Vegetatio 83: 49-69, 1989. © 1989 Kluwer Academic Publishers. Printed in Belgium. 49 A theory of the spatial and temporal dynamics of plant communities Thomas Smith 1,2, 3 • Michael Huston 1 1Environmental Sciences Division, Oak Ridge National Laboratory, Oak Ridge, TN 37831, USA; z Department of Environmental Biology, Research School of Biological Science, Australian National University, Canberra ACT 2601, Australia; 3present address: Department of Environmental Sciences, Clark Hall, University of Virginia, Charlottesville, VA 22903, USA Accepted 18.5.1989 Keywords: Competition, Individual-based model, Plant functional type, Resource gradient, Succession, Tradeoff, Zonation Abstract An individual-based model of plant competition for light that uses a definition of plant functional types based on adaptations for the simultaneous use of water and light can reproduce the fundamental spatial and temporal patterns of plant communities. This model shows that succession and zonation result from the same basic processes. Succession is interpreted as a temporal shift in species dominance, primarily in response to autogenic changes in light availability. Zonation is interpreted as a spatial shift in species dominance, primarily in response to the effect of allogenic changes in water availability on the dynamics of competition for light. Patterns of succession at different points along a moisture gradient can be used to examine changes in the ecological roles of various functional types, as well as to address questions of shifts in patterns of resource use through time. Our model is based on the cost-benefit concept that plant adaptations for the simultaneous use of two or more resources are limited by physiological and life history constraints. Three general sets of adaptive constraints produce inverse correlations in the ability of plants to efficiently use (1) light at both high and low availability, (2) water at both high and low availability, and (3) both water and light at low availabilities. The results of this type of individual-based model can be aggregated to examine phenomena at several levels of system organization (i.e., subdisciplines of ecology), including (1)plant growth responses over a range of environmental conditions, (2) population dynamics and size structure, (3) experimental and field observations on the distribution of species across environmental gradients, (4) studies of successional pattern, (5)plant physiognomy and community structure across environmental gradients, and (6) nutrient cycling. Introduction Consistencies in the relationship between environmental conditions and plant communities have been the basis for explaining vegetation pat- terns at both global and local scales (Holdridge 1967; Whittaker 1956, 1975; Walter 1973; Ellenberg 1978; Box 1981), as well as the basis for classifying the plants themselves (e.g., Raunkiaer life forms, early vs. late successional, and gap vs. 50 non-gap). However, there is as yet no general theory that links vegetation patterns to basic plant processes (Drury & Nisbet 1973; Austin 1985; McGraw & Wulff 1983; Ehleringer et aL 1986). Huston & Smith (1987) showed that a single mechanism of interaction among individual plants (competition for light) could produce a wide variety of successional patterns depending on the correlation between a set of life history and physiological characteristics. Here we extend this approach by using a specific pattern of correlations between physiological and life history traits to explain the basic spatial and temporal patterns of vegetation. These specific correlations result from fundamental physiological and energetic constraints on the capture and use of resources by plants. The constraints affect the ability of a plant to (1) tolerate low levels of a resource while maintaining the ability to grow rapidly at high levels of the same resource; and (2)simultaneously use different types of resources when levels of both resources are low. The consequences of these correlations are shifts in the relative competitive ability of different types of plants along environmental gradients (Huston & Smith 1987). We use these correlations to develop a functional classification of plant types. We then explore the implications of this classification using an individual-based model of the nonequilibrium competitive interactions between plants which both respond to and modify resource levels in their environment. This approach demonstrates how different functional strategies of resource use allow plants to fill different ecological roles under different resource conditions. It explains why some plants are early successional species in some environments and late successional species in other environments, as well as demonstrates the common processes underlying both temporal and spatial gradients of vegetation pattern. Constraints on resource use by plants: the tradeoff model The pattern of correlations among plant characteristics that we use as the basis for our theory of vegetation dynamics is derived from the general principles of cost-benefit analysis as it has been applied to plant physiology and allocation of resources (Orians & Solbrig 1977; Mooney & Gulmon 1979, 1982; Bloom etal. 1985; Chapin et al. 1987; Givnish 1986). The tradeoff between tolerance to low resource conditions and maximum potential growth rate under high resource conditions (Fig. 1) is a wellknown consequence of the physiological and energetic constraints on plants (e.g., Parsons 1968a). This type of tradeoff has been reported for different light conditions (Grime & Jeffrey 1965; Loach 1967; Boardman 1977; Bazzaz 1979), different soil water conditions (Ellenberg 1953, 1954; Gates 1968; Parsons 1968b; Kozlowski 1982; Zimmermann & Brown 1971; Zimmermann & Milburn 1982), and different nutrient supply conditions (Mitchell & Chandler 1939; Grime 1974, 1977, 1979; Chapin 1980; Chapin etaL 1986, 1987; Bryant etal. 1983). High _.1 _< F- ,,,< F-- O fl_ "i- x < Low High Low RESOURCE AVAILABILITY Fig. 1. Growth rate in relation to resource availability for plants of two degrees of tolerance. Note the inverse relationship between the resource level where the growth rate is zero (x intercept of the curves) and the maximum rate of growth achieved under high resource conditions (based on Larcher 1975; Bazzaz 1979; Orians & Solbrig, 1977; Chapin et al. 1986). 51 To illustrate our use of the 'tradeoff model' for explaining vegetation dynamics, we will limit our discussion to traits related to the use of water and light, two resources that often limit plant growth (Clements et al. 1929; Daubenmire 1947; Walter 1964, 1968, 1971, 1973; Gates 1980). Our focus on constraints related to these two resources encompasses the fundamental tradeoffs between water loss and CO2 uptake through stomata, as well as the tradeoffs between aboveground and belowground resource allocation. In addition, the availability of these two resources varies greatly over a wide range of spatial and temporal scales, and thus can be expected to explain a large proportion of the variation in plant community structure over a range of scales. We do not intend to present a comprehensive model of vegetation dynamics, but rather to illustrate the robust predictions that result from applying the tradeoff model in the context of an individual-based model of plant competition. To keep our example simple, we limit our consideration to a subset of physiological and life history traits that apply specifically to carbon gain in terrestrial woody plants. We focus on vegetative growth and carbon gain, and do not explicitly consider reproduction because carbon is the basic currency of all plant growth (Bazzaz & Reekie 1985), and limitations on carbon gain will limit reproduction as well as vegetative growth. Inclusion of short-term environmental variability in our model is easily done, but to simplify the presentation of our example, we will consider only plants that respond to a particular scale of resource variability. For example, long-lived perennials that integrate a wide range of resource conditions respond to resource variation at a very different temporal scale than do annuals that complete their life cycle following a single rainstorm. We specifically discuss the spatial and temporal dynamics of woody plant communities that occur along a moisture gradient from desert shrubland to savannah to rainforest. The consequences of constraints on the simultaneous use of light and water by individual plants are summarized in the following three premises. Premise I. A plant that can photosynthesize at high rates and grow rapidly under conditions of high light is unable to survive at low light levels (i.e., it is shade-intolerant). Conversely, a plant that is able to grow in low light (shade-tolerant plant) has a low maximum rate of growth and photosynthesis even under high light conditions (Bazzaz 1979; Bazzaz & Pickett 1980; Larcher 1980). Premise 2. A plant that can grow rapidly and/or reproduce abundantly under conditions of high available soil moisture is unable to survive under dry conditions (i.e., it is intolerant to low moisture). Conversely, a plant adapted to survive and reproduce under dry conditions is unable to grow rapidly and/or reproduce abundantly even with high soil moisture availability (tolerant to low moisture) (Parsons 1968b; Orians & Solbrig 1977). Tolerances to conditions of low light and low moisture are interdependent and inversely correlated. Adaptations that allow a plant to grow at low light levels restrict its ability to survive under dry conditions. Conversely, adaptations that allow survival under dry conditions reduce the plant's ability to grow in low light. Thus no woody plant can simultaneously have a high tolerance for low levels of both resources. Premise 3. We will use these premises to characterize different types of plants, as well as differences between individuals of the same type growing under different conditions. Application of these premises to situations in which many individual plants interact with each other and with their environment is the basis of our theory of the spatial and temporal dynamics of vegetation. Mechanisms underlying tradeoffs in the use of light and water These premises represent the consequences at the whole-plant level of a large suite of physiological processes and life history strategies involved in the efficient use of different levels of the same 52 resource and of different resources. The mechanisms involved in these tradeoffs include all levels of a plant's structure, from its enzyme systems and organelle structure to its branching pattern and leaf angle. Perhaps the most fundamental constraint upon plants results from the inherent conflict between carbon dioxide uptake and water loss. Much of our understanding of this topic is based on work on enzyme systems and morphology at the leaf level (Medina 1971; Cowan 1982; Farquhar & Sharkey 1982; Farquhar &von Caemmerer 1982; Field & Mooney 1986). Some progress has been made in understanding how this conflict is resolved at the level of the whole plant (e.g., Tolley & Strain 1984, 1985; Teskey & Shrestha 1985; Cowan 1986; McCree 1986; Schulze 1986; Turner 1986; Schulze et al. 1987). However, the way in which the multiple chemical and physical processes within a plant are integrated to regulate the growth of a whole plant is a major area of ongoing research, the discussion of which is beyond the scope of this paper. We focus on the consequences of these and other tradeoffs for the growth of whole plants. One of the best-known consequences of the constraints on use of different types of resources is the tradeoff in allocation of energy to roots versus aboveground structures. The implications of the root:shoot ratio have been extensively discussed (Struik & Bray 1970; Aung 1974; Kramer & Kozlowski 1979; Schulze 1982, 1986; McMurtrie & Wolf 1983; Givnish 1986; Hunt & Nicholls 1986; Tilman 1988). In general, when water and nutrients are plentiful in relation to light, plants invest relatively little energy in roots, but spend most of their energy on aboveground parts to capture light. In contrast, when water and nutrients are limiting to plant growth, plants must invest heavily in roots at the expense of their aboveground parts. Competition for light becomes relatively unimportant under these conditions, but competition for water and nutrients may be intense. Thus root :shoot ratios vary widely in proportion to the relative availability of light in relation to moisture and nutrients. Variation in root:shoot ratios occurs both between species adapted to different resource conditions and between individuals of a single species that are grown under different conditions. Other responses of the whole plant to reduced light include increases in (1) leaf area/leaf weight; (2) leaf weight/whole plant weight; (3) leaf area/root surface; and (4) stem height/stem biomass (Loach 1967; Kozlowski 1976, 1982; Kramer 1983; Kramer & Kozlowski 1979; Zimmermann & Brown 1971 ; Fitter & Hay 1981 ; Withers 1979). These responses tend to be greater in plants that are less tolerant of shade (i.e., they have greater morphological plasticity). Each of these responses or mechanisms can impose limitations on the plant's ability to survive other stresses such as reduced availability of moisture or nutrients, fire, or herbivory (see Oosting & Kramer 1946; Keever 1950; Bryant etal. 1983; Chapin etal. 1987; Osmond etal. 1987). Responses to moisture or nutrient limitation are often the opposite of the responses to reduced light (Kramer 1969; Struik & Bray 1970; Kozlowski 1976, 1982; Fitter & Hay 1981; Chapin 1980; Chapin etal. 1986; Schulze 1986; Schulze etal. 1987), with corresponding decreases in the efficiency of light use. For example, any decrease in the leaf area ratio (the ratio of phytosynthetic surface to total respiring plant biomass), such as may result from decreased water availability, will increase the whole-plant light compensation level and reduce the net carbon gain. Constraints on the use of resources at different levels of availability also affect growth rate and size. In general, species adapted to high levels of resource availability can have a wide range of growth rates, depending on patterns of energy allocation to growth versus reproduction, mechanical structure, chemical defenses, other physiological processes, the rate of respiration, etc. (Paul 1930; Monsi 1968; Monsi & Murata 1970; Zahner 1970; Mooney 1972; Whittaker 1975; Mooney & Gulmon 1979; Gifford & Evans 1981 ; Bazzaz etal. 1987). However, among plants adapted to low resource conditions, the range of growth rates is narrowly restricted and the rates are much lower because of the adaptations 53 required for growth under such conditions (Chapin 1980). Few of these specific mechanisms apply over the entire range of conditions under which plants are found, and few apply to all levels or sizes of plant structure (e.g., leaves versus whole plants, herbaceous vs. woody plants, and annuals vs. perennials). Yet taken together, these diverse mechanisms form a consistent pattern oftradeoffs that can be generalized to the correlation pattern that we use as the basis of our theory of vegetation dynamics. (a) LOW aNil 0 ~ 8~ DECxIFMEu/~SlNGowTH nr~ ~/C ' OV IBl N ILEDI M I T ~ oz < nr iii d 0k- RATE TO TOLERANCES HIGH HIGH LOW SHADE TOLERANCE Plant functional types (b) The consequences of the three premises for use of light and water are summarized in Fig. 2a, which illustrates two main points. First, growth rate decreases as tolerance to either low light or low water availability increases. Thus, the highest growth rate is found in the upper right hand corner, which represents the lowest tolerance for low levels of light and water. Second, there is a limit to the combined tolerance to low light and water levels. This is illustrated by the diagonal boundary, which limits woody plant strategies to the combination of traits represented by the upper right half of the figure. By plant strategy, we mean a combination of plant characteristics related to the use of fight and water, including the resource allocation patterns reflected in maximum growth rate, maximum size, and maximum age, along with the plant's growth response to different combinations of light and water availability. For the sake of our example, we divide the continuum of plant strategies illustrated in Fig. 2a into discrete functional types (Fig. 2b). We have arbitrarily selected 15 functional types to represent the range of woody plant strategies for light and water use. The number of functional types that can or should be distinguished along the continuum, or in any particular situation, is a topic that we will not address here. The specific traits that we use to define functional types in our model are given in Table 1. These parameters are used with the growth LOW • 123 UA 0 1 \ 2 3 4 6 7 8 10 11 ~ \;3 0 Z 112 I.U _-I o HIGH HIGH SHADETOLERANCE 5 112 114 • LOW Fig. 2. (a) Possible w o o d y plant strategies for light a n d w a t e r use, illustrating some of the consequences of the tradeoffs described in the three premises. The highest rate of growth (carbon gain) is in the upper right corner of the figure, and growth decreases with increasing tolerance to low levels of light and/or water. (b) Division of the continuum of woody plant strategies into the 15 discrete functional types used in the computer simulations. Each functional type is defined by maximum growth rate, shade tolerance, and tolerance to low moisture levels, as definedby the parameters in Table 1. The same labelingfor these 15functional types is used throughout the paper. response equations to define the growth of each functional type for all combinations of light and water availability. The growth of an individual plant of a specific functional type under different combinations of light and water availability can be represented as 54 Table 1. Parameters and growth response equations for 15 functional types used in model simulations and figures 2 through 8. Species 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 Growth rate (relative diameter increment) Maximum height (m) Maximum age (years) Drought tolerance DRTOL 1 Shade tolerance 1.0 1.3 1.7 2.2 2.9 1.0 1.3 1.7 2.2 1.0 1.3 1.7 1.0 1.3 1.0 36 34 31 28 24 31 28 24 20 24 20 15 15 10 5 500 296 175 103 61 296 175 103 61 175 103 61 103 61 61 0.2 0.2 0.2 0.2 0.2 0.3 0.3 0.3 0.3 0.4 0.4 0.4 0.5 0.5 0.6 1 2 3 4 5 2 3 4 5 3 4 5 4 5 5 Light response Light compensation level LC z Scale factor SF1 z Scale factor SF22 0.015 0.024 0.039 0.063 0.100 0.026 0.043 0.069 0.110 0.047 0.076 0.121 0.083 0.133 0.146 1.00 1.00 1.02 1.20 1.75 1.00 1.02 1.20 1.75 1.02 1.20 1.75 1.20 1.75 1.75 10 6 4 2 1 6 4 2 1 4 2 1 2 1 1 S M G F = (DRTOLi-DRT)/DRTOLi, where S M G F is the soil moisture growth factor, D R T O L i is the drought tolerance of functional type i calculated as the proportion of the growing season below the soil wilting point above which the plant cannot maintain positive net growth and DRT is the proportion of the growing season below wilting point for a specific simulation. 2 L T G F = SF1 i • (1.0-exp(-SF2 i * (AL-LCi)))-(1.0-SMGF), where L T G F is the light growth factor scaled as a proportion of the maximum growth rate for a given functional type, AL is the available light expressed as a proportion of full sunlight, LC is the light compensation level for favorable moisture conditions (from Table 1), SF1 is a parameter to scale the light curve to asymptote at 1.0, and SF2 is a parameter that determines the initial slope of the light response curve. A multiplier is set to zero if its calculated value becomes negative. These equations were used to generate the response surfaces in Fig. 3. a three-dimensional response surface, with wholeplant carbon gain on the vertical axis and with light and water availability on the x and y axes (Fig. 3). These response surfaces reflect the consequences of the tradeoffs described in the three premises. Fig. 3b represents the hypothesized growth-response surface for a plant with intermediate tolerance for both low light and low moisture levels, and it illustrates the interdependence of light use and water use (Premise 3). The response surface can be envisioned as a series of light-response curves (here, integrated to wholeplant carbon gain) that have been calculated under a range of moisture conditions. The response surfaces of Fig. 3 illustrate important consequences of the interaction between light use and water use. With decreasing moisture availability, the level of light necessary for photosynthetic carbon gain to equal respiratory carbon loss (i.e., the whole-plant light compensation point) is higher than it is for higher moisture availability. Therefore, the maximum growth achieved under high light levels is lower when moisture availability is reduced. The consequences of the tradeoffs in Premises 1 and 2 are seen most clearly in comparisons between different functional types of plants. Figs. 3a and c show hypothesized growthresponse surfaces for two functional types of plants with contrasting patterns of light and water use. Fig. 3a represents the growth-response surface for a plant that is tolerant of low light levels but intolerant of low moisture levels (cf. Premise 3). This plant's response to light under high moisture conditions forms a classic shadetolerant light-response curve. This curve contrasts with the growth-response curve of the functional type in Fig. 3c, which is typical of 55 (a) F U N C T I O N A L T Y P E 1 ~r " S ' (b) F U N C T I O N A L T Y P E 10 (cJ F U N C T I O N A L TYPE 15 . :) • < 0u. 0,67 O 0.67 H7 01 033 ' ' ///.-~-.- ,' • " ~ ' ~ ~, ' , i ~ H GH .~, ~. ' ' ' i' L-;~ S'~ ,~ " ~ e L E t.tOt~T 0 ~2 0.3: HIGH / -', I VAII'~81E LIOHT 0 ~.~'~" Fig. 3. Growth response surfaces for three functional types showing growth rate in relation to light and moisture levels. (a) High shade tolerance with low tolerance for low moisture (type 1, Figs 2, 4-7); (b) Intermediate shade tolerance with intermediate tolerance to low moisture (type 10, Figs 2, 4-7); and (c) Low shade tolerance with high tolerance to low moisture (type 15, Figs 2, 4-7). shade-intolerant plants. Note that the shadeintolerant type (Fig. 3c) requires a higher minim u m light level for growth (light compensation point) under high levels of moisture availability but it is able to continue growth at much lower levels of water availability than is the shadetolerant type (Fig. 3a). In the rest of the paper, we will focus on these functional types of plants rather than on plant species per se. For many ecological applications, such as models of global vegetation pattern, this classification is likely to be more useful than a taxonomic one because it is based on inherent physiological and life history properties rather than on systematics. Our definition of functional type is analogous to the concept of guild that has been applied to animals (Root 1967). Accordingly, all members of a functional type use the same type of resources in more or less the same way, and thus can be considered functional redundants. Differences within a functional type (i.e., between guild members) tend to be much finer than the differences between types. This use of functional type contrasts with traditional descriptions of plant strategies or roles in a community. In our system, a plant can have different roles in different communities, depending on the environmental conditions and the presence of various other species (see results). The specific shapes of the response surfaces we use in our model actually represent hypotheses about the interaction of constraints on light and water use. However, our functional classification of plants does not depend on the exact details of the response surfaces, but only on the general validity of physiological and life history correlations expressed in the tradeoff model. The same general approach to cost-benefit tradeoffs in plants has been used as the basis for explanations of such characteristics as leaf size and shape (Parkhurst & Loucks 1972; Givnish 1978, 1979), leaf type in arid environments (Orians & Solbrig 1977), plant height (Givnish 1982; Chazdon 1986), plant photosynthesis (Mooney & Gulmon 1979; Cowan 1986), the ability to use multiple resources (Chapin etal. 1987), and herbivore defense and nutrient use (Mooney & Gulrnon 1982; Bryant etal. 1983; Coley etal. 1985). The shapes of the response surfaces could be determined empirically with appropriate experiments. The multi-factorial physiological experiments needed to quantify the precise shape of these response surfaces have not yet been performed at the whole plant level (see Osonubi & Davies 1980; Brun & Cooper 1967; Linder et al. 1981 for factorial experiments involving leaf response to light and temperature, to light and CO2, and to light and nutrients, respectively). Nonetheless, the overall patterns can be inferred 56 from basic models of plant physiology (e.g., Farquhar & v o n Caemmerer 1982) and from the limited amount of whole plant experimental work that has been done (Hunt & Nicholls 1986; Wellington et al. in review). Two aspects of the responses summarized in Figs 2 and 3 are critical for understanding vegetation dynamics and plant distributions. The first is the set of adaptations that allow a plant to survive under a particular combination of resource conditions. The second is the effect of those adaptations on the distribution of that plant type in communities of competitors across the entire range of resource conditions. Inevitably, the same adaptations that allow a plant to grow well under one set of conditions will prevent it from surviving under some other conditions. A model of plant interactions based on functional types We examine the consequences of our functional description of plants using the same type of model that Huston & Smith (1987, see also Botkin et al. 1972; Shugart 1984) used to examine succession. The relevant features of the model are (1)it is based on individual plants; (2)individuals interact by depleting the level of a single resource, light; and (3)the model determines the nonequilibrium dynamics of plant interactions by tracking the growth of each individual. We model tree growth in annual timesteps on a grid composed of plots of ground scaled to the area which can be dominated by a single individual of maximum size (Shugart & West 1979). Birth, growth, and death of each individual on each plot are followed, and the leaf areas of each individual are integrated to determine the vertical light profile in each plot. The model determines the responses of each individual to available water and light according to the response functions for its specific functional type (i.e., the equations used to generate the response surfaces in Fig. 3, see Table 1 for parameters and equations). The model of resource interactions is neither multiplicative nor based on Liebig's law of the minimum; rather it is based on the tradeoff model described earlier. Light is the only resource for which plants compete in this model, and the only way in which individuals interact is indirectly, through their effect on light availability. The consequences of competition for light are expressed as a decrease in growth for each individual based on the amount of light it receives and its type-specific lightresponse function for the current moisture conditions (e.g., Fig. 3). An increased probability of mortality is associated with decreased growth. In the model, individuals do not compete for water; rather they experience a type-specific decrease in their maximum growth rate and an associated increase in the minimum light level needed to support growth, both of which are proportional to the degree of water availability in a particular environment (Fig. 3). Functional types that are intolerant of low water availability experience a greater reduction in growth for a given degree of water stress than do tolerant types. In a simulation for a given set of initial resource conditions, individuals of all functional types are allowed to interact to produce an annual record of the plant type composition, size distributions, resource availability, etc., that result from their particular resource use strategies. Reproductive strategies are not considered explicitly, rather all functional types are established at the same rate. This type of individual-based model has been widely used in forestry, agriculture, and population biology (Botkin et aL 1972; Shugart & West 1977; Shugart 1984; Pastor & Post 1985, 1986; Huston & DeAngelis 1987; Huston & Smith 1987; Huston e t a L 1988). Model results Most previous applications of this general type of individual-based forest model have focused on succession and other patterns of vegetation change that occur at a single location in space (Shugart & West 1977; West et al. 1981; Pastor & Post 1986; Huston & Smith 1987). Here we use our definition of plant functional types together with an individual-based model to investigate the 57 interaction of spatial and temporal patterns, specifically (1)differences in successional patterns along a spatial gradient of water availability and (2)temporal shifts in plant spatial distributions along gradients of water availability. Simulations of the interactions between many individuals of each of the 15 functional types were aggregated to show the total biomass of each functional type in a matrix of time (succession) and space (a gradient of site water conditions). Fig. 4 presents the resulting three-dimensional surfaces of total biomass in relation to successional time and water availability for 5 of the 15 functional types. Some of the important spatial and temporal patterns embodied by these response surfaces can be more clearly visualized using two-dimensional figures that show the different patterns of succession that occur at different points along the moisture gradient. Fig. 5 presents changes in biomass through time for the dominant functional types under 6 different moisture conditions. Temporal changes in the pattern of spatial zonation are presented in Fig. 6, which shows the relative biomass of 5 functional types along the same gradient during early and late succession. Fig. 7 illustrates the pattern ofbiomass along a moisture gradient in absence of competition between functional types (i.e., in a monoculture, Fig. 7a) and in the presence of such competition (i.e., in a polyculture, Fig. 7b). The same data presented in Fig. 7b, on an absolute axis, are also presented in Fig. 6b, on a relative axis. Although the above four figures form the basis for the following discussion of results, the output of this individual-based model can be aggregated in many additional ways to address different ecological questions. For example, it is possible to compute the spatial and temporal distribution of specific resources that are affected by the plants, as is illustrated in Fig. 8, which shows the vertical distribution of leaf area and the available light at ground level for three different levels of moisture. Patterns at other levels of organization can also be investigated using the model output. Population dynamics under different conditions can be examined, such as the effect of different levels of resource availability or of different types of resources on size distributions (see Huston & DeAngelis 1987). Community properties, such as height structure or species diversity (see Huston & Smith 1987), and ecosystem properties, such as productivity, total biomass, decomposition rate, nitrogen availability, etc., can be examined by aggregating the model results for the appropriate parameters (see Aber et al. 1979, 1982; Pastor & Post 1985, 1986, 1988; Huston & Smith 1987; Huston et al. 1988). ~NL-OWG re) TYPE 1 I (b)TYPE E ( c ) T Y P E 10 , Uililli'iS'illlA'~ #)TYPE 13 , ,,,~,~ 17-14411 (eJTYPE 15 .~.~... Fig. 4. Three-dimensionalrepresentationof functionaltype biomass along spatial and temporal gradients, includingthe effects of competition.The vertical axis represents the total biomass of each species at a specificpoint in time (succession)and space (moisturegradient).The surfacescorrespondto species 1,6,10,13, and 15 from Figs 2 and 3. For each simulationall 15 functional types from Table 1 (Fig. 2b) were included. 58 20 0 30 ~ ORNL-DWG 1111-18724 ORNL-DWG 86-16717 100 ) -- DRY 15 I < IE 0 m o 1314 0 40 i f 25 ]15 (b) 10 (c) Z W 75 m O. 50 YEAR 4 0 0 (J 0 60 '°°I 25 0 1 (d) (d) 0/~._,~ t HIGH LOW MOISTURE AVAILABILITY ~,.,.~6 Fig. 6. Species zonation along a moisture gradient at different stages of succession. The curves represent sections of the surfaces of Fig. 4 at two points along the time axis, scated as relative biomass. ul u) ORNL-DWG 87-14487 _ ~OCULTURE 0 100 (f) 1 -- - < O .~ 1 __ ~ 15 POLYCULTURE ( b) ' 313 + 5O 6 2 - WET 0 100 200 YEAR 300 400 Fig. 5. Successional sequences resulting from competition among the same functional types under different moisture conditions. The curves represent sections of the surfaces of Fig. 4, plus additional functional types from Table 1, at different points along the moisture axis. HIGH MOISTUREAVAILABILITY LOW Fig. 7. Simulated patterns of plant abundance along a moisture gradient. (a)The response of 5 functional types grown in monoculture, illustrating the similar physiological optimum of each functional type; (b)The response of 5 functional types grown in competition with all 15 functional types, illustrating the ecological optima of the functional types. 59 Plant succession: dominance along temporal gradients Because of the tradeoffs involved in efficient use of light at high versus low levels (Premise 1), there is an inevitable shift in the competitive ability of a functional type over the course of succession. This shift in competitive ability results from the decrease in light at ground level as plant height and leaf area increase during succession. Thus, successional dynamics are determined by the inverse relationships between the various adaptations that confer superior competitive ability at different points along an autogenically-controlled temporal gradient of light availability (Clements 1916; Clements etal. 1929; Huston & Smith 1987). We first consider simulations for specific levels of water availability, along a gradient from dry to wet. Under dry conditions, the possible light-use strategies are limited to those that are relatively shade-intolerant (Premise 3). Light at ground 30 t--- I I I I level is relatively high (cf. Fig. 8a) because leaf area is limited by the need to reduce transpiration, a high light compensation point, and by the allocation of carbon for water uptake and transport. With the reduced number of functional types capable of surviving under dry conditions, the successional sequence is simple and short (Figs 5a and b); there is little change in light availability over time and little vertical stratification of the vegetation (Fig. 8a). In fact, arid regions are characterized by an absence of temporal shifts in species composition following disturbance (Noy Meir 1973; Zedler 1981; Peet & Loucks 1977). For example, Hanes (1971) described the patterns of vegetation dynamics in arid chaparral plant communities as 'autosuccession', referring to the self-replacing nature of the vegetation. Diversity both within and between habitats changes relatively little through the course of succession under these dry conditions. With increased moisture availability, shade I I r (e) WET SITE 25 100 I-"1(3 80 ._% 20 z v =,,-I, E -.1 W I-. -I- 15 (3 LU -r- 60 ~ u.a u.z 0 ~ 40 (.'3~ 10 20 0 50% Z q, LU (3 m Id.I 0 0 50% 10% 0 10% 5% 0 5% P E R C E N T A G E OF L E A F A R E A PER HEIGHT C L A S S Fig. 8. Simulated vertical distribution of leaf area and associated light availability at ground level for three environments along a moisture gradient. The leaf area distribution reflects the contribution of all functional types present under the specific moisture conditions. 60 tolerance becomes a viable strategy. Indeed, shade tolerance is necessary if a plant is to be able to establish and survive as light is reduced by the increased leaf area that plants can support under moist conditions (Fig. 8b). Under moister conditions, additional functional types (those intolerant of low water availability) are able to enter the community, while the types that are tolerant to low moisture are still able to survive, at least in the high light conditions of early succession. This increase in the number of functional types results in a more complex successional sequence (Fig. 5c, d, e), and allows vertical stratification of the vegetation (Fig. 8b). Under wet conditions (Fig. 50, survival in the high light conditions of early succession is independent of tolerance to low moisture or light, and all functional types can survive. However, shadeintolerant mesic types (with a low tolerance for dry conditions) quickly dominate because their growth rates are higher than those of either the more shade-tolerant types or the more xeric types (with high tolerance for dry conditions) (see Fig. 2 and Table 1). As light is reduced at ground level, the ability to regenerate and grow under shaded conditions becomes more important and the more shade-tolerant types (e.g., type 6 in Fig. 5d, e), regardless of moisture tolerance, begin to dominate. The most mesophytic shade-tolerant types will eventually dominate under high moisture conditions (e.g., type 1 in Fig. 5e, f), because of their shade tolerance and size. Note, however, that the highly shade-tolerant types existing in the low light levels of the forest floor are very sensitive to water stress and could be severely affected by extreme seasonality or occasional droughts (Nutman 1937; Walter 1971). Only when high moisture availability makes shade tolerance a viable strategy can there be complex vertical stratification of forest structure. With increasing water availability, plant density and leaf area can increase and available light at ground level decreases (Fig. 8c). When there is sufficient water to support a closed canopy woodland, a vertical stratification of woody vegetation develops with a functionally and taxonomically distinct understory (White 1968; Smith & Goodman 1986, 1987). The increased leaf area results in a temporal shift in species composition (i.e., succession) because the initial canopy dominants cannot regenerate under reduced light availability. The pattern of increasing vertical stratification, increasing production, increasing leaf area index, and increasing number of functional types continues as moisture availability increases, reaching the highest levels under the most mesic conditions (e.g., in a tropical rain forest). Zonation: dominance along spatial gradients Although zonation is a spatial phenomenon, it also has a temporal component. Succession occurs at every point along a spatial gradient, so patterns of zonation may change over time. The simulations presented in the context of succession in Figs 4 and 5 can also be used to look at patterns of zonation. Because plants found under dry conditions have a low leaf area and small stature, light availability is relatively high at ground level (Fig. 8a). Zonation of woody plants in arid regions generally involves shade-intolerant species of increasing size along gradients of increasing moisture availability. Although diversity within a zone is low, many different zones can occur because slight differences between soil types can result in significant differences in soil moisture under low rainfall conditions. Minimal overlap occurs between the zones because shade intolerance precludes coexistence through vertical stratification of light. As Whittaker (1975) observed, 'Toward increasingly unfavorable [xeric] environments there is a stepping down of community structure and a reduction of stratal differentiation, with generally smaller number of growth forms arranged in fewer and lower strata.' Because physiological limitations prevent the more mesic types from occurring during any successional stage, there is little change in the diversity of functional types through time (Fig. 6). Under wetter conditions, diversity within habi- 61 tats can be higher because more light-use strategies are possible. Diversity changes dramatically through the course of mesic succession, with a decrease in diversity among the dominant life forms (cf. Fig. 6a, b) because the shade-intolerant types that compete successfully in the high light conditions of early succession are eventually excluded by shade-tolerant types. However, there may be an increase in total diversity as subordinate life forms such as vines, epiphytes, and understory herbs with higher shade tolerance (but reduced size and longevity) are added to the community. Spatial patterns of diversity among different patches or habitats are as likely to reflect differences in successional age (e.g., Fig. 6a vs. 6b) as they are to reflect differences in response to water availability or the availability of other resources that is not directly controlled by the plants themselves. Patterns of zonation change through time, reflecting changes in resources, particularly light, that are caused by the plants themselves. Fig. 6 illustrates the temporal changes in plant type distributions (i.e., zonation) between early (Fig. 6a) and late succession (Fig. 6b) along a moisture gradient. The principal changes are: (1)a decrease in the range of moisture conditions over which a plant type is found, resulting primarily from competition at the high resource end of the gradient; and (2) a shift in the mode of the plant distribution toward conditions of lower water availability. In contrast to many models based on niche theory that represent plant distributions across resource gradients as Gaussian, the distributions produced by our model are not symmetrical. The distributions are skewed toward the low resource end of the gradient, where they are truncated by physiological limitations. A long tail of the distribution persists under high resource conditions where the plants can potentially survive, but are usually eliminated by competition. This same pattern of skewness has been found in many studies of plant distributions along resource gradients (Austin 1987; Austin & Smith in press). These patterns generated by the model for moisture gradients (Fig. 6) are similar to the pattern documented by Werner & Platt (1976) for goldenrods. There was higher goldenrod diversity at most points along a moisture gradient and greater overlap between species in an old field (considered to represent an earlier stage of herbaceous succession) than in a natural prairie. Similar patterns of decreasing habitat breadth through the course of succession have been reported for other herbaceous communities (Pineda et aL 1981 a and b) and forests (Auclair & Goff 1971; Christensen & Peet 1984). Shifting successional roles of functional types When moisture availability is reduced, three phenomena occur that influence successional dynamics: (1) reduction in the number of possible light-use strategies; (2)reduction in shade tolerance (i.e., whole plant light compensation levels are increased); and (3) reduction in the maximum potential growth rates of the functional types. The first two phenomena have the effect of changing the relative shade tolerances of functional types (cf. Fig. 3), which allows a single functional type to have different ecological roles (e.g., early successional vs. late successional) under different conditions. For example, functional types that dominate in late succession under xeric conditions (e.g., type 10 in Fig. 5c) can also appear in the high light conditions of early succession under mesic conditions, where shade tolerance is not critical (e.g., type 10 in Fig. 5d, e). However, as light at ground level is reduced by increased leaf area during mesic succession, shade tolerance becomes more important. Therefore, the functional type that was able to dominate in late succession under xeric conditions, because it was the most shadetolerant type under those conditions, will be replaced by more shade-tolerant mesophytic types under mesic conditions (e.g., type 10 in Fig. 5d, e). This trend continues as moisture availability increases until eventually the xerophytic shade-intolerant types are eliminated even in early succession by the faster growing mesophytic shade-intolerant types (Fig. 5t). This shift in the ecological role of a functional 62 type is more easily visualized from Fig. 4, which shows the changes in abundance of five functional types over time as a function of moisture availability. Except for the type with the lowest tolerance to reduced moisture and greatest shade tolerance (type 1), each functional type appears initially as an early-successional transient under conditions of high moisture availability and becomes a late-successional dominant only in communities with lower moisture availability. This shift in roles is most pronounced in the functional types with the lowest shade tolerance and highest tolerance to low moisture conditions (e.g. types 10, 13, and 15). Although these early-successional transients, which are shade-intolerant but tolerant to low water availability, do not persist when water availability is higher, they may achieve much greater sizes and higher growth rates on an individual basis under moister conditions than they do under the drier conditions where they dominate the community. For example, Acacia karoo shows this pattern in southern Africa; it is a tall, fast-growing early-successional tree on the coastal sand dunes (Weisser & Marques 1979), but it is a slower-growing tree of smaller stature in the semi-arid savannas where it is the dominant species over extensive areas (Acocks 1975). Several pine species show this same role shift in southeastern North America, where they are early-successional transients replaced by hardwoods on favorable sites but they persist and dominate exposed dry sites (Oosting 1942). Likewise, as Peet & Loucks (1977) observed, communities of Quercus macrocarpa and Q. velutina persist on xeric sites, although both species are typical of early-successional stages on more productive mesic sites. Discussion Resource variability and the ecological classification of plants Just as the successional role of a plant functional type can change in response to conditions such as water availability, so can other plant roles that have been used to classify plants. For example, whether a particular plant is a 'gap' or a 'forest' species or where in a gap it occurs is not a constant, but a consequence of the plant's particular resource-use strategy (functional type) and the environment in which it occurs. Thus, a plant can have different roles, depending on environmental conditions such as the degree of water or nutrient availability. Because traits such as successional roles, characteristic spatial position, and other aspects of a plant's interactions with its environment are variable, they cannot be the sole basis for a functional classification of plants. Inherent physiological and life history characteristics, which determine how the plant responds to varying environmental conditions, are a more appropriate basis for an explanatory classification of plant strategies. The correlation between environmental conditions and plant distributions has been the basis of most previous classification of plant strategies or vegetation types, including r, K, and adversity strategies (MacArthur & Wilson 1967; Southwood 1977; Greenslade 1983); early and late successional types (Budowski 1965, 1970; Whittaker 1975; Bazzaz 1979; Finegan 1984; Swaine & Whitmore 1988); exploitative and conservative responses (Bormann & Likens 1979); ruderal, stress tolerant, and competitive strategies (Grime 1977, 1979); gap and non-gap species (Hartshorn 1978; Brokaw 1985a, b); structural characteristics (Raunkiaer 1934; Hall6 1974; Hall6 & Oldeman 1975; Webb et al. 1970; Walker et al. 1981). Most of these schemes are based on plant responses to a particular set of environmental conditions, such as resource availability and disturbance regime, rather than on inherent properties of the plants themselves. Our system of classifying plant functional types differs from most previous classifications in that it is not based on plant distributions or patterns of environmental conditions (e.g., the habitat templet (Southwood 1977)). Rather it is based on biological constraints imposed on individual organisms by processes at lower levels of system organization (e.g., physics, chemistry, physiology). These biological constraints interact with 63 environmental conditions at higher levels of system organization (e.g., climate, geology), which can be defined independently of the response of the plants themselves. The vital attributes model of Noble & Slatyer (1980) is also based on the interaction of plant properties with environmental conditions. The complexity of interactions between different environmental factors was studied by Shelford (1951 a, b), who developed three-dimensional surfaces of population responses to levels of two physical factors (generally precipitation and temperature presented as thermohydrograms). Shelford specifically focused on environmental conditions during periods that are critical to reproductive success. His work was a significant contribution to understanding the effect of interacting factors on population dynamics. However, his work was on animal responses, and did not consider plant responses to interacting conditions. Plant responses to interacting environmental factors have also been considered in some resource-based models of plant growth. The graphical model of plant responses to changing amounts and ratios of two different resources developed by Heady et al. (1955), quantifies the multidimensional response of several crop species to different ratios and amounts of nitrogen and phosphorus. In this approach, different pairs of resources may be classified as essential, complementary, substitutable, etc. for a particular plant; furthermore, different plant species can be characterized by their growth isoclines for two limiting resources (Heady et al. 1955). This approach has been used to look at competition for resources between two or more different species (Leon & Tumpson 1975; Tilman 1980, 1982). Our major criticisms of this approach to plant responses to resources are (1) it is based on competitive equilibrium, which is unlikely to be relevant in most ecological situations (DeAngelis & Waterhouse 1987); and (2) it inappropriately aggregates many different components of competitive ability for a particular resource by creating an a priori definition of competitive ability (see discussion in Huston & Smith 1987). A recently published model of vegetation dynamics (Tilman 1988) is based on the consequences of root-shoot tradeoffs on competition for nitrogen and light. This model is similar in its essential details to other individual-based plant competition models (e.g., Botkin et al. 1972), and is an example of one aspect of the tradeoffs we address in our theory. Vegetation pattern, resources, and disturbance The scale of vegetation pattern is determined by the scale of resource variation. For example, because the vertical distribution of light is under the control of the plants themselves, the horizontal scale of variation in light availability is determined by scale of the dominant plants in the environment. Light gaps, which provide much of the horizontal variability in light, are formed by the death of one or a few large individuals. Although large light gaps can be formed by the death of many trees during large-scale disturbances, the minimum scale of horizontal light variation is on the order of individual plants. Significant variation in water availability can occur on a much larger spatial scale than variation in light. The spatial scales of variation in water availability can explain both small-scale vegetation patterns ranging form moisture gradients on hillslopes or around individual shrubs in arid regions to large-scale patterns along continental moisture gradients. The temporal scale of water availability is also much different than that of light. On a scale of days or weeks (but not hours, minutes, or seconds) variation in total light availability is relatively homogeneous and predictable. In contrast, water availability is extremely variable and unpredictable on the scale of days or weeks, although it is more predictable on both an hourly or a yearly basis. Plants have little control over water availability. Although root uptake and transpiration can reduce water locally (Ehleringer 1984), water availability is primarily an allogenic consequence of climate, weather, soils, and topography. To the extent that the effect of disturbances 64 upon resource availability can be determined, the response of vegetation to disturbance can be predicted by a model based on plant functional responses to resources. The level of one critical resource can determine the extent to which a given type of disturbance will influence other critical resources and thus affect plant community structure. For example, disturbances that remove vegetation and increase light availability will have little impact on diversity within or between habitats in xeric environments, where only one or a few lightuse strategies are possible. However, the restructuring of vertical and horizontal light availability in mesic areas can have a major impact on the diversity of functional types. The role of gap formation, in particular, is known to play a critical role in structuring both tropical and temperate forests (Hartshorn 1978; Runkle 1981, 1982; Runkle & Yetter 1987; Brokaw 1985a, b). Thus, disturbances can have very different effects at different points along a resource gradient. Some disturbances are limited to certain portions of a gradient, whereas other disturbances have a large effect only under particular resource conditions. Most disturbances, whether autogenic or allogenic, tend to occur with a characteristic frequency and intensity in different regions of a landscape. This periodicity of disturbances allows the establishment of a dynamic equilibrium between the rate of vegetation change (i.e., succession) and the extent to which disturbances slow or prevent succession or reinitiate succession from some earlier stage. This dynamic equilibrium in turn strongly influences species diversity (Huston 1979, 1985) and can also influence a wide variety of other community and ecosystem properties (Pastor & Post 1986; Huston & Smith 1987). Relation to results of gradient experiments Our computer simulation experiments are analogous to the field and laboratory experiments of Ellenberg (1953, 1954), Austin & Austin (1980), and Austin et al. (1985). The fact that the simulation results closely match the experimental results suggests that our simple model incorporates the underlying processes that produce the consistent patterns of plant distributions found in these experiments. The simulation results illustrate the difference between the 'physiological optimum' (Fig. 7a) and the 'ecological optimum' of a species (Fig. 7b) (Salisbury 1929; Walter 1971; Ellenberg 1953, 1954; Mueller-Dombois & Ellenberg 1974; Rorison 1968; Austin 1982). Each functional type (with the exception of the two extreme types) shows declining total biomass both with increased and with decreased moisture availability when they are grown together with all other functional types (Figs 4, 7b). The decline in relative biomass of most types as moisture availability is increased results from competition for light, since each type has its maximum potential growth under high resource conditions (Fig. 7a). As moisture decreases, most functional types decline in total biomass as a consequence of both competition and physiological limitations. (Fig. 7b). As a general rule, all plants grow best with abundant light and water (as well as mineral nutrients and CO2), but plants are rarely most abundant in natural communities under their physiologically optimum conditions because of competition from other species. Many studies have found a great similarity in the physiological optima of most species when they are grown in monocultures along experimental gradients of nutrients (Bradshaw et al. 1964; Austin & Austin 1980) and moisture (Ellenberg 1953, 1954; Mueller-Dombois & Sims 1966). However, there is much less overlap in the resource conditions under which plants actually achieve their highest biomas s in natural multispecies communities (i.e., the ecological optimum Ellenberg 1953, 1954; Walter 1971; Austin 1982). In addition, the position of the ecological optima of many plant species along a resource gradient can be very different from the position of their physiological optima (Mueller-Dombois & Sims 1966; Austin 1982; Austin et al. 1985). As a result, there is much more variation in the conditions under which plants are actually found than in the conditions under which they grow best 65 in the absence of competition. Competition displaces species toward environmental conditions that they are able to tolerate, but which the species that outcompete them under optimal conditions cannot tolerate (cf. Connell 1972). Thus, for many species, the ecological optimum is closer to their physiological limit than to their physiological optimum. The inevitable result of adaptive tradeoffs is that no organism can be dominant over the entire range of conditions under which it can survive (cf. Darwin 1859; Clements 1916; Clements etal. 1929). Plant types adapted to low resource conditions are at a competitive disadvantage under high resource conditions because competitors adapted to only high resource conditions have none of the constraints associated with adaptations required to survive at low resource levels. Likewise, functional types adapted to high resource levels are at disadvantage under conditions of low resource availability (resource levels that are near or below the minimum requirements of those types). Therefore, as resource levels change across either space or time, the distribution of plant functional types will also change. This theory explains the spatial and temporal patterns of plant distributions across the range of environmental conditions on a landscape as the ecological consequence of evolutionary adaptations to a specific set of environmental conditions. Acknowledgements This work was supported by a Eugene P. Wigner Fellowship, the Walker Branch Watershed Project of the Office of Health and Environmental Research, U.S. Department of Energy, under contract DE-ACO5-84OR21400 with Martin Marietta Energy Systems, Inc., and by National Science Foundation (NSF) grant BSR-8315185. We thank many friends and reviewers who have given us invaluable suggestions as we tried to clearly express these ideas, including M . P . Austin, D.L. DeAngelis, K.T. DeLong, B. E. Kimmel, G. M. Logsdon, L. M. McCain, S.B. McLaughlin, R.J. Norby, J.J. Pastor, W.M. Post, H. H. Shugart, A. J. Stewart, G. E. Taylor, D.L. Urban and A. B. Wellington. 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