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  <front>
    <journal-meta>
<journal-id journal-id-type="publisher">BG</journal-id>
<journal-title-group>
<journal-title>Biogeosciences</journal-title>
<abbrev-journal-title abbrev-type="publisher">BG</abbrev-journal-title>
<abbrev-journal-title abbrev-type="nlm-ta">Biogeosciences</abbrev-journal-title>
</journal-title-group>
<issn pub-type="epub">1726-4189</issn>
<publisher><publisher-name>Copernicus GmbH</publisher-name>
<publisher-loc>Göttingen, Germany</publisher-loc>
</publisher>
</journal-meta>

    <article-meta>
      <article-id pub-id-type="doi">10.5194/bg-11-6435-2014</article-id><title-group><article-title>From land use to land cover: restoring the afforestation signal in a coupled
integrated assessment–earth system model and the implications for CMIP5
RCP simulations</article-title>
      </title-group><?xmltex \runningtitle{From land use to land cover}?><?xmltex \runningauthor{A. V. Di Vittorio et al.}?>
      <contrib-group>
        <contrib contrib-type="author" corresp="yes" rid="aff1">
          <name><surname>Di Vittorio</surname><given-names>A. V.</given-names></name>
          <email>avdivittorio@lbl.gov</email>
        <ext-link>https://orcid.org/0000-0002-8139-4640</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff2">
          <name><surname>Chini</surname><given-names>L. P.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-9070-3505</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Bond-Lamberty</surname><given-names>B.</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff4">
          <name><surname>Mao</surname><given-names>J.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-2050-7373</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff4">
          <name><surname>Shi</surname><given-names>X.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0001-8994-5032</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff5">
          <name><surname>Truesdale</surname><given-names>J.</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff5">
          <name><surname>Craig</surname><given-names>A.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-6955-6707</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Calvin</surname><given-names>K.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0003-2191-4189</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Jones</surname><given-names>A.</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff1">
          <name><surname>Collins</surname><given-names>W. D.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-4463-9848</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Edmonds</surname><given-names>J.</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff2">
          <name><surname>Hurtt</surname><given-names>G. C.</given-names></name>
          
        </contrib>
        <contrib contrib-type="author" corresp="no" rid="aff4">
          <name><surname>Thornton</surname><given-names>P.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0002-4759-5158</ext-link></contrib>
        <contrib contrib-type="author" corresp="no" rid="aff3">
          <name><surname>Thomson</surname><given-names>A.</given-names></name>
          
        <ext-link>https://orcid.org/0000-0001-5326-1755</ext-link></contrib>
        <aff id="aff1"><label>1</label><institution>Lawrence Berkeley National Laboratory, Berkeley, CA, USA</institution>
        </aff>
        <aff id="aff2"><label>2</label><institution>University of Maryland, College Park, MD, USA</institution>
        </aff>
        <aff id="aff3"><label>3</label><institution>Joint Global Change Research Institute, Pacific Northwest National
Laboratory, College Park, MD, USA</institution>
        </aff>
        <aff id="aff4"><label>4</label><institution>Climate Change Science Institute, Oak Ridge National Laboratory, Oak
Ridge, TN, USA</institution>
        </aff>
        <aff id="aff5"><label>5</label><institution>Independent contractor with Lawrence Berkeley National Laboratory,
Berkeley, CA, USA</institution>
        </aff>
      </contrib-group>
      <author-notes><corresp id="corr1">A. V. Di Vittorio (avdivittorio@lbl.gov)</corresp></author-notes><pub-date><day>27</day><month>November</month><year>2014</year></pub-date>
      
      <volume>11</volume>
      <issue>22</issue>
      <fpage>6435</fpage><lpage>6450</lpage>
      <history>
        <date date-type="received"><day>4</day><month>April</month><year>2014</year></date>
           <date date-type="rev-request"><day>19</day><month>May</month><year>2014</year></date>
           <date date-type="rev-recd"><day>15</day><month>October</month><year>2014</year></date>
           <date date-type="accepted"><day>17</day><month>October</month><year>2014</year></date>
           
      </history>
      <permissions>
<license license-type="open-access">
<license-p>This work is licensed under a Creative Commons Attribution 3.0 Unported License. To view a copy of this license, visit <ext-link ext-link-type="uri" xlink:href="http://creativecommons.org/licenses/by/3.0/">http://creativecommons.org/licenses/by/3.0/</ext-link></license-p>
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</permissions>

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<self-uri xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014.pdf">The full text article is available as a PDF file from https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014.pdf</self-uri>
<abstract>
    <p>Climate projections depend on scenarios of fossil fuel emissions and land use
change, and the Intergovernmental Panel on Climate Change (IPCC) AR5 parallel process assumes consistent climate
scenarios across integrated assessment and earth system models (IAMs and
ESMs). The CMIP5 (Coupled Model Intercomparison Project Phase 5) project used a novel “land use harmonization” based on
the Global Land use Model (GLM) to provide ESMs with consistent 1500–2100 land
use trajectories generated by historical data and four IAMs. A direct
coupling of the Global Change Assessment Model (GCAM), GLM, and the Community
ESM (CESM) has allowed us to characterize and partially address a major gap
in the CMIP5 land coupling design: the lack of a corresponding land cover
harmonization. For RCP4.5, CESM global afforestation is only 22 % of
GCAM's 2005 to 2100 afforestation. Likewise, only 17 % of GCAM's 2040
afforestation, and zero pasture loss, were transmitted to CESM within the
directly coupled model. This is a problem because GCAM relied on
afforestation to achieve RCP4.5 climate stabilization. GLM modifications and
sharing forest area between GCAM and GLM within the directly coupled model
did not increase CESM afforestation. Modifying the land use translator in
addition to GLM, however, enabled CESM to include 66 % of GCAM's
afforestation in 2040, and 94 % of GCAM's pasture loss as grassland and
shrubland losses. This additional afforestation <?xmltex \hack{\mbox\bgroup}?>increases<?xmltex \hack{\egroup}?> CESM vegetation
carbon gain by 19 PgC and decreases atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> gain by 8 ppmv
from 2005 to 2040, which demonstrates that CESM without additional
afforestation simulates a different RCP4.5 scenario than prescribed by GCAM.
Similar land cover inconsistencies exist in other CMIP5 model results,
primarily because land cover information is not shared between models.
Further work to harmonize land cover among models will be required to
increase fidelity between IAM scenarios and ESM simulations and realize the
full potential of scenario-based earth system simulations.</p>
  </abstract>
    </article-meta>
  </front>
<body>
      

<sec id="Ch1.S1" sec-type="intro">
  <title>Introduction</title>
      <p>Land use plays a major role in determining terrestrial–atmosphere mass and
energy exchange (Adegoke et al., 2007; Raddatz, 2007), which in turn
influences local to global climate (Brovkin et al., 2013; A. D. Jones et al.,
2013; Pitman et al., 2009). Despite much recent progress, we still have a
limited understanding of how historical land use has affected, and continues
to affect, climate (Brovkin et al., 2013; A. D. Jones et al., 2013; Pitman et
al., 2009) and carbon (Anav et al., 2013; Arora and Boer, 2010; Houghton,
2010; Houghton et al., 2012; Hurtt et al., 2006; Jain et al., 2013; Jain and
Yang, 2005; C. Jones et al., 2013; Smith and <?xmltex \hack{\mbox\bgroup}?>Rothwell<?xmltex \hack{\egroup}?>, 2013), and high
uncertainty as to how land use might evolve in the future (Hurtt et al.,
2011; van Vuuren et al., 2011a; Wise et al., 2009). Part of the uncertainty
in future land use trajectories is due to inherent unpredictability of human
actions, and part to the high diversity of potential climate mitigation and
adaptation scenarios. Several energy and land strategies have been proposed
to mitigate climate change (Rose et al., 2012; P. Smith et al., 2013), and
while these have similar overall goals, some strategies will
likely compete for land and other resources if implemented simultaneously.
For example, afforestation and bioenergy production both aim to reduce
atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> concentrations, but both activities require land area,
and both strategies would impact crop production and markets through effects
on crop area (Reilly et al., 2012).</p>
      <p>Reflecting this limited understanding of land use effects on climate and
carbon, global climate models (GCMs), and also next generation earth system
models (ESMs) that include fully coupled atmosphere–land–ocean carbon cycles,
implement a wide range of land use/cover approaches with varying degrees of
detail and limited inclusion of managed ecosystems and land use practices
(Brovkin et al., 2013; Pitman et al., 2009). The Land Use and Climate,
IDentification of robust impacts (LUCID) activity employed seven GCMs to
determine whether land use change has significant regional climate impacts
and farther-reaching teleconnections due to biophysical changes in land
surface. The results for 1972–2002 revealed significant but inconsistent
changes in temperature, precipitation, and latent heat in some areas where
land use change had occurred. The authors concluded that the model
disagreement was due mainly to differences in land use and land cover change
implementations and corresponding land cover distributions, with
contributions from methodological differences in crop phenology, albedo, and
evapotranspiration (Pitman et al., 2009). The environmental factors addressed
by LUCID are also key factors for determining carbon uptake by vegetation,
and thus it is not surprising that the Coupled Climate–Carbon Cycle Model
Intercomparison Project (C<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">4</mml:mn></mml:msup></mml:math></inline-formula>MIP) activity generated ESM projections that
range from the land being a carbon source to a large carbon sink by 2100
(Friedlingstein et al., 2006).</p>
      <p>To advance the scientific understanding of the effects of land use change on
climate, phase 5 of the Coupled Model Intercomparison Project (CMIP5) (Taylor
et al., 2012) applied a novel “land use harmonization” approach to produce
the required land use change information for all participating GCMs and ESMs.
The Global Land use Model (GLM) was used for this land use harmonization to
generate the first set of continuous, spatially gridded land use change
scenarios for the years 1500–2100 (Hurtt et al., 2011). GLM computes land
use states and transitions annually at half-degree, fractional spatial
resolution, including secondary land age, area, and biomass, and the spatial
patterns of shifting cultivation and wood harvesting (Hurtt et al., 2006).
Land use products from GLM have successfully been used as inputs to both
regional and global dynamic land models (Baidya Roy et al., 2003; Hurtt et
al., 2002; Shevliakova et al., 2009) and fully coupled ESMs (Jones et al.,
2011; Shevliakova et al., 2013). The land use harmonization process ensures a
continuous transition from the historical reconstructions to the future
projections made by integrated assessment models (IAMs).</p>
      <p>The land use harmonization methodology was designed to satisfy the demands of
a broad range of models and to provide a consistent set of land use inputs
for GCMs and ESMs. The historical period of the land use harmonization
(1500–2005) was based on version 3.1 of the Historical Database of the
Environment (HYDE; Klein Goldewijk et al., 2011) and Food and Agriculture
Organization (FAO) wood harvest data. For the future period (2005–2100), the
land use harmonization process utilized land use data from the four
representative concentration pathways (RCPs), each provided by a different
IAM. The RCP scenarios were designed to each meet a different radiative
forcing target (2.6, 4.5, 6.0, and 8.5 W m<inline-formula><mml:math display="inline"><mml:mrow><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>, and due to differences
among the IAMs these scenarios spanned a range of approaches in all sectors,
including land use, for meeting the targets (van Vuuren et al., 2011a). As a
result, forest cover change varied widely from deforestation to afforestation
across the scenarios. Once the land use data were passed through the land use
harmonization, each GCM/ESM utilized a unique subset of the harmonized
outputs, based on model capabilities, and applied it to a unique set of land
use and land cover types (e.g., Lawrence et al., 2012). Although this process
was largely successful in enabling the first spatially explicit land use
driven climate change experiments, it introduced considerable uncertainty
into the climate response for a given RCP in part because of model-specific
translation requirements between harmonized land use outputs and GCM/ESM
simulated land cover. This uncertainty due to inconsistent land cover
distributions among models precluded robust intercomparison of
land–atmosphere processes (e.g., carbon uptake, evapotranspiration) because
differences among models were dominated by the differences among simulated
land cover distributions (Brovkin et al., 2013). As land use and land cover
are interdependent, a more detailed specification of the relationship between
land use and land cover may reduce uncertainty in earth system simulations
such that experiments can focus on land–atmosphere process uncertainty rather
than be confounded by inconsistent land use/cover distributions.</p>
      <p>Recent analyses of CMIP5 results using prescribed CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> concentrations
have also shown the land ranging from a carbon source to a sink in 2100 for
a given scenario (Brovkin et al., 2013; C. Jones et al., 2013). The LUCID
activity was repeated for five CMIP5 ESMs and the results demonstrated that
large inter-model spreads of key regional land surface variables
(temperature, precipitation, albedo, latent heat, and available energy) were
still due mainly to differences in land use and land cover change
implementations and corresponding land cover distributions. Inter-model
spreads of CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> emissions, however, were attributed mainly to differences
in land carbon cycle process parameterizations. As a result, different land
cover distributions among the models gave significantly different regional
changes in climate associated with land use change, but with insignificant
effects on global mean temperature. Furthermore, the range of net cumulative
land use change emissions from 2006 to 2100 for RCP8.5 was 34 to 205 PgC,
with the high estimate likely due to the combination of relatively high
levels of land carbon and the inclusion of all land use transitions rather
than just net land use change (Brovkin et al., 2013). Additionally, not all
of the models used the GLM wood harvest data, further contributing to the
spread of model results. For comparison, estimates of net cumulative carbon
emissions during 1700–2000 (1850–2000) range from 138 to 250 PgC
(110 to 210 PgC) (Table 3 in Smith and Rothwell, 2013). The differences in
land use and land cover implementations are also a main factor in the large
spread of 21st century land carbon uptake and of compatible fossil fuel
emissions allowable for a given RCP. In fact, the inter-model spreads in land
carbon uptake for individual scenarios are greater than the inter-scenario
spreads for individual models (C. Jones et al., 2013). It is apparent that
further work is needed to resolve inconsistencies among land use and land
cover approaches to reduce climate uncertainty, especially for regional
impact assessment.</p>
      <p>Additional sources of climate uncertainty related to land use are the RCP
radiative forcing targets, which include only emissions of greenhouse gases
(GHGs) and some aerosols and reactive gases (van Vuuren et al., 2011a). These
targets do not include radiative forcing from albedo change or other direct
climate effects associated with land use change. In a recent modeling
experiment, two different carbon tax policies with dramatically different
land use scenarios met the same radiative forcing target (4.5 W m<inline-formula><mml:math display="inline"><mml:mrow><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula>
in the IAM used for RCP4.5 but had significantly different radiative forcing
in an ESM (difference of 1 W m<inline-formula><mml:math display="inline"><mml:mrow><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> due to albedo differences between
the land use scenarios (A. D. Jones et al., 2013). Likewise, the shared
socioeconomic pathways (SSPs) for mitigation, adaptation, and impact studies
in the Intergovernmental Panel on Climate Change (IPCC) fifth Assessment
Report (AR5) are likely to produce different land use scenarios that meet the
same RCP target, but have different radiative forcing in the ESMs due to the
direct effects of land use and land cover change on climate. However, one of
the goals of the RCP process was to provide a set of radiative forcing
targets for ESMs that remains consistent with respect to the diversity of
SSPs associated with each RCP target (Moss, et al., 2010). As a result of the
wide range of land use and land cover related uncertainties in climate
projections, an increased emphasis on land use and land cover dynamics is a
high priority for CMIP6 (Meehl et al., 2014).</p>
      <p>A more consistent and complete land use and land cover coupling between IAMs
and ESMs will facilitate more accurate projections of global change scenarios
and more <?xmltex \hack{\mbox\bgroup}?>robust<?xmltex \hack{\egroup}?> multi-model intercomparisons of climate and carbon cycle
interactions with anthropogenic drivers such as fossil fuel emissions and
land use change. These expected outcomes are in line with a primary goal of a
scenario-based approach, such as the RCPs, which is “to better understand
uncertainties in order to reach decisions that are robust under a wide range
of possible futures” (Moss et al., 2010; p. 747). The RCPs were designed to
better understand uncertainties in global climate projections by providing
distinct scenarios of atmospheric radiative forcing and land use change.
Intra-scenario comparison of ESM simulations offers insights to uncertainties
in ESM processes, while inter-scenario comparison of ESM simulations offers
insights to uncertainties due to a range of possible futures. However, the
efficacy of this approach depends on the fidelity of the ESM simulations to
the RCP scenarios. Without this fidelity, intra-scenario comparison is not
possible, because the ESMs are not simulating the same scenario, and
inter-scenario comparison might include futures outside the prescribed range
of possibility.</p>
      <p>The IAMs projected a complete terrestrial surface (along with ice, rock, and
urban) for each given scenario because land use and land cover are
interdependent. For example, carbon stocks in various ecosystems might be
valued under a carbon price policy, so land cover would need to be determined
along with land use. Or a land policy might restrict certain land cover
conversions. Within the CMIP5 coupling process, however, GCMs and ESMs
determine their own land cover while remaining consistent with the land use
harmonization data, thus potentially reducing the fidelity of the full
climate simulations to the RCP scenarios. This was a practical design that
obviated the redesign of GCM/ESM land use and land cover implementations, but
also precluded analysis of the climate impacts of different land cover
responses to land use change because such analysis is robust only within a
single model where everything but land cover response remains consistent.
Another challenge posed by the interdependence of land use and land cover is
the implementation of geographic shifts in land cover due to bioclimatic
changes. While these shifts are often implemented within ESMs, such shifts
are a second-order effect that is superposed upon land use change and might
be better implemented as a feedback from ESMs to IAMs to inform land use and
land cover projection. Incorporating both land use and land cover into the
coupling between IAMs and ESMs is a fundamental step toward realizing the
full potential of the scenario-based RCP process.</p>
      <p>Our approach to addressing inconsistencies between IAMs and ESMs is to
integrate an IAM and an ESM into the first fully coupled model that directly
simulates human–environment feedbacks. The resulting integrated ESM (iESM)
includes climate feedbacks on vegetation productivity and ecosystem carbon
from the Community ESM (CESM) to the Global Change Assessment Model (GCAM) to
facilitate land use projection at 5-year intervals. The iESM uses GLM as
in the CMIP5 land use harmonization, along with the CESM Land Use Translator
(LUT) that converts land use harmonization outputs to CESM land cover and
wood harvest area. Our initial iESM simulations showed that time varying
factors based on CESM simulated net primary production (NPP) and
heterotrophic respiration (HR) were successfully used by GCAM for land use
projection. However, these simulations also demonstrated that the large
RCP4.5 afforestation signal was not being passed through from GCAM to CESM.
GCAM simulated afforestation as a carbon-sequestering strategy to help meet
the RCP4.5 target, but this additional forest area was not included in the
land use harmonization. As a result, most of this forest area was not
included in CESM simulations, both for CMIP5 and in an early version of iESM.</p>
      <p>Here we test the feasibility of restoring the lost afforestation signal by
using the iESM as a test bed to explore alternative coupling strategies. We
focus on modifications to the CESM LUT because initial modifications to GLM
did not restore CESM afforestation. One advantage of focusing on a post-land
use harmonization approach is that it could be applied to other ESMs
independently without changing the land use harmonization product. Section 2
includes model description and experimental design, Sect. 3 presents results
and demonstrates that this problem exists in CMIP5, and Sect. 4 discusses the
limitations of our current approach and the implications for the CMIP5
archive with respect to land use and climate. We conclude with suggestions
for improving IAM to ESM land coupling for future model intercomparisons.</p>
</sec>
<sec id="Ch1.S2">
  <title>Methods</title>
<sec id="Ch1.S2.SS1">
  <title>iESM description</title>
      <p>The iESM integrates GCAM, GLM, and CESM to evaluate the effects of
human–environment feedbacks on the earth system (Fig. 1). We have completed
the first coupling stage that allows GCAM to project land use distribution in
5-year increments based on the previous 5 years of CESM vegetation
productivity. Here we give an overview of how the three main components
interact. A more detailed description of iESM development will be presented
in a forthcoming paper (Collins et al., 2014).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F1"><caption><p>Implementation of iESM terrestrial
feedbacks. The light blue arrows show information flow from GCAM to CESM. The
light green arrows show information flow from CESM to GCAM. The dashed gray
outline, including the arrow crossed out by green, represents the CMIP5 land
coupling. The solid green outline, minus the arrow crossed out by green,
depicts the iESM implementation used in this study.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f01.pdf"/>

        </fig>

      <p>GCAM v3.0 (Calvin et al., 2011; henceforth referred to as GCAM) is a tightly
coupled IAM of human and biogeophysical processes associated with climate
change. GCAM's human system components simulate global economic activity
within energy, agriculture, and forest product markets with respect to 14
geopolitical regions. A previous version of GCAM projected land use and land
cover distributions for each of the 14 geopolitical regions (Wise et al.,
2009) and was used to generate the CMIP5 RCP4.5 scenario (Thomson et al.,
2011). Currently, GCAM incorporates a range of improvements to the
Agriculture and Land Use (AgLU) module, including the capacity to operate on
151 geographical land units to generate a more detailed and accurate spatial
distribution of land use. There are three land cover types that remain
constant over time (urban, tundra, and rock/ice/desert) and 24 land use and
land cover types available for redistribution, including 12 food and feed
crops, five bioenergy crops, and seven managed and unmanaged ecosystems (Kyle
et al., 2011; Wise and Calvin, 2011). The “geographical land units” are
defined by intersecting 18 global agro-ecological zones (Lee et al., 2005)
with the 14 geopolitical regions. In the iESM, GCAM projects land use and
land cover distributions within each of these land units at 5-year
intervals. These distributions are based on profit shares calculated from
agricultural costs, prices, yields, and the application of a carbon price to
vegetation and soil carbon densities.</p>
      <p>In a second and intermediate step, GLM uses GCAM's cropland, pasture, and
forest areas (and wood carbon harvest) to compute all annual, fractional land
use states and transitions. As part of this process it disaggregates GCAM's
geographical land unit data to a half-degree global grid by computing spatial
patterns and also ensures consistency with the historical land use
reconstructions (Hurtt et al., 2011, 2006). GLM has been slightly modified
from its CMIP5 implementation to better facilitate forest area change
matching with GCAM (Sect. 2.3.2). This modification enables GLM to use forest
area output from GCAM that was not incorporated into the CMIP5 land use
harmonization. Nonetheless, iESM still follows the CMIP5 implementation for
CESM in using these GLM land use harmonization outputs: cropland, pasture,
primary, and secondary land area, as well as wood harvest areas on primary
and secondary forested and non-forested land.</p>
      <p>CESM (Bitz et al., 2011; Gent et al., 2011) has fully coupled atmosphere,
ocean, land, and sea ice components. Within CESM, the Community Land Model
v4.0 (CLM; Lawrence et al., 2011) receives the selected GLM outputs via a
translator that converts these outputs to 16 CLM plant <?xmltex \hack{\mbox\bgroup}?>functional<?xmltex \hack{\egroup}?> types
(PFTs; eight forest, three grass, three shrub, one bare soil, and one crop)
(Lawrence et al., 2012). The CLM dynamic vegetation module, which estimates
bioclimate-driven geographical shifts in CLM PFTs, cannot run at the same
time as the land use change module presented here; only one of these modules
can change CLM PFT areas per simulation. While the iESM does not directly
estimate bioclimatic shifts in land cover, the NPP and HR feedbacks to GCAM
do incorporate bioclimatic effects on ecosystems into GCAM's land use and land cover
projections. The version of iESM used in this study was based on CESM
v1.0beta9, which is a pre-release version of the model used for the CMIP5
simulations.</p>
      <p>The iESM climate feedbacks on vegetation and carbon were implemented by
passing annual climate scaling factors from CESM to GCAM based on NPP and HR.
These factors were used to scale GCAM crop yields and vegetation and soil
carbon densities every 5 years. To calculate the scaling factors, the
per-pixel, PFT-specific CESM 5-year annual average NPP and HR values for a
given GCAM time step were divided by base-period average annual values
(1990–2004). These NPP and HR ratios were then filtered to exclude outliers
based on a median absolute deviation method, and finally aggregated to GCAM's
geographical land units and land use and land cover types (for details see
Bond-Lamberty et al., 2014). Crop yields and vegetation carbon densities
for GCAM's next land use projection were scaled by the NPP ratio, while soil
carbon densities were scaled by a combination of the NPP and HR ratios
((NPP<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mi mathvariant="normal">ratio</mml:mi></mml:msub></mml:math></inline-formula> <inline-formula><mml:math display="inline"><mml:mo>+</mml:mo></mml:math></inline-formula> (1 <inline-formula><mml:math display="inline"><mml:mo>-</mml:mo></mml:math></inline-formula> (HR<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mi mathvariant="normal">ratio</mml:mi></mml:msub></mml:math></inline-formula> <inline-formula><mml:math display="inline"><mml:mo>-</mml:mo></mml:math></inline-formula> 1))) <inline-formula><mml:math display="inline"><mml:mo>/</mml:mo></mml:math></inline-formula> 2).</p>
</sec>
<sec id="Ch1.S2.SS2">
  <title>Simulations</title>
      <p>Our iESM simulations cover 2005 to 2040 with fully coupled CESM components
and prescribed RCP4.5 emissions and carbon price path. These simulations use
the land use change module, a dynamic ocean (R. Smith et al., 2013),
Community Atmosphere Model v4 physics (Gent et al., 2011), carbon–nitrogen
biogeochemistry (Thornton et al., 2007), and active land–atmosphere–ocean
carbon dynamics, at approximately 1<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> resolution
(0.9375<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula> <inline-formula><mml:math display="inline"><mml:mo>×</mml:mo></mml:math></inline-formula> 1.25<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mo>∘</mml:mo></mml:msup></mml:math></inline-formula>). The iESM initial conditions are the
culmination of a CESM spinup run followed by a CESM 1850–20005 transient
historical run with land use change. GCAM initial conditions are calibrated
to 2005 wood harvest, land use area, and energy and agriculture costs and
production, as reported by individual countries and processed and archived by
international organizations (e.g., FAO, International Energy Agency). The GCAM
RCP4.5 scenario was described fully by Thomson et al. (2011).</p>

<?xmltex \floatpos{t}?><table-wrap id="Ch1.T1"><caption><p>Two iESM simulations performed for
this study.</p></caption><oasis:table frame="topbot"><oasis:tgroup cols="3">
     <oasis:colspec colnum="1" colname="col1" align="left"/>
     <oasis:colspec colnum="2" colname="col2" align="center"/>
     <oasis:colspec colnum="3" colname="col3" align="center"/>
     <oasis:thead>
       <oasis:row rowsep="1">  
         <oasis:entry colname="col1"/>  
         <oasis:entry colname="col2">OLDLUT</oasis:entry>  
         <oasis:entry colname="col3">NEWLUT</oasis:entry>
       </oasis:row>
     </oasis:thead>
     <oasis:tbody>
       <oasis:row>  
         <oasis:entry colname="col1">Modified LUT</oasis:entry>  
         <oasis:entry colname="col2">N</oasis:entry>  
         <oasis:entry colname="col3">Y</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Vegetation productivity feedbacks</oasis:entry>  
         <oasis:entry colname="col2">Y</oasis:entry>  
         <oasis:entry colname="col3">Y</oasis:entry>
       </oasis:row>
       <oasis:row>  
         <oasis:entry colname="col1">Updated GLM</oasis:entry>  
         <oasis:entry colname="col2">Y</oasis:entry>  
         <oasis:entry colname="col3">Y</oasis:entry>
       </oasis:row>
     </oasis:tbody>
   </oasis:tgroup></oasis:table></table-wrap>

      <p>We performed two fully integrated simulations to compare two iESM cases:
(1) original CESM LUT (OLDLUT) and (2) modified CESM LUT (NEWLUT) (Table 1). In fact, OLDLUT was our initial fully
integrated simulation with iESM and, as reported below, it revealed
inconsistencies within iESM that needed to be addressed prior to
<?xmltex \hack{\mbox\bgroup}?>scientific<?xmltex \hack{\egroup}?>
experimentation. OLDLUT also showed that the updated GLM did not increase
CESM afforestation with respect to a previous simulation performed by
manually passing data between the respective iESM models. The NEWLUT case was
used to test our hypothesis that the lost afforestation signal could be
recovered by modifying only the CESM component of iESM. These fully
integrated runs included climate feedbacks on vegetation productivity and
ecosystem carbon in GCAM's land use projections, which occurred at 5-year
intervals. Analysis of the effects of introducing these feedbacks on land
use, carbon, and climate will be presented in a forthcoming paper.</p>
</sec>
<sec id="Ch1.S2.SS3">
  <title>Land use coupling</title>
<sec id="Ch1.S2.SS3.SSS1">
  <title>OLDLUT land use coupling within iESM</title>
      <p>The OLDLUT iESM land use coupling followed the CMIP5 land use harmonization
algorithm (Fig. 2), but with a slightly modified version of GLM (see
Sect. 2.3.2). The coupling was designed to match GCAM and CESM changes in
absolute cropland and pasture area. For CMIP5, GLM received only crop and
pasture areas from GCAM, but for the iESM GLM also receives forest area from
GCAM to better facilitate forest area change matching (see Sect. 2.3.2). GLM
also receives wood products demand from GCAM (in tons of carbon), which is
spatially distributed to determine the extent of harvested area in each of
five wood harvest types (primary forest harvest, primary non-forest harvest,
secondary mature forest harvest, secondary immature forest harvest, and
secondary non-forest harvest). The OLDLUT (Fig. 3) uses only the cropland and
pasture area outputs from GLM to update CESM PFT areas in conjunction with
maps of potential vegetation (the vegetation most likely to be present if no
land use change had occurred; Ramankutty and Foley, 1999). Non-crop PFT area
reductions are made in proportion to their respective existing grid-cell
fractions, while additions are made in proportion to their respective
potential vegetation grid cell fractions. The OLDLUT does not use the primary
and secondary land area information for updating PFT areas because CESM does
not keep track of these land use designations. The OLDLUT does, however, use
the primary and secondary land area to calculate the harvested fraction of
GLM harvestable area (sum of the five wood harvest type areas divided by the
total area of primary and secondary land). Wood is harvested from only forest
in CESM, and so the GLM harvested fraction is applied to forest area to
determine the harvested area in CESM (Lawrence et al., 2012).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F2"><caption><p>General iESM land use coupling
algorithm. Forest area is not passed from   GCAM to   GLM in the CMIP5 land use coupling, but
it is passed in the iESM simulations used in this study. AEZ, agro-ecological zone.</p></caption>
            <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f02.pdf"/>

          </fig>

      <p>The OLDLUT makes specific assumptions about pasture area change because CESM
does not keep track of pasture area (Fig. 3). Changes in GLM cropland result
directly in CESM changes in crop PFT area, but changes in pasture area are
constrained by forest PFT area and reflected in changes in grass and shrub
PFT area. More specifically, pasture addition is limited to replacement of
existing forest PFT area with grass PFT area, and pasture removal is limited
to the replacement of grass and shrub PFT area by potential forest PFT area.
This means that grass and shrub PFT area changes associated with pasture area
change can be only as large as the available existing or potential forest
area.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F3"><caption><p>OLDLUT algorithm for dynamic PFT coverage. When cropland and pasture decrease, non-crop
PFTs are added in proportion to potential vegetation fractions. When cropland
and pasture increase, non-crop PFTs are removed in proportion to reference
year fractions.</p></caption>
            <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f03.pdf"/>

          </fig>

<?xmltex \hack{\newpage}?>
</sec>
<sec id="Ch1.S2.SS3.SSS2">
  <?xmltex \opttitle{Modifying the GLM spatial distribution\hack{\\} algorithm}?><title>Modifying the GLM spatial distribution<?xmltex \hack{\newline}?> algorithm</title>
      <p>For the iESM, GLM was modified to better facilitate forest area change
matching with GCAM in an effort to increase the forest area simulated by
CESM. These modifications included operating on GCAM's 151 geographical land
units (rather than the 14 regions used for CMIP5) in addition to using GCAM's
forest area output, which was not previously shared between the models. For
CMIP5, GLM applied the cropland and pasture area changes to the 2005
half-degree map of cropland and pasture while preserving the total cropland
and pasture area changes within GCAM regions. Spatial allocation of cropland
and pasture areas to the half-degree grids was done with a preference for
expanding agricultural area onto non-forested land and reducing agricultural
area where GLM would expect a forest to grow, while also preserving 2005
spatial patterns of land use by allocating new cropland and pasture near existing agricultural areas (Hurtt et al., 2011).</p>
      <p>The new GLM algorithm uses GCAM forest area from each geographical land unit
at each time step and attempts to preserve the forest area changes within
each geographical land unit in addition to preserving the cropland and
pasture area changes. GLM has previously defined “forest” as natural
vegetation that is growing on land where the potential biomass density, based
on an internal potential vegetation growth model, is greater than
2 kg C m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula>. Using this definition, the potential forestland within GLM
is fixed and, as a result, the GLM algorithm cannot grow forest outside of
this forestland. In the new algorithm, GLM matches GCAM forest area changes
by moving cropland and pasture around within each geographical land unit to
“expose” enough potential forestland for regrowth to meet the GCAM forest
area changes (see the following steps a–c). In addition, to meet GCAM's land
requirements for afforestation, GLM uses a different definition of “forest”
(potential biomass density greater than 1 kg C m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula>, rather than
2 kg C m<inline-formula><mml:math display="inline"><mml:mrow><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup><mml:mo>)</mml:mo></mml:mrow></mml:math></inline-formula> than the definition used elsewhere in the GLM code (e.g.,
for computing the spatial pattern of wood harvesting). The new GLM algorithm
operates in three main steps:
<list list-type="custom"><list-item><label>a.</label>
      <p>Decreases in cropland and pasture occur first on the highest potential
biomass land and increases in cropland and pasture occur first on the lowest
potential biomass land.</p></list-item><list-item><label>b.</label>
      <p>If the forest area change within a geographical land unit is not met, a
redistribution of cropland and pasture within that geographical land unit
occurs such that, when possible, existing cropland and pasture is moved from
high biomass density land to low biomass density land.</p></list-item><list-item><label>c.</label>
      <p>If the forest area change within a geographical land unit is still not
met, the algorithm attempts to allocate any “unmet” forest area change
within another land unit (or across multiple land units) within the same
region, using a similar method to (b) above.</p></list-item></list></p>
</sec>
<sec id="Ch1.S2.SS3.SSS3">
  <?xmltex \opttitle{Modifying the CESM land use translation\hack{\\} algorithm}?><title>Modifying the CESM land use translation<?xmltex \hack{\newline}?> algorithm</title>
      <p>To test our hypothesis that the lost afforestation signal could be recovered
solely by the ESM component, we focused on modifying the LUT (NEWLUT; Fig. 4)
to capture GCAM afforestation via changes in agricultural land. This approach
is more expedient than redesigning the coupling code and LUT to receive
forest area changes directly from GLM because such redesign would logically
require implementation of a single, consistent land surface and carbon cycle
among all iESM components. Specifically, the NEWLUT adds tree PFTs when
cropland and pasture are removed. Furthermore, the NEWLUT preferentially
removes tree PFTs when cropland and pasture are added. Forest area
information is still not shared between GLM and the NEWLUT (other than forest
harvest). The NEWLUT also includes proper grid cell fraction matching between
GLM and CESM, which primarily affects crop, grass, and shrub PFTs.</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F4"><caption><p>NEWLUT algorithm for dynamic PFT coverage. When cropland and pasture decrease, tree PFTs
are added in proportion to potential vegetation fractions. When cropland and
pasture increase, tree PFTs are removed first, then other non-crop PFTs, in
proportion to reference year fractions.</p></caption>
            <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f04.pdf"/>

          </fig>

</sec>
<sec id="Ch1.S2.SS3.SSS4">
  <?xmltex \opttitle{CMIP5 RCP4.5 land use and land cover\hack{\\} distributions among GCAM,
GLM, and CESM}?><title>CMIP5 RCP4.5 land use and land cover<?xmltex \hack{\newline}?> distributions among GCAM,
GLM, and CESM</title>
      <p>The OLDLUT iESM land use coupling was also used in CMIP5, albeit with
14 regions rather than 151 geographical land units and without the GLM
modifications and climate feedbacks described above, and so we explored the
extent to which the afforestation signal was lost in the CMIP5 simulations.
We compared the RCP4.5 pre-land use harmonization forest and pasture area
outputs from GCAM with the GLM land use harmonization values and also with
the corresponding PFT area inputs for the CESM1.0-BGC simulations submitted
to the CMIP5 archive. CESM1.0-BGC served as the base code for iESM and thus
contains the same versions of the model components.</p>
</sec>
</sec>
</sec>
<sec id="Ch1.S3">
  <title>Results</title>
<sec id="Ch1.S3.SS1">
  <?xmltex \opttitle{CMIP5 RCP4.5 land use and land cover\hack{\\} area inconsistencies}?><title>CMIP5 RCP4.5 land use and land cover<?xmltex \hack{\newline}?> area inconsistencies</title>
      <p>The GCAM afforestation signal was dramatically decreased in the CESM
simulations, and the total area covered by CESM herbaceous (grass and shrub)
PFTs increased while GCAM pasture decreased (Fig. 5). CESM forest area
increased by 23 % of the 4.82 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of afforestation between
2005 and 2020, and by 22 % of the 10.98 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of
afforestation by 2100. GLM captured 64 and 56 % of the afforestation in
2020 and 2100, respectively. GCAM and GLM pasture decreased by
4.69 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> from 2005 to 2100 while CESM herbaceous PFTs increased
by 1.11 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> over the same period. The changes in global
cropland area were faithfully transmitted (CESM decreases were only 7 %
less than GCAM decreases), but absolute CESM cropland area was approximately
1.5 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> less than GCAM cropland area throughout the simulation
(data not shown). Changes in GLM pasture and cropland areas were essentially
identical to GCAM changes, and GLM absolute area values were slightly higher
and lower, respectively, than GCAM pasture and cropland areas (cropland data
not shown).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F5"><caption><p>Projected global forest, pasture, grass, and shrub areas for the
CMIP5  RCP4.5  scenario, in
million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula>.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f05.pdf"/>

        </fig>

<?xmltex \hack{\newpage}?>
</sec>
<sec id="Ch1.S3.SS2">
  <title>Restored afforestation in iESM</title>
      <p>The OLDLUT simulation revealed that only changes in crop area were being
faithfully transmitted from GCAM to CESM (Fig. 6; changes in global area). In
contrast, CESM forest area increased by only 17 % of GCAM's
5.40 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of afforestation between 2015 and 2020, and by only
17 % of the 7.73 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of afforestation between 2015 and
2040. Changes in GLM forest area, on the other hand, reflected changes in
GCAM forest area quite well (Fig. 6), but at the cost of dramatically
overestimating absolute forest area within GLM due to a low biomass threshold
for defining forest (Fig. 7; absolute values of global area). Within GLM, the
new algorithm captured 93 % of afforestation between 2015 and 2020 and
84 % between 2015 and 2040, as compared to the original GLM algorithm
that captured only 14 and 20 % over the respective periods in a previous
simulation performed by manually passing data between the respective iESM
models (data not shown). Changes in GCAM pasture were not reflected by
changes in CESM herbaceous PFTs, but were faithfully output by GLM (Fig. 6).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F6"><caption><p>iESM land use and forest area
changes with respect to 2015. The GLM-NEWLUT forest and pasture data are
nearly identical to the GLM-OLDLUT data and are not shown for clarity.
Similarly, the GLM-NEWLUT cropland data are nearly identical to the
GCAM-NEWLUT data.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f06.pdf"/>

        </fig>

      <p>The NEWLUT simulation shows improved forest and cropland area changes in CESM
with a corresponding change in CESM herbaceous PFT area. The main improvement
is that CESM forest area increases by 64 % of GCAM's 2015–2020
afforestation and by 66 % of the 7.71 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of afforestation
from 2015 to 2040 (Fig. 6). This additional forest area in NEWLUT reduces total
area covered by CESM herbaceous PFTs by 94 % of the
4.36 million km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula> of GCAM pasture loss by 2040. Figure 8 shows the
spatial tradeoff between forest and herbaceous PFTs that achieves this level
of afforestation, and Fig. 9 demonstrates a sustained increase in average
annual land carbon uptake after 2020 due to additional afforestation. In
comparison to OLDLUT, the NEWLUT increase in land carbon uptake results in a
19 PgC increase in vegetation carbon gain and an 8 ppmv decrease in
atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> gain between 2005 to 2040 (Fig. 10). NEWLUT also
improves the CESM absolute cropland area (Fig. 7) through proper matching of
GLM and CESM grid cell fractions. The effect of this proper matching is
apparent in the cropland and pasture area changes from 2005 to 2006 (Figs. 6
and 7). GLM NEWLUT outputs follow the GCAM NEWLUT outputs with relationships
between GLM and GCAM similar to those for OLDLUT (data not shown).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F7"><caption><p>iESM land use and forest area. The
GLM-NEWLUT forest and pasture data are nearly identical to the GLM-OLDLUT
data and are not shown for clarity. Similarly, the GLM-NEWLUT cropland data
track the GCAM-NEWLUT data, but with the same offset as for the GLM-OLDLUT
data.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f07.pdf"/>

        </fig>

      <?xmltex \floatpos{t}?><fig id="Ch1.F8"><caption><p>Spatial distributions of iESM increased forest PFTs, decreased grass and shrub PFTs, and potential forest PFTs, as
percentages of land area within each grid cell. <bold>(a)</bold> Difference in
2040 forest PFT area (NEWLUT–OLDLUT). <bold>(b)</bold> Difference in 2040 grass
plus shrub PFT area (NEWLUT–OLDLUT). <bold>(c)</bold> Potential forest PFT
area.</p></caption>
          <?xmltex \igopts{width=236.157874pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f08.jpg"/>

        </fig>

</sec>
</sec>
<sec id="Ch1.S4">
  <title>Discussion</title>
      <p>The iESM and CMIP5 land cover area discrepancies (Figs. 5–7) result from a
gap in the original CMIP5 land coupling design that allows inconsistent
forest area and land cover type definitions across models (Fig. 2), along
with different underlying carbon cycles. The land use harmonization was,
however, ambitious and largely successful in developing consistent land use
definitions and data without requiring extensive redevelopment of land use
and land cover components of all participant models (Hurtt et al., 2011). As
our study attests, such redevelopment is challenging and model-specific, but
might be required for ESMs to adequately simulate the IAM-prescribed
anthropogenic drivers and their corresponding effects on carbon and climate.
Thus, while this is a specific case, the lost iESM afforestation signal is
instructive of the shortcomings of the CMIP5 design and the restoration of
this signal offers insights into improving land use and land cover coupling
for model intercomparisons.</p>
      <p>A primary challenge for improving the CMIP5 land coupling is to increase the
amount of specific land cover information being shared between IAM (and
historical) scenarios and ESMs. For CMIP5, the land use harmonization was
designed to harmonize land use data between models, and as such GLM did not
receive forest area or any other land cover information from any of the IAMs
(Masui et al., 2011; Riahi et al., 2011; Thomson et al., 2011; van Vuuren et
al., 2011b). Thus, at the first coupling step, scenario-prescribed land cover
associated with any IAM policy that valued <?xmltex \hack{\mbox\bgroup}?>carbon<?xmltex \hack{\egroup}?> within unmanaged ecosystems
(e.g., grassland, wetland, forest) was lost. While GLM does, however, keep
track internally of forested and non-forested land (according to its own
definition of forest, which likely differs from those within IAMs and ESMs),
the output land use harmonization product includes only cropland, pasture,
primary, and secondary land areas and transitions, and the age and biomass
density of secondary land (and harvest areas, carbon amounts, and
transitions, which we do not address here). As each ESM characterizes the
land surface by its own suite of vegetation and management types (Brovkin et
al., 2013), additional land use and land cover information could be lost in
the second coupling step between GLM and the ESMs. For example, some ESMs
were able to use the primary, secondary, and transition information, but they
might have been applying this information to different land covers than those
used by GLM, thus introducing a second shift away from the original IAM
scenario. Our specific case demonstrates an even greater inconsistency due to
the use of only cropland and pasture information. GCAM has 17 crop types (the
CMIP5 version had 10) and seven managed and unmanaged land cover types while
CESM has 16 PFTs, only one of which is a crop type. The LUT algorithm uses
only the GLM cropland and pasture area information to adjust PFTs because CLM
does not keep track of primary versus secondary land. The resulting spatial
pattern of non-crop PFTs is determined by the existing PFT distribution and
CESM's internal representation of potential vegetation cover (Lawrence et
al., 2012; Ramankutty and Foley, 1999). An additional source of error that we
did not investigate here is the relationship between individual PFTs and land
cover types that may comprise several PFTs (e.g., forest land may consist of
60 % trees and 40 % grass).</p>

      <?xmltex \floatpos{t}?><fig id="Ch1.F9"><caption><p>Net ecosystem exchange (NEE) comparison between iESM simulations.
<bold>(a)</bold> NEE for each simulation. <bold>(b)</bold> NEE difference (NEWLUT
minus OLDLUT). These data show more land carbon uptake (negative NEE),
associated with the additional trees, for the NEWLUT simulation during the
afforestation period (2015 forward).</p></caption>
        <?xmltex \igopts{width=219.08622pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f09.pdf"/>

      </fig>

      <?xmltex \floatpos{t}?><fig id="Ch1.F10" specific-use="star"><caption><p>Comparison between iESM simulations of
<bold>(a</bold>–<bold>b)</bold> vegetation carbon and
<bold>(c</bold>–<bold>d)</bold> atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> concentration. Differences are
NEWLUT minus OLDLUT. Due to additional forest area, the NEWLUT simulation
significantly increases vegetation carbon gain and decreases atmospheric
CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> gain over the OLDLUT simulation.</p></caption>
        <?xmltex \igopts{width=332.897244pt}?><graphic xlink:href="https://www.biogeosciences.net/11/6435/2014/bg-11-6435-2014-f10.pdf"/>

      </fig>

      <p>Due to the lack of a prescribed land cover input associated with the land use
input, forest area changes in CESM (and iESM) are effectively residual
changes that are only indirectly linked to GCAM forest area through changes
in cropland and pasture areas. The LUT calculates cropland area changes first
and pasture area changes second (Figs. 3 and 4). In CMIP5 CESM simulations,
cropland area changes cause non-crop PFTs to be added or removed in
proportion to their potential or existing grid-cell fractions, respectively.
Pasture is more complicated because it is not tracked as such: pasture is not
a single PFT and its changes are represented as changes in herbaceous and
tree PFTs. Specifically, tree PFTs are removed when pasture is added, and
non-crop PFTs are added in proportion to their potential vegetation grid-cell
fractions when pasture is removed (Lawrence et al., 2012). This residual PFT
determination, combined with independent and unique forest definitions across
GCAM, GLM, and CESM, causes the bulk of prescribed afforestation to not
appear in the CESM land surface. As a direct consequence, CESM grass area
(and shrub area to a lesser extent) increases while GCAM pasture decreases
dramatically (Fig. 5). CESM has this same limitation for all four RCP
scenarios, and the other CMIP5 ESMs implement similar <?xmltex \hack{\mbox\bgroup}?>inconsistencies<?xmltex \hack{\egroup}?> to
varying degrees due to the lack of specific vegetation types in the land
coupling between IAMs and ESMs. For example, Davies-Barnard et al. (2014)
recently reported that the HadGEM2-ES RCP4.5 forest area increased 11 %
from 2005 to 2100, while the GCAM forest area increased by 24 %.
Additionally, the GCAM 2005 forest area was 41.1 M km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula>, the GLM 2005
forest area was 39.9 km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula>, but the MPI-ESM 2005 forest area was about
24 M km<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msup></mml:math></inline-formula>. As a result, the 35 % increase in MPI-ESM RCP4.5 forest
area by 2100 (Wilkenskjeld et al., 2014) was still only 77 % of GCAM's
afforestation. It is apparent from these inconsistencies that interdependent
land use and land cover need to be faithfully transmitted from IAMs to ESMs
to robustly simulate the effects of prescribed scenarios on the earth system.</p>
      <p>Even partial restoration of the lost afforestation signal in iESM
demonstrates the potentially dramatic effect on global carbon and climate of
using IAM land cover and land use information in ESMs. As soon as 25 years
after the initial increase in forest area, and with only 66 % of GCAM's
afforestation area, the NEWLUT has a significant impact on global carbon
balance (Fig. 9). The assumption that forest exclusively replaces abandoned
cropland and pasture in GCAM's land use projection (Figs. 6–8) sets the
upper limit for CESM because there is no other information to constrain
forest area, and may be applicable only to the RCP4.5 scenario. Although this
limits NEWLUT to including only two-thirds of the total afforestation, adding
more forest area to CESM would be arbitrary without additional land cover
information. Nonetheless, the increased afforestation in NEWLUT results in an
increase in net land carbon uptake over the OLDLUT case due to a sustained
increase in average annual land carbon uptake after 2020 (Fig. 9). As a
result, the NEWLUT simulation increases vegetation carbon gain by 19 PgC and
decreases atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> gain by 7.7 ppmv from 2005 to 2040 in
comparison to OLDLUT (Fig. 10). The NEWLUT simulation also decreases soil
carbon gain by about 1.5 PgC over this period (data not shown).</p>
      <p>Simple linear extrapolation of the iESM vegetation carbon gain and
atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> gain from 2005 to 2100 increases these changes to
approximately 52 PgC and 21 ppmv, and extending CESM forest area to match
GCAM total afforestation could potentially increase these changes to 88 PgC
and 36 ppmv in 2100. These are rough estimates that use 2005 as a starting
point to reduce the high slope associated with the initial increase from
2015 to 2020, and also assume that additional forest area continues to gain
carbon for 60–80 years after it is established. Regardless of the absolute
accuracy of these extrapolations, the potential gain in vegetation carbon
alone for CESM with full afforestation is on the order of estimates of net
cumulative land use change emissions during 1850–2000, which range from
110 to 210 PgC (Table 3 in Smith and Rothwell, 2013). For comparison, the
range of CMIP5 vegetation carbon stock gains for RCP4.5 is about 50 to
300 PgC from 2005 to 2100, with most gains being less than 150 PgC and
relatively linear (Fig. 2 in C. Jones et al., 2013). An increase in gain of
88 PgC would dramatically shift CESM vegetation carbon dynamics in relation
to the other ESMs. The corresponding 36 ppmv decrease in atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula>
is nearly one-third of the difference between the prescribed 2100
concentrations of the RCP4.5 (<inline-formula><mml:math display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 540 ppmv) and RCP2.6
(<inline-formula><mml:math display="inline"><mml:mo>∼</mml:mo></mml:math></inline-formula> 420 ppmv) scenarios (Fig. 1 in C. Jones et al., 2013). More
importantly for CESM's ability to robustly simulate the effects of the RCP
scenarios on the earth system, the prognostic CESM atmospheric CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula>
concentration in 2100 for RCP4.5 is 610 ppmv (Keppel-Aleks et al., 2013),
and a decrease from 610 to 574 ppmv has an approximate decrease in radiative
forcing of 0.33 W m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula>, which is non-trivial with respect to the
4.5 W m<inline-formula><mml:math display="inline"><mml:msup><mml:mi/><mml:mrow><mml:mo>-</mml:mo><mml:mn mathvariant="normal">2</mml:mn></mml:mrow></mml:msup></mml:math></inline-formula> target. While these carbon cycle changes in the CESM
component of iESM may have a significant effect on climate, it is important
to note that the carbon cycle effects of afforestation in CESM are not
identical to those in GCAM or GLM because these three models have different
biogeochemistry and vegetation models. These differences in carbon cycles,
however, do not obviate the need for making both land cover and land use
consistent between IAMs and ESMs in order to best match the prescribed
radiative forcing scenario.</p>
      <p>Different implementations of land cover and land use among IAMs and ESMs also
reduce the fidelity between RCP scenarios and their associated effects on the
earth system. Figure 8 shows that most of the additional forest area in
NEWLUT occurs on grassland and shrubland, and that these lands generally
coincide with areas of limited potential forest. The OLDLUT could not add
forest area where no potential forest area exists, and the rate of forest
carbon accumulation is constrained by environmental conditions. GLM also
limits forest area and growth based on potential forest and environmental
conditions, but with a different growth model and map of potential forest
area than used by CESM. On the other hand, GCAM afforestation is a strategy
to expand forest area for carbon sequestration, and assumes that it is cost
effective to use agricultural inputs (e.g., water, fertilizer) to achieve the
expected forest growth. This disagreement among the three models hampers
communication of forest area changes and contributes to the differences in
forest area among the models, both in CMIP5 (Fig. 5) and in the iESM (Figs. 6
and 7). Nonetheless, sharing forest area between GCAM and GLM does improve
the fidelity between GCAM and GLM's forest area changes (Figs. 5 and 6). GLM
and CESM do not simulate agricultural inputs for forests, yet the NEWLUT can
simulate most, but not all, of the prescribed afforestation (Figs. 6 and 7)
by adding forest area based on GCAM's cropland and pasture changes, rather
than on potential forest area. The additional forest might not grow as well
in CESM as in GCAM, but the CESM forest productivity is fed back to GCAM for
subsequent land use projections, so environmental restrictions on forest
growth will influence future land use and land cover. This feedback does not,
however, fully compensate for the lack of bioclimatic or agricultural input
availability constraints on GCAM's land use projection, which might
contribute to an overly optimistic afforestation projection. More generally,
this feedback mechanism opens a path for more robustly simulating
interdependent land use and land cover through incorporation of potential
bioclimate-driven geographic shifts in land cover. ESMs could estimate
bioclimatic drivers or geographic shifts for given land use/cover scenarios,
and then feed this information back to the IAMs for incorporation into land
use/cover projection. Implementing such a feedback for scenario-based
simulations would consolidate land use/cover determination into internally
consistent modules within the IAMs, thereby increasing fidelity between the
scenario-prescribed land surface and the one used by the ESMs.</p>
      <p>We have focused on understanding the effects of mismatched land cover areas
on global simulations, rather than on mismatched carbon cycles, because the
spatial distribution of land cover and land use is a scenario-determined
boundary condition for ecosystem-specific processes such as biogeochemical
dynamics. For global simulations this boundary condition is generally
provided by historical data and IAMs, and, as we have shown, a mismatch in
this boundary condition causes CESM to simulate non-scenario effects on
carbon and climate (due to a non-scenario land surface), rather than the
scenario-driven effects of the land surface prescribed for meeting the
RCP4.5 target. Mismatched carbon cycles among IAMs and ESMs, on the other
hand, along with differences in atmospheric radiation code, will preclude
exact matches in radiative forcing for a given RCP scenario, but should not
cause significant deviations among models in the carbon and climate effects
of a given scenario. While we plan to completely reconcile land use and land
cover inconsistencies within the iESM by implementing a single carbon cycle
with consistent land surface characterization among the components, it is
not desirable, nor feasible, for all IAMs and ESMs to have the same
biogeochemistry and vegetation growth components. For example, a diversity
of terrestrial models can help characterize uncertainty in global
simulations. This uncertainty, however, is most useful if these models
simulate the same spatial distribution of land cover and land use change.
Therefore, iESM redevelopment that ensures land use and land cover
consistency between GCAM and CESM could provide a template for improving the
fidelity between IAM scenarios and ESM simulations in the next CMIP. In
fact, land cover information is currently planned to be included in the
CMIP6 land coupling, along with a more extensive land use model
intercomparison project (Meehl et al., 2014).</p>
</sec>
<sec id="Ch1.S5" sec-type="conclusions">
  <title>Conclusions</title>
      <p>We have identified the lack of specific land cover type information being
shared among GCAM, GLM, and CESM in the iESM as the primary cause of CESM
having very little afforestation and effectively no change in herbaceous PFT
area in contrast to GCAM's large RCP4.5 afforestation and corresponding
pasture reduction. Initial efforts to fix this problem through GLM
modifications and the sharing of forest area between GCAM and GLM improved
only the fidelity of forest area changes between GCAM and GLM. We then
focused on modifying the algorithm that translates GLM land use
harmonization outputs to CESM PFTs. While these land use translator
modifications have been successful at capturing two-thirds of GCAM's RCP4.5
afforestation signal and corresponding reductions in herbaceous PFT area,
they are not sufficient to completely overcome the limitations imposed by
not passing specific land cover types from GCAM through to CESM. These
modifications are also specific to the GCAM RCP4.5 scenario, and might need
to be altered for the other RCP scenarios. Furthermore, we have not
addressed the lack of constraints on GCAM forest area expansion, nor
mismatches between land cover and PFT definitions. Nonetheless, this partial
restoration of afforestation has a significant impact on iESM's global
carbon cycle through increased vegetation carbon and decreased atmospheric
CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> concentration.</p>
      <p>The iESM framework follows the CMIP5 land coupling design, and as such we
have characterized a major gap in this design that precludes accurate
translation of projected IAM land surface scenarios to ESMs by focusing only
on land use such as cropland and pasture (albeit successfully), and not
including specific land cover types such as forest, grassland, and shrubland.
The relationship between land use and land cover is handled uniquely by
individual ESMs, which means that the effects of scenario mismatch will be
model-specific and more relevant for some RCPs than others. The resulting
land cover discrepancies are likely most pronounced for the large RCP4.5
afforestation signal, which was greatly reduced in the CMIP5 CESM and
HadGEM2-ES (see Davies-Barnard et al., 2014) simulations, but could also
arise for other large land cover changes such as the extensive deforestation
of RCP8.5. As total land area is conservative, errors in the distribution of
one land cover are complemented by errors in the distributions of other land
covers. In GCAM's RCP4.5 scenario, pasture decreases over the 21st century,
but the CMIP5 CESM runs have increasing grass and shrub areas over the same
period. It is very important that the land use and land cover changes (which
determine land use change emissions and the total capacity for vegetation
carbon assimilation) match between the IAMs and ESMs because the CMIP5
experimental design is predicated on the fidelity between IAM scenarios and
ESM simulations such that they have similar, specific radiative forcings for
a given scenario, including CO<inline-formula><mml:math display="inline"><mml:msub><mml:mi/><mml:mn mathvariant="normal">2</mml:mn></mml:msub></mml:math></inline-formula> emissions from land use change (Moss et
al., 2010). Furthermore, future radiative climate targets are likely to
include the biogeophysical forcings of land use change because it has been
shown that the modeled climate system is sensitive to changes in these
forcings due to the spatial distribution of land use and land cover change
(Brovkin et al., 2013; A. D. Jones et al., 2013; Pitman et al., 2009), making
it imperative that IAM and ESM land use and land cover distributions match as
closely as possible. Maintaining the diversity of global biogeochemical and
vegetation models also calls for GCMs and ESMs to match historical and
projected land cover and land use distributions as closely as possible, so as
to isolate carbon cycle contributions to uncertainty from contributions due
to differences in land use and land cover. Fortunately, our results indicate
that it might be possible to adjust land cover in other CMIP5 models to
better match RCP4.5 afforestation and the corresponding climate scenario,
while still using the standard land use harmonization data.</p>
      <p>We conclude that the land coupling between IAMs and ESMs for future model
intercomparisons needs to ensure greater consistency in land cover and land
use among the models in order to realize the full potential of scenario-based
earth system simulations. In short, the models need to agree on the actual
land area and the annual spatial distribution of major (non-)vegetation land
covers and land uses. In other words, the ESMs need to simulate the same
basic land surface as prescribed by the IAM-generated RCP scenarios. To
achieve the required consistency, we suggest that the next CMIP land coupling
design provides land cover and land use information, and a standard mapping
between land cover and plant functional types. Fortunately, this is an
emerging priority for the CMIP6 Land Use Model Intercomparison Project
(LUMIP,
<uri>http://www.wcrp-climate.org/index.php/modelling-wgcm-mip-catalogue/modelling-wgcm-mips/318-modelling-wgcm-catalogue-lumip</uri>,
<uri>http://www.wcrp-climate.org/wgcm/WGCM17/LUMIP_proposal_v4.pdf</uri>). The
following gridded data with fractional shares within grid cells are
specifically recommended:
<list list-type="order"><list-item>
      <p>Annual land cover states with complete, contiguous spatial coverage within
grid cells. Land cover needs to include at least the basic categories of
cropland, grassland, shrubland, woodland, forest, and other (bare/sparse,
ice, urban, water). This will allow consistency in major (non-)vegetation
types for model intercomparison (with the “other” category having fixed
area). The “other” categories could also be separated out for models that
can use them, and in preparation for changing their areas also.</p></list-item><list-item>
      <p>Annual land use states including primary and secondary land, wood
harvest, and pasture (cropland should coincide with the land cover state).
These uses should be provided with respect to the land cover categories. Wood
harvest and pasture should include both area and amount of biomass/carbon
harvested or removed by grazing.</p></list-item><list-item>
      <p>A standard present-day land area data set to be used by all models.
Land area includes all land cover and land use categories as described above.</p></list-item><list-item>
      <p>Annual land use and land cover transitions. Land use transitions need to
be accompanied by corresponding land cover transitions with complete,
contiguous spatial coverage within grid cells. Net land use/cover
transitions, which should be used for model intercomparison, are annual
changes in individual land use and cover states, and may include additional
detail about sources of wood harvest and grazed biomass. Gross land use/cover
transitions are the transitions among particular land use/covers occurring
within a particular year. These transitions sum to the net land use/cover
transitions, and should also be provided to characterize shifting cultivation
and other gross land conversions. While gross land use/cover transitions are
very important and make a significant difference in the carbon cycle, until
more models are able to make use of gross transitions they should not be
included in model intercomparisons.</p></list-item></list></p>
</sec>

      
      </body>
    <back><ack><title>Acknowledgements</title><p>We are extremely grateful to Peter Lawrence (National Center for Atmospheric
Research) for providing the original CESM land use translation code. We also
thank the reviewers for helping us clarify and strengthen this paper. This
material is based on work supported by the US Department of Energy, Office
of Science, Office of Biological and Environmental Research under Award
Number DE-AC02-05CH11231 as part of the Integrated Assessment Research and
Earth System Modeling Programs. This project used resources of the National
Energy Research Scientific Computing Center (NERSC), which is a DOE Office of
Science User Facility. The CESM project is supported by the National Science
Foundation and the Office of Science (Biological and Environmental Research)
of the US Department of Energy. We also gratefully acknowledge the support of
the National Aeronautics and Space Administration.<?xmltex \hack{\newline}?><?xmltex \hack{\newline}?> Edited by: V. Brovkin</p></ack><ref-list>
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