Part I Framework

Chapter
Foundations

1 Richard T. Forman,
Urban Ecology: Science of Cities
Cambridge University Press, 2014

In short, then, it takes the whole region to make the roofs of buildings, or in the atmosphere with organ-
the city. isms further overhead. Nor is the soil just under us vis-
Patrick Geddes, Cities in Evolution, 1914 ible, the deeper underground infrastructures, the fish
movements in the river, the river bottom, or the far side
But for all our buildings and lights and roads, for all
of the city. Indeed, we cannot even see the multitude of
our signs and words, that human presence is only a
microbes right around, on, and in us. We mainly miss
thin film stretched over mystery. Let sunlight flame
the active organisms and processes at night. And we do
in a blade of grass, let night come on, let thunder
not have the time or patience to see the really slow flows
roar and tornado whirl, let the earth quake, let mus-
and slow changes eternally occurring around us.
cles twitch, let mind curl about the least pebble or
Interesting, but are all those things important com-
blossom or bird, and the true wildness of this place,
pared with what we see? Well, consider a few examples.
of all places, reveals itself …
Up in that atmosphere, pollen and seeds and even spi-
Scott Russell Sanders, Staying Put: Making Home in
ders with tiny parachutes move across the city, ozone
a Restless World, 1993
smog forms, and sky radiation is generated. The tree
Imagine a glorious day in your favorite city being ener- canopies contain bird nests and numerous insects, and
gized at every turn. Sparkling clear air. Hardly any traf- evapo-transpire water to the air. Traffic noise inhibits
fic. People alive, interesting. Appealing architecture successful avian reproduction, while vibrations from
and gardens (Figure 1.1). Amazing cultural events. traffic and trains compact soil. Soil itself is a cornu-
Delightful diverse shopping. Food the best. Saw every- copia of roots, microbes, and soil animals, with water
thing … relished it all. and oxygen flowing downward, and carbon dioxide
Suddenly a friend appears, an ecologist. Comparing upward. The underground urban infrastructure con-
notes, she or he is equally enthusiastic. Luxuriant native tains raceways for cockroaches and rats to reach build-
street trees with lots of lichens. Clear water in the city ings, as well as stormwater and sewage wastewater to
pond. Bicycle routes and long walking routes bus- enrich water bodies. Underwater fish are feeding, being
ily used. Songbirds zipping along a shrubby tree strip eaten, even migrating. Harbor and river bottoms boast
between parks. No dog droppings. Wind blowing the a rich interacting mix of sediment, worms, pollutants,
smokestacks’ noxious air out of the city. Green walls and carbon dioxide, even sometimes oxygen. At nighttime,
balconies facing each other over streets. Restaurants migrating songbirds are hitting towers and skyscraper
with rat-proof dumpsters. Elongated grass-and-flower windows, cats are roaming, slugs are eating plants,
depressions for riverside floodwaters. The intriguing nighthawks are catching insects, and garbage is being
list goes on. Chuckling, together you have seen almost ravished. Slow flows and changes are also really hard
everything, yet seemingly in two different cities. to see – plants growing, termites chewing, water-table
But what about the invisibles? The what? We saw dropping, species diversity changing, plants adapt-
“everything” but maybe we missed some important ing, pests becoming pesticide resistant, species ranges
things. For instance, in this urban ecology no-one expanding, pipes rusting, wood foundations decaying,
directly sees the sounds and vibrations around us and sea-level rising. While the list of invisible organ-
(Figure 1.2). The smells and gases we breathe are invis- isms, interactions and processes could go on and on,
ible. Turbulent and streamline air flows hit us unseen. do these examples seem important ecologically? And
We do not see what happens in tree canopies over us, on for society?

1
 Foundations

Let’s find a little restaurant with something to drink

and explore this urban ecology a bit more. Maybe a
book on the subject would highlight lots of invisibles
and visibles, opening doors to insight and delight all
around us. Indeed, these revelations could be founda-
tions for making where we live much better.

Urban ecology concept

We have just become an urban species, Homo sapiens
“urbanus.” Half the human population now lives in
urban areas. The proportion grows, and the number
of urbanites skyrockets. The next two billion people
will all be urban, half joining today’s urban poor. These
newcomers will squeeze in now within a single gener-
ation. How welcoming is our land, our urban space,
our planet?
Meanwhile two mammoth changes are engulfing
us. First urbanization, the “urban tsunami,” easily vis-
ible today, sweeps swiftly and powerfully across the
land. Seemingly inexorable, yet not. And second, nat-
ural systems degrade – freshwater dries up, biodiversity
plummets, climate changes, soil thins, and unpolluted
places disappear. Two familiar drumbeats. We pick at
the problems. Or simply shrug, and consider them too
Figure 1.1. Glimpsing a garden of nature in a city center. A wide large, too complex to solve.
range of planting designs, architectural forms, and urban patterns
provides rich experience for people, and microhabitat diversity for Addressing such trajectories requires understand-
species. Sevilla, Spain. From R. Forman photo. ing of natural areas, forestry areas, agricultural areas,
and dry areas of the globe. Ecologists for over a century
have analyzed and educated us about natural systems

Figure 1.2. The invisibles and visibles

for understanding an urban area. Invisible
objects in bold type; visible objects in
Nighttime light type and parentheses.
Slow changes organisms
+
Atmospheric organisms activities
Slow flows (Cloud) + activities

CO SO2 NO Canopy insects

CO2 x
+ processes
(Dust) O3
O2
(Tree)
Gases (Rain)
Sounds
(Light) Airflows
(Building)
Vibrations (Road)
(Car)
Far side Smells Microbes
(Dog)
of city
(Water surface)
Fish Dynamic soil, Underground
movement roots, infrastructure
animals, +processes
Bottom
chemicals
processes

2
 Urban ecology concept

there. Yet the overlooked ecology of built areas has now Although humans are obviously organisms, ecol-
emerged as of core importance. Urban ecology is the ogists have mainly excluded people in their research,
ecology of right where we live. or considered humans as an outside factor causing
Envisioning the subject at two spatial scales is a useful effects. A humans-as-inside-or-outside-of-an-eco-
way to start. First, cities lie at the center of urban regions system discussion is endless (McDonnell and Pickett,
(Forman, 2008). In effect, an essentially all-built metro- 1993; Alberti et al., 2003; Head and Muir, 2006).
politan area visible from outer space is surrounded by Meanwhile lots of major disciplines, including eco-
a ring-around-the-city. The metro-area and its urban- nomics, sociology, transportation, engineering, and
region ring are interdependent, that is, tied together by architecture, all focused on human activities and
in-and-out flows and movements. Cities are no longer including interactions with the environment, carry
viable units, no longer make sense, whereas urban on. One could include humans as a key part of ecology,
regions make good sense. An ecology of urban regions. and then much of the field would be logically subdi-
Second, urban areas are mosaics. The spatial pattern vided and dispersed into pieces within these other big
or arrangement of patches and corridors is extremely human-centered disciplines. However, it seems wiser
diverse and ecologically important (Forman, 1995, to maintain and further build on the core strength of
2008; Wu, 2004; Pickett et al., 2009). Indeed, most ecology, with its basic focus on plants, animals, and
people and most decisions focus on these finer-scale microbes.
spots or areas within the urban region. Urban ecol- Sister disciplines and professions will welcome and
ogy highlights all the spaces, not only parks and other use principles developed by a strong vibrant urban
greenspaces, but also the rich variety of built spaces. An ecology. Tying these conceptual threads together
ecology of these spatial patterns, especially where most leads nicely to the following urban ecology concept
of us live in metropolitan areas, is the topic at hand. An (Figure 1.3):
ecology of urban mosaics. Urban ecology studies the interactions of organisms, built
To some, urban and ecology are contrasts (McIntyre structures, and the physical environment, where people
et al. 2000), or even an oxymoron. Recent work by urban are concentrated.
ecologists should dispel this perspective. The two con-
Organisms refer to plants, animals, and microbes.
cepts overlap and are quite compatible. Another famil-
iar ecological perspective is that the urban or human Built structures are buildings, roads, and other human
component is “bad,” that is, has a negative effect on
nature or ecological conditions. No such assumption is
made here. People can have both negative and positive
effects on nature. Furthermore, nature has both nega-
tive and positive effects on people (Forman, 2010a).
Ecologists have focused on understanding “nat- Buildings-roads
ural” patterns and processes, those minimally affected
by humans, and thus have largely avoided urban areas.
For example, of 6157 articles published during 1995–
2000 in nine leading ecological journals, only 25 (i.e.,
0.2%) dealt with cities (Benton-Short and Short, 2008). Plants-animals-microbes Soil-water-air
As seen in the previous section, the core of urban ecol-
ogy must focus on, and understand, the central pat-
terns and processes of urban areas.
Ecology is the study of organisms interacting with
the environment. “Environment” here is overwhelm-
ingly understood by ecologists to refer to the physical
environment dominated by air, water, and soil (not
the built environment of roads and buildings). With
People in city-suburb-town
research mainly in relatively natural areas, “organisms”
Figure 1.3. Urban ecology concept. Interactions of organisms,
has normally meant plants, animals, and microbes built structures, and the physical environment, where people are
(microorganisms). aggregated. Adapted from Forman (2010a).

3
 Foundations

constructions. The physical environment refers to air, time. Urban ecology theory and principles lead to
water, and soil/earth. Where people are concentrated applications for society.
primarily refers to cities, suburbs, and towns.
Built structures are a key to urban ecology.
Organism–environment interactions are simple ecol-
Routes to the present
Three intriguing and brief histories bring us up to date:
ogy, whereas inserting buildings and roads in the inter-
(1) cities; (2) ecology and environment; and (3) urban
actions transforms the subject to urban ecology.
ecology.
Urban ecology is useful for many allied fields
focused on different interacting factors. Sociology
highlights people–people interactions. Recreation Cities and history
and aesthetics commonly focus on people–organisms We begin with the population growth of cities. Then
interactions. Architecture, housing, and transporta- the key concepts and terms used to understand urban
tion emphasize people–built structure interactions. ecology are spelled out.
Engineering and weather reports focus on people–
environment interactions. Economics concentrates Changing city size
on people–environment–built structure interactions, The first population centers that might be called cit-
while public health highlights people–organisms–built ies appeared some 5000–6000 years ago in at least
structure interactions. The distinctiveness of urban Mesopotamia (today’s Iraq), Egypt, and the Indus
ecology promises much of use to each of these major Valley (today’s Pakistan) (Pacione, 2005; Benton-
human-centered fields. Short and Short, 2008). Early cities also emerged in the
Appealing metaphors and symbols often enhance Huang Ho Valley (today’s China), Greece, Rome, and
understanding, though normally are not conceptual Maya land (today’s Middle America). Damascus might
research frameworks (Grove and Burch, 1997). City as be the oldest continuously inhabited city. Over time,
powerhouse. City as system of arteries. City teeming the largest city worldwide has moved around, e.g.,
like an anthill. City as “second nature.” City mimicking Constantinople (now Istanbul) with 700 000 people
the human body. Urban development as natural proc- in 1700, to Peking with 1.1 million people in 1800, to
ess. Neighborhood change as ecological succession. Tokyo today (Berry, 1990). By the end of the 19th cen-
City as living system or natural system. Ecosystem tury the UK and Australia were largely urban nations.
health. City functions like a tree. Metaphors catch one’s In 1850 human history had produced 1 billion peo-
attention, but to be useful must then lead to specific ple on Earth (Platt, 2004), 10% of whom were urban.
patterns, mechanisms or changes. Two billion and 20% urban were reached 80 years later;
Urban ecology for planners typically emphasizes 3 billion and 30% arrived 30 years after that. Each new
providing environmental amenities for people, while billion people thereafter arrived in only 12–15 years.
ideally decreasing environmental impacts. In contrast, Today the 6.5+ billion people on Earth are half urban.
ecologists usually study species and habitat patterns, More than 4% of the Earth’s land surface is urban.
and may include chemical flows, animal movements, The next billion is coming fast. United Nations
and patterns of change. With the concept of urban ecol- statistics point to an Earth in 2040 with 8.5+ billion,
ogy highlighted above, ecologists are less likely to try to approaching two-thirds urban. Since the rural popu-
fit traditional ecological frameworks to urban patterns, lation worldwide is expected to remain essentially
and more apt to study and build principles around the constant at 3 billion, the next 2 billion people will join
central distinctive characteristics of urban areas. This the existing 3 billion urban people. Of the new urban-
approach should make a stronger, more useful urban ites, half will be middle-income and wealthy, perhaps
ecology, as well as expand the frameworks of the field mainly settling in suburban/exurban/peri-urban areas
of ecology itself. and near city center. The other half of the arrivals, 1
Coalescence of the preceding themes leads to the billion, is expected to double the population of urban
intellectual core of urban ecology. Specifically, urban poor to 2 billion. The rapidly growing informal- or
areas are mosaics of diverse spatial pattern. Organisms, squatter-settlement component of the urban poor par-
built structures, and the physical environment inter- ticularly targets and covers urban greenspaces.
act. Flows and movements through the mosaic create Where on Earth are we humans, and where will we
a dynamic system. Urban areas markedly change over soon be? In 1970, Asia had 37% of the world’s population,

4
 Routes to the present

rising to about half in 2005 (UN-Habitat, 2005). For person per day seems to apply in many cities of different
Europe the comparable figures dropped noticeably from types and sizes (Kenworthy and Laube, 2001). Travel
31% to 19%. Northern America (USA and Canada) fig- time has widely shaped the size and form of cities, so
ures also dropped. Latin America (and the Caribbean) many remain “one hour wide” (Newman and Jennings,
changed little. Africa increased from 6% to 10% of the 2008). People can get to most places they need by tran-
world’s people. Overall these relative growth rates are sit or traffic in less than a half hour. Thus, high-density
expected to continue for the upcoming few decades. cities can become larger without being “dysfunctional,”
Today Europe, Northern America, and Latin whereas low-density cities reach the apparent travel-
America each have about 75% of their population time threshold at a smaller population size. The dens-
urban. In sharp contrast, Asia and Africa are each about ity of buildings or people in an urban area (Theobold,
40% urban. Megacities are commonly highlighted as 2004; Pacione, 2005) is of particular ecological import-
centers, powerhouses and hubs. However, small cities ance, both for the area and its surroundings.
are much more numerous, remain widely distributed The size of land-use units or districts within a city
across the land, and provide quite different human also affects city size. Indeed, “mixed-use patterns,” rather
benefits and ecological characteristics. than large separate residential, industrial, and shopping
The size of population centers is yet more inform- areas, reduce transportation time and cost. Planning that
ative. For instance in the USA, nine cities have >1 mil- arranges people’s primary needs in proximity reduces
lion people, 52 have 250K (250 000) to 1 million, 172 the travel-time limitation on city population size.
have 100K–250K, 363 have 50–100K, 644 have 25–50K, Bioregional limits constrain city size as well (Newman
1435 have 10–25K, and 16 772 population centers have and Jennings, 2008). Thus, local water supply, food, energy,
fewer than 10 000 people each (Platt, 2004). Also, a rather and materials from the ring-around-the-city are cost
constant 15% (±2%) of the total 300 million population effective and reduce dependence on imports. The carry-
live in each community-size category (see equations, ing capacity idea of a city in balance with the resources of
Appendix B). Thus, virtually the same number of resi- its urban region is an especially appealing goal (Mumford,
dents lives in large cities as in tiny communities. 1961; Rees and Wackernagel, 1996, 2008; Forman, 2008).
The 22 megacities worldwide with >10 million popula- Reducing consumption, waste production, and air and
tion are currently most abundant in Asian regions (cities water pollution should also affect city population size.
listed by population size in each region) (UN Population As the major concentrations of human residential,
Division, 2007; Benton-Short and Short, 2008): East Asia commercial and industrial activity, cities inherently
area (Tokyo, Shanghai, Osaka, Beijing, Seoul); South Asia are the primary users of energy and residential water,
(Mumbai, Delhi, Kolkata, Dhaka, Karachi); Southeast Asia and the primary emitters of greenhouse gas. One may
(Jakarta, Manila); Latin America (Mexico City, Sao Paulo, ask whether all cities today are in “ecosystem decline.”
Buenos Aires, Rio de Janeiro); North America (New York, That is, has the human use of environmental resources
Los Angeles); Europe/Russia (London, Moscow); and exceeded the environmental carrying capacity every-
Africa (Cairo, Lagos). Still, more than half of the world’s where? Have ecological footprints outstripped the land,
urban people live in cities of less than 500 000. so we need more than one Earth’s surface to sustain
Plato in the 4th century BC said that when a city today’s human population (UN Population Division,
reached 50 000 people, that is enough … a new city 2007)? Are any cities living effectively within environ-
should be founded. A few decades ago a leading urban mental limits? If so, we should learn from them.
planner suggested 25 000 to 250 000 as the optimum city Many cities have a published natural history describ-
size (Lynch, 1981). Cities commonly grow for long peri- ing especially the key greenspaces, plants, and animals
ods and decrease for short periods (e.g., Leipzig, Detroit, present (Kieran, 1959; Houck and Cody, 2000; Forrest
Baltimore, Sao Paulo, Mexico City). Recently some meg- and Konijnendijk, 2005; Wein, 2006). Yet apparently
acities, after rapid population growth, have grown little the “history of a city’s nature” is rare. Thus, for Boston’s
(Newman and Jennings, 2008). This may be a temporary four centuries, the dramatic changes in greenspaces,
pause or may reflect some limit to concentrated popula- water bodies, wildlife, bird populations, and much more
tion growth. Are there limits to city population size? are elucidated (Mitchell, 2008). This provides a much-
Some scholars have suggested that travel time needed complement to the familiar sequence of military,
might provide an answer. The “Marchetti constant” economic, social and other human changes constituting
of an average of approximately one hour of travel per most histories. Indeed, Boston’s natural history also

5
 Foundations

highlights the changing efforts and successes in protect- Dictionary, 1991; Hartshorn, 1992; World Resources
ing, even enhancing, natural conditions over time. Institute, 1996; Hardoy et al., 2004; UN-Habitat, 2006).
Thus, urban area applies broadly at different scales to,
Key concepts and terms for urban areas for instance, megalopolis, urban region, city, suburb,
As for all major subjects, a few key terms are particularly neighborhood, or housing development.
useful in understanding cities and urban areas (Forman, Specifically, megalopolis refers to a group of adjoin-
2008). To sense the problem of choosing terms useful ing urban regions (such as Washington-Baltimore-
worldwide, consider some common land-use terms Wilmington-Philadelphia-New York-Hartford-Boston
in particular countries: tip (UK), biotope (Germany), or Amsterdam-Utrecht-The Hague-Rotterdam) (Hanes,
rodeo (USA), bush (Australia), rink (Canada), feng- 1993). Urban region is the area of active interactions
shui (China), favela (Brazil), shrine (Japan), allotment between a city and its surroundings (e.g., the 80-km-
(South Africa), and polder (The Netherlands). In the radius irrigated-rice floodplain encompassing Bangkok,
UK, a city with a cathedral may be an urban area, and or Philadelphia and its surrounding farmland areas
sprawl refers to unregulated (by government) rather now squeezed by New York, Wilmington, and other
than low-density spread of housing. regions) (Figure 1.4). Metro area (metropolitan area) is
As much as practical, concepts and terms in this the continuous essentially all-built area of a city and its
book are used for clarity and applicability worldwide. adjacent suburbs (e.g., as seen in a satellite image). [Note
“Urban” pertains or relates to city. I extend the con- that this spatial concept applies in all regions, and avoids
cept slightly in using the general term, urban area, the USA sprawl-and-car concept of a “commuter shed”
referring to city- or town-related spaces where people (Hartshorn, 1992); in most nations working in a city also
and buildings are concentrated (Webster’s College means living in or adjacent to it]. A city is a relatively

(a) Figure 1.4. Concepts and terms for

urban ecology. Metro area extends
outward to the edge of the essentially
continuous all-built area. Some suburbs
extend beyond the metro area, and
include some or all of the exurban or
peri-urban zone. The urban-region ring
also contains separate towns and villages.
(a) Width of arrows roughly proportional
to amount of flows and movements.
(b) (b) Concepts and terminology used in
this book. (c) The two components of
urbanization in different areas [see (b)] of
the urban region. (d) Examples for bits
of green cover (in built space) = window
box, street trees, back yard space, green
roof; examples of created greenspaces =
city plaza/square, cemetery, vacant lot,
dump, waterworks, golf course. Based on
Forman (2008) and other sources.

(c)

(d)

6
 Routes to the present

large or important municipality or population center The familiar general term, “land use,” is used as
(Webster’s College Dictionary, 1991; Hardoy et al., 2004; equivalent to the slightly more-technical term, “land
UN-Habitat, 2006). A suburb is a mostly residential cover,” which refers to the area where a specific type
municipality or town close to a city, and may be within, of greenspace or built space predominates (Breuste,
partially within, or outside the metro area. 2009). Thus, a particular land use is considered to be a
Three terms describe the area outside the all-built single land cover with one or more uses or roles.
metro area (Forman, 2008). The urban-region ring Three types of “environment” may be recognized
refers to the area between the metro-area border and (Hardoy et al., 2004): natural environment (dominated
the urban-region boundary. A usually narrow zone by organisms, and with little human influence); physical
adjacent to or close to the metro-area border, typically environment (air, soil, or water characteristics predom-
characterized by some recent housing developments inant, with little role of organisms); and built environ-
and other evidence of urbanization, is perhaps best ment (area dominated by buildings or other human
called exurban. If the narrow zone contains consider- artifacts). Nature refers to what humans have not made
able agriculture, it can be called either peri-urban or or strongly altered (Webster’s College Dictionary, 1991;
exurban, whereas if natural land predominates, exur- Forman, 2008). Natural system focuses on the struc-
ban seems to be the more appropriate term (Theobold, ture and functioning of nature (dominated by air, soil,
2004; Pacione, 2005; Vince et al., 2005; McGregor et al., water, plants, animals, and/or microbes), and ecosys-
2006; Tacoli, 2006; Maconachie, 2007). tem highlights a natural system where organisms play
Urbanization is a land-change process of densifica- central roles (in contrast to groundwater, earthen fill,
tion and/or outward expansion (Figure 1.4c) (Pacione, and atmospheric systems). Habitat refers to a relatively
2005; Forman, 2008). Densification refers to increas- distinct area and its environmental conditions, where
ing the density of people or buildings (e.g., by chan- an organism or group of organisms mainly lives.
ging low-rise to high-rise housing or the conversion/ Natural habitats or systems are found in four eas-
loss of greenspace to buildings, as in Portland, Oregon, ily recognized forms: built area; created greenspace;
USA). Outward expansion refers to city-related devel- semi-natural greenspace; and natural area (Figure 1.5)
opment beyond the metro-area border, effectively a (Forman, 2008, 2010a). As suggested above, a built area
suburbanization process. The expansion may occur contains continuous closely spaced buildings typically
in many different ways, including development along with roads and other human structures present, as in
transportation corridors (e.g., Grenoble, France), various residential and commercial areas. Within the
by bulges around the metro-area border (history of built area, tiny spaces covered with plants are described
London), or by dispersed sprawl [e.g., Las Vegas (USA) as green cover, as for example a grassy entranceway to
and Chicago] (Forman, 2008). Consistent with the a building, street trees, backyard of a house plot, or a
dictionary concept, sprawl is the process of distribut- tiny unmaintained weedy patch. A created greenspace
ing built structures in an unsatisfactory (“awkward”) is a small or large area mainly covered by plants that
spread-out (rather than compact) pattern. Compact- was formed by, or is intensively used or maintained
nucleus expansion, illustrated by concentrated growth by, people, such as a grass-tree city park, golf course,
on the edges of many European towns, is an urbaniza- or farmland. A semi-natural area is a large or small
tion alternative to sprawl. space resembling a natural ecosystem but significantly
An urban area is basically covered by two com- altered or degraded by people, sometimes with cre-
ponents, built spaces or areas and greenspaces. Both ated unbuilt spaces intermixed, such as a woodland
are exceedingly diverse and important. Greenspaces park (Figure 1.5), or greenway, or wetland for pollu-
are mainly covered by plants and, though publicly or tant treatment (Haber, 1990; Millard, 2008; Cilliers
privately owned, are large enough to be public green- and Siebert, 2011). A natural area is unplanted and
space. Built spaces or areas are mainly covered with without intensive human management or use, such
human-made structures, but commonly contain small as a relatively large marsh, forest, or shrub area with
areas of plant cover (Figure 1.4d). Thus, greenspaces little human usage, usually in the outer urban-region
include golf courses and most abandoned sand/gravel- ring (Peterken, 1996; van Bohemen, 2005; Kowarik
extraction sites and capped dumps, while built spaces and Korner, 2005). These four categories, from built to
include most housing developments, active dumps, natural, represent a broad sequence of ecological alter-
and parking lots. ation or degradation, where human activities decrease

7
 Foundations

theoretical, evolutionary, community and systems

ecology. Many subspecialties have evolved over time,
including the recent development of landscape ecol-
ogy, conservation biology, and urban ecology. These
diverse flavors of ecological science naturally have gen-
erated variations in defining ecology, e.g., in empha-
sizing vegetation, population dynamics, ecosystem
flows, evolutionary adaptation, or interaction with the
physical environment. Fortunately, despite these vari-
ations, ecologists of diverse types almost all ascribe to
the traditional core concept of ecology, as the “study of
interactions of organisms and the environment.”
In a two-century history of society’s “big ideas” –
religion, science/rationalism, nationalism, hard-work-
makes-land-productive, communism, and economic
growth – the idea of environmentalism barely made
a sound (McNeill, 2000). But it hit the headlines and
became a household word in the 1960s–70s, associated
with a whole set of issues – wetlands, wolves, foam-
ing rivers, and choking air – and in the wake of Rachel
Carson’s 1962 book, Silent Spring. Environmental
organizations, political parties, laws, regulations, and
some visible successes rapidly followed in developed
Figure 1.5. Semi-natural oak woods (Quercus) in a city park. and certain developing nations. International confer-
Rather dense canopy, understory, shrub layer, and herbaceous layer
suggest natural conditions, whereas the paths, bench, constructed ences and treaties further spurred environmentalism
pond, and overflowing trash bin indicate a significant human into our consciousness.
impact. London. R. Forman photo courtesy of Jessica Newman. Then suddenly in the 1990s–2000s, urbanization
(especially sprawl) and global climate change further
natural vertical structure, horizontal pattern, and/or pushed environmentalism to the forefront, as one of
flows and movements. the big ideas of history. The primarily scientific com-
ponent of this, ecology, emerged as a core field for soci-
etal solutions. Within this, embryonic urban ecology is
Ecology, environment, and history growing rapidly.
Barely a century and a half old, ecology as a discipline Not surprisingly, diverse subjects and terms have
catapulted to the front line for society in the 1960s when also appeared in the overlap areas of ecology and other
an “environmental crisis” was suddenly recognized fields. Consider environmental engineering, eco-criti-
(Carson, 1962; Bartuska and Young, 1994; McNeill, cism, social ecology, political ecology, environmental
2000). Ecology was highlighted as a core subject for design in architecture, ecological/natural-resource/
both understanding and solution. Quickly it became a environmental economics, human ecology, global ecol-
familiar word in kitchens, drinking places, and diplo- ogy, eco-city and ecopolis, sustainable development,
mats’ conferences. road ecology, green infrastructure, industrial ecology,
Ecology appeared in the 1860s in Germany, and deep ecology, even green marketing (Park et al., 1925;
by the 1890s was a recognized scientific discipline Ma, 1985; Costanza et al., 1997a, 1997b; Roseland,
in Europe, tying together animal and plant ecology 2001; Buell, 2001, 2005; Steiner, 2002; Forman et al.,
plus freshwater and marine biology (Worster, 1977; 2003; Babbitt, 2005; van Bohemen, 2005; Allenby,
McIntosh, 1985; Forman, 2010a). In the USA the field 2006). Together such subjects represent hybrid vigor,
emerged in the Midwest about 1900, focusing on eco- the opening of frontiers of discovery and knowledge,
logical succession. Professional societies and jour- and importance to society.
nals were founded in 1912–15, and modern ecology Eight major concept areas today describe the field
emerged in the 1940s–50s, highlighting ecosystem, of ecology (Smith, 1996; Cain et al., 2011; Morin, 2011):

8
 Routes to the present

(1) physiological organism–environment ecology; (2) emphasized distinctive urban sites, plant communi-
population growth and regulation; (3) competition ties, and changing species composition (e.g., London,
and predation; (4) community/habitat and succession; Paris, New York, Vienna) (Sukopp, 2008).
(5) ecosystem and biogeochemical cycling; (6) fresh- Ecosystem studies of urban areas, in some cases by
water ecology; (7) marine biology; and (8) landscape, teams of researchers focusing on flows of nutrients and
regional, and global ecology. Professional journals, materials, appeared in the 1970s–80s (e.g., Brussels,
organizations, meetings, academic programs, courses, Berlin, Hong Kong) (Nix, 1972; Duvigneaud, 1974;
research grants, and research programs sustain these Stearns and Montag, 1974; Boyden et al., 1981; Sukopp,
subfields and their growth. More than 25 000 people 1990). A focus on urban trees also appeared from the
today identify themselves primarily as ecologists. 1970s on (Grey and Deneke, 1992; Rowntree, 1986).
Vegetation and the ecosystem concept were linked in
Urban ecology and history Tokyo (Numata, 1982). A particularly nice balance and
synthesis of urban microclimate, soil, water, plants,
Early phases vegetation, and animals was published mainly for UK
The roots and development of urban ecology are high- cities (Gilbert, 1991).
lighted in two recent reviews (Sukopp, 2008; McDonnell, Also since at least the 1970s, urban nature has been
2011). The term was used in the 1920s by a group of soci- scientifically linked with human health, welfare, and
ologists drawing analogies from the science of ecology culture, highlighting a human ecology dimension (e.g.,
(Park et al., 1925). However, urban ecology as a scien- Tokyo, Hong Kong) (Boyden et al., 1981; Numata,
tific discipline really emerged in the 1970s–80s (Stearns, 1998). Human ecology as a field linking urban plan-
1970; Nix, 1972; Duvigneaud, 1974; Stearns and Montag, ning and social patterns with ecological science has
1974). Thus, although overlaps exist, it is convenient to continued to evolve (Steiner and Nauser, 1993; Steiner,
briefly consider the pre-1970 period and the post-1970 2002).
period. The major linkage between the 1970s–80s urban
Floras of urban botanical gardens, cemeteries, ecology work and the current phase goes through Berlin
tree-planted spaces, and indeed of whole cities [e.g., in and Central Europe, especially the work of H. Sukopp,
German cities, Montpellier (France), and Leningrad] P. Pysek, and later I. Kowarik (Sukopp et al., 1990, 1995;
were published from the 1500s on (Sukopp, 2002, Pysek, 1993; Pysek et al., 2004; Breuste et al., 1998;
2008). Floras of castles, ruins, and urban areas (Rome, Kowarik and Korner, 2005; Sukopp, 2008). An active
Paris, Palestine, London) appeared from the 1600s on. researcher, editor of books, and catalyst for the field,
Urban plant migration studies, especially by a Swiss especially in Northern and Central Europe, Sukopp
botanist A. Thellung in the 1910s, were published from highlighted the changing urban vegetation and flora,
the 1700s on (Schroeder, 1969; Pysek, 1995b). Urban but welcomed contributions from diverse researchers,
bird and mammal studies appear from the 1800s on, ecological fields and geographies. Vegetation or “bio-
though studies of animals of economic importance tope” mapping in cities was a foundation of this work
appear >1000 years ago (Gilbert, 1991; Owen, 1991; (Schulte et al., 1993; Pysek, 1995a; Schulte and Sukopp,
Klausnitzer, 1993; Erz and Klausnitzer, 1998; Sukopp, 2000). In 1995 Berlin and London were probably the
2008). Urban vegetation studies appeared from the best known major cities ecologically.
1950s on [Berlin, Prague, Brno (Czech Republic)]
(Murcina, 1990; Pysek, 1993; Sukopp, 2002). Urban The current phase of urban ecology
environmental conditions relative to ecology are also Throughout both the early phase and the current
important in urban ecology, including studies of phen- phase, dispersed perceptive pioneers have contributed,
ology from the 1700s, and of microclimate, soils, and and continue to contribute, an unending sequence of
air pollution from the 1800s (Sukopp, 2008). diverse insights and important results to our under-
Ecological studies of World War II bombed sites standing of urban ecology. These individual scholars
and rubble surfaces from the 1940s on highlighted or small groups work in large and small cities, differ-
flora, fauna, and vegetation dynamics (Salisbury, ent geographic settings, and diverse cultures. Examples
1943; Pfeiffer, 1957; Gilbert, 1992), and represent an are: M. Soule et al. (1988), top predator effect on urban
important step underlying modern urban ecology. species diversity; A. von Stulpnagel et al. (1990), park
Newer studies of whole cities from the 1940s–50s on size and air cooling; J. Owen (1991), ecology of a house

9
 Foundations

plot or garden; M. Godde et al. (1995), urban habitats understanding of urban ecology, and may have tailored
and plant/animal diversity; and, yes, R. Forman and definitions to their diverse fields (Geddes, 1914, 1925;
D. Sperling (2011), netway system for reconnecting Spirn, 1984; Deelstra, 1998; Beatley, 2000b; Pickett
the land. et al., 2001, 2013; Hough, 2004; Alberti, 2008; Forman,
The current phase of urban ecology perhaps 2008; Nassauer and Opdam, 2008; Musacchio, 2009;
emerged in the late 1990s with the establishment of Reed and Hilderbrand, 2012). Social science does as
multidisciplinary, integrative and long-term studies well (Pickett et al., 2001; Alberti, 2008; Muller et al.,
of a few temperate-zone cities (Grimm et al., 2000; 2010; McDonnell, 2011). At a much earlier time soci-
Wu, 2008): New York, Baltimore, Phoenix, Seattle, ology saw promising analogies with the then-emerg-
and Melbourne. Research in Sheffield/London is simi- ing science of ecology (Park et al., 1925; Hawley, 1944;
lar in scope. This work added impetus and integrated Catton and Dunlap, 1978), and subsequent thinking
knowledge. It changed the field from the domain of dis- from this approach may have been retained in part in
persed individual scholars to the initial coalescence of the broad field of human ecology (Steiner and Nauser,
an embryonic field. 1993). The role of social science, engineering, and other
Numerous edited books from the 1980s to 2010s fields in urban ecology will of course remain dynamic.
have catalyzed the field and effectively sketched out As in the evolution of landscape ecology (Zonneveld
its current and evolving core (McDonnell, 2011): and Forman, 1990; Forman, 1995; Farina, 2006), an
Sukopp et al. (1990, 1995), Platt et al. (1994), Breuste ecumenical approach without attempting to draw
et al. (1998), Konijnendijk et al. (2005), Kowarik and boundaries lets the highest quality and most valuable
Korner (2005), Carreiro et al. (2008), Marzluff et al. theory-and-application work simply define the core of
(2008), McDonnell et al. (2009), Gaston (2010), Muller a field, in this case urban ecology.
et al. (2010), Niemela et al. (2011) and Richter and Today’s major urban-ecology approaches and cent-
Weiland (2012). Also key books on urban climatology ers of research (Sukopp et al., 1990; Nilon and Pais,
(Gartland, 2008; Erell et al., 2011), soils (Craul. 1992, 1997; Breuste et al., 1998; Jenerette and Wu, 2001;
1999; Brown et al., 2000), water (Baker, 2009), and Pickett et al., 2001; Luck and Wu, 2002; Grimm et al.,
geography (Hartshorn, 1992; Pacione, 2005) provide 2003, 2008; van der Ree and McCarthy, 2005; Kowarik
important components for urban ecology. and Korner, 2005; Wu, 2008; Alberti, 2008; Forman,
Five books with the benefits of single authorship 2008; McDonnell et al., 2009; Lepczyk and Warren,
offer valuable integration and depth in key areas. O. L. 2012; Richter and Weiland, 2012) include: (1) habi-
Gilbert (1991), as mentioned, highlights the basic eco- tat/biotope mapping and related analyses (especially
logical components of urban ecology, especially for UK in Berlin and Central Europe); (2) species types and
cities. C. P. Wheater (1999) has a similar content but richness (Berlin, Melbourne); (3) city-to-rural gradi-
is less detailed and appeals to audiences beyond ecol- ent (Melbourne, Baltimore); (4) modeling and biogeo-
ogy. M. Alberti (2008) highlights concepts from ecol- chemical/material flows (Phoenix, Seattle); (5) coupled
ogy through the eyes of a planner, and provides many biophysical-human systems (Phoenix, Baltimore,
stimulating ideas. R. T. T. Forman (2008) highlights the Seattle); and (6) urban-region spatial patterns, pro-
urban region, within which a city functions, as a key cesses, and changes (worldwide analyses).
viable unit for ecological analysis and planning. F. R. The concept of a city-to-rural (urban-to-rural) gra-
Adler and C. J. Tanner (Adler and Tanner, 2013) usefully dient has been an especially useful concept in catalyz-
apply some basic ecological concepts to the built envir- ing urban ecology research (McDonnell and Pickett,
onment. The book in your hand thus delves into urban 1990; McDonnell et al., 1993; McDonnell and Hahs,
areas from megalopolis to micro-site, developing eco- 2008; McDonnell, 2011). Just as the 19th- and 20th-
logical principles based on the urban characteristics. century, lichenologists and botanists studied lichens
The present book focuses squarely on the science and other plants along lines from outside the city to
of ecology and urban areas (Grimm et al., 2000; Pickett city center (Le Blanc and Rao, 1973; Schmid, 1975),
et al., 2001; Alberti et al., 2003; Niemela et al., 2009). numerous ecological phenomena have now been stud-
Naturally this science is of considerable use and value ied and compared along such gradients worldwide.
to various human disciplines. For example, engin- This approach is familiar and convenient for ecologists
eering, planning, and landscape architecture incorp- and is likely to continue, even as research increasingly
orate components into their fields, contribute to the turns to the more difficult, but especially valuable, two-

10
 Urban attributes and ecological assays

dimensional studies of urban mosaics. Differentiating species, urban habitats, and their spatial arrangement.
the ecology “in” and “of ” cities (typically “in” = single That is a good way to begin.
component, small space, within a city; “of ” = inter-
disciplinary and multi-scale) has helped spur broad- Distinctive attributes, hierarchical scales,
scale urban-ecology thinking and research (Grimm
et al., 2000; Pickett et al., 2001; Alberti, 2008; Wu, 2008; and gradients
McDonnell, 2011). Presumably, ongoing research, Consider a few widespread unusual or distinctive eco-
including multidisciplinary small-space as well as logical characteristics. All are familiar to urban ecolo-
single-component multi-scale studies, will reduce the gists and even to the observant public.
value of or need for such a separation. 1. Habitats and species
Today the field is developing in two ways. First, dis- t
Usually diverse intermixed greenspaces and
persed scholars continue to publish research results built patches cover the area.
from large and small cities in diverse regions and
t
Small sites tend to have few species, whereas
cultures worldwide. These studies crack open fron-
large areas are often species rich.
tiers on an array of subjects the researchers perceive
t
Planted ornamentals, as well as spontaneous
to be important. Together these provide both specific
colonized species, are widespread.
insights and broaden the field. Second, several research
t
Generalist species survive and predominate in
teams carry out relatively integrated research from a
urban conditions.
few cities on related subjects with a logical focus. These
focused research studies deepen understanding in their 2. Patches and areas
domains, and together provide comparisons, linkages, t
Housing developments and house plots
and breadth. This dual and synergistic approach rep- emphasize rectilinear repetition.
resents a strong model for developing urban ecology t
Boundaries are overwhelmingly straight,
into the future. abrupt, and in high density.
t
Mowed grassy areas range from abundant to
essentially absent.
Urban attributes and ecological assays t
Widespread impervious surfaces absorb solar
In the late 19th century, suppose the field of ecology radiation, generate heat, and greatly increase
had begun in cities, rather than in woods, shrub- stormwater runoff.
lands, farmland, and ponds (Worster, 1977; McIntosh, t
Air and water are often heavily polluted.
1985). Surely its central themes would have involved 3. Corridors and flows
muddy roads and puddles, cobblestone streets, horses t
Rectilinear road networks channel hordes of
and dung, dust, coal-burning smoke, lots of dumps, moving vehicles and people.
streams/rivers for waste removal, connected back- t
Underground branching conduits permeate
yards/garden areas, privies and human-wastewater, and connect the place.
pigeons and house sparrows, rail facilities, rats, dis-
t
Animal movement is often along stepping
eases, and blocks of burned buildings. An ecology of
stones rather than continuous strips.
natural ecosystems might have evolved separately,
t
Watercourses are channelized and flood-prone
or perhaps hand-in-hand with the ecology of cities.
areas common.
Irrespective, today urban ecology would be much fur-
ther along. 4. Change
Solidly rooted in natural areas, often with a lim- t
Many ecological changes are human-caused,
ited or modest human imprint, how does an ecologist rapid, and drastic.
get started in a city? Buildings and roads are packed t
Abundant species from afar endlessly arrive,
together. People and vehicles and an array of human- while both native and non-native species
made objects cover the place. Flows and movements are disappear.
channeled through networks. Flying animals and bits t
The city expands directionally over suburbs,
of green, from sidewalk mosses to whole parks, catch and suburbs over rural land.
our attention. Where do species live in a city? Urban For a natural or agricultural landscape, these patterns
would be bizarre. In urban areas they predominate.

11