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Journal of Sustainability Education Vol. 7, December 2014 ISSN: 2151- Reza Banai, Ph.D. is Professor of City and Regional Planning, School of Urban Affairs and Public Policy at the University of Memphis. He is author of The Metropolitan Region: From Concepts to Indicators of Urban Sustainability Journal of Urbanism: International Research on Placemaking and Urban Sustainability (2013) 6, 1: 1-23. His current research focuses on the connection of urban form and sustainable retailing activity in the metropolitan region. Among his courses is Planning Sustainable Cities and Regions, which is offered jointly with Departments of City and Regional Planning and Earth Sciences. Thomas DePriest Ed. D. is an Assistant Professor of Geosciences in the Department of Agriculture, Geosciences, and Natural Resources at the University of Tennessee at Martin and a doctoral student in the Department of Earth Sciences at the University of Memphis. His current research focuses on urban sprawl in mid-sized cities, geoscience education, and online learning in the geosciences.
Urban Sprawl:
Definitions, Data, Methods of Measurement, and Environmental
Consequences
Reza Banai
University of Memphis
Thomas DePriest University of Tennessee at Martin Abstract: Like sprawl itself, writing about sprawl is scattered in a vast multidisciplinary literature. In this paper we provide a map of what is increasingly known about urban sprawl in emerging literature. This review of progress includes four main parts—definition, data, methods of measurement, and environmental consequences of urban sprawl. The focus of this literature review is to determine whether the aforementioned parts are elements of a connected system in which progress in any one part reflects in others, thereby enhancing knowledge of urban sprawl's environmental consequences through a cross-fertilization with progress in how sprawl is defined, data are used, and phenomena are measured. We conclude with a discussion of areas of further research that surmounts the shortcomings of a disconnected, epistemic (knowledge) system of definitions, data, and methods, and points toward an explanation of urban sprawl's environmental consequences. The implications for the education of urban sustainability are noted. Key Words: Urban Sprawl, Definitions, Data, Methods of Measurement, Environmental Consequences, Sustainability Education
Urban Sprawl: Definitions, Data, Methods of Measurement, and Environmental Consequences Journal of Sustainability Education http://www.susted.org/
1. Introduction In an era of the world population's unprecedented urbanization, discussions of climate change are linked to the spatial organization of cities and regions. The subject of urban form is receiving increased attention in both popular media and scholarly literature about climate change, with discussions of the sustainability of both the natural and built environment frequently arising. One particular characterization of spatial form called urban sprawl is considered as a contributor to climate change, with environmental consequences from land to water and air. The way urban sprawl is measured is determined by how it is defined. Similarly, the methods used to measure urban sprawl are determined by spatial data. Arguably, knowledge of the urban sprawl's consequences depends on the manner in which urban sprawl is defined in concept, method of measurement, and data. Our focus is a progress review of how development in each of these dimensions—from definitions to methods of measurement—interrelate, and what knowledge of environmental consequences is gained as a result. This review, then, is not an inventory of progress in concepts, methods, and data as independent parts. We review progress in concepts, methods, and data as elements of one epistemic (knowledge) system and identify how an understanding of environmental consequences is enhanced by the connected system. We conclude with a discussion of areas of further research that surmount the shortcomings of a disjointed epistemic system of definitions, data, and methods toward a connected system in which explanation of environmental consequences of urban sprawl is facilitated. Federal, state, and local legislation that anticipates or mitigates urban sprawl is not included in this review. State laws that proactively empower cities and counties to prevent urban sprawl— such as Oregon's law empowering Portland to designate an urban growth boundary and Maryland’s smart-growth legislation that funnels state funding for development in ―priority‖ areas with existing infrastructure—are the exemplars. [For a thorough review including federal legislation,—such as the Intermodal Surface Transportation Efficiency Act (ISTEA1991) and the Transportation Equity Act for the 21st Century (TEA21,1998)—that heed land use/transportation connection and multi-modal regional mobility options that include public transit, see Calthorpe and Fulton (2001).] However, we do include the impact of legislation through subsequent data and methods used to guide urban development that averts sprawl. For example, Tennessee’s Growth Management Act (TACIR) (2000) calls for local (city and county) analysis of land suitability to avoid adverse consequences of urban sprawl (Tennessee’s Growth Management Law was enacted in the 1990s, when the federal government shifted the responsibility for planning cities and regions sustainably from the national to the state and local level.) State legislation provides the impetus for the analysis of urban-built and natural environments by using spatial data with methods like geographic information systems (GIS) and remote sensing. For example, Hasse and Lathrop (2003b) used a combination of census and land- cover/land-use change data with GIS-aided suitability mapping to determine compact growth that avoids urban sprawl for 566 local governments in New Jersey. We identify the progress that enhances our knowledge of environmental consequences through developments in definitions, methods of analysis, and spatial data. Our focus here is to highlight the ―ripple effect‖ of advances in any one dimension across all others, if such an effect exists. For example, advances in GIS and other hybrid spatial-analysis methods reviewed later in the paper, have facilitated morphological measurement of urban development and change.
Urban Sprawl: Definitions, Data, Methods of Measurement, and Environmental Consequences Journal of Sustainability Education http://www.susted.org/ density residential uses, even when the larger share of urban land use is residential. In contradistinction to Bourne (2001), Galster et al. (2001) discount commercial land use due to economies of agglomeration. Other indicators are consumption versus conservation of land (for an example of per capita consumption of land as an indicator of sprawl, see Masek and Lindsay's 2001 comparison of Portland OR with an urban growth boundary (UGB) and Washington D.C. without one). [Portland—with a planned UGB to limit its sprawl—has been growing at an annual rate of 1.2 square miles, compared to 9.5 square miles in UGB-less Washington D.C. Per capita consumption of land (land area divided by population) is used as an indicator of ―efficient‖ growth—for example, Washington D.C. consumed 480 square meters/person compared with Portland’s 120 square meters/person (Calthorpe and Fulton 2001, page 125). The lower per capita consumption of land indicates a more compact development and less sprawl, other dimensions of sprawl noted in this paper notwithstanding. Residential and non-residential consumption of land and density are also factors. With population and jobs spreading beyond urban and suburban (i.e., exurban) areas, the regional balance of jobs and housing, and the connection of land use with transportation are critical indicators of whether urban growth resembles compact or connected polycentric urban growth in a network of multi-modal regional transportation, or ―haphazard‖ sprawl. For Galster at al. (2001, 685), sprawl is ―low levels of some combination‖ of ―density, continuity, concentration, clustering, centrality, nuclearity, mixed uses, and proximity‖ in a so-called urban area rather than a metropolitan region. However, toward a definition of sprawl, the regional scale is arguably plausible not just because the region is the location of jobs, housing, and services that spur commuter and communication flows of a wide-ranging variety in the region’s physical infrastructure network (Banai and Wakolbinger 2011 , see also, USHUD 1999,Wheeler 2000), but also because the natural corridors of the physiographic region (valleys, rivers, streams, creeks and the like), which are likely impacted by sprawl, transgress municipal or ―urban area‖ boundaries. The regional scale, then, must be regarded in defining and measuring sprawl if the natural environmental consequences of sprawling urbanization are to be fully realized. The regional scale also suggests the relevance of commuting distance as an indicator of sprawl. Next, we review progress in technologies and methods of collecting data that represent the various indicators of sprawl.
3. Data The progression and the phased spread of urbanism are better grasped when mapped and visualized at the metropolitan-region scale, which provides the ―big picture.‖ Since the early 1920s, aerial photography has provided an indispensable method of mapping the state of city development and gauging the continued expansion of urban areas (Hayden, 2004). However, remote-sensing technology increasingly used in combination with GIS provides spatial data that reveal urban sprawl more efficiently than aerial photography. Remote sensing and GIS are commonly used technologies in urban-sprawl research with land-use/land-cover change (LULCC) maps (Green et al. 1994). LULCC maps depict and quantify, among other factors, the change in land form from permeable to impermeable surfaces with urban development. The environmental consequences are immediately suggested with change in the surficial landscape capacity that affects the occurrence of flood events and run-offs with point- and nonpoint-source pollution, water quality, and micro-site climate (as in so-called heat islands in urban areas with limited green open space), among other environmental consequences (for example, Tan et al. 20 10; see also Green et al. 1994). The same information is obtained from conventional aerial maps, but the method is much more cumbersome. Remote sensing and GIS have provided the
Banai & DePriest Vol. 7, December 2014 ISSN: 2151- technology that figures prominently in collecting, visualizing, and quantifying spatial data about urban sprawl toward assessing the environmental consequences. Introduction of new and improved technology has been a driving factor in the use and popularity of remote sensing over time (Green et al. 1994). The usefulness of remote sensing technology is thus realized in mapping the changed landscape. For example, Klemas (2001) reports that remotely sensed images for coastal areas from the current Landsat Thematic Mapper ™ cost less than $1,000.00 per scene compared to former cost of $4,500.00 per scene. Klemas (2001) also indicates that with the launch and release of new satellites, the images will be of higher quality and lower cost [1]. Satellite imagery has proven useful in depicting the bigger picture of sprawl. Kulash (2009) points out that night-time satellite images of the Earth indicate the magnitude of ―light pollution‖ is greater in the archetypal auto-dominated sprawling small towns in North Carolina's Piedmont Crescent, than in large metropolitan regions of New York, California, or Texas (see also National Geographic 2008). Tan et al. (2010) investigated LULCC (1999-2007) in Penang Island, Malaysia and explain that changes to the landscape occurred during this time period due to urban sprawl. Highly built-up areas increased (109.03%), minimally built-up areas decreased (4.61%), barren land decreased (77.69%) due to urbanization, forested lands decreased an average of 16.89% grasslands increased (12.67%), and water areas showed a modest increase (0.75%). As well, highly built-up areas experienced an increase in land surface temperature (LST) from 45. 0 C to
0 C. Advances in technology and the application of new and improved remote-sensing techniques and user-friendly GIS facilitate detailed mapping and analysis of sprawl with urban growth and change. Studies of this sort are useful toward an appreciation of the environmental consequences of ―urban expansion,‖ to use terminology from Tan et al. (2010), due to the change in land use and land cover. By using the term ―urban expansion,‖ however, and focusing on quantity of land use/cover change, little is conveyed about formal quality—that is, whether or not the urban expansion resembles urban sprawl. Discussions of urban form at a finer level of resolution (i.e. land parcel) with perspectives from new urbanism and new regionalism fill this void by focusing on the quality of the built and natural environment, from the rooftop to the region (Calthorpe 1993, Calthorpe and Fulton 2001, Wheeler 2000 and 2002, Duany and Talen 20 02, Talen 2008, Wheeler and Beatley eds. 2003, Birch and Wachter eds. 2008). Besides remotely sensed data and images, studies of urban sprawl have used readily available census data that are retrieved and visualized with thematic maps and are compatible with widely used GIS. Nasser and Paul's (2001), and Lopez and Hynes's (2003) studies, described later below, are examples of the use of census population and density data, which are defining elements of urban sprawl. We noted jobs/housing balance as an additional factor in discerning urban sprawl. The distance/direction data with work-census block to home-census block facilitates this mapping (see census origin-destination employment statistics). Furthermore, location and density of jobs data are useful in determining whether the urban structure resembles the polycentric pattern of linked centers or sprawl.
4. Operational Methods of Measurement Just as sprawl is defined in varied ways, so too are there multiple ways to measure sprawl. Different methods are used to capture the various dimensions of sprawl. Galster et al.
Banai & DePriest Vol. 7, December 2014 ISSN: 2151- evaluation (MCE). Cellular Automata, is ―viewed as a self-organizing system in which the basic element—land parcels—are developed into various land uses‖ (Wu, 1998, 63). The SimLand method used a GIS to map multiple data layers in conjunction with CA. The hybrid methodology describes likely development patterns, though the MCA does not provide criteria with which urban sprawl is assessed. For a sustainability assessment of land resources with multicriteria analysis, see Banai (2005). However, hybrid methods like those by Lin et al. (1997), Wu (1998), Banai (2005), AbuSada and Thawaba (2011) are helpful if used to also determine if land-use conversion is an outcome that resembles urban sprawl or compact sustainable development. New urbanism, sustainable urbanism, landscape urbanism, and smart growth are labels that have gained popularity by drawing attention to consequences of urban sprawl. Mitchell (2001) reports that the principles of smart growth are catching on in the sprawling suburb, with legislation to collect taxes in order to fund land conservation and urban renewal; to aid in the preservation of farmland and green spaces and encouraging the renewal and reuse of deserted industrial sites. The U.S. Green Building Council (usbc.org) developed the Leadership in Energy and Environmental Design (LEED-ND) rating system to assess neighborhood development (usgbc.org; see also smartgrowthamerica.org, cnu.org). The rating system incorporates neighborhood walkability, mixed land use, and access to public transit among its criteria— features that are generally lacking in the sprawl city’s typical suburban, auto-dependent neighborhood with mainly residential land-use. The Sustainable Sites Initiative (SITES) uses a similar approach in developing a building-site rating system (Steiner, 2011). Other studies provide city-wide rankings that are based on a set of urban-sustainability indicators (e.g. sustanelane.com). These rating systems do not supply any consequences of low rankings which are linked to sprawl. ` To promote smart growth, the Environmental Protection Agency (EPA) developed the smart growth index (SGI) which is used with a GIS (EPA, 2003). The smart growth index (SGI) maps environmental impacts of existing building and infrastructure. The SGI aids in local government investigations of possible future scenarios by assessing changes in new development and transportation (EPA, 2003). Commercially available software accomplishes tasks similar to the SGI. The spatial analyst in GIS (ArcGIS Spatial Analyst Esri.com) is used in city design (Barnett, 2011, ESRI references). Spatial Analyst is an ArcGIS program that aids urban planners and designers in using spatial data to gain a better understanding of complex decisions such as where to build and expand (see Barnett 2007). Useful applications include the identification of best location for conservation in the city. The plan for future transportation and population growth of the City of Orlando and its seven counties with an eye towards protecting the environment used this GIS approach (see Barnett 2007).
5. Environmental Consequences We know about the consequences of drained wetlands or embanked rivers for the inhabitants of cities and regions. Recall Hurricane Katrina in New Orleans, and, more recently, Hurricane Sandy in Staten Island. Seminal mappings, like those by McHarg (1969/1995) that determined
Urban Sprawl: Definitions, Data, Methods of Measurement, and Environmental Consequences Journal of Sustainability Education http://www.susted.org/ land suitability for urbanization and conservation, anticipated consequences of not heeding the natural world, such as in Staten Island (see also McHarg and Steiner 2006). The environmental consequences of urban sprawl are the subject of scholarly publications as well as popular reports and documentaries in the media (e.g. Breheny ed.1992, Ewing et al. 2008, Farr 2008, UN Habitat 2009 , Calthorpe 2011; see also Journey 2011,). Technology, including Internet use, has facilitated the collection, analysis, and reporting of data about environmental consequences of urban sprawl—storm water runoff, water and air pollution, soil degradation, and urban heat islands. Advances in data-collection technology, which also spur development of methods of analysis and visualization, inform scientific studies toward determination of environmental consequences of sprawl. An expansive definition of the ecosystem--both natural and human built environment-- informs the consequences of urban sprawl in greater scope (see also Lynch 1984). In addition to the natural environmental consequences are those in the built environment of urban sprawl— ecology, economy, equity, the so-called 3Es of environmental sustainability. However, the literature gives greater attention to the concept of 3Es, compared to discussions of the consequences of urban sprawl in ecologic, economic, and equity terms. Calthorpe and Fulton (2001) identify economic and social inequality as both cause and effect of urban sprawl (see also Barnett 2003). Continued sprawl's environmental impact is increasingly realized by state and local governments, and citizens. Local government programs, codes, and incentives that aim to protect the environment range from greener planning and the implementation of green areas of established urban areas to improved/greener construction methods. One of the ways that states aim to control or limit the spread of urbanism is through the implementation of UGB (Calthorpe and Fulton 2001, Barnett 2011). Oregon—which began to restrict growth by strategically establishing an urban-growth boundary that effectively limits urban development of agricultural land—is a well-known example. The designation of green/park areas in established downtown regions, and zoning codes that regulate street tree planting and landscaping, rooftop landscaping, and green building practices are additional examples of reinserting nature into the built environment (see Birch and Wachter eds. 2008). The challenges of the environmental consequences manifest beyond the green building, the street, and even the neighborhood to the region, with sprawling location of jobs and residences, the mismatch of jobs and housing, and limited multi-modal mobility options (see also Wheeler 2000, Duany and Talen 2002, Talen 2008, Banai 2013). The concept of ecosystems services elucidates the relationship between humans and the environment holistically (Steiner, 2011, see also McHarg 1969). New York City’s water quality management, which targeted point- and non-point- source water pollution generated from suburban towns throughout the watershed that collects rain and snow, is an example of the ecosystems-services approach. In partnership with multi-county agencies and local stakeholders, the comprehensive, long-term, cost-effective watershed-management program mitigated water pollution at its source in the ecosystem and avoided construction of an even more costly water- filtration facility in the city (for elaboration, see Calthorpe and Fulton 2001). Making the land use-transportation-air quality connection (LUTRAQ) is an exemplary holistic (epistemic) system that links environmental consequence of urban form with alternative land use and transportation options, increasing density or intensity of land use that supports
Urban Sprawl: Definitions, Data, Methods of Measurement, and Environmental Consequences Journal of Sustainability Education http://www.susted.org/ reflected in other parts of the same system. For example, cutting-edge cellular automata methods of mapping urban growth, land use, and land cover change are commonly lacking in definition— notwithstanding the implications—of sprawl. However, there are exceptions where environment is an explicit link in the method of analyzing urban sprawl. Progress in these areas can tip the balance in favor of knowledge of environmental consequences. The environmental consequences of urban sprawl are determined in varied ways. Aerial photography is a method of collecting spatial data, depicting, and defining urban sprawl qualitatively if not quantitatively as elements of one connected system as Hayden (2004) illustrated, although environmental consequences are implicit rather than explicit, and the measure of the magnitude of impact even more cumbersome. The dynamics of urban sprawl is a concept better captured by using satellite imagery/remote sensing as Masek and Lindsay (2001) have shown with Landsat data, comparing the urban growth of metropolitan regions. The calculated per capita (annual) consumption of land provided a comparative measure of growth in a metropolitan area with and without growth control. This is an example of a limited connected system of data and a simple method of measuring sprawl. Environmental consequences are not considered as elements of one system of definition, data collection, and method of measurement. Environmental sustainability is commonly conceptually illustrated in the literature by three interconnected elements: ecologic-economic-equity—3Es. The idea of the central importance of environment is due, in part, to the social and economic consequences of urban sprawl. As noted above, with economic and social inequality considered as both causes and effects of urban sprawl (Calthorpe and Fulton 2001), future research plausibly expands the concept of 3Es with discussions of consequences of urban sprawl in ecologic, economic, and equity terms. Further research thus surmounts the shortcomings of a disconnected epistemic system of definitions, data, and methods of measurement toward explanation of environmental consequences of urban sprawl in one connected ecologic-economic-equity system. The idea of a connected (epistemic) system that defines, measures, and identifies the environmental consequences of sprawl synergizes holistic urban-sustainability education, as noted above. But how could urbanization as a process synergize with the education of urban sustainability? As an example, Envision Utah was a community workshop (learning) example that enabled its participants to decide how the future of a region might be thought of and planned differently from past practice, responding to the increasing urbanization of population while mindful of the environmental consequences of growth (Calthorpre and Fulton 2001). Compact urban form that prevents sprawl and conserves natural resources is decided in place of sprawl and its ecosystem, social-equity, and economic-efficiency consequences. The compact urban form accommodates multi-modal mobility with public transit, bike and walk options that reduce auto-dependency and thereby congestion and tail-pipe pollution. The relevance of research paradigms that define, measure, and determine environmental consequences of urban sprawl as elements of one connected whole is implied for practice and education of urban sustainability. However, a final education and practice challenge is determining whether the paradigms accommodate not only systemic knowledge but also communicative, collaborative, and reflective modes of decision-making that are hallmarks of effective pedagogies as well as democracies (Banai 2012, 2013). Emerging web-based technologies that provide a public
Banai & DePriest Vol. 7, December 2014 ISSN: 2151- participation component to designing and planning alternative sustainable futures for cities and regions affirmatively indicate paradigm responses [2]. Acknowledgments. The comments of Larry Frolich and Claire Hintz, editors and reviewers of the Journal of Sustainability Education on an earlier version of this article are gratefully acknowledged. Notes
- A constellation of small satellites photographs the entire planet daily with high resolution and in ―near-real-time.‖ (See W. Marshall http://www.ted.com/talks/will_marshall_teeny_tiny_satellites_that_photograph_the_entir e_planet_every_day)
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