APPENDICES:
A:
B:
C:
D:
Personnel
Publications and other products
Consultants and related senior scholars
External funding and major events
Appendix A: Personnel
Principal Investigators
 Christopher Boone
 George L. Cowgill
 Sharon L. Harlan
 Michael E. Smith
 Barbara L. Stark
 Abigail York
Postdoctoral Scholar
 Alison Kohn (2010-2011)
Graduate Research Assistants
 Timothy Dennehy (2011-12)
 Juliana Novic (2008-09; 2009-10)
 Benjamin Stanley (2008-09; 201011; 2011-12)
Other Graduate Participants
 Juliana Novic, ASU (2010-present)
 Rhian Stotts, ASU (2011-present)
 Marion Forest, Université de Paris 1,
Pantheón-Sorbonne (2010-2011)
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Bridgette Gilliland (Fall 2011)
Yui Kamoda (Fall 2011)
Sara Robertson (Fall 2011)
Amanda Young (Fall 2011)
Undergraduate volunteers
Spring 2012:
 Jake Lulewicz
Fall 2011:
 Genevieve Zorc
2010-2011:
 Marcus Farman
 Cinthia Carvajal
 Sara Robertson
 Yui Kamoda
 Caitlin Grigaitis
 Bridgette Gilliland
 Lily Pierce
 Norma Elizondo
 Kenneth Udall
Undergraduate Employees
 Ashley Engquist (2011-12)
 Cynthia Carvajal (2010-11)
 Katrina Johnston (2009-10)
 Maricha Friedman (2008-09)
2009-2010:
 Maria Amezquita
 Alexis Nielson-Pachofsky
 Cinthia Carvajai
 Ashley Engquist
 Karin Sidaway
 Benjamin Snow
Undergraduate Interns
 Monica Algara (2011-12)
 Cinthia Carvajal (2009-10)
 Ashley Engquist (2009-10)
2008-2009:
 Kristin Campbell
 Cinthia Carvajai
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Appendix B: Publications and Other Products
1. Publications Deriving Primarily from Project Activities1
Stanley, Benjamin W., Barbara L. Stark, Katrina Johnston, and Michael E. Smith
n.d. Urban Open Spaces in Historical Perspective: A Transdisciplinary Typology and
Analysis. Urban Geography (accepted pending revisions).
Smith, Michael E., Ashley Engquist, Cinthia Carvajal, Johnston, Katrina, Amanda Young,
Monica Algara, Yui Kamoda, and Bridgette Gilliland
n.d. Neighborhood Formation in Semi-Urban Settlements. Journal of Urbanism (und. review)
Stanley, Benjamin W.
2012 An Historical Perspective on the Viability of Urban Diversity: Lessons from SocioSpatial Identity Construction in Nineteenth Century Algiers and Cape Town. Journal of
Urbanism 5(1): 67-86.
Smith, Michael E. and Juliana Novic
2012 Neighborhoods and Districts in Ancient Mesoamerica. In The Neighborhood as a Social
and Spatial Unit in Mesoamerican Cities, edited by Marie Charlotte Arnauld, Linda
Manzanilla, and Michael E. Smith. U of AZ Press, Tucson (in press).
Smith, Michael E.
2011 Classic Maya Settlement Clusters as Urban Neighborhoods: A Comparative Perspective
on Low-Density Urbanism. Journal de la Société des Américanistes 97(1): 51-73.
York, Abigail, Michael E. Smith, Benjamin W. Stanley, Barbara L. Stark, Juliana Novic, Sharon
L. Harlan, George L. Cowgill and Christopher G. Boone
2011 Ethnic and Class-Based Clustering Through the Ages: A Transdisciplinary Approach to
Urban Social Patterns. Urban Studies 48 (11): 2399-2415.
Smith, Michael E.
2010 The Archaeological Study of Neighborhoods and Districts in Ancient Cities. Journal of
Anthropological Archaeology 29(2): 137-154.
Smith, Michael E.
2010 Sprawl, Squatters, and Sustainable Cities: Can Archaeological Data Shed Light on
Modern Urban Issues? Cambridge Archaeological Journal 20: 229-253.
2. Publications the Incorporate Data from Project Activities
Stark, Barbara L.
n.d. Urban Gardens and Parks in Pre-modern States and Empires. American Anthropologist
(to be resubmitted).
Isendahl, Christian and Michael E. Smith
1
Entires are listed in date order, with the most recent at the top of each section.
2
n.d.
Sustainable Agrarian Urbanism: The Low-Density Cities of the Mayas and Aztecs. Cities
(under review).
Stark, Barbara L.
2012 Ancient Open Space, Gardens, and Parks: A Comparative Discussion for Mesoamerican
Urbanism. In Making Ancient Cities: Studies of the Production of Space in Early Urban
Environments, edited by Kevin D. Fisher and Andrew Creekmore (book under review).
Warren, P.S., Sharon L. Harlan, Christopher Boone, S.B. Lerman, E. Shochat, & A.P. Kinzig
2010 Urban Ecology and Human Social Organization. In Urban Ecology, edited by Kevin J.
Gascon, pp. 172-201. Cambridge University Press, New York.
3. Publications by Project Members on Closely Related Topics
Arnauld, Marie Charlotte, Linda Manzanilla and Michael E. Smith (editors)
2012 The Neighborhood as a Social and Spatial Unit in Mesoamerican Cities. Tucson:
University of Arizona Press (in press).
Boone, Christopher G., M. Nation, S. Hall, C. Raish, D.M. Finch, N. Grimm, E. Cook, and
Abigail M. York
2012 A comparative gradient approach to understanding and managing urban ecosystems.
Urban Ecosystems (in press).
Smith, Michael E., Gary M. Feinman, Robert D. Drennan, Timothy Earle, and Ian Morris
2012 Archaeology as a Social Science. Proceedings of the National Acad. Sciences: (in press).
York, Abigal M., M. Shrestha, Christopher G Boone, S. Zhang, Jr. J.A. Harrington, T. Prebyl,
A. Swann, M. Agar, M.F. Antolin, B. Nolin, J.B. Wright, and R. Skaggs
2011 Land Fragmentation under Rapid Urbanization: A Cross-site Analysis of Southwestern
Cities. Urban Ecosystems 14:429-455.
Harris, Richard and Michael E. Smith
2011 The History in Urban Studies: A Comment. Journal of Urban Affairs 33(1):99-105.
Jenerette, G. Darrel, Sharon L. Harlan, William L. Stefanov, and Chris A. Martin
2011 Ecosystem Services and Urban Heat Riskscape Moderation: Water, Green Spaces, and
Social Inequality in Phoenix, USA. Ecological Applications 21(7):2637-2651.
Smith, Michael E.
2009 Editorial: Just How Comparative is Comparative Urban Geography?: A Perspective from
Archaeology. Urban Geography 30: 113-117.
Conference Papers
Forest, Marion
2011 Constructing Social Space: Multi-Scalar Organization on the Zacapu Malpaís. Paper
presented at the 2011 Annual Meeting, Society for American Archaeology, Sacramento.
Isendahl, Christian and Michael E. Smith
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2011 Urban Agriculture and Dispersed Housing in the Low-density Cities of Mesoamerica.
Paper presented at the 2011 Annual Meeting, Society for American Archaeology,
Sacramento.
Stanley, Benjamin W.
2011 An historical perspective on the viability of urban diversity: lessons from socio-spatial
identity construction in nineteenth century Algiers and Cape Town. Paper presented at
the 2011 Annual Meeting, Association of American Geographers, Seattle.
Stark, Barbara L.
2010 Comparative Analysis of Ancient Urban Green Space. Professional lecture, Dumbarton
Oaks, Washington, D.C.
Stark, Barbara L.
2009 Urban Gardens in a Tropical Lowland Capital. Paper presented at the 2009 Annual
Meeting, Society for American Archaeology, Atlanta.
York, Abigail, Benjamin W. Stanley, Juliana Novic, and Michael E. Smith
2009 Understanding Urban Neighborhoods Through the Ages: Ethnic, Occupational, and Class
Clustering. Paper presented at the Urban Affairs Association Conference, Chicago.
Theses
Novic, Juliana
n.d. Neighborhood Dynamics at Calixtlahuaca, Mexico. Ph.D. dissertation, Anthropology,
Arizona State University. In preparation.
Gilliland, Bridgette
2011 Planned Neighborhoods in Pre-Modern Egyptian Cities: A Comparison of Workers
Villages. Senior Honors Thesis, SHESC and Barrett Honors College, Arizona State
University.
Friedman, Maricha
2009 Urban Neighborhoods in Ancient Mesoamerica. Senior Honors Thesis, Department of
Arizona State University.
Other Products
Smith, Michael E., Christopher Boone, George L. Cowgill, Sharon L. Harlan, Alison Kohn,
Barbara L. Stark and Abigail York
2010 An Expanded Social Scientific Perspective on Urbanism. White Paper for the program,
Future Research in the Social, Behavioral and Economic Sciences. National Science
Foundation, Washington, DC.
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Appendix C: Consultants and Related Senior Scholars
“Paid consultants” are external experts brought to ASU with project funds to consult with
project members. Each gave a public lecture in addition to workshops and meetings with project
personnel. “Other external experts” are scholars who visited ASU through other programs, but
spent time working with project personnel on the themes of our project. “Occasional faculty
participants” are ASU faculty in other units who have participated in project events and
consulted with us in various ways.
1. Paid Consultants
Dr. Roland Fletcher (Spring, 2008)
Roland Fletcher is Professor of Archaeology at the University of Sydney. Two of his research
themes relate closely to our project: (1) cross-cultural analysis of the sizes of settlements and
their determinants; and (2) fieldwork at Angkor. His formal lecture at ASU was titled: "Angkor:
The Living City"
Dr. Besim Hakim (Fall, 2008)
Besim Hakim is a planner and architectural historian based in Albuquerque, New Mexico. He
has written extensively on Islamic cities and neighborhoods, emphasizing the contemporary
value of traditional Islamic principles of design and conduct for modern urbanism. He advocates
bottom-up, generative forces in the creation of livable neighborhoods instead of central planning.
His public lecture was titled "Eco-Policies and Generative Programs for Sustainable Cities".
Dr. Robert Sampson (Spring, 2009)
Robert Sampson, Henry Ford II Professor of Social Sciences and Chair of the Department of
Sociology at Harvard University, was on campus as a consultant for the project on Feb 4 and 5.
Dr. Sampson is a member of the National Academy of Sciences and one of the foremost scholars
today on neighborhoods, neighborhood effects, urban sociology, and criminology. His public
lecture was titled, "Neighborhood Inequality and the Social Order of the American City."
Dr. Richard Blanton (Spring, 2009)
Richard Blanton is Professor of Archaeology at Purdue University. Two of his research themes
relate closely to our project: (1) comparative preindustrial urbanism; and (2) collective action
analyses of premoden states. His formal lecture at ASU was titled: "The Collective Basis of
Premodern Cities."
Dr. Jill Grant (Spring, 2011)
Jill Grant is a Professor of Planning at Dalhousie University. Her current research projects
include examining trends in residential environments, the theory and practice of planning
suburbs, the influence of new urbanism on Canadian planning practice, the planning response to
gated communities in Canada, planning for creative cities (with special interest in the needs of
music and cultural sector workers), and health and the built environment. She has also published
on comparative urbanism and comparisons of ancient and modern cities. Her public lecture was
titled "Structured space: Archaeology and the urban neighborhood."
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2. Other External Experts
Dan Smail (2008-09)
Dan Smail, a historian from Harvard University, visited SHESC and the History Department. He
is an expert in urban life in medieval Marseille, particularly neighborhoods and social variation.
We discussed medieval urban neighborhoods with him
Michael Batty (2008-09)
Michael Batty, a geographer at University College, London, visited the School of Geographical
Sciences. He is a renowned quantitative urban modeler. We met with Dr. Batty and discussed
issues of spatial and quantitative methods.
Cynthia Robin (2008-09)
Cynthia Robin, an archaeologist at Northwestern University, visited ASU (sponsored by the
Barrett Honors College) to serve as the outside reader in Maricha Friedman’s honors thesis
defense. She is an archaeologist who works on social models of Maya daily life and activities,
including households and neighborhoods. She gave a public lecture and met with our project
group.
Jan Nijman (Spring 2011)
Jan Nijman, formerly of the University of Miami (currently at the University of Amsterdam),
visited ASU through SHESC. His research focuses on urban and regional development,
globalization and comparative urbanism. He has published extensively on metropolitan Miami
and the Dharavi slum of Mumbai, India.
3. Occasional Faculty Participants from ASU Programs
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Katherine Crewe; an associate Professor at the School of Geographical Sciences and
Urban Planning, College of Liberal Arts and Sciences
Andrew Kirby; a Professor of Social and Behavioral Sciences
Jose Lobo; a Post Doctoral Associate, Global Institute of Sustainability; Associate
Research Professor, School of Human Evolution and Social Change, College of Liberal
Arts and Sciences
Emily Talen; a Professor at the School of Geographical Sciences and Urban Planning
Victoria Thompson; Associate Professor at the School or Historical, Philosophical and
Religious Studies, College of Liberal Arts and Sciences
Kelly Turner: Ph.D. Program at the School of Geographical Sciences and Urban Planning
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Appendix D: External Funding and Major Events
This appendix lists proposals for external funding and other project events not included in the
previous appendices.
External Funding
Anticipated, August 2012: The Principal Investigators will apply for funding from the National
Science Foundation; the tentative project title is “Urban elites, governance, and neighborhoods:
Social and spatial inequality in premodern cities.” We submitted a preproposal to programs in
the Social Behavioral and Economic Sciences at NSF and received positive responses from four
programs: Archaeology, Geography, Sociology, and Political Science. This will be a major grant
to cover part or all of our Stage 2 activities.
Spring 2011: Project members Alison Kohn and Abigal York submitted a proposal to the Urban
Studies Foundation to fund an international seminar, “The Formation and Persistence of
Neighborhoods: Past, Present, Future.” Although reviewed positively, this proposal was not
funded. Shortly thereafter we decided to change directions and focus on continued systematic
research (the Stage 2 and 3 projects) instead of holding a seminar.
Spring 2010: Barbara L. Stark was awarded a competitive fellowship to conduct research at the
Dumbarton Oaks research facility in Washington, DC, for a project titled “Comparative
Understanding of Peripheral Urban Gardens and Garden Functions.” This work is part of the
Open Space theme of our project.
Other Activities
Database (2008-2012)
A database of digital images related to premodern and modern cities across the world has
been compiled and stored on project servers. Undergraduate and graduate workers have scanned
maps, pictures, illustrations and other visual material, and have created a digital archive
including complete metadata describing sources, specific citations, and explanatory information.
We are exploring ways to make some portion of this material available to other scholars.
Pilot project (Spring 2012)
Graduate Assistants Benjamin Stanley and Timothy Dennehy are supervising a pilot
project to explore the kinds of data and methods to be employed in our Stage 2 project. Because
of the groundbreaking and exploratory nature of this research, we need to show that the kinds of
analyses we propose can indeed be carried out successfully with historical and archaeological
data. The results so far are encouraging and will probably result in a journal article; they will also
be incorporated into our proposal to the National Science Foundation.
Neighborhood Dynamics Workshop (Feb. 11, 2011)
Our project held a workshop to plan for a potential symposium and publications that
would focus on neighborhoods in comparative context. The workshop included the project’s PIs
and graduate students, related faculty at ASU, and a group of invited participants and
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consultants. Participants included project members, several ASU colleagues (see Appendix A,
Paricipants), and two outside scholars (Jill Grant and Jan Nijman); see Appendix C, Consultants.
When funding for the proposed symposium was turned down (see External Funding, above), the
PIs had a series of meetings and decided to change to a more ambitious and systematic scientific
course of activities.
Undergraduate Research Project: Neighborhoods in Semi-Urban Settlements” (Fall 2011)
Under the direction of Michael E. Smith, a group of undergraduates conducted research
on neighborhood formation in “semi-urban settlements.” They compiled historical, ethnographic,
and spatial data on temporary or semi-permanent settlements such as military camps, refugee
camps, squatter settlements, and company towns. Undergraduate employee Ashley Engquist
coordinated the research and assembly of data. It was discovered that neighborhood organization
is found in all of the semi-urban settlement types except for disaster camps. The students and Dr.
Smith wrote a jointly-authored paper, which is now under review with a journal.
Undergraduate student posters (2010)
Several undergraduate students produced posters on their research on premodern
neighborhoods; these posters were displayed publically in the Social Science Building.
White paper for the National Science Foundation (2010)
Project PIs Michael E. Smith, Christopher Boone, George L. Cowgill, Sharon L. Harlan,
Alison Kohn, Barbara L. Stark and Abigail York submitted a White Paper in response to a call
from the National Science Foundation program, “Future Research in the Social, Behavioral and
Economic Sciences.” Titled An Expanded Social Scientific Perspective on Urbanism, this
document promoted the kind of transdisciplinary, historical and comparative approach advocated
by our project. The document is posted on the NSF website
(http://www.nsf.gov/sbe/sbe_2020/index.cfm) and was incorporated into a study titled
“Rebuilding the Mosaic: Fostering Research in the Social, Behavioral, and Economic Sciences at
the National Science Foundation in the Next Decade.”
Graduate Seminar: Principles of Urbanism (Fall, 2010)
Project PIs all participated in teaching a graduate seminar that broadly explored the topic
of urbanism across a variety of disciplines such as archaeology, geography, political science,
sociology, anthropology, and urban planning. This course took a long-term perspective on
urbanism and urbanization, from ancient cities to the present. Such a longue durée perspective is
critical for understanding the cycles, dynamics, and processes of urbanization, which might not
otherwise be apparent from present-day cross-sectional studies. It also permits scholars to ask
questions about both locally distinct and general characteristics of urbanism through time and
space.
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