Estimating Nonpoint Source Pollution in the Upper Yangtze

River Using the Export Coefficient Model, Remote Sensing,

and Geographical Information System
Rui-min Liu, Ph.D.1; Zhi-feng Yang, Ph.D.2; Zhen-yao Shen, Ph.D.3; Shaw L. Yu, Ph.D.4; Xiao-wen Ding5;
Xing Wu6; and Fang Liu7
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Abstract: Recently, increasing nutrient 共i.e., nitrogen and phosphorus兲 concentrations have been observed in the surface water of many
countries and this nonpoint source 共NPS兲 pollution has become an important factor in the deterioration of water quality in the upper reach
of the Yangtze River Basin. In this paper, the NPS pollution loads in the upper reach of Yangtze River Basin in the year 2000 were
estimated using export coefficient model and remote sensing techniques. The spatial distributions of the NPS loads within the watershed
were then displayed using geographical information system. Results indicated that the total nitrogen load was 1.947⫻ 106 t and the total
phosphorus load was 8.364⫻ 104 t. Important source areas for the nutrients were croplands in the Jinsha R. and Jialing R. watershed, as
well as the Chongqing municipality.
DOI: 10.1061/共ASCE兲0733-9429共2009兲135:9共698兲
CE Database subject headings: River basins; Nonpoint pollution; Water pollution; China; Coefficients; Remote sensing; Geographic
information systems.

Introduction
Surface water deterioration in many countries during the past few
decades has resulted from both point and nonpoint source 共NPS兲
pollution 共Ritter and Shirmohammadi 2001兲. In the United States,
NPS pollution has been identified as the leading cause of de-
graded water quality for surface waters 共Harbor 1999兲. An in-
creased global awareness of the effects of NPS pollution on
surface waters via chemical transport in runoff has simulated
1 To date, there are numerous studies using mathematic models to
Lecturer, State Key Laboratory of Environmental Simulation and
Pollution Control, School of Environment, Beijing Normal Univ., Beijing
100875, People’s Republic of China 共corresponding author兲. E-mail:
liurm@bnu.edu.cn
2
Professor, State Key Laboratory of Environmental Simulation and
Pollution Control, School of Environment, Beijing Normal Univ., Beijing
100875, People’s Republic of China.
3
Professor, State Key Laboratory of Environmental Simulation and
Pollution Control, School of Environment, Beijing Normal Univ., Beijing
100875, People’s Republic of China.
4
Emeritus Professor, Dept. of Civil Engineering, Univ. of Virginia,
Charlottesville, VA 22903.
5
Doctorate Candidate, State Key Laboratory of Environmental Simu-
lation and Pollution Control, School of Environment, Beijing Normal
Univ., Beijing 100875, People’s Republic of China.
6
Ph.D. Candidate, State Key Laboratory of Environmental Simulation
and Pollution Control, School of Environment, Beijing Normal Univ.,
Beijing 100875, People’s Republic of China.
7
Graduate Student, State Key Laboratory of Environmental Simula-
tion and Pollution Control, School of Environment, Beijing Normal
Univ., Beijing 100875, People’s Republic of China.
Note. This manuscript was submitted on July 7, 2006; approved on
April 24, 2009; published online on August 14, 2009. Discussion period
open until February 1, 2010; separate discussions must be submitted for
individual papers. This paper is part of the Journal of Hydraulic Engi-
neering, Vol. 135, No. 9, September 1, 2009. ©ASCE, ISSN 0733-9429/
2009/9-698–704/$25.00.
water quality research 共Sharpley 1995; Centner et al. 1999; Borin
et al. 2005兲. However, NPS pollution is difficult to study because
it requires significant legislative and infrastructural changes at the
national level prior to investment 共Dzikiewicz 2000兲. Implement-
ing pollution prevention methods require a clear understanding of
the impacts of nutrient sources on stream water quality at a wa-
tershed level.
In the last two decades, NPS pollution has become a stimulus
for research that resulted in the development of several computer
simulation models and modeling techniques 共Leon et al. 2001兲.
estimate NPS pollution loads. Computer simulation models have
been useful tools for the analysis of watershed processes and their
interactions, as well as for the development and assessment of
watershed management scenarios 共He 2003兲.
More recently, researchers have coupled geographical infor-
mation system 共GIS兲 with hydrologic models within the Windows
environment for PCs, e.g., better assessment science integrating
point and NPSs by the U.S. Environmental Protection Agency
共Lahlou et al. 1998兲, and the Soil and Water Assessment Tool by
Luzio et al. 共2002兲. Such models with GIS interfaces usually ad-
dress issues of data processing and visualization, tool coordina-
tion, and user friendliness, thereby significantly improving the
applicability of hydrologic models.
However, such physically-based models have certain disad-
vantages 共Worrall and Burt 1999b兲. These disadvantages can be
summarized as: 共1兲 a dependence of site-specific parameters; 共2兲
model parameters require additional effort and expense to mea-
sure; and 共3兲 physically based models may impose upon the data
an incomplete theory. An alternative to the physically based ap-
proach is to use an empirical approach, especially for manage-
ment purposes. Site managers prefer an effective, convenient, and
relatively simple model to estimate the annual NPS loading. Ex-
port coefficient models have been developed for modeling the
export of nitrates and phosphates from watersheds under the as-

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Fig. 1. Site location of upper reach of Yangtze River
sumption that land uses, such as cropland, are major controls on
nutrient transport at the watershed level 共Johnes 1996; Mattikalli
and Richards 1996; Worrall and Burt 1999a; Jones et al. 2001;
Ierodiaconou et al. 2005兲.
In this study, an export coefficient model, coupled with remote
sensing 共RS兲 and GIS was used to predict the loads of total nitro-
gen 共TN兲 and total phosphorus 共TP兲 from the upper reach of the
Yangtze River Basin in the year 2000. The spatial estimation and
regional analysis of each watershed and province in the Yangtze
River Basin were also carried out in this paper.
Study Area and Data Description
Study Area
The Yangtze River is the longest river in China and third longest
in the world. The headwaters of the Yangtze River are situated in
the Kunlun Mountains of southwestern Qinghai province at an
elevation of about 4,800 m. The upper reach of the Yangtze River
extends 4500 km from Riverhead to Yichang City, encompassing
an area of about 1 million km2. The study area is includes the
watersheds of the Jinsha River, Mintuo River, Jialing River, Wu
River, and the upper region of main stream 共Fig. 1兲. This region
contains the provinces of Gansu, Guizhou, Hubei, Qinghai,
Shanxi, Sichuan 共SC兲, and Yunnan, as well as the Tibet autono-
mous region and the district of Chongqing municipality 共CQ兲
共Fig. 2兲. The population of this area is about 0.163 billion 共Wang
et al. 2003兲.
The eastern part of this study area contains the SC basin and
experiences a subtropical and humid climate. The western part of
the study area is considered the highland area and experiences
frequent fog with intense sunlight, but low temperatures. The an-
nual rainfall in this area is 1,000–1,400 mm. Most of the upper
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J. Hydraul. Eng. 2009.135:698-704.
reach of the Yangtze River Basin is a mountainous region. The
proportion of cropland of this area is only 15%, more than half of
which is on hilly land 共Zhong et al. 1992兲.
The current state of the water quality of the Yangtze River is
mainly influenced by soil erosion and NPS pollution resulting
from land cover change 共Zhang et al. 2003兲. During the period of
1970–2000, cropland acreage increased markedly. As a conse-
quence, river health across the region became generally poor.
Current land use is predominantly agricultural, forest and pasture.
Increased nutrient loads have been linked to the transformation of
natural land cover 共such as forest and pasture兲 to anthropogenic
land cover 共such as cropland兲. Land conversion has resulted in the
widespread application of nutrients in the form of fertilizers to
assist pasture and crop growth with much of the excess fertilizers
contributing to the nutrient loads of the rivers.
Data Description
The export coefficient model described in the next section re-
quires mainly data pertaining to land use. Data regarding popula-
tion, cattle, pigs, sheep, and poultry are also needed. Table 1
presents the available data for the study area and the processing
required for analysis.
Landsat 7 ETM+ 共30 m resolution兲 satellite imagery was
analyzed to produce a current 共2000兲 land use data set for the
upper reach of the Yangtze River Basin. Ground referenced data
were collected using differential global positioning systems
共GPS兲 共1–2 m accuracy兲 for classification and error assessment. A
supervised classification technique 共ENVI 4.0兲 using the maxi-
mum likelihood classifier was conducted for the full scene, fol-
lowed by a rigorous error assessment using independent ground
data and aerial survey information. Interpreted land use of the
upper reach of the Yangtze River Basin was classified into crop-
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Fig. 2. District region of upper reach of Yangtze River

land, grassland, woodland, city land, water land, and wasteland,
which is shown in Fig. 3 共Shi et al. 2002; Liu et al. 2003a,b兲.
Digital elevation model 共DEM兲 data were analyzed to produce
vector data for the watershed, subwatershed, and stream network
for the upper reach of the Yangtze River using the hydrological
model analysis method of ArcGIS 9.0. The district map of the
upper reach of the Yangtze River was created using the geopro-
cessing method with the digital data of district.
The data were projected with the Albers conical equal area
projection during the data processing. The parameters of the pro-
jection were the standard parallel latitudes of 25 ° N and 47 ° N,
the central meridian longitude is 105 ° E, the original projection
latitude is 0.
Approach
Export Coefficient Model
Nutrient loadings were estimated using a model based on the
export coefficient approach, which was first developed in North
America in 1970s and mainly used to estimate the relationship of
land use to lake eutrophication 共Jorgenson 1980; Reckhow and
Simpson 1980; Beaulac and Reckhow 1982兲. The original model
assumed one general export coefficient for all agricultural land.
This has been found to be insensitive to the spatial heterogeneities
in land use, stocking densities, and land management practices
inherent to agricultural systems, thus limiting the degree to which
the model can respond to the ongoing expansion and intensifica-
tion in agriculture. The single agricultural coefficient also inhib-
ited the possibility of using the model to assess the effects of
spatial relocation of agricultural nutrient sources within the wa-
tershed on water quality 共Johnes 1996兲. The original model was
modified to account for a number of nutrient export factors, such
as the inputs of nitrogen and phosphorus to the watershed, human
settlements, land management practices, and livestock 共Johnes
and O’Sullivan 1989; Johnes 1990; Heathwaite et al. 1990兲. The
modified model is as follows:
n
L= 兺
i=1
E iA i + p 共1兲

Table 1. Data Source and Corresponding Process

where L = loss of nutrients; E = export coefficient for nutrient
Data sources Data Processing source i; A = area of watershed occupied by a specific land use or
Landsat ETM+ 2000 Land use data Supervised number of livestock, or people; and p = input of nutrients from
classification precipitation.
GPS ground data Ground referenced Differential The nutrient loss from all possible sources of nitrogen and
data correction using phosphorus in a watershed is estimated by defining an appropriate
base station export coefficient for both nutrients. The export coefficient model
network utilizes the present use of nitrogen and phosphorus rather than the
1:1,000,000 district Vector data of district Digitalization historic use to determine the contributions from the nutrient
map of China sources. The approach is based on the idea that the nitrate and
1:250,000 DEM data Vector data of Hydrological phosphate loads exported from a watershed are the sums of the
watershed and stream model analysis losses from individual sources 共Worrall and Burt 1999b兲.
network
Statistical yearbooks Data of rural Copy and record
population, pigs, Export Coefficient
sheep, cattle, and The export coefficient 共Ei兲 expresses the rates at which nitrogen
poultry
or phosphorus is exported from each source area in the watershed.

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Fig. 3. Land use of the upper reach of the Yangtze River 共2000兲

Ei is the key parameter, which determines the amount of nutrient ers in the relational database component of the GIS were used in
loading from the various NPSs. The factors which affect the ex- the model calculations, which required a large number of repeti-
port coefficient in a watershed mainly include topography, hydrol- tive operations for the model computations. Therefore, special
ogy, climate, land use, soil type, vegetation, and management GIS routines using the Arc Macro Language were developed to
practices 共Li and Zhuang 2003兲. There have been many studies carry out these operations automatically.
regarding export coefficients 共Vollenweider 1968; Cooke 1976;
Reckhow and Simpson 1980; Gostick 1982; Heal et al. 1982;
Soderlund et al. 1982; Royal Society 1983; Cai et al. 2004兲 and it Results and Analysis
is necessary to obtain from the literature the appropriate export
coefficient for different land uses. The export coefficients used in
this application of the model are presented in Table 2. Spatial Simulation of NPS Pollution Load
The spatial distribution maps of TN and TP loads for the research
Model Computations area in 2000 were obtained using the export coefficient table
共Table 2兲, land use, population, and domestic animal numbers
Computations involved in the export coefficient model were per-
共Fig. 4兲 for the upper reach of the Yangtze River Basin. It can be
formed using GIS, which was essential in this study. GIS pro-
seen from Fig. 4 that TN and TP loads for the upper reach of the
vided the appropriate technology for the input, storage,
manipulation, and analysis of large volumes of data at different Yangtze River Basin mainly originated from the SC Basin, while
scales. A major input parameter to this model was the areal extent loads in the headwaters were correspondingly low. This is due to
of different nutrient source. Attributes attached to the digital lay- the concentrated areas of farming and rural population in the
upper reach of the Yangtze River Basin. In the headwaters, there
were widely distributed areas of woodland and grassland, so the
Table 2. Export Coefficient of the Upper Reach of the Yangtze River nutrient output is relatively low.
Basin
Coefficient Coefficient Result Analysis
Nutrient source 共unit兲 共TN兲 共TP兲
Cropland 共t / km−2兲 2.900 0.090 Analysis of TN and TP Load
Woodland 共t / km−2兲 0.238 0.015 From Fig. 4, the TN and TP loads for the upper reach of the
Grassland 共t / km−2兲 1.000 0.020 Yangtze River Basin in 2000 were 1.947⫻ 106 and 8.365
City land 共t / km−2兲 1.100 0.024 ⫻ 104 t, respectively. Considering that the research area was
Wasteland 共t / km−2兲 1.490 0.051 more than 1 ⫻ 106 km2, load loss of NPS pollution should be
People 共t / ca⫻ 104兲 19.547 2.142
considered in the process of occurring, entering water body and
transporting to Yichang monitoring station. According to the
Cattle 共t / ca⫻ 104兲 113.715 2.179
basin loss formula presented by Behrendt 共1996兲, the monitor
Pigs 共t / ca⫻ 104兲 26.667 1.417
value of Yichang monitoring station was 20% of NPS pollution
Sheep 共t / ca⫻ 104兲 15.134 0.450
load, which generated in the upper reach of the Yangtze River
Poultry 共t / ca⫻ 104兲 0.459 0.054
Basin. Thus, the estimated loads of TN and TP at the Yichang

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Fig. 4. Spatial distribution of NPS pollution loads in the upper reach of the Yangtze River Basin 共2000兲

monitoring section were 3.895⫻ 105 and 1.673⫻ 104 t, respec-
tively. The estimated errors of the NPS loads at the Yichang sta-
tion were less than 10% compared to measured values from the
Changjiang Water Resources Committee in 2000.
Spatial Analysis of TN and TP Load
The TN and TP loads for each district and watershed in the upper
reach of the Yangtze River Basin are compared relative to each
other in Fig. 5. The SC province was found to be the most im-
portant contributor among all districts, with TN and TP loads 51.8
and 52.7% higher than the other provinces in the study area,
respectively. There were two reasons for explaining this phenom-
enon. One is that the SC province is larger in area than that of
other districts; moreover, the SC province has a large rural popu-
lation and extensive poultry breeding, which exports large
amounts of TN and TP.
Among the five watersheds, TN and TP loads in the Jinsha
River watershed are relatively large, which account for 32.5 and
25.1% of the TN and TP of the research area, respectively. The
main reason for this is that the Jinsha River watershed has the
largest area among the five watersheds. The Jialing River water-
shed is also a significant contributor in NPS pollution load, whose
TN and TP loads account for 24.0 and 26.3% of those of the
upper reach of the Yangtze River Basin, respectively, because soil
and water loss are very serious problems in those areas. Soil
erosion, as well as NPS pollutant loss will occur more readily
when it rains.
Spatial Analysis of TN and TP Areal Loads
From the NPS pollution loads and areas of each district and wa-
tershed, intensity histograms of TN and TP loads were compared
for the various districts and watersheds in the upper reach of the
Yangtze River Basin 共Fig. 6兲. Among the various districts, the CQ
municipality had the highest areal loads of TN and TP, which
were 3.105 and 0.158 t / km2, respectively. While the areal loads
of TN and TP of Tibet, which were 0.956 and 0.026 t / km2, re-
spectively, were the lowest among the various districts. Regarding
the watersheds, the areal loads of TN and TP in the Jialing River

0.600 0.600
TN TP
0.400 0.400
Scale

Scale

0.200 0.200

0.000 0.000
CQ GS GZ HB QH SX SC XZ YN CQ GS GZ HB QH SX SC XZ YN

0.400
0.400 TP
TN
Scale
Scale

0.200 0.200

0.000 0.000
JS MT JL UR WU JS MT JL UR WU

Fig. 5. Scale histogram of NPS pollution loads in the upper reach of the Yangtze River Basin

702 / JOURNAL OF HYDRAULIC ENGINEERING © ASCE / SEPTEMBER 2009

J. Hydraul. Eng. 2009.135:698-704.

 0.200
4.000
TN
0.150
TP
3.000

t/km2

t/km2
2.000 0.100

1.000 0.050

0.000 0.000
CQ GS GZ HB QH SX SC XZ YN CQ GS GZ HB QH SX SC XZ YN

TN TP
0.200
4.000
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0.150

t/km2
3.000
t/km2

2.000 0.100

1.000 0.050

0.000 0.000
JS MT JL UR WU JS MT JL UR WU

Fig. 6. Intensity histogram of NPS loads in the upper reach of the Yangtze River Basin 共2000兲

and the upper region of the main stream watershed, were high at
2.932, 0.138, 2.822, and 0.144 t / km2, respectively. While those
of the Jinsha River watershed were the lowest about 1.331 and
0.044 t / km2, respectively.
Currently, the dominant land use type in the CQ municipality
is cropland, which accounts for 50% of the total area. The key
land use types in Tibet are grassland and woodland, which ac-
count for more than 90% of the total area. It can be concluded
that human activities are the key factor inducing serious NPS
pollution in the CQ municipality. Higher sediment concentrations
共Mao and Pei 2002兲, as well as widely distributed steep slope
cultivation, are the main reasons which cause great nitrate and
phosphate loss in the watershed of Jialing River. In addition, the
CQ municipality was the main district which makes high intensity
load of TN and TP in the upper region of the main stream of
Yangtze River Basin.
Conclusion
This paper uses an export coefficient model to calculate nutrient
pollution loads for the upper reach of the Yangtze River Basin in
2000, which are simulated using GIS. The results indicated that
the SC province was the most important NPS pollution contribu-
tor in all districts and NPS pollution loads of the Jinsha River and
Jialing River watersheds were higher than that of other water-
sheds. Regarding area-weighted loads of TN and TP, those of the
CQ municipality, Jialing River watershed, and the upper region of
the main stream were higher than those of other districts or wa-
tersheds. These areas should be targeted for control practices.
This paper, with few parameters demanded, precisely simulated
nutrient pollution loads of a research area over 1 million km2
with a limited input data set. It provided a new method for NPS
pollution research in large scale basins and basic data absence
regions. In the future, determination of different export coeffi-
cients of various land use types in the research area will be de-
veloped to acquire ones that conform to reality better. In addition,
the influence of fertilizer utilization, rainfall, as well as topogra-
phy and so on to NPS pollution should be considered further to
obtain the more precise simulation result.
Acknowledgments
This project was granted financial support from the major
state basic research program of China 共973兲 共Grant No.
2003CB415204兲.
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