J. Resour. Ecol. 2010 1(4) 331-338

DOI:10.3969/j.issn.1674-764x.2010.04.005

www.jorae.cn

Dec., 2010 Journal of Resources and Ecology

Received: 2010-10-11 Accepted: 2010-11-24Foundation: National Natural Science Foundation of China, No.40771204 & No.40801223; the National Key Technology R & D Program, No.2006BAC18B01.* Corresponding author: FENG Zhiming. Email: fengzm@igsnrr.ac.cn.

Vol.1 No.4

Article

1 Introduction “Human settlements” is a synthetic concept derived from the Sciences of Human Settlements, which reveals the relations of humans with the natural environment (Wu 2001). Since proposed by the Greek scholar Doxiadis in the late 1950s, the Sciences of Human Settlements take a great impact in many fields, and the relevant researches spread rapidly on different disciplines, such as architecture, planning, geography, environmental science, and so on, for its extensive relevance and multi-level characteristics (Doxiadis 1975; Campbell et al. 1976; Joan 1985; Milesi et al. 2003; Emmanuel 2005; Zhang et al. 2005; Richard et al.12 2008). In recent years, based on

remote sensing (RS) and geographic information systems (GIS), the human settlements concept has been applied to residential evaluation and environmental assessment with various standard evaluation systems, such as the LEED Standard of U.S and the Eco-Quantum Standard of Dutch (Emmanuel 2005; Lu et al. 2008; Milesi et al. 2003; Xiong et al. 2007). Since being introduced into China in the 1980s, the study of human settlements has been widely developed and made outstanding achievements in many fields. In case studies of Shanghai, Hangzhou, Nanjing, and Beijing, Ning and Cha (1999), Li et al. (1999), Chen et al. (2000) and Liu et al. (2004) discussed the evaluation methods of human settlements. Liu and Liu (1999), Ye and Dong (2003), and Li et al. (2002) built an evaluation index

A GIS-based Study on Sustainable Human Settlements Functional Division in China

FENG Zhiming*, YANG Yanzhao, YOU Zhen and ZHAO Yande

Institute of Geographic Sciences and Natural Resources Research, CAS, Beijing 100101, China

Abstract: The suitability of natural environment for human settlements is assessed by human settlements

environment index (HEI) at the grid scale in China. Population agglomeration and shrinking (PAS) is

indicated by population density at the county level. Combining HEI and PAS, this paper established the

sustainable human settlements functional division evaluation system and division model using GIS. Taking

into consideration environmental carrying capacity and economic development levels and potentials,

this work brings forward a feasible division scheme at the county level in China. The results show that:

sustainable human settlements functions generally decrease from the southeast to the northwest, which

reflects the most significant regional difference in China. Highly sustainable region, with a total area of

139.75×104 km2 and a population of 430.84 million, is mainly located in the southeastern coast of China,

the middle and lower reaches of the Yangtze River, Sichuan Basin, Huanghe-Huaihe-Haihe Rivers Plain

Region, and parts of the Northeast China Plain. Sanjiang Plain, Liaohe Plain, and Shandong Peninsula fall

into moderately sustainable region, and the total area is 193.61×104 km2 and the population is 323.75

million. Generally sustainable region is mainly located in the Hulunbuir Plateau, Loess Plateau, and

Yunnan-Guizhou Plateau, and sporadically distributed in valleys in southeast Tibet and Qaidam Basin,

and it has an area of 210.19×104 km2 and a population of 369.25 million. Marginally sustainable region is

scattered throughout the western part of China and mainly in the Loess Plateau, Sichuan-Yunnan Plateau,

and Yunnan-Guizhou Plateau. It covers an area of 145.85×104 km2, and 144.62 million people live in this

region. Most parts of the Tibetan Plateau, deserts in the northwest, and northern Sichuan-Yunnan Plateau

fall into the unsustainable region, which has a land area of 263.86×104 km2 and only 39.10 million people.

Key words: human settlements functional division; natural environment suitability; population agglomeration

and shrinking; GIS; China

Journal of Resources and Ecology Vol.1 No.4, 2010332

system for the sustainable development of urban human settlements. Wen and Fang (2007) and Liu et al. (2005) analyzed the spatial pattern and trend of change of human settlements at the provincial level in China. Liu (1999), Li and Liu (2003), Tang et al. (2008), He et al. (2010), Pu and Yao (2010) studied climate suitability for human inhabitation. Hao and Ren (2009) evaluated the nature suitability for human settlement in Shaanxi Province based on grid data. The publication of the Scientific Evaluation Criterion of Amenity City (Gu and Luo 2007) and the Study on Function Zones of Population Development (NPFPC 2009) indicated that China has established its evaluation index system for human settlements.

Choosing 1km×1km grid as the basic unit, this paper evaluates the natural environment suitability of human settlements and population agglomeration and shrinking (PAS) at the county scale in China. It also sets up a sustainable human settlements functional division evaluation system and division model with the aid of GIS techniques. This work brings forward a feasible division scheme at the county scale in China and provides suggestions for policy-making in spatial planning of resources use and the optimization of population distribution.

2 Data source Data used in this research include Digital Elevation Model (DEM) data of China, land use and water area in 2000 at 1 km×1 km grid size, and Normalized Difference Vegetation Index (NDVI) data. DEM is obtained from the Earth Resources Observing Satellite of U.S. Geological Survey with a spatial resolution of 30′. Land use and water area data at 1 km×1 km grid are supplied by the Data Center for Resources and Environmental Sciences of the Chinese Academy of Sciences. NDVI data come from the long-term vegetation index dataset of China (1998–2006) with a spatial resolution of 1 km×1 km. Meteorological data including temperature, precipitation, and relative air humidity are obtained from the National Meteorological Information Center of China.

Other resources data (soil and water in 2006 at the country and the county scales, for example) and socio-economic data (population, GDP, land area, and so on) are obtained from China Statistical Yearbook in 2007.

3 Natural environment suitability for human settlements

Among the many factors influencing human habitat, only several of them are dominant and determinative, including terrain, climate, water, and LUCC (land use and land cover) conditions (Zhu 1991; Wu 2001; Zhang 2003; Tang et al. 2008). In order to evaluate the natural environment suitability for human settlements in China, Feng et al. (2008) set up a database of terrain, climate,

water, and LUCC conditions at 1 km×1 km grid. Then they established four single-factor evaluation models to distinguish their influences on human settlements and analyzed their individual correlation with population distribution. Based on the correlation analysis of each factor, they established the HEI model and calculated the HEI of China at 1 km×1 km grid (Feng et al. 2008; Feng et al. 2009). The results show that the model established in theirs studies can not only reflect the natural environment suitability for human settlements in China, but also can illustrate the spatial distribution rules of it very well. So in this study, we selected their model to analyses the natural environment suitability for human settlements in China.

3.1 Classification of natural environment suitability for human settlements in China

According to the HEI of China at 1 km×1 km grid estimated by Feng et al. (2009), in this study we classify the whole territory of China into three types (seven levels), namely: non-suitable area (NSA, which includes permanent NSA and time-limited NSA), marginally suitable area (MSA, which includes restrictive MSA and reasonable MSA) and suitable area (SA, which includes generally SA, moderately SA and highly SA). This study demonstrates that the natural environment suitability for human settlements in China decreases from southeast coastal zone to northwest inland areas in general and so does it from plains/hills to plateaus/mountains (Fig. 1).

3.2 AnalysesIn order to illustrate the influence of natural environment on population distribution, we analyzed population density within various areas of different natural environment suitability. The result shows that human settlements environment is an important factor influencing population distribution. The majority of population in China concentrates in regions with high natural environment suitability (Table 1).

To be more specific: (i) Permanent NSA is mainly located on the Tibetan Plateau and southeastern Tibet, covering an area of 124.21×104 km2 or 13.03 % of the total land area in China and having a population of 5 million (0.42 % of the national total). (ii) Time-limited NSA covers an area of about 131.08×104 km2 (13.75 % of the total land area), including Dzungarian Basin, Tarim Basin, Alxa Plateau, northern Tibetan Plateau, Qaidam basin and southeastern Tibet region. It has a population of 9 million (0.69 % of the total). (iii) Restrictive MSA covers an area of about 134.30×104 km2 (14.09 % of the total) and is mainly located in northern Tibetan Plateau, Qilian Mountains, Altai Mountains, Tarim Basin rims and Greater Khingan Mountains. It has a population of 15 million (1.14% of the total). (iv) Reasonable MSA, with a population of 33 million (2.52 % of the total) and an area

FENG Zhiming, et al.: A GIS-based Study on Sustainable Human Settlements Functional Division in China 333

of about 106.90×104 km2 (11.21 % of the total), includes the southeastern margin of Tibetan Plateau, the northern part of the Loess Plateau and part of Inner Mongolian Plateau. (v) Generally SA, with a population of 291 million (22.28 % of the total) and an area of about 238.63×104 km2 (25.03 % of the total), includes the Northeast China Plain, the northern part of the North China Plain, the southern part of the Loess Plateau, Yunnan-Guizhou Plateau, and valleys in south Tibet and so on. (vi) Moderately SA is mainly located in eastern Yunnan-Guizhou Plateau, Sichuan Basin, most parts of the middle and lower reaches of the Yangtze River, Guanzhong Basin, and the southern part of the North China Plain. It covers an area of about 136.60×104 km2 (14.33 % of the total) and has a population of 512 million (39.19 % of the total). (vii) Highly SA, with a population of 442 million (33.77 % of the total) and an area of about 81.54×104 km2 (8.55 % of the total), includes parts of the middle and lower reaches of the Yangtze River,

the southern part of the North China Plain, southeast of China and the southern part of the Yangtze River.

4 Population agglomeration and shrinking in China

In recent years, the study on population agglomeration and spatial distribution has been a hot topic in regional sustainable development and lots of achievements have been obtained. Chen et al. (2008) studied the spatial agglomeration and evolution of urban population in China with GIS, and Sun et al. (2009) investigated the concentration and the decentralization of population in the Beijing-Tianjin-Hebei metropolitan region, Xu and Yue (2009), Su and Zhang (2010) also did some researches on population spatial distribution in urban area, and so on. Among these studies, PAS is taken as the most direct and concentrated expression of population spatial distribution pattern. Research on the spatial pattern of PAS and its

Table 1 Natural environment suitability for human settlements in China.

NSA Permanent NSA 124.21 13.03 5 0.42 4 Time-limited NSA 131.08 13.75 9 0.69 7 Subtotal 255.29 26.78 15 1.11 6MSA Restrictive MSA 134.30 14.09 15 1.14 11 Reasonable MSA 106.90 11.21 33 2.52 31 Subtotal 241.20 25.30 48 3.66 20SA Generally SA 238.63 25.03 291 22.28 122 Moderately SA 136.60 14.33 512 39.19 375 Highly SA 81.54 8.55 442 33.77 541 Subtotal 456.77 47.92 1245 95.23 273

Suitability of HEI Land area Population Population densityType Level Area (104 km2) (%) Number (million) (%) (persons km-2)

Fig. 1 Natural environment suitability for human settlements in China.

Journal of Resources and Ecology Vol.1 No.4, 2010334

formation mechanisms in a specific region will not only help to reveal local patterns of PAS but also benefit achievements of the overall regional pattern of population distribution. Based on the population data at the county scale in China, this work chose the PAS model proposed by Liu et al. (2010) to evaluate the spatial pattern of China’s population distribution for it has gained wide applications in China. According to this model, PAS is assessed by the ratio of the population density of specific local to the nation, and then population agglomeration can be classified into eight types (Table 2).

4.1 Classification of population agglomeration and shrinking (PAS) in China

Based on the national population statistics in 2006, we selected 2325 counties as samples to calculate PAS. The resulting values are divided into three types: agglomerated area (AA), average populated area (APA) and sparsely populated area (SPA)and the values are further divided into

eight subgroups: highly AA, medium AA, low AA, upper APA, lower APA, relatively SPA, absolute SPA, extreme SPA. The classification result is shown in Fig. 2.

The AA is mainly located in the plains of eastern and central China, especially the Haihe River valley, Huanghe-huaihe Plain and the middle and lower reaches of the Yangtze River. In western China, only Chengdu Plain ranks as high AA. APA is mainly distributed in eastern and central China as well as the transitional areas between the central China and the eastern part of the country. South China area, southwest China area and most parts of the Songhuajiang-Nenjiang Rivers Plain belong to this type. The west part of “Hu’s Line” (Hu 1935) is primarily SPA. Because of the extremely severe natural environment conditions, west and south Tibetan Plateau, east and west Inner Mongolia Plateau, the south foothill of Altai Mountains and east Tarim Basin belong to depopulated zone.

4.2 AnalysesAccording to the evaluation results (Table 3), AA covers an area of 142.87×104 km2 (14.98 % of the total) and has a population of 892.67 million (68.82 % of the total) in 2006. Its mean population density is 625 persons km-2, the minimum density (MIN) is 274 persons km-2 and the maximum density (MAX) reached the extremely high 22307 persons km-2.

With an area of 228.01×104 km2 (23.92 % of the total) and a population of 341.03 million (26.30 % of the total), the mean population density of APA is 150 persons km-2, the MIN is 69 persons km-2 and the MAX is 273 persons km-2.

SPA only has a population of 63.28 million (4.88 % of

Fig. 2 Evaluation of China’s population agglomeration at the county scale, 2006.

AA Highly AA ≥8 Medium AA 4–8 Low AA 2–4APA Upper APA 1–2 Lower APA 0.5–1SPA Relatively SPA 0.2–0.5 Absolute SPA 0.05–0.2 Extreme SPA ≤0.05

Type Level Population agglomerationClassification

Table 2 The classification standard of China’s population agglomeration.

FENG Zhiming, et al.: A GIS-based Study on Sustainable Human Settlements Functional Division in China 335

the total), but covers an area of 582.32×104 km2 (61.10 % of the total), and the mean population density is 11 persons km-2, the MAX is only 68 persons km-2. In this area about 40.15 % of the land is extreme SPA, with a population of 8.04 million (0.62 % of the total). The mean population density is only 2 persons km-2. In addition, three quarters of the extreme SPA is in the depopulated zone.

5 Sustainable human settlements functional divisions in China

5.1 Method and principles Based on the 1 km×1 km grid HEI and PAS at the county scale and taking into consideration environmental capacity and economy development factors, we studied sustainable human settlements functional divisions in China. Important principles applied in the study are as follows:

(1) Regional integrity. We should maintain regional integrity of natural geographical units and administrative units at the prescriptive level during the operation. A natural geographical unit or a watershed unit cannot be treated as a functional division solely based on the natural boundary. The definition of a functional division must also take into consideration the boundary of administrative units.

(2) Spatial coordination. We should take into consideration the relationships between the cores and peripheries within functional divisions to promote regionally coordinated development. These relationships include that between the upper reaches, middle reaches, and lower reaches of watersheds, between hilly areas and plains, between highlands and lowlands, and so on.

(3) Conjoint measurement of the predominant factor analysis and comprehensive analysis. Functional divisions have dual attributes of natural and, social; there are many factors that affect the human settlements function at different levels, so in this research we must define one or a few predominant factors to reflect the reality of settlements function. At the same time the divisions should be consistent with the programs of national development

and other specific plannings (NPFPC 2009). Based on HEI and PAS and cons ide r ing the

environmenta l carrying capaci ty and economic development levels and potentials (see Fig. 3), five human settlements functional divisions are identified in China. They are defined as follows:

Highly sustainable region is where HEI matches spatially quite well with PAS. In this region resources and environmental capacity are in sufficient supply or in good balance with the demand, and population increases.

Moderately sustainable region is where HEI matches spatially well with PAS, resources and environmental capacity are in balance with demand or with relatively sufficient supply, and population somewhat increases.

G e n e r a l l y s u s t a i n a b l e r e g i o n i s w h e r e H E I matches spatially commonly with PAS, resources and environmental capacity are in balance with demand, and the population remains steady.

Marginally sustainable region is where HEI matches spatially loosely with PAS, resources and environmental capacity are under pressure or even overstressed, and the population somewhat reduces.

Unsustainable region is where HEI does not match spatially with PAS, resources and environment capacity are overstressed and population decreases.

5.2 Results and analysesThe division results can be mapped in ARC/GIS as shown in Figure 4. Southeast China is generally superior to northwest China in terms of sustainability for human settlements function.

From Fig.4 and Table 4 we can characterize the sustainable human settlements functional divisions in terms of their spatial distribution, coverage, and population correspondingly.

The highly sustainable region is mainly located in the southeastern coast of China, the middle and lower reaches of the Yangtze River, Sichuan Basin, Huanghe-Huaihe-Haihe Rivers Plain Region, and parts of the Northeast

AA Highly AA 122 215.63 16.62 11.00 1.15 1090/22 307 1960 Medium AA 374 325.34 25.08 43.85 4.60 548/1089 742 Low AA 518 351.70 27.12 88.02 9.23 274/547 400 Subtotal 1014 892.67 68.82 142.87 14.98 274/22 307 625APA Upper APA 511 233.29 17.99 119.70 12.56 137/273 195 Lower APA 367 107.74 8.31 108.31 11.36 69/136 100 Subtotal 878 341.03 26.30 228.01 23.92 69/273 150SPA Relatively SPA 168 38.89 3.00 84.53 8.87 28/68 46 Absolute SPA 121 16.35 1.26 115.14 12.08 7/27 14 Extreme SPA 144 8.04 0.62 382.65 40.15 0/6 2 Subtotal 433 63.28 4.88 582.32 61.10 0/68 11

Type Unit Number (million) (%) Area(104 km2) (%) Min / Max MeanPopulation density (persons km-2)Population Land area

Table 3 China’s population agglomeration at the county scale, 2006.

Journal of Resources and Ecology Vol.1 No.4, 2010336

China Plain. It covers an area of 139.75×104 km2 (14.66% of the total) and has a population of 430.84 million (32.95% of the total).

The moderately sustainable region is mainly distributed in the Sanjiang Plain, Liaohe Plain, and Shandong

Peninsula. It covers an area of 193.61×104 km2 (20.31*% of the total) and has a population of 323.75 million (24.76% of the total).

Most parts of the generally sustainable region are located in the Hulunbuir Plateau, Loess Plateau, and

Fig. 4 Sustainable human settlements functional division.

Fig. 3 Sustainable human settlements functional division model.

FENG Zhiming, et al.: A GIS-based Study on Sustainable Human Settlements Functional Division in China 337

Yunnan-Guizhou Plateau, as well as sporadically distributed in valleys in southeast Tibet and Qaidam Basin. The total area is 210.19×104 km2 (22.05 % of the total) and has a population of 369.25 million (28.24 % of the total).

With an area of 145.85×104 km2 (15.30% of the total) and a population of 144.62 million (11.06 % of the total), the marginally sustainable region is scattered throughout the western part of China and mainly in the Loess Plateau, Sichuan-yunnan Plateau, and Yunnan-guizhou Plateau.

The unsustainable region covers an area of 263.86×104 km2 (27.68 % of the total) and has a population of 39.10 million (2.99 % of the total). There is a need to reduce its population to ensure a reasonable settlements function. Most parts of the Tibetan Plateau, deserts in northwest China, and northern Sichuan-yunnan Plateau belong to this function division.

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Highly sustainable region 139.75 14.66 430.84 32.95Moderately sustainable region 193.61 20.31 323.75 24.76Generally sustainable region 210.19 22.05 369.25 28.24Marginally sustainable region 145.85 15.30 144.62 11.06Unsustainable region 263.86 27.68 39.10 2.99

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Land Population

Table 4 Sustainable human settlements functional division statistics.

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基于GIS的中国可持续人居功能分区评价

封志明，杨艳昭，游 珍，赵延德

中国科学院地理科学与资源研究所，北京 100101

摘 要：在中国1km×1km栅格尺度人居环境自然适宜性分类评价和分县尺度人口空间集聚程度分级评价的基础上，结合中国

分县资源环境承载力和区域经济发展水平和发展潜力，确立了中国可持续的人居功能分区评价模型，提出了中国可持续发展的人

居功能分区方案。研究表明：中国可持续的人居功能分区空间分布呈现东南半壁优于西北半壁的格局；人居功能强可持续地区面

积约139.75×104km2，占国土面积的14.66%，相应人口4.3亿，接近总人口的1/3，主要分布在东南沿海、长江中下游地区、四川盆

地、黄淮海平原以及东北平原的部分地区；人居功能较强可持续地区面积约193.61×104km2，占国土面积的1/5，相应人口3.2亿，

接近总人口的1/4，主要分布在三江平原、辽河平原、山东半岛等地；可持续地区面积210.19×104km2，约占国土面积的22%，相

应人口3.7亿，占总人口的28.24%，主要分布在呼伦贝尔高原、黄土高原和云贵高原等地，零星见于藏东南谷地和柴达木盆地等地

区；较弱可持续地区，面积约145.85×104km2，占国土面积的15.30%，人口1.4亿，约占总人口的11%，零散分布于黄土高原、川滇

高原和云贵高原的部分地区；弱可持续地区面积约263.86×104km2，约占国土面积的27.68%，相应人口0.4亿，接近总人口的3%，

主要分布在青藏高原、西北荒漠以及川滇高原北部地区。

关键词：人居功能分区；人居环境自然适宜性；人口空间集聚；GIS；中国

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