PROLOGUE
Yali's Question
WE ALL KNOW THAT HISTORY HAS PROCEEDED VERY
DIFFERENTLY for peoples from different parts of the globe. In the
13,000 years since the end of the last Ice Age, some parts of the
world developed literate industrial societies with metal tools,
other parts developed only nonliterate farming societies, and still
others retained societies of hunter-gatherers with stone tools.
Those historical inequalities have cast long shadows on the modern
world, because the literate societies with metal tools have
conquered or exterminated the other societies. While those
differences constitute the most basic fact of world history, the
reasons for them remain uncertain and controversial. This puzzling
question of their origins was posed to me 25 years ago in a simple,
personal form.
In July 1972 I was walking along a beach on the
tropical island of New Guinea, where as a biologist I study bird
evolution. I had already heard about a remarkable local politician
named Yali, who was touring the district then. By chance, Yali and
I were walking in the same direction on that day, and he overtook
me. We walked together for an hour, talking during the whole
time.
Yali radiated charisma and energy. His eyes
flashed in a mesmerizing way. He talked confidently about himself,
but he also asked lots of probing questions and listened intently.
Our conversation began with a subject then on every New Guinean’s
mind—the rapid pace of political developments. Papua New Guinea, as
Yali’s nation is now called, was at that time still administered by
Australia as a mandate of the United Nations, but independence was
in the air. Yali explained to me his role in getting local people
to prepare for self-government.
After a while, Yali turned the conversation and
began to quiz me. He had never been outside New Guinea and had not
been educated beyond high school, but his curiosity was insatiable.
First, he wanted to know about my work on New Guinea birds
(including how much I got paid for it). I explained to him how
different groups of birds had colonized New Guinea over the course
of millions of years. He then asked how the ancestors of his own
people had reached New Guinea over the last tens of thousands of
years, and how white Europeans had colonized New Guinea within the
last 200 years.
The conversation remained friendly, even though
the tension between the two societies that Yali and I represented
was familiar to both of us. Two centuries ago, all New Guineans
were still “living in the Stone Age.” That is, they still used
stone tools similar to those superseded in Europe by metal tools
thousands of years ago, and they dwelt in villages not organized
under any centralized political authority. Whites had arrived,
imposed centralized government, and brought material goods whose
value New Guineans instantly recognized, ranging from steel axes,
matches, and medicines to clothing, soft drinks, and umbrellas. In
New Guinea all these goods were referred to collectively as
“cargo.”
Many of the white colonialists openly despised
New Guineans as “primitive.” Even the least able of New Guinea’s
white “masters,” as they were still called in 1972, enjoyed a far
higher standard of living than New Guineans, higher even than
charismatic politicians like Yali. Yet Yali had quizzed lots of
whites as he was then quizzing me, and I had quizzed lots of New
Guineans. He and I both knew perfectly well that New Guineans are
on the average at least as smart as Europeans. All those things
must have been on Yali’s mind when, with yet another penetrating
glance of his flashing eyes, he asked me, “Why is it that you white
people developed so much cargo and brought it to New Guinea, but we
black people had little cargo of our own?”
It was a simple question that went to the heart
of life as Yali experienced it. Yes, there still is a huge
difference between the lifestyle of the average New Guinean and
that of the average European or American. Comparable differences
separate the lifestyles of other peoples of the world as well.
Those huge disparities must have potent causes that one might think
would be obvious.
Yet Yali’s apparently simple question is a
difficult one to answer. I didn’t have an answer then. Professional
historians still disagree about the solution; most are no longer
even asking the question. In the years since Yali and I had that
conversation, I have studied and written about other aspects of
human evolution, history, and language. This book, written
twenty-five years later, attempts to answer Yali.
ALTHOUGH YALI’S QUESTION concerned only the
contrasting lifestyles of New Guineans and of European whites, it
can be extended to a larger set of contrasts within the modern
world. Peoples of Eurasian origin, especially those still living in
Europe and eastern Asia, plus those transplanted to North America,
dominate the modern world in wealth and power. Other peoples,
including most Africans, have thrown off European colonial
domination but remain far behind in wealth and power. Still other
peoples, such as the aboriginal inhabitants of Australia, the
Americas, and southernmost Africa, are no longer even masters of
their own lands but have been decimated, subjugated, and in some
cases even exterminated by European colonialists.
Thus, questions about inequality in the modern
world can be reformulated as follows. Why did wealth and power
become distributed as they now are, rather than in some other way?
For instance, why weren’t Native Americans, Africans, and
Aboriginal Australians the ones who decimated, subjugated, or
exterminated Europeans and Asians?
We can easily push this question back one step.
As of the year A.D. 1500, when Europe’s worldwide colonial
expansion was just beginning, peoples on different continents
already differed greatly in technology and political organization.
Much of Europe, Asia, and North Africa was the site of
metal-equipped states or empires, some of them on the threshold of
industrialization. Two Native American peoples, the Aztecs and the
Incas, ruled over empires with stone tools. Parts of sub-Saharan
Africa were divided among small states or chiefdoms with iron
tools. Most other peoples—including all those of Australia and New
Guinea, many Pacific islands, much of the Americas, and small parts
of sub-Saharan Africa—lived as farming tribes or even still as
hunter-gatherer bands using stone tools.
Of course, those technological and political
differences as of A.D. 1500 were the immediate cause of the modern
world’s inequalities. Empires with steel weapons were able to
conquer or exterminate tribes with weapons of stone and wood. How,
though, did the world get to be the way it was in A.D. 1500?
Once again, we can easily push this question
back one step further, by drawing on written histories and
archaeological discoveries. Until the end of the last Ice Age,
around 11,000 B.C., all peoples on all continents were still
hunter-gatherers. Different rates of development on different
continents, from 11,000 B.C. to A.D. 1500, were what led to the
technological and political inequalities of A.D. 1500. While
Aboriginal Australians and many Native Americans remained
hunter-gatherers, most of Eurasia and much of the Americas and
sub-Saharan Africa gradually developed agriculture, herding,
metallurgy, and complex political organization. Parts of Eurasia,
and one area of the Americas, independently developed writing as
well. However, each of these new developments appeared earlier in
Eurasia than elsewhere. For instance, the mass production of bronze
tools, which was just beginning in the South American Andes in the
centuries before A.D. 1500, was already established in parts of
Eurasia over 4,000 years earlier. The stone technology of the
Tasmanians, when first encountered by European explorers in A.D.
1642, was simpler than that prevalent in parts of Upper Paleolithic
Europe tens of thousands of years earlier.
Thus, we can finally rephrase the question
about the modern world’s inequalities as follows: why did human
development proceed at such different rates on different
continents? Those disparate rates constitute history’s broadest
pattern and my book’s subject.
While this book is thus ultimately about
history and prehistory, its subject is not of just academic
interest but also of overwhelming practical and political
importance. The history of interactions among disparate peoples is
what shaped the modern world through conquest, epidemics, and
genocide. Those collisions created reverberations that have still
not died down after many centuries, and that are actively
continuing in some of the world’s most troubled areas today.
For example, much of Africa is still struggling
with its legacies from recent colonialism. In other
regions—including much of Central America, Mexico, Peru, New
Caledonia, the former Soviet Union, and parts of Indonesia—civil
unrest or guerrilla warfare pits still-numerous indigenous
populations against governments dominated by descendants of
invading conquerors. Many other indigenous populations—such as
native Hawaiians, Aboriginal Australians, native Siberians, and
Indians in the United States, Canada, Brazil, Argentina, and
Chile—became so reduced in numbers by genocide and disease that
they are now greatly outnumbered by the descendants of invaders.
Although thus incapable of mounting a civil war, they are
nevertheless increasingly asserting their rights.
In addition to these current political and
economic reverberations of past collisions among peoples, there are
current linguistic reverberations—especially the impending
disappearance of most of the modern world’s 6,000 surviving
languages, becoming replaced by English, Chinese, Russian, and a
few other languages whose numbers of speakers have increased
enormously in recent centuries. All these problems of the modern
world result from the different historical trajectories implicit in
Yali’s question.
BEFORE SEEKING ANSWERS to Yali’s question,
we should pause to consider some objections to discussing it at
all. Some people take offense at the mere posing of the question,
for several reasons.
One objection goes as follows. If we succeed in
explaining how some people came to dominate other people, may this
not seem to justify the domination? Doesn’t it seem to say that the
outcome was inevitable, and that it would therefore be futile to
try to change the outcome today? This objection rests on a common
tendency to confuse an explanation of causes with a justification
or acceptance of results. What use one makes of a historical
explanation is a question separate from the explanation itself.
Understanding is more often used to try to alter an outcome than to
repeat or perpetuate it. That’s why psychologists try to understand
the minds of murderers and rapists, why social historians try to
understand genocide, and why physicians try to understand the
causes of human disease. Those investigators do not seek to justify
murder, rape, genocide, and illness. Instead, they seek to use
their understanding of a chain of causes to interrupt the
chain.
Second, doesn’t addressing Yali’s question
automatically involve a Eurocentric approach to history, a
glorification of western Europeans, and an obsession with the
prominence of western Europe and Europeanized America in the modern
world? Isn’t that prominence just an ephemeral phenomenon of the
last few centuries, now fading behind the prominence of Japan and
Southeast Asia? In fact, most of this book will deal with peoples
other than Europeans. Rather than focus solely on interactions
between Europeans and non-Europeans, we shall also examine
interactions between different non-European peoples—especially
those that took place within sub-Saharan Africa, Southeast Asia,
Indonesia, and New Guinea, among peoples native to those areas. Far
from glorifying peoples of western European origin, we shall see
that most basic elements of their civilization were developed by
other peoples living elsewhere and were then imported to western
Europe.
Third, don’t words such as “civilization,” and
phrases such as “rise of civilization,” convey the false impression
that civilization is good, tribal hunter-gatherers are miserable,
and history for the past 13,000 years has involved progress toward
greater human happiness? In fact, I do not assume that
industrialized states are “better” than hunter-gatherer tribes, or
that the abandonment of the hunter-gatherer lifestyle for
iron-based statehood represents “progress,” or that it has led to
an increase in human happiness. My own impression, from having
divided my life between United States cities and New Guinea
villages, is that the so-called blessings of civilization are
mixed. For example, compared with hunter-gatherers, citizens of
modern industrialized states enjoy better medical care, lower risk
of death by homicide, and a longer life span, but receive much less
social support from friendships and extended families. My motive
for investigating these geographic differences in human societies
is not to celebrate one type of society over another but simply to
understand what happened in history.
DOES YALI’S QUESTION really need another
book to answer it? Don’t we already know the answer? If so, what is
it?
Probably the commonest explanation involves
implicitly or explicitly assuming biological differences among
peoples. In the centuries after A.D. 1500, as European explorers
became aware of the wide differences among the world’s peoples in
technology and political organization, they assumed that those
differences arose from differences in innate ability. With the rise
of Darwinian theory, explanations were recast in terms of natural
selection and of evolutionary descent. Technologically primitive
peoples were considered evolutionary vestiges of human descent from
apelike ancestors. The displacement of such peoples by colonists
from industrialized societies exemplified the survival of the
fittest. With the later rise of genetics, the explanations were
recast once again, in genetic terms. Europeans became considered
genetically more intelligent than Africans, and especially more so
than Aboriginal Australians.
Today, segments of Western society publicly
repudiate racism. Yet many (perhaps most!) Westerners continue to
accept racist explanations privately or subconsciously. In Japan
and many other countries, such explanations are still advanced
publicly and without apology. Even educated white Americans,
Europeans, and Australians, when the subject of Australian
Aborigines comes up, assume that there is something primitive about
the Aborigines themselves. They certainly look different from
whites. Many of the living descendants of those Aborigines who
survived the era of European colonization are now finding it
difficult to succeed economically in white Australian
society.
A seemingly compelling argument goes as
follows. White immigrants to Australia built a literate,
industrialized, politically centralized, democratic state based on
metal tools and on food production, all within a century of
colonizing a continent where the Aborigines had been living as
tribal hunter-gatherers without metal for at least 40,000 years.
Here were two successive experiments in human development, in which
the environment was identical and the sole variable was the people
occupying that environment. What further proof could be wanted to
establish that the differences between Aboriginal Australian and
European societies arose from differences between the peoples
themselves?
The objection to such racist explanations is
not just that they are loathsome, but also that they are wrong.
Sound evidence for the existence of human differences in
intelligence that parallel human differences in technology is
lacking. In fact, as I shall explain in a moment, modern “Stone
Age” peoples are on the average probably more intelligent, not less
intelligent, than industrialized peoples. Paradoxical as it may
sound, we shall see in Chapter 15 that white immigrants to
Australia do not deserve the credit usually accorded to them for
building a literate industrialized society with the other virtues
mentioned above. In addition, peoples who until recently were
technologically primitive—such as Aboriginal Australians and New
Guineans—routinely master industrial technologies when given
opportunities to do so.
An enormous effort by cognitive psychologists
has gone into the search for differences in IQ between peoples of
different geographic origins now living in the same country. In
particular, numerous white American psychologists have been trying
for decades to demonstrate that black Americans of African origins
are innately less intelligent than white Americans of European
origins. However, as is well known, the peoples compared differ
greatly in their social environment and educational opportunities.
This fact creates double difficulties for efforts to test the
hypothesis that intellectual differences underlie technological
differences. First, even our cognitive abilities as adults are
heavily influenced by the social environment that we experienced
during childhood, making it hard to discern any influence of
preexisting genetic differences. Second, tests of cognitive ability
(like IQ tests) tend to measure cultural learning and not pure
innate intelligence, whatever that is. Because of those undoubted
effects of childhood environment and learned knowledge on IQ test
results, the psychologists’ efforts to date have not succeeded in
convincingly establishing the postulated genetic deficiency in IQs
of nonwhite peoples.
My perspective on this controversy comes from
33 years of working with New Guineans in their own intact
societies. From the very beginning of my work with New Guineans,
they impressed me as being on the average more intelligent, more
alert, more expressive, and more interested in things and people
around them than the average European or American is. At some tasks
that one might reasonably suppose to reflect aspects of brain
function, such as the ability to form a mental map of unfamiliar
surroundings, they appear considerably more adept than Westerners.
Of course, New Guineans tend to perform poorly at tasks that
Westerners have been trained to perform since childhood and that
New Guineans have not. Hence when unschooled New Guineans from
remote villages visit towns, they look stupid to Westerners.
Conversely, I am constantly aware of how stupid I look to New
Guineans when I’m with them in the jungle, displaying my
incompetence at simple tasks (such as following a jungle trail or
erecting a shelter) at which New Guineans have been trained since
childhood and I have not.
It’s easy to recognize two reasons why my
impression that New Guineans are smarter than Westerners may be
correct. First, Europeans have for thousands of years been living
in densely populated societies with central governments, police,
and judiciaries. In those societies, infectious epidemic diseases
of dense populations (such as smallpox) were historically the major
cause of death, while murders were relatively uncommon and a state
of war was the exception rather than the rule. Most Europeans who
escaped fatal infections also escaped other potential causes of
death and proceeded to pass on their genes. Today, most live-born
Western infants survive fatal infections as well and reproduce
themselves, regardless of their intelligence and the genes they
bear. In contrast, New Guineans have been living in societies where
human numbers were too low for epidemic diseases of dense
populations to evolve. Instead, traditional New Guineans suffered
high mortality from murder, chronic tribal warfare, accidents, and
problems in procuring food.
Intelligent people are likelier than less
intelligent ones to escape those causes of high mortality in
traditional New Guinea societies. However, the differential
mortality from epidemic diseases in traditional European societies
had little to do with intelligence, and instead involved genetic
resistance dependent on details of body chemistry. For example,
people with blood group B or O have a greater resistance to
smallpox than do people with blood group A. That is, natural
selection promoting genes for intelligence has probably been far
more ruthless in New Guinea than in more densely populated,
politically complex societies, where natural selection for body
chemistry was instead more potent.
Besides this genetic reason, there is also a
second reason why New Guineans may have come to be smarter than
Westerners. Modern European and American children spend much of
their time being passively entertained by television, radio, and
movies. In the average American household, the TV set is on for
seven hours per day. In contrast, traditional New Guinea children
have virtually no such opportunities for passive entertainment and
instead spend almost all of their waking hours actively doing
something, such as talking or playing with other children or
adults. Almost all studies of child development emphasize the role
of childhood stimulation and activity in promoting mental
development, and stress the irreversible mental stunting associated
with reduced childhood stimulation. This effect surely contributes
a non-genetic component to the superior average mental function
displayed by New Guineans.
That is, in mental ability New Guineans are
probably genetically superior to Westerners, and they surely are
superior in escaping the devastating developmental disadvantages
under which most children in industrialized societies now grow up.
Certainly, there is no hint at all of any intellectual disadvantage
of New Guineans that could serve to answer Yali’s question. The
same two genetic and childhood developmental factors are likely to
distinguish not only New Guineans from Westerners, but also
hunter-gatherers and other members of technologically primitive
societies from members of technologically advanced societies in
general. Thus, the usual racist assumption has to be turned on its
head. Why is it that Europeans, despite their likely genetic
disadvantage and (in modern times) their undoubted developmental
disadvantage, ended up with much more of the cargo? Why did New
Guineans wind up technologically primitive, despite what I believe
to be their superior intelligence?
A GENETIC EXPLANATION isn’t the only
possible answer to Yali’s question. Another one, popular with
inhabitants of northern Europe, invokes the supposed stimulatory
effects of their homeland’s cold climate and the inhibitory effects
of hot, humid, tropical climates on human creativity and energy.
Perhaps the seasonally variable climate at high latitudes poses
more diverse challenges than does a seasonally constant tropical
climate. Perhaps cold climates require one to be more
technologically inventive to survive, because one must build a warm
home and make warm clothing, whereas one can survive in the tropics
with simpler housing and no clothing. Or the argument can be
reversed to reach the same conclusion: the long winters at high
latitudes leave people with much time in which to sit indoors and
invent.
Although formerly popular, this type of
explanation, too, fails to survive scrutiny. As we shall see, the
peoples of northern Europe contributed nothing of fundamental
importance to Eurasian civilization until the last thousand years;
they simply had the good luck to live at a geographic location
where they were likely to receive advances (such as agriculture,
wheels, writing, and metallurgy) developed in warmer parts of
Eurasia. In the New World the cold regions at high latitude were
even more of a human backwater. The sole Native American societies
to develop writing arose in Mexico south of the Tropic of Cancer;
the oldest New World pottery comes from near the equator in
tropical South America; and the New World society generally
considered the most advanced in art, astronomy, and other respects
was the Classic Maya society of the tropical Yucatán and Guatemala
in the first millennium A.D.
Still a third type of answer to Yali invokes
the supposed importance of lowland river valleys in dry climates,
where highly productive agriculture depended on large-scale
irrigation systems that in turn required centralized bureaucracies.
This explanation was suggested by the undoubted fact that the
earliest known empires and writing systems arose in the Tigris and
Euphrates Valleys of the Fertile Crescent and in the Nile Valley of
Egypt. Water control systems also appear to have been associated
with centralized political organization in some other areas of the
world, including the Indus Valley of the Indian subcontinent, the
Yellow and Yangtze Valleys of China, the Maya lowlands of
Mesoamerica, and the coastal desert of Peru.
However, detailed archaeological studies have
shown that complex irrigation systems did not accompany the rise of
centralized bureaucracies but followed after a considerable lag.
That is, political centralization arose for some other reason and
then permitted construction of complex irrigation systems. None of
the crucial developments preceding political centralization in
those same parts of the world were associated with river valleys or
with complex irrigation systems. For example, in the Fertile
Crescent food production and village life originated in hills and
mountains, not in lowland river valleys. The Nile Valley remained a
cultural backwater for about 3,000 years after village food
production began to flourish in the hills of the Fertile Crescent.
River valleys of the southwestern United States eventually came to
support irrigation agriculture and complex societies, but only
after many of the developments on which those societies rested had
been imported from Mexico. The river valleys of southeastern
Australia remained occupied by tribal societies without
agriculture.
Yet another type of explanation lists the
immediate factors that enabled Europeans to kill or conquer other
peoples—especially European guns, infectious diseases, steel tools,
and manufactured products. Such an explanation is on the right
track, as those factors demonstrably were directly responsible for
European conquests. However, this hypothesis is incomplete, because
it still offers only a proximate (first-stage) explanation
identifying immediate causes. It invites a search for ultimate
causes: why were Europeans, rather than Africans or Native
Americans, the ones to end up with guns, the nastiest germs, and
steel?
While some progress has been made in
identifying those ultimate causes in the case of Europe’s conquest
of the New World, Africa remains a big puzzle. Africa is the
continent where protohumans evolved for the longest time, where
anatomically modern humans may also have arisen, and where native
diseases like malaria and yellow fever killed European explorers.
If a long head start counts for anything, why didn’t guns and steel
arise first in Africa, permitting Africans and their germs to
conquer Europe? And what accounts for the failure of Aboriginal
Australians to pass beyond the stage of hunter-gatherers with stone
tools?
Questions that emerge from worldwide
comparisons of human societies formerly attracted much attention
from historians and geographers. The best-known modern example of
such an effort was Arnold Toynbee’s 12-volume Study of History.
Toynbee was especially interested in the internal dynamics of 23
advanced civilizations, of which 22 were literate and 19 were
Eurasian. He was less interested in prehistory and in simpler,
nonliterate societies. Yet the roots of inequality in the modern
world lie far back in prehistory. Hence Toynbee did not pose Yali’s
question, nor did he come to grips with what I see as history’s
broadest pattern. Other available books on world history similarly
tend to focus on advanced literate Eurasian civilizations of the
last 5,000 years; they have a very brief treatment of pre-Columbian
Native American civilizations, and an even briefer discussion of
the rest of the world except for its recent interactions with
Eurasian civilizations. Since Toynbee’s attempt, worldwide
syntheses of historical causation have fallen into disfavor among
most historians, as posing an apparently intractable problem.
Specialists from several disciplines have
provided global syntheses of their subjects. Especially useful
contributions have been made by ecological geographers, cultural
anthropologists, biologists studying plant and animal
domestication, and scholars concerned with the impact of infectious
diseases on history. These studies have called attention to parts
of the puzzle, but they provide only pieces of the needed broad
synthesis that has been missing.
Thus, there is no generally accepted answer to
Yali’s question. On the one hand, the proximate explanations are
clear: some peoples developed guns, germs, steel, and other factors
conferring political and economic power before others did; and some
peoples never developed these power factors at all. On the other
hand, the ultimate explanations—for example, why bronze tools
appeared early in parts of Eurasia, late and only locally in the
New World, and never in Aboriginal Australia—remain unclear.
Our present lack of such ultimate explanations
leaves a big intellectual gap, since the broadest pattern of
history thus remains unexplained. Much more serious, though, is the
moral gap left unfilled. It is perfectly obvious to everyone,
whether an overt racist or not, that different peoples have fared
differently in history. The modern United States is a
European-molded society, occupying lands conquered from Native
Americans and incorporating the descendants of millions of
sub-Saharan black Africans brought to America as slaves. Modern
Europe is not a society molded by sub-Saharan black Africans who
brought millions of Native Americans as slaves.
These results are completely lopsided: it was
not the case that 51 percent of the Americas, Australia, and Africa
was conquered by Europeans, while 49 percent of Europe was
conquered by Native Americans, Aboriginal Australians, or Africans.
The whole modern world has been shaped by lopsided outcomes. Hence
they must have inexorable explanations, ones more basic than mere
details concerning who happened to win some battle or develop some
invention on one occasion a few thousand years ago.
It seems logical to suppose that history’s
pattern reflects innate differences among people themselves. Of
course, we’re taught that it’s not polite to say so in public. We
read of technical studies claiming to demonstrate inborn
differences, and we also read rebuttals claiming that those studies
suffer from technical flaws. We see in our daily lives that some of
the conquered peoples continue to form an underclass, centuries
after the conquests or slave imports took place. We’re told that
this too is to be attributed not to any biological shortcomings but
to social disadvantages and limited opportunities.
Nevertheless, we have to wonder. We keep seeing
all those glaring, persistent differences in peoples’ status. We’re
assured that the seemingly transparent biological explanation for
the world’s inequalities as of A.D. 1500 is wrong, but we’re not
told what the correct explanation is. Until we have some
convincing, detailed, agreed-upon explanation for the broad pattern
of history, most people will continue to suspect that the racist
biological explanation is correct after all. That seems to me the
strongest argument for writing this book.
AUTHORS ARE REGULARLY asked by journalists
to summarize a long book in one sentence. For this book, here is
such a sentence: “History followed different courses for different
peoples because of differences among peoples’ environments, not
because of biological differences among peoples themselves.”
Naturally, the notion that environmental
geography and biogeography influenced societal development is an
old idea. Nowadays, though, the view is not held in esteem by
historians; it is considered wrong or simplistic, or it is
caricatured as environmental determinism and dismissed, or else the
whole subject of trying to understand worldwide differences is
shelved as too difficult. Yet geography obviously has some effect
on history; the open question concerns how much effect, and whether
geography can account for history’s broad pattern.
The time is now ripe for a fresh look at these
questions, because of new information from scientific disciplines
seemingly remote from human history. Those disciplines include,
above all, genetics, molecular biology, and biogeography as applied
to crops and their wild ancestors; the same disciplines plus
behavioral ecology, as applied to domestic animals and their wild
ancestors; molecular biology of human germs and related germs of
animals; epidemiology of human diseases; human genetics;
linguistics; archaeological studies on all continents and major
islands; and studies of the histories of technology, writing, and
political organization.
This diversity of disciplines poses problems
for would-be authors of a book aimed at answering Yali’s question.
The author must possess a range of expertise spanning the above
disciplines, so that relevant advances can be synthesized. The
history and prehistory of each continent must be similarly
synthesized. The book’s subject matter is history, but the approach
is that of science—in particular, that of historical sciences such
as evolutionary biology and geology. The author must understand
from firsthand experience a range of human societies, from
hunter-gatherer societies to modern space-age civilizations.
These requirements seem at first to demand a
multi-author work. Yet that approach would be doomed from the
outset, because the essence of the problem is to develop a unified
synthesis. That consideration dictates single authorship, despite
all the difficulties that it poses. Inevitably, that single author
will have to sweat copiously in order to assimilate material from
many disciplines, and will require guidance from many
colleagues.
My background had led me to several of these
disciplines even before Yali put his question to me in 1972. My
mother is a teacher and linguist; my father, a physician
specializing in the genetics of childhood diseases. Because of my
father’s example, I went through school expecting to become a
physician. I had also become a fanatical bird-watcher by the age of
seven. It was thus an easy step, in my last undergraduate year at
university, to shift from my initial goal of medicine to the goal
of biological research. However, throughout my school and
undergraduate years, my training was mainly in languages, history,
and writing. Even after deciding to obtain a Ph.D. in physiology, I
nearly dropped out of science during my first year of graduate
school to become a linguist.
Since completing my Ph.D. in 1961, I have
divided my scientific research efforts between two fields:
molecular physiology on the one hand, evolutionary biology and
biogeography on the other hand. As an unforeseen bonus for the
purposes of this book, evolutionary biology is a historical science
forced to use methods different from those of the laboratory
sciences. That experience has made the difficulties in devising a
scientific approach to human history familiar to me. Living in
Europe from 1958 to 1962, among European friends whose lives had
been brutally traumatized by 20th-century European history, made me
start to think more seriously about how chains of causes operate in
history’s unfolding.
For the last 33 years my fieldwork as an
evolutionary biologist has brought me into close contact with a
wide range of human societies. My specialty is bird evolution,
which I have studied in South America, southern Africa, Indonesia,
Australia, and especially New Guinea. Through living with native
peoples of these areas, I have become familiar with many
technologically primitive human societies, from those of
hunter-gatherers to those of tribal farmers and fishing peoples who
depended until recently on stone tools. Thus, what most literate
people would consider strange lifestyles of remote prehistory are
for me the most vivid part of my life. New Guinea, though it
accounts for only a small fraction of the world’s land area,
encompasses a disproportionate fraction of its human diversity. Of
the modern world’s 6,000 languages. 1,000 are confined to New
Guinea. In the course of my work on New Guinea birds, my interests
in language were rekindled, by the need to elicit lists of local
names of bird species in nearly 100 of those New Guinea
languages.
Out of all those interests grew my most recent
book, a nontechnical account of human evolution entitled The Third
Chimpanzee. Its Chapter 14, called “Accidental Conquerors,” sought
to understand the outcome of the encounter between Europeans and
Native Americans. After I had completed that book, I realized that
other modern, as well as prehistoric, encounters between peoples
raised similar questions. I saw that the question with which I had
wrestled in that Chapter 14 was in essence the question Yali had
asked me in 1972, merely transferred to a different part of the
world. And so at last, with the help of many friends, I shall
attempt to satisfy Yali’s curiosity—and my own.
THIS BOOK’S CHAPTERS are divided into four
parts. Part 1, entitled “From Eden to Cajamarca,” consists of three
chapters. Chapter 1 provides a whirlwind tour of human evolution
and history, extending from our divergence from apes, around 7
million years ago, until the end of the last Ice Age, around 13,000
years ago. We shall trace the spread of ancestral humans, from our
origins in Africa to the other continents, in order to understand
the state of the world just before the events often lumped into the
term “rise of civilization” began. It turns out that human
development on some continents got a head start in time over
developments on others.
Chapter 2 prepares us for exploring effects of
continental environments on history over the past 13,000 years, by
briefly examining effects of island environments on history over
smaller time scales and areas. When ancestral Polynesians spread
into the Pacific around 3,200 years ago, they encountered islands
differing greatly in their environments. Within a few millennia
that single ancestral Polynesian society had spawned on those
diverse islands a range of diverse daughter societies, from
hunter-gatherer tribes to proto-empires. That radiation can serve
as a model for the longer, larger-scale, and less understood
radiation of societies on different continents since the end of the
last Ice Age, to become variously hunter-gatherer tribes and
empires.
The third chapter introduces us to collisions
between peoples from different continents, by retelling through
contemporary eyewitness accounts the most dramatic such encounter
in history: the capture of the last independent Inca emperor,
Atahuallpa, in the presence of his whole army, by Francisco Pizarro
and his tiny band of conquistadores, at the Peruvian city of
Cajamarca. We can identify the chain of proximate factors that
enabled Pizarro to capture Atahuallpa, and that operated in
European conquests of other Native American societies as well.
Those factors included Spanish germs, horses, literacy, political
organization, and technology (especially ships and weapons). That
analysis of proximate causes is the easy part of this book; the
hard part is to identify the ultimate causes leading to them and to
the actual outcome, rather than to the opposite possible outcome of
Atahuallpa’s coming to Madrid and capturing King Charles I of
Spain.
Part 2, entitled “The Rise and Spread of Food
Production” and consisting of Chapters 4–10, is devoted to what I
believe to be the most important constellation of ultimate causes.
Chapter 4 sketches how food production—that is, the growing of food
by agriculture or herding, instead of the hunting and gathering of
wild foods—ultimately led to the immediate factors permitting
Pizarro’s triumph. But the rise of food production varied around
the globe. As we shall see in Chapter 5, peoples in some parts of
the world developed food production by themselves; some other
peoples acquired it in prehistoric times from those independent
centers; and still others neither developed nor acquired food
production prehistorically but remained hunter-gatherers until
modern times. Chapter 6 explores the numerous factors driving the
shift from the hunter-gatherer lifestyle toward food production, in
some areas but not in others.
Chapters 7, 8, and 9 then show how crops and
livestock came in prehistoric times to be domesticated from
ancestral wild plants and animals, by incipient farmers and herders
who could have had no vision of the outcome. Geographic differences
in the local suites of wild plants and animals available for
domestication go a long way toward explaining why only a few areas
became independent centers of food production, and why it arose
earlier in some of those areas than in others. From those few
centers of origin, food production spread much more rapidly to some
areas than to others. A major factor contributing to those
differing rates of spread turns out to have been the orientation of
the continents’ axes: predominantly west-east for Eurasia,
predominantly north-south for the Americas and Africa (Chapter
10).
Thus, Chapter 3 sketched the immediate factors
behind Europe’s conquest of Native Americans, and Chapter 4 the
development of those factors from the ultimate cause of food
production. In Part 3 (“From Food to Guns, Germs, and Steel,”
Chapters 11–14), the connections from ultimate to proximate causes
are traced in detail, beginning with the evolution of germs
characteristic of dense human populations (Chapter 11). Far more
Native Americans and other non-Eurasian peoples were killed by
Eurasian germs than by Eurasian guns or steel weapons. Conversely,
few or no distinctive lethal germs awaited would-be European
conquerors in the New World. Why was the germ exchange so unequal?
Here, the results of recent molecular biological studies are
illuminating in linking germs to the rise of food production, in
Eurasia much more than in the Americas.
Another chain of causation led from food
production to writing, possibly the most important single invention
of the last few thousand years (Chapter 12). Writing has evolved de
novo only a few times in human history, in areas that had been the
earliest sites of the rise of food production in their respective
regions. All other societies that have become literate did so by
the diffusion of writing systems or of the idea of writing from one
of those few primary centers. Hence, for the student of world
history, the phenomenon of writing is particularly useful for
exploring another important constellation of causes: geography’s
effect on the ease with which ideas and inventions spread.
What holds for writing also holds for
technology (Chapter 13). A crucial question is whether
technological innovation is so dependent on rare inventor-geniuses,
and on many idiosyncratic cultural factors, as to defy an
understanding of world patterns. In fact, we shall see that,
paradoxically, this large number of cultural factors makes it
easier, not harder, to understand world patterns of technology. By
enabling farmers to generate food surpluses, food production
permitted farming societies to support full-time craft specialists
who did not grow their own food and who developed
technologies.
Besides sustaining scribes and inventors, food
production also enabled farmers to support politicians (Chapter
14). Mobile bands of hunter-gatherers are relatively egalitarian,
and their political sphere is confined to the band’s own territory
and to shifting alliances with neighboring bands. With the rise of
dense, sedentary, food-producing populations came the rise of
chiefs, kings, and bureaucrats. Such bureaucracies were essential
not only to governing large and populous domains but also to
maintaining standing armies, sending out fleets of exploration, and
organizing wars of conquest.
Part 4 (“Around the World in Five Chapters,”
Chapters 15–19) applies the lessons of Parts 2 and 3 to each of the
continents and some important islands. Chapter 15 examines the
history of Australia itself, and of the large island of New Guinea,
formerly joined to Australia in a single continent. The case of
Australia, home to the recent human societies with the simplest
technologies, and the sole continent where food production did not
develop indigenously, poses a critical test of theories about
intercontinental differences in human societies. We shall see why
Aboriginal Australians remained hunter-gatherers, even while most
peoples of neighboring New Guinea became food producers.
Chapters 16 and 17 integrate developments in
Australia and New Guinea into the perspective of the whole region
encompassing the East Asian mainland and Pacific islands. The rise
of food production in China spawned several great prehistoric
movements of human populations, or of cultural traits, or of both.
One of those movements, within China itself, created the political
and cultural phenomenon of China as we know it today. Another
resulted in a replacement, throughout almost the whole of tropical
Southeast Asia, of indigenous hunter-gatherers by farmers of
ultimately South Chinese origin. Still another, the Austronesian
expansion, similarly replaced the indigenous hunter-gatherers of
the Philippines and Indonesia and spread out to the most remote
islands of Polynesia, but was unable to colonize Australia and most
of New Guinea. To the student of world history, all those
collisions among East Asian and Pacific peoples are doubly
important: they formed the countries where one-third of the modern
world’s population lives, and in which economic power is
increasingly becoming concentrated; and they furnish especially
clear models for understanding the histories of peoples elsewhere
in the world.
Chapter 18 returns to the problem introduced in
Chapter 3, the collision between European and Native American
peoples. A summary of the last 13,000 years of New World and
western Eurasian history makes clear how Europe’s conquest of the
Americas was merely the culmination of two long and mostly separate
historical trajectories. The differences between those trajectories
were stamped by continental differences in domesticable plants and
animals, germs, times of settlement, orientation of continental
axes, and ecological barriers.
Finally, the history of sub-Saharan Africa
(Chapter 19) offers striking similarities as well as contrasts with
New World history. The same factors that molded Europeans’
encounters with Africans molded their encounters with Native
Americans as well. But Africa also differed from the Americas in
all these factors. As a result, European conquest did not create
widespread or lasting European settlement of sub-Saharan Africa,
except in the far south. Of more lasting significance was a
large-scale population shift within Africa itself, the Bantu
expansion. It proves to have been triggered by many of the same
causes that played themselves out at Cajamarca, in East Asia, on
Pacific islands, and in Australia and New Guinea.
I harbor no illusions that these chapters have
succeeded in explaining the histories of all the continents for the
past 13,000 years. Obviously, that would be impossible to
accomplish in a single book even if we did understand all the
answers, which we don’t. At best, this book identifies several
constellations of environmental factors that I believe provide a
large part of the answer to Yali’s question. Recognition of those
factors emphasizes the unexplained residue, whose understanding
will be a task for the future.
The Epilogue, entitled “The Future of Human
History as a Science,” lays out some pieces of the residue,
including the problem of the differences between different parts of
Eurasia, the role of cultural factors unrelated to environment, and
the role of individuals. Perhaps the biggest of these unsolved
problems is to establish human history as a historical science, on
a par with recognized historical sciences such as evolutionary
biology, geology, and climatology. The study of human history does
pose real difficulties, but those recognized historical sciences
encounter some of the same challenges. Hence the methods developed
in some of these other fields may also prove useful in the field of
human history.
Already, though, I hope to have convinced you,
the reader, that history is not “just one damn fact after another,”
as a cynic put it. There really are broad patterns to history, and
the search for their explanation is as productive as it is
fascinating.