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Acta Biotheor (2007) 55:23–33 DOI 10.1007/s10441-007-9008-7 REGULAR ARTICLE A semantic taxonomy for diversity measures Carlo Ricotta Received: 27 October 2006 / Accepted 6 March 2007 / Published online: 8 May 2007 Ó Springer Science+Business Media, B.V. 2007 Abstract Community diversity has been studied extensively in relation to its effects on ecosystem functioning. Testing the consequences of diversity on ecosystem processes will require measures to be available based on a rigorous conceptualization of their very meaning. In the last decades, literally dozens of measures of diversity have been proposed. However, rather than using unrelated metrics, we need to identify their separate components so that possible links between them and ecosystem functioning can be examined using an agreed-upon language. In this paper, first, a short overview on new and old measures of community diversity is presented. Next, I propose a general framework in which most of the existing measures of diversity are sorted into four interrelated semantic classes: richness, abundance-weighted diversity, evenness and divergence. In this view, this paper constitutes an attempt to organize the very large number of existing diversity measures avoiding ambiguities in the meaning of the different facets of community diversity. Keywords Complexity Compositional diversity matrix Divergence Evenness Pairwise species distances Richness 1 Introduction The compositional diversity of a species assemblage is a central concept in ecology that has been studied extensively for many decades in relation to its possible connection with ecosystem functioning and organization. Classical examples include the diversity-productivity (McCann 2000) and the diversity-stability debate C. Ricotta (&) Department of Plant Biology, University of Rome ‘‘La Sapienza’’, Piazzale Aldo Moro 5, 00185 Rome, Italy e-mail: [email protected] 123 24 C. Ricotta (Tilman et al. 1996; Hooper and Vitousek 1997; Hector et al. 1999). More recently the influence of species diversity on exotic invasions has received increasingly attention (Stohlgren et al. 1999; Fridley et al. 2004; Fargione and Tilman 2005). However, an unambiguous characterization of the concept of community diversity has proved elusive (see Ricotta 2005a). This observation has led to the classical comments by Hurlbert (1971) on the ‘‘non-concept of diversity’’ and by Poole (1974) that diversity measures are ‘‘answers to which questions have not yet been found’’. One reason for this ambiguity is that traditional measures of diversity like the Shannon index or the Simpson index combine in non-standard way the two components of species richness and their relative abundances (called variously evenness, equitability or dominance). High species richness and evenness, that occurs when species are equal in abundance, are both equated with high diversity. Also, traditional measures are computed solely from species relative abundances without incorporating ecological differences between species. However, a community composed of ecologically dissimilar taxa is intuitively more diverse than a community composed of more similar taxa. Therefore, recently, the overall divergence (i.e., a measure of ecological dissimilarity) between the species within a community has received increasing attention as a component of community diversity (Ricotta and Avena 2005; Mason et al. 2005). To avoid confusion, in this paper I will refer in a very generic manner to measures of ‘diversity’ or ‘community diversity’ as to all measures that are used to summarize different aspects of the compositional diversity of a given community or species assemblage with scalars. By contrast, I will refer to the particular subset of diversity measures that are computed solely from the species relative abundances of a given community as to ‘abundance-weighted measures of diversity’. In the literature, there are a number of measures designed to summarize community diversity incorporating inter-species differences. Such differences may be related to functional type or morphology, taxonomic relatedness or genetic distances, as ecological differences between species are believed to be reflected in each of these (Faith 1992; Izsak and Papp 1995; Warwick and Clarke 1995; Clarke and Warwick 1998; Webb 2000; Shimatani 2001; Barker 2002; Ricotta 2004). All these measures summarize community diversity from different perspectives and motivations. However, rather than using unrelated metrics of community diversity, we need to identify their separate components. In this paper, first, a short overview on existing measures of community diversity is presented. Next, based on an old observation of Juhasz-Nagy (1993) that community diversity can be summarized at different levels of increasing abstraction, I propose to integrate old and new measures into one general semantic framework comprising four main families of community diversity: richness, abundance-weighted diversity, evenness, and divergence. Ideally, this paper completes the ideas announced in Ricotta (2005a); using an agreed-upon language, it constitutes an attempt to organize the rich but dispersed literature on diversity measures avoiding ambiguities in the meaning of the different components of community diversity. 123 A semantic taxonomy for diversity measures 25 Such an attempt may lead to clues when one has to choose among several diversity functions. Nonetheless, this paper is not explicitly aimed at describing which family of diversity measures is more appropriate for providing distinct and relevant information on particular aspects of ecosystem processes. Examples of cutting-edge reviews on diversity/ecosystem functioning relationships include Naeem and Wright (2003); Legendre et al. (2005); Mason et al. (2005); Petchey and Gaston (2006). Researchers who would like guidance regarding which index to use and why are referred to these papers. 2 A short overview on measures of community diversity Community diversity is generally considered a multi-level concept encompassing all scales of natural variation from ecosystems and landscapes down to the molecular level (Huston 1994; Sarkar and Margules 2002; Wehenkel et al. 2006). Classical P measures of compositional diversity, such P as the Shannon entropy H ¼ Si¼1 pi log pi or the Simpson index D ¼ 1 Si¼1 p2i (where S is species richness) are traditionally computed from the species relative abundances pi P (0 pi 1 and Si¼1 pi ¼ 1) to the exclusion of other information as the degree of ecological resemblance between the species in the assemblage. Although each index weights rare and abundant species differently, high species richness and high equitability in species relative abundances jointly imply high compositional diversity. For this reason, Whittaker (1965) considers that the partition of abundance cannot be adequately summarized by one statistic, but should be characterized both by species richness and by the ‘dominance concentration’ of the community. Within this context Lloyd and Ghelardi (1964), see also Pielou (1975) have defined a notion of ‘evenness’, with indices of evenness being basically normalized measures of community diversity (Kvålseth 1991; but see Gregorius 1990). Evenness measures quantify the equality of species abundances in the community, maximum evenness (1.0) arising for an equiprobable species distribution, and the more the relative abundances of species differ, the lower the evenness is (Alatalo 1981). Several evenness indices have thus far been proposed in the ecological literature, the most celebrated of which is a normalized version of the Shannon entropy E = H/ log S (see Pielou 1975). Additional evenness measures can be found in Taillie (1979); Smith and Wilson (1996); Ricotta et al. (2001); Ricotta (2003). Rao (1982) was among the first authors to propose an index of community diversity that incorporates inter-species differences (see also Hendrickson and Ehrlich 1971). Quadratic diversity (Q) is defined as the expected dissimilarity between two individuals selected randomly with replacement: Q¼ S X S X dij pi pj ð1Þ i¼1 j¼1 123 26 C. Ricotta where dij is the dissimilarity (i.e., not necessarily a metric distance) between species i and j. For P dij = 1 for all i = j, and dii = 0 for all i, Q reduces to the Simpson index 1 Si¼1 p2i . The mathematical properties of quadratic diversity have been extensively studied elsewhere (Shimatani 2001; Champely and Chessel 2002; Pavoine et al. 2005a, 2005b; Ricotta and Szeidl 2006) and the reader is referred to these papers for details. Additional measures of community diversity that combine species relative abundances and inter-species differences can be found in Warwick and Clarke (1995); Ricotta (2004); Ricotta and Szeidl (2006). Regardless of how inter-species differences are computed, since quadratic diversity incorporates not only species relative abundances, but also information about the degree of dissimilarity between the species in the assemblage, it comes closer to a modern notion of community diversity than more traditional measures of evenness or compositional diversity. More recently, the concept of compositional diversity as a summary statistic that is obtained from the species relative abundances has been criticized in fields as different as conservation biology and functional ecology (Vane-Wright 1991; Crozier 1992; Faith 1992; Petchey and Gaston 2002; Mason et al. 2005). Vane-Wright et al. (1991) suggested that, for conservation purposes, we should quantify taxonomic distinctness based solely on the topology of the phylogenetic relationships among species. Successively, various refinements of this basic idea have been proposed. For instance, Faith (1992) suggested a measure of phylogenetic diversity (PD) that is simply the cumulative branch length of the full phylogenetic tree, while Crozier (1992) proposed to summarize the community taxonomic distinctness based on genetic distances between species. In the next paragraphs, a general framework is described in which most of the above traditional and contemporary measures of community diversity are decomposed into four interrelated components: richness, abundance-weighted diversity, evenness and divergence. 3 A matrix representation of diversity Juhasz-Nagy (1993) first imagined the measure of compositional diversity as an iterative process involving successive levels of increasing abstraction: ‘‘Composition, even in the simplest etymological sense of the word (con-positio—‘collective position’), refers always to some ‘mutual positional relations’ of some sets of components. Even this simplistic pseudo-definition is contrary to the pragmatic use of the term in ecology, where ‘composition’ refers usually to some sets or weighted sets (like frequency distributions). But, we must realize that any composition (let it be either a piece of art or a master-piece of Nature) is much more than silly ‘%-spectra’ or similar representations. Clearly, some kind of iteration is needed. At a start, we can think of the well-known scheme: 123 A semantic taxonomy for diversity measures Flora ! Vegetation 27 ðIÞ or, in a much more general context, of: Basic sets (alphabets) ! Compositional structures ðIIÞ where (II) may refer to a [biological] situation of some kind, and where ‘large arrows’ try to indicate some ‘epistemological way’ of our understanding. In order to make ‘large arrows’ more specific, we may decompose (I)–(II) into several and more articulate states or steps. One way of such a decomposition is shown by Fig. 1, where certain objects and operations are arranged in a proper order. A point set (like flora, fauna, biota) is just a list of the components involved, without any further specification. A simplex includes abundance estimates (usually as discrete frequency distributions, called ‘species-abundance’ relations) but does not include representation of ‘interactions’ among components. The last requirement is the job of a Venn-complex (used frequently in Set Theory texts). Some properties of V-complexes are used in the construction of an S-complex where a sorted complex may be either a topological tree, a dendrite, or, it may be some ordination diagram. If an S-complex is somehow allocated into the topographical (‘real’) space, then an A-complex, an allocated complex is gained (where classification can be regarded as a special, ‘fortunate’ case)’’. According to Juhasz-Nagy’s (1993) enlightening (though neglected) scheme, traditional diversity measures that are computed solely from species relative abundances are ‘simplex’ representations of community diversity, as opposed to more modern, ‘complex’ representations. For example, Solow and Polasky (1994) argue that measures of biodiversity are best computed from the ‘complex’ set of pairwise species distances dij, while most taxonomic diversity measures are calculated from phylogenetic or taxonomic trees, increasing the level of complexity of community representation further on (see Faith 1992; Webb 2000; Petchey and Gaston 2002). Likewise, more recently, Podani et al. (2005) emphasize the necessity of a complex approach to vegetation analysis at various levels of abstraction. The suggested analytical steps include analysis at the data, derived variable, distance, ordination and classification levels. Fig. 1 Schematic representation of community composition at different levels of abstraction (redrawn from Juhasz-Nagy, 1993) 123 28 C. Ricotta In this framework, Rao’s quadratic diversity combines the information proper of a ‘simplex’ community representation (i.e., the species relative abundances) with the information of a Venn-complex (the pairwise species distances dij) into a single summary statistics. Here, it is worth noticing that besides simple pairwise species distances, a Venn complex may also show more complex multispecies relationships as well (see Juhasz-Nagy and Podani 1983; Juhasz-Nagy 1993). In this sense, pairwise species distances represent the most elementary among all possible representations of inter-species relationships. Based on the above observations, a basic ‘complex’ representation of community diversity may be obtained trough an N x N quadratic matrix summarizing the pairwise distances between the N elements sampled along with their relative abundances (see Table 1). In the remainder, I will call this matrix the ‘compositional diversity matrix’ C. In this matrix, N represents the number of components (usually species) that structure the community under study. However, in some cases, two or more species can be aggregated into a higher-level entity with uniform properties, like higher-level taxonomic groups, or functional groups. For example, if our aim consists in measuring functional diversity, in the presence of species with identical functional traits, like two microspecies of Hieracium or Taraxacum, functionally identical species are grouped into one single ‘functional component’(Ricotta 2005b; see also Fonseca and Ganade 2001). For sake of simplicity, in analogy to the constituents of traditional diversity measures, in the remainder, I will refer to N as to ‘component richness’ or ‘species richness’. The entries dij (i = j) of the quadratic matrix summarize the pairwise distances between the N community components. In the simplest case, first, a set of properties thought to be of significance for ecosystem functioning is measured for each component (species) obtaining an N x p matrix of p properties measured on N components (these properties may be functional traits, morphological or ecological characters, etc.). Next, the N x p matrix is converted into a distance matrix C the elements dij of which embody the distances between components i and j. In this case, the distances dij are the elements of a Venn-complex sensu Juhasz-Nagy Table 1 Illustratory example of the compositional diversity matrix C for an artificial five-species community composed of Ostrya virginiana, Populus grandidentata, Prunus serotina, Quercus rubra and Ulmus americana Ov Pg Ps Qr Ua Ostrya virginiana (Ov) 0.28 4.31 3.01 1.89 1.89 Populus grandidentata (Pg) 4.31 0.24 3.66 4.31 2.85 Prunus serotina (Ps) 3.01 3.66 0.27 3.34 2.21 Quercus rubra (Qr) 1.89 4.31 3.34 0.14 2.85 Ulmus americana (Ua) 1.89 2.85 2.21 2.85 0.07 Here, component richness N = 5, the entries dii on the principal diagonal are the relative abundances of each species, and the pairwise distances dij are the genetic distances proposed by Shimatani (2001, Appendix 2) 123 A semantic taxonomy for diversity measures 29 (1993) that is derived directly from a simplex (the N x p matrix). Nonetheless, the distances dij may be also obtained by more sophisticated (i.e., abstract) methods. For example, the distances dij may be obtained from a phylogenetic tree (i.e., a Sortedcomplex) as the metric/topological distance separating component i from j along the tree (for a review of the different measures of pairwise species distance that can be obtained from a dendrogram, see Podani (2000), pp. 324–325). Since the distance from a given component (species) to itself is zero, in traditional distance matrices, the entries dii on the principal diagonal are usually set to zero. By contrast, in the compositional diversity matrix, the entries dii on the principal diagonal harbor the relative abundances pi of each component. Traditionally, the values of pi are obtained from data on biomass, cover, or number of individuals. Nonetheless, more abstract properties, like measures of species originality (see Pavoine et al. 2005a), species conservation values, etc. that are transformed to a probability space may be adequately used for summarizing the relative abundances of each component. As a result, the matrix of Table 1 is composed of three different pieces of information: component richness N, the relative abundances of each component, and the pairwise distances between component i and component j. Interestingly, a similar matrix representation is extensively used in mathematical chemistry for investigating the structure-activity relationships of chemical compounds. In this case, N represents the number of vertices in the molecular graph, dij are the topological distances between vertices i and j, and dii take into account the physicochemical properties, like the number of valence electrons of atoms symbolized by vertices i (see Basak et al. 2000). 4 Quantifying the components of biological diversity Based on the compositional diversity matrix, it is possible to classify most existing diversity measures into a few general categories that are obtained by the combination of the three pieces of information, N, dij, and dii. Following the traditional view (e.g., Pielou 1975), a measure of ‘abundanceweighted diversity’ is a measure, like the Shannon entropy or the Simpson diversity that is computed solely from the relative abundances of community components pi (or dii) to the exclusion of other information. If diversity measures are normalized using either ‘component richness’ N or an approved function of N, we obtain an index of ‘evenness’. According to this classical framework, abundance-weighted diversity indices can be decomposed into two orthogonal constituents, component richness N and evenness in species abundance (Mouillot et al. 2005). All this is very classic. By contrast, the measures that are computed from the inter-species distances dij basically summarize the overall ‘divergence’ between the N community components. Within this context, we can make a distinction between ‘extensive measures of divergence’ sensu Izsak and Papp (2000) that are computed solely from the distances dij, and ‘intensive measures of divergence’ that are normalized by 123 30 C. Ricotta component richness N, or by an adequate function of N. As an example, a straightforward way to obtain an extensive measure of divergence from the compositional diversity matrix C is to sum the elements dij (i = j) in C: X dC ¼ dij ð2Þ dij2C If the distances dij are computed from species’ functional traits, the quantity in Eq. (2) is generally known as ‘Functional Attribute Diversity’ (FAD, Walker et al. 1999), while Izsak and Papp (2000) proposed a similar measure that is computed from species’ pairwise taxonomic distances. Next, dividing dC by N(N1), an intensive (average) measure of species divergence is obtained. Finally, measures like Rao’s Q that combine species relative abundances and pairwise species distances into a single scalar, may be termed ‘abundance-weighted indices of divergence’ (Mason et al. 2005). Note that Eq. (2) is basically a special case of Rao’s Q where all components are given equal weight (i.e., Q ¼ N 2 dC ). In a previous paper (Ricotta 2002), I defined the indices that depend on both variables, dij and dii ‘weak diversity indices’. In this view, the term ‘weak diversity index’ may be considered a synonym of ‘abundance-weighted measure of divergence’. 5 Conclusions Recent studies suggest that changes in community diversity can alter both the magnitude and the stability of ecosystem processes (Naeem et al. 1999). Testing the effects of community diversity on ecosystem processes will require measures to be available based on a rigorous semantic classification of compositional diversity. From an historical perspective, traditional abundance-weighted diversity measures are summarized at a lower level of abstraction than more modern metrics of community diversity. According to our proposal, compositional diversity may be decomposed into four basic families: abundance-weighted diversity, richness evenness and divergence. In turn, divergence can be partitioned into three subclasses: component-independent (i.e., extensive), component dependent (i.e., intensive), and abundance-weighted divergence. Each of these families can be computed by a combination of the three pieces of information contained in the compositional diversity matrix, component richness N, the relative abundances of each component, and the pairwise distances between component i and component j. Increasingly complex combinations of these pieces of information correspond to increasingly higher levels of abstraction in the conceptualization of community diversity. Using these four main families of measures will accommodate most of the existing traditional and contemporary indices of community diversity into one single conceptual framework eliminating much of the confusion currently 123 A semantic taxonomy for diversity measures 31 surrounding the study of the relationship between community diversity and ecosystem functioning. In this sense, this paper focuses on the description of compositional diversity measures and has little to say on ecosystem functioning. Finally, it is worth stressing that the arsenal of possible measures of diversity is by far not exhausted by our proposal. For instance, the compositional diversity matrix C combines the data of an elementary Venn-complex that represents pairwise species distances with the data obtained from a ‘simplex’ representation of community diversity. However, it ignores the information associated to more abstract levels of community representation, like sorted or allocated complexes (see Juhasz-Nagy 1993). For example, as mentioned in the previous paragraphs, Faith (1992) suggested measuring phylogenetic diversity as the cumulative branch length of the full phylogenetic tree. Likewise, Petchey and Gaston (2002) proposed a method for computing functional diversity, which is based on the total branch length of the functional dendrogram that results from clustering the species in trait space. Both methods use data proper of a dendrogram (by contrast, methods for computing compositional diversity from ordinations are much scarcer; see, e.g., Ter Braak 1983; Péllissier et al. 2003). As such, since dendrograms and ordinations are both sorted complexes sensu Juhasz-Nagy (1993), they cannot be included in our conceptual framework. Accordingly, I propose to define all measures that are obtained from a ‘complex’ representation of community diversity, like S-complexes or A-complexes, as ‘measures of biological complexity’. On one hand, this definition is general enough to allow the inclusion of a wide number of measures; on the other hand, the term ‘complexity’ immediately suggests a high level of abstraction of the underlying community representations. I hope, the proposed semantic taxonomy of different aspects of community diversity will prove fruitful for avoiding confusion in their formalization and ecological application. Acknowledgements Unfortunately, this paper is not aimed at providing guidance on which index to use for testing different aspects of the diversity/ecosystem functioning relationships. So, I would like to thank the anonimous referee that appreciated the primary objective of this paper without asking that something be said about a more field-oriented approach to diversity measures. References Alatalo RV (1981) Problems in the measurement of evenness in ecology. Oikos 37:199–204 Barker GM (2002) Phylogenetic diversity: a quantitative framework for measurement of priority and achievement in biodiversity conservation. Biol J Linn Soc 76:165–194 Basak SC, Balaban AT, Grunwald GD, Gute BD (2000) Topological indices: their nature and mutual relatedness. J Chem Inf Compu Sci 40:891–898 Champely S, Chessel D (2002) Measuring biological diversity using Euclidean metrics. Environ Ecol Stat 9:167–177 Clarke KR, Warwick RM (1998) A taxonomic distinctness index and its statistical properties. 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