Forest Ecology and Management 247 (2007) 120–130
www.elsevier.com/locate/foreco
When Oskar meets Alice: Does a lack of trade-off in r/K-strategies make
Prunus serotina a successful invader of European forests?
Déborah Closset-Kopp a, Olivier Chabrerie a, Bertille Valentin b,
Hermine Delachapelle b, Guillaume Decocq a,*
a
University of Picardie Jules Verne, Department of Botany, 1 rue des Louvels, F-80037 Amiens, France
b
Conservatoire Botanique National de Bailleul, Hameau de Haendries, F-59270 Bailleul, France
Received 8 June 2006; received in revised form 12 April 2007; accepted 12 April 2007
Abstract
Alien plant invasions result from a complex interaction between the species life traits (i.e. ‘invasiveness’) and the recipient ecosystem attributes
(i.e. ‘invasibility’). However, little is known about the demographical strategy of invaders and its plasticity among similar ecosystems. To assess the
role of demographical attributes and their interaction with soil and light conditions on the durable integration of an exotic invasive tree species into
a recipient forest, we analyzed population structure, sexual and clonal reproduction, and growth characteristics of the American black cherry
(Prunus serotina Ehrh.) in a European forest.
As seeds, P. serotina is able to enter closed-canopy forests and form a long-living sapling bank, according to the ‘Oskar syndrome’ (no height
growth, diameter increment < 0.06 mm year 1). Suppressed saplings typically develop a ‘sit-and-wait’ strategy so that the invader had a head start
on native species when a disturbance-induced gap occurs. Once released, suppressed saplings grow rapidly (height growth > 56 cm year 1) to
reach the canopy, fill in the gap and produce numerous seeds (6011 per tree on average). During the self-thinning process characterizing the
aggrading phase, overtopped saplings die back but subsequently resprout from roots and stumps, going back to ‘Oskar’ stage. This ‘Alice
behaviour’ would enable individuals to decrease in size, delay mortality and locally self-maintain in the understories. These results suggest that P.
serotina may successfully invade European forests thanks to a combination of traits which fits well the disturbance regime of the recipient
ecosystems. It would behave as a shade-tolerant K-strategist in juvenile stages by giving priority to persistence, but as a light-demanding r-strategist
once released, by allocating high energy in growth and reproduction. Initial stages of colonisation are weakly affected by soil but strongly by light
conditions.
# 2007 Elsevier B.V. All rights reserved.
Keywords: Biological invasion; r/K demographical strategies; Forest ecosystem; Gap dynamics; Prunus serotina; Resprouting ability; Sexual reproduction;
Fluctuating resources
1. Introduction
Invasive alien plants are an increasingly important environmental problem, altering natural ecosystems worldwide by
displacing native species and modifying key ecological
processes (Vitousek et al., 1996; Higgins et al., 1999; Mooney,
1999; Williamson, 1999). It is thus of outstanding importance
to understand the processes influencing the invasion of natural
ecosystems. Invasion dynamics largely depends upon the
complex interaction between the characteristics of non-native
* Corresponding author.
E-mail address: guillaume.decocq@u-picardie.fr (G. Decocq).
0378-1127/$ – see front matter # 2007 Elsevier B.V. All rights reserved.
doi:10.1016/j.foreco.2007.04.023
species that enable them to efficiently invade an ecosystem (i.e.
‘invasiveness’) and the properties of the new recipient
ecosystems that make them susceptible to invasion (i.e.
‘invasibility’) (Williamson, 1996; Lonsdale, 1999; Alpert
et al., 2000; Kolar and Lodge, 2001; Lake and Leishman, 2004).
The first stages of invasion, i.e. dispersal and recruitment,
are thought to be relatively habitat-independent and mainly
determined by a species-specific set of traits (Reichard and
Hamilton, 1997), but this hypothesis remains poorly tested.
Despite extensive research, identifying particular traits that
enable a species to invade a new habitat and compete with its
new neighbours has been difficult (Williamson and Fitter, 1996;
Reichard and Hamilton, 1997; Dukes and Mooney, 1999;
Williamson, 1999; Alpert et al., 2000). Traits like short
D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
generation time, long fruiting period, large seed number, small
long-living seed, anemochory or zoochory, phenotypic plasticity, clonal growth, rapid growth rate, are likely to confer
greater invasiveness (Baker, 1965; Bazzaz, 1986; Lodge, 1993;
Rejmanek and Richardson, 1996; Williamson and Fitter, 1996;
Dukes and Mooney, 1999; Schweitzer and Larson, 1999; Alpert
et al., 2000).
It is noteworthy that those life history traits are usually
considered as characteristic of r-strategists according to the
classical MacArthur and Wilson (1967) scheme, i.e. species
adapted for colonisation and reproduction in expanding
populations. According to the r/K-model, r-strategists characterize unstable environments that provide available energy
and/or nutrients, and host few competing species (Pianka, 1970;
Silvertown, 1982). It is not surprising therefore that the most
invasible habitats are also the most disturbed (Crawley, 1987;
Hobbs and Huenneke, 1992; Williamson, 1999; Levine and
D’Antonio, 1999; Alpert et al., 2000) or, more generally, those
providing the largest resource fluctuations (Davis et al., 2000).
On the contrary, stable environments, i.e. habitats with no or
low resource fluctuations, are usually dominated by Kstrategists and expected to be more resistant to invasions.
Because of the expected trade-off between the r-strategy (i.e.
maximisation of population growth and dispersal) and Kstrategy (i.e. maximisation of biomass accumulation and
persistence), no plant can theoretically be successfully adapted
to both dispersal and persistence (Pianka, 1970; Silvertown,
1982; Krebs, 2001), even if populations are often polymorphic
and a plant phenotype may vary according to environmental
conditions (Bradshaw, 1965; Schlichting, 1986; Miner et al.,
2005). This probably explains that many plant invaders
dominate the early-successional stages following disturbance,
but progressively decrease or even become extinct over time in
the absence of new disturbance (Rejmanek, 1989; Gibson et al.,
2000). Indeed, to become permanently established in a
relatively undisturbed recipient ecosystem, the invader must
be a better competitor than native species. In other terms, it
would be able to shift from a r-strategy to a K-strategy that is
apparently a paradox. However, recent studies suggest that
some invasive tree species (e.g. the European Acer platanoides
L. in north America) would be less constrained than natives by
this ecological trade-off (Sanford et al., 2003; Webster et al.,
2005).
Here, we designed a demographic analysis to explore the
possibility for an exotic plant species to behave in contravention of the r/K-trade-off rule to successfully invade a forest
ecosystem. The use of demographic studies to understand
biological invasions is widely seen as a suitable way for
developing and testing invasion theory (Mack, 1985; Crawley,
1986; Parker et al., 1999; Sheppard et al., 2002), modelling
invasion dynamics (Higgins and Richardson, 1996; Cannas
et al., 2003), and elaborating effective management strategies
(Navas, 1991; Sheppard, 2000; Sheppard et al., 2002).
Exploring population dynamics of invasive plants may also
show contrasts between native and exotic ranges and thus help
to explain why these species have become more problematic
outside their native habitats (Weiss and Milton, 1984; Lonsdale
121
and Segura, 1987; Noble, 1989; Grigulis et al., 2001). Several
mechanisms responsible for the stronger competitive ability of
a species in its exotic range compared to its native range have
been recently suggested, like allelopathy (Callaway and
Aschehoug, 2000) or release from pathogens (Mitchell and
Power, 2003) for example, which all directly affect plant
demography and may vary according to the biogeographical
region.
Within this framework, our research focuses on the
demography and population dynamics of black cherry
(Prunus serotina Ehrh.), a North American forest tree which
is successfully spreading in European forests. In its native
range, it is a bird- and mammal-dispersed, gap-dependent
species which is able to colonize openings in mixed temperate
forests and transiently dominate forest stands during
secondary succession (Auclair and Cottam, 1971; Auclair,
1975). It has been introduced in Europe for ornamental,
timber production and soil amelioration purposes since the
17th century. It was considered as naturalized in the first half
of the 19th century, but described as an invasive species only
in the second half of the 20th century (Starfinger, 1997). It has
become a major problem in forestry, since it is able to
perpetuate in the canopy and form monospecific stands,
particularly on well-drained, acidic, nutrient-poor soils,
impeding native tree regeneration.
Although the basic ecology of P. serotina is well known in its
native range (e.g. Auclair and Cottam, 1971; Auclair, 1975;
Marquis, 1990), few demographic works are available in its
exotic range, with the notable exception of Starfinger (1991)
who has analysed population structure both in native and exotic
(Berlin area) ranges. According to his results, the most
important trait enabling P. serotina to be a successful invader is
its ‘Oskar syndrome’, that is the ability of tree seedlings to
survive as ageing juveniles under the dense shade of the closed
canopy (Silvertown, 1982). If a canopy gap occurs (e.g. after a
windfall), these Oskars grow rapidly to fill it, flower and
reproduce (Hibbs and Fischer, 1979). Unfortunately, to date, no
information is available about the population processes
involved in the P. serotina invasion in the European forest
landscapes. Recently, Deckers et al. (2005) have looked at the
population structure of P. serotina in Belgium, but their study
was conducted within an agricultural landscape and did not
concern forest ecosystems.
In order to fill in this gap of knowledge, we designed a study
on the population dynamics of P. serotina, in a heavily invaded
forest. More specifically, we aimed at testing the following
hypotheses:
(i) Like in its native range, it is a gap-dependent species
because light availability controls its growth and/or seed
production.
(ii) It is more prone to invade acidic, nutrient-poor soils
because soil fertility controls its growth and/or reproduction.
(iii) It is able to durably incorporate the silvigenetic cycle
because it exhibits a set of demographical traits which is
lacking in native tree species.
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D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
2. Material and methods
Table 1
Sampling design along the soil pH gradient
2.1. Study area
Soil
type
The study was carried out in Compiègne forest, which is
located in northern France (498220 N, 28540 E, 32–148 m
altitude). This is a temperate deciduous forest covering
14,417 ha. The climate is of oceanic type with moderate
continental influences (mean annual temperature of 10.3 8C
and annual rainfall of 677 mm). Soils are developed on
sedimentary substrates (sands, chalks and limestones) largely
covered by quaternary loess. They are distributed among four
main soil types (FAO-UNESCO, 1989): calcareous soils
(leptosols, 17% of the total forest area), poorly colonized by
P. serotina, podzolized soils (podzols, 45%) highly invaded,
and more (luvisols) or less (cambisols) leached brown soils
(38%) with an intermediate level of colonisation. The major
part of the forest is managed as even-aged plantations of
Common Beech (Fagus sylvatica, 44% of the forest area),
Pedunculate Oak (Quercus robur, 25%) and Scots Pine (Pinus
sylvestris, 7%). Management operations consists of thinnings
every 5–15 years and clearcuttings every 150–220 years.
Some stands at the forest periphery are still managed as
hornbeam coppice-with-oak standards. The whole coppice
and part of the standards are harvested every 30 years (ONF,
1995). More than half of the forest is currently invaded by P.
serotina. The species was probably introduced in the second
half of the 19th century for unclear purposes. It has been
described as a ‘forest pest’ for the first time in 1970. Its largescale spread has been related to several storm events, quite
important in the past 20 years, namely in 1983 (1040 m3 of
fallen trees over 43 ha), 1984 (9004 m3 over 333 ha), 1987
(1037 m3 over 317 ha), 1988 (2577 m3 over 200 ha), 1990
(21,000 m3 over 434 ha), 1993 (3524 m3 over 157 ha), 1999
(1942 m3 over 421 ha).
2.2. Methods
We sampled P. serotina populations among four main soil
types that were arranged along an increasing soil pH gradient
from podzols to leptosols through luvisols and cambisols
(Table 1). This gradient positively correlates with nutrient
availability (Duchaufour, 1995) and thus represents an
increasing soil fertility. All the sampled soils were welldrained and exhibit a sandy-silty texture. We used available soil
maps to delineate soil types in the field, and checked the profile
by examining a soil core.
2.2.1. Sexual reproduction
All racemes were counted in June 2003 from 35 randomly
selected trees growing on the different soil types (Table 1, FAOUNESCO, 1989). These 35 trees were distributed among 3
types of light conditions: along stand edges (n = 23), within a
forest gap (n = 10) and under closed-canopy conditions (n = 2).
It was particularly difficult to include trees in the third category
since P. serotina usually remained sterile in the shade.
Moreover we had to cope with the scarcity of fertile individuals
pH
Tree
sampling
for raceme
couting
Tree sampling
for seed
germation
test
Plot
settlement for
demographical
characteristics
Podzols
Humic
Orthic
4.0–4.5
4.5–5.0
–
5
16
15
–
7
Luvisols
Acid
4.5–5.5
17
15
7
Cambisols
Dystric
Luvic
Humic
Eutric
5.5–6.5
6.0–7.0
6.0–7.5
6.5–7.5
–
2
7
3
16
15
15
15
–
–
7
–
Leptosols
Rendzic
7.0–8.0
1
15
7
35
122
28
Total
on certain soil types, which led us to follow an unbalanced
sample design.
Six racemes from the crown periphery were then randomly
chosen from 122 randomly selected trees that were growing in
openings along the soil fertility gradient (Table 1). Racemes
were bagged in June to avoid bird predation and then harvested
after fruit maturation, in early September 2003, to count fruits.
Twenty seeds per tree (10 trees per soil subtype, see Table 1)
were randomly selected to assess their germination capacity.
The endocarp and the seed coat were removed in order to break
external dormancy and facilitate water imbibition before
incubation. This treatment ensures rapid and high germination
rates and avoids a long cold stratification (Suszka, 1967). Seeds
without embryo were counted and deleted. Other seeds were
kept for treatment by the gibberellin growth hormone
(400 mg L 1) and sown in 5.5 cm Petri dishes on filter paper,
which was kept moist with distilled water. All Petri dishes were
placed on a table in a laboratory, with a thermoperiod at 20 8C
day and 16 8C night and a 12 h photoperiod. Seeds were
considered to have germinated at radicle emergence. The seeds
were incubated for 40 weeks.
2.2.2. Demographical attributes
For each of the 4 main soil types, seven 25 m 25 m plots
were randomly settled in the invaded forest stands during
summer 2004. Within each plot, all stems of P. serotina were
counted, distinguishing resprouts from standards (i.e., single
stem originating from a seed), and assigned to one of the
following cohorts—stage I: seedlings with their cotyledons;
stage II: <20-cm saplings; stage III: >20-cm sterile saplings;
stage IV: fertile (usually > 7-m) shrubs and trees. Growth
stages were preferred to age stages for defining cohorts because
of the plastic growth of the plant (Silvertown, 1982). One
hundred and ninety-one individuals from stages II and 173 from
stage III were then randomly uprooted for percentage
estimation of root suckers in two plots. To quantify the light
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D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
arrival at the forest floor, we used the Daubenmire method
(1959) which defined six separated cover classes. The two first
classes (class 1 and 2 corresponding respectively to 0–5% and
5–25% canopy cover) were assimilated to forest edges. The two
next classes (3 and 4 covering 25–50% and 50–75%)
corresponded to the forest gap notion, and the last classes (5
and 6: 75–95% and 95–100% coverage) were considered as
closed-canopy conditions.
In order to define growth variations among cohorts, 40
individuals (16 under closed canopy and 24 in a canopy-gap)
were randomly sampled among standards from stage II to IV in
5 other plots. We used an unbalanced sampling design to
account for the larger size variability in light conditions.
Diameter and height were measured and age was determined by
counting tree rings at the stem basis, which is the best method
for determining the age of actively growing seedlings (Collet
et al., 2002).
Finally, 20 light-growing and 4 shade-growing <1.5 m
individuals were randomly selected for a more accurate tree
ring analysis. They were cut at the stem basis and thin sections
were obtained with a microtome and then coloured with methyl
green solution. Rings were observed using a binocular
microscope, and widths were measured with a micrometer
(1/100 mm accuracy). Ring width data were used to analyse
plant growth during the first years of life.
dynamics. Within the gap, we sampled 30 saplings every 10 cm
along a transect randomly disposed from the gap centre to the
gap edge. We measured height and diameter on the 30
individuals and counted tree rings at the stem basis of 10 of
them.
2.2.4. Statistical analysis
Due to the low number of samples and/or to avoid
assumptions of normality, all statistical analyses used nonparametric tests. Effects of soil type and canopy cover on
raceme and fruit production, seed germination, and stump
resprouting were tested using the Kruskal–Wallis’ H-test
( p < 0.05). Population structure (i.e. distribution of individuals
among cohorts) and growth attributes (i.e. age, height, stem
diameter) were compared between the different light conditions
using the Mann and Whitney’s U-test ( p < 0.05).
Relations between growth attributes themselves and
between growth attributes and distance from the fallen P.
serotina in the special case of the gap structure, were analysed
by calculating pairwise Spearman rank correlation coefficients
(r, p < 0.05).
All statistical analyses were implemented using STATISTICA1 software version 5.1 (Statsoft, 1998). Results were
expressed as means standard errors.
3. Results
2.2.3. Gap dynamics
To analyse more precisely P. serotina population dynamics
into forest gaps, we selected a 12 m-diameter gap, corresponding to a 2 years old P. serotina windfall. As preliminary field
surveys have shown that the patterns of P. serotina populations
among gaps were highly repeatable, we preferred to intensively
survey a single gap than sampling parts of several ones.
Individual density and species composition was determined in
the whole gap in order to assess species colonisation and gap
3.1. Sexual reproduction
A total of 24,468 racemes were counted from the 35 selected
trees. A total of 6345 fruits were collected from the 732
racemes bearing by 122 trees (6 racemes per tree on average).
The distribution of racemes and fruits among soil types is
shown in Table 2. Neither raceme nor seed production were
significantly influenced by the soil type. Seed production
Table 2
Seed and raceme production of Prunus serotina Ehrh. among different soil types and light or shade conditions
Soil type
Racemes
Seeds
n
Total
MV S.E.
Humic podzols
Orthic podzols
Acid luvisols
Dystric cambisols
Luvic cambisols
Humic cambisols
Eutric cambisols
Rendzic leptosols
–
5
17
3
2
7
–
1
–
1805
14335
2240
1310
4413
–
165
–
361.0 121.1
843.2 161.1
813.3 203.3
655.0 325.0
630.4 144.5
–
–
Total
35
24468
Kruskal–Wallis test
Light exposition
Forest edges
Forest gaps
Forest understories
Kruskal–Wallis test
–
Seeds/racemes ratio
Total
MV S.E.
16
15
15
16
15
15
15
15
797
685
810
814
730
805
750
954
49.8 7.9
45.7 4.3
54.0 6.1
50.9 5.7
48.7 3.1
53.7 4.3
50.0 4.4
63.6 8.23
122
6345
n
4.63 ns
23
10
2
18535
5478
455
805.9 122.1
547.8 125.9
227.5 182.5
4.44 ns
9.3
7.8
9.1
8.4
8.2
8.9
8.6
8.8
–
–
6.62 ns
–
–
–
–
–
–
–
–
–
–
–
–
–
–
–
–
–
n: number of samples; MV: mean value; S.E.: standard error. Significance of Kruskal–Wallis tests—ns: not significant, *p < 0.05.
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D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
Table 3
Percentages of empty seeds and germinated seeds among those having an
embryo
Soil type
n
% empty seeds
% germinated
seeds
Humic podzols
Orthic podzols
Acid luvisols
Dystric cambisols
Luvic cambisols
Humic cambisols
Eutric cambisols
Rendzic leptosols
200
200
200
200
200
200
200
200
25.5 5.2 (b)
24.5 7.7 (b)
11.5 2.5 (ab)
30.0 6.5 (b)
16.0 5.7(ab)
12.0 5.1(ab)
21.0 8.6 (ab)
4.5 1.7 (a)
48.9 7.8
50.6 10.1
55.6 7.0
43.1 9.2
55.4 9.9
62.1 6.0
28.8 7.8
46.9 8.6
Kruskal–Wallis test
–
16.8**
8.37 ns
n: total number of collected seeds. Significance of Kruskal–Wallis test—ns: not
significant, *p < 0.05, **p < 0.01.
clearly increased with the light availability even if the
difference between the three light environments assessed
was not significant due to the low number of fertile trees found
under shade conditions. On average, each tree produced 699
racemes, corresponding to 6011 seeds (8.6 seeds per raceme on
average). However the variability was high as indicated by large
standard error values.
Of the 1600 seeds tested for germination capacity, 290
(18%) were without embryo. In the Petri dishes, 669 seeds
germinated, representing 51.1% of the 1310 seeds with embryo
and 41.8% of the whole tested seeds (Table 3). The proportion
of seeds without embryo was significantly higher for seeds
from parents growing on dystric cambisols and podzols,
compared to rendzic leptosols. Conversely, the soil type did not
significantly influence the germination percentage of viable
seeds (Table 3).
3.2. Demographical attributes
3.2.1. Population structure
The distribution of individuals among cohorts showed
important differences between gaps and understories (Fig. 1). It
showed a typical reversed J-shape in the shade, and rather a bell
shape in full light conditions. Stage I-seedlings were much
more numerous under closed canopy (mean value: 61 17%)
than in full light conditions (24 7%). Conversely, stage IIIshrubs were more abundant in full light conditions (43 7%)
than under dense shade (17 4%). There was no significant
difference for stage II and IV. Stage I, II and III-individuals
Fig. 1. Distribution of Prunus serotina saplings among cohorts under light
(gap) and shade (understorey) conditions and standard error (N = 28. Stage I:
seedlings with their cotyledons; stage II: <20 cm saplings; stage III: >20-cm
sterile saplings; stage IV: fertile (usually >7 m) shrubs and trees; significance of
Mann–Whitney U-tests—ns: not significant, *p < 0.05; **p < 0.01).
were significantly much more abundant on acidic soils (i.e.
podzols and luvisols) than on cambisols and rendzic leptosols
(Table 4).
Among the 4994 individuals recorded in the 28 plots, 3603
(72.1%) were stage I-seedlings and 1391 corresponded to
saplings (stages II–IV), of which 1148 (82.5%) were standards
and 243 (17.5%) were resprouts. The latter consisted of 4.8%,
26.2% and 51.7% resprouted individuals distributed among
stages II, III and IV, respectively. This distribution was neither
influenced by the soil type (H = 2.39 ns, H = 1.34 ns and
H = 2.77 ns for resprouts of stages II, III and IV, respectively),
nor by light availability (U = 74.5 ns, U = 58.5 ns and U = 213
ns for stages II, III and IV, respectively). In the 2 plots where
saplings were uprooted, 50 (13.7%) of the 364 individuals were
root suckers.
Under similar light conditions, seedlings (stage I) and
saplings (stages II–IV) showed the same growth characteristics. Height was highly correlated with diameter
(r = 0.904*** and r = 0.990*** for light and shade conditions, respectively), as well as height with age (r = 0.787***
and r = 0.853***, respectively). In the shade, stage II- and
stage III-individuals with a same diameter and height were
significantly older than those under full light conditions
(Table 5). After the age of 5, individuals growing in the
light were significantly taller and bigger than those
growing in the shade. The extreme performances were a
height of 1.59 m for a 3 years old P. serotina growing in a
canopy-gap and of 40 cm for a 10 years old sapling under
closed canopy.
Table 4
Distribution of individuals among cohorts and soil types
Soil type
n
Stage I, MV S.E.
Stage II, MV S.E.
Stage III, MV S.E.
Stage IV, MV S.E.
Orthic podzols
Luvisols
Humic cambisols
Rendzic leptosols
Kruskal–Wallis test
7
7
7
7
7
397.3 160.3 (a)
109.0 60.8 (a)
5.7 2.6 (b)
2.7 2.3 (b)
16.4***
35.3 12.5 (a)
37.6 14.2 (a)
8.4 1.7 (b)
5.7 4.4 (b)
8.6 *
34.4 18.7 (a)
26.1 6.0 (a)
9.1 4.5 (b)
3.1 3.5 (b)
11.7**
2.1 2.4
1.0 1.2
1.0 1.4
0
5.8 ns
n: number of samples; MV: mean value; S.E.: standard error. Significance of Kruskal–Wallis tests—ns: not significant, *p < 0.05; **p < 0.01; ***p < 0.001.
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D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
Table 5
Sapling growth characteristics under light and shade conditions
n
All stages
Diameter (cm)
Height (cm)
Age
24
Stage II
Diameter (cm)
Age
3
Stage III
Diameter (cm)
Age
16
Stage IV
Diameter (cm)
Age
5
0–5 years
Diameter (cm)
Height (cm)
11
6–10 years
Diameter (cm)
Height (cm)
7
+10 years
Diameter (cm)
Height (cm)
6
Gap, MV S.E.
n
Understorey,
MV S.E.
U
1.4 0.5
259.3 95.7
12.3 1.8
ns
ns
ns
0.1 0.0
5.6 0.6
ns
**
0.9 0.4
13.8 2.3
ns
***
6.0 0.5
14.0 0.0
ns
ns
0.2 0.0
17.7 3.8
ns
ns
0.4 0.3
47.8 20.5
**
**
2.6 0.9
482.0 157.8
**
ns
16
2.6 0.7
326.5 84.5
8.1 1.2
3
0.2 0.0
3.0 1.0
11
1.2 0.5
6.2 0.9
2
8.6 0.5
17.2 1.2
3
0.3 0.0
38.0 12.7
5
2.2 2.5
268.2 80.0
8
7.5 1.3
923.3 139.0
N: total number of samples; MV: mean value; S.E.: standard error; significance
of Mann–Whitney U-tests—ns: not significant; *p < 0.05; **p < 0.01;
***p < 0.001.
3.2.2. Growth characteristics
The analysed saplings of the random plots were aged from 2
to 11 years (Fig. 2). All presented a high growth increment
during the 2–3 first years of life. At this stage, height ranged
from 10 to 25 cm. After that short period, ring width strongly
decreased irrespective of the light conditions. Difference of ring
width between light and shade conditions became significant
from the fourth year. Ring width progressively increased when
the sampled saplings were growing in full light conditions.
Conversely, ring width remained constant, never exceeding
0.06 mm, for saplings growing in the understories. The lack of
significance after the seventh year was due to the low number of
samples. Radial increment was significantly higher under light
conditions than in the shade whatever the sapling age (Table 6).
The same trend was observed for height increment although the
difference was rarely significant because of the high variability
of values.
Fig. 2. Mean values and standard error of ring width of 24 P. serotina
individuals growing under light or shade conditions (significance of Mann–
Whitney U-tests—ns: not significant, *p < 0.05).
3.3. Single tree fall-induced gap dynamics
We recorded 1335 saplings in the 2 years old studied tree-fall,
corresponding to a density of 11.8 stems m 2. Those stems
corresponded to P. serotina (89%), Q. robur (4%), Sorbus
aucuparia (3%), F. sylvatica (3%) and Picea abies (1%)
individuals. The P. serotina population structure showed a typical
bell shape. Individuals were 7 4 years old, 56.2 19.2 cm tall
and 3.5 0.7 mm diameter wide on average. The further from
the gap centre, the smaller the saplings (r = 0.963***). We
observed the same trend for diameter and age, which
progressively decreased from the centre to the margins
(r = 0.927*** and r = 0.963*** for the diameter/distance
and age/distance correlations, respectively).
4. Discussion
4.1. Sexual reproduction
We found a clear trend toward a raceme and seed production
increasing with light availability. As very few reproducing
adults could be found under dense shade, the statistics have a
low power. Regarding our first hypothesis, this confirms that P.
serotina is a light-demanding species in its adult stage, and
suggests that persistent shade is theoretically able to sterilize
adults. This may occur if neighbouring trees developed their
crown sufficiently to overtop P. serotina, for example in small
gaps.
Our results clearly show that both raceme and seed
production did not depend on soil conditions. Conversely,
the proportion of viable seeds increased from podzols to
leptosols through cambisols following the soil nutrient
Table 6
Height and diameter increments under light and shade conditions
Height increment (cm year 1)
All saplings
0–5 years
6–10 years
>10 years
Radial increment (mm year 1)
n
Gap, MV S.E.
n
Understorey, MV S.E.
U-test
Gap, MV S.E.
Understorey, MV S.E.
U-test
24
7
11
6
30.3 5.6
15.1 6.6
32.0 8.9
56.3 9.3
16
5
3
8
17.2 6.5
3.5 0.8
5.6 1.9
29.6 11.6
ns
ns
*
ns
1.2 0.2
0.5 0.1
1.0 0.3
2.2 0.4
0.5 0.2
0.2 0.0
0.2 0.0
0.8 0.3
**
*
*
*
n: number of samples; MV: mean value; S.E.: standard error; significance of Mann–Whitney U-tests—ns: not significant; *p < 0.05; **p < 0.01.
126
D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
gradient, but this gradient did not influence germination rate of
viable seeds. Overall, we found a moderate proportion of seeds
able to germinate in experimental conditions (42% on average).
This value is weaker than the one reported in the native range of
P. serotina (e.g. 68% germinations in Pennsylvania; Hough,
1965). The high number of seeds produced by tree (i.e. 6011 on
average), particularly in full light conditions, suggests that seed
viability may not be a limiting factor for sexual reproduction.
However, we did not take into consideration seed predation and
post-dispersal mortality, though we presumed they were quite
high given the numerous perforated pits we observed on the
forest floor during field investigations. Surprisingly, the higher
the soil fertility, the higher the number of viable seeds that were
produced and the lower the invasibility of the stands (see
Table 4). Regarding our second hypothesis, this suggests that
soil conditions poorly control sexual reproduction, but rather
sapling growth and/or adult tree establishment. This may also
explains the paradox that, in its native range, P. serotina
performs better on nutrient-rich soils (Auclair and Cottam,
1971; Auclair, 1975) while in Europe, it mainly establishes on
nutrient-poor soils (Starfinger, 1997).
We conclude that sexual reproduction is very efficient and
would allow P. serotina to massively disperse throughout the
surrounding landscape, and thus colonize new suitable forest
habitats. As a seed, P. serotina is able to enter closed-canopy
forests, since in the study area it is mainly a mammal-dispersed
species. Moreover endozoochory offers several advantages to
the invader, as a possible long-distance dispersal, a germination
facilitation thanks to seed coat abrasion in the gut, and a
fertilizing effect of the faeces at the time of seedling
establishment (Shiferaw et al., 2004).
4.2. Demographical attributes
4.2.1. Growth and population structure
According to our tree ring analysis, light became a
significant control on sapling growth only after the third year
following seedling emergence. Growth of P. serotina in its
earliest life stages (stages I and II) was independent from light
availability. This period would correspond to the utilisation of
seed reserve (Grime and Jeffery, 1965). Between the second
and third year, we found a decreasing growth rate, irrespective
of light conditions. This may corresponds to the acclimatising
time for new resource (i.e. soil water and nutrients, light),
following exhaustion of seed reserve.
In the understorey, the lack of light induced a sharp ring
width reduction (<0.06 mm after the fifth year of growth)
associated with a strong decrease of height growth (see Tables 4
and 5), indicating growth suppression. For instance, suppressed
saplings can reach the age of 6 years despite a 20 cm-height and
0.2 cm-diameter. This growth characteristic corresponds to the
‘Oskar syndrome’ described by Silvertown (1982) after the
character in the novel from Günter Grass, ‘Die Blechtrommel’
(1959), who stopped growing at the age of 3. In Compiègne
forest, Oskars’ height varied between 10 and 25 cm. This is
consistent with Marquis (1990) for northern America, but
slightly differs from the values reported by Starfinger (1991) in
Berlin area, where Oskars were taller than 1 m. However, in our
study area, forest structure and understorey environment were
similar to those of the forests studied by Marquis. Moreover, it
is well-known that the size of suppressed saplings primarily
depends on the light availability in the understorey (Brown
et al., 1999; Messier et al., 1999). In our study, saplings sharing
similar height and diameter were significantly older under
dense shade than in a canopy gap (e.g. difference of 16 years for
trees with a diameter and height of 0.7 and 159 cm,
respectively). The distribution of individuals among cohorts
followed a typical reversed J-shape, with seedlings (stage I) and
‘Oskars’ (stage II) dominating the population (see Fig. 1), that
is typical of shade-tolerant species, but may also indicate a
strongly expanding population (Silvertown, 1982). As shade is
known to improve germination of P. serotina seeds by helping
to maintain stable moisture (Marquis, 1990; Mulligan and
Munro, 1981), this may partly explain the accumulation of
several generations of seedlings and Oskars in the understorey.
Hence, P. serotina is able to constitute a long-lived seedling
bank, which may be activated as soon as light would be
available. This is typically a ‘sit-and-wait’ strategy.
Under favourable light conditions, we found an average
diameter increment of 0.12 cm year 1,that is far from the one
reported in its native range: 0.635 cm year 1 in Pennsylvania
(Fowells, 1965), as well as from the one reported in its exotic
range: 0.629 cm year 1 in a Belgian agricultural landscape
(Deckers et al., 2005). Stage III-saplings strongly dominated
the population, indicating an active aggrading stage. This result
contrasts with those recently reported by Deckers et al. (2005),
since they found that the population’s age structure followed a
negative exponential function. However the authors studied a P.
serotina metapopulation structure at a landscape scale, within a
dense hedgerow network and in full light conditions, though we
focused on populations scattered into small forest gaps. Here,
seedlings (stage I) may have rapidly reached stage III through
stage II without any growth suppression. The scarcity of
seedlings may be explained either by the lack of reproducing
adults able to replenish the seedling bank, or by a lower efficacy
of germination associated with a higher seedling mortality due
to unfavourable moisture conditions (Marquis, 1990; Mulligan
and Munro, 1981). Stage II-saplings may have been released
from suppression and reached stage III. Stage IV-trees remain
scarce, either because of a self-thinning process which would
prevent most of the stage III-saplings from reaching the canopy
or because all stage III-saplings did not have time to reach stage
IV yet.
P. serotina presented higher height increment than native
trees: up to 56.3 9.3 cm year 1 against 40 cm year 1 for F.
sylvatica (Schober, 1975) and 20–30 cm year 1 for Q. robur
(Lanier, 1994), for example. Rapid height growth is a wellknown trait of other successful gap invaders, such as Ailanthus
altissima (Knapp and Canham, 2000) or Robinia pseudoacacia
(Lee et al., 2004), for example.
We conclude that P. serotina fails to satisfy the welldescribed trade-off between survivorship in the understorey and
fast-growth in openings (Canham, 1989; Pacala et al., 1996;
Kobe, 1997; Sanford et al., 2003), since it is both a superior
D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
survivor in the shade and a superior competitor in gaps by
growing faster than shade-intolerant species. This strongly
contrasts with Sanford et al. (2003) who concluded that alien
woody species persist in intact forest understorey through high
survivorship, or successfully occupy canopy gaps through rapid
growth rates, but are not capable of both strategies. It is
noteworthy that such a lack of trade-off was also suggested for
the invasive wetland herb species Lythrum salicaria in northern
America, but in experimental conditions (control of nutrient
concentration and shade) (Keddy et al., 1994).
4.2.2. Vegetative regeneration
Our results show that P. serotina is able to reproduce
vegetatively by producing both stump and root suckers. We
found a high proportion of stump resprouts among all but stage
I cohorts (from 4.8 to 51.7%), irrespective of light conditions,
suggesting a high probability for resprouting before maturity.
However, this value is lower than the one reported in the native
range: from 35.4% to 79.7% among all age classes (Auclair and
Cottam, 1971; Auclair, 1975). Basal sprouting in juvenile
stages has been reported to promote survival under a variety of
stressful conditions, including suppression by canopy trees, and
prolong the life span of individuals in case of disturbance (Del
Tredici, 2001).
We found that 13.7% of stages II and III-saplings were root
suckers. This value was probably underestimated since it was
particularly difficult to recognize root suckers in the field. For
example, they may grow independently after removal from the
parent plant (e.g. following natural death of the main stem or
disturbance) and thus, may have been counted as genets instead
of ramets. Root suckering probably plays an important role in
vegetative propagation and clonal growth at a local scale, but
may also enhance vegetative expansion when a canopy gap
develops (Del Tredici, 2001).
Stump and root sprouting are important strategies. When a
portion of the main stem has broken, suffered crown dieback, or
been cut down, the organism remains alive, retaining live root
and stem material, and then resprouts (Putz and Brokaw, 1989).
Resprouting compensates for growth reduction and permits to
maintain regeneration with low energy costs, rapid and
vigorous stem growth. This may also be important for
individuals spending their entire lives in the understorey
(Greig, 1993), that is potentially the case of P. serotina’s
Oskars. We observed that when P. serotina was overtopped
during the aggradation phase, it suffered crown dieback and
then was able to resprout from stump and roots. This is an
important demographic process through which individuals
decrease in size and delay mortality (Paciorek et al., 2000; Del
Tredici, 2001). This may greatly contribute to P. serotina
invasiveness. This kind of alternation of shoot increase (i.e.
resprout growth) and shoot reduction (i.e. aboveground
biomass die back) may be viewed as a way to optimize
resource conservation (Givnish, 1988). This would enable
individuals to maximise their fitness for the light resource
fluctuation regime and thus, to maintain themselves for a long
time in a stochastic environment. To emphasize this important
trait and to draw a parallel with the Oskar’s metaphor, we can
127
term it ‘Alice behaviour’ after the character in the Lewis
Carroll’s novel ‘Alice’s adventures in wonderland’, who
changes her size to better adapt to a changing environment,
by eating mushrooms.
We conclude that ‘Alice behaviour’ would allow P. serotina
to perpetuate individuals under a closed canopy and to persist
after a disturbance (e.g. a natural treefall or an artificial
clearcut), thus to self-sustain local populations once established. Such long-term survival of resprouted individuals has
been documented in temperate forests (Peterson and Pickett,
1991; Harcombe and Marks, 1993; Del Tredici, 2001). Here,
this theoretically prevents P. serotina from local extinction, that
is of course a major competitive advantage.
4.3. Single tree fall-induced gap dynamics
Our results were only based on the analysis of a single gap,
that is probably not sufficient to capture the entire variability of
the gap dynamics. However, our field observations revealed
similar patterns in other forest gaps, irrespective of their size.
This study should be pursued further with large number
analyses of gap colonisation in order to definitively and
statistically valid these observations.
In our case study, the zero-event corresponded to the death
and fall of an adult black cherry, that had suddenly increased the
amount of available resources, particularly solar radiation at the
forest floor. According to Oldeman’s model of forest dynamics,
this started the innovation phase, which is the first step in the
development of a new eco-unit (Oldeman, 1990). The P.
serotina population growing in the studied gap had a typical
bell-shaped structure, with the highest stem density, biomass
and height in the gap centre.
Both height and diameter might decrease along the decreasing
gap-created light gradient, suggesting a sapling growth rate
approximately proportional to light availability. This contrasts
with demographical studies conducted in the native area of the
species, where population structure into gaps have a reversed
bell-shape (i.e. a U-shape), with tallest saplings at the periphery.
It has been hypothesized that soil pathogens, particularly
Pythium spp., were responsible for this pattern, in accordance
with the Janzen-Connell hypothesis (Packer and Clay, 2000,
2003). Conversely, in its exotic range the soil community would
not impaired P. serotina recruitment, and thus, allow the invader
to reproduce below itself (Reinhart et al., 2003).
We found that 2 years after the zero-event (tree fall) P.
serotina could represent 89% of the stems. It seemed able to
colonize the whole gap area, inaugurating the aggradation
phase sensu Oldeman (1990), i.e. the phase beginning with
rapid height growth. The high density of its stems may induce a
heavily shaded understorey where nearly nothing else can
develop, especially juveniles of other tree species. There could
also be a negative feedback on conspecific seedlings and
saplings, inducing a self-thinning process as indicated by the
ring width reduction and the number of resprouts. Seedlings
may become suppressed and go back to an Oskar stage.
Saplings rather die back and subsequently resprout following
the ‘Alice behaviour’.
128
D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
The aggradation phase should normally lead to the
biostatic phase according to Oldeman’s model, which is the
phase of stand maturation. Although we did not accurately
study this phase, our field observations on the whole forest
allow us some comments. For small gaps (e.g. single
treefalls), the aggrading phase may be transient. A higher
structural ensemble may progressively be built by neighbouring (or even surviving) higher trees (e.g. beech, oak,
maple, hornbeam). Then P. serotina crowns usually die back
and follow ‘Alice behaviour’. As a shade-intolerant species,
P. serotina would be expected to have few regeneration
opportunities in small gaps where it should be overcompeted
by shade-tolerant species (Poulson and Platt, 1989; Brokaw
and Busing, 2000). Our results clearly show the contrary
since it is able to integrate the natural sylvigenetic cycle
without invading the whole forest community. Conversely,
for large gaps (e.g. large windthrow or clearcut), the
aggradation phase may be brought into stasis as long as P.
serotina remains alive (at least 30 years according to a longterm invasion monitoring in this forest), so that the biostasic
phase is never reached. P. serotina exhibits a shrub or small
tree habit (5 m-height) and forms a low, closed carpet
(Starfinger, 1991). Hence, it is able to durably build a selfsustaining population thanks to both Oskar syndrome and
Alice behaviour. Such expanding populations impair the
development of other tree species since few native species
are able to develop in the understories, due to the heavy
shade and the thick litter layer (Facelli and Pickett, 1991;
Bosy and Reader, 1995). This typically characterizes the
invasion stage with deleterious effects on ecosystem
functioning.
We conclude that P. serotina holds two major competitive
advantages that could greatly influence the gap capture process.
Firstly, the ‘Oskar syndrome’ confers it a head start on species
which must disperse into the gap from the surroundings
(Peterson and Pickett, 1995). Similarly, the ‘Alice behaviour’
enables its advanced regenerations to persist in the understorey,
survive damage during gap creation and exploit the resulting
gap (Putz and Brokaw, 1989; Paciorek et al., 2000). It has been
shown that residual plants that reestablish vegetatively
following disturbance usually achieve large sizes more quickly
than those that start from seed (Brokaw and Busing, 2000). It is
well documented that gaps are filled mostly by chance
occupants (i.e. species that simply happen to be present in
the understorey at the time of gap creation) rather than by best
adapted species, and thus, pre-gap patterns in the understorey,
not postgap partioning, largely determine gap composition
(Fraver et al., 1998; Brokaw and Busing, 2000). This ‘sit-andwait’ strategy is quite common among co-occuring tree species
in P. serotina’s native range (e.g. Fagus grandifolia, Quercus
alba, Acer pensylvanicum, Tsuga canadensis; Silvertown,
1982) but is almost unknown for tree species of European
temperate forests. Secondly, as it may grow faster than many
common native species once released, it is able to quickly
capture gaps and competitively exclude regeneration of native
species and thus, form pure stands and ultimately dominate
native forests.
4.4. Synthesis of demographical traits: does P. serotina
lack the usual trade-off between r- and K-strategies?
The r/K-strategy scheme developed by MacArthur and
Wilson (1967) distinguishes two contrasting types of life
history strategies based upon those which are adapted for
dispersal and those adapted for persistence, respectively named
r-strategists and K-strategists. The two strategies are often
envisaged as opposite ends of a continuum (Gadgil and Solbrig,
1972; Pianka, 1974; Hallé et al., 1978; Bazzaz, 1996). The rselection characterizes unstable environments where interspecific competition is the major driver, while K-selection
rather characterizes stable ones, where habitat carrying
capacity and both inter- and intra-specific competition
determine the outcome. It is postulated that natural selection
should maximize r or K but not both, and that there is a trade-off
between the two extremes of the continuum (Tilman, 1990;
Grime, 2001). Recently, invasive trees were even reported as
developing either a stronger K-strategy than native Kstrategists, or a stronger r-strategy than native r-strategists
(Petit et al., 2004). However some studies comparing the
ecophysiology of native and exotic congeners have also found
that exotic species seems to experience less of a trade-off in
adaptation to variable light environments relative to native
species (Lei and Lechowicz, 1990; Pattison et al., 1998).
We consider that P. serotina behaves as a K-strategist when
juvenile, since it is able to durably maintain in the recipient
community understorey, by providing (1) a very low growth
rate, (2) a long life span as an ‘Oskar’ and (3) a strong
resprouting capacity following the ‘Alice behaviour’. It is thus
able to infiltrate and establish in a closed-canopy forest with
many competing species and few free niches. Conversely, P.
serotina rather behaves as a r-strategist in its adult life-stage
since it tends to maximise population growth and dispersal,
thanks to (1) a rapid growth rate, (2) a quite short life-span
(usually a few decades) and (3) an early sexual maturity, (4) an
abundant seed production and (5) a sexual reproduction weakly
influenced by soil properties. It is thus able to rapidly colonize a
canopy-gap by monopolising the available resources, particularly light, and build expanding populations. Subsequently it
may reproduce, both sexually to disperse seeds and establish
new seedling banks throughout the surrounding forest landscape (‘Oskar syndrome’), and vegetatively to locally selfsustain (‘Alice behaviour’). Consistently with our third
hypothesis, we conclude that this seeming lack of trade-off
between r and K strategy may confer to P. serotina a
competitive advantage over native tree species, which may
contribute to its invasiveness. A similar strategy may explain
the success of other invasive tree species like, e.g. Ailanthus
altissima (Knapp and Canham, 2000), Acer platanoides
(Sanford et al., 2003; Webster et al., 2005) or Robinia
pseudoacacia (Lee et al., 2004).
Acknowledgements
We thanks Brice Normand, Christine Beugin for their help
during field investigations, and Jérôme Jaminon (Office
D. Closset-Kopp et al. / Forest Ecology and Management 247 (2007) 120–130
National des Forêts) for technical support and informations
about Compiègne forest. We also thank the two anonymous
referees for their helpful comments on the initial draft. This
work has been financially supported by the French ‘Ministère
de l’Ecologie et du Développement Durable’ (INVABIO II
program, CR no. 09-D/2003).
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