Chapter 8: Diversity measures, dominance curves and other graphical analyses 8.1 Univariate measures A variety of different statistics (single numbers) can be used as measures of some attribute of community structure in a sample. These include the total number of individuals (N), total number of species (S), the total biomass (B), and also ratios such as B/N (the average size of an organism in the sample) and N/S (the average number of individuals per species). Abundance or biomass totals (or averages) are not dimensionless quantities so tend to be less informative than diversity indices, such as: richness of the sample, in terms of the number of species (perhaps for a given number of individuals); dominance or evenness in the way in which the total number of individuals in the sample is divided up among the different species (and, in one version of this, a parameter of the species abundance distribution first described by Fisher, Corbet & Williams (1943) ). Diversity indices The main aim is to reduce the multivariate (multi-species) complexity of assemblage data into a single index (or small number of indices) evaluated for each sample, which can then be handled statistically by univariate analyses. It will often be possible to apply standard normal-theory tests (t-tests and ANOVA) to such derived indices (see page 6.1), possibly after transformation. A bewildering variety of diversity indices has been used, in a large literature on the subject, and some of the most frequently used candidates are listed below.¶ More detail can be found in two (of several) overviews aimed specifically at the biological reader, Heip, Herman & Soetaert (1988) and Magurran (1991) . It should be noted, however, that diversity indices of this type tend to exploit some combination of just two features of the sample information: a) Species richness. This measure is either simply the total number of species present or some adjusted form which attempts to allow for differing numbers of individuals. Obviously, for samples which are strictly comparable, we would consider a sample containing more species than another to be the more diverse. b) Equitability. This expresses how evenly the individuals are distributed among the different species, and is often termed evenness. For example, if two samples each comprising 100 individuals and four species had species abundances of 25, 25, 25, 25 and 97, 1, 1, 1, we would intuitively consider the former to be more diverse although the species richness is the same. The former has high evenness, and low dominance (essentially the reverse of evenness), while the latter has low evenness and high dominance (the sample being highly dominated by one species). Different diversity indices emphasize the species richness or equitability components of diversity to varying degrees. The most commonly used diversity measure is the Shannon (or Shannon–Wiener) diversity index: $$H^\prime = – \sum _ i p _ i \log(p _ i) \tag{8.1} $$ where $p _ i$ is the proportion of the total count (or biomass etc) arising from the ith species. Note that logarithms to the base 2 are sometimes used in the calculation, reflecting the index’s genesis in information theory. There is, however, no natural biological interpretation here, so the more usual natural logarithm (to the base e) is probably preferable, and commonly used. Clearly, when comparing published indices it is important to check that the same logarithm base has been used in each case. If not, it is simple to convert between results since $\log _ 2 x = (\log _ e x ) / (\log_e 2)$, i.e. all indices just need to be multiplied or divided by a constant factor. Whether it is sensible to compare $H ^ \prime$ across different studies is another matter, since Chapter 17 shows that, like many of the indices given here (Simpson being a notable exception, Fig. 17.1), it can be sensitive to the degree of sampling effort. Hence $H ^ \prime$ should only be compared across equivalent sampling designs. Species richness Species richness is often given simply as the total number of species (S), which is obviously very dependent on sample size (the bigger the sample, the more species there are likely to be). Alternatively, Margalef’s index (d) is used, which also incorporates the total number of individuals (N), in an attempt to adjust for the fact that within a larger number of individuals, more species may expect to be found: $$ d = (S-1) / \log N \tag{8.2} $$ Equitability This is often expressed as Pielou’s evenness index: $$ J^ \prime = H ^ \prime / H ^ \prime _ {max} = H ^ \prime / \log S \tag{8.3} $$ where $H ^ \prime _ {max}$ is the maximum possible value of Shannon diversity, i.e. that which would be achieved if all species were equally abundant (namely, log S). Simpson Another commonly used measure is the Simpson index, which has a number of forms: $$ \lambda = \sum p _ i ^ 2 $$ $$ 1 - \lambda = 1 - \left( \sum p _ i ^ 2 \right) $$ $$ \lambda ^ \prime = \left( \sum _ i N _i (N _ i -1) \right) / \left[ N ( N -1) \right] $$ $$ 1 - \lambda ^ \prime = 1 - \left( \sum _ i N _i (N _ i -1) \right) / \left[ N ( N -1) \right] \tag{8.4} $$ where $N _ i$ is the number of individuals of species i. The index $\lambda$ has a natural interpretation as the probability that any two individuals from the sample, chosen at random, are from the same species ($\lambda$ is always $ \le 1$). It is a dominance index, in the sense that its largest values correspond to assemblages whose total abundance is dominated by one, or a very few, of the species present. Its complement, $1 – \lambda$, is thus an equitability or evenness index (sometimes called Gini-Simpson), taking its largest value (of $1 – S ^ {–1}$) when all species have the same abundance. The slightly revised forms $\lambda ^ \prime$ and $1 – \lambda ^ \prime$ are appropriate when total sample size (N) is small (they correspond to choosing the two individuals at random without replacement rather than with replacement). As with Shannon, Simpson diversity can be employed when the {$p_i$} come from proportions of biomass, standardised abundance or other data that are not strictly integral counts but, in that case, the $\lambda ^ \prime$ and $1 – \lambda ^ \prime$ forms are not appropriate. Other count-based measures Further well-established indices include that of Brillouin (see Pielou (1975) ): $$H = N ^ {–1} \log _ e \left( N!/[N _ 1! N _ 2! \ldots N _ S!] \right) \tag{8.5} $$ and a further model-based description, Fisher’s $\alpha$ ( Fisher, Corbet & Williams (1943) ), which is the shape parameter, fitted by maximum likelihood, under the assumption that the species abundance distribution (SAD curve) follows a log series distribution. This has certainly been shown to be the case for some ecological data sets but can by no means be universally assumed, and (as with Brillouin) its use is clearly restricted to genuine (integral) counts. The final option in this category is the rarefaction method of Sanders (1968) and Hurlbert (1971) , which under the strict assumption that individuals arrive in the sample independently of each other, can be used to project back from the counts of total species (S) and individuals (N), how many species ($E S _ n$) would have been ‘expected’ had we observed a smaller number (n) of individuals: $$ E S _ n = \sum _ {i=1} ^ S \left[ 1 - \frac{ ( N - N _ i ) ! ( N - n ) ! }{ ( N - N _ i -n) ! N !} \right] \tag{8.6} $$ The idea is thereby to generate an absolute measure of species richness, say $E S _ {100}$ (the number of different species ‘expected’ in a sample of 100 individuals), which can be compared across samples of very differing sizes. It must be admitted, however, that the independence assumption is practically unrealistic. It corresponds to individuals from each species being spatially randomly distributed, giving rise to independent Poisson counts in replicate samples. This is rarely observed in practice, with most species exhibiting some form of spatial clustering, which can often be extreme. Rarefaction will then be strongly biased, consistently overestimating the expected number of species for smaller sample sizes. Hill numbers Finally, Hill (1973b) proposed a unification of several diversity measures in a single statistic, which includes as special cases: $$ N _ 0 = S $$ $$ N _ 1 = \exp( H ^ \prime) $$ $$ N _ 2 = 1 / \sum p _ i ^ 2 $$ $$ N _ \infty = 1 / \max (p _ i ) \tag{8.7} $$ $N _ 1$ is thus a transform of Shannon diversity, $N _ 2$ the reciprocal of Simpson’s dominance $\lambda$ (called inverse Simpson) and $ N _ \infty$ is another possible evenness index (the reciprocal of the Berger-Parker index), which takes larger values if no single species dominates the total abundance. Other variations on these Hill numbers are given by Heip, Herman & Soetaert (1988) . Units of measurement The numbers of individuals belonging to each species are the most common units used in the calculation of the above indices. For internal comparative purposes other units can sometimes be used, e.g. biomass or total cover of each species along a transect or in quadrats (e.g. for hard-bottom epifauna), but obviously diversity measures using different units are not difficult to compare. Often, on hard bottoms where colonial encrusting organisms are difficult to enumerate, total or percentage cover will be much more realistic to determine than species abundances. Representing communities Changes in univariate indices between sites or over time are usually presented graphically† simply as plots of means and confidence intervals for each site or time. For example, Fig. 8.1 graphs the differences in diversity of the macrobenthos and meiobenthic nematodes at six stations in Hamilton Harbour, Bermuda, showing that there are clear differences in diversity between sites for the former but much less obvious differences for the latter. Fig. 8.2 graphs the temporal changes in three univariate indices for reef corals at South Tikus Island, Indonesia, spanning the period of the 1982–3 El Niño (an abnormally long period of high water temperatures which caused extensive coral bleaching in many areas throughout the Pacific). Note the dramatic decline between 1981 and 1983 and subsequent partial recovery in both the number of species ($S$) and the Shannon diversity ($ H ^ \prime$), but no obvious changes in evenness ($ J ^ \prime$). Fig. 8.1. Hamilton Harbour, Bermuda {H}. Diversity (H′) and 95% confidence intervals for macrobenthos (left) and meiobenthic nematodes (right) at six stations. Fig. 8.2. Indonesian reef corals, South Tikus Island {I}. Total number of species (S), Diversity (H') and Evenness (J') based on coral species cover data along transects, spanning the 1982–3 El Niño. Discriminating sites or times The significance of differences in univariate indices between sampling sites or times can simply be tested by one-way analysis of variance (ANOVA)§ followed by t-tests or multiple comparison tests for individual pairs of sites; see discussion at the start of Chapter 6. Determining stress levels Increasing levels of environmental stress have historically been considered to decrease diversity (e.g. $H ^ \prime$), decrease species richness (e.g. d) and decrease evenness (e.g. $J ^ \prime$), i.e. increase dominance. This interpretation may, however, be an over-simplification of the situation. Subsequent theories on the influence of disturbance or stress on diversity have suggested that in situations where disturbance is minimal, species diversity is reduced because of competitive exclusion between species; with a slightly increased level or frequency of disturbance competition is relaxed, resulting in an increased diversity, and then at still higher or more frequent levels of disturbance species start to become eliminated by stress, so that diversity falls again. Thus it is at intermediate levels of disturbance that diversity is highest ( Connell (1978) ; Huston (1979) ). Therefore, depending on the starting point of the community in relation to existing stress levels, increasing levels of stress (e.g. induced by pollution) may either result in an increase or decrease in diversity. It is difficult, if not impossible, to say at what point on this continuum the community under investigation exists, or what value of diversity one might expect at that site if the community were not subjected to any anthropogenic stress. Thus, changes in diversity can only be assessed by comparisons between stations along a spatial contamination gradient (e.g. Fig. 8.1) or with historical data (Fig. 8.2). Caswell’s neutral model In some circumstances, the equitability component of diversity can, however, be compared with a theoretical expectation for diversity, given the number of individuals and species present. Observed diversity has been compared with predictions from Caswell’s neutral model ( Caswell (1976) ). This model constructs an ecologically ‘neutral’ community with the same number of species and individuals as the observed community, assuming certain community assembly rules (random births/deaths and random immigrations/emigrations) and no interactions between species. The deviation statistic V is then determined which compares the observed diversity ($H ^ \prime$) with that predicted from the neutral model ($E(H ^ \prime)$): $$ V = \frac{ \left[ H ^ \prime - E (H ^ \prime) \right] }{SD ( H ^ \prime) } \tag{8.8} $$ A value of zero for the V statistic indicates neutrality, positive values indicate greater diversity than predicted and negative values lower diversity. Values > +2 or < -2 indicate ‘significant’ departures from neutrality. The computer program of Goldman and Lambshead (1989) is useful.‡ Table 8.1 gives the V statistics for the macrobenthos and nematode component of the meiobenthos from Hamilton Harbour, Bermuda (c.f. Fig. 8.1). Note that the diversity of the macrobenthos at stations H4 and H3 is significantly below neutral model predictions, but the nematodes are close to neutrality at all stations. This might indicate that the macrobenthic communities are under some kind of stress at these two stations. However, it must be borne in mind that deviation in H′ from the neutral model prediction depends only on differences in equitability, since the species richness is fixed, and that the equitability component of diversity may behave differently from the species richness component in response to stress (see, for example, Fig. 8.2). Also, it is quite possible that the ‘intermediate disturbance hypothesis’ will have a bearing on the behaviour of V in response to disturbance, and increased disturbance may either cause it to decrease or increase. Using this method, Caswell found that the flora of tropical rain forests had a diversity below neutral model predictions! Table 8.1. Hamilton Harbour, Bermuda {H}. V statistics for summed replicates of macrobenthos and meiobenthic nematode samples at six stations. Station Macrobenthos Nematodes H2 +0.5 –0.1 H3 –5.4 +0.4 H4 –4.5 –0.5 H5 –1.9 0.0 H6 –1.3 –0.4 H7 –0.2 –0.4 ¶ The PRIMER DIVERSE routine permits selection of a subset from a list of over 20 indices, sending the values to a worksheet for plotting or export to a mainstream statistical package. Whilst the (non-parametric multivariate) PRIMER package does not do conventional univariate statistical testing, under the usual normality and constant variance assumptions across groups (which can be found in all standard statistical software), some of the elements of univariate analysis are certainly possible, univariate being a special case of multivariate! – see later. PRIMER also has plotting routines for Means Plots, Histograms, Box Plots, Line Plots, Scatter Plots for pairs or triples of indices etc. † PRIMER 7’s Means Plot produces plots such as Fig. 8.1, the 95% confidence intervals either based on separate estimates of variance for each group or, as throughout this manual, assuming a pooled variance estimate (constant variance) across groups. § A rank-based alternative, using PRIMER, would be to compute Euclidean distance on a single variable (index) and input this to ANOSIM. This does not give the usual non-parametric univariate tests (Wilcoxon Mann-Whitney U for two groups, Kruskal-Wallis for several groups), but gives an alternative which generalises to multivariate data in a way that those tests do not, the permutation structure being the same but the test statistics differing. Or using PERMANOVA on the Euclidean distances gives an exact copy of the classical ANOVA table (see Anderson, Gorley & Clarke (2008) ), except that the ‘F tests’ are permutation-based rather than making the less robust F distribution assumption, from normality (but the two will be very similar here, since normality is realistic for most indices). ‡ This is implemented in the PRIMER CASWELL routine, but the significance aspects should be treated with some caution since they are inevitably crucially dependent on the neutral model assumptions. These are usually over-simplistic for real assemblages (even when genuinely neutral, in the sense that their species do not interact) because they again assume simple spatial randomness. 8.2 Graphical/distributional plots The purpose of graphical/distributional representations is to extract information on patterns of relative species abundances without reducing that information to a single summary statistic, such as a diversity index. This class of techniques can be thought of as intermediate between univariate summaries and full multivariate analyses. Unlike multivariate methods, these distributions may extract universal features of community structure which are not a function of the specific taxa present, and may therefore be related to levels of biological ‘stress’.¶ Rarefaction curves Sanders (1968) were among the earliest to be used in marine studies. They are plots of the number of individuals on the x-axis against the number of species on the y-axis. The more diverse the community is, the steeper and more elevated is the rarefaction curve. The sample sizes (N) may differ widely between stations, but the relevant sections of the curves can still be compared. Gray & Pearson (1982) recommend plotting the number of species in x2 geometric abundance classes (the SAD curves) as a means of detecting pollution effects. The plots are of the number of species represented by only 1 individual in the sample (class 1), 2–3 individuals (class 2), 4–7 (class 3), 8–15 (class 4) etc. In unpolluted situations there are many rare species and the curve is smooth with its mode well to the left. In polluted situations there are fewer rare species and more abundant species so that the higher geometric abundance classes are more strongly represented, and the curve may also become more irregular or ‘jagged’ (although this latter feature is more difficult to quantify). Gray and Pearson further suggest that it is the species in the intermediate abundance classes 3 to 5 that are the most sensitive to pollution-induced changes and might best illustrate the differences between polluted and unpolluted sites (e.g. this is a way of selecting ‘indicator species’ objectively). Ranked species abundance (dominance) curves are based on the ranking of species (or higher taxa) in decreasing order of their importance in terms of abundance or biomass. The ranked abundances, expressed as a percentage of the total abundance of all species, are plotted against the relevant species rank. Log transformations of one or both axes have frequently been used to emphasise or downweight different sections of the curves. Logging the x (rank) axis enables the distribution of the commoner species to be better visualised. k-dominance curves are cumulative ranked abundances plotted against species rank, or log species rank ( Lambshead, Platt & Shaw (1983) ). This has a smoothing effect on the curves. Ordering of curves on a plot will obviously be the reverse of rarefaction curves, with the most elevated curve having the lowest diversity. To compare dominance separately from the number of species, the x-axis (species rank) may be rescaled from 0–100 (relative species rank), to produce Lorenz curves. ¶ Two plotting programs of this type are available in PRIMER: a) Geometric Class Plots, which produce a frequency distribution of geometric abundance classes, the so-called SAD curves ( Fisher, Corbet & Williams (1943) ), from which fitting log-series distributions gives rise to the $\alpha$ index output by the DIVERSE routine, and b) Dominance Plots, which generate ranked abundance (or biomass) curves, with options to choose from ordinary, cumulative or partial forms, and single or dual (Abundance-Biomass Comparison) curves, as seen below. DIVERSE also outputs rarefaction estimates: expected number of species, $ES(n)$, for one or more values of numbers of individuals, $n$ (where $n$ must be chosen Properties menu. § This could be by, for example, simple moving averages or more sophisticated kernel density estimation (found in many standard packages). PRIMER offers another simple form of smoothing, viz. cumulating values over the size-classes (abundances must first be sample standardised). Smoothing makes no sense for assemblage data of different species – unless the ‘nearby’ species whose abundances contribute to the moving average (say) for a specific species are defined by their taxonomic or functional affinity with that species (pooling species into higher taxa would be a crude example of this) – but is natural for ordered size-class variables † It will not be lost on the reader that it might also be nice to have a ‘fully multivariate approach to multivariate repeated measures designs’, as arise, say, when monitoring an algal community on a marked quadrat through time. Removing a ‘quadrat effect’ in a higher-way ANOVA-type design can adjust for the fact that some quadrats have consistently different communities than others at all times, within the same ‘treatment’, but does not address the lack of symmetry in the correlation structure among times: observations at the beginning and end of a time sequence will be likely to have lower autocorrelation than adjacent times (see also the discussion in Anderson, Gorley & Clarke (2008) . A fully multivariate approach to multivariate repeated measures, using second stage analysis, is possible in limited cases, and is essentially an extension of the idea here. The ‘profile’ (in that case an entire dissimilarity matrix covering the changing community pattern over all times for a single experimental unit) becomes the single, independent point in a multivariate space which, along with other (matrix) points, we can enter into ANOSIM tests, MDS etc. Chapter 16 gives an example of such a rocky-shore experiment to monitor algal recolonisation of quadrats under different clearance conditions 8.7 Multiple diversity indices A large number of different diversity measures can be computed from a single data set and it is relevant to ask if anything is achieved by doing so. The classic ‘spot’ (alpha) diversity indices, many of which were listed earlier in equations (8.1) to (8.7), are all based either on the set of species proportions {$p _ i$}, the total number of species S, or some mix of these two largely unrelated strands of information, and most are therefore mechanistically inter-correlated as a result, i.e. they will be seen to be correlated whatever the set of data for which they are calculated. Of course, for any particular data set, a richness measure such as simple S and a purely relatedness measure such as Simpson’s $1 - \lambda$ may be observed to correlate across samples, e.g. when a contaminant impact removes a wide range of climax community species, replacing them with a smaller number of opportunists which dominate the total numbers (or area cover), so that both richness and evenness indices decline. But this is a biological correlation not a mechanistic one. In other situations S and $1 - \lambda$ may do something quite different, but H′ (Shannon), J′ (Pielou) and $1 - \lambda$ will always be seen to correlate positively, as a result of their definitions. We can (and should) examine such issues of whether anything is to be gained in calculating further indices by taking a multivariate approach, in contravention to what many ecologists have done for decades, i.e. test and interpret multiple measures (often mechanistically correlated) separately, as if they were providing independent scrutiny of a specific hypothesis (we are not immune from such strictures ourselves!). Though biological in origin, diversity indices are (statistically speaking) ‘environmental-type’ variables in that their distributions are generally rather well-behaved (as a result of the central limit theorem), needing only mild transformation if at all, and normalisation since they are on different measurement scales. The resulting data matrix of multiple indices across all samples can then be input to PCA (Chapter 4) to reveal the ‘true’ dimensionality, i.e. how many uncorrelated axes of information does this set of indices really contain? As referred to in Chapter 7 on variables analysis, to examine the relationship of variables to each other, a resemblance matrix can be derived which is initially just the correlations over the samples for every pair of indices; Pearson correlation of (perhaps transformed) measures is appropriate. This may include positive or negative values, for example if Simpson is included as a dominance measure $\lambda$, it will be negatively correlated with evenness indices such as $H ^ \prime$ and $J ^ \prime$. But these indices are still considered closely related so similarity is defined as absolute correlation ($\times 100$). MDS on these similarities displays the relationships. Garroch Head dump-ground macrofauna Earlier in the chapter we saw the behaviour of some diversity-based constructions for the 12 sites on the E-W transect across the sewage-sludge dumpsite in the Firth of Clyde (1983 data), e.g. the ‘ABC’ method for contrasting abundance and biomass k-dominance curves, summarised in the W statistic of eqn. (8.11). Calculating also a range of standard diversity indices, none of which needed transformation, the normalised full set of 10 measures when input to PCA¶ is seen to contain only two (or at most three) dimensions of uncorrelated information. The first two PCs account for 95.4% of the variance and the first three for 98.2% (if W is omitted, the first two PCs account for 97.3%). The MDS plot of the diversity index ‘similarities’ is shown in Fig. 8.16 and tells a simple, and universal, story. To the right are the richness measures (S and Margalef’s d) and to the left the evenness measures (Pielou’s $J ^ \prime$ and Simpson, $1 - \lambda$). On the line between them, mixing evenness and richness, Shannon $H ^ \prime$ and its discrete form, Brillouin H, are seen to be close to evenness indices, though they contain a small element of richness. Fisher’s $\alpha$, essentially the steepness of declines seen in the (log series) distributions of the SAD curves, Fig. 8.4, is seen to be a mixture of both elements. Perhaps the initially surprising observation is that the rarefaction estimates (equation 8.6) – the expected number of species for a given number of individuals, here calculated for ‘rarefying’ to 20 and 45 individuals (the most depauperate sample containing only 46 individuals) – is seen not to estimate richness at all here but to mainly reflect sample evenness. This is not so surprising when the construction is considered in more detail: individuals dropped at random until a small percentage are left (most samples have 100’s or 1000’s of individuals), and so the number of species remaining will be dictated by how dominated the community is by just a few species. Fig. 8.16. Garroch Head macrofauna {G}. nMDS from absolute Pearson correlations among 10 diversity indices (variables) computed on soft-sediment faunal samples from 12 sites on a transect across the Clyde sewage sludge dump-ground. Another interesting feature is that the W statistic does not lie on this richness-evenness axis. It is towards the evenness end, as might be expected from its use of the abundance k-dominance curve but here it also provides fresh information from the biomass dominance pattern. And this is the general point that such plots make: whatever the input data matrix, a pattern broadly in line with Fig. 8.16 will emerge. What this plot mainly captures is the mechanistic relationships among the diversity indices rather than the ecological information of a specific context§. The implication is always that the number of diversity indices it makes sense to calculate, based only on the species abundances, is very small – basically one richness and one evenness measure. Striking out from these two axes into third or higher dimensional diversity space needs introduction of fresh information, on biomass patterns perhaps or, for genuinely unrelated dimensions, the concept of average distinctness of a species set, for a given numbers of species, in terms of the taxonomic or genetic/phylogenetic relatedness of the species (or, indeed, their functional relatedness). Such a concept of diversity is returned to in Chapter 17. ¶ More detailed working of PCA for an index set from this data is shown in the PRIMER User Manual, e.g. the extent to which the diversity measures capture the impact gradient seen in the full multivariate analysis, and the definition of the PCs as an overall decline in all diversity measures when sites near the dump centre (PC1) and a contrast between evenness and richness (PC2). § A similar idea is seen for ordination of the relationship among competing definitions of distance or dissimilarity, utilising second stage plots (Chapter 16), viz. which coefficients capture the same, and which very different information on multivariate structure?