The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia

Jochen Schöngart; Florian Wittmann; Angélica Faria de Resende; Cyro Assahira; Guilherme de Sousa Lobo; Juliana Rocha Duarte Neves; Maíra da Rocha; Gisele Biem Mori; Adriano Costa Quaresma; Layon Oreste Demarchi; Bianca Weiss Albuquerque; Yuri Oliveira Feitosa; Gilvan da Silva Costa; Gildo Vieira Feitoza; Flávia Machado Durgante; Aline Lopes; Susan E. Trumbore; Thiago Sanna Freire Silva; Hans ter Steege; Adalberto Luis Val; Wolfgang J. Junk; Maria Teresa Fernandez Piedade

doi:10.1002/aqc.3526

The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia

Jochen Schöngart^*
, Florian Wittmann
, Angélica Faria de Resende
, Cyro Assahira
, Guilherme de Sousa Lobo
, Juliana Rocha Duarte Neves
, Maíra da Rocha
, Gisele Biem Mori
, Adriano Costa Quaresma
, Layon Oreste Demarchi
, Bianca Weiss Albuquerque
, Yuri Oliveira Feitosa
, Gilvan da Silva Costa
, Gildo Vieira Feitoza
, Flávia Machado Durgante
, Aline Lopes
, Susan E. Trumbore
, Thiago Sanna Freire Silva
, Hans ter Steege
, Adalberto Luis Val

Wolfgang J. Junk, Maria Teresa Fernandez Piedade

^*Corresponding author for this work

Research output: Contribution to Journal › Article › Academic › peer-review

Abstract

The Balbina hydropower dam in the Central Amazon basin, established in the Uatumã River in the 1980s, is emblematic for its socio-environmental disaster. Its environmental impacts go far beyond the reservoir and dam, however, affecting the floodplain forests (igapó) in the downstream area (dam shadow), which have been assessed using a transdisciplinary research approach, synthesized in this review. Floodplain tree species are adapted to a regular and predictable flood pulse, with high- and low-water periods occurring during the year. This was severely affected by the operation of the Balbina dam, which caused the suppression of both the aquatic phase at higher floodplain elevations and the terrestrial phase at lower floodplain elevations (termed the ‘sandwich effect’). During the period of construction and reservoir fill, large-scale mortality already occurred in the floodplains of the dam shadow as a result of reduced stream flow, in synergy with severe drought conditions induced by El Niño events, causing hydraulic failure and making floodplains vulnerable to wildfires. During the operational period of the dam, permanent flooding conditions at low topographical elevations resulted in massive tree mortality. So far, 12% of the igapó forests have died along a downstream river stretch of more than 125 km. As a result of flood suppression at the highest elevations, an encroachment of secondary tree species from upland (terra firme) forests occurred. More than 35 years after the implementation of the Balbina dam, the downstream impacts caused massive losses of macrohabitats, ecosystem services, and diversity of flood-adapted tree species, probably cascading down to the entire food web, which must be considered in conservation management. These findings are discussed critically, emphasizing the urgent need for the Brazilian environmental regulatory agencies to incorporate downstream impacts in the environmental assessments of several dam projects planned for the Amazon region.

Original language	English
Pages (from-to)	1117-1135
Number of pages	19
Journal	Aquatic Conservation: Marine and Freshwater Ecosystems
Volume	31
Issue number	5
Early online date	15 Feb 2021
DOIs	https://doi.org/10.1002/aqc.3526
Publication status	Published - May 2021

Bibliographical note

Funding Information:
This study has been conducted in the framework of the Long‐Term Ecological Research Program (PELD) of the Brazilian National Council for Scientific and Technological Development (CNPq), performed since 2013 by the research group MAUA (Ecology, Monitoring and Sustainable Use of Wetlands) of the Brazilian National Institute for Amazon Research (INPA). We thank CNPq for financing the research projects: the Large‐Scale Biosphere‐Atmosphere Program in the Amazon–LBA (MCTI/CNPq/FNDCT, grant number 457893/2013‐3); the Long‐term Ecological Research Network–PELD (CNPq/CAPES/FAPS/BC, NEWTON PROGRAM FUND, grant number 441590/2016‐0; MCTI/CNPq/FAPs, grant number 403792/2012‐6); and Rede Ripária (MCTI/CNPq no. 23/2017, grant numbers 441498/2017‐5 and 441462/2017‐0). We received further support from the INCT‐ADAPTA (CNPq grant number 465540/2014‐7; FAPEAM grant number 062.1187/2017). This study was financed in part by the Coordenação de Aperfeiçoamento de Pessoal de Nível Superior – Brasil (CAPES) – Finance Code 001 and the Fundação de Amparo à Pesquisa do Estado do Amazonas (FAPEAM) (FIXAM/FAPEAM; grant number 017/2914 and PELD/FAPEAM; grant number 062.01357/2017) and by the Technical/Scientific Cooperation Agreement between INPA and the Max‐Planck‐Society. We also want to thank the State's Secretary for Environment (SEMA) and staff from the Uatumã Sustainable Development Reserve for support, as well as the bilateral project Amazon Tall Tower Observatory (ATTO) for support in transport and logistics. We are grateful for the constructive comments and criticism of the reviewers Dr Marcelo Simon and Dr Edgardo Latrubesse, the guest editor Dr Leandro Castello, and Chief Editor Prof. Philip J. Boon, which considerably improved the article. AQC

Publisher Copyright:
© 2021 John Wiley & Sons, Ltd.

Copyright:
Copyright 2021 Elsevier B.V., All rights reserved.

Funding

This study has been conducted in the framework of the Long‐Term Ecological Research Program (PELD) of the Brazilian National Council for Scientific and Technological Development (CNPq), performed since 2013 by the research group MAUA (Ecology, Monitoring and Sustainable Use of Wetlands) of the Brazilian National Institute for Amazon Research (INPA). We thank CNPq for financing the research projects: the Large‐Scale Biosphere‐Atmosphere Program in the Amazon–LBA (MCTI/CNPq/FNDCT, grant number 457893/2013‐3); the Long‐term Ecological Research Network–PELD (CNPq/CAPES/FAPS/BC, NEWTON PROGRAM FUND, grant number 441590/2016‐0; MCTI/CNPq/FAPs, grant number 403792/2012‐6); and Rede Ripária (MCTI/CNPq no. 23/2017, grant numbers 441498/2017‐5 and 441462/2017‐0). We received further support from the INCT‐ADAPTA (CNPq grant number 465540/2014‐7; FAPEAM grant number 062.1187/2017). This study was financed in part by the Coordenação de Aperfeiçoamento de Pessoal de Nível Superior – Brasil (CAPES) – Finance Code 001 and the Fundação de Amparo à Pesquisa do Estado do Amazonas (FAPEAM) (FIXAM/FAPEAM; grant number 017/2914 and PELD/FAPEAM; grant number 062.01357/2017) and by the Technical/Scientific Cooperation Agreement between INPA and the Max‐Planck‐Society. We also want to thank the State's Secretary for Environment (SEMA) and staff from the Uatumã Sustainable Development Reserve for support, as well as the bilateral project Amazon Tall Tower Observatory (ATTO) for support in transport and logistics. We are grateful for the constructive comments and criticism of the reviewers Dr Marcelo Simon and Dr Edgardo Latrubesse, the guest editor Dr Leandro Castello, and Chief Editor Prof. Philip J. Boon, which considerably improved the article. AQC

UN SDGs

This output contributes to the following UN Sustainable Development Goals (SDGs)

SDG 15 Life on Land

Keywords

disturbance
flood pulse
hydropower dam
igapó
long-term ecological research (LTER)
tree mortality
Uatumã River
wildfire

Access to Document

10.1002/aqc.3526

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Cite this

Schöngart, J., Wittmann, F., Faria de Resende, A., Assahira, C., de Sousa Lobo, G., Rocha Duarte Neves, J., da Rocha, M., Biem Mori, G., Costa Quaresma, A., Oreste Demarchi, L., Weiss Albuquerque, B., Oliveira Feitosa, Y., da Silva Costa, G., Vieira Feitoza, G., Machado Durgante, F., Lopes, A., Trumbore, S. E., Sanna Freire Silva, T., ter Steege, H., ... Piedade, M. T. F. (2021). The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia. Aquatic Conservation: Marine and Freshwater Ecosystems, 31(5), 1117-1135. https://doi.org/10.1002/aqc.3526

@article{7946095844754eb89fe796f920dafca4,

title = "The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia",

abstract = "The Balbina hydropower dam in the Central Amazon basin, established in the Uatum{\~a} River in the 1980s, is emblematic for its socio-environmental disaster. Its environmental impacts go far beyond the reservoir and dam, however, affecting the floodplain forests (igap{\'o}) in the downstream area (dam shadow), which have been assessed using a transdisciplinary research approach, synthesized in this review. Floodplain tree species are adapted to a regular and predictable flood pulse, with high- and low-water periods occurring during the year. This was severely affected by the operation of the Balbina dam, which caused the suppression of both the aquatic phase at higher floodplain elevations and the terrestrial phase at lower floodplain elevations (termed the {\textquoteleft}sandwich effect{\textquoteright}). During the period of construction and reservoir fill, large-scale mortality already occurred in the floodplains of the dam shadow as a result of reduced stream flow, in synergy with severe drought conditions induced by El Ni{\~n}o events, causing hydraulic failure and making floodplains vulnerable to wildfires. During the operational period of the dam, permanent flooding conditions at low topographical elevations resulted in massive tree mortality. So far, 12\% of the igap{\'o} forests have died along a downstream river stretch of more than 125 km. As a result of flood suppression at the highest elevations, an encroachment of secondary tree species from upland (terra firme) forests occurred. More than 35 years after the implementation of the Balbina dam, the downstream impacts caused massive losses of macrohabitats, ecosystem services, and diversity of flood-adapted tree species, probably cascading down to the entire food web, which must be considered in conservation management. These findings are discussed critically, emphasizing the urgent need for the Brazilian environmental regulatory agencies to incorporate downstream impacts in the environmental assessments of several dam projects planned for the Amazon region.",

keywords = "disturbance, flood pulse, hydropower dam, igap{\'o}, long-term ecological research (LTER), tree mortality, Uatum{\~a} River, wildfire",

author = "Jochen Sch{\"o}ngart and Florian Wittmann and \{Faria de Resende\}, Ang{\'e}lica and Cyro Assahira and \{de Sousa Lobo\}, Guilherme and \{Rocha Duarte Neves\}, Juliana and \{da Rocha\}, Ma{\'i}ra and \{Biem Mori\}, Gisele and \{Costa Quaresma\}, Adriano and \{Oreste Demarchi\}, Layon and \{Weiss Albuquerque\}, Bianca and \{Oliveira Feitosa\}, Yuri and \{da Silva Costa\}, Gilvan and \{Vieira Feitoza\}, Gildo and \{Machado Durgante\}, Fl{\'a}via and Aline Lopes and Trumbore, \{Susan E.\} and \{Sanna Freire Silva\}, Thiago and \{ter Steege\}, Hans and Val, \{Adalberto Luis\} and Junk, \{Wolfgang J.\} and Piedade, \{Maria Teresa Fernandez\}",

note = "Funding Information: This study has been conducted in the framework of the Long‐Term Ecological Research Program (PELD) of the Brazilian National Council for Scientific and Technological Development (CNPq), performed since 2013 by the research group MAUA (Ecology, Monitoring and Sustainable Use of Wetlands) of the Brazilian National Institute for Amazon Research (INPA). We thank CNPq for financing the research projects: the Large‐Scale Biosphere‐Atmosphere Program in the Amazon–LBA (MCTI/CNPq/FNDCT, grant number 457893/2013‐3); the Long‐term Ecological Research Network–PELD (CNPq/CAPES/FAPS/BC, NEWTON PROGRAM FUND, grant number 441590/2016‐0; MCTI/CNPq/FAPs, grant number 403792/2012‐6); and Rede Rip{\'a}ria (MCTI/CNPq no. 23/2017, grant numbers 441498/2017‐5 and 441462/2017‐0). We received further support from the INCT‐ADAPTA (CNPq grant number 465540/2014‐7; FAPEAM grant number 062.1187/2017). This study was financed in part by the Coordena{\c c}{\~a}o de Aperfei{\c c}oamento de Pessoal de N{\'i}vel Superior – Brasil (CAPES) – Finance Code 001 and the Funda{\c c}{\~a}o de Amparo {\`a} Pesquisa do Estado do Amazonas (FAPEAM) (FIXAM/FAPEAM; grant number 017/2914 and PELD/FAPEAM; grant number 062.01357/2017) and by the Technical/Scientific Cooperation Agreement between INPA and the Max‐Planck‐Society. We also want to thank the State's Secretary for Environment (SEMA) and staff from the Uatum{\~a} Sustainable Development Reserve for support, as well as the bilateral project Amazon Tall Tower Observatory (ATTO) for support in transport and logistics. We are grateful for the constructive comments and criticism of the reviewers Dr Marcelo Simon and Dr Edgardo Latrubesse, the guest editor Dr Leandro Castello, and Chief Editor Prof. Philip J. Boon, which considerably improved the article. AQC Publisher Copyright: {\textcopyright} 2021 John Wiley \& Sons, Ltd. Copyright: Copyright 2021 Elsevier B.V., All rights reserved.",

year = "2021",

month = may,

doi = "10.1002/aqc.3526",

language = "English",

volume = "31",

pages = "1117--1135",

journal = "Aquatic Conservation: Marine and Freshwater Ecosystems",

issn = "1052-7613",

publisher = "John Wiley and Sons Ltd",

number = "5",

}

Schöngart, J, Wittmann, F, Faria de Resende, A, Assahira, C, de Sousa Lobo, G, Rocha Duarte Neves, J, da Rocha, M, Biem Mori, G, Costa Quaresma, A, Oreste Demarchi, L, Weiss Albuquerque, B, Oliveira Feitosa, Y, da Silva Costa, G, Vieira Feitoza, G, Machado Durgante, F, Lopes, A, Trumbore, SE, Sanna Freire Silva, T, ter Steege, H, Val, AL, Junk, WJ & Piedade, MTF 2021, 'The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia', Aquatic Conservation: Marine and Freshwater Ecosystems, vol. 31, no. 5, pp. 1117-1135. https://doi.org/10.1002/aqc.3526

The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia. / Schöngart, Jochen; Wittmann, Florian; Faria de Resende, Angélica et al.
In: Aquatic Conservation: Marine and Freshwater Ecosystems, Vol. 31, No. 5, 05.2021, p. 1117-1135.

Research output: Contribution to Journal › Article › Academic › peer-review

TY - JOUR

T1 - The shadow of the Balbina dam

T2 - A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia

AU - Schöngart, Jochen

AU - Wittmann, Florian

AU - Faria de Resende, Angélica

AU - Assahira, Cyro

AU - de Sousa Lobo, Guilherme

AU - Rocha Duarte Neves, Juliana

AU - da Rocha, Maíra

AU - Biem Mori, Gisele

AU - Costa Quaresma, Adriano

AU - Oreste Demarchi, Layon

AU - Weiss Albuquerque, Bianca

AU - Oliveira Feitosa, Yuri

AU - da Silva Costa, Gilvan

AU - Vieira Feitoza, Gildo

AU - Machado Durgante, Flávia

AU - Lopes, Aline

AU - Trumbore, Susan E.

AU - Sanna Freire Silva, Thiago

AU - ter Steege, Hans

AU - Val, Adalberto Luis

AU - Junk, Wolfgang J.

AU - Piedade, Maria Teresa Fernandez

N1 - Funding Information: This study has been conducted in the framework of the Long‐Term Ecological Research Program (PELD) of the Brazilian National Council for Scientific and Technological Development (CNPq), performed since 2013 by the research group MAUA (Ecology, Monitoring and Sustainable Use of Wetlands) of the Brazilian National Institute for Amazon Research (INPA). We thank CNPq for financing the research projects: the Large‐Scale Biosphere‐Atmosphere Program in the Amazon–LBA (MCTI/CNPq/FNDCT, grant number 457893/2013‐3); the Long‐term Ecological Research Network–PELD (CNPq/CAPES/FAPS/BC, NEWTON PROGRAM FUND, grant number 441590/2016‐0; MCTI/CNPq/FAPs, grant number 403792/2012‐6); and Rede Ripária (MCTI/CNPq no. 23/2017, grant numbers 441498/2017‐5 and 441462/2017‐0). We received further support from the INCT‐ADAPTA (CNPq grant number 465540/2014‐7; FAPEAM grant number 062.1187/2017). This study was financed in part by the Coordenação de Aperfeiçoamento de Pessoal de Nível Superior – Brasil (CAPES) – Finance Code 001 and the Fundação de Amparo à Pesquisa do Estado do Amazonas (FAPEAM) (FIXAM/FAPEAM; grant number 017/2914 and PELD/FAPEAM; grant number 062.01357/2017) and by the Technical/Scientific Cooperation Agreement between INPA and the Max‐Planck‐Society. We also want to thank the State's Secretary for Environment (SEMA) and staff from the Uatumã Sustainable Development Reserve for support, as well as the bilateral project Amazon Tall Tower Observatory (ATTO) for support in transport and logistics. We are grateful for the constructive comments and criticism of the reviewers Dr Marcelo Simon and Dr Edgardo Latrubesse, the guest editor Dr Leandro Castello, and Chief Editor Prof. Philip J. Boon, which considerably improved the article. AQC Publisher Copyright: © 2021 John Wiley & Sons, Ltd. Copyright: Copyright 2021 Elsevier B.V., All rights reserved.

PY - 2021/5

Y1 - 2021/5

N2 - The Balbina hydropower dam in the Central Amazon basin, established in the Uatumã River in the 1980s, is emblematic for its socio-environmental disaster. Its environmental impacts go far beyond the reservoir and dam, however, affecting the floodplain forests (igapó) in the downstream area (dam shadow), which have been assessed using a transdisciplinary research approach, synthesized in this review. Floodplain tree species are adapted to a regular and predictable flood pulse, with high- and low-water periods occurring during the year. This was severely affected by the operation of the Balbina dam, which caused the suppression of both the aquatic phase at higher floodplain elevations and the terrestrial phase at lower floodplain elevations (termed the ‘sandwich effect’). During the period of construction and reservoir fill, large-scale mortality already occurred in the floodplains of the dam shadow as a result of reduced stream flow, in synergy with severe drought conditions induced by El Niño events, causing hydraulic failure and making floodplains vulnerable to wildfires. During the operational period of the dam, permanent flooding conditions at low topographical elevations resulted in massive tree mortality. So far, 12% of the igapó forests have died along a downstream river stretch of more than 125 km. As a result of flood suppression at the highest elevations, an encroachment of secondary tree species from upland (terra firme) forests occurred. More than 35 years after the implementation of the Balbina dam, the downstream impacts caused massive losses of macrohabitats, ecosystem services, and diversity of flood-adapted tree species, probably cascading down to the entire food web, which must be considered in conservation management. These findings are discussed critically, emphasizing the urgent need for the Brazilian environmental regulatory agencies to incorporate downstream impacts in the environmental assessments of several dam projects planned for the Amazon region.

AB - The Balbina hydropower dam in the Central Amazon basin, established in the Uatumã River in the 1980s, is emblematic for its socio-environmental disaster. Its environmental impacts go far beyond the reservoir and dam, however, affecting the floodplain forests (igapó) in the downstream area (dam shadow), which have been assessed using a transdisciplinary research approach, synthesized in this review. Floodplain tree species are adapted to a regular and predictable flood pulse, with high- and low-water periods occurring during the year. This was severely affected by the operation of the Balbina dam, which caused the suppression of both the aquatic phase at higher floodplain elevations and the terrestrial phase at lower floodplain elevations (termed the ‘sandwich effect’). During the period of construction and reservoir fill, large-scale mortality already occurred in the floodplains of the dam shadow as a result of reduced stream flow, in synergy with severe drought conditions induced by El Niño events, causing hydraulic failure and making floodplains vulnerable to wildfires. During the operational period of the dam, permanent flooding conditions at low topographical elevations resulted in massive tree mortality. So far, 12% of the igapó forests have died along a downstream river stretch of more than 125 km. As a result of flood suppression at the highest elevations, an encroachment of secondary tree species from upland (terra firme) forests occurred. More than 35 years after the implementation of the Balbina dam, the downstream impacts caused massive losses of macrohabitats, ecosystem services, and diversity of flood-adapted tree species, probably cascading down to the entire food web, which must be considered in conservation management. These findings are discussed critically, emphasizing the urgent need for the Brazilian environmental regulatory agencies to incorporate downstream impacts in the environmental assessments of several dam projects planned for the Amazon region.

KW - disturbance

KW - flood pulse

KW - hydropower dam

KW - igapó

KW - long-term ecological research (LTER)

KW - tree mortality

KW - Uatumã River

KW - wildfire

UR - https://www.scopus.com/pages/publications/85100896245

UR - https://www.scopus.com/pages/publications/85100896245#tab=citedBy

U2 - 10.1002/aqc.3526

DO - 10.1002/aqc.3526

M3 - Article

AN - SCOPUS:85100896245

SN - 1052-7613

VL - 31

SP - 1117

EP - 1135

JO - Aquatic Conservation: Marine and Freshwater Ecosystems

JF - Aquatic Conservation: Marine and Freshwater Ecosystems

IS - 5

ER -

The shadow of the Balbina dam: A synthesis of over 35 years of downstream impacts on floodplain forests in Central Amazonia

Abstract

Bibliographical note

Funding

UN SDGs

Keywords

Access to Document

Persistent URL (handle)

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