Doctoral Thesis
Refine
Year of publication
Document Type
- Doctoral Thesis (87) (remove)
Language
- English (87) (remove)
Has Fulltext
- yes (87) (remove)
Is part of the Bibliography
- no (87)
Keywords
- Boden (2)
- Caribbean (2)
- China (2)
- Roman (2)
- bank filtration (2)
- degradation (2)
- groundwater (2)
- 1,4-dioxane (1)
- 3D-Modellierung (1)
- Abbau (1)
Institute
- Geowissenschaften (87) (remove)
This PhD thesis has been carried out within an interdisciplinary cooperational project between the Deutsches Bergbau-Museum Bochum and the Goethe-Universität Frankfurt, which is dedicated to ancient Pb-Ag mining and metal production in the hinterland of the municipium Ulpiana in central Kosovo. Geochemical analysis (OM, XRD, EMP, MC-ICP-MS) of ores, metallurgical (by-) products and metal artefacts allowed to reconstruct the local chaîne opératoire and to decipher significant chronological differences between presumably Roman/late antique and medieval/early modern metallurgical processing. Pb isotope provenance studies documented the relevance of local metal production within the Roman Empire and confirmed the actual existence of a Metalla Dardanica district, which until now solely has been suspected on basis of epigraphy.
The predominant abundance of the by-products matte (Cu, Pb, Fe and Zn sulphides) and speiss (ferrous speiss: Fe-As compounds; base metal speiss: ~(Cu,Ni,Fe,Ag )x(Sb,Sn,As )y ) at smelting sites with a preliminary Roman/late antique dating points to treatment of complex polymetallic ore. Pb isotope analysis demonstrated that the mining district of Shashkoc-Janjevo (partially) supplied six of the ten investigated metallurgical sites. In this mineralisation, parageneses with elevated Cu, As and Sb abundances comprise significant proportions of particularly tennantite-tetrahedrite minerals, chalcopyrite, arsenopyrite and were generated during the early and main stages of ore formation. Later precipitated ore in contrast is marked by a significantly less versatile mineralogy and consists almost exclusively of galena, sphalerite and pyrite/marcasite. Besides increased Cu, As and Sb contents, ore from the main formation stage also exhibits generally higher Ag abundances, which are mainly hosted by fahlore and locally abundant secondary Cu sulphides (chalcocite, digenite and covellite) and oxidised phases (e.g. malachite, azurite). The higher precious metal grades of this ore type, whose geochemical signature (i.e. higher proportions of Cu, As and Sb) is mirrored by the abundance of the metallurgical by-products matte and speiss (almost exclusively found at potentially Roman/late antique smelting sites; see above), presumably were a pivotal factor leading to its preferential exploitation in earlier times. Matte and base metal-rich speiss contain notable amounts of Ag, which are mainly present in Cu-(Fe) sulphides and particularly antimonides ((Cu,Ni)2Sb, Ag3Sb), respectively. While the speiss compounds due to their close association with Pb bullion presumably were cupelled automatically, the metallurgical treatment of matte could not have been proven unambiguously, but overall certainly is highly likely.
The beneficiated ore (i.e. crushed and sorted, potentially also treated by more lavish techniques such as grinding, sieving or wet-mechanical methods) possibly was partially roasted and subsequently together with fluxes and charcoal submitted to the furnaces. The working temperatures approximately ranged between 1100 and 1400 °C. Slags from all presumably Roman/late antique dated and few of their potentially medieval/early modern analogues were produced from smelting of (partially roasted) ore with charcoal and added siliceous material, thus resulting in fayalite-dominant phase assemblages or rarely observed glassy parageneses. Even though several subtypes of fayalite slags have been established on basis of the abundance of Fe-rich oxide phases (i.e. spinel ss and wüstite), late clinopyroxene and the general solidification sequence of the slags, the process conditions (i.e. temperature, fO2, added fluxing agents) must have been widely similar; chemical variations could be explained by varying degrees of interaction of the slag melt with charcoal ash and furnace material. The other investigated metallurgical remains indicate employment of a calcareous flux, which led to formation of Ca-rich olivine-, olivine+clinopyroxene-, clinopyroxene- or melilite-type slags. These types as well as glassy slags were generated at more oxidising conditions outside the fayalite stability field (FMQ buffer equilibrium, cf. Lindsley, 1976) than their olivine-dominant analogues. Conclusions on the furnace construction could be drawn on basis of the typology of the slags, which mostly were tapped into a basin located outside the furnace, but partially (at two presumably medieval/early modern sites) also accumulated in a reservoir within the smelter.
Lead artefacts excavated in Ulpiana could be isotopically related to ores from mineralisations in its vicinity and demonstrate that the resources were at least utilised for local metal production. However, also ship wreck cargo from Israel - including several lead ingots with the inscription 'MET DARD' (Raban, 1999) - and late antique lead-glazed pottery from Serbia and Romania (Walton & Tite, 2010) could be related to a possible Kosovarian/Serbian provenance of the raw material and thus indicate flourishing trade of metal from the Metalla Dardanica district within the Roman Empire.
References:
Lindsley, D. H. (1976). Experimental studies of oxide minerals. In D. Rumble, III (Hrsg.), Oxide minerals (61-88). Reviews in Mineralogy, Volume 3. Washington, DC: Mineralogical Society of America.
Raban, A. (1999). The lead ingots from the wreck site (area K8). Journal of Roman Archaeology, Supplementary Series, 35, 179-188.
Walton, M. S., & Tite, M. S. (2010). Production technology of Roman lead-glazed pottery and its continuance into late antiquity. Archaeometry, 52(5), 733-759.
Ziel der Arbeit war es, die Flugzeitmassenspektrometrie als neue Analysemethode für die instrumentelle Analytik halogenierter Spurengase in der Luft zu etablieren. Die grundle-gende Motivation dafür ist, dass anthropogene Emissionen vieler Vertreter dieser Sub-stanzklasse einen negativen Einfluss auf die Umwelt zeigen: in der Atmosphäre agieren die Substanzen bzw. ihre Abbauprodukte als Katalysatoren für den stratosphärischen Ozonab-bau und verstärken den Strahlungsantrieb der Erde durch Absorption elektromagnetischer Strahlung im sogenannten atmosphärischen Fenster. Um diese Effekte und deren Auswir-kung quantifizieren zu können, ist es notwendig, Konzentrationen und Trends der Substan-zen in der Atmosphäre zu überwachen. Nur so können Gegenmaßnahmen wie Produktions-reglementierungen geplant und bewertet werden. In Kombination mit inverser Modellie-rung können zudem Rückschlüsse über tatsächlich emittierten Mengen gezogen werden. Dies stellt den Anspruch an die Analytik, sehr geringe Mengen dieser Gase sehr präzise quantifizieren zu können, um auch schwache Trends zu erkennen. Zudem muss die Analy-semethode die Möglichkeit zu bieten, mit der wachsenden Anzahl bekannter und zu über-wachender Substanzen Schritt zu halten. Besonders für letzteren Aspekt bietet die Flug-zeitmassenspektrometrie einen entscheidenden Vorteil gegenüber der „konventionellen“ Methode, der Quadrupolmassenspektrometrie: sie zeichnet das gesamten Massenspektrum auf ohne dadurch an Empfindlichkeit einzubüßen. Um das atmosphärische Mischungsver-hältnis von Substanzen im Bereich von pmol mol−1 bis fmol mol−1 bestimmen zu können, muss das Quadrupolmassenspektrometer im Single Ion Monitoring Modus betrieben wer-den – so wird zwar eine hohe Sensitivität erreicht, es wird aber auch nur die Intensität eines bestimmten Masse zu Ladungsverhältnisses (kurz: Masse) zu einem Zeitpunkt aufgezeich-net. Ein Flugzeitmassenspektrometer hingegen extrahiert Ionen mit einer Frequenz im Ki-loherzbereich und zeichnet für jede Extraktion das vollständige Flugzeitspektrum und da-mit Massenspektrum auf.
Aufgabe dieser Arbeit war es, ein Flugzeitmassenspektrometer mit vorgeschalteter Pro-benanreicherungseinheit sowie Gaschromatograph zur Trennung des Subtanzgemisches vor der Detektion aufzubauen und Werkzeuge zur Datenauswertung zu entwickeln. Um einen zukünftigen Feldeinsatz vorzubereiten, sollte der Aufbau möglichst kompakt, mobil und vollständig automatisiert sein. Anschließend sollte Empfindlichkeit, Präzision und dynami-scher Messbereich geprüft, optimiert und die Anwendbarkeit zur Analyse halogenierter Spurengase gezeigt werden. Die Ergebnisse aus der in der vorliegenden Arbeit präsentier-ten Geräteentwicklung finden sich in drei Publikationen wieder, welche in thematischer Reihenfolge die Probenanreicherung (Obersteiner et al., 2016b), den Vergleich von Quadrupol- und Flugzeitmassenspektrometrie (Hoker et al., 2015) sowie Eigenschaften und Anwendung des neuen Aufbaus (Obersteiner et al., 2016a) behandeln. Mit den genannten Aufsätzen ist die Arbeitsgruppe Engel weltweit die erste, welche hochpräzise Analytik ha-logenierter Spurengase routinemäßig mittels Flugzeitmassenspektrometrie durchführt. Der nächste Schritt ist der Übergang von der Laboranwendung zur Feldmessung, z.B. in Form von bodenbasierter in situ Analyse troposphärischer Luftmassen am Taunus Observatorium auf dem Kleinen Feldberg. Da es bisher keine Messstation für die hier beschriebene analy-tische Fragestellung in Deutschland gibt, könnte eine deutliche Verbesserung der Überwa-chung halogenierter Treibhausgase und ozonzerstörender Substanzen in Europa erzielt wer-den. Weiterhin wäre eine Flugzeugapplikation in Zukunft denkbar, welche neben der durch das Flugzeitmassenspektrometer abgedeckten Substanzbandbreite auch von dessen hoher möglicher Spektrenrate profitieren könnte. In Kombination mit Hochgeschwindigkeitsgas-chromatographie könnte eine bisher unerreichte Zeitauflösung der Beprobung der Atmo-sphäre mittels Gaschromatographie-Massenspektrometrie erzielt werden.
Many natural minerals exist in the form of a solid solution. The systematic changes in structural and physical properties of oxide solid solutions are of geological importance and allow for wide applications. In order to understand the composition-structureproperty relations, substitutional solid solutions of CuxZn2−xTiO4, ZnxMg1−xTi2O5 and CuxMg1−xTi2O5 have been synthesised by mechanochemical activation assisted solid state synthesis. Self-propagating high-temperature synthesis has been employed to achieve the interstitial solid solutions of Ti5Si3Zx (Z refers to the element boron or oxygen).
The changes in the crystal structure and physical properties due to the formation of solid solutions are investigated by employing X-ray diffraction, neutron diffraction, Raman spectroscopy, low-temperature heat capacity, thermal expansion, scanning electron microscopy, UV-vis spectroscopy, plane-wave ultrasound spectroscopy and density functional theory calculations.
Melt segregation inside the earth consists of two different processes: 1) Generation of partially molten rock and 2) separation of melt, produced from partially molten rock, from the solid residual matrix. This thesis focuses on the later process. The 2 phase flow dynamics combines the study of flow dynamics of melt and matrix. Several studies have given the background theoretical frameworks for the flow dynamics of melt inside the earth. [McKenzie, 1984] summarizes the studies of [Ahern and Turcotte, 1979; Frank, 1968; Sleep, 1975] and gives a complete set of governing equations for the 2-phase flow problem.
[Bercovici et al., 2001] gives a general formulation considering the univariate system of equations related to matrix and melt flow which includes the interfacial surface force. The assumption of melt having negligible viscosity compare to the matrix has been abandoned. Therefore, based on these formulations, we have constructed our numerical model and thereafter a fortran code PERCOL2D to get an insight of melt percolation process through porous media. Additionally, we have used the Helmhotz decomposition, which splits a smooth and rapidly decaying vector field into an irrotational vector field and an incompressible vector field [Srámek, 2007], for matrix and fluid viscosity in order to lower the number of linearly independent variables to minimize the computational complications. The melt residing at inter-granular areas of lithosphere, forms an interconnected network even at low porosity. Therefore, being less dense than the matrix, melt moves up through porous media due to its buoyancy. Compaction of matrix, which occurs to compensate the melt separation, is considered in this thesis, where the effective bulk and shear viscosity of matrix are function of melt fraction. We have effective bulk viscosity of matrix as inversely proportional to melt fraction. Porosity dependence of effective bulk and shear viscosity leads to stronger melt focusing in highly porous region like mid ocean ridges [Katz, 2008] since the ratio of bulk and shear viscosity is smaller (< 10) than the constant viscosity case for the porous waves having non dimensional amplitude 5% or higher. Moreover, it is observed in [Richard et al., 2012] that the solitary wave formed in porosity dependent viscous matrix settings are steeper than the one formed in the constant matrix viscosity setting.
Firstly some 1D numerical experiments with PERCOL2D have been carried out using fixed and periodic boundary conditions for zero source term (i.e. no melting or no freezing) and negligible surface tension.
3 series of model setups with different initial conditions have been carried out varying the width, non-dimensional amplitude and the background porosity value of the initial input of porous wave.
A mathematical derivation for 1D solitary wave solution for the two phase flow through porosity dependent compacting media, is obtained in this thesis which is different than the study of [Barcilon and Lovera, 1989; Barcilon and Richter, 1986; Scott and Stevenson, 1984; Spiegelman, 1993a,b] as the effective viscosity of matrix is constant there.
Although [Simpson and Spiegelman, 2011] gives the solitary wave solutions in 1D, 2D and 3D considering the porosity dependent effective viscosity of the matrix, but using the small background porosity approximation, they neglect the background porosity (i.e φ0) and therefore the effect of variation of compaction lengths, which causes variation in the shape and dynamics of the solitary wave. Therefore, the study [This thesis, Richard et al., 2012] can be used for more general purpose. Solitary waves in varying viscous medium, are steeper (cf fig.5.1) compared to the one in constant viscous medium and their speed decreases as an inverse function of the background porosity. Additionally, this analytical solution is used in our code PERCOL2D and also in FDCON for numerical benchmarking (1D) of PERCOL2D.
The role of melt grain contiguity is considered in the revised viscosity formulation [Schmeling et al., 2012] based on elastic moduli theory of a fluid filled poro-elastic medium. This formulation is used in this thesis to produce a comparative dispersion relationship between speed of the wave and the non dimensional amplitude of porous wave, based on both the viscosity formulations (fig. 6.20) where one can see that the model based on [Bercovici et al., 2001] formulation, converges to the same dispersion relationship obtained from [Simpson and Spiegelman, 2011]. Whereas, the dispersion relationship using [Schmeling et al., 2012] formulations, shows time-dependent decrease of phase velocity with increasing amplitude and it is not yet clear that whether these solutions converge to steady state porosity waves before the porosity becomes 1.
Development of the flash-heating method for measuring melting temperatures in the diamond anvil cell
(2016)
A new ‘laser flash-heating’ method has been developed for measuring melting temperatures above 2000 K in a diamond anvil cell at gigapascals of pressure. It overcomes the general difficulties in detecting an onset of melting in a diamond anvil cell. It also circumvents the notorious experimental difficulties associated with the long heating durations of the CW laser-heating and the short timescales in the pulsed laser-heating and shock-compression experiments.
In this method, the duration of heating a sample is tuned to avoid chemical reactions of the sample with the diamond anvils and the surrounding pressure medium, while maintaining the accuracy of the temperature measurements. The absence of chemical reactions is confirmed by the EDS technique. Melt detection is now unambiguous from the analysis of textures on the surface and in depth of the recovered samples using the SEM and FIBM techniques, respectively. Using this method, the following has been achieved.
1. The melting curve of hcp-Re has been measured to 48 GPa, 4200 K for the first time. It has a significantly steeper slope than those observed for other transition metals like W and Mo with bcc structures. Above 20 GPa, Re becomes the most refractory metal surpassing W.
2. The melting curve of bcc-Mo has been measured to 45 GPa, 3100 K. It agrees with previous melt-slopes approaching zero value with pressure as reported in the LHDAC experiments using ADXRD and visual observation techniques for inferring the onset of melting. Flash-heating experiments at pressures higher than 50 GPa are required to further corroborate the flat melt-slope and resolve the long standing controversy about melting of Mo.
3. The melting curve of bcc-Ta has been measured to 85 GPa, 4300 K. Unlike in previous experiments using ADXRD and visual observation as probes, it has been tightly bracketed with an unambiguous detection of the onset of melting, without any chemical reaction. The present melting curve cannot be reconciled with shock measurements and theoretical predictions, and the precision of measurements calls for a reevaluation of theoretical, shock compression, and other DAC approaches to determine melting at high pressures. A further analysis with TEM technique for investigating the structure of the heated portion below and above melting temperatures of Ta may benefit in resolving various phase transitions predicted to explain the vast discrepancies in the reported melt-slopes.
When extrapolated to one atmosphere pressure, all the measured flashmelting curves agree with the known melting points.
This thesis addresses the reconstruction of the topographic evolution and the climate dynamics of the Early Cenozoic North American Cordillera through integrated geochronology, sedimentology, stable isotope, and clumped isotope thermometry studies. It encompasses the scientific disciplines of geochemistry, tectonics, and Earth surface processes.
This thesis presents microstructural investigations of rock salt from the central part of the Gorleben salt dome (Northern Germany). The main emphasis was to characterize the rock salt microfabrics, to identify operating deformation mechanisms in halite and anhydrite and to decipher the macro- and microstructural distribution of hydrocarbons, which have been encountered during the underground exploration of the salt dome. The microfabrics of the Knäuel- and the Streifensalz formation indicate that strain-induced grain boundary migration has been active during deformation of halite. Crystal plastic deformation of halite is further documented by lattice bending, subgrain formation and minor subgrain rotation. Evidence for pressure solution of halite has not been found, but cannot be excluded because of the small grain size, the lack of LPO and the low differential stress (1.1 - 1.3 MPa) as deduced from subgrain-size piezometry. Solution precipitation creep was proven for intercalated anhydrite layers and clusters, which have been deformed in the brittle-ductile regime. Brittle deformation of anhydrite in terms of boudinage and fracturing was counteracted by viscous creep of halite which caused a re-sealing of fractures and a reestablishing of the characteristic sealing capacity of rock salt. Hydrocarbons are mainly located along cross cut 1 West of the Gorleben exploration mine and are heterogeneously distributed in the rock salt. They are incorporated in the rock salt foliation in the form of streaks, dispersed clouds, clusters and isolated patches. On the micro-scale, hydrocarbons are trapped along grain boundaries of halite and/or anhydrite, in micro-capillary tubes of anhydrite and in pore space of the rare rock salt with elevated porosity (< 1.26 vol.-%). Such elevated porosities correlate with elevated hydrocarbon concentrations of several hundred ppm. The overall concentrations of hydrocarbons, however, are very low (< 0.05 wt.-%). Elevated porosity is depicted to be a remnant originating from an early stage of salt uplift when fluid and hydrocarbons have migrated and spread from the Staßfurt Karbonat (z2SK) into the superjacent Gorleben Hauptsalz. During halokinesis and the strong reworking of the salt body hydrocarbons have been redistributed and dismembered resulting in the isolated present-day occurrences. The distribution of hydrocarbons shows no relation to local variations in the rock salt fabric. The microstructures of hydrocarbon-bearing and hydrocarbon-free Gorleben rock salt are not distinguishable from each other. Likewise, the presence of hydrocarbons should not have influenced the mechanical behavior or the rock salt as indicated by the microfabrics studied and by geomechanical data. The pure amounts of hydrocarbons are too low for any detectable impact on the barrier properties of this part of rock salt. Although hydrocarbons have migrated into the Gorleben Hauptsalz during an early stage of salt uplift when the sealing capacity of rock salt was diminished, the major implication of their isolated distribution patterns is that the Gorleben rock salt was able to regain its sealing capacity during subsequent deformation and re-equilibration. Former migration pathways for fluid and hydrocarbons have been healed and do not exist anymore. The application of X-ray computed tomography (CT) allows the 3D visualization and quantification of anhydrite, pore space and fluid phases located along grain-boundaries or trapped as intracrystalline inclusions. The 3D reconstruction of anhydrite clusters and pore space for the same sample reveals different spatial distribution patterns. This fact implies that anhydrite is not responsible for such elevated pore space in the rock salt studied, which has been largely closed during the polyphase deformation history of the Gorleben salt dome. High-resolution nanoCT scans (≤ 1 μm voxel size) of single intra- and intercrystalline fluid inclusions in rock salt enable a characterization of gaseous, solid and liquid phases inside single fluid inclusions and give exact information on morphology and shape. The 3D reconstruction of grain boundary fluid inclusions allows the amount, volumes, surface areas or diameters of various types to be determined. Non-destructive X-ray CT imaging is presented as very useful tool to characterize the structural inventory of rock salt. This non-destructive technique offers new perspectives for microstructural studies and for a wide range of research in structural geology, in general.
Clouds and precipitation are essential climate variables. Because of their high spatial and temporal variability, their observation and modeling is difficult. In this thesis multiple observational data sources, including satellite data and station data are globally analyzed to understand the distribution and variability of clouds and precipitation, while a special focus is on the diurnal cycle of both variables. Substantial diurnal cycles of clouds and precipitation are observed in the tropics, with different properties over land and ocean. But also in Europe cloud diurnal cycles are observed in the summer season. Overall the maximum cloud cover and also the maximum precipitation is observed in the afternoon over land, and in the morning over ocean. The analyzed climate model simulations and the model-based reanalysis fail to simulate the observed diurnal cycles. Owing to their limited resolution, models can not fully resolve the processes responsible for the existence of diurnal cycles of clouds and precipitation.
The stable isotope geochemistry of pedogenic and lacustrine carbonate and fossil herbivore tooth enamel is a powerful tool to study the evolution of terrestrial paleoenvironments. This thesis aims to reconstruct Neogene ecosystems in the Karonga Basin in the southern part the East African Rift (EAR) and the Central Anatolian Plateau (CAP).
Karonga Basin: Understanding the development of East African savanna biomes is crucial for reconstructing the evolution, migration and dietary behaviors of early hominins. These rift ecosystems range from closed woodland to open grassland savanna and vary widely in fraction of woody cover. Here I present Plio-Pleistocene carbon (δ13C) and oxygen (δ18O) records from pedogenic carbonate and fossil herbivore tooth enamel collected from the Malawi Rift. This is the first southern hemisphere long-term record in the East African Rift.
The studied ca. 4.3 Ma to 0.6 Ma deposits of the Chiwondo Beds (Karonga Basin) are home to two hominin fossil finds, a maxillary fragment of Paranthropus boisei and a mandible of Homo rudolfensis, both dated to ca. 2.4 Ma. The study site is situated between the well-known hominin-bearing localities of eastern and southern Africa and hence fills an important geographical gap for early hominin research.
The δ13C values of pedogenic carbonate (n = 321) and of enamel from 14 different large-bodied herbivorous mammal taxa (suid, equid, bovid, elephant an hippopotamus; n = 122) permit assessment of the evolutionary history of C3 and C4 biomass, which is closely linked to climate patterns. The reconstruction of C4-grassland development offers insights into the retreat of tree cover and the distribution and seasonality of precipitation. δ18O values reflect hydrological patterns, and we supplement the data of fossil proxy material with analyses of modern meteoric water to evaluate influences of seasonality and evaporation.
Consistent δ13C values around -9‰ and δ18O values of ca. 24‰ of the pedogenic carbonate from 14 sections spanning the last 4.3 Ma indicate a relatively mesic and persistent climate with C3-dominated woodland savannas in the Karonga Basin. The data from tooth enamel of suid, elephant, and hippo taxa complement these findings with constantly low δ13C and δ18O values, demonstrating intake of mainly C3 biomass and water from sources which are only very limited affected by evaporation.
In contrast, Karonga Basin equid and bovid taxa reflect much more complex dietary patterns, ranging from mixed C3/C4-feeders to strongly C4-influenced diets. Intra-tooth δ18O values also show large variations, indicating water intake from resources that differ in their isotopic composition and therefore experienced different hydrological settings.
Overall, the stable isotope data reflect a mostly C3-dominated mesic paleoecosystem, which comprises patches of more open C4-grasslands within the range of migrating mammals. Supplementary analyses of δ18O values of modern meteoric water (precipitation, lake, river and groundwater; n = 111) show a similar magnitude to the fossil herbivore oxygen isotopic values. Expected 18O values of the drinking water calculated from herbivore enamel of animals with a mixed- or C3-diet indicate water intake from barely evaporated sources. Specialized feeders with a high C4-consumtion, however, reflect s|||||||||||||||||||||values of 16O-depleted reservoirs, similar in δ18O |||||||||||| to modern evaporated lakes.
The absence of long-term trends towards more positive δ13C and δ18O values in the Karonga Basin contrasts the increasing role of C4-grasslands since ca. 2.5 Ma in the Eastern Rift. Our data hence point to regional differences in climate and vegetation dynamics during the Plio-Pleistocene. Therefore, regions that are home to early hominins such as H. rudolfensis and P. boisei may have had a different environmental history when compared to the Eastern Rift. This suggests that hominin adaptation is not necessarily directly linked to the emergence of open landscapes.
Central Anatolian Plateau: The development of relief and climate patterns in the Central Anatolian Plateau is long-standing debate in modern paleoecological studies. This thesis presents long-term δ13C and δ18O records on five lacustrine successions, which are widely distributed across the CAP. Also, new 40Ar/39Ar geochronological data from volcanic ashes are established in addition to existing biostratigraphic and paleomagnetic data.
Field relationships combined with stable isotope data of 230 lacustrine carbonates indicate a Late Oligocene environment that was characterized by large, temporally open freshwater lakes in a relatively humid subtropic climate. In the middle Aquitanian, an increase in lake δ18O values reflects more arid settings and an overall increasing dominance of closed saline lakes. This time was probably characterized by frequent climatic fluctuations, recording the influence of seasonality, topography and the waxing and waning of aridity.
In Belize, which is well known for the Belize Barrier Reef and its offshore atolls, coastal lagoons are frequent morphological features along the coast. They represent transitional environments between siliciclastic and carbonate settings. In order to shed light into the Holocene evolution of coastal lagoon environments, five localities along the central coast of Belize were selected as coring sites. These include four coastal lagoons and one marsh area, namely Mantatee Lagoon, Mullins River Beach, Colson Point Lagoon, Commerce Bight Lagoon and Sapodilla Lagoon. A total of 26 sediment cores with core lengths ranging from 109 cm to 500 cm, were drilled using a Lanesky-vibracorer. Overall, 73 m of Holocene sediments and Pleistocene soil were recovered. Together with 58 radiocarbon dates the sediments reveal details on the sediment architecture and depositional features of the localities.
Marine inundation of the mainland and coastal lagoon formation started around 6 kyrs cal BP.
As a response to sea-level rise during the Holocene transgression, facies retrograded towards the coast, as seen in marginal marine overlying brackish mollusk faunas. Evidence for late Holocene progradation of facies due to sea-level stagnation is largely lacking. The occurrence of landward thinning sand beds, hiatuses and marine fauna in lagoonal successions are indications of event (overwash) sedimentation. Sediments recovered are largely of Holocene age (<7980 cal BP), overlying Pleistocene sections. Analyses of sediment composition and texture, radiocarbon dating and mollusk shell identification were used to describe and correlate sedimentary facies.
XRD analyses have identified quartz as the dominant mineral, with the Maya Mountains as main source of coastal lagoon sediments. The most common sedimentary facies include peat and peaty sediment, mud, sand, and poorly sorted sediments. Pleistocene soil forms the basement of Holocene sediments. Holocene mud represents lagoon background permanent sedimentation.
Peats and peat-rich sequences were deposited in mangrove swamp environments, whereas sandy facies mainly occur in the shoreface, beach, barriers, bars, barrier spits and overwash deposits. Facies successions could be identified for each locality, but it has proven difficult to correlate the stratigraphic sequences, especially among localities. These differences among the five locations studied suggest that apart from regional influence such as sea-level rise, local environmental factors such as small-scale variation in geomorphology and resulting facies heterogeneity, connectivity of the lagoon with the sea, antecedent topography and river discharge, were responsible for coastal sedimentation and lagoon development in the Holocene of Belize.
Faunal composition and distribution patterns of mollusk assemblages from 20 shell concentrations in cores collected in coastal lagoons, a mangrove-fringed tidal inlet and the marginal marine area (shallow subtidal) show considerable variation due to environmental heterogeneity and the interplay of several environmental factors in the course of the mid-late Holocene (ca. 6000 cal BP to modern). The investigated fauna ≥2 mm comprises 2246 bivalve, gastropod and 11 scaphopod specimens. Fifty-three mollusk species, belonging to 42 families, were identified. The bivalve Anomalocardia cuneimeris and cerithid gastropods are the dominant species and account for 78% of the total fauna. Diversity indices are low in concentrations from lagoons and relatively high in the marginal marine and tidal inlet areas.
Based on cluster analysis and nonmetric multidimensional scaling (NMDS), seven lagoonal assemblages and three marginal marine/tidal inlet assemblages were defined. A separation between lagoonal and marginal marine/tidal inlet assemblages seen in ordination indicates a lagoon-onshore gradient. The statistical separation among lagoonal assemblages demonstrates environmental changes during the Holocene evolution of the coastal lagoons, which is probably related to the formation of barriers and spits. The controlling factors of species distribution patterns are difficult to figure out, probably due to the heterogeneity of the barrier-lagoon systems and the interaction of paleoecological and paleoenvironmental factors. In addition to the taxonomic analysis, a taphonomic analysis of 1827 valves of A. cuneimeris from coastal lagoons was carried out. There is no relationship between depth and age of shells and their taphonomic condition. Size-frequency distributions and right-left valve ratios of A. cuneimeris suggest that valves were not transported over long distances but were deposited parautochthonously in their original habitat. Shells from tidal inlet and marginal marine environments were also predominantly deposited in their original habitats.
Since the Belize coast was repeatedly affected by hurricanes and the paleohurricane record for this region is poor, the sediment cores have been examined in order to identify storm deposits.
The paleohurricane record presented in this study spans the past 8000 years and exhibits three periods with increased evidences of hurricane strikes occurring at 6000-4900 cal yr BP, 4200-3600 cal yr BP and 2200-1500 cal yr BP. Two earlier events around 7100 and 7900 cal yr BP and more recent events around 180 cal yr BP and during modern times have been detected. Sand layers, redeposited corals and lagoon shell concentrations have been used as proxies for storm deposition. Additionally, hiatuses and reversed ages may indicate storm influence. While sand layers and corals represent overwash deposits, the lagoon shell concentrations, which mainly comprise the bivalve Anomalocardia cuneimeris and cerithid gastropods, have been deposited due to changes in lagoon salinity during and after storm landfalls. Comparison with other studies reveals similarities with one record from Belize, but hardly any matches with other published records. The potential for paleotempestology reconstructions of the barrier-lagoon complexes along the central Belize coast differs depending on geomorphology, and deposition of washovers in the lagoon basins is limited, probably due to the interplay of biological, geological and geomorphological processes.
Water is scarce in semi-arid and arid regions. Using alternative water sources (i.e. non-conventional water sources), such as municipal reuse water and harvested rain, contributes to using existing water resources more efficiently and productively. The aim of this study is to evaluate the two alternative water sources reuse water and harvested rain for the irrigation of small-holder agriculture from a system perspective. This helps decision and policy makers to have proper information about which system and technology to adopt under local conditions. For this, the evaluation included ecologic, societal, economic, institutional and political as well as technical aspects. For the evaluation, the study area in central-northern Namibia was chosen in the frame of the research and development project CuveWaters. The main methods used include a mathematical material flow analysis, the computation and modelling of crop requirements, a multi-criteria decision analysis using the Analytical Hierarchy Process (AHP) method and a financial cost-benefit analysis. From a systemic perspective, the proposed novel systems were compared to the exciting conventional infrastructure. The results showed that both water reuse and rainwater harvesting systems for the irrigation of small-holder horticulture offer numerous technological, ecologic, economic, societal, institutional and political benefits. Rainwater harvesting based gardens have a positive benefit-cost ratio under favorable conditions. Government programs could fund the infrastructure investment costs, while the micro-entrepreneur can assume a micro-credit to finance operation and maintenance costs. Installing sanitation in informal settlements and reusing municipal water for irrigation reduces the overall water demand of households and agriculture by 39%, compared to improving sanitation facilities in informal settlements without reusing the water for agriculture. Given that water is the limiting factor for crop fertigation, the generated nutrient-rich reuse water is sufficient to annually irrigate about 10 m2 to 13 m2 per sanitation user. Compared to crop nutrient requirements, there are too many nutrients in the reuse water. Thus when using nutrient-rich reuse water, no use of fertilizers and a careful salt management is necessary. When comparing this novel system with improved sanitation, advanced wastewater treatment and nutrient-rich water reuse to the conventional and to two adapted systems, results showed that the novel CuveWaters system is the best option for the given context in a semi-arid developing country. Therefore, the results of this study suggest a further roll-out of the novel CuveWaters system. The methodology developed and the results of this study demonstrated that taking sanitation users into consideration plays a major role for the planning of an integrated water reuse infrastructure because they are the determinant factor for the amount of available nutrient-rich reuse water. In addition, it could be shown that water reuse and rainwater harvesting systems for the irrigation of small-scale gardens provide a wide range of benefits and can be key to using scarce water resources more efficiently and to contributing to the Sustainable Development Goals.
The timing and duration of leaf deployment strongly regulate earth-atmosphere interactions and biotic processes. Leaf dynamics therefore have major implications for life on earth, including the global energy balance, carbon and water cycles, feedbacks to climate, species extinction risk and agriculture. Evidence of shifts in the timing of leaf deployment and senescence (leaf phenology) as a result of climate change has been accumulating over the past decades, particularly in relation to spring phenology in the northern hemisphere. However, leaf phenological change in other parts of the world has received less attention. This thesis quantifies global phenological change over the past three decades using remotely sensed data. Phenological change was found to be widespread and severe, also in the southern hemisphere. While the detected change testifies of the phenological plasticity of many plant species, it is not clear if the duration of leaf deployment (leaf habit) is equally sensitive to environmental change. Since evergreen and deciduous leaf habits are often distinctly sorted along environmental gradients, ecologists have hypothesised that these patterns result from natural selection for an optimal leaf habit, under a given environmental regime. Such evolutionary convergence can be examined by testing if the physiological niche that is occupied by a particular leaf habit (evergreen or deciduous) is similar among regions with distinct evolutionary histories. Using a process-based model of plant growth and a constructed map of evergreen and deciduous vegetation, the physiological niche of leaf habits was quantified in four global biogeographic realms. Substantial niche overlap was found between the same leaf habit in different realms, suggesting evolutionary convergence of the physiological niche. This implies a sensitivity of leaf habit to environmental change, as environmental variables determine the geographic space where the physiological niche allows a positive carbon balance, and therefore occurrence of the leaf habit. Since the physiological niche consists of the integrated effects of physiological traits and trade-offs, environmental dependencies and leaf habit and phenology, an understanding of the carbon economy of individual plants requires decomposing the physiological niche into its components. Using empirical data on leaf phenology, leaf habit and physiological processes from woody species in a seasonally dry African savanna, a simple carbon balance model was parametrised. Carbon gain varied considerably between species as a result of substantial variation in leaf habit, leaf phenology and physiological traits. The multiple lines of evidence in this thesis therefore suggest that, while convergent selective forces may determine the dominant leaf habit in a particular environment, inter-specific variation is substantial, potentially as a consequence of historical contingencies or competitive interactions.
During this study clumped isotope analysis of carbonates was established at the Goethe University of Frankfurt, Germany. Therefore, preparation protocols and analytical parameters were elaborated to obtain precise and accurate Δ47 data. Briefly, analyte CO2 was cleaned cryogenically using glass extraction lines to remove traces of water that enable re-equilibration of C–O bonds in the gases. Furthermore, analyte CO2 was passed through a gas chromatograph (GC) to clean it from contaminants that produce isobaric interferences with m/z 47. Initially, phosphoric acid digestions of carbonates was conducted at 25 °C in McCrea-type reaction vessels. Afterwards samples were reacted at 90 °C using a common acid bath. Mass spectrometric analyses were performed using a MAT 253 equipped with a dual inlet system. Δ47 values were directly projected to the absolute scale using CO2 gases equilibrated at distinct temperatures.
In cooperation with Stefano Bernasconi and his research group at ETH Zurich we studied the non-linearity that occurs for the measurement of m/z 47. This effect results from secondary electrons created by the m/z 44 beam. These electrons cause a negative background on the m/z 47 collector. A correction procedure was proposed that relies on the determination of the negative background on the m/z 47 Faraday cup. This approach might reduce time-consuming analyses of heated gases which were used so far to account for the observed non-linearity. However, the suggested correction of the negative background on the m/z 47 cup is only applicable if the slit width of the m/z 44 beam is significantly wider than that of the m/z 47 beam.
This thesis, furthermore, presents a comparison of the different phosphoric acid digestion techniques which are commonly used for carbonate clumped isotope analysis. For calcitic and aragonitic material digested at 25 °C in McCrea-type vessels we observed that the sample size has an effect on Δ47 data: higher mean Δ47 values and a larger scatter of data were received for samples <7 mg than for larger aliquots. For carbonate samples digested at 90 °C in a common acid bath no sample size effect was determined. We assume that secondary re-equilibration of CO2 with water preferentially occurs at 25 °C producing the observed differences. However, a sample size effect can be avoided if reaction temperature is increased to 90 °C.
In order to make carbonate Δ47 data obtained from acid digestions at 90 °C comparable to Δ47 data received from reactions at 25 °C the difference of the acid fractionation factores (Δ47*25-90) between both temperatures has to be known. For the determination of the Δ47*25-90 value we have considered Δ47 data made at 25 °C from samples >7 mg only. For calicte and aragonite we obtained differences in fractionation factores of 0.075‰ and 0.066‰, respectively. These Δ47*25-90 values are coincident with the theoretical prediction of 0.069‰ proposed for calcite (Guo et al., 2009).
Moreover, this dissertation comprises a calibration study of the clumped isotope thermometer based on various natural calcites that grew between 9 and 38 °C. The samples include a brachiopod shell, a bivalve shell, an eggshell of an ostrich and foraminifera tests which formed from distinct biomineralizing processes. Furthermore we included an authigenic carbonate crystallized from biological-induced precipitation. The following linear relationship between 1/T2 and Δ47 was determined (with Δ47 in ‰ and T in K):
Δ47 = 0.0327 (± 0.0026) x 106 / T2 + 0.3030 (± 0.0308) (R2 = 0.9915)
This equation differs from the pioneering Ghosh et al. (2006a) calibration. However, our regression line is statistically indistinguishable from that of Henkes et al. (2013) which is based on aragonitic mollusks and calcitic brachiopod shells. Both studies have in common that calibration data were, at first, directly referenced to the absolute scale. In addition, both datasets rely on similar digestion techniques. Furthermore, the two calibrations are conform with the theoretical prediction of Guo et al. (2009).
The calcite calibration of the clumped isotope paleothermometer received in this study was applied to Δ47 data measured for Silurian brachiopods shells from Gotland/Sweden. Prior to isotopic analysis the fossils were intensively investigated for their preservation state (CL, SEM, trace elements). The lowest T(Δ47) values of ca. 28 to 33 °C were estimated from ultrastructurally well-preserved regions of some shells. For these samples also the lowest δ18Ow values of Silurian seawater were determined. These estimates of ca. −1‰ confirm the assumption that the δ18O value of the Silurian ocean was buffered to (0 ± 1)‰.
Nevertheless, most studied shells were characterized by a patchwork of pristine and altered shell portions resulting in elevated T(Δ47) values which plot mostly between 40 and 60 °C. Our results indicate that the clumped isotopic composition of the shells were altered at low water-rock ratios, not affecting the δ18O values. Δ47 and δ18O data of associated diagenetic phases (sparitic and micritic phases of the inner fillings of the fossils) provide evidence that the sparitic cements grew during several diagenetic events which occurred at different temperatures in fluid-buffered systems. We, furthermore, conclude that the micritic phases lithified at a very early diagenetic stage with the δ18O values being most probably close to a Silurian seawater composition
Terrestrial climate and ecosystem evolution during ‘Greenhouse Earth’ phases of the early Paleogene remain incompletely known. Particularly, paleobotanical records from high southern latitudes are giving only limited insights into the Paleocene and early Eocene vegetation of the region. Hence, data from continuous well-calibrated sequences are required to make progress with the reconstruction of terrestrial climate and ecosystem dynamics from the southern latitudes during the early Paleogene.
In order to elucidate the terrestrial conditions from the high southern latitudes during the early Paleogene, terrestrial palynology was applied in the present study to two well-dated deep-marine sediment cores located at the Australo-Antarctic region: (i) IODP Site U1356 (Wilkes Land margin, East Antarctica) and (ii) ODP Site 1172 (East Tasman Plateau, southwest Pacific Ocean). The studied sequence from IODP Site U1356 comprises mid-shelfal sediments from the early to middle Eocene (53.9 – 46 million years ago [Ma]). For the ODP Site 1172, the studied succession is characterized by sediments deposited in shallow marine environments of the middle Paleocene to the early Eocene (60.7 – 54.2 Ma).
Based on the obtained pollen and spores (sporomorphs) results from the studied sequences of Site U1356 and Site 1172, this study aims to: (1) decipher the terrestrial climate conditions along the Australo-Antarctic region from the middle Paleocene to the middle Eocene; (2) evaluate the structure, diversity and compositional patterns of forests that throve in the Australo-Antarctic region during the early Paleogene; (3) understand the response of forests from the high southern latitudes to the climate dynamics from the early Paleogene; (4) establish a connection between the generated terrestrial palynomorph data and published Sea Surface Temperatures (SSTs) from the same cores.
To decipher the terrestrial climatic conditions on the Australo-Antarctic region, this study relies on the nearest living relative (NLR) concept that assumes that fossil taxa have similar climate requirements as their modern counterparts. This approach was applied to the sporomorph results of Site U1356 and Site 1172, following mainly the bioclimatic analysis. With regard to the structure and diversity patterns of the vegetation from the same region, the present study presents combined qualitative (i.e., reconstruction of the vegetation based mainly on the habitats of the known living relatives) and quantitative (i.e., application of ordination techniques, rarefaction and diversity indices) analyses of the fossil sporomorphs results.
The overall results from the paleoclimatic and vegetation reconstruction approaches applied in the present study, indicate that temperate and paratropical forests during the early Paleogene throve under different climatic conditions on the Wilkes Land margin and on Tasmania, at paleolatitudes of ∼70°S and ∼65°S, respectively.
Specifically, the sporomorph results from Site U1356, suggest that a highly diverse forest similar to present-day forests from New Caledonia was thriving on Antarctica during the early Eocene (53.9 – 51.9 Ma). These forests were characterized by the presence of termophilous taxa that are restricted today to tropical and subtropical settings, notably Bombacoideae, Strasburgeria, Beauprea, Spathiphyllum, Anacolosa and Lygodium. In combination with MBT/CBT paleotemperature results, they provide strong evidence for near-tropical warmth at least in the coastal lowlands along the Wilkes Land margin. The coeval presence of frost tolerant taxa such as Nothofagus, Araucariaceae and Podocarpaceae during the early Eocene on the same record suggests that paratropical forests were thriving along the Wilkes Land margin. Due to the presence of this kind of vegetation, it is possible to suggest that forests in this region were subject to a climatic gradient related to differences in elevation and/or the proximity to the coastline.
By the middle Eocene, the paratropical forests that characterized the vegetation of the early Eocene on the Wilkes Land margin were replaced by low diversity temperate forests dominated by Nothofagus, and similar to present-day cool-temperate forests from New Zealand. The dominance of these forests and the absence of thermophilous elements together with the lower temperatures suggested by the MBT/CBT and the sporomorph-based temperatures indicate consistently cooler conditions during this time interval.
With regard to the sporomorph results of Site 1172, this study suggests that three vegetation types were thriving on Tasmania from the middle Paleocene to the early Eocene under different climatic conditions. During the middle to late Paleocene, warm-temperate forests dominated by Podocarpaceae and Araucariaceae were the prevailing vegetation on Tasmania. The dominance of these forests was interrupted by the transient predominance of cool-temperate forests dominated by Nothofagus and Araucariaceae across the middle/late Paleocene transition interval (~59.5 to ~59.0 Ma). This cool-temperate forest was characterized by a lack of frost-sensitive elements (i.e., palms and cycads) indicating cooler conditions with harsher winters on Tasmania during this time interval. By the early Eocene, and linked with the Paleocene Eocene Thermal Maximum (PETM), Paleocene temperate forests dominated by gymnosperms were replaced by paratropical rainforests with the remarkable presence of the tropical mangrove palm Nypa during the PETM and the earliest Eocene. The overall results from Site U1356 and Site 1172, provide a new assessment of the terrestrial climatic conditions in the Australo-Antarctic region for validating climate models and understanding the response of high-latitude terrestrial ecosystems to the climate dynamics of the early Paleogene on southern latitudes.
The climatic conditions in the higher latitudes during the early Paleogene were further unravelled by comparing the obtained terrestrial and marine results. The integration of the obtained sporomorph data with previously published TEX86-based SSTs from Site 1172 documents that the vegetation dynamics were closely linked with the temperature evolution from the Australo-Antarctic region. Moreover, the comparison of TEX86-based SSTs and sporomorph-based climatic estimations from Site 1172 suggests a warm-season bias of both calibrations of TEX86 (i.e., TEX86Hand TEX86H), when this proxy is applied to high southern latitudes records of the early Paleogene.
To reconstruct ocean circulation changes during specific periods of Earth history, benthic and planktic foraminifera were used as proxies in the different parts of this thesis. Both studied time periods, the Late Cretaceous and the early Pleistocene, are characterized by long-term climate cooling and major changes in ocean circulation. The first part of this thesis concentrated in the Late Cretaceous. During the Late Cretaceous long-term cooling phase, benthic foraminiferal δ18O values show a positive shift lasting about 1.5 Myr (71.5–70 Ma). This shift can be observed on a global scale and has become known as the Campanian-Maastrichtian Boundary Event (CMBE). It is proposed that this δ18O excursion is influenced either by changing intermediate- to deep-water circulation or by temporal build-up of Antarctic ice sheets. Benthic foraminiferal assemblage counts from a southern high-latitudinal site near Antarctica (ODP Site 690) are analyzed to test if the influence of the CMBE on the benthic species composition. One of the two discussed hypotheses for the causation of the δ18O transition is a change in intermediate- to deep-water circulation from low-latitude to high-latitude water masses. This change would result in cooler temperatures, higher oxygen concentration, and possibly lower organic-matter flux at the seafloor, causing a major benthic foraminiferal assemblage change. Another possible explanation of the δ18O transition of the CMBE is significant ice formation on Antarctica. However no major benthic foraminiferal assemblage change would be expected in this case. The benthic foraminiferal assemblage of Site 690 shows a separation of the studied succession into two parts with significantly different species composition. The older part (73.0–70.5 Ma) is dominated by species, which are typical for lower bottom water oxygen concentration and more common in low-latitude assemblages. Species dominating the younger part (70.0–68.0 Ma) are indicators for well-oxygenated bottom waters and more common in high-latitude assemblages. This change in the benthic foraminiferal assemblages is interpreted to represent a shift of low-latitude toward high-latitude dominated intermediateto deep-water sources. A change in oceanic circulation was therefore at least a major component of the CMBE. The Pacific Ocean contributed significantly to the climatic development during the Late Cretaceous cooling period. The contribution of ocean circulation changes in the Pacific Ocean to the Late Cretaceous climatic development in general and the CMBE and Mid-Maastrichtian Event (MME) in particular, however, is poorly understood. Previously measured high resolution planktic and benthic stable isotope data and a neodymium (Nd) isotope record from the Pacific ODP Site 1210 (Shatsky Rise, tropical Pacific Ocean) for the Campanian to Maastrichtian (69.5 to 72.5 Ma) are used to reconstruct changes in surface- and bottom water temperatures as well as changes in the source region of deep- to intermediate waters [see Appendix 4; Jung et al. 2013]. The results of the benthic foraminiferal δ18O and Nd isotope records in combination with Nd isotope records from other studies indicate changes in the intensity of intermediate- to deep ocean circulation in the tropical Pacific across the Campanian-Maastrichtian interval [see Appendix 4; Jung et al. 2013]. During the early Maastrichtian (72.5 to 69.5 Ma), a three-million-year-long period of cooler conditions and a simultaneous change towards less radiogenic Nd isotope signatures is interpreted to represent a period of increased admixture and northward flow of deep waters from the Southern Ocean (Southern Component Water, SCW). This change was probably caused by an intensified formation of deep waters in the Southern Ocean. This was reduced again during the MME (69.5 to 68.5 Ma). This early Maastrichtian cold interval is similar to the CMBEδ13C fall and succeeding δ13C rise towards the MME and is therefore also interpreted to represent tectonically forced, long-term changes in the global carbon cycle and thus a tectonic forcing of the early Maastrichtian climate cooling. Overall, the Campanian-Maastrichtian Nd and stable isotope records of Shatsky Rise indicate changes in ocean circulation that are paralleled by global warming and cooling periods. The fluctuating strength of SCW contribution in the tropical Pacific points towards an increased respectively weakened ocean circulation, which is probably related to the strength of deep-water formation in the Southern Ocean [see Appendix 4; Jung et al. 2013]. For this study, the analysis of benthic foraminiferal assemblages of Site 1210 is carried out for the same time interval (69.5 to 72.5 Ma) as Nd and stable isotopes to evaluate the influence of intermediate- to deep ocean circulation changes on the benthic foraminiferal community. The possible reaction of benthic foraminiferal assemblages is compared to the results of stable isotope and neodymium isotopes. The observed changes in species abundances only partly reflect the circulation changes reconstructed with Nd and stable oxygen istopes. For example, Stensioina spp., Aragonia spp. and Lenticulina spp., cold-water preferring species, start to be increasingly abundant at the beginning of enhanced influence of SCW. However, their abundance pattern does not follow the varying strength of the cold SCW influence at Shatsky Rise. Other species prefer lesser oxygen concentrations and warmer bottom water, e.g. Paralabamina spp. and Globorotalites spp. Paralabamina spp. has its highest relativ abundance at the beginning of the studied succession, where the influence of SCW is small. However, this taxa occurs throughout the record, even though the influence of SCW increases. Globorotalites spp. is even most abundance after the CMBE, where bottom waters are till cold and influenced by SCW. This leads to the conclusion that the varying strength of SCW in the tropical Pacific at Shatsky Rise through the studied interval is not facilitating a significant faunal turnover as has been observed at the South Atlantic Site 690 (Chapter 3). These results of the benthic foraminiferal assemblage analysis suggest a rather minor influence of the SCW on the major environmental factors that are generally influencing benthic foraminiferal communities (e.g., oxygen concentration, organic matter flux to the sea floor, bottom-water temperature). The second major part of this thesis focused on the late Pliocene-earliest Pleistocene. The late Pliocene is characterized by a long-term global cooling trend resulting in a major increase of Arctic ice sheets from around 3 Ma onwards, culminating in the Plio-Pleistocene intensification of the Northern Hemisphere glaciation. At around 2.7 Ma, large amplitude glacial-interglacial excursions (~1‰ δ18O in benthic foraminiferal calcite) in benthic oxygen isotopes can be observed. Marine isotope stage (MIS) 100 at around 2.55 Ma is the first glacial, when widespread ice rafted debris has been found in sediments in the North Atlantic Ocean. To gain a deeper understanding of the climatic evolution of the latest Pliocene-early Pleistocene, it is necessary to improve the reconstructions of North Atlantic paleohydrography, as the North Atlantic provides a key region for global climate. The consequences of the intensification of Northern Hemisphere on the early Pleistocene North Atlantic thermocline stratification and intermediate waters are still poorly understood. However, surface hydrography, the history of the thermocline and development of North Atlantic intermediate waters are well-studied for the Last Glacial Maximum (LGM). These well-known mechanisms responsible for the LGM in comparison with the present-day interglacial North Atlantic are used as an analogue for te early Pleistocene glacialinterglacials cycles. In this study, suborbitally resolved stable oxygen and carbon isotope and Mg/Ca records are measured from a deep-dwelling planktic foraminifera (Globorotaliacrassaformis) from Integrated Ocean Drilling Program Site U1313 (North Atlantic, 41°N) covering marine oxygen isotope stages MIS 103 to 95 (early Pleistocene, 2.6 to 2.4 Ma). The results are interpreted to represent a change in intermediate-water masses on glacialinterglacial timescales. During glacials geochemical records in G. crassaformis (~500–1000 m) bear the imprint of Glacial North Atlantic Intermediate Water (GNAIW), while during interglacials this species reflects the signature of the influence of Mediterranean Outflow Water (MOW) in combination with the subtropical gyre. The comparison of this data with the published records from G. ruber from the same samples facilitates the reconstruction of glacial-interglacial stratification changes of the upper water column at Site U1313. The results show that larger gradients of temperature, salinity and δ13C prevailed during glacials, suggesting a stronger stratification of the upper water column. This can be seen to indicate glacial-interglacial changes in ntermediate water masses in the North Atlantic similar to those reconstructed for the latest Pleistocene. As an additional proxy, the clumped isotope paleothermometer is applied for the Late Cretaceous study as well as for the early Pleistocene. This proxy is commonly assumed to be independent of other factors than temperature. Clumped isotopes are measured for the Late Cretaceous Site 690 on the planktic foraminiferal species Archaeoglobigerina australis and compared to already existing stable oxygen isotopes of this species. This is assumed to enable the reconstruction of paleotemperature independent of ice volume and therefore contribute to the long-lasting discussion whether there was a temporal ice build-up on Antarctic during the Campanian-Maastrichtian cooling period. For the early Pleistocene, the planktic foraminiferal species G. crassaformis is used from Site U1313 from MIS 99 (interglacial) and MIS 98 (glacial). This provides the opportunity to separate ice volume, salinity and temperature effects on the measured δ18O record of G. crassaformis. The results of the clumped isotope measurements reveal comparatively large standard errors. For the Late Cretaceous the standard error of the clumped isotope measurements proved too large to allow any conclusions on the temperature component on the δ18O record of A. australis. For the early Pleistocene, the temperature difference is also too small to be reconstructed with the standard error of the clumped isotope measurements in this study. Measuring many replicates of one sample would minimize the standard error considerably. However, the amount necessary to measure replicates cannot be gained for either time period, as almost all foraminifera were picked from the respective samples. It is concluded that the respective questions may be solved with a different method of clumped isotope analysis requiring less sample material. This method is, for example, available at the ETH Zurich.
Mantle convection is the process by which heat from the Earth’s core is transferred upwards to the surface and it is accepted to explain the dynamics of the Earth’s interior. On geological time-scales, mantle material flows like a viscous fluid as a consequence of the buoyancy forces arising from thermal expansion. Indeed, mantel convection provides a framework which links together the major disciplines, such as seismology, mineral physics, geochemistry tectonic and geology. The numerical model has been applied to understand the dynamic, structure and evaluation of the Earth, and other terrestrial planets and the investigations continue to explore, different aspects of the mantle convection.
In fact, to model this phenomenon, two complementary approaches are possible. On the one hand, one can solve self-consistently the equations of thermal convection, including parameters and employing physical relationships derived from mineral physics. Our understanding of mantle convection depends ultimately upon the success of such fully self-consistent dynamic models in explaining observable features of the flow. Although, these models presently unable to predict the actual convection pattern of the Earth, they are extremely useful to investigate general characteristics of given physical systems. On the other hand, to permit comparison with specific observables associated with the flow, one can consider a more restricted problem. Instead of focusing on the time evolution of mantle flow, if we know a priori the temperature - and hence presumably the density - anomalies that drive the convection, we can try to build a snapshot of the present-day flow pattern, consistent with those anomalies, that can successfully predict the observables. As matter of fact, the aim of this study is to investigate both approaches in comparison with the main geophysical constraints on mantle structure. These constraints include the geoid anomalies, the dynamic surface and core-mantle boundary topography and tectonic plate motions.
The most appropriate mathematical basis functions for describing a bounded and continuous function on a spherical surface are spherical harmonics. We may therefore expand the geodynamic observables in terms of spherical harmonics. We have investigated two methods of the global spherical harmonic analysis by specific attention to the dynamic geoid computation of the geodynamic models. The first method is the quadrature method in which the loss of the orthogonality of the Legendre functions in transition from continues to discrete case is the major drawback to the method. Particularly, we showed that in the absence of the tesseral harmonics, quadrature formulation leads to obtain inaccurate results. The second method is the least-squares which can be considered as the best linear unbiased estimator that provides the exact results. We showed that even with a low resolution grid data it is possible to reconstruct the data and achieve an accurate result by using this method, which is extremely remarkable in three-dimensional global convection studies. However, special care has to be taken since there is some source of errors that might influence the efficiency of this method.
In general, to better understanding of the properties of the mantle, it is useful to assess observable characteristics of plumes in the mantle, including geoid, topography and heat flow anomalies. However, only few studies exist on geoid and topography for axi-symmetric convection and their models were restricted to isoviscous (or stratified) mantle and low Rayleigh numbers. We studied fully coupled depth and temperature dependent Arrhenius type of viscosity in axi-symmetric spherical shell geometry in order to investigate the shape of geoid anomalies and dynamic topography above a plume. Indeed, the topography and geoid anomalies produced from plumes are sensitive to rheology of the mantle and rheology of the plume; both have effects on shape and amplitude of the geoid anomalies. As results we are able to define different classes of plumes by their geoid signals.
Mainly depth-dependent viscosity models show a geoid with negative sign above the plume which can turn to the positive sign by decrease the viscosity contrast. This can be considered as a transition between the strongly depth dependent and the constant viscosity case. Our results basically support the idea by Morgan [1965] and McKenzie [1977]. They have shown the magnitude and even the sign of the total gravity anomaly depend on the spatial variation in effective viscosity. In addition, Hager [1984] has concluded that the total gravity field is depend on the radial distribution of effective viscosity, and a small change in viscosity contrast leads to varying sign of the response function.
In the case of temperature-dependent viscosity, the formation of an immobile lithosphere is a natural result, and the flow as well as the total geoid becomes strongly time dependent. When we increase the activation energy, all geoids associated with the first arriving plumes look like bell shaped whereas for typical plumes, after reaching a statistical steady state, bell-shaped geoids with decreasing amplitude as well as linear flank shaped geoids are observed. It is surprising that in spite of large differences in lateral and depth varying viscosities, the shapes of the geoid anomalies remained rather similar. We also identified different behaviors in the combined model with temperature-and pressure-dependent viscosity. In fact, in spite of the strongly different rheology, the geoid anomalies in all cases were surprisingly similar. Furthermore, we proposed a scaling law for the geoid which makes our results directly applicable to other planets. Moreover, we can apply the results of our calculation to find relations between different rheology and sub-lid temperature, since we know that the mantle temperature can change significantly with variation in pressure-temperature dependent viscosity. It is also possible to define a range of stagnant lid thickness related to the amplitude of the geoid which can be reasonable for study of the lid thickness in Venus or Mars.
Nevertheless, in these series of models, we simplified a number of complexities within the Earth. One of the most important of such simplification is the Boussinesq approximation. This approximation is valid if the temperature scale height (i.e. the depth over which temperature increases by a factor of “ ” due to adiabatic compression) is much greater than the convection depth. However, a temperature scale height in the Earth’s mantle is at best only slightly greater than the mantle depth. Hence, the Boussinesq approximation could mask some very important stratification and compressibility effects that influence both the spatial and temporal structure of the convection. Therefore, in more advance models we considered compressibility in our mantle convection models, assuming that density vary both radially and laterally, being determined as a function of pressure and temperature through an appropriate equation of the state. Moreover, thermodynamic properties assumed to be a function of depth.
We examined the details of the structure of the spherical axi-symmetric Anelastic Liquid Approximation model (ALA) with special attention to the Arrhenius rheology, and compare it to the cases of compressible convection without depth dependent thermodynamical properties, and to cases of the extended Boussinesq approximation. At the same time, the effects of the interaction between temperature and pressure-dependent viscosity and thermodynamic parameters in the compressible mantle convection on the geoid and topography have been studied. We showed that assuming compressible convection with depth-dependent thermodynamic properties strongly influence the geoid undulations. Using compressible convection with constant thermodynamic properties is physically inconsistent and may lead to spurious results for the geoid and convection pattern. Indeed, by a systematic study of different approaches of compressibility in the spherical shell convection for different Arrhenius viscosity laws we proved that only in the unrealistic case of zero activation energy the different compressibility modes result in comparable convection and geoid patterns. In all other rheological cases, large differences have been obtained, that stressing the important role of consistent compressible thermodynamic properties for mantle convection.
In addition, we examine the impact of compressibility as well as different rheologies on the power law relation that connects the Nusselt number to the Rayleigh number. We have discovered that the power law index of the relationship is controlled by the rheology, independent of which approximation is used. Instead, the bound of this relation is controlled by a combination of different approximation and rheology.
Next, instead of focusing on the time evolution of mantle flow, we have carried out three-dimensional spherical shell models of mantle circulation to investigate the effects of joint radial and lateral viscosity variations on the Earth’s non-hydrostatic geoid, surface and core-mantle boundary topographies. These models include realistic lateral viscosity variations (LVV) in the lithosphere, upper mantle and lower mantle in combination with different stratified viscosity structures. We have demonstrated that the contradictory results concerning the effects of LVV can be clarified by the most straight-forward problem in geoid modeling; namely, rather poorly known stratified viscosity structure. We explored three classes of dynamic geoid models due to lateral viscosity variations. In the first class, the LVV strongly improved the fit to the observed geoid. Indeed, when the viscosity contrast between lower and upper mantles is not large enough to produce a good fit to geoid the LVVs are able to perform this action by adjusting amplitudes, so that it becomes comparable with observation. In the second class, inducing the LVV moderately improved the fit. Actually, when the geoid induced by a stratified viscosity structure already has a good correlation with observation, then the LVV causes its amplitude to further improve. In the last class, if the viscosity contrast between upper and lower mantle would be high enough, inducing LVV deteriorate the fit to the observed geoid.. Indeed, depending on the stratified viscosity, inducing the LVV may take place in one of these categories.
We also quantified the effects of LVV in the mantle and lithosphere individually. We found that the presence of LVV in the mantle (upper and lower) improves the fit to the observed geoid regardless of stratified viscosity. While LVV in the lithosphere is a crucial parameter, and dependent of the stratified viscosity, may increase or decrease the geoid fit. In fact, when the lower mantle considers being viscous enough, it would support the negative buoyancy of subducting slabs. Thus, it transmits some of the stress back to the top boundary and causes a weak coupling between slab and surface. Therefore, by including the low viscous plate boundaries in this model, the slabs and overriding plates decouples and the fit to the observed geoid degrades. In contrast, when the lower mantle viscosity is not sufficiently stiff, the presence of the low viscous plate boundaries assists to weaken the strong mechanical coupling between slab and surface. Hence, a better fit achieved.
This study describes the Holocene sedimentary lagoonal deposition history, including event sedimentation and benthic foraminiferal analyzes, from about 10 kyrs BP until today. This is the first study describing the sedimentation of a Maldivian atoll lagoon in such detail. Thirty-nine sediment cores have been recovered from the deep Rasdhoo Atoll lagoon of the Maldives (4°N/73°W). Seventeen sediment cores were opened, described, and 296 sediment samples have been collected and analyzed. Different methods have been used to evaluate the coarse- and fine-grained carbonate components and a total of fifty-eight samples have been dated radiometrically by Beta Analytic Inc., Miami, Florida. In general, the Rasdhoo Atoll lagoon sediments can be divided into (1) a Late Pleistocene soil, (2) an early Holocene peat layer composed of mangrove deposits which mark the beginning inundation of the atoll lagoon by the rising Holocene sea-level at 10,320 ± 100 yrs BP, and (3) carbonate sediments starting to fill up the lagoon 7850 ± 140 yrs BP until today. The transition from peat to carbonate is characterized by a considerable hiatus. Six different carbonate sediment facies are classified by statistical analyses, listed in decreasing abundance:
(1) mollusk-coral-algal floatstone to rudstone (30%)
(2) mollusk-coral-red algae rudstone (23%)
(3) mollusk-coral-algal wackestone to floatstone (23%)
(4) mollusk-coral wackestone (13%)
(5) mollusk-coral mudstone to wackestone (9%)
(6) mollusk mudstone (2%)
Based on grain-sizes in combination with coral identification, the facies represent both lagoonal background sedimentation (mostly fine-grained sediments (matrix >50%)) and event sedimentation (coarse-grained sediment layers composing reefal components).
Six coarser grained layers in muddy background sediments of the Rasdhoo Atoll lagoon were interpreted as Holocene tsunami events, based on the increase of allochthonous skeletal material with shallow-water reef affinity such as fragments of shallow-water coral species, coralline red algae, and reef-dwelling foraminifera in these layers, as well as AMS dating:
• Event 1: 420 - 890 yrs BP (655 yrs BP)
• Event 2: 890 - 1560 yrs BP (1225 yrs BP)
• Event 3: 2040 - 2340 yrs BP (2190 yrs BP)
• Event 4: 2420 - 3380 yrs BP (2900 yrs BP)
• Event 5: 3890 - 4330 yrs BP (4110 yrs BP)
• Event 6: 5480 - 5760 yrs BP (5620 yrs BP)
Five of the six layers may be correlated to previously published tsunami events at adjacent coastal research sites. The mid-late Holocene atoll lagoon archive is incomplete though based on the assumption that major earthquakes at the Indonesian subduction zone generated more than six major tsunamis during the past 6.5 kyrs.
According to Gischler (2006), the sediments of the Rasdhoo Atoll lagoon can be divided into two areas: (1) a central to marginal deep lagoon with a lateral west-to-east gradient of sediment facies distribution, visible in sections <4 kyrs BP with sedimentary facies of mudstone to wackestone in the western part (e.g., cores 16, 18, and 34) and coarse-grained coral and algal-rich sediments in the eastern part of the lagoon (e.g., cores 30 and 31). (2) A northern enclosed and shallow area between the sand apron and the sand spit accumulating “sandy” sediments of wackestone facies (cores 2, 19, 25, and 26).
Comparing the sediment accumulation data of the lagoon with two reconstructed local sea-level curves, three different sequence-stratigraphical systems tracts are visible: (1) a lowstand systems tract (LST) >10 kyrs BP. Pleistocene brownish soil superposing subaerially exposed Pleistocene reef limestone. (2) A transgressive systems tract (TST) 10-6.5 kyrs BP. A peat layer marks the beginning of the inundation, and the carbonate sedimentation starts with very low sedimentation rates of 0.02 m/kyr. (3) A highstand systems tract (HST) 6.5-0 kyrs BP, further divided into three stages (6.5-3, 3-1, 1-0 kyrs BP). The sea-level rise slowed down, sedimentation rates are increasing continuously up to a maximum of 1.4 m/kyr, the sand spit developed some 4 kyrs BP, the lagoonal circulation got restricted, and the lateral west-to-east gradient of grain-size accumulation started. From 1-0 kyrs BP the sedimentation rates slowed down to modern mean sedimentation rates of 0.6 m/kyr.
Two cores, one core from the center of the lagoon (core 16) and one core from the northern margin of the lagoon (core 19), have been analyzed on diversity and assemblages of benthic foraminifera in high-resolution. The transitions of Ammonia spp. to a more even and diverse fauna marks a significant environmental change at 7.0 kyrs BP in core 16 (onset of a stable environment in the deep lagoon after the sea-level rise slowed down at HST stage 1) and at 4.0 kyrs BP in core 19. A continuing environmental change after 1.4 kyrs BP in core 16 caused the fauna to become more even, a recovery of diversity and a permanent decline of foraminiferal accumulation rate. The changes in the faunas at 4.0 kyrs BP and at 1.4 kyrs BP could be explained with the sand spit formation in the northwestern and western lagoon. The sand spit has apparently acted as an obstacle in lagoonal circulation and might have caused unstable environmental conditions due to a more rapid circulation at the shallow marine site of core 19 and a slowdown of bottom water circulation in the main lagoon (core 16) leading to higher residence times and to lower oxygen and higher nutrient concentrations.
Derivation and characterization of a new filter for nonlinear high-dimensional data assimilation
(2015)
Data assimilation (DA) combines model forecasts with real-world observations to achieve an optimal estimate of the state of a dynamical system. The quality of predictions in nonlinear and chaotic systems such as atmospheric or oceanic circulation is strongly sensitive to the initial conditions. Therefore, beyond the consistent reconstruction of past states, a primary relevance of advanced DA methods concerns the proper model initialization. The ensemble Kalman filter (EnKF) and its deterministic variants, mostly square root filters such as the ensemble transform Kalman filter (ETKF), represent a popular alternative to variational DA schemes. They are applied in a wide range of research and operations. Their forecast step employs an ensemble integration that fully respects the nonlinear nature of the analyzed system. In the analysis step, they implicitly assume the prior state and observation errors to be Gaussian. Consequently, in nonlinear systems, the mean and covariance of the analysis ensemble are biased and these filters remain suboptimal. In contrast, the fully nonlinear, non-Gaussian particle filter (PF) relies on Bayes' theorem without further assumptions, which guarantees an exact asymptotic behavior. However, it is exposed to weight collapse, particularly in higher-dimensional settings, known as the curse of dimensionality.
This work presents a new method to obtain an analysis ensemble with mean and covariance that exactly match the corresponding Bayesian estimates. This is achieved by a deterministic matrix square root transformation of the forecast ensemble, and subsequently a suitable random rotation that significantly contributes to filter stability while preserving the required second-order statistics. The forecast step remains as in the ETKF. The algorithm, which is fairly easy to implement and computationally efficient, is referred to as the nonlinear ensemble transform filter (NETF). The limitation with respect to fully-nonlinear filtering is that the NETF only considers the mean and covariance of the Bayesian analysis density, neglecting higher-order moments.
The properties and performance of the proposed algorithm are investigated via a set of experiments. The results indicate that such a filter formulation can increase the analysis quality, even for relatively small ensemble sizes, compared to other ensemble filters in nonlinear, non-Gaussian scenarios. They also confirm that localization enhances the applicability of this PF-inspired scheme in larger-dimensional systems. Finally, the novel filter is coupled to a large-scale ocean general circulation model with a realistic observation scenario. The NETF remains stable with a small ensemble size and shows a consistent behavior. Additionally, its analyses exhibit low estimation errors, as revealed by a comparison with a free ensemble integration and the ETKF. The results confirm that, in principle, the filter can be applied successfully and as simple as the ETKF in high-dimensional problems. No further modifications are needed, even though the algorithm is only based on the particle weights. Thus, it is able to overcome the curse of dimensionality, even in deterministic systems. This proves that the NETF constitutes a promising and user-friendly method for nonlinear high-dimensional DA.
In the past sixty years, excessive water consumption and dam construction have significantly influenced natural flow regimes and surface freshwater ecosystems throughout China, and thus resulted in serious environmental problems. In order to balance the competing water demands between human and environment and provide knowledge on sustainable water management, assessments on anthropogenic flow alterations and their impacts on aquatic and riparian ecosystems in China are needed.
In this study, the first evaluation on quantitative relationships between anthropogenic flow alterations and ecological responses in eleven river basins and watersheds in China was performed based on the data that could be obtained from published case studies. Quantitative relationships between changes in average annual discharge, seasonal low flow and seasonal high flow and changes in ecological indicators (fish diversity, fish catch and vegetation cover, etc.) were analyzed. The results showed that changes in riparian vegetation cover as well as changes in fish diversity and fish catch were strongly correlated with the changes in flow magnitude (r = 0.77, 0.66), especially with changes in average annual river discharge. In addition, more than half of the variations in vegetation cover could be explained by changes in average annual river discharge (r² = 0.63) and roughly 50 % changes in fish catch in arid and semi-arid region and 60% changes of fish catch in humid region could be related to alterations in average annual river discharge (r² = 0.53, 0.58).
In a supplementary analysis of this study, the first estimation on quantitative relationships between decreases in native fish species richness and anthropogenic flow alterations in 34 river basins and sub-basins in China was conducted. Linear relationships between losses of native fish species and five ecologically relevant flow indicators were analyzed by single and multiple regression models. For the single regression analysis, significant linear relationships were detected for the indicators of long-term average annual discharge (ILTA) and statistical low flow Q90 (IQ90). For the multiple regressions, no indicator other than ILTA has significant relationships with changes in number of fish species mainly due to collinearity. Two conclusions emerged from the analysis: 1) losses of fish species were positively correlated with changes in ILTA in China and 2) indicator of ILTA was dominant over other flow indicators included in this research for the given dataset. These results provide a guideline for the sustainable water resources management in rivers with high risk of fish extinction in China.
Bayesian Networks are computer-based environmental models that are frequently used to support decision-making under uncertainty. Under data scarce conditions, Bayesian Networks can be developed, parameterized, and run based on expert knowledge only. However, the efficiency of expert-based Bayesian Network modeling is limited by the difficulty in deriving model inputs in the time available during expert workshops. This thesis therefore aimed at developing a simple and robust method for deriving conditional probability tables from expert estimates in a time-efficient way. The design and application of this new elicitation and conversion method is demonstrated using a case study in Xinjiang, Northwest China. The key characteristics of this method are its time-efficiency and the approach to use different conversion tables based on varying levels of confidence. Although the method has its limitations, e.g. it can only be applied for variables with one conditioning variable; it provides the opportunity to support the parameterization of Bayesian Networks which would otherwise remain half-finished due to time constraints. In addition, a case study in the Murray-Darling Basin, Australia, is used to compare Bayesian Network types and software to improve the presentation clarity of large Bayesian Networks. Both case studies aimed at gaining insights on how to improve the applicability of Bayesian Networks to support environmental management.