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Ecosystem Health and Sustainability

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A new perspective on ecological vulnerability and


its transformation mechanisms

Kang Hou, Wendong Tao, Dan He & Xuxiang Li

To cite this article: Kang Hou, Wendong Tao, Dan He & Xuxiang Li (2022) A new perspective
on ecological vulnerability and its transformation mechanisms, Ecosystem Health and
Sustainability, 8:1, 2115403, DOI: 10.1080/20964129.2022.2115403

To link to this article: https://doi.org/10.1080/20964129.2022.2115403

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ECOSYSTEM HEALTH AND SUSTAINABILITY
2022, VOL. 8, NO. 1, 2115403
https://doi.org/10.1080/20964129.2022.2115403

A new perspective on ecological vulnerability and its transformation


mechanisms
Kang Houa, Wendong Taob, Dan Hea and Xuxiang Lic
a
School of Environmental and Chemical Engineering, Xi’an Polytechnic University, Xi’an, Shaanxi, China; bCollege of Environmental
Science and Forestry, State University of New York, Syracuse, NY, USA; cSchool of Human Settlements and Civil Engineering, Xi’an Jiao
tong University, Xi’an, China

ABSTRACT ARTICLE HISTORY


Ecological vulnerability refers to the degree of ecosystem disturbance, system damage, and the Received 18 August 2021
ability of system restoration. Although case-specific evaluations of ecological vulnerability are Revised 5 August 2022
progressing rapidly, they have been carried out mainly in areas with intensive human activities Accepted 15 August 2022
or in harsh natural environments. Using the Web of ScienceTM core collection, this review KEYWORDS
paper summarized studies on ecological vulnerability published from 2000 to 2022 and Data processing model;
analyzed in depth major case studies. It was found that traditional ecological vulnerability ecological vulnerability
research has been addressed largely in terms of assessment models, data processing models, assessment; ecological
and analysis of influencing factors, however there was a lack of research on the process of vulnerability index;
vulnerability transformation. Because the vulnerability transformation in a hierarchical vulner­ regulating factor;
ability index system is regulated by multiple factors in a heterogeneous region, it is urgent to transformation mechanism
understand how the ecological vulnerability in a region evolves from one level to another over
time. Therefore this paper put forward the new perspective of research, i.e., applying quanti­
tative analysis to identification of regulating factors and exploring the mechanisms of ecolo­
gical vulnerability transformation. This new perspective could assist in monitoring the complex
spatiotemporal changes in ecological vulnerability and taking necessary measures to prevent
from decline of ecological stability.

Introduction
2009; Skondras et al. 2011). As an important part of
Ecological vulnerability is an estimate of the inability of Delineation of Ecological Protection Red Line in China,
an ecosystem to withstand stress (Williams and ecological vulnerability zoning is closely related to the
Kapustka 2000; Cao et al. 2022). As a specific attribute stability of an ecological security pattern (Bai et al. 2016).
of an ecosystem, it reveals the potential of an ecosystem Therefore, in-depth research on ecological vulnerability
to regulate its response to stressors (Weißhuhn, Müller, can better promote regional ecological delineation and
and Wiggering 2018). Because ecosystem is affected by optimize ecological security pattern (Nguyen et al.
internal materials, overall structure, and external inter­ 2016). For countries with greater environmental pres­
ferences, there are differences in regional ecological sure like China, ecological vulnerability research is often
vulnerability characteristics (Turner et al. 2003; Wang, urgent and is the focus of research on environmental
Liu, and Yang 2008). Ecological vulnerability assessment quality assessment.
(EVA) is a necessary means to assess the differences of The research on ecological vulnerability has been
fragile state and spatial distribution pattern of regional focused on developing EVA systems and data proces­
habitats, which is of practical significance for maintain­ sing models (Li et al. 2006, 2009; Wang, Liu, and Yang
ing the sustainable development of ecosystems (Li et al. 2008a; Wang et al. 2008; Ippolito et al. 2010; Zhao et al.

CONTACT Kang Hou houkang0311@stu.xjtu.edu.cn School of Environmental and Chemical Engineering, Xi’an Polytechnic University, Xi’an,
Shaanxi, China
© 2022 The Author(s). Published by Taylor & Francis Group and Science Press on behalf of the Ecological Society of China.
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which permits
unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
2 K. HOU ET AL.

2018). Meanwhile, some vulnerability research frame­ study the impacts of regulating factor variation on
works highlight the beneficial roles of human activities ecological vulnerability is in urgent need.
in the coupling of humans and natural systems by Due to the differences in the type of regulating
introducing adaptive capacity as an evaluation criter­ factors and the geographical size of their impacts
ion (Smit and Wandel 2006; Lindner et al. 2010; Pandey under certain conditions, the number of EVI levels
and Bardsley 2015; Weißhuhn, Müller, and Wiggering that have changed and the area ratios of the changes
2018; Chen et al. 2019). The establishment of can be significantly different. As illustrated in Figure 1,
a different index system and improvement of a data the dynamic process of EVI-level transformation deter­
processing model can better reflect a regional ecolo­ mines the evolution direction of ecological vulnerabil­
gical environment (Yue, Shen, and Yuan 2019b; Li and ity in a region. Therefore, identifying the regulating
Cao 2019). However, most of the EVA studies did not factors and exploring the transformation mechanisms
identify the factors that regulated the spatial and tem­ are the key means to intervene the evolution of ecolo­
poral changes of ecological vulnerability. The regulat­ gical vulnerability in different regions (Hou et al. 2018).
ing factors and mechanisms of spatiotemporal However, most of the studies so far remain on evaluat­
changes in ecological vulnerability need to be ing the state of ecological vulnerability and optimizing
addressed with greater attention in the future. data processing models (Figure 1a) (Wang et al. 2008;
Studying its regulating factors can elucidate the Xue et al. 2019; Zhao et al. 2018), while few studies
evolutionary causes of ecological vulnerability and have dug into the mechanism of ecological vulnerabil­
provide a reasonable basis for ecological restoration ity transformation (Figure 1b).
projects (Choudhary, Boori, and Kupriyanov 2018). Past In an effort to promote exploration into the
research has been focused on ecological vulnerability mechanisms of EVI-level transformation, this paper
index (EVI) and status assessment in harsh natural reviewed the application of the EVA systems and
environments or areas with intensive human activities the corresponding data processing models, dis­
(Li et al. 2009; Yu, Yang, and Shi 2012; Neshat, Pradhan, cussed the important roles of regulating factors in
and Dadras 2014; Tran, O’Neill, and Smith 2012; Wu the EVI levels, and explored the approaches for
et al. 2017; Xue et al. 2019). There is little quantitative quantitative analysis of regional EVI transformation.
research on the factors that regulate the changes of The new research perspective could be used to
ecological vulnerability in various evaluation units of monitor the complex spatiotemporal evolution of
a study area. Since each evaluation unit can be affected ecological vulnerability. At the same time, necessary
by various regulating factors, how to determine the control measures could be combined to maintain
most important regulating factor and quantitatively regional ecological stability.

b) Regulating factors and hierarchical transformation process

Hierarchical transformation of vulnerability levels


Regulating factors at initial state

Regulating factors at final state

EVI level11 EVI level21


EVI level12 EVI level22
EVI level13 EVI level23

EVI level14 EVI level24


EVI level15 EVI level25

a) Ecological vulnerability case study

Initial state: EVI1 Final state: EVI2

Evaluation system Data processing model

Figure 1. Framework of regional ecological vulnerability research from conventional case studies to exploration into mechanism of
vulnerability level transformation.
ECOSYSTEM HEALTH AND SUSTAINABILITY 3

Research design and methodology 2018), etc. Therefore, additional search terms, such as
“ecological vulnerability,” “environmental evaluation,”
This paper reviewed the case studies involving differ­
and “vulnerability evaluation” (Ippolito et al. 2019)
ent models and influencing factors, based on the
were added to expand the scope of ecological vulner­
results of literature search in the main databases (SCI
ability evaluation.
Expanded, SSCI, CPCI, and BKCI). First, relevant articles
The identified papers were manually assessed to
were searched with the terms related to ecological
exclude irrelevant literature, and papers with signifi­
vulnerability in the field of “title, abstract and key
cant differences from the detailed indicators were
words.” Finally, we selected the typical case studies to
excluded. Since 2000, the research on the theme of
classify the adopted models and the influencing
“ecological vulnerability” has entered a substantial
factors.
stage of rise, from the discussion of concept and fra­
The literature included in the review was limited to mework to the case study of typical regions, outstand­
peer-refereed publications in English and Chinese, ing results have been achieved. Therefore, the
excluding books, reports, and conference proceedings. publication year is limited to 2000–2022, and the lit­
Earlier articles (Williams and Kapustka 2000; Villa and erature cited in this paper involves 126 academic
Mcleod 2002) facilitated the discussion of concepts, papers, including 85 case studies. They were confirmed
though most of them are recent conceptual explana­ in the primary search and subsequent manual screen­
tions (Williams et al. 2000; Tran et al. 2002; Villa and ing. The categorization of the relevant articles (Table 1)
Mcleod 2002; Turner et al. 2003; De Lange et al. 2010; focuses on explanation and analysis of “ecological vul­
Weißhuhn, Müller, and Wiggering 2018). nerability evaluation” so as to support the construction
The primary search term was “ecological vulnerabil­ of the article analysis framework (Figure 2) and imple­
ity evaluation.” This term has a very broad meaning, mentation of the literature review and discussion pro­
and the relevant literature may involve evaluation of cess (Figure 3).
pollutant concentration (Laura et al. 2015), construc­ These large numbers of ecological vulnerability
tion of evaluation systems (Rao and Yang 2020; Jiang, papers reflect the characteristics of regional ecological
Shi, Li and Guo 2021b), use of evaluation methods (Li, vulnerability and the changes of regional ecological
Shi and Wu 2021; Li and Cao 2019), evolution of eco­ vulnerability. However, there is a lack of quantitative
logical vulnerability (Liu et al. 2019; Liu, Huang, Su and research on the transformation mechanism and driving
Joung 2021), driving forces (Cai et al. 2017; Hou et al. force of ecological vulnerability evolution within the

Table 1. Categorization of the cited references.


Category Keywords Sources
Conceptual Ecological vulnerability Beroya-Eitner (2016), Fekete, Damm, and Birkmann (2010), Gallopín (2006), Skondras et al. (2011),
understanding Gao, Zou, and Chen (2013), Zhang et al. (2018), Liu et al. (2015)
Ecosystems Dawson et al. (2010), Walther (2010), Parrott (2010), Ives and Carpenter (2007), Jacobides, Cennamo,
and Gawer (2018), Weißhuhn, Müller, and Wiggering (2018), Begon and Townsend (2020)
Ecosystem Services Vihervaara, Rönkä, and Walls (2010), Murthy, Laxman, Sai and Diwakar 2014, Wallace (2007), Daily
and Matson (2008), Fisher and Turner (2008), Carpenter et al. (2009), Brockerhoff et al. (2017), La
Notte et al. (2017), Cortinovis and Geneletti (2018), Rau, von Wehrden, and Abson (2018),
Kubiszewski et al. (2020)
Research Pollutants Lindner et al. (2010), Pandey and Bardsley (2015)
progress Model, method Fischer and Frazier (2018), He, Shen, and Zhang (2018), Guo, Zang, and Luo (2020)
Formula Calculation model Li et al. (2016), Smit and Wandel (2006)
references
Evaluation PSR, DFSR, DPSIR, DPSER, Newton and Weichselgartner (2014), Svarstad et al. (2008), Zhang et al. (2017a), Shang, Han, and Li
models SDR (2017), Li et al. (2021)
Resilience (SRP) Jia et al. (2020), Chen et al. (2021), Yao et al. (2017), Jin and Xu (2021), Li et al. (2015, 2021), Jin-Xi
et al. (2018), Zou et al. (2021)
Exposure-sensitivity- De Lange et al. (2010), Smit and Wandel (2006), Liu et al. 2013; Weis et al. 2016; Swami and
adaptive capacity (VSD) Parthasarathy 2021; Inostroza et al. 2016; Murthy, Laxman, and Sai 2015; Fischer and Frazier 2018;
Chen et al. 2019, 2018; Yu et al. (2019a), Ding, Shan, and Jin (2020), Zhang et al. (2022), Cao et al.
(2022), Pandey and Bardsley (2015), Jha et al. (2021), Sun et al. (2020), Ma et al.(2020)
Evaluation Comprehensive index, single Abbasov and Smakhtin (2012), Zou and Yoshino (2017)
methods factor index
Empowerment Subjective Chang (2013), Hou et al. (2016b), Li et al. (2009), Neshat, Pradhan, and Dadras (2014), Nguyen et al.
methods (2016)
Objective Abson, Dougill, and Stringer (2012), Hou, Li, and Zhang (2015), Siyuan, Jingshi, and Cunjian (2008),
Zhao et al. (2018)
Research Ecological monitoring, De Lange et al. (2010), Chen et al. (2019)
problems threshold
Evaluation system Huang, Tsai, and Lin (2010), Lee (2014), Li et al. (2016)
Driving force Hou et al. (2018), Li et al. (2006), Zhengwei (2008), Lin et al. (2018)
3S technology Choudhary, Boori, and Kupriyanov (2018), Hassan, Mahmud-Ul-Islam, and Rahman (2015), Li et al.
(2006), Neshat, Pradhan, and Dadras (2014), Nguyen et al. (2016), Siyuan, Jingshi, and Cunjian
(2008), Wang et al. (2008), Deng et al. (2016), Fu et al. (2018)
Cases analysis EVI Bo and Lianjun (2008), Hasani (2018), Hou et al. (2016a, 2020), Qiao et al. (2013), Quan et al. (2013),
evaluation Wang, Liu, and Yang (2008), Wang et al. (2008), Zhang et al. (2016, 2018), Xia et al. (2021)
4 K. HOU ET AL.

Figure 2. Upgrading ecological vulnerability assessment from traditional case studies to emphasizing mechanism of vulnerability
changes.

Figure 3. The logical reasoning process in writing this paper.

regions involved. Therefore, this study provides a new hence based on the contributions of different regulat­
perspective, involving the study of applying quantita­ ing factors to the study area. If different EVA systems
tive analysis to identification of regulating factors and are used to study the same area, the results can be
exploring the mechanisms of ecological vulnerability different. Moreover, due to the complex temporal and
transformation, in order to achieve the purpose of spatial changes in an ecological region, the application
evolutionary process monitoring. options of the EVI system are not uniform (Table 2). Li
et al. (2009) characterized the ecological vulnerability
of Danjiangkou from four aspects: land resources,
Ecological vulnerability evaluation systems
hydrothermal climate, topography, and human activ­
Ecological vulnerability characterization involves topo­ ities. Hou, Li, and Zhang (2015) constructed an EVA
graphy, climate change, vegetation degradation, land system for soil erosion in the Loess Plateau based on
suitability, desertification, salination, biodiversity climate, topography, and social economy. Zou and
degradation, and human activities. The evaluation of Yoshino (2017) established an EVA system for the
ecologically vulnerability areas requires comprehen­ Daxinganling area based on four major factors includ­
sive consideration of the actual ecological develop­ ing terrain, forest inventory, social economy, and cli­
ment of a study area. Selection of an EVA system is mate. Although the above studies were similar in
ECOSYSTEM HEALTH AND SUSTAINABILITY 5

Table 2. Major ecological vulnerability evaluation systems. operation and potential underestimation of the envir­
Index system Main indicators References onmental and socio-economic uncertainties and the
PSR Nature, anthropogenic Xue et al. (2019) diversity of the causal relationships (Svarstad et al.
DPSIR Social-ecological data, Hasani (2018)
etc. 2008); and 3) in the VSD model, it is unclear whether
/ Meteorological data, etc. Hou et al. (2018) the index reflects natural or human factors that the
/ Landform, meteorology Zhao et al. (2018)
VSD Exposure, sensitivity data, Zou and Yoshino (2017) EVA system fails to clearly identify the vulnerability
etc. causes (Li and Fan 2014). As a result, the selection of
/ Natural, environmental, Hou et al. (2016a, 2016b)
etc.
evaluation criteria plays a key role in regional eco-
/ Geographic, hydrologic, Chang (2013) environmental assessment. The operability and repre­
etc. sentativeness of indicators must be considered when
/ Landscape pattern, etc. Qiao et al. (2013)
/ Ecological sensitivity, etc. Quan et al. (2013) introducing natural disaster factors and comprehen­
/ Socio-ecological data Abson, Dougill, and sive human factors.
Stringer (2012)
/ Pressure factors Abbasov and Smakhtin
(2012)
Self- or peer- Multiple stressors, Tran, O’Neill, and Smith
appraisal resources, etc. (2012)
Data processing models
/ Multiple indicators Zabeo et al. (2011)
/ Multiple criteria Huang, Tsai, and Lin As summarized in Table 3, there are subjective models,
(2010) objective models, and their modifications for data pro­
DPSIR Multiple stressors and Ippolito et al. (2010)
indicators cessing. Since the data used in an EVI system are
/ Multiple indicators Siyuan, Jingshi, and usually derived from field surveys, statistical data, sta­
Cunjian (2008)
/ Environmental, human Wang, Liu, and Yang
tion observations, and topographic and geomorphic
impact, etc. (2008a),b data, the EVI data often have spatial and geographical
/ Multiple indicators Li et al. (2006) attributes. Meanwhile, it is difficult for the traditional
/ Land cover, population, Tran et al. (2002)
etc.

Table 3. Major data processing models in ecological vulner­


scope, the researchers did not adopt a uniform EVI ability assessment.
system when evaluating ecological vulnerability in dif­ Data processing
Study area models References
ferent regions, which made the ecological vulnerability
Yan’an, China AHP Hou et al. (2016a)
classification less comparable across study areas. Hefei, China Zhang, Wang, and Lin
To establish an EVI system, the principles of scien­ (2015)
A gulf in China Cai et al. (2015)
tific soundness, objectivity, operability, and represen­ Tarim River Basin, Bai et al. (2021)
tativeness should be taken into account (Fan, Fang, China
Taiwan, China Chang (2013)
and Zhang 2019). The determinants of ecological vul­ Northeast China, Qiao et al. (2013)
nerability at different scales interact with each other, China
Inner Mongolia, Quan et al. (2013)
and were influenced by ecological environment, social China
and economic structure, policies, and so on (Hou, Li, Taiwan, China Huang, Tsai, and Lin (2010)
and Zhang 2015). Past studies on vulnerability devel­ Tibetan Plateau, Wang, Liu, and Yang (2008)
China
oped evaluation systems based on specific environ­ China Entropy method Zhao et al. (2018)
ments or single factors (Choudhary, Boori, and Liaoning, China Zhao et al. (2018)
Tarim River Basin, Fuzzy AHP Xue et al. (2019)
Kupriyanov 2018; Li et al. 2006; Tran, O’Neill, and China
Smith 2012). Various EVI system models (Table 2) Mid-Atlantic, Fuzzy decision Tran et al. (2002)
America analysis
have been proposed, including the comprehensive Shaanxi, China PCA Hou, Li, and Zhang (2015)
index model (Wang et al. 2008) as well as Nyingchi, China Li et al. (2020)
Benin Dossou et al. (2021)
P-S-R (pressure-state-response) (Wu, Zong, and Peng Sichuan, China Liu et al. (2020)
2012) and its modifications such as DPSIR (driver- Langfang, China Li (2020)
pressure-state-impact-response) (Newton and Southern Africa Abson, Dougill, and
Stringer (2012)
Weichselgartner 2014), DPSIRM (driving force- Yinma River Basin, Self-built unnamed Zhang et al. (2017a)
pressure-state-impact response-management) (Zhang China model
Northern Italy, Italy Ippolito et al. (2010)
et al. 2017a), and VSD (vulnerability scoping diagram) Europe Spatial aggregation Zabeo et al. (2011)
(Zou and Yoshino 2017) models. There are shortcom­ Southern Shaanxi, Spatial PCA Hou et al. (2018)
China
ings of the EVA systems: 1) the comprehensive model Tibetan Plateau, Jiang et al. (2021a)
is easy to operate, but has strong subjectivity, weak China
Yellow River Basin, Siyuan, Jingshi, and
indicator selection principle, and a biased calculation China Cunjian (2008)
process in the data processing models; 2) it is Minjiang, China Li et al. (2006)
a complicated process to establish a complete set of Azerbaijan Summation process Abbasov and Smakhtin
(2012)
the PSR, DPSIR, or DPSIRM model because many indi­ Mid-Atlantic, Watershed-based Tran, O’Neill, and Smith
cators correlate and overlap, resulting in inconvenient America method (2012)
6 K. HOU ET AL.

data processing models to eliminate the influence of Research on the new perspective of ecological
human factors on weight allocation. It is, hence, neces­ vulnerability
sary to introduce geospatial technologies to improve
Factors regulating ecological vulnerability
the data processing models.
changes
The wide application of remote sensing (RS) and
geographic information system (GIS) technologies has Identification of factors regulating the changes in
opened new channels and methods for EVA data ana­ ecological vulnerability
lysis (Li et al. 2006; Zhao et al. 2018; Zhang et al. 2022). In recent years, the ecological and environmental pro­
With RS and GIS, an index system can reflect the eco­ blems caused by global changes have become increas­
logical environment with topographical, geomorphic, ingly prominent, and ecological vulnerability has
and natural disaster factors. The GIS spatial analysis received more and more attention (Fekete, Damm,
technology can be used to study the relationships and Birkmann 2010; Hou, Li, and Zhang 2015; Li et al.
between ecological vulnerability and environmental 2006; Zhao et al. 2018). Site-specific studies quantify
factors and simulate spatial distribution of EVI. These the changes of ecological vulnerability state and diag­
two technologies have technical advantages to meet nose the regulating factors of the changes, though
many needs of EVA by providing data sources and such studies involve largely one regulating factor or
supporting model building and display platform one type of regulating factors (Khandlhela and
construction. May 2006; Villa and Mcleod 2002) and lack of consid­
Li et al. (2006) used GIS and RS technologies to erations in spatial variation of regulating factors. Li
extract topographical factors of the Lancang River et al. (2006) assessed the ecological vulnerability in
Basin and constructed a spatial principal component the upper reach of the Minjiang River based on nine
analysis (PCA) model to quantitatively study the indicators in climate and topography and qualitatively
changes in ecological vulnerability. Rapicetta and discussed the factors affecting the EVI classification.
Zanon (2009) proposed a new way of studying volcanic Ippolito et al. (2010) established EVA systems for water­
eruptions in environmental vulnerability by simulating sheds and studied environmental health and vulner­
Etna volcanic activity and using GIS to map ecological ability drivers at the basin scale. Abson, Dougill, and
vulnerability. Hassan, Mahmud-Ul-Islam, and Rahman Stringer (2012) mapped the ecological vulnerability of
(2015) used GIS and RS to identify and quantify the South Africa and qualitatively analyzed the main envir­
vulnerability of environmental degradation in the onmental factors. Sahoo, Dhar, and Kar (2016) studied
northwestern part of Bangladesh and classify its vulner­ ecological vulnerability of the Hirakud region in India
ability intensity. Hou et al. (2016a) and Zhang et al. and concluded that elevation factors were the main
(2017b) extracted the environmental topographic fac­ factors affecting the variation of ecological
tors of Yan’an and Fuzhou, respectively, applying RS vulnerability.
and GIS to the analytic hierarchy process (AHP) model Human activities can also be important factors influ­
for weight allocation and comprehensive assessment of encing EVI changes. Unreasonable land use can exacer­
the spatial and temporal changes in EVI. With the sup­ bate the vulnerability of the ecological environment.
port of GIS and RS, an EVA system of the Yellow River A study by Skondras et al. (2011) on EVA in Sweden
Delta was established, and the results of the EVI data pointed out that the increasing influence of human
were analyzed by the fuzzy AHP model (Wu et al. 2018). activities on the background of natural changes had
Table 3 lists the data processing methods com­ become the dominant vulnerability factor, which
monly used in EVA research, which summarizes the aggravated the development of ecological vulnerabil­
subjective and objective models and their modifica­ ity. Hou et al. (2016a) analyzed the ecological vulner­
tions for data processing. When using these methods, ability of the Loess Plateau in northern China and
the source of the data and its objective authenticity are found that the land use change and the policy of
very important. Based on the characteristics of RS and returning farmland to forests were the main causes
GIS technologies, we believe that these two technolo­ leading to the change of vulnerability. Choudhary,
gies can help us improve our research work when Boori, and Kupriyanov (2018) argued that population
using the methods. Among them, RS technology can growth, industrialization, and government environ­
increase the data sources in a study area and help mental protection policies were the main factors con­
researchers to analyze the data more comprehensively, tributing to changes in ecological vulnerability in the
thus making the identified regulating factors more Astrakhan region of Russia. Yu et al. (2019b) deter­
objective. GIS technology can improve the precision mined regional ecological vulnerability based on the
of data analysis in a research area and better display interaction of the natural environment and human
the temporal and spatial variation characteristics of disturbance and identified the regulating factors to
ecological vulnerability in research areas through gra­ be tourism interference, traffic interference, alien spe­
phic simulation. cies invasion, and land use.
ECOSYSTEM HEALTH AND SUSTAINABILITY 7

The above studies showed that the regulating fac­ by the standard deviation (σ). Y represents the matrix
tors of vulnerability changes were different in different of yij.
regions, including both natural and human factors. The �x
x
regulating factors were mostly determined qualita­ y¼ (3)
σ
tively and subjectively with inherent biases, lacking
quantitative approaches and analysis of the spatial n
,
P
differentiation. Moreover, the EVI effects caused by �x ¼ xij (4)
i¼1 n
different regulating factors may overlap in some
cases that the effects of individual factors could not
sffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
be clearly distinguished. How to compile the indicators n
1 X �2
in order to more effectively distinguish the vulnerabil­ σx ¼ xij xj (5)
n 1 i¼1
ity changes caused by different factors and evaluate
the differences was a problem that needed to be �
solved in the future (Li and Fan 2014). In general, the Y ¼ ðY1 ; Y2 ; . . . ; Ym Þ ¼ yij n�m
(6)
development of vulnerability theory fell behind the
case-specific evaluations in past studies.
Calculate the eigenvalues, eigenvectors, and contri­
bution rates of the correlation matrix. Calculate the
Models to identify regulating factors
sample correlation coefficient matrix R ¼ ðrij Þm , then
Ecological vulnerability state is the result of
find the m-th eigenvalues λ1 ; λ2 ; . . . ; λm ðλi > 0Þ of the
a combination of regulating factors. Since these factors
correlation matrix R and the corresponding eigenvec­
are independent of each other, objective, and quanti­
tors C1 ; C2 ; . . . ; Cm ,
tative methods are needed to screen numerous factors
Ci ¼ ðci1 ; ci2 ; . . . ; cim Þði ¼ 1; 2; . . . ; mÞ, the contri­
and identify the main factors that regulate ecological m
P
vulnerability changes. A multivariate statistical analysis bution rate of which vi ¼ λi = λi .
method such as PCA could convert multiple experi­ i¼1

mental observation variables into a few unrelated


Determine the number of common factors.
comprehensive components (Li et al. 2017). The main
Calculate the principal components Z1 ; Z2 ; . . . Zm ,
purpose of PCA is, by a series of mathematical opera­
where Zi is an n × 1 dimensional vector,
tion of a correlation matrix, to obtain a factor load
ði ¼ 1; 2; . . . ; mÞ,Zi ¼ YCi ði ¼ 1; 2; . . . ; mÞ, and take
matrix that can easily reveal the internal relations as
the first P principal component with eigenvalues
illustrated. Each observation variable is represented by
greater than 1 as the common factor, then the initial
a linear combination of a set of factors as given in
factor is Z1 ; Z2 ; . . . ; Zp
Equation 1
Mt ¼ Ai1 F1 þ Ai2 F2 þ Ai3 F3 þ . . . þ Aij Fj þ ui (1)
Solve the load matrix O of the initial factors.
where M1, M2, . . .Mt, are normalized variables with �
O ¼ pkj p�m pkj ¼ ðZk ; Yi Þ
zero mean and unit variance;F1, F2, . . . Fj are common pffiffiffiffi
factors, being common to the observation variables ¼ λk Ckj ðk ¼ 1; 2; . . . ; p; j ¼ 1; 2; . . . ; mÞ (7)
and explaining the correlations between the variables;
Ai is a special factor, being specific to the i-th observed
variable and indicating the part of the variable that Rotate the load matrix of the initial factor. There
cannot be explained by the common factor; Aij is the are many orthogonal rotation methods for the factor
factor load on the j-th common factor of the i-th load matrix. This study uses the maximum variance
observation variable; and ui represents the remaining rotation. The principle is to maximize the variance of
part of the i-th variable that cannot be explained by the factor load values in the factor load matrix through
Q
any of the common factors. The main process is rotation. Select rotation matrix ¼ ðλij Þp�p ,
explained as follows: Y
Q¼ O ¼ ðqkj Þ (8)

Standardize evaluation index variables. The origi­


Q ¼ ðqkj Þp�m (9)
nal data X is set as an n×m dimensional observation
matrix, where n is the number of samples, and m the Differentiate into 0 or 1 polarity in rows or columns
number of evaluation indicators. to obtain a more significant public factor, that is, Q can
� make the first new factor obviously represent some
X ¼ ðX1 ; X2 ; . . . ; Xm Þ ¼ xij n�m (2)
indicators; the second new factor represents some
Generally, the original data is normalized, that is, other indicators. Expressed by the formula, that is,
a variable is subtracted from its mean and then divided choose ∏ to maximize the variance Φ:
8 K. HOU ET AL.

Figure 4. Analysis on unitization of ecological vulnerability transformation mechanism.

p
X p X
X m been restricted to evaluation of the ecological vulner­
ϕ¼ ϕk ¼ ðdkj 2 � k Þ2
d (10) ability state (Beroya-Eitner 2016), while ignoring the
k¼1 k¼1 j¼1
m qffiffiffiffiffiffiffiffiffi�ffiffiffiffiffi�ffi EVI classification and transformation of EVI levels over
P
where: dkj ¼ dkj =hj , dk ¼ 1 dkj , hj ¼ max�rij � time. Classification of ecological vulnerability, as the
R is the correlation matrix, j¼1
R ¼ ðrij Þm premise of research on transformation mechanism, can
represent the degrees of regional ecological
Calculate factor score F. Ft is the comprehensive vulnerability.
factor of Xt , t ¼ 1; 2; . . . ; n Ecological vulnerability transformation is affected
by the internal and external linkages and feedback
Ft ¼ ðft1 ; ft2 ; . . . ; ftp Þ ¼ ðQR 1 Qr ÞQR 1 Y (11)
processes of the ecosystems, and changes between
The factor load matrix can be used to study both the EVI levels are also dynamic. The diversity of the human-
main formation factors and evolution process of eco­ environment coupled system and the complexity of
logically vulnerable areas. As an example, Hou et al. the internal nesting process require a comprehensive
(2018) analyzed the observation variable matrix using analysis of the responses to environmental stresses
the spatial PCA model and identified the main regulat­ within each geospatial unit and the feedback of the
ing factors that led to the ecological vulnerability. Their environment to human activities (Figure 4). This is the
findings showed that the principal components I, II, main reason why the vulnerability transformation pro­
and IV with a total loading of 64.5% revealed its reg­ cess is difficult to measure and transformation
ulating factors to be the social and economic factors mechanisms are difficult to find. Researchers have
(Hou et al. 2018). combined vulnerability and sustainable development
in qualitative research (Bo and Lianjun 2008; Lee 2014).
The transformation of EVI levels directly leads to
Methods to identify mechanisms of vulnerability
changes in the stability of ecological environment in
transformation
different regions, which is extremely important for
The current research on fragile ecological environment stability and sustainable development of the ecologi­
is mainly based on the application of theories in ecol­ cal environment.
ogy and geography for general evaluation. Research
on the formation mechanism of vulnerable ecological Construction of ecological vulnerability
environment mainly focused on factor discrimination, transformation matrix
less on the evolution mechanisms of spatial distribu­ As shown in Equation 15, an ecological vulnerability
tion (Hou et al. 2018). From the introduction of the transformation matrix can be constructed to represent
ecological vulnerability concept to the current the EVI-level changes from the initial to final state in
research using different models, the research has a certain period. It not only includes static ecological
ECOSYSTEM HEALTH AND SUSTAINABILITY 9

Figure 5. The spatial change of ecological vulnerability index from 2000 to 2006.

vulnerability area data at a certain time point in vulnerability transformation matrix contains more infor­
a certain area, but also contains information about mation on the mutual transformation between the EVI
the transformation of the EVI levels from the initial to levels at the beginning and end of a study period and is
the final state. rich in statistical significance. Based on the results of the
2 3 EVI classification at different time points, the EVI-level
f11 f12 � � � f1x
6 f21 f22 � � � f2x 7 transformation matrix can be constructed in GIS for
6 7 individual evaluation units. The mechanisms of the vul­
6 7
Pij ¼ 6 f31 f32 � � � f3x 7 (12)
6 .. .. .. .. 7 nerability transformation can then be identified for the
4 . . . . 5 entire region, which is of great significance for studying
fx1 fx2 � � � fxx the evolution of regional ecological vulnerability.
Where x represents the number of EVI levels at the
beginning and end of a transformation period; i and Case study on transformation of ecological
j represent the EVI levels before and after the transfor­ vulnerability
mation, respectively; and fij represents the area of Research defects in spatial changes of ecological
a change in ecological vulnerability level from i to j. vulnerability. The Qinling mountain area, one of the
Each row in the matrix represents the resultant infor­ landmarks dividing the north and south of China, was
mation of each EVI level after the transformation of the taken as an example to demonstrate the matrix opera­
i-th ecological vulnerability level. Each column in the tion for ecological vulnerability transformation. Hou
matrix represents the source information of each eco­ et al. (2018) evaluated ecological vulnerability of this
logical vulnerability level before the transition from the area for years 2000 and 2006 using an EVI system that
j-th level. included 12 sub-influencing factors representing the
For convenience, the same EVI classification system is natural environment and social economy. Spatial PCA
used before and after the transformation so that the was used for data processing, meaning that EVI was
numbers of rows and columns of the matrix are the the sum of the weighted principal components as
same, that is, an N-order square matrix. The ecological given in Equation 15 (Hou et al. 2018). Four principal
components were identified. The EVIs for 2000 and
Table 4. Matrix of ecological vulnerability transformation from 2006 were then expressed in Equation 15 and
2000 to 2006. Equation 15, respectively. EVI was calculated for indi­
2006 vidual evaluation units for 2000 and 2006 in ArcGIS
2000 I II III Ⅳ Ⅴ
10.3.
I 2280 689 310 0 0
II 1453 4719 1200 0 0 m
III 1241 6412 10,635 1317 0
X
Ⅳ 1308 1816 7693 9891 1242 EVI ¼ r m Pm (13)
Ⅴ 0 3124 2262 6204 6690 i¼1
10 K. HOU ET AL.

Figure 6. Map of ecological vulnerability transformation in Qinling Mountain from 2000 to 2006.

where EVI is the ecological vulnerability index; r is levels, i.e., I–V. Table 4 demonstrated the area change
the contribution ratio; P is the principal component; of each EVI level from 2000 to 2006. For example, 689
and m is the number of principal components. and 310 square kilometers of Level I in 2000 were
changed to Levels II and III, respectively, in 2006.
EVI2000 ¼ 0:4998X1 þ 0:2120X2 þ 0:1908X3 þ 0:0974X4
Similarly, 3124, 2262, and 6204 square kilometers of
(14)
Level V in 2000 were changed to Levels II, III, and IV,
respectively, in 2006. Since the levels of ecological
EVI2006 ¼ 0:4913Y1 þ 0:2186Y2 þ 0:1945Y3 þ 0:0956Y4
vulnerability from I to V indicated an increase in the
(15)
degree of ecological vulnerability, the greater the level
where X1, X2, X3 and X4 are the principal compo­ of ecological vulnerability was transferred to, the
nents in 2000; and Y1, Y2, Y3 and Y4 are the principal greater the area of degraded environmental vulner­
components in 2006. ability was. On the contrary, the transfer to a lower
By comparing the ecological vulnerability index of level of vulnerability meant an increase in the areas of
the study area between 2006 and 2000, using tradi­ improved environmental vulnerability. Overall, it could
tional methods through overlay analysis, we can be seen that ecological vulnerability levels trans­
clearly see the areas where the ecological vulnerability formed from heavier to lighter vulnerability levels or
index has increased and decreased. During this period, from V toward I, indicating improvement in ecological
the areas where the ecological vulnerability index stability (Hou et al. 2018).
increased significantly were Zhashui, Hantai, Hanyin, The EVI-level transformation map (Figure 6) clearly
and Ziyang, while the areas where the ecological vul­ shows the spatial variation of the transformation pro­
nerability index decreased significantly were Lveyang, cess. With reference to the spatiotemporal variations of
Ningshan, and Xunyang (Figure 5). the EVI levels, appropriate measures can be taken to
Although it can be clearly seen that the ecological reduce ecological vulnerability. The greatest benefit of
vulnerability of that area has increased or decreased, EVI transformation matrix is that it can be presented
the changes in local ecological vulnerability can only graphically by making use of the power of GIS. This
reflect trends and cannot trace the change process of approach, hence, provides a simple, effective way to
micro-units. It cannot be prepared to reflect the chan­ facilitate environmental management.
ging process of ecological vulnerability levels.
Therefore, it is necessary to explore a reliable method
to effectively monitor the conversion process of differ­ Conclusion
ent units. As a result of the degree of ecosystem disturbance,
system damage, and the ability of system restoration,
Mechanisms of ecological vulnerability transforma­ ecological vulnerability can be used as an important
tion. Ecological vulnerability was classified into five means to monitor environmental changes in areas
ECOSYSTEM HEALTH AND SUSTAINABILITY 11

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