest area, but also plays decisive role to protect ecology and realize
beauty landscape.
But the grassland in northwest suffered desertification, rodent damage, over

grazing, and disorder reclamation, which is the big obstacle for realizing beauty
landscape. Some subjects were selected as follows:
1. The grassland presents situation investigation and analysis and ecological
assessment;
2. The prevention and control of grassland degradation to improve the yield of
grass;
3. The grassland protection, the determination and adjustment method of reason-
able grazing capacity;
4. The rodent damage in grassland and the prevention and control of other main
disasters;
5. The prevention and control of grassland desertification;
6. The development of grass industry;
7. Grassland irrigation;
8. Ecological grassland construction.
Trans-Provincial Shelterbelt Networks and Large-Scale Forest Network

Construction Science and Technology Action
Afforestation occupies very important position in “reconstruction of landscape”

project. It is one of the significant contents in almost every action mentioned above.
But the large-scale forest belt and forest network may cover different province and
region, occupy large area or influence other regions, involving protection,
replanting, and comprehensive assessment, so it will be listed as one science and
technology action in this project.
1. The construction region selection, planning, and design of future large-scale
forest belt and forest network;
2. Adaptive tree species arrangement and survival rate improvement;
3. Artificial forest (including woodland) protection and ecological environment
benefit observation;
4. Fast-growing tree species and the construction of fast-growing forest;
5. The long-term observation of forest environmental effect;
6. The ecological environment negative effects and countermeasure of forest
tourism resource development.
Industrial and Agricultural Pollution and Urban and Rural Ecological

Environment Co-construction Science and Technology Action
Industrial, mining, urban construction, and the township enterprises construction

not only pollute local town, but also trigger ecological damage and environmental
pollution in rural area and agricultural production. Moreover, the agriculture
648 P. Li et al.
developing, agricultural activities intensifying, and plenty of pesticides and fertil-

izers applying will pollute cities directly or indirectly, which hinder the implement
of “reconstruction of landscape” project. Thus, some subjects were selected in terms
of co-construction of good ecological environment in urban and rural areas.
1. The pollution of city smoke–dust drift, sewage discharge and garbage dumping
on suburban environment, and agriculture products (fruits and vegetables) and
its prevention and control countermeasures;
2. The negative effect of farming activities (applying fertilizer and pesticide) on
ecological environment and its countermeasures;
3. Ecological environment protection of sightseeing district in rural area;
4. The sanitation management and water and soil resources health protection of
township enterprise.
The Famous Special Rare Agriculture, Animal Husbandry, Fruits,

Vegetables, Herbs, and Other Industry Products and Their Industrialization
Construction in Northwest Area
Sufficient sunlight, large temperature difference between day and night, various soil,
complex landform, and diverse environment in northwest area produce a great
variety of famous special rare agriculture, animal husbandry, fruits, vegetables,
herbs, and other industry products. Along with the economic development and
social progress, it is urgent to realize product industrialization which is the con-
stituent part of “reconstruction of landscape” project. Some science and technology
problems were listed in this project. Some subjects are as follows:
1. The production place, yield, and quality evaluation of famous special rare
agriculture, animal husbandry, fruits, vegetables products;
2. The industrialization of quality local agricultural products;
3. The storage, transportation, and processing of quality local fruits and vegetables
products and their industrialization;
4. The industrialization of quality local animal husbandry products;
5. The rational development of quality local wild resource products and their
industrialization;
6. The production modernization and merchandising of Muslim and ethnic food.
Sinicism Rural Urbanization Process and the Optimized Model in Northwest

Area
The entire world is facing urbanization process, China is no exception. But China
has its own national conditions: much peasant population, less per capita cultivated
land, peasant household farming style in quite a long period. Although residence
dispersion, most of them are in cultivation area, the traffic is convenient, excessive
concentration living results in cultivation of traffic problems. In addition, restricted
by water supply, pollution discharge, and refuse disposal condition, it is demanded
to develop rural urbanization in China by her own way in “reconstruction of
landscape” project. Thus, some subjects are listed as follows:
1. The strategic research of urbanization overall development in northwest eco-
logically vulnerable area in “reconstruction of landscape” project;
2. The suitable density and scale of urbanization and regional general layout in
different ecology–economy–society region in northwest;
3. The ecological small town construction model in vulnerable ecological area;
4. Save the cultivated land in various aspects of northwest urbanization process:
residential building, road network, green belt, public utility, and so on.
The Investigation, Plan, Exploitation, and Ecological Environment

Protection of Tourism Resource in Northwest Area
Complex and diverse natural condition, extraordinary landscape, and colorful

scenery in northwest area create many tourism resources. It should be investigated,
planned, exploited, and utilized cooperating with “Development of the west
regions” and “reconstruction of landscape” to develop local economy, overcome
poverty and achieve prosperity, promote acceleration of development and recon-
struction implementation.
But, most of these tourism resources are in vulnerable ecological environment
area or its own is the ecologically vulnerable body. The unreasonable development
will destroy ecological environment definitely, so it is necessary to carry out
researches to prevent and control ecological environment deterioration. Some
subjects were selected as follows:
1. The investigation and rational exploitation of tourism resource in different
ecological landscape area, including loess land, Gobi desert, grassland pasture,
mountain forest, inland water bodies, and so on.
2. A series of tourist attractions development along the Silk Road;
3. The ancient and modern tourism network composition and development in the
central Shaanxi plain;
4. National customs tourism resources development;
5. Multinational tourist route choice and development;
6. The ecological environmental protection in vulnerable ecological regions tour-
ism development.
650 P. Li et al.
The Sunshine Project Science and Technology Action in Reconstruction of

Landscape
The sunlight is sufficient and wind is strong in northwest of China. Make full use of
these plenty clean natural energy, develop, and utilize them adjusting measures to
local conditions to serve production and live, alleviate villagers’ pressure on energy
shortage. Thereby, it is necessary to bring the enthusiasm into protecting forest and
vegetation and landscaping in the meanwhile of improving their living conditions.
Thus, some subjects were selected as follows:
1. The sunshine development instruments and installation in countryside of China
(such as sunshine pump, solar water heater, solar cooker, solar hauling machine,
and so on);
2. Pneumatic tools in sandy region of China (such as wind-driven water pump,
wind mill, wind-driven generator, and so on);
3. The energy storage way and facilities of solar energy and wind energy;
4. Geothermal exploitation and utilization.
The Population, Education Policy in Northwest Area, Raising Farmers’

Quality of Cultural, Science, and Technology
1. Implementation of “development of the west regions” and “reconstruction of

landscape”, northwest talent strategy research;
2. Talent development policy in northwest, cadre of science and technology
appropriately extended length of service;
3. Expanding the scope of the compulsory education, increase national education
career support and efforts appropriately;
4. The population carrying capacity of different ecological regions in northwest;
5. Carrying out population emigration policy, mode and appropriate migration
region in extremely ecologically vulnerable area;
6. The possibility, migration patterns, migration region, and relevant policy on
migrating to northwest from other regions;
7. The action mode of reclamation forces and engineering corps in development
and “reconstruction”, the co-construction of soldiers and civilians.
1.4.3 The Experimental Demonstration Area Construction

of Reconstruction of Landscape Science and Technology Action
in Northwest of China
The “reconstruction of landscape” plan is a great cause for desertification control,

afforestation, water conservancy, nature transformation, overcome poverty and
become prosperous in rebuilding the landscape of mountains and rivers. Its
realization not only needs a long period, but also multidisciplinary joint research.
According to the regional governance experience in China, select appropriate
region, concentrate intellectual, financial, and material resources input, carry out
science experiment and the demonstration model to popularize in large-scale area at
the same time of obtaining theoretical results. The demonstration model-experiment
demonstration base will play a role on personnel training and scientific propaganda.
Thus, the experimental demonstration area construction is the important part of
the “reconstruction of landscape” science and technology action (Li et al. 2006).
1.5 Test Area Construction and Mode
In the reconstruction of landscape scientific research in northwest area, we carried

out strategic research to design 100 experimental demonstration regions which
should be built in different ecological region in the future. Eight test areas of them
were selected to carry out constructive research. It achieved success and formed
distinctive promotion modes as follows.
1.5.1 Soil and Water Conservation Type Ecological Agriculture

Reconstruction of Landscape Mode in Hilly-Gully Region
of Loess Plateau (The Ansai County Test Area in Shaanxi
Province)
1. Evaluate the land resources quality in Ansai County, divide Ansai County into
three “reconstruction of landscape” construction subregions (south, middle, and
north) and put forward the direction and content of soil and water conservation
type ecological agriculture construction in different areas.
2. Study the key technology of soil and water conservation type ecological agri-
culture construction in different areas, put forward the selection and arrangement
principle of afforestation tree species in suitable site, the building model and key
technology of arbor–shrub–herbaceous plant in different areas.
3. Formulate whole county orchards macroscopic development planning and good
quantity-high yield-increase income technical system.
4. Apply analytic hierarchy process to select drainage basin health evaluation
indicators to quantize “reconstruction of landscape” scientifically.
5. Bring out the key technology for high yield by means of improving soil
nutrients efficient conversion and water utilization in basic farmland. Establish
“reconstruction of landscape” ecological agriculture mode and popularize it in
Ansai County and Yan River Basin to acquire huge comprehensive economic
benefits.
652 P. Li et al.
1.5.2 Manage Gully and Slope Reconstruction of Landscape Mode

in Hilly Area of Loess Plateau (Mizhi Test Area in Shaanxi
Province)
1. Put forward efficient intercropping with plastic and straw mulch and improve
rainwater use efficiency by more than 20 %. The plastic mulch grain yield
increased by 20–40 % of control grain, the dry land grain yield per mu is up to
850–900 kg.
2. Put forward sloping fields classification management technical specification and
forest-grass model to form plastic film mulch high-yield farmland in slop land
with 10°–15° gradient. In the meanwhile, put forward water detention and
storage simultaneously, drought resistance and cold resistance, matching species
with the site planting technology to increase farmers’ economic benefits and
acquire ecological benefits at the same time.
3. Introduce courtyard economy and carry out “chicken-pig-marsh gas-vegetable”
cycle mode to increase farmers’ income greatly.
4. Study and develop suitable local rain harvest and utilization technology, pop-
ularize water collecting, and supplying bag processed by plastic film and film
mulching for water holding drip irrigation system.
5. Adjust the industrial structure and introduce selected 32 improved varieties,
such as Xiangkui 9012, Qingu No. 4, Zanhuang jujube, and so on.
1.5.3 Terraces Efficient Development Reconstruction of Landscape

Mode in Loess Hilly-Gully Region (Zhuanglang County Test
Area in Gansu Province)
1. Apply 3s technology to divide experimental demonstration area. Carry out

comprehensive treatment of loess hill, terrace, gully, and dam. Construction
optimized ecological environment as “planting sea-buckthorn and Chinese pine
on the top of hill, fruit tree in terrace, forage grass and caragana microphylla
along ridge, forest and grass on the bottom of gully, construct reservoir and dam
on the bottom of gully”.
2. Give full play to the advantages of terrace, propel second development and carry
out high standard broaden terrace construction for small pieces of terrace;
popularize compound planting with economic forest, fruit tree, and grain crop;
build gully dam system, sediment retaining and depositing, impounding and
construct “Tri-high” agriculture with high yield, high quality, and high effi-
ciency. Implement “conversion of cropland to forest and grassland” scientifi-
cally and improve land efficiency.
3. Study the utilization model of terrace, such as rain harvesting for irrigation
mode, orchard vegetables mode, quality local product mode, and so on. Carry
out researches on terrace high-efficient development technical system with
“terrace + mulch (gravel covered) + special crop + interplant + supplemental

irrigation”.
4. Bring in high quality, high yield, drought resisting, and excellent comprehensive
characteristic crop varieties, apply water-collecting efficient agricultural tech-
nology, including winter wheat plant with water collecting on membrane sides,
maize plant with double ridge and furrow and “one film two function”
water-collecting planting, maize plant with mulching in autumn, spring-sown
crops with plastic film mulching and injecting water seeding, potato pit planting
to gather fertilizer for high yield, to improve farmland economic benefits and
increase farmers’ income steadily.
5. Retain rainwater with various approaches, combine rainwater harvesting agri-
culture with traditional dry farming techniques to form dry land rainwater
harvesting high-efficiency agriculture comprehensive technical system with
“terrace + water cellar + variety + mulching film”.
6. Ecological energy construction technology in loess hilly and gully region: build
up biogas digester, hog house, toilet, solar greenhouse, rainwater harvesting for
irrigation “five in one” positive cycle production model taking solar energy as
power. Moreover, popularize using solar oven.
7. Carry out the researches and development on “Dam system agriculture”: build
33 key dams and warping dams in the whole county.
1.5.4 Water Diversion, Desertification Control, Soil Improvement,

Developing Ecological Industry like Deserticulture and Grass
Industry Reconstruction of Landscape Mode (Ningxia Test
Area)
1. On the basis of alfalfa improved variety selection, assemble, match, and inte-
grate former technical achievements and present technology, popularize in
80,000 hm2 area in south of Ningxia to form competitive industries in Ningxia.
2. Give full play to microphylla forest on soil improvement, wind prevention, sand
fixation, and good forage value; Study the plant technology of caragana micro-
phylla, for the first time put forward stumping technique of caragana microphylla
shrubwood to promote the growth and recovery of caragana microphylla.
3. The grain-economic crop–forage–livestock ecological agriculture mode popu-
larized in south of Ningxia, is agriculture and animal husbandry combined type
oriented economy, raising livestock by grass, promoting agriculture by live-
stock, further develop farm and pasture product intensive processing to form the
positive cycle of ecology and economy.
4. Build up Chinese herbal medicine artificial planting base for ephedra and medlar
by means of engineering measures like leveling sand dune for cultivation,
developing irrigation and drainage, and constructing protection forest network;
develop wine grape industry, combine ecological management and special
deserticulture development to convert the desert into fertile land; put forward
654 P. Li et al.
and implement “science and technology orientation, enterprise operation, public

participation, government support” operation mechanism to make manufacturer
and the masses benefit at the same time, create a piece of strategic value
experience for reconstruction of landscape.
1.5.5 Intensive Grazing Supplemented by Seeded Pasture, Protect

the Source Regions of Yangtze River and Yellow River, Develop
Economy in Pasturing Area Reconstruction of Landscape Mode
(The Source Regions of Yangtze River and Yellow River Test
Area in Qinghai)
1. Study the black soil type (in the source regions of Yangtze River and Yellow
River) and grassland type (in Qinghai Lake) deteriorated grassland causes, the
ecological recovery method, and corresponding matching technology: enclo-
sure, semi-seeded pasture and seeded pasture cultivation, rodent prevention and
control, and so on.
2. Construct forage seed base, study the breeding technology of forage seed, and
guarantee the recovery of grassland vegetation.
3. Study dry farming forestation technology and ecological recovery and man-
agement matching technology in dry wasteland slope which converts cultivated
land into forests in the upstream of the Yellow River.
The implement of project protects the ecological environment in the source
regions of Yangtze River and Yellow River and promotes the ecological restoration
of deteriorated grassland.
1.5.6 Oasis Ecological Construction and Agricultural Sustainable

Development in Arid Climate Reconstruction of Landscape
Mode (Xinhe County Test Area in Xinjiang)
1. Adjust industrial structure, set up technology supporting system of agricultural

area and pasturing area, remold traditional grain-economic crop dual structure
oasis agriculture into grain-economic crop–forage ternary structure.
2. Carry out saline–alkali low-yield land improvement experiment, besides tradi-
tional physics, chemistry, biology improvement methods, based on the local
actual conditions, research and develop “break multilayer hardened clay
impermeable soil layer drainage salt-leaching method” for heavy saline–alkali
land to resolve the salinization problem in oasis.
3. Implement afforestation matching technology in arid region comprehensively,
cultivating salt tolerance drought-resistant plant and irrigating by floodwater to
recover oasis desert transition zone technology, farmland protection forest
planting technology, oasis garden economy transformation technology, building
grape gallery as by-forest belt technology, and so on. Convert oasis protection
forest system from ecological type into ecological economy type to realize
agroforestry management in oasis.
1.5.7 Develop Ecological Economy, Guard Border, and Rich Soldiers

in Reclamation Area of Desert and Semidesert Reconstruction
of Landscape Mode (181 Regiment Test Area in Xinjiang
Production and Construction Corps)
1. Change the single planting structure in desert and semidesert region to set up
ecological agriculture-forestry—stockbreeding compound mode.
2. Carry out large-scale medium and low-yield field transformation, conversion of
cropland to forest and grassland and cultivated land shelterbelt networks pro-
jects to increase regiment gross national product dramatically and promote
continuous and stable development of local agriculture and workers’ income.
3. Finish the construction of high standard seeded pasture and forage seed base,
bring in some agriculture and livestock improved varieties, such as wheat, oil
sunflower, Hami melon, alfalfa, beef, meat, fine wool sheep, and so on.
1.5.8 Oasis Agriculture Resources Efficient Utilization Mode

in Xinjiang (Awat County and Yuli County Test Area
in Xinjiang)
Explore High-Yield Methods of Xinjiang Cotton
On the basis of advanced research method and production technology at home and
abroad, set up the experiments and demonstrations on efficient utilization of water
and fertilizer resource, including cotton drip irrigation under plastic film, cotton
hose irrigation under plastic film, research on relationship among water, fertilizer
and salt for high-yield cotton, safe utilization of poor quality water, and so on.
In Order to Improve Oasis Agriculture Resource Efficiency, Some Key

Technologies Were Applied as Follows
1. Peasant household-type cotton self-pressure hose irrigation under plastic film

high-yield cultivation technology;
2. Nitrogen optimal management technology in high-yield cotton field;
3. The nitrogen testing technology on cotton field soil and plant;
4. Automatic monitoring technology on cotton bollworm dynamic condition;
656 P. Li et al.
5. The trap, keep, and field release of coccinella undecimpunctata linnaeus

technology;
6. Saltwater utilization for develop desert industry technology.
The actual modes are not limited to the abovementioned because of the enthu-
siasm of local governments and people. For example, combined with conversion of
cropland to forest and grassland, develop “enclosure hills and convert cropland in
loess hilly region to construct ecological county reconstruction of landscape mode”
(Wuqi mode in Shaanxi); “conversion of cropland to forest to manage wind-blown
sand region reconstruction of landscape mode” (Yulin mode in Shaanxi), and so on
(Jiang 1998).
The appearances of these mode areas, from the combination of theory with
practice, propel the reconstruction of landscape cause enormously in northwest area.
1.6 Conclusion and Prospect
1. Reconstruction of landscape in northwest area is a great undertaking which can

transform nature, promote the harmonious coexistence between man and nature,
strengthen national capabilities, rich people, rich soldiers, stabilize frontier
defense, and benefit us and our future generations. It should be carried out
continuously generation by generation.
2. Reconstruction of landscape in northwest area involves vast scope. It needs to
choose more regions according to local condition and explore new mode.
3. Conversion of cropland to forest and grassland is the one of the success mea-
sures of reconstruction of landscape in northwest area, should conduct with hill
enclosure and grazing prohibition, intensive grazing and construction basic
farmland measures together, prevent retrogress and relapse.
4. Deal with the relationship between management and development seriously, the
relationship between ecology construction and reconstruction of landscape
scientifically. Especially in Yulin-Yanchi wind-blown sand area of Shaanxi,
reconstruction of landscape is a great task. Moreover, it also has the actual
demand of energy development. The unreasonable development will lead to
some severe environment problems inevitably, such as land subsidence, ground
fracturing, river and lake shrinking, groundwater level recession, water and soil
pollution, desertification aggravation, and so on. It may threat the reconstruction
of landscape sustainable development significantly. So it should be deeply
concerned and fulfill “combinating exploitation with reconstruction, promoting
reconstruction by exploitation and guaranteeing exploitation by reconstruction”.
5. It is necessary to resolve water shortage and the imbalance of land and water
resources problems in northwest for long term. So we must work hard on water
saving, water conserving, water shortage, water supply, water diversion, rational
utilization of water and land resources and popularizing positive cycle pro-
duction mode, and so on.
6. To strengthen scientific researches continuously. Reconstruction of landscape in

northwest area is a great scientific undertaking referring heaven, earth, and man.
It should insist and deepen scientific researches to promote multiaspect disci-
plinary development and intersection in regard of water, soil, light, energy,
climate, earth, and creature, guided by scientific development concept.
7. To strengthen the cultivation of talents. To cultivate some management and
technical elite cadres designedly, those who have strong enterprise, love
northwest, and will devote themselves to reconstruction of landscape.
8. To combine reconstruction of landscape with ecological civilization construc-
tion. Reconstruction of landscape in northwest area fit the actual environment in
northwest region of China and people’s hope, enjoy popular support. Beauty
landscape is the destination of ecological civilization construction; the ecolog-
ical civilization construction is element task of beauty landscape implementa-
tion, to combine them scientifically to gain success continuously on the way
forward.
2 Arid Zone Ecological Research
Arid areas in China include Gansu, Ningxia, Qinghai, Xinjiang, and the western
area of Inner Mongolia. These areas account for approximately 25 % of the total
land area and are important in Chinese economic development. Based on the
characteristics of arid areas in China, arid zone ecological research combines theory
with practice and has the following main aspects: understanding of the structure and
function of desert ecosystems, ecophysiological research on salinity and drought
resistance in desert plants, desertification control, and sustainable oasis
development.
2.1 Understanding of the Structure and Function of Desert

Ecosystems
Understanding of the structure and function of desert ecosystems is the premise and
foundation of research on ecological problems in deserts and arid areas.
Geographical distribution, natural characteristic, formation and evolution of deserts,
formation and evolution and the development and utilization of oasis in China were
systematically analyzed in the book Desert and Oasis in China. The desert and
oasis landscape of western China was classified with the assistance of an EU
program. Therefore, all the above results extended the range of ecology research to
the northeast area.
658 P. Li et al.
2.1.1 Species Diversity Investigation in Desert Ecological Systems
Species diversity investigation has important scientific significance and economic

value. Lanzhou University led to an integrated scientific investigation on Anxi, an
extremely arid desert national nature reserve in Gansu characterized by many types
of vegetation, such as gravel desert, low-lying dampland saline meadow, swamp,
sandy desertification, and forest vegetation. Three hundred and sixty-two plant
species belong to 60 families and 192 geniuses; 4 of them, including Haloxylon
ammodendron, have been placed under state protection. The reserve is home to 175
vertebrate species which belong to 26 classes and 55 families. Ten of these species
are exclusive to China. Twenty-seven species are wildlife under state protection; 7
are Class I and 20 are Class II protected species in China.
2.1.2 Soil Seed Bank Dynamics in a Desert Ecosystem
Changes in soil seed bank dynamics precision directly determine the preservation
and restoration of a desert ecosystem. Studies on soil seed bank dynamics found
that 46 plant species, which belong to 17 families, appeared in soil seed banks in
artificial sand-fixation vegetation in Shapotou of Ningxia Province. About 33.3 %
of the total seed bank appeared in both the current species vegetation and the soil
seed bank. Predicted results indicate that the succession tendency of artificial
sand-fixation vegetation is dominated by shrubs, such as Artemisia ordosica, and
grasses, such as Bassia dasyphylla and Eragrostis poaeoides. Studies analyzed the
effect of different microhabitats on the soil seed bank of desert plants and the bank
distribution pattern of Stipagrostis pennata in Gurbantunggut Desert, which pro-
vides a basis theory for vegetation restoration in an artificial sand-fixation area.
2.1.3 Therophyte Life History Strategy in a Desert Ecosystem
Research about germination strategy should be considered when studying thero-

phyte life history strategy. In a desert, therophyte uses different strategies to adapt to
hostile environments with unpredictable precipitation during growing season. An
indoor germination experiment on Agriophyllum squarrosum showed that thero-
phyte seeds have behavioral equivalence between continuous germination under
suitable conditions and partial dormancy during growing season. A study on the
population dynamics of therophyte grass (E. poaeoides) shows that the germination,
growth, and dynamic state of quantity of grass depend on precipitation, which
causes herbaceous plants to germinate in batches. Individual competition for water
in therophyte grass results in inevitable self-thinning. Its survival curve is C type,
and it has an r-type life history strategy.
2.1.4 Relationship Between Species in Desert Ecosystems
Discussing relationships between interacting species and the distribution pattern of

desert vegetation facilitates understanding of the structure mechanism of a desert
ecosystem. Relationships between interacting species were discussed based on data
about neighboring plant size and distance between plant species, such as Salsola
passerine, Sympegma regelii, Reaumuria soongorica, and Nitraria sphaerocarpa,
in Anxi, an extremely arid desert national nature reserve in Gansu. The results
indicated that the plant size and distance of the four species have a positive
interaction, that is to say, they have a competitive relationship. Intraspecific com-
petition is more important than interspecific competition. Intraspecific competition
between different combinations of the four species, except R. soongorica and
N. sphaerocarpa, is more intense than interspecific competition. Therefore, the
above results explained the coexisting and competitive mechanisms of dominant
species in a desert ecosystem.
2.2 Ecophysiological Research on Salinity Tolerance

and Drought Resistance
2.2.1 Plant Ecophysiological Response to Salinity and Drought Stress
Salinity and drought stress can inhibit the height, growth of stem and root, leaf
number and area, biomass, and canopy structure of trees. In R. soongorica, an
extremely xerophytic semishrub of Tamaricaceae, the fully mature leaves die but
the stem remains alive; the plant enters a dormant state under extreme drought
stress. Upon rewatering, the stems are rehydrated and produce new leaves.
Caragana korshinskii has the same characteristic as R. soongorica. Research
indicated that salinity stress decreases sunflower leaf area, root relative activity, and
relative amount of growth. With increasing salt concentration, the effect of salt on
the plant intensifies.
Studies on the photo-physiological characteristics of desert plants show that
photosynthesis rate decreases and the water use efficiency of the plant increases as
drought stress exacerbates. As the habitat dries up, the Caragana plant saves water
by decreasing transpiration rate and increasing photosynthetic rate. Under drought
stress, Ammopiptanthus mongolicus has two protection strategies, namely, xan-
thophyll cycle-dependent photoprotection, which is the main mechanism for a plant
to deal with excessive light energy, and reversible inactivation in optical system
(PS) reaction centers, which can protect the photosynthetic system. Plants were
classified into different water eco-adaption types. For example, Panicum virgatum
has high photosynthetic rate, low transpiration rate, and high water use efficiency.
Medicago sativa has high photosynthetic and transpiration rates but low water use
efficiency. Its drought adaptation strategy is to delay dehydration by developing
660 P. Li et al.
high water potential. Experiment shows that salt stress has a more serious effect on
the photosynthetic activity of C3 non-halophytes than that of C4 non-halophytes,
and salt stress level has a positive relationship with salt concentration.
Tamarix chinensis has a high photosynthetic rate and exhibits a single midday
peak under ample soil–water content; it has a low photosynthetic rate and exhibits a
bimodal curve under soil–water stress. Based on the diurnal variation of transpi-
ration rate, xerophyte has three water ecological types, namely, nontranspiration
midday depression, slight transpiration midday depression, and strong transpiration
midday depression. When relative humidity is lower than 30 %, Glycyrrhiza inflata
leaves induce stomatal oscillations with which the plant also decreases transpiration
rate and increases water use efficiency; the photosynthetic rate is unaffected, which
is an important adaptive strategy for desert plants under stress.
Salt stress decreases photorespiration. The degree of decreased photorespiration
strengthens with increasing salt concentration. Under high salt concentration, plant
leaves have high dark respiration and photorespiration at the initial stage; under low
salt concentration, plant leaves have high photorespiration at the initial stage.
However, dark respiration and photorespiration decrease later. Some studies have
reported that NaCl treatment increases photorespiration.
2.2.2 Plant Ecophysiological Mechanism on Salinity Tolerance

and Drought Resistance
To adapt to an arid environment, desert plants have used many strategies. Protective
plants have a special morphological structure that decreases excessive water tran-
spiration and shields leaves from strong direct sunlight. Water-conserving desert
plants stay hydrated by sporting tiny leaves to minimize water transpiration and the
surface area exposed to sunlight and by saving limited water before using it heavily.
Tolerant plants improve water holding capacity of specified contains and storage
water by mesophyll cells. Hardy plants have developed assimilation organizations
(palisade tissue with lots of layers) with which the plant can decrease transpiration
rate and increase photosynthetic rate. The leaves of avoidant plants fall off and the
plants return to a dormant state under extreme drought stress. The stems are
rehydrated and produce new leaves upon rewatering.
To alleviate salt stress, a plant decreases root Na+ absorption to prevent ion
transport from the roots to the higher ground parts. The following processes are
involved in plant salt exclusion: root cell does not absorb Na+; the plant keeps the
absorbed Na+ in the central vacuole of the parenchyma cell of roots, the basal part
of the stem, and leaf sheath; during upward transportation, Na+ is absorbed by
xylem or phloem transfer cell and secreted to phloem before it is transported to
roots that expel it to the environment; selective absorption of inorganic ion, espe-
cially the selective absorption of Na+/K+, uses special salt glands (salt bladder) for
secreting salt that formed in the leaves and the stem, which can secrete salt absorbed
by the plant.
Under drought or salt stress, a plant cell can automatically accumulate some
soluble substances to reduce intracellular osmotic potential, which can ensure
normal water supply when the plant is subjected to various stress factors. Plants
have two osmotic adjustment mechanisms, namely, inorganic and organic.
The main physiological function of SOD is to scavenge superoxide anion-free
radicals. With certain limits, SOD activity increases as salt concentration increases.
SOD activity is higher in salt-tolerant plant species, and salt-induced seedling injury
is less harmful in salt-tolerant plants than in salt-sensitive species. Under drought or
salt stress, plant POD activity increases and then decreases as stress time extends.
POD, CAT, and content MDA activity in alfalfa leaves increases as salt concen-
tration increases under salt–alkaline mixed stress. An active oxygen scavenging
system has an important function in the physiology of salt-resistant plants. Under
the same drought stress, a plant has high drought resistance with rapid and high
proline accumulation.
2.3 Advance in Desert Biological Soil Crust Research
2.3.1 Lichen Biological Soil Crust Structure
X-ray micro-CT imaging coupled with 3D image analysis based on specific pro-
cedures for porous media have been applied to the analysis of the porosity structure
of the lichen crusts. The results indicated that it will provide a very accurate
quantification of the internal structure of lichen crusts due to stabilization of sand
dune of different age. The general trend with the age of the lichen crusts is a
reduction in volume of connected pores but an increase of the size of the remaining
connected ones. The lichen crusts aggregates show a general increase of average
pore network tortuosity reaching the maximum value with the age, and also exhibit
a significant anisotropy of the tortuosity.
2.3.2 Soil Respiration Characteristic of Biological Soil Crust
A moving dune was fixed in the vegetation restoration area of southeastern

Tenggeli Desert. Soil respiration increased because of increasing organic matter on
the soil surface and the biological soil crust. The contribution of rhizosphere res-
piration results in spatial heterogeneity and significantly increased soil respiration
rate. Meanwhile, soil respiration rate increases with the increase in soil biological
crust development.
662 P. Li et al.
2.3.3 Wind Effect on Photosynthetic Ecophysiological Characteristics

of Moss Crust
Wind has three effects on photosynthetic and respiration activities. First, wind
decreases moss crust net photosynthetic activity and dark respiration rate, which
decrease further as the speed of the facing wind increases. Second, wind raises the
maximum value of net photosynthetic activity and dark respiration rate of moss
crust during drought stress. Third, it shortens moss crust photosynthetic and res-
piration activity time; as the wind speed increases, the time increases. The overlay
effect forms three aspects that ultimately decrease moss crust in the carbon
assimilation of net photosynthesis and carbon resource consumption by dark
respiration.
2.3.4 Carbon Cycle Characteristic in Artificial Sand-Fixation

Vegetation
Carbon exchange has largely changed after the establishment of artificial vegetation
and the formation of biological soil crust. As a carbon source, the artificial
sand-fixation vegetation area releases carbon dioxide into the atmosphere during the
nongrowing season; as a carbon sink, it absorbs carbon dioxide from the atmo-
sphere during the nongrowing season. Generally, as a weak carbon sink, the arti-
ficial sand-fixation vegetation areas have low annual carbon assimilation.
Precipitation is the main factor that influences the carbon cycle in arid regions.
2.4 Research on Sustainable Oasis Development
2.4.1 Major Problems in Sustainable Development of Oasis
Water network changes and shrinkage or drying up of the lake are among the major
problems involved in sustainable development of an oasis. Three inland water
systems, namely, Shiyang River, Heihe River, and Shule River, originate in Qilian
Mountain. Regulating reservoirs have been built where river water flows from the
three inland water systems. With reservoirs, river water is controlled by the upper
and middle reaches of rivers. In the lower reach of the river basin, the downstream
has been cut off, and a new artificial water system pattern was formed.
A natural oasis deteriorates and forms areas characterized by soil desertification,
aridization, and salinization. In the history of Hexi corridor, a natural oasis was
formed by grasses, such as Phragmites australis and Carex liparocarpos, and
shrubs, such as rose willow, on the flats of lakes and rivers and spring water
overflowing belts because of infiltration of underground and soil surface water.
Moreover, artificial oases have degenerated, which resulted in abandonment of

many lands. Water loss has turned many original artificial oases in the Hexi corridor
into deserts. Soil salinization is another problem.
Ecological degradation has caused social and economic problems. The Minqin
Lake area lacks drinking water for people and livestock because of the shortage of
surface fresh water and deterioration of groundwater quality. This situation resulted
in social problems, such as ecological refugees.
2.4.2 Advancement in Oasis Sustainable Development Research
Recognizing Oasis and Oasisization
Scientists classified Chinese oases into zones based on the geographical location of
the oasis distribution area, geographical environmental differentiation, and influ-
ence of climate, oasis evolution, and human activity. These zones are oasis zones in
the eastern Hetao Plain, the western inland arid area, and the Qaidam Plateau. Based
on the soil and water factors of oasis formation, the following four oasis types were
classified: terraces along riverbanks, submarine delta, alluvial plain, and delta oasis.
Oasis changes are closely related to the production and activities of humans. The
Minqin basin oasis is used as an example. With the use of historical documents,
archeological resources, maps, and remote sensing, the author identified the origins
of the oasis distribution area in a typical historical period and produced an oasis
distribution map. The exploitation of the Minqin oasis started during the Han
Dynasty, intensified during the Wei and Jin Dynasties, reduced during the Southern
and Northern Dynasties until the Yuan Dynasty, and was revived in the Ming and
Qing Dynasties. Today, the oasis is thriving. In general, the spatial development of
the oasis is an east-to-west migration process.
Changes in Oasis Vegetation
The main factors that affect vegetation coverage are ecological engineering meth-
ods, climate, and water resource. In order to study variation of vegetation coverage
of Tsagan Us oasis in Dulan county in Qinghai Province of China, the grade map of
vegetation coverage in Tsagan Us oasis during different period was extracted based
on normalized NDVI data, then the interannual variation of the vegetation coverage
was quantitatively analyzed. The results show that vegetation coverage in Tsagan
Us oasis both increased and fluctuated in the past 16 years. This finding indicates
that the vegetation coverage develops steadily, although some parts still degenerate.
664 P. Li et al.
Soil Evolution After Oasis Cultivation
With the oasis in the middle reaches of Heihe River as an example, soil physical
characteristics and chemical composition in cultivating salty meadows at different
years were analyzed. The results show that soil texture improved after cultivation.
The clay dispersion content of salty meadow soil increased from 9.18 % before
cultivation to 12.93 % after 30 years of cultivation. In general, the soil physical
characteristics and chemical composition coverage improved steadily.
Countermeasures of Agricultural Sustainable Development in an Oasis
The author analyzed ecological environment characteristics, including climate,

vegetation distribution, soil texture, and hydrological process in northwest desert
oasis; the author also analyzed the characteristics of an oasis agricultural ecosystem
and proposed countermeasures of agricultural sustainable development in an oasis.
Countermeasures include maximizing superior resources, developing a special
industry, proper resource allocation, and building a sustainable development model.
Water depletion is the main factor that limits agricultural sustainable develop-
ment of an oasis. This problem was addressed by implementing water transfer
engineering from extra-region and water conservation from intra-region. Ecological
experts determined how water can be conserved, and they were able to make
significant progress on this urgent issue. For example, in the Minqin irrigation area,
people use “the system of completely mulched alternating narrow and wide ridges
with furrow planting in dry land” as an inexpensive water-saving measure. This
technique decreases irrigation amount by 2190 m3/hm2 in a cornfield and increases
corn grain yield by 902 kg/hm2.
2.5 Prospects
Further research can be conducted on the following:

1. The point of view of plant community construction to understand the structure
and function of a desert ecosystem and to determine the formation and main-
taining mechanisms of a desert ecosystem.
2. The ecological strategy used by desert plants to adapt to arid environments. This
strategy can be implemented to ensure the protection of important desert plant
resources.
3. Evolution of desert environment, formation of sandy desert, laws and principles
of wind-blown sand movement, and disaster mechanism of wind-blown sand
process under the background of global climate change.
4. Biological process of sandy desertification.
5. Integration and application of development technology and model to manage

land that underwent desertification.
6. A study of water loss, water consumption, and water use efficiency of the main
crop and natural plants in an oasis from different angles and at different levels,
such as individual, population, and community.
7. Interaction and feedback mechanism between oasisization and processes
between water, soil, air, and organisms.
3 Countermeasures of Agricultural-Ecological
Environment Governance and Sustainable Development
of Agriculture in Commodity Grain Base in Northeast
China
As the most important commodity grain base, the northeast China plays an
important role in ensuring national food security. Now, there is a widespread
concern over how to realize the sustainable development of grain production in this
area.
Ecological environment is important to the sustainable development of grain
production and social economy. Although it has developed for a short time in
northeast China, agricultural-ecological problems are very prominent. For example,
water and soil erosion in slope cropland, black soil degeneration, soil salinization,
desertification and grasslands degradation in the west, forests destruction and
wetlands shrinkage, lakes pollution and groundwater recession, etc. Ecological
constructions, such as comprehensive controlling of water and soil erosion in slope
cropland, ameliorating saline and alkaline soil by planting rice and constructing
shelterbelt network in farming areas, have been strengthened and achieved obvious
benefits.
The implementation of natural forest protection and wetland conservation pro-
ject in northeast forest region has supported the function of soil and water con-
servation, carbon sequestration, and mitigating natural disasters, and they have
become the irreplaceable ecological barrier.
The lack of construction of farmland irrigation and water conservancy is the
bottleneck which restricts the high and stable yields. Apparently, grain production
is affected by drought and flood disasters. But in fact, the cultivated land cannot be
irritated when drying and be drained when waterlogging. Therefore, it should be
priority to strengthen the construction of the standardized basic farmlands, espe-
cially to expand the effective irrigation areas and to develop water-saving irrigation
systems to sustain the grain production.
Expanding cultivated area of high-yield crops (i.e., rice, maize) and optimizing
the planting structure play an important role in improving grain production. Grain
production of Heilongjiang province is the first in China, which has a close rela-
tionship with the adjustment of planting structure.
666 P. Li et al.
The scientific and technological supports of sustainable increase of grain

production in northeast are improving variety cultivation and application, scientific
fertilization, the combination of agronomic and agricultural machinery and con-
structing the ecological high-yield, high-quality, and high-efficiency cultivation
system, which could make the scientific and technological progress become the
main power of grain production.
With the progress of science and technology and the development of social
economy, the ecological construction in the core grain-producing areas of China
has made great progress. However, the problems of water security and ecology
security are still serious. Therefore, in the future, it should continue to implement
the comprehensive management and protection of ecological environment and
strengthen the construction of ecological civilization, to promote the development
of grain production in northeast China.
4 Ecological Security and Sustainable Development

of the Tibetan Plateau
4.1 Introduction
The Tibetan Plateau in southwest China spans an area of 2,572,400 km2 along the
national border (Zhang et al. 2002) and occupies 26.8 % of China. The average
elevation of the plateau is above 4000 m, and approximately 960,000 km2, or 80 %
of the Xizang territory, is above 4500 m (Zhong 2008). The natural terrain of the
plateau is unique, and its ecological status is very important. However, the
eco-environment of the plateau features high elevations and a chilly and arid cli-
mate. The eco-environment is very vulnerable, primarily due to the sensitivity to
exogenic action (Zhong et al. 2003). The sequence of climate change on the plateau
is 10 years behind that of east China (Chang et al. 2005), and the probability
ecosystem variation caused by the same exogenic action, and the various
eco-environmental problems caused by it, are greater than in other areas. Grassland
degradation, land desertification, soil and water loss, and other problems induced by
unreasonable human activity have become increasingly serious over the last
30 years. The area of the degraded grassland in Qinghai was 9870 thousand hm2 at
the end of the 1990s, occupying 27.1 % of the grassland in this province (Fan
2000); the degraded grassland in Xizang was 48,228 thousand hm2 in 2004,
occupying 58.8 % of its grassland (Zhong 2008); and the area of land desertification
caused by grassland degradation occupied 17.98 % area of Xizang by 2009 (State
Forestry Administration 2011).
The ecological security and social economic development of the plateau are
seriously threatened by the effects of global warming and the increasingly violent
disturbances of human activity. Hence, it is quite necessary and urgent to study the
ecological security and sustainable development of the plateau. The definition,
theory, and evaluation method of ecological security have recently been studied
primarily overseas (Mathew 1989; Michael 1989; Barnthouse 1992; Hal 1998;
Malin 2002). Synthetic evaluation methods have been used multiple times to assess
ecological security (Wei et al. 2002). The pressure-state-response model (PSR) was
used by some domestic scholars to study ecological security in the local region of
the Tibetan Plateau (Zhao et al. 2006; Li et al. 2005). Yang (2003) studied the
security of the eco-environment and the sustainable development of grassland in
Xizang. Cheng and Shen (2000) examined a strategy of sustainable development of
the plateau, with emphasis on the aspects of population, resources, and environ-
ment. However, few synthetic studies have been conducted on the ecological
security of the Tibetan Plateau, which has an important influence on the ecological
security of China.
4.2 Idea and Method of the Research
4.2.1 Logical Relationship Between Ecological Security

and Sustainable Development
When the service function of regional ecosystem enters into a benign state, not only
is there a need of the ecological material products for humans to be fulfilled, but
there is also the eco-environment to be protected; thus, the “natural capital”
embodied by land, water, and atmosphere is to be preserved for appreciation and
sustainable use in the region. The ecosystem in this area is safe, and its
eco-environment and social economy are in a status of sustainable development.
Ecological security is the basis of sustainable development.
4.2.2 Index System and Method of Synthetic Evaluation of Ecological

Security
Index System for Evaluation
The service function of the ecosystem could reflect the degree of security in the
regional ecosystem. By analyzing the mutual relationship between the service
function of the ecosystem and environmental processing on the plateau, an index
system for evaluating ecological security with a system of eco-environment as a
subject of research was developed on basis of the PSR model. The choices of the
indices are based on the characteristics of the data: scientific basis, simplicity,
spatial distribution, and availability. The index system of the synthetic evaluation of
the ecological security of the Tibetan Plateau is listed in Table 2.
668 P. Li et al.
Table 2 Index system of the synthetic evaluation of the ecological security of the Tibetan Plateau
Layer of object Layer of item Layer of index
Synthetic evaluation Degree of A1 Degree of A1-1 Degree of stability
on ecological ecological ecological of ecological matrix
security vulnerability (A) stability A1-2 Ecological kinetic
energy of nature
A1-3 Ecological kinetic
energy of humanity
A2 Degree of A2-1 Degree of
ecological sensitivity of soil
sensitivity erosion
A2-2 Degree of
sensitivity of land
desertification
A2-3 Degree of
sensitivity of habitat
A2-4 Degree of
sensitivity of geological
hazard
Service function of B1 Function of conservation of water resource
ecosystem (B) B2 Function of water and soil conservation
B3 Function of control of land desertification
B4 Function of biodiversity conservation
B5 Function of production
Ecological risk (C) C1 Natural risk
C2 Artificial risk
Weight of the Index and the Model of Synthetic Evaluation
The weight of each index was determined by two completely independent means of
evaluation, an expert judgment method and an analytic hierarchy process, and then
the coherent assessment results were obtained, as shown in Table 3.
Based on the quantitative expression and analysis of the evaluation index of
ecological security, as well as the mutual relationships of these indices and the
quantitative expression of the impact on regional ecological security, a model of
Table 3 Weight of the index of the synthetic evaluation of the ecological security of the Tibetan
Plateau
Layer of item Layer of index
A = 0.50 A1 = 0.70, A1-1 = 0.30, A1-2 = 0.15, A1-3 = 0.55
A2 = 0.30, A2-1 = 0.30, A2-2 = 0.30, A2-3 = 0.25, A2-4 = 0.15
B = 0.35 B1 = 0.37, B2 = 0.21, B3 = 0.11, B4 = 0.11, B5 = 0.20
C = 0.15 C1 = 0.50, C2 = 0.50
synthetic evaluation of ecological security was established. The result of the

quantitative expression of the ecological security status was obtained through a
series of calculations.
Formation of the Spatial Pattern of the Ecological Security
The ecological security of the Tibetan Plateau was evaluated synthetically

according to the index system in Table 1, and the data were quite difficult to collect.
The authors studied Xizang for many years because it is the main body of this
plateau, accounting for 50 % of the plateau area; thus, the Xizang Plateau was
chosen for the synthetic evaluation.
First, based on the layer structure of the aforesaid index system of evaluation on
ecological security, the weight and model of the synthetic evaluation of ecological
security, the layer of ecological vulnerability, the service function of the ecosystem,
and the analysis of the ecological risk of the Xizang Plateau were formed. Then, the
superposition of analytic layers was performed by GIS, the results were divided into
five grades by natural parting, and a picture of the spatial pattern of ecological
security of the plateau was produced. This picture reveals the law of regional
differentiation of ecological security of the plateau.
Functional Zonation and Localization of the Barriers of Ecological Security
The Xizang Plateau, the main body of the Tibetan Plateau, is a topographic barrier
in the pattern of environmental geography in eastern China and significantly
influences the stability of the climate system in this area. Additionally, the Xizang
Plateau is an important region of river sources, which act as significant barriers for
the security of the water resource and the eco-environment of China and the whole
of East Asia (Zhong 2008). Hence, to preserve the structure of the ecosystem, the
ecological processes of the plateau, the capability of the service functions of the
ecosystem to satisfy the demands of modern human living and development for
future generations, and the ability of the plateau to act as an important shelter for the
ecological security of neighboring regions, both conservation and the construction
of a barrier for ecological security are quite necessary.
Based on the spatial pattern formation of ecological security in the Xizang
Plateau, the combined features of the plateau, the law of spatial distribution of the
principal types of ecosystems of the plateau, the pattern of major geomorphology,
and the features of the landform types, the barriers for ecological security of the
Xizang Plateau were classified into 3 first-grade barrier areas and 13 sub-barrier
areas. The ecological function localization and the development direction of each
area have been discussed.
670 P. Li et al.
Based on the results of the spatial pattern of ecological security and functional
zonation of the barrier for ecological security, “Planning for conservation and
construction of the barrier for ecological security on the Xizang Plateau” were
compiled. The planning was rectified by the State Council of China in February
2009, with a huge investment of ¥15.5 billion from the government to be used to
implement these projects of conservation and construction. A new perspective of
the ecological security and sustainable development on the plateau would display
the world through a full-scale implementation of the planning.
Ecological security and sustainable development are correlated but differential.
Regarding the Xizang Plateau and its vulnerable ecology, ecological security is
closely related to sustainable development and is the basis for sustainable devel-
opment. This study focused on ecological security and the security of the ecosystem
as the core research area of ecological security. Some researchers believe that the
symbol of ecosystem security is its health, but a large-scale parameter of health is
difficult to obtain; therefore, the evaluation of the ecosystem health was not pursued
in this study. It is relatively reasonable to choose an index of evaluation of eco-
logical security from three aspects, the status of ecological vulnerability, the eco-
logical risk, and the service function of ecosystem, which are presented from
elements of the eco-environment and the environmental processes; however, the
number of layers of indices, the values of the indices, and the grade division of
security must be improved.
5 Ecological Effects of the “Corridor-Barrier” Functions

in the Longitudinal Range-Gorge Region, Southwest
China
5.1 Introduction
The special landform with a series of longitudinal high mountains and deep gorges
in southwestern China, linking southeast Asia, has been given the collective name
of Longitudinal Range-Gorge Region (He et al. 2005). The LRGR covers the
Yuanjiang-Red (domestic name-foreign name), Lancang-Mekong, Nujiang-
Salween, Dulong-Irrawaddy rivers, plus the Yaluzangbu in the west and the
upstream portion of the Yangtze in the east. It is regarded as unique landscape unit
in the world because of its special topography, plentiful biodiversity, and ethnic
culture diversity.
This region possesses the world unique landscape consisting from these
mountains and gorges stretching from southwest China to southeast Asia in nearly
north-south ways, and is the major spreading corridor and refuge for animal and
plant species in Asia continent. The high mountains and deep gorges in the LRGR
prevent significantly surface material movement and energy flow between the
ranges and gorges in the east-west way but facilitating the movements along the
ranges or gorges in the north-south direction. The LRGR landform also causes
temperature inversion layers which then form vertical barriers of hydrological
cycling in the valleys. These special phenomena are called the “corridor-barrier”
functions of moisture–wind–energy cycling (He et al. 2005).
The LRGR landform and its “corridor-barrier” functions distinctly influence the
process of forming and becoming of species, ecosystems patterns, and resettlement
environments. LRGR houses every ecosystem in the northern hemisphere except
desert and ocean types, and is widely acknowledged as the concentrated area for
various species and global gene reserve. Different ethnic groups scatter in small
basins embraced by big mountains and present vast differences in respect of social
and economic development.
The corridor function also makes the region an important ecological, economic
passages between China and southeast Asian countries. In China side, over the past
half century, the region has served as a resource base for timber and minerals
supply to support China’s economic development, which led to the regional eco-
logical degeneration. Going into the new century, the multiple proposed and
ongoing economic development programs, such as China’s Western Development
program and its geo-cooperative programs of the Greater Mekong Subregional
Economic Cooperation program (GMS), and the China–ASEAN free trade zone
(“10 + 1”), further threaten unprecedented levels of regional environmental
degradation and eco-risks, which have been driving the transboundary ecosystems
to change dramatically and frequently. Present and emerging threats to eco-security
have caught tremendous attention worldwide.
5.2 Integrated Ecological Effects of the “Corridor-Barrier”

Functions in LRGR
Based on the academic field investigating, surveying, sampling, testing, modeling,

and multidimensional analysis, it was found that the significant integrated eco-
logical effects of the “corridor-barrier” functions in LRGR:
1. Wu and Pan (Wu et al. 2012; Pan et al. 2012) selected surface atmospheric water
vapor content, precipitation, aridity/humidity index, and surface runoff as water
indices; air temperature and accumulated temperature as temperature indices,
and solar radiation as a heat index to study the hydrothermal pattern, regional
differentiation of ecosystem structure and function and main influencing factors.
The ANUSPLIN model, wavelet analysis, GIS spatial analysis, and landscape
pattern analysis were used to reveal the effects of land surface pattern on eco-
geographical regional differentiation. They found that the water, temperature,
and heat have significant differences along the latitudinal direction with inter-
mittent difference and longitudinal direction with continuous extension, which
672 P. Li et al.
reflects the special “corridor-barrier” effect of longitudinal range-gorge terrain,

in which the vertical mountain and valleys on the surface of natural material and
energy transport mainly showed significant north-south corridor and diffusion
effects and the role of east-west barrier and shielding effect. The longitudinal
range-gorge terrain also have important impacts on the spatial pattern of veg-
etation landscape diversity, ecosystem structure and function, which is the main
influencing factor affecting the spatial distribution of vegetation landscape
diversity and ecosystems pattern. Wavelet variance analysis reflects the spatial
anisotropy of environmental factors as well as NDVI and NPP. The wavelet
coherence reveals the spatial distribution of NDVI and NPP influencing factors,
and also the quantitative degree of control. Conclusions believe that the lon-
gitudinal range-gorge land surface pattern is the main influencing factor of the
ecogeographical elements. Under the interaction of the zonality law and the
nonzonality “corridor-barrier” effects, the spatial differentiation formed in the
ecogeographical system (Wu et al. 2012). They further selected surface atmo-
spheric water vapor content, precipitation, aridity/humidity index, and surface
runoff as water indices; air temperature and accumulated temperature as tem-
perature indices, and solar radiation as a heat index to study the hydrothermal
pattern, regional differentiation of ecosystem structure and function, and main
influencing factors. The ANUSPLIN model, wavelet analysis, GIS spatial
analysis, and landscape pattern analysis were used to reveal the effects of land
surface pattern on ecogeographical regional differentiation. The longitudinal
range-gorge terrain also have important impacts on the spatial pattern of veg-
etation landscape diversity, ecosystem structure and function, which is the main
influencing factor affecting the spatial distribution of vegetation landscape
diversity and ecosystems pattern. Wavelet variance analysis reflects the spatial
anisotropy of environmental factors as well as NDVI and NPP. The wavelet
coherence reveals the spatial distribution of NDVI and NPP influencing factors,
and also the quantitative degree of control. Conclusions believe that the lon-
gitudinal range-gorge land surface pattern is the main influencing factor of the
ecogeographical elements. Under the interaction of the zonality law and
the nonzonality “corridor-barrier” effects, the spatial differentiation is formed in
the ecogeographical system (Pan et al. 2012).
2. Based on the daily rainfall records during 1960–2001 observed at 36 meteo-
rological stations in the Longitudinal Range-Gorge Region (LRGR), the vari-
ation and its regional differences of precipitation under the effects of the special
corridor-barrier functions in LRGR are systematically analyzed (He et al.
2007b). The results indicate that there exists very closed linkage of the variation
and regional differences with the special corridor-barrier function: in most areas
of the northern LRGR (>26°N), the general features of precipitation intra-annual
allocation (PIA) exhibit “multi-peak pattern” with “peach blossom flood period”
(PBFP); the PBFP disappears gradually where the latitude is closed to 26°N, and
the PIA patterns change from “multi-peak pattern” to “single-peak pattern”; In
the area from 24°N to 25°N latitude belt, the “single-peak pattern” appears
again; toward to the southern LRGR where the latitude is lower, the pattern
displays quasi “double-peak pattern” with the characteristic of so-called

“autumn rain period”, and the larger the longitude is, the more remarkable the
pattern will be. In dry season, the annual variations of precipitation vary simi-
larly because the controlling of atmospheric circulation is relative single in
LRGR and the influence of the barrier function is not significant on precipitation
annual variation, but in wet season, the spatial distribution of precipitation
annual variations becomes more complicated.
3. He and Zhang (2007) analyzed the influences of corridor-barrier function on the
spatial characteristics of temperature and precipitation in the LRGR, using the
monthly observational data of air temperature and precipitation of 1960–2000 in
the LRGR, also found that the annual precipitation decreases from the west to
the eastern, because the longitudinal range-gorge separates southwest monsoon;
there is less precipitation in the north part located in the leeward slope of
longitudinal range-gorge; the action of the longitudinal range-gorge on the
average air temperature distribution is smaller than that on the annual precipi-
tation; the longitudinal range-gorge separating southwest monsoon is bigger, but
separating northeast monsoon is smaller. The annual precipitation of southern
and western regions is bigger than the ones of the northern and eastern regions,
and the average air temperature of western part is lower than the ones of eastern
part.
4. The corridor-barrier function also influences the regional water demand of
paddy irrigation in the LRGR: under the influence of “corridor-barrier” function,
the regional paddy irrigation water requirement was strongly linked with the
latitude, the longitude, and the altitude change in LRGR; in the region of 23.5°N
with altitude 1550 m, the correlation coefficient between paddy irrigation water
demand and latitude is 0.857, the irrigation ration range from 6240 to 8550 m3/
hm2; and mixed with the effecting of southwest and southeast monsoons in
LRGR, the correlation coefficients between the paddy irrigation water demand
and the longitude in the East bank and West bank of Hong He (Red river) great
canyon are 0.631 and 0.913, respectively, and the irrigation rations are 7260–
7440 m3/hm2 and 5970–7740 m3/hm2, respectively; the coefficient at 100°E area
is 0.636, the ration is 6240–8550 m3/hm2.
5. Case studies of Wulian Mountain in the middle LRGR show that the significant
effects of longititudinal ranging topography on fooding and habitating behaviors
of black-crested gibbon (Jiang et al. 2006; Fan and Jiang 2008). Their field
surveying on population and group distribution of the black gibbon (Hylobates
concolor) found that 98 % groups located in the mid-montane range, and groups
located in the east side and the southern region more than those in the west and
the north (Jiang et al. 2006). Their further research indicated that the total home
range size of the black-crested gibbon (Nomascus nasutus) is much bigger than
that of other gibbon species; the intensity of quadrant use was significantly
correlated with the distribution of food patches (Fan and Jiang 2008). The
special “corridor-barrier” functions have not only the ecological effect on the
behaviors of terrestrial animals but also on the aquatic animals. Ecologists
674 P. Li et al.
attributed the extremely high biodiversity and high degrees of endemism of fish
to the diverse and spectacular geographical conditions in LRGR.
6. The study of spatial and temporal variations of runoff of Red River Basin in the
east LRGR also indicates (Li et al. 2008): Under the “corridor-barrier” functions
in LRGR, the spatial patterns of annual precipitation and runoff depth distri-
bution in Red River Basin show out a NW–SE distribution, which is similar
with the trend of the Red River valley and Ailao mountains; In the long temporal
scale averaged over years, the most obvious effects of the “corridor-barrier”
functions is on runoff variation, and the second is on the precipitation, but not
obvious on the temperature; under the superposed effect of climate changes and
the “corridor-barrier” functions of valleys and mountains in Red River Basin,
the difference of runoff variation is obvious in the east-west direction, the runoff
variation of Yuan River along the Red River Fault present an ascending trend,
for example, but the Lixian River on the west side of the Fault and the Panlong
River on the east present a descending trend.
5.3 Diverse Transboundary Eco-security Issues and Its

Integrated Regulating System in LRGR
Under the strengthening of global change and globalization of economic integrat-

ing, especially as the fast development of geo-cooperation between China and many
downstream countries in Asia, the geo-issues related to transboundary ecological
security are playing a very important role not only in China’s Peaceful Rising but
also in Asian sustainability. In LRGR, there are over 4000 km border zone between
China, Burma, and Vietnam; all the great rivers, except Yangtze river, are inter-
national rivers (four great international rivers) flowing from southwest China to
lower Mekong region; the transboundary ecological security is much critical to the
regional sustainability.
Based on the synthesis researches of transboundary eco-security (TES),
including the types, distribution pattern, characteristics, driving forces, and inte-
grated regulating of transboundary eco-security issues in the LRGR (He et al.
2007a), the results showed: all the transboundary water and eco-security issues
along the terrestrial border zones and the international watercourses in China can be
found in the LRGR alone, except for transboundary sand–dust storms, such as the
uncertain water-level fluctuation, path shifting of migratory fish, flooding, sediment
transport change, boundary river bank erosion, and water pollution as the inter-
national watercourse change; the bioinvasion, biodiversity loss, soil erosion,
landslide, and disease diffusion as the terrestrial ecosystem fragmentation along the
border zones.
The TES issues show out high spacial variability and its major drivers mainly are
the geo-cooperation, the large-scale hydropower development, the climate change,
the huge population increasing, highway and international passage construction,

international navigation development, slope land utilization, and mineral explo-
ration. In the international rivers, the major TES issues’ influence, mainly caused by
cascade dams building, usually diffuses from upstream basins to downstream
basins, and the contrary influence along the border zones, driven by slope land use,
infrastructure construction, and mineral exploration diffuses from downstream
basins to upstream basins, such as species invasion as the transbounary ecosystems
fragmentation.
The integrated control systems should be established from the aspects of engi-
neering projects, ecological threshold setting, transboundary preserve development,
bioinvasion controlling, eco-security monitoring platform, ecological compensation
mechanism, international laws and rules, cooperative mechanisms, and capacity
building. At present, the most important task is to strengthen the participation
international cooperation mechanism, establish transboundary eco-security risk
funds, promote ecological compensation, develop information exchange platform
and early warning system in the existing multiple international cooperation regions.
5.4 Perspectives
1. The longitudinal range-gorge topographic feature stretching forms the diverse

environments which support the local diverse habitats; the “corridor-barrier”
functions are the key ecological mechanism for the biodiversity maintaining in
the LRGR. The research results offer the new scientific base for the biodiversity
conservation and biological resources sustainable utilization. But the interactive
mechanisms of the environments, ecosystems, climate, and land uses under the
“corridor-barrier” functions in LRGR are still unclear. Further studies should
analyze the interaction of special landscape and ecological process and quan-
titatively assess the multidimensional effects of the “corridor-barrier” functions.
2. The ecohydrological change and its transboundary impacts in LRGR have been
hot topics since 1990s when the first mainstream dam (Manwan Dam in
Lancang river, China) began to store water and the border trade started between
the upper Mekong and the lower Mekong countries. Most of the over 50 big
dams, planned in China’s 12th Five Year Plan for State Energy Development
(the State Council of China announced plans, 2013), will be built in LRGR, the
most biologically, geographically, and ethnically diverse region in China.
Linking with the “corridor-barrier” functions, the dynamics driving of interac-
tion among dams building, land uses, and change on in the stream flow regime
of large basins have much uncertainty. The quantificational assessment on
environmental flow, available water, and assignable water in international
watercourses, for example, could be the scientific base to make water allocation,
water utilization, environmental conservation, and border management, to
develop the transboundary environmental compensation mechanism among the
riparian countries from whole river basin to geo-cooperative regions. It is critical
676 P. Li et al.
for applied ecological study to assess the accumulative effects of cascade

megadams on species diversity, habitat location, migration, and ecosystem
impact of both large and small hydropower projects. The linkage of the stream
flow with the human activities (dams building, slope cultivation, mining, policy
making, and geo-cooperation) and climate change will be identified so as to find
the major driving factors; and then the change trend and the potential
region-wide impact of stream flow change will be assessed. Based on the
research, the suggestions for water and ecological security will be recommended
for the better management of the region.
3. Under the globalization of climate change and human action influence, the
transboundry issues of international rivers are showing the impacts from river
basins to regions; the adaptation to these changes will address upstream–
downstream relationships and needs a transboundary approach. But in actual
reality, influenced by the hydropolitical situation among the riparian countries, it
is very difficult to facilitate the upstream–downstream cooperation. In the
LRGR, there still exist in a lot of gaps of research and knowledge for trans-
boundary ecological security controlling: lack of models which effectively
model the cumulate environmental impact and the ecological function loss of
ecosystem change, especially, the aquatic ecosystem fragmentation caused by
cascade dams development; no integrated model could identify the different
multiple interactions between the dam building, climate change, and land use at
the basin-wide level. It is still difficult to quantitatively assess diverse values of
the natural flow regime for maintaining the ecosystem integrity of the river. In
the international laws, the regional fair principle and the transboundary envi-
ronmental compensation articles, are missed from their major principles,
because the integrity of river basin was seldom emphasized as a coupling
ecosystem and the great differences of biophysical environments, social and
economic conditions among the co-riparian countries are usually ignored.
4. The researches of theories, methods, techniques, and index systems on the
complex transboundary eco-security issues should be enhanced. The interdis-
ciplinary knowledge of applied ecology will be much useful to help scientists
and policy-makers to identify the transboundary ecological risks and jointly take
the actions for transboundary eco-security. Being different with the states’ tra-
ditional security issues such as the territorial sovereignty dispute, the trans-
boundary issues of water and eco-security, as a nontraditional security, have
their interdisciplinary features from an environmental or ecological point of
view and sensitive features because of the ecosystems integrity crossing the
border and river flow’s transboundary influences. So, it is needed to further
integrate the applied ecology with hydrology and water resources, policy and
laws, etc.; facilitating the researches of transboundary watercourses, biodiver-
sity, disasters (drought, flood, and pollution); developing the transboundary
environmental compensation mechanism; strengthening the decision-making
support for the international water laws and customary laws, water quality
standards among riparian states.
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Index
A D
Agricultural heritage, 60, 81–83 Debris-flow treatment, 395, 399
Degraded ecosystem, 168, 192, 237, 311, 315,
B 317, 319, 428, 625
Biocapacity, 501, 502, 505 Desertification, 95, 167, 168, 192, 236, 240,
Biodiversity, 3–7, 17–27, 35–37, 39, 42, 241, 255, 258, 260, 268, 272, 273, 351,
49–52, 72, 80, 91, 92, 101, 114, 118, 119, 386–388, 515, 560, 628, 630, 634, 636,
123, 127, 138, 140, 143, 144, 146–151, 638, 640, 643, 644, 653, 657, 665
153, 154, 159, 166, 181, 184, 193–195, Desert lichens, 401
198, 199, 216, 236, 239, 240, 253–255, Disease management, 72
257, 258, 292, 336, 345, 364, 384, 402,
422, 423, 425, 441, 477, 479–481, 489, E
511, 549, 550, 556, 558–561, 566, 570, Eco-city, 555, 569, 588–602, 605–610, 616,
577, 578, 632, 645, 675 617, 619, 621, 622
Biodiversity inventory, 4, 5, 7 Eco-compensation, 499, 513–533
Birds, 29, 30, 34–42, 91, 239, 361, 566, 570, Eco-county, 588, 589, 597, 608, 609, 613
579, 639 Eco-function zones, 216–218
Eco-hydrological processes, 221, 260
C Ecological agriculture, 77, 81, 82, 536–541,
Carbon cycle, 149, 257, 421, 441, 445, 453, 643
456, 458, 662 Ecological compensation, 102, 136, 138, 146,
Carbon stock, 445–447, 450 376, 393, 394, 404, 510–512, 675
CERN, 3, 413, 419–422, 426–428, 459 Ecological construction, 167, 266, 269, 279,
ChinaFLUX, 419, 420, 422, 423, 459, 460 404, 426, 514, 515, 517, 591, 666
Cleaner production, 539 Ecological deficit, 501, 502, 505
Climate change, 38, 39, 112, 140, 167, 216, Ecological footprint, 102, 160, 170, 501
225, 241, 260, 270, 277, 343, 383, 402, Ecological impact, 52
412, 414, 421, 422, 426, 432, 437–440, Ecological industry, 97, 269, 315, 536, 593,
443, 445, 446, 448–451, 453–455, 469, 653
471, 474, 476–485, 489–491, 512, 666, Ecological infrastructure, 556–559, 566, 578
674, 676 Ecological protection, 102, 165, 220, 269, 316,
Conservation, 4, 6, 11, 12, 24, 31, 35, 37, 39, 354, 365, 376, 510, 512, 525
60, 61, 81, 92, 100, 118, 127, 140, 182, Ecological restoration, 55, 165, 193, 197, 236,
218, 338, 403, 404, 425, 499, 564 239, 251, 253, 254, 317, 319, 338, 339,
Cultural diversity, 3, 18, 19, 23, 25, 26 342, 344, 345, 347, 351, 352, 355, 356,
393, 428, 517, 579, 593, 654

DOI 10.1007/978-3-662-48376-3
680 Index
Ecological safety, 134, 151, 223, 338 M

Ecologically fragile areas, 402–405 Mangrove, 53, 90–92, 94
Ecosystem function, 76, 92, 94, 217, 425, 477 Medicinal bioresources, 60–63
Ecosystem health, 115, 122, 196, 243, 320, 670 Monitor, 430, 485, 527
Ecosystem management, 98, 99, 117, 118, 165, Mulberry, 9, 13, 95–97
184, 218, 413, 425, 443
Ecosystem service, 102, 118, 119, 122, N
134–138, 146–149, 151, 154, 155, Network, 96, 101, 118, 139, 573, 576
157–159, 165, 166, 168, 170, 196, 216, Nutrient acquisition, 71, 72
257, 310, 426, 501, 502, 510
Ecotone, 110–113, 251, 257, 361 O
Ecotourism, 82, 543–545, 557 Ocean ecosystem, 63, 64
Evaluation, 9, 11, 63, 99, 115, 157, 160, 194,
196, 198, 202, 235, 250, 254, 338, 348, R
403, 434, 667 Recycling economy, 537
Root interaction, 69
F Rubber, 13, 20, 98–102
Forest ecosystem, 49, 102, 138–140, 236, 442,
444, 460, 480, 489 S
Salinization, 241, 246, 386, 387
G Sandland ecosystem, 256, 258–260
Gene flow, 17, 34, 37, 94, 123, 550 Seed bank, 11, 12, 345
Genetically modified (GM) crops, 549 Spatial heterogeneity, 135, 165, 661
Genetic resources, 5–7, 14–17, 52, 61, 73 Sustainable development, 12, 18, 60, 82, 95,
Geographical distribution, 36, 38, 54, 111, 657 98, 102, 115, 116, 119, 122, 189, 196, 242,
Germplasm resources, 8–12, 73 252, 254, 266, 276, 318, 319, 355, 360,
GIAHS, 81 384, 385, 393, 415, 416, 500, 518, 520,
Global change, 63, 64, 68, 91, 138, 236, 240, 560, 583, 625, 662, 666, 667
241, 258, 270, 321, 413, 414, 416, 423,
426, 446, 455, 476, 674 T
Grassland ecosystem, 151, 185, 235, 240–242, Threats, 14, 17, 23, 48–50, 94, 197, 506, 570,
256, 257, 310, 383–385, 442, 444, 446, 645, 671
448, 449, 460, 470 Tibet plateau, 167, 242, 270, 387, 390, 402,
Grazing Forbidden Project, 382–385 442, 443, 459, 470, 471, 473
I U
IGBP, 67, 412, 414, 421, 438 Urbanization, 14, 119, 416, 507, 508, 561, 648
IHDP, 415, 416 Utilization, 15, 19, 60, 61, 68, 73, 81, 93,
Indicators, 25, 48, 49, 111, 424, 609 96–98, 161, 164, 169, 180, 182, 184, 185,
Intercropping, 68–70, 72–74, 77, 100, 199 209, 260, 348, 387, 389, 514
Invasive alien species (IAS), 47, 49, 51, 52, 54
V
K Vertebrates, 4, 6, 29, 30, 658
Karst, 321, 322, 324–326, 335
W
L Water-heat balance, 225, 226
Landscape pattern analysis, 117–120, 671 Water loss and soil erosion, 236, 266, 338, 341,
Loess plateau, 96, 111, 117, 118, 125, 170, 343, 345, 354, 355
236, 266–270, 380, 432, 627, 630, 637, Wetland ecosystem, 134, 148, 180, 193, 195,
640, 642 455, 456

Contemporary Ecology Research in China: Wenhua Li

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Wenhua Li

Sponsors: State Key Laboratory of Urban and Regional Ecology

ISBN 978-3-662-48374-9 ISBN 978-3-662-48376-3 (eBook)

Jointly published with Higher Education Press, Beijing, China

Library of Congress Control Number: 2015949402

Springer Heidelberg New York Dordrecht London

Printed on acid-free paper

Springer-Verlag GmbH Berlin Heidelberg is part of Springer Science+Business Media

General Review of the Development of Ecology in China

administrations. With the advent of the twenty-ﬁrst century, ecosystem rehabilita-

Brief Introductory Description and Analysis on Selected Areas

On the basis of long-term studies, a biodiversity-related database has been

Global Change and Global Ecology

through biological processes, water evaporation through evapotranspiration, and

water erosion, salinization, and freezing-thawing processes. The life of over

The Ecosystem Study on the Qinghai-Tibetan Plateau

eco-culture. The essential idea of ecopolis development is to plan, design, manage,

approach and setting up of harmonious society in China, which is not only an

Challenges and Perspectives of Development of Ecology

Beijing, China Wenhua Li

Part I Biodiversity Conservation and Its Application

Part II Ecosystem Management

7 Ecosystem Service Evaluation . . . . . . . . . . . . . . . . . . . . . . 133

Part III Restoration of Degraded Ecosystem

Part IV Global Change Ecology

14 Ecosystem Positioning Research and Models . . . . . . . . . . . . . . 419

Part V Sustainable Development Ecology

Shuqing An School of Life Sciences, Nanjing University, Nanjing, China

Bangbo Cheng Institute of Geographic Sciences Natural Resources Research,

Yingzhi Gao School of Life Sciences, Northeast Normal University, Changchun,

Xianzhi Huang State Key Laboratory of Silkworm Genome Biology, Southwest

Shenggong Li Institute of Geographic Sciences and Natural Resources Research,

Xiaohui Liu Northeast Institute of Geography and Agroecology, Chinese

Xiang Niu Research Institute of Forest Ecology, Environmental and Protection,

Yuancun Shen Resources Research, Institute of Geographical Sciences and

Jinfeng Wang Research Institute of Water and Development, Chang’an

Jun Wu Nanjing Institute of Environmental Sciences, Ministry of Environmental

Dayuan Xue Nanjing Institute of Environmental Sciences, Ministry of

Chunlan Zhang Key Laboratory of Zoological Systematics and Evolution,

Lin Zhen Institute of Geographic Sciences and Natural Resources Research,

Dayuan Xue, Jianyong Wu, Xu Liu, Baorong Lu and Shengji Pei

Abstract Chinese authorities have organized many national or regional large-scale

© Springer-Verlag Berlin Heidelberg and Higher Education Press 2015 3

1 Progress on Biodiversity Inventory and Researches

1.2 Progress of the Study on Inventory of Biodiversity

and in situ conservation of biodiversity, and a series of relevant conservation

1.2.1 Progress on Identiﬁcation and Inventory of Biodiversity

A national-wide wildlife survey organized by the State Forestry Administration was

1.2.2 Inventory and Database of Biodiversity

1.2.3 Study of Categories and Criteria and Assessment

It is an important task in biodiversity conservation to assess biodiversity status and

1.2.4 Policy Systematic on Biodiversity

1.3 Conclusion and Discussion

Because of limited ﬁnancial and expertise resources, biodiversity surveys and

2 Survey, Catalog, Evaluation, and Conservation of Crop

2.1 Survey and Collection of Crop Germplasm Resources

2.2 Evaluation and Catalog of Crop Germplasm Resources

2.2.1 Characterization and Evaluation

Characterization and evaluation of crop germplasm resources is mainly based on