Studies in the Neolithic and Urban Revolutions: The V. Gordon Childe Colloquium, Mexico, 1986 9780860544494, 9781407346229

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Studies in the Neolithic and Urban Re·volutions The V. Gordon Childe Colloquium Mexico, 1986

edited by Linda Manzanilla

BAR International Series :349 1987

B.A.R. 5, Centremead, Osney Mead, Oxford OX2 ODQ, England.

GENERAL EDITORS A.R. Hands, B.Sc., M.A., D.Phil. D.R. Walker, M.A.

BAR -S349, 1987: 'Studies in the !eolithic and Urban Revolutions: The V. Gordon Childe Colloquium, lexico, 1986' © The Individua l Authors, 1987 The authors’ moral rights under the 1988 UK Copyright, Designs and Patents Act are hereby expressly asserted. All rights reserved. No part of this work may be copied, reproduced, stored, sold, distributed, scanned, saved in any form of digital format or transmitted in any form digitally, without the written permission of the Publisher. ISBN 9780860544494 paperback ISBN 9781407346229 e-book DOI https://doi.org/10.30861/9780860544494 A catalogue record for this book is available from the British Library This book is available at www.barpublishing.com

CO NTE NTS

Ed i to r ' s N o te

1 . B ruce G . T r igger V . G ordon C h i ld e : A Ma rx i s t A r cheo log i s t

1

2 . J u l io C esa r Ol ive N eg re te T h e P r esen c e o f V er e G ordon C h i ld e i n Mex i can A r chao logy

9

THE NEOLIT HIC REVOLUTIO N 3 . R oger B yrne C l ima t i c C hang e a nd t h e O r ig in s o fA g r i cu l tu r e

2 1

4 . Y oko S ug iura T h e N eo l i th i c R evo lu t ion , aC a se Ana ly s i s : aR e eva lua t ion o f t h e C h i ld ean C oncep t a s App l i ed t o J omon , J apan

3 5

5 . Cha r le s H igham R i c e C u l t iva t ion a nd i t s P la c e i n S ou th ea s t A s ian P r eh i s tory : S om e F i r s t I nd i ca t ion s

5 1

6 . Dav id R indo s Da rw in ian E vo lu t ion a nd C u l tura l C hange : t h e C a se o fA g r i cu l tu r e

6 9

7 . C . E a r l e Sm i th , J r . C u rr en t A r ch e ro log i ca l E v id en c e f or t h e B eg inn ing o f Amer i can A gr i cu l tur e

8 1

8 . I rw in R ovner P lan t O pa l P hy to l i th s : A P robab l e F ac tor i n t h e O r ig in s o fA gr i cu l tu r e

1 03

9 . B ruce F . B enz R a c ia l S y s tema t i cs a nd t h e E vo lu t ion o f Mex i can Ma iz e

1 21

1 0 . L awrence Kap lan a nd L uc ile N . Kap lan T h e Dom es t i ca t ion o fP ha seo lu s : aS upp l em en ta ry C rop i n P r eh i s tory

1 37

1 . A l f on so D e lgado S a l ina s Ano th er Approa ch t o t h e D omes t i ca t ion o fP ha seo lu a

1 55

1 2 . S andor B ököny i An ima l Domes t i ca t ion a nd E a r ly An ima l Hu sband ry i n C en tra l , E a s t , a nd S ou th E u rop e

1 63

1 3 . J ona than D . K en t T h e Mo s t An c i en t S ou th : aR ev i ew o ft h e D om es t i ca t ion o ft h e And ean C am e l id s

1 69

1 4 . Ma r ia d e l o s Do lores S o to C omm en t s o n t h e T ran s i t ion o f Hun t ing-Ga ther ing G roup s i n to E a r ly A g r i cu l tu ra l i s t s : t h e C a se o ft h e S ou th o fJ a l i sco

1 85

1 5 . T ere sa R o ja s Rab ie la P ro sp ec t sf or C o l labora t ion b e tw een A r ch eo logy a nd E thnoh i s tory i nR esea r ch o n t h e E vo l u t ion o f Mesoam er i can A g r i cu l tu r e

1 97

THE URBA N REVOLUTIO N 1 6 . Manue l Gända ra O bserva t ion s a bou t t h e T heor e t i ca l T erm " Ar cha i c S ta te"

2 09

1 7 . S .E . v an d er L eeuw R evo lu t ion s R ev i s i t ed

2 17

1 8 . R ober t L . Ca rne iro F ur ther R ef l ec t ion s o n R esou r ce C on c en tra t ion a nd i t s R o l e i n t h e R i se o ft h e S ta t e .

2 45

1 9 . J ame s Melaa r t C ommon S en se v s . O ld f a sh ion ed T heory i n t h e I n t erpr e ta t ion o ft h e C u l tu ra l D ev e lop m en t o ft h e Anc i en t N ea r E a s t

2 61

2 0 . L inda Manzan ila T h e B eg inn ing s o f U rban S o c i e ty a nd t h e F orma t ion o ft h e S ta t e : T e mp l e a nd P a la c e a s Ba s i c I nd i ca tors

2 72

2 1 . Han s J . N i s sen T h e U rban R evo lu t ion o f Mesopo tam ia R econ s id er ed

2 87

2 2 . Ma rcela F rang ipane a nd A lba P a lm ier i U rban i sa t ion i n P er im esopo tam ian A r ea s . T h e C a se o fE a s t ern Ana to l ia

2 95

2 3 . J orge S i lva C a s t ilo T h e S ta te a s a n En t erp r i se . T h e C a se o f Mar i

3 19

2 4 . L u is Gu ilermo L u .mbrera s C h i ld e a nd t h e U rban R evo lu t ion : t h e C en tra l And ean E xp er i enc e

3 27

2 5 . Ma r i C a rmen S erra a nd Y oko S ug iu ra F unera ry R i tes a t Two H i s tor i ca l Mom en t s i n Mesoam er i ca : Midd l e a nd L a t e F orma t ive

3 45

2 6 . Em i ly McC lung d e T ap ia A g r i cu l tu r e a nd t h e F orma t ion o ft h e T eo t ihuacan S ta te

3 53

2 7 . T er ry S tocker C onqu es t , T r i bu t e a nd t h e R i se o ft h e S ta te

3 65

2 8 . J o sé P erez E p i logue : L i f e End s B e t ter Wh en Y ou A r e L iv e ly a nd S t rong

3 77

EDIT O R 'S N O TE

T he s tudy o fs oc ia l p rocesses h a s b een o ne o ft he ma in c once rn s o f mode rn a rch o logy . I t w a s u ndoub ted ly V e re Go rdon C h i lde who , f i ty y ea rs a go , e s tab l ished t heore t ica l i s sues o n b road e conom ic t r end s a nd s oc io -po l i t ica l c hanges i n p reh i s to ry , i n h i s b ook Man Makes H imse l f . A s a n h omage t o ag rea t p reh i s to r ian , t h i s b ook eme rges f r om amee t ing o rgan ised b y t he I ns t i tu te o f An th ropo log ica l R esea rch o f t he N a t iona l Au tono mou s Un ive rs i ty o f Mex ico , f r om J u ly t he 7 th t o 1 2 th , 1 986 . On t h is o cca s ion , w e i nv i ted s cho la r s who h ad w o rked i n E u rope , t he N ea r E a s t , A s ia , a nd Amer ica , f o r t he p u rpo se o fe n r ich ing o u r a c tua l k now ledge o n t he " Neo l i th ic a nd t he U rban R evo lu t ions " , h a lf a c en tu ry a f te r C h i lde 's f i r st c once rn o n t he se a fa i r s . We h ope t ha t t h is e fo r t w i l l p rovoke f u r ther d i scu ss ion s o n t wo o ft he mo s t o u ts tand ing p roce sse s i n h i s to ry .

A cknow l edgemen ts

We w ou ld l i ke t o t hank Dav id C a s t led ine , N ico le S p i ta l ier , C a the r ine S pohn , a nd P i la r Agüero f o r t he t r ans la t ion o ft he S pan ish p apers i n to E ng l i sh ; R osa r io Med ina f o r t he i npu t i n to t he c ompu te r ; a nd M igue l M ire les a nd M igue l N ava r ro f o r t he l a ser p r in t ing .

V.

G O R D O N C HIL D E : A M A R XIS T A RC H A E OL O GIS T

BRUCE G . TRIG GE R Mc Gi l l Un ivers ity

Gordon Ch i lde 's c a reer i n a rch o logy c an b e d iv ided i n to t hree s tages , e ach o f wh ich i sb est k nown t o ad if eren t a ud ience .

The f i rs t , a s ac u l ture -h is tor ian , i sf am i l ia r t o

E uropean a rch o log is ts ; t he s econd , a s ac u ltu ra l e vo lu t ion is t , i sk nown t o Amer ican a n thropo log is ts ; a nd t he t h i rd , a s a ma jor s oc ia l s c ience t heoret ic ian , r e ma ins r e la t ive ly u nknown e ven t o t he c o tery o fa rch o log ists who c l a im as pec ia l i n tere st i ns uch ma tters . I ti sf r equen t ly d eba ted t o wha t e xten t Ch i lde wa s aMa rx is t . Ib e l ieve t hat t he e xten t o f h i sc om m it men ti n creased t hroughout h i sl i f et i me a nd t ha ti t si mpact o nh i sa rch o log ica l w ork a l tered w i th e ach o ft hese s tages . Ch i lde wa s b orn i n North S ydney , Au stra l ia , i n 1 892 .

The r ebe l l ious s on o f a

p rosperous a nd c on serva t ive Chu rch o f Eng land m in is ter , h e b ecame as oc ia l is t wh i le h e wa s a n u ndergradua te i n Austra l ia . Wh i le t hey w ere b oth s tuden ts a t Oxford Un ivers ity f r om 1 914 t o 1 916 , h e a nd Ra j i P a lme Dutt , l a ter t o b e al e ad ing f i gure i n t he B r i t ish C ommun ist P a r ty , o f ten d rank t ogether a nd d i scu ssed H ege l , Ma rx , a nd p o l i t ics l a te i n to t he n igh t . I n 1 916 h e r e tu rned t o Aus tra l ia t o o ppose c onscr ip t ion a nd s oon b ecame d eep ly i nvo lved i nL abour P a rty p o l i t ics . B etween 1 919 a nd 1 921 h e was p r iva te s ecretary t o J ohn S torey , t he p re m ier o fN ew S ou th Wa les . A f ter t he f a l lo ft he L abour g overn men t , l a ck ing emp loy men t a nd d i s i l lus ioned w ith p o l it ics , h e r e turned t o a n e a r l ier i n teres t i n a rcheo logy .

I n h i s f i rst , a nd o n ly p o l it ica l , b ook , How L abour G overns , p ub l i shed i n

1 926 , h e r evea ls a d eep d i s trust o f p a r l iamen ta ry g overnmen t , wh ich wa s w idesp read o n b oth t he l e f t a nd r i gh t o f t he p o l i t ica l s pec trum a t t ha t t ime , a l though h i s b ook a l so makes i t c l ea r t ha t h e r e jected a u thor i ta r ian d octr ines .

Apa rt f r o m Du tt 's b r ief

t e s t imony , t here i sn oth ing i n h i s p o l it ica l w r i t ings o r r epor ts o f h i s p o l it ica l a c t iv i t ies a t t h i s t ime t ha t i nd ica tes t ha t h i s c o mm it men t t o s oc ia l i s m was a cco mpan ied b y a ny d eta i led u nders tand ing o f Ma rx ist p h i losophy . There i sa l so n o e v idence o fs pec if ica l ly Ma rx is t i nf luence i n h i s e a r l ies t a rch&o l og ica l b ooks : T he Dawn o f European C iv i l iza t ion ( 1925 ) , T he A ryans ( 1926 ) , a nd T he Danube i nP r eh i s tory ( 1929 ) . These b ooks w e re l andma rks i nt he d eve lop men t o fa rch o l ogy i n B r ita in a nd much o f Europe .

They r ep laced a n a l ready o ut moded n ineteen th -

c en tury e vo lu t iona ry a pproach t o a rch o logy w i th o ne t ha t wa s s pec if ica l ly c u lture h i stor ica l . L ike mos t c on tempora ry a rch o log is ts a nd s oc ia l s c ien t i sts , Ch i lde a s sumed t ha t h u man b e ings w ere n a tu ra l ly c onserva t ive a nd t ha t c u ltu re c hange c ame a bou t ma in ly a s ar e su lt o fd ifu s ion a nd m igra t ion . L ike o ther a rch o log is ts h e a l so t ended t o a ssume t ha t b ecause o f t h is , t he c ourse o f h i s tory wa s u npred ic tab le a nd t o a ccoun t f o r t he a cco mp l ishmen ts o fi nd iv idua l c u l tures i nt e rms o fe thn ic a nd e ven r ac ia l s t ereotypes . Wh i le h e c red i ted I ndo -Europeans w ith a " pecu l ia r v igour a nd g en ius" , t he Danub ian p eop le , who w ere a ssumed t ob e n o t I ndo -European , w ere d escr ibed a sa n i nert ma ss t ha t f e l l e a sy p rey t o c onqueror s a nd t he " s tagnan t" mega l ith ic c u ltures o f w estern Europe w ere p ronounced t o b e " no t Eu ropean" .

The g rea test c rea t ive a ch ieve men t o f Ch i lde 's e a r ly w ork wa s t o c o mb ine t he c on c ep t o f t he a rch&o log ica l c u lture , wh ich h ad b een r ef ined b y t he G erman a rch o log is t Gus ta f Koss inna a s ad ev ice f o r t rac ing t he h i s tory o fs pec if ic p eop les i nt he a rch o log ica l r e cord , w ith t he d ifus ion ism o f t he g rea t Swed ish a rch o log ist O sca r Mon te l ius , e spe c i a l ly t he l a tter 's b e l ief t ha t i np reh is tor ic t imes t e chno log ica ls k i l ls h ad s pread t o E u rope f r om t he ir p lace o f o r ig in i n t he N ea r E a s t . Ch i lde 's e a r ly v i ews a bou t d ifus ion w ere c l oses t t o t hose o f h i s Oxford t eachers , A r thur E vans a nd J ohn L . Myres , who b o th s t ressed t he c r ea t iv ity w i th wh ich E uropeans h ad made u se o f t h is k now ledge . Ch i lde 's f am i l ia r ity w ith a v a s t n umber o f E u ropean l anguages a nd a p owerfu l v i sua l me mory t ha t p erm itted h im t o n ote a nd r eme mber s im i la r it ies among a r t ifac ts i n museu m s a l l o ver Eu rope made p oss ib le a c u l ture -h is tor ica l s yn thes is o f E uropean a rch o logy t ha t p rov ided a p o in t o fd epa r tu re f o r f ur ther r e sea rch t hroughou t E urope . D esp i te i t s c on t inu ing i mpor tance f o r t he d eve lopmen t o f a rch o logy , Ch i lde q u ick ly c ame t o v i ew t he c u ltu re -h istor ica l a pp roach a s a n i n te l lectua l d ead -end .

H e

d oub ted t ha t t he h i s tory o fp a r t icu la r e thn ic g roups c ou ld b e t raced r e l iab ly f a rb ack i n to p reh is tor ic t imes a nd t ha t s uch s tud ies c ou ld g ive much mean ing t o t he a rcha eo log ica l r e cord a s awho le . H e c ame t o r ega rd t he c u l ture -h is tor ica l a pp roach a s amere d up l ica te o f t he n ow o ld -fa sh ioned p o l i t ica l h i s tory , wh ich h i s tor ians w ere a bandon ing i n f avour o f s oc ia l a nd e cono m ic h i s tory . Ch i lde s ough t t o emu la te t he l a tter b y s ea rch ing f o r b road e cono m ic t r end s i n p reh is tory . The r e su l ts o ft h is r e sea rch w ere d rawn t oge ther i n t hree b ooks : T he Mos t Anc ien t E as t ( 1928 ) , T he B ronz e A ge ( 1930 ) , a nd N ew L igh t o n t h e Mos t Anc ien t E as t ( 1934 ) . I n t he f i rs t o f t hese b ooks , Ch i lde s t ressed t he d eve lopmen t o f a gr icu l ture a s a c ruc ia l e ven t i n h u man h i story a nd t he k ey e l e men t d ef in ing t he s ta r t o f t he N eo l i th ic p er iod . Th is i dea h ad a l ready b een e xpounded b y t he w e l l -known e thno log ist G ra f ton E l l io t Sm ith a s e ar ly a s 1 915 a nd b y t he a rch o log is ts Ha ro ld P eake a nd H erber t F leu re i n t he t h ird v o lu me o f t he ir p opu la r C orr idors o f T ime ( 1927 ) .

P eake a nd F leu re h ad

a l so a dop ted Pumpe l ly 's o a s i s h ypo thes is , wh ich p roposed t ha t ma ss ive d es icca t ion i n t he N ea r Ea s t a t t he e nd o f t he l a st I c e Age h ad c aused p eop le t o d omest ica te p lan ts a nd a n i ma ls i n o rder t o f e ed t he h igher d en s it ies o fp opu la t ion t ha t h ad g a thered a round s urv iv ing s ou rces o f wa ter . Ch i lde s t ressed , h owever , t ha t i nd iv idua l b ands c ou ld h ave moved e l sewhere o r d ied o u t r a the r t han d eve lop a gr icu l ture . Thus t he f o r mu la t ion o f h i s a rgumen t r ef l ec ted t he p oss ib i l ism t ha t wa s c u rren t ly f a sh ionab le i n n on - Marx is t g eography i n F rance a nd B r i ta in . I n T he B ronz e A ge , Ch i lde s tud ied t he o r ig ins a nd s pread o f meta l lurgy a nd c raf t s pec ia l iza t ion .

H e wa s c onv inced , a lmos t c erta in ly w rong ly , t ha t meta l -ca s t ing

r equ ired f u l l -t i me , a l though i n i t ia l ly i t ineran t , s pec ia l ists who , a long w i th p rospec tors a nd m iners , b ecame t he f i rst h uman b e ings t of unct ion i ndependen t ly o ft r iba l af i l ia t ions . The a dop t ion o f a meta l t oo l -techno logy t herefore p roduced a d oub le l o ss o f N eo l i th ic s e lf -su ff ic iency , s i nce i tr equ ired c ommun i t ies t o b eco me d ependen t o n c ra f tsmen who o f ten w ere u nre la ted t o t he m a s w e l l a s t he d eve lopmen t o f e xten s ive t rade r ou te s t ha t w ere n ot i n terrup ted b y p er iod ic o utb reaks o ft r iba l warfa re i no rder t o e n sure t he r egu la r d e l ivery o f s upp l ies o f c opper a nd t i n . I n N ew L igh t o n t h e Mos t Anc ien t E as t , Ch i lde a rgued t ha t t wo r evo lu t ions h ad o ccurred i n p reh i stor ic t imes i nt he N ea r Ea s t t ha t w ere e qu iva len t i n t he ir i mpac t t o t he I ndustr ia l R evo lut ion . These w ere t he t rans i t ion f r om f ood -co l lect ing t of ood -p roduc ing a nd f r om s e lf -suf f i c ien tf ood -produc ing v i l lages t ou rban s oc ie t ies .

E ach o f t hese r evo lut ion s r e su lted i n a more p roduc t ive t e chno logy a nd i n a

ma ss ive i n crea se i n p opu la t ion . These t e chno log ies w ere s p read t o Eu rope b y m igra t ions o fs u rp lus p opu la t ion , t he e xchange o f manufactured g ood s f o rr aw ma ter ia ls , a nd s urp lus c raf tsmen s eek ing emp loy men t . The r e su lt wa s t o p roduce i n Eu rope N eo l i th ic a nd

2

B ronze Age s oc ie t ies t ha t w ere v ery d if eren t f r om t hose t ha t h ad d eve loped i n t he N ea r E a s t . Ch i lde 's i n teres t i n e conom ic d eve lop men t i n p reh i stor ic t imes d rew i t s i n sp ira t i on f r om t he E uropean a rch o logy o ft ha t p er iod . Y e t h e a dvanced b eyond t he i n terpre t a t ion s o f Sm ith , P eake , a nd F leure i nt he c ons is tency w ith wh ich h e a pp l ied a ne conom ic a pp roach t o t he s tudy o fp reh is tory a nd i n t he s cope o fh i s f o r mu la t ions . A lso , i n s tead o f s e e ing c u ltura l c hange a s t he r e su l t o f t e chno log ica l i nnova t ion , h e a l ready s aw t e chno l o g ica l p rogress o ccu rr ing w ith in t he c on tex t o fb roader e conom ic a nd p o l i t ica l p a tterns . Th is a l lowed h im t o e xp la in h ow t he s a me t echno log ica l i nnova t ion c ou ld p roduce v ery d if eren t t ypes o fs oc iet ies i n Eu rope a nd t he N ear E a st . Ch i lde 's e cono m ic a pproach h ad i nheren t i n i tt he mak ings o f a mu l t i l inea r e vo l u t iona ry p erspect ive . Y et h e wa s n o t p r ima r i ly c oncerned w i th c u ltura l e vo lu t ion a t t h is t ime . H e s ta ted c a tegor ica l ly t ha t " arch o logy 's r eve la t ions . . .d isc lose n o a bs trac t e vo l u t ion b ut t he i n teract ion o f mu lt ip le c oncre te g roups a nd t he b l end ing o f c on tr ibu t ions f r om f a r -sundered r eg ions" .

H e s t i l l r ega rded h uman b e ings a s u n inven t ive a nd r e l ied

h eav i ly o n d ifu s ion a nd m ig ra t ion t o e xp la in c u l tu ra l c hange .

We a re t o ld a t t he e nd

o f N ew L igh t o n t h e Mos t A nc ien t E as t t ha t t he ma in a im o f t he b ook wa s t o j u st i fy t he " genera l d octr ine o fc u l tu ra l d ifus ion" . Y e t b y mov ing t owa rds a more ma ter ia l i s t ic e xp lana t ion o fc u l tura l c hange , Ch i lde wa s a b le t o a bandon f o rever t he e thn ic s t ereo types t ha t h ad f ea tured p ro m inen t ly i n h i s e a r ly w ork . H e wa s l a ter t o e qua te t he d eve lopmen t o f meta l lurgy w i th t he b eg inn ing o f E nge ls ' s epa ra t ion o f h and icra f ts f r om a gr icu ltu re a nd t hus v i ew i ti n Marx is t t e rm s a s ma rk ing a ma jor s oc ia l a s w e l l a s at e chno log ica l a nd e cono m ic t rans it ion . There i s , h owever , n o more e v idence o f as pec if i ca l ly Ma rx ist i npu t i n to Ch i lde 's e a r ly e conom ic s tud ies t han t here i so f i ti n to h i s c u l ture -h is tor ica l i n te rp reta t ion s . Nor wa s h i s ma ter ia l is t ic p erspect ive c o mp lete a t t h is t ime . Wh i le s o me e cono m ic c hange wa s v i ewed a s ar e sponse t o e nv i ronmen ta l c ha l lenges , much i nnova t ion wa s i n terpre ted f r o m aMon te l ian p erspec t ive a s r e su lt ing f r om t he s pon taneous e xerc ise o f h uman i n te l l igence t o a ch ieve g rea ter c on tro l o ver t he e nv ironmen t a nd make h uman l i f e e a s ier a nd more s ecure . I n 1 935 Ch i lde v i s i ted t he S ov iet Un ion f o r t he f i rs t t ime . Wh i le t here h e met Russ ian a rch o log ists , v i s i ted mu seu m s , a nd a cqu i red n ew i n forma t ion a bou t t he h i s tory o f e a stern Europe .

H e a l so o b ta ined s o me " t yp ica l Russ ian w orks o n p reh is tory" .

H e

a rr ived i n t he S ov iet Un ion a t t he e nd o ff i ve y ea rs o fu npreceden ted u pheava l i n Russ ian a rch o logy , wh ich wa s i n tended t o b r ing i ti n to l i ne w i th Ma rx ist p r inc ip les . The ma in t a sk t hat wa s s e t f o r a rch o logy wa s t o a ccoun t f o r c hanges i n p reh istor ic t imes f r om t he p erspec t ive o fh i stor ica l ma te r ia l ism . The p r ima ry c on tex t i n t e r ms o f wh ich c hange wa s t o b e u nders tood wa s n o t t e chno logy b ut s oc ia l o rgan iza t ion . Change wa s a ttr ibu ted t o t he d eve lopmen t o f c on t rad ict ions b etween d if eren t c la sses a nd u l t ima te ly b etween t he f o rces a nd r e la t ions o f p roduc t ion .

These c on trad ic t ions r a ther t han s u i g ener i s

t e chno log ica l c hange w ere r ega rded a s t he d ynam ic f o rces t ha t s haped h u man h i s to ry . A rch o log i sts w ere t herefore c a l led u pon n o t o n ly t o d escr ibe a rcha eo log ica l r e ma in s b u t a l so t or econs truc t t he s oc iet ies t ha t h ad p roduced t hem . Th is r equ ired d ef in ing t he mode o fp roduc t ion a nd d eterm in ing a s much a s p oss ib le a bou t t echno logy , s oc ia l o rgan iza t ion , a nd i deo logy f r om a rcha eo log ica l d a ta . I te ncou raged a rch z eo log is ts t o s tudy h ow p eop le , e spec ia l ly o rd ina ry p eop le , h ad l i ved i n p reh istor ic t imes . Th is l ed t o t he e xcava t ion o f s e tt le men ts , c amp s i tes , a nd w orkshops , wh ich w ere a l l c l a sses o fs i tes t ha t a rcha eo log is ts h ad t ended t o i gnore i n t he p a st . Ch i lde d id n o t a ccep t t he e n t i re p rogramme o f S ov ie t a rcha eo logy .

Wh i le a d -

m ir ing h ow S ov ie t a rch o log ists s ough t t o e xp la in c u l tu ra l c hange i n t e rms o f i n terna l p rocesses a nd a wakened t o t he p o ten t ia l v a lue o f a Marx is t a pproach , h e r e fu sed t o

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a dop t t he ir u n i l inear s che me o fs oc io -econom ic f o rma t ion s , o r a ny o ther u n i l inea r t heory o f s oc ia l e vo lu t ion . H e a l so r e fused t o s top v i ew ing d ifus ion a s a ma jor p rocess t ha t p romo ted c u l tura l d eve lop men t a nd t o a bandon t he ma jor empha s is t ha t h e p laced o n t ypo logy , wh ich h e s aw a s e s sen t ia l f o r c ons truc t ing r eg iona l c h rono log ies a nd t rac ing c u ltu ra l i nf luences b e tween o ne r eg ion a nd a no ther . Y e t i n t he d ecade f o l low ing h i s f i rs t v i s i t t o t he S ov ie t Un ion , Ch i lde p ub l ished t h ree b ooks d ea l ing w i th c u l tura l e vo lu t ion : Man Makes H imse lf ( 1936 ) , Wha t Happ ened i n H i s tory ( 1942 ) , a nd P rogr ess a nd A r ch e r° logy ( 1944 ) , a s w e l l a s ac a se s tudy , S co t land B ef or e t h e S co t s ( 1946 ) . The f i rs t t wo w ere w r it ten f o r t he g enera l p ub l ic a s w e l l a s f o r p rof ess iona l a rch o log ists a nd h ave c on t inued t o b e w ide ly r ead b y n on -a rch o log is ts . Cu l tura l e vo lu t ion wa s at op ic o f t heoret ica l i n teres t t ha t h ad r e ma ined i mpo rtan t i n Ma rx i st t h ink ing b u t h ad p rev iou s ly b een o f l i t t le s i gn if icance i n Ch i lde 's w r i t ings . I n Man Makes H imse lf h e i n terpre ted t he a rch&o log ica l r ecord a s e v idence o f a d i rec t iona l p rocess whereby t he i ncrea s ing s c ien t if ic k now ledge a ccu mu la ted b y h uman b e ings g ave t he m e ver g rea ter c on tro l o ver n a ture a nd l e d t o t he f o rma t ion o f n ew a nd more c omp lex s oc io -po l it ica l s yste ms .

Ch i lde l a ter r ega rded t hese v i ews a s b e ing n o t

s uf f i c ien t ly d if eren t f r om t he i d ea l is t Mon te l ian c oncep t ion o fc u l tura l c hange . I n Wha t Happ ened i n H i s tory Ch i lde a t te mp ted i n a much more e xp l ic it ly Marx is t f a sh ion t o f o r mu la te e xp lana t ion s o fc u l tura l c hange t ha t w e re f ocused n o t o n t echno log ica l k now ledge a s ap r ime mover b u t o n s oc ia l , p o l it ica l , a nd e conom ic i n s t itut ion s a nd t he r o le t hey p layed i nb r ing ing a bou tc hange . I na ccordance w i th t he p r inc ip les o fd ia lec t ica l ma ter ia l i sm , h e v i ewed e very s oc ie ty a s c on ta in ing w i th in i t se lf b oth p rogress ive a nd c onserva t ive t endenc ies t ha t a re l i nked b y d ynam ic u n i ty a s w e l l a s b y p ers is ten t a n tagon ism . The l a tter p rov ides t he e nergy t hat i n t he l ong r un b r ings a bout i r revers ib le s oc ia l c hange . H ence e very s oc iety c on ta ins w i th in i t se lf t he s eeds f o r t he d estruc t ion o fi t s p resen t s ta te a nd f o r t he c rea t ion o f an ew s oc ia l o rder . Ch i lde d id n o t embrace u n i l inea r e vo lut ion ism i n t hese w orks a ny more t han h e d id a t a ny o the r t ime .

H e c a refu l ly d ocumen ted t he s oc ia l a nd p o l it ica l d if e rences

b e tween t he c i ty s ta tes t ha t h ad emerged i n Mesopo tam ia a nd t he d iv ine mona rchy t ha t u n i ted O ld K ingdom E gyp t . These d if erences w ere a t tr ibu ted t o d ivergen t s oc ia l a nd p o l it ica l t echn iques f o r c on tro l l ing a gr icu l tura l s urp lu ses t ha t h ad d eve loped i n t he c ourse o f t he ir t ran sfor ma t ion f r om t r iba l t o c l a ss s oc ie t ies . Nor d id h e s ubscr ibe t o t he n a ive f a i th i n t he i nev i tab i l i ty o fp rogress t ha t c ha racter ized many v u lga r ised v ers ions o f Ma rx i sm a s w e l l a s t he u n i l inea r e vo lut ion ism o ft he n ine teen th c en tury . H e w ro te u nder t he s hadow o fe xpand ing Naz i p ower a nd v i ewed t he f u tu re d a rk ly . Y et h i s p ess im ism l ed h im t o make a ni mportan t c on tr ibut ion t ot he Ma rx is t e xp lana t ion o fc hange b y p rov id ing a more d e ta i led a na lys is o ft he s oc ia l c ond it ions t ha t i mpede s oc ia l t ran sfor ma t ions t han o ft hose t ha t p ro mo te t he m . Ch i lde a rgued t ha t a t a ny l e ve l o fs oc ia l d eve lopmen t , b ut e spec ia l ly i n t he e a r ly c i v i l iza t ions , e n trenched p o l i t ica l h i era rch ies a nd i nf lex ib le s ystems o f r e l ig iou s b e l ief s c an s l ow o r e ven h a l t s oc ia l a nd e conom ic c hange . H e d i s t ingu ished b e tween p rogress ive s oc iet ies , where t he r e la t ions o fp roduct ion f avour a n e xpan s ion o fp roduct ive f o rce s a nd t here i s ah a r mon iou sr e la t ionsh ip among t he means o fp roduc t ion , s oc ia li n st i tut ion s , a nd t he d om inan t s yste m o f b e l ief s , a nd c onse rva t ive s oc ie t ies i n wh ich s oc ia l a nd p o l it ica l f a c tors b lock c hange .

The r u l ing c l a sses i n t he e a r ly c i v i l iza t ion s s ough t t o f o res ta l l

t e chno log ica l c hanges t ha t m igh t t h rea ten t he ir c on t ro l o f s oc ie ty .

They d id t h is b y

c oncen tra t ing w ea l th i n t he ir o wn h ands , e xerc is ing b u reaucra t ic c on tro l o ver c raf ts men , i nh ib i t ing t he p ursu it o f t echn ica l k now ledge , a nd p a tron iz ing mag ic a nd s upers t i t ion o n al a v ish s ca le , a s w e l l a s b y t he e xerc i se o f f o rce .

They o n ly s ucceeded , h owever ,

a t t he c os t o f mak ing i t more d if icu lt f o r t he ir o wn s oc iet ies t o c ompe te w i th more

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p rog ress ive n e ighbour ing o nes . Ch i lde t hu s a sc r ibed i mportan t r o les i n s hap ing h i story t o b o th t he b a se a nd s upers tructu re o fs oc ie t ies . Y e t h e wa s c a refu l t o q ua l ify t ha t where t he s upe rstructure wa s d om inan t , i t s i nf luence c ou ld o n ly b e n ega t ive . I th a s s i nce b een ma in ta ined b y S ov ie t a n thropo log is ts t ha t t h is v i ew i si n a ccord w ith o r thodox Ma rx i sm . Ch i lde 's s tance a l so p rov ides a d ef in i t ive a nswer t o t hose B r it ish Ma rx ists , s uch a s G eorge Thom son , who a ccused h im o fi gno r ing c la ss c onf l ict i n t he e a r ly c i v i l iza t ions . Ch i lde a rgued t ha ts oc ia le vo lu t ion o ccurred s l ow ly , i fa ta l l , i nt hose c i v i l iza t ions p rec ise ly b ecau se s uch s t rugg les w ere b lun ted b y h igh ly e f ect ive p o l i t ica l a nd r e l ig ious t e chn iques o f s oc ia l c on tro l .

H e d id n ot i gnore t he c oncep t o f c la ss s t rugg le i n e a r ly c i v i l iza t ions

o r r e jec t i tb ecause h e t hough t i ti napp l icab le f o r s tud ies u s ing a rch o log ica l d a ta . On t he c on tra ry , h e d id n ot f i nd i tu se fu l f o r e xp la in ing O r ien ta l s oc iet ies , wh ich h e b e l ieved h ad r ema ined s ta t ic f o r l ong p er iods o f t ime . I n h i s a na lyses o f C la ss ica l s oc iet ie s , a nd i np a r t icu la r o ft he R o man Emp i re , h e p laced more empha s is o n s t rugg les among g roups w i th in s oc iet ies t o c on tro l w ea lth a nd p ower a nd o n t he s h i f t ing p a ttern s o f p o l it ica l c on tro l . I ti sp oss ib le t ha t h i s d if er ing t r ea tmen t o fa nc ien t N ea r E a s tern a nd C la ss ica l c i v i l iza t ions wa s b a sed o n Ma rx 's o wn d i s t inc t ion b etween O r ien ta l a nd S lave s oc iet ies , a l though l i ke o ther Ma rx is ts o ft he S ta l in is t p er iod h e made n o e xp l ic it u se o ft he f o rmer c oncep t . A f ter Wor ld Wa r I Ch i lde c on t inued t o r ef ine a nd d eve lop a Ma rx is t u nder s tand ing o f s oc ia l c hange . A s ar e su l t o f g row ing d i s i l lus ionmen t w i th t he q ua l i ty o f a rchao log ica l w ork b e ing d one i n t he S ov iet Un ion , h e t urned a way f r om S ov iet a rch o logy a s a ma jor s ou rce o f i n sp ira t ion a nd b egan t o i nvest iga te t he p h i losoph i c a l b a s i s o f Ma rx i sm i t se lf . I n t he l a s t t wo d ecades o f h i s l i f e , h e w orked t o a cqu ire a more p rofound a nd l e ss d ogma t ic u nders tand ing o f Ma rx ism a s a n a na lyt ica l t oo l a nd t o a pp ly i t t o t he s tudy o f a rch o log ica l d a ta . A s p a r t o f t h is e fort h e r ead w ide ly i n t he f i e ld o f p h i losophy i n a n e for t t o u nders tand Ma rx ism b et ter . Th i s l ed h im t o s o me c onc lus ions t ha t w ere c ha l leng ing f o r a rch o logy , b ut t ha t w ere s o f a r a head o f t he t h ink ing o f most a rch a eo log is ts t ha t t hey w e re i gnored i n h i s l i f et i me a nd f o r s evera l d ecades a f terwa rds . L ike a l l Ma rx ists , Ch i lde r ega rded ah i s tor ica l a pp roach a su n i t ing a l lo ft he s oc ia l s c iences . H e a rgued t ha t t he s i gn if i cance o f a ny g enera l iza t ion c an o n ly b e e s tab l ished i n r e la t ion sh ip t o s pec if ic h i s tor ica l c on tex ts . Th is i sb ecause t he r u les t ha t a ccoun t f o r h uman b ehav iour , a nd h uman b ehav iour i t se lf , c hange a s n ew f o rm s o f s oc ie ty d eve lop . B ecau se o f t h is h u man h i s to ry i sg enu ine ly c rea t ive . I ti sc apab le o f b r ing ing i n to b e ing n ove l a nd o f ten u nforeseen s oc ia l o rders a nd n ew f o rms o fh uman s e lf -awa reness . Y et h e c on t inued t o b e c onv inced t ha t s uch p rogress w a s n o t i nev i tab le . S o me s oc ie t ies r e ma in s ta t ic , wh i le o thers r eg ress o r e ven d es troy t he m se lves . I n h i s v i ew , a Ma rx is t a na lys is p rec luded t he p oss ib i l i ty o f p redeterm ined c hange .

F unct iona l c ons tra in ts a ccoun t f o r

many s im i la r f ea tures o f s oc ia l o rgan iza t ion t ha t a re s ha red b y u nre la ted c u ltu res w i th a na logous modes o f p roduct ion . N ever the les s , t he s pec if ic c on ten t o f c u ltu res a nd o f i n d iv idua l s equences o f c hange i sd e term ined t o s o g rea t ad egree b y p re -ex is t ing c u l tu ra l p a tterns a nd b y a cc iden ta l c on tacts w ith o ther s oc ie t ies , a s w e l l a s b y t he n a tu re o f t he b roader w or ld -sys te m i n wh ich t hey o ccur , t ha t t he i r p rec ise n a tu re c anno t b e p red icted . A s C h i lde n oted , t he p rec ise f o rm o f t he B r i t ish c ons t itu t ion i n t he n ineteen th c en tu ry c ou ld n ever b e d educed f r om t he c ap i ta l ist mode o f p roduc t ion a lone . H is r e jec t ion o f d e te rm in is m p resaged t he v i ews o f l a ter Ma rx i st s cho la rs i n Wes tern E urope , s uch a s J ean -Pau l S a r tre . I t a l so a ccords , h owever , w ith o r thodox Ma rx ism , wh ich d en ies t ha t g ene ra l l aws c an e xp la in a l l t he d iverse f ea tures o fc oncrete h u man d eve lopmen t . Ch i lde d ef ined k now ledge a s s ha red men ta l a pprox ima t ions o f t he r ea l wor ld t ha t p er m it ted h uman b e ings t o a c t u pon i ta nd h e i n s is ted t ha t a rcha eo log is ts must t r ea t a r t ifacts a s c onc re te e xpress ions o f h uman t hough ts a nd i d ea s . H e a l so a rgued t ha t h uman b e ings

5

a dap t n o t t o r ea l e nv ironmen ts b u t t ot he ir i d ea s a bou t t hem , e ven i fa n e f ec t ive a dap ta t i on r equ ires a r ea sonab ly c l ose c orrespondence b etween r ea l ity a nd h ow i ti sp erce ived . T oo l s f u lf i l h uman n eed s , b ut t hese n eed s a re n o t f i xed .

B ecau se o f t h is t he r e la t ive

ef ic iency o f a ny t oo l o r t echno log ica l p rocess c annot b e mea sured b y a b so lu te c r i ter ia b u t o n ly b y c hrono log ica l s uccess ion . I nnova t ions a nd t he ir a pp l ica t ions t o s oc ia l n eeds a l so r equ ire n ew f o rms o f t hough t t ha t h ave r am if i ca t ion s e xtend ing t hrough who le s oc i e t ies . Advances i n t e chno logy t hus r ef l ect n o t s imp ly a n i n crea se i ns c ien t if ic i n fo rma t ion b ut a l so t he e vo lut ion o f t he t ota l k now ledge a t t he d i sposa l o f as oc iety , i n c lud ing h ow h u man b e ings p erce ive t he m se lves a nd t he ir r e la t ionsh ip t o n a tu re . Ch i lde wa s n o t ac u l tura l r e la t iv is t . H e p o in ted o ut t ha t t he u nders tand ing o f t he w or ld p ossessed b y p rogress ive s oc iet ies h as c on t inued t o e xpand b oth s pa t ia l ly a nd t empora l ly . Compa r isons w i th modern , sma l l -sca le s oc iet ies s ugges ted t ha t p reh i s tor ic h un ter -ga therers h ad o n ly a v ague a nd i naccura te k now ledge o ft he p as t a nd r a re ly k new wha t wa s h appen ing a f ew h undred k i lome ters a way . Know ledge i n t hese s oc ie t ies wa s d if eren t i n k ind a s w e l l a s c omprehen s iveness f r om t ha t o f modern i ndu str ia l s oc iet ies , a nd t h ink ing f o l lowed p a tterns t ha t w ere s i gn if ican t ly d if eren t f r om o ur o wn .

Ch i lde

a ccep ted t ha t p eop les w ith s imp le t e chno log ies d o n o t d i s t ingu ish b e tween wha t i sa n i ma te a nd i nan i ma te a s w e d o . I ns tead t hey v i ew n a tu re a nd s oc iety a s c oterm inou s a nd u se s oc ia l r e la t ion sh ip s a s c a tegor ies t o o rgan ize t he ir e xper ience o f t he n a tura l w or ld . N ot ions o fc au sa l i ty r e ma ined p ersona l u n t i l t he g row ing u se o fi nan ima te p ower t ow ork mach ines e ngendered t he i dea o f amechan ica l c au sa l i ty embod ied i nt he t h ink ing o fI saac N ew ton . Ch i lde h ad n o q ua lm s a bou t p ronounc ing modern c i v i l iza t ions t o b e s uper ior t o a l l p reced ing o nes i ns o f a r a s t hey a re a b le t o p rov ide ar e l iab le g u ide f o r af a r g rea ter n umber o fa ct iv it ies . Ch i lde e l aborated h i s c oncep t o f k now ledge i n t e rm s o f t he Marx ist d i cho tomy b e tween t rue a nd f a lse c onsc iousness . T rue c onsc iousnes s i sc ha rac ter ized b y t he o pera t i ona l c or respondence b etween v i ews o fr ea l i ty a nd e xterna l r ea l ity i t se lf . I n t he f o rm o f t e chno log ica l k now ledge , i te x is ts t o v a ry ing d eg rees i n a l l s oc iet ies . B y c on tra s t , a n o b j e ct ive u nderstand ing o fs oc ia l r e la t ions o ro ft he s oc ia ls i gn if i cance o fb e l ief sa nd v a lue s i s r a re i na ny p a s t o r modern s oc iety , a l though Ma rx is t a na lyses ma in ta in t ha t s uch u nder s tand ing w i l l c ha rac ter ize t he t echno log ica l ly -advanced , c l a ss less s oc iet ies o f t he f u tu re . F a lse c on sc iou sness o ccu rs where t here i sn o o pera t iona l c or respondence b etween wha t i s b e l ieved a nd e xterna l r ea l ity . I t emb races t he myth s t ha t a l l s oc iet ies c rea te t o ma sk a nd c ompensa te f o r t he ir t e chno log ica l i n competence a nd t ha t c la ss s oc ie t ies u se t o d i sgu ise e xp lo ita t ion a s a l tru ism . Ch i lde d id n o t c l a im t ha t h uman b e ings w ere a b le t o d i s t ingu ish b e tween t hese f o rms o f c onsc iousnes s i n t he ir o wn s oc iet ies . I ndeed , t he ef i cac iou sness o ff a lse c onsc iousness d epend s u pon i tn o t b e ing r ecogn ized a s s uch . H e a l so a rgued t ha t aB ronze Age meta l lurg ist m igh t h ave r ega rded t he s acr if i ce o f ac h icken a s b e ing a s e s sen t ia l f o r meta l -ca st ing a s wa s t he p roper m ixtu re o f t i n a nd c opper . Y e t h e ma in t a ined t ha t i n t he l ong r un h uman b e ings a re a b le t o d i s t ingu ish wha t i st echno log ica l ly ef i cac iou s f r o m wha t i sn ot . The u l t ima te t e st o ft ru th i st hu s a n o pera t iona l o ne ;j u st a s t he u l t ima te f unc t ion o ft rue k now ledge i st o p rov ide r u le s f o r a ct ion . B y c on tra s t , f a lse c onsc iou sness p e r ishes w ith t he s or t o fs oc ie ty t ha t c r ea ted i t ; f e rven t ly b e l ieved r e l ig ious c oncepts b ecom ing mere s upers t i t ion o r f o l ly a s s oc ia l c ond it ion s c hange . Wh i le Ch i lde i d en t if i ed t rue k now ledge ma in ly w i th t e chno logy , h e b e l ieved t ha t i n t he f u tu re a more o b ject ive u nders tand ing o f h uman b ehav iour a nd s oc iety w ou ld a l low h uman b e ings t o c on tro l t he ir s oc ia l e nv ironmen t more s c ien t if ica l ly a nd h umane ly . H e h oped t ha t h i s tory a nd a rcheo logy m igh t t ogether c rea te a " s c ience o fp rogress" t ha t w ou ld h e lp t o f i l l t h is n eed , e ven i ft hey c ou ld n ever b ecome e xac t s c iences . I n r ecen t y ea rs a g row ing n umber o f s e lf -s ty led Ma rx i st a rcheo log is ts h ave a p p ea red i n E ng land a nd t he Un i ted S ta te s . Many o ft hem h ave b een i nf luenced b y F rench

6

" s truc tura l Ma rx is m" a nd b y t he " c r it ica l t heory" o f t he F rankfu rt S choo l .

Many o f

t hese a rche eo log is ts h ave a t tacked t he d i s t inc t ion b e tween t rue a nd f a lse c on sc iou sness . They a rgue t ha t a l l k now ledge i sb ia sed b y t he s oc ia l p e rspec t ives o f t hose who p os sess i ta nd t ha t a nyth ing a pp roach ing o b ject ive k now ledge o ft he h u man c ond it ion c annot b e a t ta ined . They c l a im t ha t t he d i st inc t ion b etween i n f ra structu re a nd s upers truc ture i s ar ef lec t ion o f t he b ia ses o f c ap i ta l is t s oc iet ies , wh ich i gnores t he i n tr ica te i n ter lac ing o f e cono m ic a nd n on -econom ic r e la t ions . Thus t hey n ot o n ly c a l l t he s c ien t if i c c reden t ia ls o f Ma rx i sm i n to q uest ion b ut s e ek t o r educe a l l h uman k now ledge t o t he l e ve l o f s e l f s e rv ing f an ta s ies . Ch i lde t ook s im i la r n ih i l ist ic a rgumen t s i n to a ccoun t . Y et h e c hose t o s tand h i s g round a s a ma ter ia l i st a nd more s pec if ica l ly a s a Ma rx i st . H e a ccep ted t ha t t he w or ld w e a dapt t o i so ne t ha t e x is ts i n o ur o wn m ind . Y e t b y i n s is t ing t ha t n a tura l s e lec t ion o pera tes o n t he ma ter ia l i n terface b etween as oc iety a nd i t s e nv iron men t a nd b y ma in ta in ing t he d i st inct ion b e tween t rue a nd f a l se c onsc iou sness , h e a vo ided a d escen t i n to i d ea l is m a nd h yper -re la t iv ism . H e a l so k ept t he r ea l i t ies o ft he a rch o log ica lr e cord a nd wha tc ou ld b ed one w i th i tc l ea r ly i nm ind . H en oted t ha tr e l ig ious b e l ief s , mag ic , a nd s upers t i t ion l e ave t he ir ma rk o n i tn o l e ss c onsp icuous ly t han d oes t e chno log ica l k now ledge . Y et b ecause t he p oss ib le v ar ia t ions i n t he d eta i l o f mag ica l a nd r e l ig ious b e l ief s a re i nf in ite , t he a rch o log is t h a s n o h ope o f b e ing a b le t o i n f er t he s pec if ic c on ten t o f t he se b e l ief s i n av er if iab le f a sh ion i n t he a bsence o fw r i tten r e cord s o r o ra l t rad i t ions . B y c on tra st , t he n u mber o fp ract ica l s o lu t ions t o a ny t echno log ica l p rob lem i sl im i ted b y ma ter ia l c on stra in ts t hat c an b e i n f erred w ith a h igh d egree o f a ccuracy a nd i n much d e ta i l , u s ing t he l aws o f p hys ics a nd c he m istry . The s tudy o f p reh is tor ic k now ledge mus t t herefore b e r e str ic ted l a rge ly t o t e chno log ica l ma tters a nd f r amed i n t e rm s o f i t s p ract ica l r e su lts , n ot t he s ub ject ive g oa ls o f t hose who p ossessed i t . N everthe less , h e a l so b e l ieved t ha t t he e vo lu t ion a nd f unc t ion ing o f t e chno logy c ou ld o n ly b e u nderstood i fa rche eo log ists w ere a b le t o r e cons truct t he s oc ia l c on tex t w i th in wh ich i to ccurred .

I n t he l a s t y ea rs o f h i s l i f e h e s ea rched , n ot v ery s uccess -

f u l ly i n h i s e s t ima t ion , f o r w ays t o o vercome t he l im ita t ion s o f t he t ypo log ica l a pproach t o a rch o log ica l d a ta .

A rch o log is ts h ave s pen t t he l a st t h irty y ears d eve lop ing n ew

t e chn iques f o r i n f err ing s oc ia l o rgan iza t ion f r om a rch o log ica l d a ta . I n t he c ourse o f h i s c areer a s a n a rcha eo log i st , Ch i lde p rogressed f r om a s im p l is t ic u nderstand ing o f t he r o le p layed b y t echno logy i n i nf luenc ing h uman b ehav iour t o t he s oph ist ica ted v iews t ha t h e h e ld i n t he l a s t d ecade o f h i s l i f e . H is i n troduct ion t o Ma rx is m a s au sefu l t oo l f o r i n te rpret ing a rch o log ica l d a ta r e su lted f r om h i s e xpo s ure t o S ov iet a rch o logy b eg inn ing i n 1 935 . F a r f r om r e jec t ing Ma rx is m a s ab a s is f o r a na lys ing a rch o log ica l d a ta i n t he l a s t t wo d ecades o fh i s l i f e , Ch i lde i n it ia ted a h igh ly p roduct ive d ia logue b etween Ma rx ist t heor ies a nd a rch o log ica l f a c ts .

Th i s o pe ra t ion

made a Ma rx is t a pp roach more v i ta l t han e ver f o r h i s w ork a nd t urned Ch i lde h im se lf i n to a s i gn if ican t Ma rx is t t h inker . P eter Ga therco le a nd o thers h ave s ugges ted t ha t Ch i lde wa s h i t h a rd b y N ik ita Khrushchev 's r eve la t ion o f S ta l in 's c r imes a nd t he S ov ie t i nva s ion o f Hungary a nd t ha t t he r e su lt ing d i s i l lus ionmen t may h ave b een af a ctor c on tr ibut ing t oh i ss u ic ide . Y et t here i ss ound e v idence t ha t h i s d i s i l lus ion men t w i th p o l i t ica l movemen ts h ad b egun f a r e a r l ier a s ar e su lt o f h i s i nvo lvemen t w i th L abour p o l i t ics i n Aus tra l ia . H e h ad a l so l ong b een a wa re t ha t t he S ov iet Un ion wa s g overned b y at ota l ita r ian r eg ime t ha t r equ i red e ven a rch&o log ica l r e sea rchers t o t r ead wa r i ly . H ence h e wa s i mmune t o ma jor d i s i l lus ion men t o n t h is s core . Moreover , h i s a cceptance o f t he Ma rx i st p r inc ip le o f t he u n i ty o f p rax is a nd t heory d id n o t l e ad h im t o c onc lude t ha t t he s hortcom ings o ft he S ta l in r eg i me w ere n ecessa r i ly p roof o ft he e r roneousne ss o f Ma rx i sm .

7

A t t he e nd o f h i s l i f e Ch i lde wa s d ef ea ted n o t b y d i s i l lus ionmen t w ith Marx is m a s ar e sea rch s t ra tegy b u t b y wha t h e s aw a s h i s o wn i nab i l i ty t o d eve lop n ew a na lyt ica l p rocedures t ha t w ou ld p erm i t h im t o c a rry h i s Ma rx is t a na lys is o f p reh is tory f o rwa rd . H e wa s c onv inced t he f a i lure r e su l ted f r om h i s o wn d ec l in ing p owers r a ther t han f r om t he i n tractab le n a ture o f t he p rob le m . H e wa s a ssa i led b y t he f ear t ha t h i s c rea t ive l i f e wa s o ver a nd b y ag row ing h orror o f l one l iness , h e lp les sness , a nd s en i l i ty . Y e t , a s h i s work h a s b een t aken u p , o f ten u ncon sc iou s ly , b y ay ounger g enera t ion o f a rch&o log is ts , i th as b eco me c l ea r t ha t t he g enera l p erspec t ives t ha t h e f o rged i n t he 1 950s c on s t ituted as i gn if ican t p o in t o fd epa r ture f o r o r ig ina l r e sea rch i n t he 1 970s a nd 1 980s .

* The i dea s a nd e ven t he w ord ing o f much o ft h is p aper a re d er ived f r om t hree o f my p rev ious w r i t ings : G ordon C h i lde : R evo lu t ions i nA r cheo logy ( London , 1 980 ) ; " Ch i lde a nd S ov iet A rcha eo logy", Aus tra l ian A r cheo logy , n o . 1 8 ( 1984 ) , p p . 1 -16 ; a nd " The R o le o f T echno logy i n V . Gordon Ch i lde 's A rch o logy" , Norweg ian A r cheo log i ca lR ev iew , v o l . 1 9 ( 1 ) ( 1986 ) , p p . 1 -14 . The o r ig ina l i ty o ft h is p aper l i es i ni t sb rev ity a nd a na cco mpany ing d og ma t ic c l a r i ty .

8

THE PRESE NCE OF VERE GO RDO N CHIL DE IN M EXIC A N ARC HAEOLO G Y

JULIO CES AR OLIVE NE G RETE I nst ituto Nac iona l d e An tropo log fa e H istor ia

Iw i sh t o c ong ra tu la te t he I ns t i tu te o f An th ropo log ica l R e sea rch o f t he N a t iona l Au t onomous Un iver s i ty o f Mex ico u nder t he d i rec t ion o fD r . Ma r i Ca rmen S er ra P uche o n t he o rgan iza t ion o f t h i s c onf e rence i n memo ry o f V e re G ordon Ch i lde a nd t o e xp re ss my g ra t i tude t o t he c omm i t tee h eaded b y D r . L inda Manzan i l la f o r c on f er r ing o n me t he h ono r o f p a r t ic ipa t ing i n t h is i naugu ra l s e s s ion , wh ich Ic an o n ly e xp la in b ecau se o f t he i n teres t wh ich f o r s o me t ime n ow Ih ave s hown i n a pp ly ing t he t heo r ies a nd c on c ep ts o f t h is i lu str iou s Au s tra l ian p reh i s to r ian a nd e x -D i recto r o f t he L ondon I n s t i tu te o fA rcheo logy t o Mex ican A rcheo logy , who G lyn Dan ie l a sse r t s i st he o ne who i n i t ia ted t he a ge o f ma tur i ty i n t he d i sc ip l ine o fa rcheo logy a nd made i ta cces s ib le t o t he p ub l ic . H ow a nd when d id t he i nf luence o f t h is s c ien t i s t r each Mex ican a rcheo logy? H ow w a s i ti n co rpo ra ted i n to o u r t heo ry a nd p rac t ice a nd wha t i si t s s i gn if icance? The a n swe r s c an o n ly b e f ound b y p u tt ing o u r a n th ropo logy i n to a w o r ld -w ide c on tex t , i n o rder t o c ompa re i ta nd o b serve t he i n terna l a nd e x terna l t endenc ies i th a s h ad . The s ta r t ing p o in t o f Ch i lde ' s w o rk i sh i s s tudy o n t he b i rth o f E uropean c i v i l i za t ion , p ub l ished i n 1 925 ( Dan ie l 1 976 :247 ; 1 973 :76 ) , wh ich h e d eve loped a nd p er f ected b e tween t ha t d a te a nd t he S econd Wo r ld Wa r , a round 1 939 -40 . B y t hen h e h ad e l abo r a ted t he c oncep ts a nd p r inc ip les t ha t c on tr ibu ted t o t he e n r ichmen t n o tj us t o fa rcheo l o gy , b u t a l so o f a n th ropo logy a nd h i s to ry : t he i d ea t ha t a rcheo logy i sp a r t o f h i s tory , w i th in t he p re l im ina ry c on s idera t ion t ha t t he l a t te r f o rms a t rue s oc ia l s c ience w i th a l l o f i t s p h i losoph ica l , s oc io log ica l a nd e p i s temo log ica l i mp l ica t ion s ; t he r e la t ion sh ip b e t ween a rcheo logy a nd a n th ropo logy ; a nd , wha t Ib e l ieve more i mpor tan t , t he d ia lec t ica l p h i losophy wh ich l i nks i tt o Ma rx a nd E nge ls a nd , t h rough t hem , t o F eue rbach a nd H ege l . The l a ck o f u nde rs tand ing o f t h is p h i lo sophy h a s b een t he ma in f a cto r l im i t ing t he a pp l ica t ion o f Ch i lde 's t hese s t o Mex ican a nd a l so t o N o r thame r ican a rcha eo logy a nd t he r ea son why t he d i scu s s ion h a s d escended t o af r u i t le s s c r i t ic ism o f Mo rgan 's t e rm ino logy ; ad eba te h as a r isen o ver c oncep t s s uch a s n a tu ra l ism , e vo lu t ion i sm , n eo e vo lu t ion ism , p o s i t iv i sm , n eo -pos i t iv ism a nd h uman i sm , d i s rega rd ing t he r evo lu t iona ry c ha ra c ter o fd ia lec t ica l p h i losophy wh ich a l low s u s t o s u rpa s s t he a ppa ren t a n tagon i sm s b e tween n a tu re a nd c u l tu re t h rough t he H ege l ian p r inc ip le t ha t e very th ing r ea li sr a t iona l a nd e veryth ing r a t iona l i sr ea l , " s e t o n i t s f e e t" b y t he ma te r ia l ism o f F euerbach , Ma rx a nd E nge ls . C lo se ly u n i ted t o t h is c oncep t ion i s Ch i lde 's i d ea o fp rog ress i nh i sto ry , t o wh ich a rcheo logy c on tr ibu tes b y mea su r ing t he s ucces so f man 's d om ina t ion o ft he e nv ironmen t t h rough o b se rv ing ma ter ia l c u l ture , wh ich i nt urn r ef lec ts t he a ccumu la t ion o fk now ledge a nd t he a dvancemen t o fs c ience a s t he c o l lec t ive h e r i tage o ft he h uman s pec ie s , wh ich i s n o t r e s tr ic ted t o o ne g roup a nd o f e rs i nd iv idua ls b e t te r a l te rna t ive s f o r d ivers ify ing t he p o ten t ia l i ty o f h uman e x is tence ( Ch i lde 1 973 ) .

Wha t wa s h appen ing i n Mex ico i n t h is e ra when E uropean a rch&o logy wa s ma t u r ing? D r . I gnac io B erna l w r i tes : "My g enera t ion wa s t he f i rs t i n Mex ico t ha t h ad t he o pportun i ty t o s tudy a rch a eo logy p rof ess iona l ly , f o r e ven b e tween 1 900 a nd 1 940 a l l o f t hose d ed ica ted t o i tw ere s e lf -taugh t a f ter af a sh ion , e xcep t f o r af ew r a re e xcep t ions who s tud ied a broad . An o rgan ized c ou rse o f s tudy d id n ot e x is t , o n ly more o r l e ss c oheren t c l a sses s uch a s t hose o f ered i n t he Na t iona l Museu m b eg inn ing s hort ly a f ter 1 900 a nd s ub sequen t ly i n t he Un ivers ity . Th is r e s tr ict ion e xp la ins why men a s em inen t a s A lfonso C aso h i mse lf h ad s ca rse ly a ny t eachers i nt he s ub jec t . The s i tua t ion wh ich i mpeded s tudy a l so p er m itted s i ngu la r a p t i tudes a nd v a r iety . A lmost e veryone h ad s tud ied s o me o ther p rof ess ion , wh ich t here fore g ave t hem a more e xtens ive c u l tura l b ackground" ( Berna l 1 979 ) . A sD r . B erna l h imse lf d ec la res ( v erba l c o m mun ica t ion ) , i t wa s l o g ica lt ha t t heory wa s a lmos t n ever d i scussed e i ther i n c l a ss o r i n a rch o log ica l p ract ice d u r ing t he t ime i n wh ich t h is f i rs t g enera t ion o fp rof ess iona ls wa sf o rmed a tt he Na t iona lS choo lo f An th ropo l ogy f r om 1 938 o nwa rd s . Up u n t i l t ha t t ime a nd p erhaps a s p a r t o f t he p henomenon c a l led " cu ltura l Monroe ism" ( Ortega yMed ina 1 953 ) , o ur a rch o logy wa sd om ina ted b y t endenc ies o ft he N orthamer ican s choo l , whose r e sea rch wa s c arr ied o ut u nder t he s pon sorsh ip o f p r iva te i n s t itu t ion s s uch a s mu seum s , u n ivers i t ies a nd f ounda t ion s , a nd whose o b ject o f s tudy —hu man c u l ture o f t he r e mote p a s t— d oes n o t f o rm p a r t o f i t s o wn c u l tura l t rad i t ion a nd i st herefore e x traneous t o t he v a lues o f i t s s oc iety .

The c oncep ts a nd t e chn iques

o f N orthamer ican a rcha eo logy h ad p ene tra ted o ur c oun try s i nce t he b eg inn ing o f t he c en tury t hrough t he I n terna t iona l S choo l o f Amer ican A rch o logy a nd E thnography : t he d ifus ion o fc u l tura l t ra i ts b e tween c u l tu ra l a rea s , n ew e xcava t ion t e chn iques i n o rder t o o b ta in s t ra t igraph ic s equences a nd t he e s tab l ish men t o f c orre la t ions a nd c h rono log ies b a sed o n c eram ic t ypo logy . Gam io , o n t he o ther h and , h ad a d ef in ite i n terest i n s oc ia l a n thropo logy i n o rder t o p romo te t he i n tegra l a nd r eg iona l d eve lopmen t o f t he c oun try , w ith a n a t iona l is t ic a pproach wh ich h a s d i s t ingu ished Mex ican a n thropo logy . Moreover , t he l a tter h ad a n a nc ien t h i stor ica l b ackground wh ich c anno t b e e scaped , b ecause o f t he r i chness o fo ur d ocumen ta ry s ources , a nd wa s a l so o ccup ied w i th t he r econs truc t ion o f l a rge a rch i tectu ra l monu men ts , g i ven t ha t a rch o logy i n Mex ico h a s a lways b een a s ta te a c t iv i ty a nd h as f a ced t he c ha l lenge o fd ef end ing t he p a tr imony b equea thed b y t he i nd igenou s c u ltu res , wh ich a re c on s idered a n e s sen t ia l p a r t o ft he n a t iona l b e ing ( Lorenzo 1 976 , 1 981 ; B erna l 1 979 ; Gända ra 1 977 ; O l ive 1 980 ) . The Northamer ican t r end c o inc ided w ith t he o b jec t ive o fr e s tor ing t he i mpos ing Maya monumen ts , c a rr ied o ut b y t he C a rneg ie I ns t itu t ion , f o r o ther r eason s —to a cqu ire p r iva te f unds a nd p res t ige .

Ano ther o b jec t ive i n t he r eg ion o f C en tra l Mex ico wa s t o

e s tab l ish t he o rder o f s ucces s ion o ft he P reh i span ic c u l tures o n t he b a s is o fs t ra t igraphy a nd c eram ic t ypo logy , a l ong t he l i nes p o in ted o ut b y B oa s , Gam io , S p inden a nd V a i l lan t . I n t he f i f t ies t he p anorama b egan t o c hange b ecau se o f t he f i rs t c on tr ibu t ions o f Mex ican a n thropo log is ts , who , s t i l l u nder t he Nor thamer ican o r ien ta t ion , o ccup ied t he mse lves w i th u nders tand ing t he d eve lopmen t o f t he P reh ispan ic a gra r ian c u l tu res , s t i l l u s ing t he c oncep t o f " hor izon" .

The w ork o f P iña Chan o n t he c u l tu re s t ha t h e

s ta rted t o c a l l P rec la s s ic s tand s o ut . The d eve lopmen t o fn ew c oncern s i sb a sed o fc ourse o n t he a ch ievemen ts o f t he f i rs t h a lf o ft he c en tury : t he f ounda t ion o ft he Na t iona l S choo l o f An thropo logy , t he d ef i n it ion o f Mesoamer ica , t he u nder stand ing o f t he c a lenda r a nd t he h i s tor ica l c on ten ts o f t he Mixtec c odex , a dvances i n t he d ec ipher ing o f t he Maya i n sc r ip t ions , t he i d en t if ica t i on o f T u la a s t he c en ter o f T o ltec c u lture a nd t he a ppea rance o f a n e ncyc lop d ia o n t he a rch o logy o ft hese r eg ions i n t he w ork o n p reh ispan ic a rch itectu re b y t he a rch itect

1 0

Ma rqu ina , who , t oge the r w ith Mend izäba l , Ca so , N oguera , J imAnez Moreno a nd o ther s cho la rs p rov ided t hese c on tr ibu t ions . An i mpor tan t f a c to r i n t h is c hange wa s t he a rr iva l o f European a n thropo log is ts , ma in ly o f S pan ish n a t iona l ity , v i ct im s o f F a sc is t p ersecu t ion . They j o ined o ur r e sea rch c en ters a nd t each ing s taf f s , a nd p rov ided n ew p erspect ives . P edro B osch G impera a nd J uan C o ma s C amp s , f ounders o f t h is I n st i tu te o f An thropo log ica l R esea rch , d eserve s pec ia l men t ion . B osch b e longed t o Ch i lde 's g enera t ion o f Eu ropean p reh is tor ians , w i th whom h e ma in ta ined s c ien t i f ic c on tact s i nce 1 928 a nd w ith who m h ew o rked i nE d inbu rgh . H is c l a sses i n Mex ico , r e la ted t o u n iversa l p reh is tory a nd t o a nc ien t h i story o ft he O r ien t , f am i l ia r ized u s w i th t he E u ropean s choo l s o f t hough t . Another f actor w a s t he p rogress i n p reh is tor ic i nves t iga t ion s i n Mex ico w i th t he a cqu i s i t ion o f t he f i rs t s c ien t if ic d a ta o n t he p receram ic h or izon ( the h uman f o ss i l r ema in s f r om T epexpan a nd t he l i th ic t oo ls a ssoc ia ted w i th mammo th b ones a t S an ta I s abe l I z tapan ) . I n 1 952 t he D epar t men t o f P reh is tory wa s e s tab l ished i n t he Na t iona l I ns t i tu te o f An th ropo logy a nd H is tory , h eaded b y t he n o tab le Mex ican p reh istor ian P ab lo Ma r t inez d e l R io , who w a s a l so D irector o f t he Na t iona l S choo l o f An th ropo logy , where h e h e ld t he c ha ir i ng enera lp reh is tory a nd p ro toh is tory . S hort ly b efo re t he f ounda t ion o f t h is D epa rt men t , J osé L u is L orenzo h ad b een s en t t o L ondon t o c a rry o ut p os tg radua te s tud ies a t t he L ondon I n s t i tute o f A rch o logy , s t i l l u nder t he d i rec t ion o f V . Gordon Ch i lde . Ano ther p rof essor a tt he Na t iona l S choo lo f An thropo logy , a l so o fS pan ish o r ig in , t he a rch o log is t P edro A rm i l la s , wa s t he f i rs ta t t h is t ime t od i sse m ina te Gordon Ch i lde 's t heor ie s i n h i s c ourses o n Mesoamer ica , d i rect ing t he a t ten t ion o f h i s s tuden ts t o t he i mpor tance o f t he n eo l i th ic a nd u rban r evo lu t ions .

A rm i l las a l so wa s ap ioneer i n t he

i n teres t i ns t ructu r ing ac h rono log ica la nd p er iod if i ca t ion s ystem i n P reco lumb ian h i s tory wh ich wou ld r ef l ect c u l tura l c hanges . H owever , u nder t he i nf luence o f e vo lu t ion is m h e t ended t owa rd e co log ica l a nd t echno -hydrau l ic e xp lana t ion s , e nd ing b y a gree ing w ith Wi ttfoge l 's h ypo thes is o n t he i mportance o f t he h ydrau l ic f a c tor i n t he f o r ma t ion o ft he f i rs t c i v i l iza t ions . J osé L u is L orenzo r e turned t o Mex ico i n 1 953 -54 where h e t ook u p p reh istor ic r e sea rch a ga in ,o ccupy ing h imse l fw i th t he a pp l ica t ion o fE ng l ish e xcava t ion t e chn iques t o o u r s i tua t ion a nd o f Ch i lde 's t heore t ica l p roposa l s , ma in ly t ha t c oncern ing t he n eo l i th ic r evo lu t ion . H ed i s se m ina ted t hese i d ea si nh i sc ou rses a tt he Na t iona lS choo lo f An th ropo l o gy a nd i n h i s p reh is tor ic r e sea rch . The s ame L orenzo a nd s o me o ther Mex ican a rch o log is ts s uch a s Ma tos ( 1982 ) c ons ider t ha t my ma s ter 's d egree t he s is o n Me soamer ica ( 1958 ) c ons t i tu ted t he mos t s e r iou s e fort o f i t s t ime t o h and le a nd i n tegra te t he a rch o log ica l i n forma t ion i n t h is c u l tura l s upera rea , b a sed o n Ch i lde 's a pproach , i n o rder t o p lace t he d eve lopmen t o f a nc ien t Mex ico w ith in a u n iversa l s chema t ic f r amework wh ich f unct ions w ith in a s oc io c u l tu ra lp erspect ive . Ma to s t h inks t ha t my p roposa ls d emons tra ted t he l im ita t ions o ft he h or izon c oncep t a nd d ynam ica l ly o u t l ined t he p rocess o f d eve lopmen t i n Me soamer ica t h rough e vo lu t iona ry a nd r evo lu t iona ry s tages ; b ut h e b e l ieves t ha t t he t e rm ino logy a nd c on ten t o r ig ina l ly p ropo sed b y Morgan , a nd whose v a l id i ty Ia ccep ted f o l low ing Ch i lde , w e re e xceeded . I n 1 975 D r . Romän P iña Chan p roposed t he d if eren t ia t ion o ft he f ood -ga ther ing f r om t he f ood -produc ing e poch , w ith a d iv is ion i n p er iods wh ich , a s Ma tos o b se rves , e s tab l ishes ac on stan t p roces s o fe vo lut ion w i thou t q ua l i ta t ive c hange s . Th is s cheme wa s u t i l ized i n t he o rgan iza ton o ft he c o l lect ive t ext o n Mex ican a rch o logy e d ited i n 1 975 b y t he Na t iona l I ns t i tute o f An thropo logy a nd H i story e n t it led Mex ico : P anorama H i s tör i co yC u l tura l .

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On t he o ther h and , i fw e r ev iew t he monog raphs , a rch&o log ica l p ro jec ts , s c i e n t if i c a nd p opu la r b ooks , a s w e l l a s t he l abe ls i n mu seum h a l ls , i ti so b served t ha t t he c r i ter ion o fp e r iod iz ing b y h o r izon s s t i l l p e rs is ts , b a sed o n c eram ic t ypo logy a nd t he t rad i t iona l t e rm s o f P rec la s s ic , C la s s ic a nd P o s tc la s s ic , w i th a g rea t v a r iety o f s ubd iv i s i on s . I n t he e qu iva lence s o fN or thame r ican a u thor s , t he t e rm " P rec la ss ic" i ss ub s t i tu ted b y t he " Fo rma t ive" , wh ich c oncep tua l ly r e f er s a ga in t o h i s to r ica l p a r t icu la r i sm b ecau se o f t he a ssump t ion t ha t e ach c u l tu re h a s i t s o wn s tage s o f f o r ma t ion , f l o re scence a nd d es in teg ra t ion . Wi th r e spec t t o p reh is to ry , t he p er iod if ica t ion w a s e s tab l ished b y L oren zo i n t he a bove - men t ioned w ork e d i ted b y t he N a t iona l I n s t i tu te o f An th ropo logy a nd H i s to ry ( 1975 ) . H e p o in ts o u t t he e x is tence o f al ong c u l tura l s tage wh ich h e c a l ls t he L i th ic , t o wh ich h e a t t r ibu te s t he a s semb lage o f c u l tu ra l c ha rac te r i s t ics o f s avagery , w i th a l i v ing p a tte rn b a sed o n h un t ing a nd g a ther ing . H e d iv ides t h i s s tage i n to h or izons wh ich h e p ropo ses t o u se w i th f l u id i ty i n o rde r t o a vo id t he m is take o f c on s ider ing t he p roce ss o f e vo lu t ion a s c on t inuou s , a nd d i s rega rd ing t he q ua l i ta t ive d if erences t ha t o ccu rred i n t he c our se o f t he p roces s . These s ubd iv is ion s a re : t he A rcha ao l i th ic , Z eno l i th ic a nd P ro toneo l i th ic , wh ich e nd s i n t he e poch o f a g r icu l tu ra l c on so l ida t ion a nd t he i n i t ia t ion o f p o t tery mak ing . The s oc iopo l i t ica l c hange wh ich l e d t o f ood p roduc t ion a nd t he e s tab l i shmen t o f v i l lage s c on s t i tu ted t he b a s is o f s ub sequen t c u l tura l d eve lopmen t , f o r wh ich r ea son L o renzo s t i l l c ons ider s t ha t t he c oncep t o ft he n eo l i th ic r evo lu t ion i sv a l id , a s a n e ven t o fq ua l i ta t ive c hange i n h uman h i s to ry . A l though r e sea rch o n t h i s p rocess b egan i n t he f i f t ie s , i tw a s o n ly i n t he m id s i x t ie s t ha t t he a rch&o log ica l e xcava t ion s o f R icha rd MacNe ish a t T ehuacan , P ueb la , p rov ided d a ta o n t he e a r ly s equence s t ha t r evea l t he t ran sfo rma t ion f r om ag a ther ing t o a n a g r icu l tura l e conomy , w i th in ap roce s s o fg radua l e vo lu t ion a cco rd ing t o t he a f ore sa id a u tho r , who p o in ts o u t t ha t t he c ha rac ter is t ic e l e men ts o f wha t a Ma rx is t w ou ld c a l l t he n eo l i th ic r evo lu t ion d id n o t a ppea r s udden ly a t T ehuacan w i th t he n a tu re o f an ew c u l tu ra l c omp lex o r o f ar evo lu t iona ry w ay o fl i f e : g r ind ing i mp le men ts a ppea red a round 6 700 BC , t he f i r s t c u l t iva t ion n o t b efo re 5 000 , v i l lages a round 3 000 , p o t te ry a bou t 2 300 , a nd p opu la t ion g rowth n o t u n t i l 5 00 BC (MacNe i sh 1 964 ; 1 973 ) . The c on t rad ic tory t hese s o f L orenzo a nd MacNe i sh a l low u s t o a pp rec ia te t he i d eo log ica l b ackground u nde r ly ing a l l t heo r ie s a nd wh ich e xp la ins why i n t he c ou r se o f t ime Ch i lde 's i d ea s h ave b een f o l lowed b y o n ly am ino r i ty o f Mex ican a rch o log i s ts , a s a r ef lec t ion o f wha t a l so h appened i n N or thamer ican a rch o logy . T o s peak o f C h i lde a nd r evo lu t ion s i st o i nvoke t he g ho s ts o f Morgan , Ma rx a nd E nge ls ; t o r e jec t t he c oncep t o fr evo lu t ion i n u nder stand ing t he s oc io -econom ic p henomena o f t he r e mo te p as t a l lays t hough ts a bou t t he p re sen t a nd t he f u tu re . T o my w ay o ft h ink ing , i ti sn o t aq ue s t ion o f c on sc iou s t hough t p roces se s , b u t r a ther o f ac u l tura l ly p re ju iced men ta l i ty , f r om wh ich w e c annot emanc ipa te o u r se lve s . A s i n o ther s c ien t if ic f i e ld s , o b ject iv i ty i n a n th ropo logy i sv ery d eba tab le . Iam n o t f r ee o f i t , b u t Iv en ture t o ma in ta in t ha t i n t h i s c ase t he d i scu s s ion s hou ld n o t d ea l w i th t he d u ra t ion o f t he p e r iod e l apsed b e tween t he i n i t ia t ion o f a gr icu l tu re , i t s c onso l ida t ion ,s ub sequen t t e chno log ica la nd s oc iopo l i t ica lp henomena a nd t he a ppea rance o fc i t ies a s t he b eg inn ing o fc i v i l i za t ion . A s D r . MacNe ish e s tab l i she s —and D r . B ra idwood a l so d emon s tra tes i n h i s r e s ea rch o n t he a ppea rance o f a gr icu l tu re i n t he N ea r a nd M idd le E a s t— , i n b o th c a ses i ti s aq ue s t ion o f as tage c over ing t housand s o f y ea r s , f o r wh ich r ea son Ch i lde h im se l f c ons ide red t he n eo l i th ic r evo lu t ion a s t he c u lm ina t ion o f al ong p roce s s , a l though h e r ep resen ted i ta s as i ng le e ven t . I n Mex ico D r . B erna l a l so s uppor ted t he t he s is t ha t o ne

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c anno t s peak o f r evo lu t ions w i th r e spec t t o p henomena t ha t d eve lop o ver t he c ou r se o f m i l lenn ia . T o me i ts e em s t ha t i ti s aq ues t ion o f ar educ ton i s t c r i te r ion o f t he c oncep t o f r evo lu t ion , wh ich i sv a r iab le i nt he d if eren t s phe res o fr ea l i ty . J u r id ica l r evo lu t ion s t ake p lace i mmed ia te ly , b y c hang ing c on s t i tu t iona l t ex ts ; p o l i t ica l r evo lu t ions a re g enera ted o ver mon ths o r y ea r s , a l though t hey m igh t e xp lode a t ag i ven momen t ; s oc ia l r evo lu t ions t ake much mo re t ime ; e conom ic r evo lu t ion s t ake s t i l l mo re a nd i fw e c on s ider t he n a tu ra l o rde r , q ua l i ta t ive c hange i n b io logy a nd t he a ppea rance o f n ew s pec ies b y mean s o f t he m echan ism i nd ica ted b y Da rw in , i s a ma t te r o f g enera t ion s ( Id o n o t w an t t o r e f er t o mu ta t ions h ere ) ; o n t he o the r h and , i ti sc or rec t t o s peak o fg eo log ica l r evo lu t ion s wh ich c o mp r i sed e x treme ly l ong p e r iod s o f t rans fo rma t ion i n t he e a r th 's c ru s t . I n s ho r t , t ime i sn o t ad ete rm in ing f a ctor i n t he c oncep t o f r evo lu t ion , wh ich r e f er s t o l e ap s a nd t o q ua l i ta t ive c hange s , b e i ti nt he p hys ica l , e conom ic , s oc ia l , p o l i t ica l o rj ur id ica l o rder , n o ma t ter h ow much t ime t hey may t ake . Th is c ons idera t ion f o rm s p a r t o f t he d ia lect ic t o wh ich Ih ave r e f erred a nd a c c o rd ing t o wh ich Ch i lde 's p ropo sa ls s hou ld b e e va lua ted ; t he g rea t t rans forma t ions t ha t o ccu r red i n h uman e x is tence b y g o ing f r om a n e conomy t ha t t i ed h uman i ty t o n a tu re a nd l im i ted i t s p rog ress t o a no ther wh ich f r eed i t , t hanks t o a g r icu l ture . The f o l low ing t e chno log ica l d eve lopmen ts a nd t he i r r epe rcu s s ion s o n p roduc t ion r e la t ion sh ips r e su l ted i nt he u rban r evo lu t ion i nt he O ld Wo r ld a nd i nt he N ew ,w i thou ti nvo lv ing e xact r ep l ica s . Ih ave h ea rd t ha t C h i lde wa s a mu l t i l inea r e vo lu t ion i s t , a nd h e h im se lf r ef lec ts t h is p o s i t ion , c on tra ry t o t ha t wh ich Dan ie l a t t r ibu te s t o h im , who , l i ke D r . B erna l , c l a s s i f ie s Ch i lde a s amode ra te d ifu s ion i s t b ecause h e wa s c oncerned w i th t he d i s sem ina t ion o f t he n eo l i th ic r evo lu t ion a s w e l l a s t he u rban r evo lu t ion . I t i sc l ea r t ha t Ch i lde h ad t he s a me i n teres t a s Morgan , E nge l s a nd Ma rx i n e s tab l i sh ing t he g rea t e vo lu t iona ry s t ages o ft he who le o f mank ind , a nd i nt ha t s en se h e w a s a n e vo lu t ion is t , b u t wha t i sn o t u nde rs tood i sh i s d ia lec t ia l c oncep t ion wh ich d i s so lve s t he e vo lu t ion -d if fu s ion a n t i thes is . The d ia lec t ica l a pp roach a n swers a no ther o b jec t ion wh ich h a s b een u sed t o e x c l ud e Ch i lde f r om Amer ican a rch&o logy : t he a ccu sa t ion t ha t h e d i sca rd s t he e x i s tence o fa nc ien t c i v i l iza t ions o n t h is c on t inen t ( Berna l 1 979 ) . The i n forma t ion i sn o r e n t ire ly p rec i se b ecau se Ch i lde r epea ted ly a ccep ts t he e x i s tence o f t he Maya c i v i l iza t ion , a nd i f h e d oe s n o t e xp re ss ly d i scus s t he Andean a nd o ther Mesoamer ican c i v i l iza t ion s , h e d oes n o t t hereby d eny t hem . N e i ther i si tn ece ssa ry t o a dm i t t he i mpor tance a t tr ibu ted t o h i s d iagnost ic e l emen ts o f c i v i l iza t ion , s uch a s w r i t ing , i na smuch a s Ch i lde i n s i s ted t ha t t h e s oc ia l t o ta l i ty s hou ld b e c ons idered , a nd n o t i s o la ted f ea ture s , a s f a r a s a rch o logy p e rm i ts . H is g ene ra l c onc lu s ion wa s t ha t t he d eve lopmen t o fa gr icu l tura l e conom ies f r om b a rba r i sm s howed d ivergences wh ich a re e xp la ined b y c u l tura l a dap ta t ion t o d if eren t p hys ica l e nv i ronmen ts a nd c onvergences , wh ich d i s t ingu i sh s oc ia l f r om o rgan ic e vo lu t i on . E ven t hough h e t h inks t ha t t he mechan ism o f s oc ia l e vo lu t ion i sd ifu s ion , wha t i n te re s t h im i st o s how t ha t c u l tura l c hange c an b e d e scr ibed a s g enera l a nd i n te l l ig ib le r u le s ( Ch i lde 1 966 ) . L a te i n t he s i x t ies a r ebe l l ion o f s tuden ts a nd i n te l lec tua ls a ga ins t a cadem ic p os i t ion s t ook p lace i n Mex ico a s w e l l a s i n o ther c oun tr ies . H ere t here wa s as t rong r e jec t ion o f of i c ia l a rcha eo logy b ecau se o fi t s n a t iona l ism a nd monumen ta l i s t c ha rac ter . Ma rx ism a s au n iver sa l c orpus w a s t r ied a s as ubs t i tu te f o r i t , w i th a g rea t v a r ie ty o f man i f es ta t ions . B a r t ra ( 1964 ) i n s i s ted o n t he v a l id i ty o f t he i d ea s o f Morgan , E nge ls a nd Ch i lde , b u t h e t hough t t ha t i t wa s n eces sa ry t o s t re s s more t he i mpo r tance o f p roduct ion r e la t ion sh ips a nd h e c on tr ibu ted t o t he t ran s forma t ion o f t he c oncep t o f t he A s ia t ic mode o f p roduc t ion , t urn ing i ti n to t r ibu ta ry d e spo t ism , i n a ccordance w i th B anu 's p roposa l s . H is o p in ion s w ere m ixed w i th s t ruc tu ra l is t Ma rx is t i nf luences , a nd

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t ak ing Gode l ier a s a n a u thor ity , h e s uggested modes o f p roduct ion a s ac en tra l t he me i n t he t rans i t ion f r om p r im i t ive c o mmun i t ies t o s ta te f o rma t ions . Thus t here p er s is ts a m inor t r end wh ich a tte mp ts t o d eve lop t he i d ea s o f Ma rx , Morgan a nd Ch i lde , t o wh ich Ma tos h i mse lf , Na lda a nd B a te b e long , a s w e l l a s t he a bove - men t ioned a uthors . L a te i n t he s even t ies t he i nf luence o f t he s o -ca l led " new a rch o logy" a r r ived i n i t s d iverse f o rm s , wh ich Iw i l l n o t t ry t o c ha racter ize h ere , b u t d ef er t o Gända ra ( 1982 ) . Io n ly w i sh t o p o in t o u t t ha t Ch i lde 's t heor ies w ere r e lega ted t o as econd p lace i nt heory a nd i n p ract ice , w i thout c ea s ing t o b e a cknow ledged a nd p opu lar ized . An e xamp le i st he e xce l len t b ook b y J osé An ton io P erez wh ich e nab led C h i lde 's mos t i mportan t w o rks t o r each a rcheo log is ts a nd s tuden t o fa rcha 2o logy i n o ur c oun try ( Perez 1 980 ) . The I ns t i tu te o f An thropo log ica l r e sea rch a t UNA M h as c on t inued a l i ne o f r e sea rch o r ien ted b y Ch i lde 's i d ea s , wh ich i nvo lves a n i n teres t i n t he p roces ses o f s ta te f o rma t ion i n Mesoamer ica ; D r . L inda Manzan i l la i si nves t iga t ing i t s a na log ies w i th t he Mesopo tam ian c i v i l iza t ion . Ch i lde 's i dea s f ound a b etter r e cep t ion i n t he I n troductory Ha l l o ft he N a t iona l Museum o f An thropo logy ( Ba rba d e P iña Chan a nd O l ive 1 964 ) a nd i n t he Museum o f Cu l tures , f ounded i n 1 965 , where Ch i lde 's c oncep ts a re amp ly a pp l ied t o e xp la in p reh istory a nd c i v i l iza t ion i n t he O ld a n i n t he N ew Wor lds . We may c onc lude t ha t Ch i lde 's p resence a ppea red l a te i n Mex ican a rch o logy , b eg inn ing i n t he f i f t ies , s pon sored b y t he i ncorpora t ion o fE uropean a n thropo log is ts i n to o u r a cade m ic e nv ironmen t ; t ha t i t wa s d i sse m ina ted i n c ourses a t t he Na t iona l S choo l o f An thropo logy a nd H is tory , a pp l ied i n t he f i e ld o f p reh istor ic r e sea rch a nd e xtended t o a rch&o log ica l t heory o n Mesoamer ica s i nce 1 958 , i n al i ne wh ich h a s b een c on t inued w i th mod if ica t ions b y am inor i ty o r a rcha ao log is ts w i th a Ma rx ist o r ien ta t ion , a nd t ha t Ch i lde 's t heor ies h ave b een u sed i nt he Na t iona l Museum o f An th ropo logy a nd t o ag rea t e xten t i n t he Museu m o f Cu ltures . I n o rder t o b e tter u nders tand t he a bove , w e mus t b ea r i n m ind t ha t a t t ha t t ime , t ha t i si n t he f i f t ies , t he mo st s i gn if ican t c on tr ibu t ions o f Mex ican a rch aeo logy h ad a l ready b een made , o n wh ich b a s is work i ss t i l l b e ing c arr ied o u t .

REFERENCES

AR M ILLAS , P . 1 951 .

" T ecno log ia , f o r mac iones s oc ioecon6m icas y r e l ig iön e n Mesoamer ica" , i n S o l T ax ( ed ) : T he C iv i l iza t ion o f Anc i en t Amer ica , S e lec ted P apers o f t he XXIX th I n terna t iona l C ongress o f Amer ican i sts , The Un ive rs i ty o f Ch icago P res s .

1 952 . Mesoamer ica , a pun tes d e c l a se , ENAH , Mex ico . 1 957 .

" Crono log fa y P er iod if i cac iön d e l a H istor ia e n Amer ica P reco lomb ina " , s up le men to d e T la toan i , Mex ico .

BARBA DE P IS A CHAN , B . a nd J .C . OLIVE 1 964 . E l h o mb re e s tud ia s u p a sado . Gu iön d e l a S ecc iön d e A rqueo log fa . S a la d e I n troducc iön al a An tropo log ia , Museo Nac iona ld e An tropo log fa , mecanoe scr i to . BARTRA , R . 1 964 .

" La t i po log fa y l a p er iod if icac iön e n e l metodo a rqueo lög ico" , s up lemen to d e T la toan i n o . 5 , Mex ico .

1 4

BATE , L . F . 1 982 .

" Hac ia l a c uan t if icac i6n d e l a s f uerza s p roduct iva s e n a rqueo log fa " , i n T eorfas , Me todos y T e cn i cas e n A rgueo logia , r e impres iones d e l I n s t i tu to P anamer icano d e G eogra f fa e H is tor ia , Mex ico .

BERNAL , I . 1 979 . H i s tor ia d e l aa rgueo lo gia e n Mex ico , P orrüa , Mex ico . B INFORD , L . 1 972 . An A r cheo log ica l P erspec t ive , N ew Y ork . BOSCH G I MPERA , P . 1 948 . H i s tor ia d e O r i en te , Gua te ma la . 1 957 .

" Gordon Ch i lde p reh is tor iador" , S em inar io d e p rob lemas C ien tif icos yF i losdf i cos , s up le men tos , s egunda s e r ie , I ns t itu to d e I nves t igac iones F i los6f i ca s , UNA M , Mex ico .

BRAID WOOD , R . J . 1 961 . P r eh i s tor ic Men , Ch icago Na tu ra l H is tory Museum , P opu la r S er ies . CHILDE , V .G . 1 942 .

Wha t Happened i n H i s tory , P engu in B ooks , Ha rmondsworth .

1 947 . A r ch&o logy a s aS o c ia lS c ience , I ns t i tu te o fA rche eo logy , L ondon Un ivers ity . 1 952 . N ew L igh t o n t h e Mos t Anc ien t E as t , G rove P ress B ooks , N ew Y ork . 1 954 . L os o ri genes d e l ac i v i l izac idn , F ondo d e Cu l tura E con6m ica , Mex ico . 1 958 . S o c iedad y c onoc im ien to , Ga la tea , Nueva V is i6n , Buenos A i res . 1 958b . L' Europe P re h i s tor igue , P et i te B ib l io t Uque P ayo t , P a r is . 1 965 . Man Makes H imse lf , The F on tana L ib ra ry , G rea t B r i ta in . 1 966 . L a e vo luc iön d e l as o c iedad , C ienc ia Nueva , Madr id . 1 973 . P rogr eso y a rgueo logi a , L a P leyade , Buenos A ires . * 1 974 . T eori a d e l ah i s tor ia , L a P leyade , Buenos A ires . 1 976 . Nac im ien to d e l a s c i v i l izac iones o r ien ta l es , P en insu la , Madr id . DANIEL , G . 1 973 . E l c oncep to d e p r eh i s tor ia , L abor , Buenos A i res . 1 974 . H i s tor ia d e l aa rgueo lo gia , A l ianza E d itor ia l , Madr id . 1 976 . A Hundr ed a nd F if ty

Y ears o f A r chco logy , Ha rva rd Un ivers i ty P ress , Ma s -

s achu se tts . 1 981 .

T oward s aH i s tory o fA r ch e Eo logy , Thames a nd Hud son , L ondon .

FLANNERY , K . V . ( cd ) 1 976 .

T he E ar ly Mesoamer i can V i l lage , A cadem ic P ress , N ew Y ork .

GANDARA , M . 1 977 . L a a rqueo log fa o f ic ia l mex icana , Ma t hes is , ENAH . 1 982 .

" La v i e ja ` nueva a rqueo log fa '" , i n T eoria , me todos y t e cn i cas e n A rgueo logi a , r e impresos d e l I ns t i tu to P anamer icano d e G eogra f fa eH is tor ia .

1 5

HARRIS , M . 1 978 . E l d esarro l lo d e l at e ori a a n tropo lög i ca , S ig lo XX I d e E spana . LORENZO , J . L . 1 961 . L a R evo luc iön N eo l i t i ca e n Mesoame r i ca , I NAH , Mex ico . 1 975 .

" Los p r imeros p ob ladores" , i n Mex i co : P anorama h i s tdr i co y c u l tura l v o l . V I , I NAH , Mex ico .

1 976 . L a a rqueo logi a mex icana yl o s a rqued logos n or teamer i canos , D ep to . d e P reh is tor ia n o . 1 4 , I NAH . 1 981 .

" Notes o n t he H is tory o f I beroamer ican A rch&o logy" , i n G lyn Dan ie l ( cd ) : T owards a H i s tory o fA r cheo logy , Thames a nd Hud son , L ondon .

M ACNEISH , R . S . 1 964 . E l o r igen d e l ac i v i l izac idn mesoamer i cana v i s to d esde T ehuacdn , I NAH , Mex ico . 1 973 .

" The O r ig ins o f N ew Wor ld C iv i l iza t ion " , i n R ead ings f r om S c i en t if i c Amer ican , W .H . F reeman a nd C o , S an F ranc isco .

M ANZANILLA , L . 1 979 . C omen ta r ios e n t o rno a u n p roceso h i stör ico : l a c ons t i tuc iön d e l a s oc iedad u rbana e n Mesopo tam ia ( cuar to m i len io AC ) , Ma t hes is , ENAH . ( Pub l ished i n 1 986 a t t he UNA IV I . ) 1 983 .

" Red is tr ibuc iön yt r ibu to e ne lC en tro d e Mex ico . H ipötes is yc ons ide rac iones g en e ra les" , X IX Mesa R edonda d e l aS oc i edad Mex i cana d e An tropo logia , Quere ta ro .

M ATOS M OCTEZU MA , E . 1 972 .

" In troducc iön y s e lecc iön" , i n Manue l Gam io : A rqueo logia e I nd igen i smo , SEP , Mex ico .

1 979 .

" La s c orr ien tes a rqueo l6g ica s e n Mex ico" , Nueva An tropo logi a a i l° I I , n o . 1 2 .

1 982 .

" E l p roceso d e d esa rro l lo e n Mesoamer ica " , s ob re t iro d e l B o lean d e An tropo logia Amer i cana , I ns t i tu to P anamer icano d e G eograf fa e H istor ia .

1 986 .

V ida y muer te e n e l T emp lo Mayor , O cean° , Mex ico .

M ARTINEZ DEL R IO , P . 1 943 . L os o ri genes amer icanos , P äg ina s d e l S ig lo XX , Mex ico . OLIVE NEGRETE , J . C . 1 958 . E s truc tura y d indm i ca d e Mesoame r i ca , A cta An th ropo lög ica Epoca 2 , v o l . 1 , n o . 3 , ENAH . 1 980 . L a a n t ropo logia m ex icana , C o leg io Mex icano d e An tropö logos . ORTEGA Y MEDINA , J . 1 953 .

"Monro f smo a rqueo lög ico" , C uadernos Amer icanos , Mex ico .

PANA ME i • ' 10 , R . a nd E . NALDA 1 979 .

" Arqueo log fa : z para q u ien?" , Nueva An tropo logi a a f io I I , n o . 1 2 , Mex ico .

PEREZ , J . A . 1 981 . P r esenc ia d e V . G ordon C h i lde , I NAH .

1 6

P IS A CHAN , R . 1 953 . L as c u l turas p r ec i c is icas d e l a C uenca d e Mex ico , F ondo d e Cu ltura E con6m ica . 1 975 .

" In troducc i6n " , Mex i co : P anorama h i s tdr ico y c u l tura l , SEP , Mex ico .

1 ' 7

THE NEOLIT HIC REVOLUTIO N

CLI MATIC CHA NGE AND THE ORIGINS OF AGRIC ULTURE

RO GE R BY R NE Un ivers ity o f Ca l iforn ia , Berke ley

I n t roduc t ion Go rdon Ch i lde 's v e rs ion o f t he s o -ca l led " des s ica t ion h ypo the s i s" wa s f i r s t p ub l i shed i n t he l a te 1 920 's , a t at ime when v ery l i t t le wa s k nown a bou t e a r ly a g r icu l ture o r i t s e nv i ronmen ta l c on tex t ( Ch i lde 1 928 ) . Twen ty y ea rs l a ter B ra idwood a nd h i s a s soc ia tes b egan t he ir w ork i nI raq a nd f o r t he f i r s t t ime d i rect e v idence r e la t ing t o t he a g r icu l tura l o r ig in s p rob lem b ecame a va i lab le . A s i sw e l l k nown , t he e v idence u ncove red d id n o t s uppo r t Ch i lde 's mode l a nd B ra idwood w en t o n t o c onc lude t ha t c hange s i n c u l tu re n o t c l ima te h ad b een r e spon s ib le f o r t he o r ig ins o f a g r icu l ture ( Bra idwood a nd H owe 1 960 ) . Mo re r e cen t ly , B ra idwood 's o wn i d ea s o n t he s ub ject h ave b een s e r iou s ly q ue s t ioned . E ven s o , mos t c on tempo ra ry s tuden ts o f t he p rob le m a ppea r t o a g ree w i th h im t ha t c l ima t ic c hange wa s n o t a n i mpo r tan t c au sa l f a c tor i nt he t rans i t ion t o a g r icu l tu re . Th is r e jec t ion o fc l ima te h a s b een b a sed o n s evera l a rgumen ts t h ree o f wh ich a re p a r t icu la r ly i mpo r tan t . 1 .

There wa s n os i gn if ican tc hange i nc l ima te a t t he t ime o ft he t ran s i t ion t o a g r icu l tu re . T h i s i ss o me t imes r e f e r red t o a s t he c on t inu i ty t heo ry a nd h a sb een p ropo sed f o rb o th t he N ea r E a s t a nd Me soame r ica ( Ho le 1 966 ; MacNe i sh 1 964 ) .

2 .

There wa s ac hange i n c l ima te a t a bou t t he s ame t ime t ha t p lan ts a nd a n ima ls w e re f i rs t b e ing d ome s t ica ted , b u t s im i la r c hange s i n c l ima te o ccur red e a r l ie r i n t he P le i s tocene w i thou t a ny c u l tu ra l r e sponse ( Cohen 1 977 ) .

3 .

E a r ly a g r icu l ture d eve loped i ndependen t ly a t d if e ren t t imes a nd i n s eve ra l c l ima t i c a l ly d if eren t a rea s s o n os i ng le c hange i nc l ima te c ou ld h ave b een r e spons ib le ( H iggs a nd J a rman 1 972 ; B ende r 1 975 ) .

The p r ima ry p u rpo se o f t h is p aper i st o s how t ha t t hese o b jec t ions a re t o a g rea te r o r l e s ser d egree i n va l id , a nd t ha t c l ima t ic c hange d id p lay a n i mpor tan t c au sa l r o le i n t he t rans i t ion f o r h un t ing a nd g a the r ing t o a g r icu l tu re . Imus t empha s ize a t t he o u tse t , h oweve r , Iam n o t p ropo s ing a d e term in i st ic mode l . C l ima t ic c hange d id n o t i n i t se l ff o rce p eop le t o d omes t ica te p lan t s a nd a n ima ls . Wha t Iam p ropo s ing i st ha t c hanges i n c l ima te d u r ing t he l a te -P le i s tocene a nd e a r ly H o locene b rough t a bou t i mpo rtan t c hange s i n w i ld p lan t a nd a n ima l p opu la t ions a nd t ha t i n c er ta in k ey a rea s t h i s l e d t o i mpo rtan t c hange s i n h uman s ub s is tence a c t iv i tes . Iam a l so s ugges t ing t ha t i t wa s t he se n ew s ubs i s tence a c t iv i t ies t ha t e ven tua l ly l ed t o d ome st ica t ion a nd a gr icu l tu re . Th i s l a t ter t op ic i s , h owever , b eyond t he s cope o f t he p resen t p aper . H e re Io n ly c on s ider t he c hange s i n c l ima te t ha t s e t t he s tage f o r t he o r ig in s o fa gr icu l ture .

C ommon D enom ina t ion s I ti sn ow g enera l ly a ccep ted t ha t a g r icu l tu re d eve loped i ndependen t ly i n s evera l w ide ly s epa ra ted a rea s o f t he g lobe . I ti sa l so r e cogn ized t ha t t hese e a r ly c en ters w e re i n many w ays d if e ren t , b o th e nv ironmen ta l ly a nd c u l tu ra l ly . A l l o f t h i s h a s l ed mo s t s tuden ts o f t he a g r icu l tu ra l o r ig ins p rob lem t o r e jec t t he p oss ib i l i ty o f a ny g enera l ly a pp l icab le mode l o r t heory . The p o in t Iw an t t o empha s ize h e re i st ha t e ven t hough t he e a r ly c en ter s w ere i n many r e spec ts d if eren t t hey w e re a l so i n s o me r e spect s s im i la r . The se s im i la r i t ies , h e re c a l led " common d enom ina to r s" , a re p a r t icu la r ly i mpo r tan t i n t ha t t hey p rov ide c lues a s t o why p lan ts a nd a n ima ls w e re f i rs t d omes t ica ted . Th ree i n p a rt icu la r mer i t c l o se a t ten t ion : t he c h rono logy o f d ome s t ica t ion ; t he a u teco logy o f t he e a r l ies t d omes t ica tes ; a nd t he p re sen t c l ima te o f t he e a r ly c en ter s . C hrono logy P r io r t o t he l a te -n ine teen f o r t ie s v i rtua l ly n o th ing w a s k nown a bou t t he c h rono l ogy o fd omes t ica t ion a nd a l l d i scus s ion o f t he s ub jec t w a s o fn ece s s i ty v ery t heo re t ica l . S ince t hen n umerou s a rcheo log ica l p ro jec ts h ave f o cu s sed o n e a r ly a gr icu l tura l s i tes , b o th i n t he N ea r E a s t a nd e l sewhere , a nd a c on s iderab le b ody o f r e levan t e v idence h a s b een r e cove red . F igure 1p re sen ts r epor ted d a te s f o r e a r ly p lan t d ome s t ica t ion i nv a r iou s a rea s o ft he w o r ld a nd a l though t he i r r e l iab i l i ty i sc l ea r ly n o t u n iform t he o vera l l p a ttern i sp robab ly r ea sonab ly c o r rec t . The mo s t o bv ious a nd i mpo r tan t f ea tu re o f t he map i st ha t d u r ing a r e la t ive ly s hor t p er iod o f t ime ( 12 ,000 BP t o 8 , 000 BP ) s evera l d if e ren t k ind s o f p lan ts w ere d ome s t ica ted i nd if e ren t a rea s o ft he g lobe . T hese e a r ly d ome st ica t ion s w e re n ot l i tera l ly s ynch ronou s b u t when s e en a ga ins t t he l ong p er spect ive o fh uman p reh is tory t he t im ing o fe ven ts w a s r ema rkab ly c l ose . The c l o senes s o ft he c h rono log ica l c or re la t ion h a s b eco me i n crea s ing ly a ppa ren t i n r ecen t y ea r s f o r t wo ma in r ea son s . A rcheo log ica l w ork i n S ou th Ame r ica a nd i nA s ia h a s s hown t ha t p lan ts w ere d omes t ica ted t he re much e a r l ie r t han wa s f o rme r ly t hough t t o h ave b een t he c a se . A lso , r e cen t b o tan ica l r e sea rch o n t he e vo lu t iona ry h i s to ry o f c er ta in c rop p lan ts , a s f o r e xamp le Z ea mays s pp . mays , h a s s hown t ha t e a r l ie r e s t ima tes a s t o when d omes t ica t ion f i rs t o ccu r red h ave i ns o me c a ses b een t oo c onserva t ive ( Bead le 1 980 ; I l t i s 1 983 ) . The f undamen ta l i mpo r tance o ft he c hrono log ica l c o r re la t ion i st ha t i td emands a n e xp lana t ion . I fo ne e xc lude s t he u n l ike ly p o ss ib i l i ty t ha t i tr epre sen ts a me re c hance , o ne i sf o rced t o c onc lude t ha t s o me c ommon c au sa l f a cto r wa s i nvo lved . Th is p o in t h as b een mo s t f o rce fu l ly made b y C ohen ( 1977 ) , f o r whom t he c ommon c au sa l f a c to r wa s p opu la t ion p re ssu re . I n t h is p ape r Is ha l l a rgue t ha t c l ima t ic c hange wa s t he c o m mon c au sa l f ac to r a nd t ha t p opu la t ion p re s su re wa s o n ly o f s e conda ry i mpor tance . A u t eco logy o ft h e E ar l i es t P lan t Domes t i ca tes One o f t he mo s t s t r ik ing c ha rac te r i s t ics o f e a r ly a g r icu l tu re i st ha t s o many o f t he e a r ly d omes t ica tes w e re a nnua l s . Annua l s , o r t he rophytes a s t hey w ere c a l led b y Raunka ier , c omp le te t he ir l i f e c yc le i n l e s s t han a y ea r a nd i n s o d o ing a vo id c ond i t ions u n favorab le f o r g rowth . Annua l s a re p a r t icu la r ly c ommon i n d i s tu rbed h ab i ta ts where b a re s o i l s ur faces a re more o r l e s s r egu la r ly e xpo sed b y e i the r n a tura l o r c u l tu ra l d i s tu r b ance . Mos t w eeds a re a nnua ls a nd b y d ef in i t ion a re a dap ted t o c u l tu ra l d i s tu rbances . Annua l s a re a l so c ommon i n d eser t a rea s where t hey g erm ina te a f te r ap er iod o f r a in a nd c omp le te t he ir l i f e c yc le f r om s e ed t o s e ed i n a ma t te r o f w eeks .

S uch p lan ts a re

o f ten r e f e rred t o a s d eser t e phe mera l s . A t h i rd k ind o f e nv i ronmen t i n wh ich a nnua ls f o rm l o ca l ly i mpor tan t c omponen ts o f t he w i ld v ege ta t ion a re a rea s w i th a s ea sona l ly d ry c l ima te . I n Köppen t e rm ino logy s uch a rea s w ou ld i n c lude med i te rranean type ( Cs ) ,

2 2

s avanna type ( Aw ) a nd mon soona l ( Am ) c l ima te s . Mo s t o ft he e a r ly d omes t ica tes a ppea r t o h ave e vo lved f r om w i ld a nces tor s t ha t w e re a dap ted t o t hese s ea sona l ly -dry c l ima tes . A l though mo s t o ft he e a r l ies t p lan t d o me st ica te s w ere s e ed -bea r ing a nnua l s an umber o f p lan ts w i th s ub su r face s to rage o rgans w e re a l so d ome s t ica ted a t ar e la t ive ly e a r ly d a te . The se p lan ts a re c ha rac te r ized b y t h ickened r oo ts , t ube r s , o r b u lb s a nd i n mos t c a se s a re g eophyte s i n t he R aunke r ian s ys tem . Un fo r tuna te ly , g eophyte s a re r a re ly p re served i n a rch o log ica l c on tex ts a nd a s ar e su l t t he h i s to ry o f t he i r e a r ly d omes t ica t ion i sn o t a s w e l l k nown a s t ha t o ft he s e ed c rops . Wha t l i t t le e v idence t he re i si nd ica tes t ha t a t l ea s t s o me o f t he m w e re d omes t ica ted a t mo re o r l e s s t he s ame t ime a s t he e a r ly s e ed c rop s . S evera l a u tho rs h ave d rawn a t ten t ion t o t he w ays i n wh ich r oo t c rops d if er f r om s e ed c rops ( Sauer 1 952 ; H a r r is 1 977 ) . The f o rme r , f o r e xamp le , a re u sua l ly d ependen t u pon a sexua l r ep roduc t ion a nd a re p lan ted a s s l ip s o r c u t t ings whereas t he l a tter r ep ro d uce s exua l ly a nd a re p lan ted a s s eeds . Wha t i s mo re i mpo r tan t i n t he c on tex t o f t he p resen t p aper i st ha t t he d omes t ica ted a nnua l s a nd t he d ome s t ica ted g eophyte s a re b o th s im i la r i n sofa r a s t he ir l i f e c yc le s r ep resen t a dap ta t ions t o s ea sona l c l ima tes . The a nnua l a vo id s t he p er iod o fd rough t s t res s a s ad orman t s e ed ; t he g eophyte s tore s e ne rgy i n t he u nde rg round s to rage o rgan s o t ha t i tc an g row q u ick ly d u r ing t he s ho r t g row ing s ea son . T he P r esen t C l ima te o ft h e E ar ly C en ters An o bv iou s f i rs t q ue s t ion h e re i sh ow c an a ny d i scu s s ion o fp re sen t c l ima te h e lp u s u nder s tand wha t h appened 1 0 ,000 y ea r s a go? My a nswer i st ha t e ven t hough t he p re sen t c l ima te o f t he e a r ly c en te r s i sn o t e xact ly t he s ame a s t ha t o f 1 0 ,000 y ea r s a go t he p re sen t d oe s p rov ide a p a r t ia l k ey t o t he p a s t . The i mpo r tan t p o in t t o n o te h ere i s t ha t a l l o ft he e a r ly c en ter s a re l o ca ted i na rea s t ha t t oday h ave s t rong ly s ea sona l r a in fa l l r eg ime s . The N ea rE a s te rn c en te ri sd i s t inc t ive i nt ha t i th a s aMed i te r ranean -type c l ima te wh ich i sc ha rac te r ized b y w in te r r a in a nd s ummer d rough t . A l l t he o the r c en ter s h ave s ummer r a in a nd w in ter d rough t . They a re mon soona l ( Am ) o r s avanna type c l ima tes ( Aw ) i n t he Köppean s en se . I n t he Ande s a nd n or thern Ch ina , t here i sa l so a ma rked s easona l r ange i n t empe ra tu re . H oweve r , a s Iw i l l s ugge s t l a te r , s ea sona l i ty o f r a in fa l l wa s p robab ly mo re i mpo r tan t a sf a r a s t he i n i t ia l d ome s t ica t ion o fp lan ts w a s c once rned . I n s umma ry t hree i mpo r tan t c onc lu s ions c an b e d rawn f r om t h i s p re l im ina ry d i scu s s ion : 1 .

Du r ing t he p e r iod 1 2 ,000 t o 8 , 000 BP s evera l s pec ie s o fp lan ts w e re d omes t ica ted i n w ide ly s epa ra ted a rea s o ft he g l obe .

2 .

Mo s t o f t hese e a r ly d ome s t ica tes w ere a nnua ls o r g eophytes a nd w e re a dap ted t o s ea sona l r a in fa l l r eg imes .

3 .

The e a r ly a g r icu l tu ra l c en te rs w e re a l l l o ca ted i n a rea s t ha t t oday a re c ha racte r ized b y s t rong ly s ea sona l r a in fa l l r eg ime s . N one o f t hese c onc lu s ion s i sn ew o r c on trover s ia l . Wha t Iw ou ld s ugge s t h e re ,

h oweve r , i st ha t t he i r r e levance t o t he a gr icu l tu ra l o r ig ins p rob lems h a s b een o ve r looked . I th a s b een o ve r looked b ecause o fs eve ra l w ide ly h e ld m i sconcep t ions a s t o t he n a tu re o f l a te -P le is tocene/ea r ly -Ho locene c l ima t ic c hange . One i mpo r tan tm i sconcep t ion i st ha ts ea sona l ly w e ta nd d ry c l ima tes h ave a lways b een p a r t o f t he g l oba l p a t tern . The l o ca t ion o f t hese " c l ima t ic t ypes " i sa s sumed t o h ave c hanged d u r ing g lac ia l/ in te rg lac ia l c yc les b u t t he i r c on t inued e x is tence h a s n ever b een q ue st ioned . The a l te rna t ive v i ewpo in t Iam p re sen t ing h e re i st ha t s ea sona l r a in fa l l r eg ime s , s uch a s n ow c ha ra c te r ize Med i te rranean a nd mon soona l -type c l ima te s , o n ly d eve loped d ur ing t he l a te -P le is tocene a nd e a r ly -Ho locene . S im i la r c l ima t ic c ond i t ion s

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may h ave e x i s ted d ur ing e a r l ie r i n terg lac ia ls , a s f o r e xamp le 1 30 ,000 BP t o 1 20 ,000 BP , b u t t hey d id n o t e x i s t d u r ing t he i n terven ing g lac ia l e p i sode s . On t h e Na tur e o fL a te -P le i s tocene/Ear ly -H o loc ene C l ima t i c C hange Mos t o f t he r e sea rch d ea l ing w i th t he c l ima t ic h i s tory o f t he e a r ly c en ter s o f a gr icu ltu re h a s f ocus sed o n p roxy r e co rd s f r om t he c en te r s t he m se lve s . Th is r eg iona l a pp roach h a s p roduced much o fi n teres t b u t i th a s n o t p rov ided a ny c onv inc ing a nswe rs t o t he q ues t ion a s t o why p lan ts a nd a n ima ls w e re d omes t ica ted i nt he f i r s t p la ce . Wha t Iam s ugges t ing h e re i st ha t i n so fa ra s t he a g r icu l tura lo r ig ins p rob lem i s ag loba lp rob lem a ny e xp lana tory mode l mu s t a l so b e g l oba l i n s cope . T en y ea rs a go t he g l oba l p a t te rn o f l a te -P le is tocene/ea r ly -Ho locene c l i ma t ic c hange wa s f a r f r om b e ing w e l l u nde rs tood . N ow t hanks t o t he w o rk o f t he CL I MA .P g roup a nd o the r s w e h ave af a i r ly d e ta i led r e cord ( CLE V IAP 1 976 ) . We a l so h ave ab e tter u nder stand ing o f why a nd h ow t hese c hange s o ccur red . F o r e xamp le , i ti sn ow g enera l ly a ccep ted t ha t p r ima ry c l ima t ic c on tro l r e spon s ib le f o r t he g lac ia l in terg lac ia l c yc les i s t he c hange i n i n so la t ion t ha t r e su l ts f r om c hange s i n e a r th/sun r e la t ionsh ip s . I n o ther w o rds , M i lankov ich 's a stronom ica l t heo ry o f c l ima t ic c hange h as b een c onf i rmed ( Hays e ta l . 1 976 ) . Mi lankov ich C onf i rmed M i lankov ich p o s tu la ted t ha t t he g lac ia l/ in te rg la c ia l c yc les o f t he Qua terna ry w e re t he r e su l t o f c hange s i n e a r th/sun r e la t ionsh ip s . T h ree v a r iab le c ond i t ion s w ere i nvo lved : t he t i l t o ft he e a r th 's a x is , t he e ccen tr ic i ty o ft he e a r th 's o rb i t a round t he s un , a nd p reces s ion e f ect wh ich c hange s t he t im ing o f t he a phe l ion a nd p er ihe l ion . B ecau se t hese v ar iab le c ond i t ion s c hange a t ak nown r a te M i lankov ich w as a b le t o c a lcu la te t he i r c o mb ined e f ec t i n t e rms o f c hange s i n i n so la t ion r ece ived a t d if eren t l a t i tude s f o r t he p a s t m i l l ion y ea r s . I n b r ief , t he t heo ry s ta tes t ha t c on t inen ta l i c e s hee ts c an o n ly b eg in t o f o rm i n h igh l a t i tude s when s ummer s a re c oo ler t han a ve rage a nd w in te r s a re w a rmer t han a ve rage ; t he a ssump t ion h e re b e ing t ha t c oo ls umme rs a re n eeded i fs now i st oa ccumu la te o n t he g round a nd f o rm i c e , a nd t ha t w a rm w in ter s w i l l m ean mo re s to rms a nd mo re p rec ip i ta t ion i n t he f o rm o f s now a t h igh l a t i tude s . C onve rse ly , i ti sp o s tu la ted t ha t i c e s hee ts w i l l b eg in t o me l t when s ummer s a re w a rmer a nd w in te rs c o lde r , b ecau se t he w in ter 's s now fa l l w i l l n o t s u rv ive t he s ummer t o f o rm i c e a nd t he c oo ler w in te r w i l l mean f ewer s to rm s a nd l e s s p rec ip i ta t ion . T he i mpo r tan t p o in t i n t he c on tex t o f t he p resen t p aper i st ha t i n c rea sed s ea sona l i ty o fr ad ia t ion l e ad s t o t he m e l t ing o ft he c on t inen ta l i c e s hee ts . The s t r ik ing c or re la t ion b e tween i c e v o lume a nd s o la r r ad ia t ions i s s hown i n F igu re 2 wh ich i sf r om a p aper b y Rudd iman a nd Mac In tyre ( 1981 ) . D eg lac ia t ions a re a s soc ia ted w i th wa rm s umme r s a nd c o ld w in te r s , whe rea s i c e a ccumu la t ion e p i sodes a re a ssoc ia ted w i th c o ld s ummer s a nd w a rm w in te r s . N o te e spec ia l ly t he r e co rd f o r t he p a s t 2 0 ,000 y ea r s . A t a bou t 2 0 ,000 BP t he i n s o la t ion v a lue s c hange f r om ac o ld s ummer/wa rm w in ter p a t te rn t o aw a rm s ummer/co ld w in ter p a t tern . Th is ma rks t he b eg inn ing o f t he l a s t d eg lac ia t ion . F o r t he n ext 1 0 ,000 y ea rs t he s easona l c on tra s t i ni n so la t ion i n crea se s u n t i l i tr ea che s a max imum a t a round 1 0 ,000 BP a f te r wh ich i td ec l ine s t oward s t he p resen t . The 1 0 ,000 BP s ea sona l i ty max imum i ss u sp ic iou s ly c l ose t o t he d a tes f o r t he f i rs t a ppea rance o f d omes t ica tes b u t t he q ues t ion r ema in s a s t o h ow z ona l c hanges i n r ad ia t ion c ou ld c r ea te c ond i t ion s f avo rab le f o r d omes t ica t ion i n l o ca l ized a rea s .

2 4

A s wa s empha s ized e a r l ier , t he e a r ly c en ters o f a gr icu l ture a re t oday c ha racter i z ed b y s t rong ly s ea sona l r a in fa l l r eg i mes . The more a ppropr ia te q ues t ion t hen i n t h is c on tex t i sh ow d id i n crea sed s ea sona l i ty o fr ad ia t ion l e ad t o i n crea sed s ea sona l i ty o fr a in f a l l? Th i s q ues t ion i s ac omp l ica ted o ne a nd i sb es t d ea l t w i th i n t wo p a r ts . F i rst , Iw i l l c ons ider t he s i tua t ion i n t he N ea r E as t , a nd t hen s econd ly t he s i tua t ion i n t he o ther e a r ly c en ters . I ncr eased S easona l i ty i n t h e N ear E as t A ccord ing t o t he " dess ica t ion h ypo the s is" t he me lt ing o ft he F ennoscand ian i c e s hee t l ed t o an orthward movemen t o f t he J e t S tream a nd f ewer w in ter s to rm s i n t he N ea r E a s t .

F os s i l e v idence f r om t he N or th A t lan t ic n ow i nd ica tes t ha t wha t a c tua l ly

h appened wa s v ery d if eren t . A ccord ing t o Rudd iman a nd MacIn tyre ( 1981 ) a n i mpor tan t d eve lop men t i n t he N or th A t lan t ic d ur ing t he p er iod 1 6 ,000 t o 1 3 ,000 y ea rs BP wa s t he f o r ma t ion o f a n e xten s ive s ur face l a yer o f b rack ish wa ter d er ived f r om t he me lt ing i c e s heets . E ven t hough t he l a yer wa s n o t v ery t h ick i th ad a v ery i mpor tan t e f ect o n c l ima te . B ecause o f i t sl ower d ens i ty t he me ltwa ter f o rmed as urface l a yer a nd i nhab ited m ix ing wh ich i nt urn mean t t ha t p ene tra t ion o fh ea t d u r ing t he s ummer was r e str ic ted . Converse ly , t he s a me h ea t wa s q u ick ly l o st i nt he f a l l a nd w in ter . L ow w in ter t empera tures , i np a r t a l so d ue t o l ower i n so la t ion , p er m i tted t he f o rma t ion o f e x tens ive s ea i c e a s f a r s ou th a s 4 5 d egrees n o rth . Th is w ou ld h ave s i gn if ican t ly r educed s torm a c t iv i ty a nd p rec ip ita t ion o ver t he i c e s hee ts b u t a t t he s ame t ime w ou ld h ave i n creased p rec ip ita t ion t o t he s outh .

On

Rudd iman a nd MacIn tyre 's map o ft he d eg lac ia t ion p ha se t he s torm t rack i si nd ica ted a s h ead ing d i rect ly t owa rds t he Med iter ranean . I n c on tra s t , o n t he ir map o f t he i c e b u i ld u p p ha se i tf o l lows t he e a s t c oa st o f Nor th Amer ica . Hydro log ica l c ond it ions i n t he e a s tern Med i terranean w ere a l so v ery d if eren t d ur ing t he l a te -P le is tocene a nd e a r ly Ho locene .

A ccord ing t o Ross igno l -Str ick e t a l .

( 1982 ) , i n crea sed r un o f f r om t he N i le d ur ing t he p er iod 1 2 ,500 BP t h rough 8 , 000 BP a l so l ed t o t he d eve lopmen t o f ab rack ish -wa ter l a yer a t t he s urface . Wha t a re t he i mp l ica t ions o fa l l t h is f o r l a te -P le is tocene/ea r ly -Ho locene c l ima t ic c hange i n t he N ea r E a st?

One r ea sonab le a ssump t ion w ou ld s ee m t o b e t ha t at r end

t owa rd s wa rmer s um mers b egan a round 2 0 ,000 BP a nd c on t inued t o t he e a r ly Ho lo c ene d ur ing wh ich t ime s ummers may h ave b een e ven wa rmer t han a t p resen t .

One

m igh t a l so a ssume t ha t t h is s ea son w ou ld h ave b een d ry b ecau se o f s t rong s ubs idence i n t he s ub trop ica l h igh p re ssure c e l l . mean t i n crea sed e vapora t ion r a tes .

A lso , h igher s ummer t e mpera tu res w ou ld h ave Win ter c ond i t ions a re more d if icu l t t o e s t ima te

a s f a r a s t e mpera tu re i s c oncerned b ecau se e ven t hough i n so la t ion d ecrea sed d u r ing t h is t ime p er iod more f r equen t p assage o fc yc lon ic s tor m s c ou ld h ave k ep t t empera tures r e la t ive ly h igh . The most i mpor tan t c hange d u r ing t he w in ter wou ld h ave b een t he more f r equen t s tor m s a nd a c orrespond ing i n crea se i n p rec ip ita t ion .

I n g enera l t he p er iod

w ou ld h ave b een c ha racter ized b y i n crea sed s ea sona l i ty o f t e mpera tu re , more i n ten se s ummer d rough t , a nd h igher r a infa l l i n w in ter . I ncr eased S easona l i ty i n t h e T rop i cs Un l ike t he N ea r E a s t a l l t he o ther e a r ly c en ters o fa g r icu lture a re l o ca ted i na rea s t ha t t oday a re c ha racter ized b y s u mmer r a in a nd w in ter d rough t . The k ey q uest ion h ere t hen i s whether o r n o t t he d eve lopmen t o f t he s u mmer r a infa l l r eg i me wa s a l so a l a te P le is tocene/ea r ly -Ho locene p henomenon . A t f i rs t g lance i tm igh t s ee m u n l ike ly t ha t t he s ame k ind s o f c hanges p ostu la ted a bove f o r t he N ea r Ea s t c ou ld a l so h ave o ccurred i n t he t r op ics a nd s ub -trop ics . I n a c tua l f a c t , h owever , t here i sg ood e v idence t ha t s im i la r

2 5

c hanges d id i ndeed o ccur a nd t ha t , f u r thermore , t hey o ccurred a t more o r l e ss t he s a me t ime . The c ase f o r i n crea sed s ea sona l i ty o f s ummer r a in fa l l i si n f a ct a n e x tens ion o f t he M i lankov ich Ef ec t d i scussed a bove .

The s a me i n crease i n s ummer r ad ia t ion t ha t

b rough t a bout t he me l t ing o ft he L auren t ide a nd S cand inav ian i c e s hee ts w as r e spons ib le f o r a n i n ten s if ied s um mer monsoon . Ku tzbach a nd O tto -B l iesner ( 1982 ) r an ag enera lc i r c u la t ion mode l t ha t i n corpora ted t he s u mmer r ad ia t ion i n crea se a nd c onc luded t ha t t he s t rengh tened mon soona l c i rcu la t ion w ou ld h ave mean t p rec ip i ta t ion i n crea ses o fb e tween 1 5 a n 2 6 p ercen t o ver a l a rge a rea o f n or thern A f r ica a nd A s ia .

Unfor tuna te ly , No r th

Amer ica wa s n or i nc luded i nt he i r r e cons truc t ion a nd e s t ima tes o fi nc rea sed p rec ip i ta t ion f o r Mesoamer ica a re t herefore n ot a va i lab le . However , i ts e em s r ea sonab le t oa ssume t ha t s im i lar c hanges o ccurred t here a l though p erhap s o n as o mewha t l e sser s ca le . Ano ther l im ita t ion o ft he mode l i st ha t i td oes n o t t ake i n to a ccoun t s ea s urface t empera tures , t he a ssumpt ion h e re b e ing t ha t s ea s urface t e mpera tu res w ou ld n o t b e c hanged b y s ea sona l c hanges i n r ad ia t ion r e ce ip t t ha t d id n o t i nvo lve a n et a nnua l i ncrea se o r d ecrea se . On t h is l a t ter p o in t , i ti si n teres t ing t o n o te t ha t J ones a nd Rudd iman ( 1982 ) h ave p ostu la ted t ha t i ncrea sed s ummer r a in fa l l d ur ing t he e a r ly H o locene w ou ld h ave l e d t o t he d eve lopmen t o f e xtens ive a rea s o fb rack i sh s u rface wa ter i n t hose a rea s o f t he t r op ica l o ceans i nf luenced b y l a rge r i ver s ys tems . A s i n t he c a se o f t he Nor th A t lan t ic , t hese b rack ish l a yers w ou ld h ave a ccen tua ted t he s ea sona l i ty t ha t h ad b rough t a bou t t he ir e x is tence i n t he f i rs t p lace .

A l l o f t h is d oes n ot i nva l ida te t he Kutzbach/Ot to—

B l iesner mode l b u t r a ther s uggests t ha t t he e s t ima tes o f s um mer r a infa l l a re p robab ly c onserva t ive , a t l ea st f o r t hose c on t inen ta l a rea s d ownw ind o f t he b rack ish l a ye rs . S easona l C l ima tes w i thou t E ar ly A gr icu l ture One i n teres t ing f ea tu re o f t he g eography o f e a r ly a gr icu l tu re i st ha t t he N ea r E a s t wa s t he o n ly a rea o f Med i terranean -type c l ima te i n wh ich p lan ts w ere d ome st ica ted a t a n e a r ly d a te . The o ther a rea s o f w in ter -ra in c l ima te , s uch a s s ou thwes t Aus tra l ia , s outhernmos t S ou th A f r ica , c en tra l Ch i le , C a l iforn ia , a nd t he w es tern Med i terranean , h ave p roduced n o e v idence o fe a r ly a gr icu lture . These h ave o f ten b een c i ted a s e v idence t ha t c l ima t ic c hange c ou ld n ot h ave b een a n i mportan t c au sa l f a ctor i n t he t ran s it ion t o a gr icu l tu re ( Ca r ter 1 977 ) . H owever , t h is a rgu men t i si nva l id i n sofa r a s i tu nderes t ima tes t he d i s t inct iveness o f N ea r E a stern c l ima te a nd c l ima t ic h i story . A s wa s men t ioned e a r l ier , s ea sona l i ty w ou ld h ave b een i n tens if i ed i n t he N ea r E a s t d ur ing t he l a te -P le is tocene a nd e a r ly -Ho locene b ecause o f t herma l s t ra t if i ca t ion i n b o th t he Nor th A t lan t ic a nd t he Med i terranean . S ea sona l i ty w ou ld h ave b een l e s s ma rked i nt he o ther w in ter -ra in a rea s wh ich a re a l ll o ca ted n ext t ol a rge , c l ima t ica l ly -con serva t ive o ceans i n wh ich me l twa ter e f ects w ere n o t i mpor tan t . E ven t oday , s ea sona l i ty o fr a infa l l a nd t empera ture i s more e xtre me i n t he N ea r E as t t han i n t he o ther a rea s o f Med i ter r anean c l ima te . I n t he N ea r E a s t mos t o f t he r a in fa l l o ccurs i n ap er iod o f o n ly t hree mon th s . A lso , t he s umme rs a re c ha rac ter ized b y h igh t empera tures a nd l ow h um id i t i es , wh ich t oge ther c omb ine t o c ause e x tre me mo isture s t ress . The s ever i ty o fs ummer d rough t i sp a rt ly a ttr ibutab le t o t he p er s is tence o ft he s ub trop ica l h igh p ressure c e l l a nd a l so t o t he l a rge e x ten t o fd ese rt i n a d jacen t a rea s . I n t he s ummer r a in a rea s as im i la r p a ttern o f e a r ly c en ters a nd s ea sona l " non c en ters" i se v iden t , b ut i n t h is c a se t he c on tra s t i sa n h em ispher ic o ne . A lmost a l l o f t he s um mer r a in c en ters a re l o ca ted i n t he N o rthern H em isphere : Mesoamer ica , n o rth e rn I nd ia , S ou thea st A s ia , n or thern Ch ina , a nd s outhern Ch ina . On ly t wo a re l o ca ted s outh o ft he e qua tor : t he e a stern Andes , a nd N ew Gu inea . There a re e xten s ive a rea s o f s ummer r a in c l i mate i n Aus tra l ia , s outhern A f r ica , a nd e a stern S ou th Amer ica , b u t a s y e t t hey h ave n ot p roduced a ny e v idence o fe a r ly a gr icu lture .

2 6

A mos t i mpor tan t p o in t t o n o te h ere i st ha t t he M i lankov ich e f ec t o pera ted d if eren t ly i n t he t wo h em i sphe re s . Dur ing t he l a te -P le is tocene a nd e a r ly -Ho locene , s ea s ona l i ty o f r ad ia t ion w a s a t a max imum i n t he n or thern h em i sphe re , whe rea s i n t he s ou thern h em isphere i t wa s a t am in imum . Th i s w as p r ima r i ly d ue t o t he p reces s ion e f ec t , t ha t i st he c hang ing d a te o f t he p e r ihe l ion . A t 9 , 000 BP t he e a r th wa s c l o ses t t o t he s un i n J u ly ; a t p re sen t t he p er ihe l ion d a te i si n J anua ry . A s umme r p e r ihe l ion i n crea se s s ea sona l i ty o f r ad ia t ion , whereas aw in te r p e r ihe l ion r educes i t . A l so , i mpor tan t i n t h i s c on tex t i st he f a c t t ha t s ea sona l i ty o f t empera tu re i n t h e s ou the rn h em i sphere i sr educed r e la t ive t o t he n o rthern h em i sphe re b ecause o f t he modera t ing i nf luence o f t he o ceans . A s f a r a s p rec ip i ta t ion i sc oncerned , t he s ea sona l m igra t ion o f t he g enera l c i rcu la t ion d oes r e su l t i n a rea s w i th s ummer r a in a nd w in ter d rough t , b u t t here i sn o w e l l d eve loped mon soona l c i rcu la t ion . The o n ly e xcep t ion w ou ld b e i nt he E a s t I nd ies a nd n o r the rn Aus tra l ia , a nd h ere t he mon soon i ss t rong ly i nf luenced b y n or thern h em i sphe re d eve lopmen ts a nyway . I ncr eased V ar iab i l i ty o f C l ima te I ncrea sed s ea sona l i ty o f c l ima te w a s p robab ly n o t t he o n ly a spect o f l a te -P le is t ocene/ea r ly H o locene c l ima t ic c hange t ha t w a s i nvo lved i n t he o r ig ins o f a g r icu l tu re . I ncrea sed s hort -te rm v a r iab i l i ty c ou ld a l so h ave b een a f a c to r , e spec ia l ly o n t he i n tra s easona l a nd i n te r -sea sona l t ime s ca les . Iu se t he q ua l if i er " cou ld" b ecau se t he e v idence f o ri nc rea sed v a r iab i l i ty i sn o t a sg ood a s t he e v idence f o r i n c rea sed s ea sona l i ty . However , o n t heo re t ica l g rounds t o a s sume t ha t s uch a c hange o ccu r red i sp er f ec t ly r ea sonab le , e spec ia l ly f o r t he n o rthern h em isphere . The b a s ic p o in t h ere i st ha t d ur ing t he f u l l -g lac ia l , t he L au ren t ide a nd S cand ina v ian i c e s hee ts w ou ld h ave h ad i mpo r tan t s tab i l iz ing i nf luence o n t he w e s ter ly c i rcu la t ion i n t he m id la t i tudes o f t he n o r thern h em i sphe re , a nd p erhap s a l so o n t he H ad ley c i rcu l a t ion a s w e l l . The t herma l c on t ra s t b e tween t he i c e s hee ts a nd t he u ng lac ia ted a rea s t o t he s ou th w ou ld h ave c au sed t he m id la t i tude J e t S tream a nd i t s a s soc ia ted c yc lon ic d i s tu rbance t o f o l low a more o r l e ss p red ic tab le p a th . A lso , t here w ou ld h ave b een r e la t i ve ly l i t t le v a r ia t ion i n t he l ong i tud ina l p o s i t ion t he t roughs a nd r i dge s i n t he u pper a i r w e ster l ie s . A st he c on t inen ta li c es hee ts me l ted i nt he n o r thern h em i sphe re t he i rc onserva t ive i nf luence o n t he g enera l c i rcu la t ion w ou ld h ave p rog res s ive ly d im in ished a nd t h is i n t u rn w ou ld h ave i n crea sed t he v a r iab i l i ty o f w ea the r a nd c l ima te a t t he s u r face . A t p resen t , f o r e xamp le , t here i sc on s iderab le v a r iab i l i ty i n m id la t i tude c l ima te b o th o n i n tra -sea sona l a nd i n ter -sea sona l t ime s ca le s . Much o ft h i s v a r iab i l i ty r ef l ec ts c hange s i n t he a r rangemen t o f t he c i rcumpo la r v o rtex wh ich i n t urn may b e c aused b y r e la t ive ly s hor t t e rm c hanges i n t he s u r face t empe ra ture o ft he o ceans . Th is d i scus s ion o fi n crea sed v a r iab i l i ty h a s b een r e s tr icted t o t he n o r thern h em i s phere b ecau se t he re wa s n o e qu iva len t e f ec t i n t he s ou thern h em isphere . The An ta r t ic i c e s hee t d id me l t b ack t o s o me e x ten t d ur ing t he l a s t d eg lac ia t ion , b u t c hange wa s m in ima l c ompa red w i th wha t h appened i n t he n or thern h em i sphe re . S ome B io log i ca l C on sequenc es o fL a te -P le i s tocene/Ear ly -H o loc ene C l ima t i c C hange I n 1 977 Wr igh t r ev iewed t he e v idence f o r ap os s ib le c onnec t ion b e tween c l ima t ic c hange a nd t he o r ig ins o f a g r icu l ture a nd c onc luded t ha t a l though c l ima t ic c hange may h ave b een i mpor tan t i nt he N ea r E a s t t here w a s n o e v idence o fa ny s im i la r d eve lopmen ts i nt he o ther e a r ly c en ters (W r igh t 1 977 ) . I ts hou ld b e empha s ized , h owever , t ha t Wr igh t a s sumed t ha t a g r icu l tu re d eve loped much l a ter i nt he N ew Wor ld t han i nt he O ld Wo r ld , a nd n o t s u rp r is ing ly t he refo re h e w a s u nab le t o i d en t i fy a ny c ommon c ausa l f ac to r s . H e

2 7

d id , h owever , c onc lude t ha t c l i ma t ic a nd v egeta t iona l c hanges a t t he e nd o ft he P le i sto c ene w ere j us t a s p ronounced i n t he N ew Wor ld a s i n t he O ld Wor ld . Wha t Iwan t t or ev iew b r ief ly i nt he r e st o ft h is p aper a re s o me o ft he p oss ib le b io l og ica l c onsequences o fi n creased s ea sona l ity d ur ing t he P le is tocene/Ho locene t rans i t ion . C hanges i n W i ld P lan t P opu la t ions I n g enera l , t he l a ck o ff o ss i l e v idence f o r morpho log ica l c hanges i n p lan ts d u r ing t he l a te -P le is tocene a nd e a r ly -Ho locene h a s l e d p a leobotan ists a nd o thers t o c onc lude t ha t m igra t ion r a ther t han e vo lut ion wa s t he more i mpor tan t s t ra tegy . Adm i tted ly , t h is p robab ly wa s t he c ase f o r woody p lan ts ; h owever , f o r h erbaceou s t axa e vo lu t iona ry c hanges may h ave b een i mportan t . Two a dap ta t ions t ha t c ou ld h ave o ccurred a re : 1 )

An i ncrea se i n a nnua ls ,

2 )

An i ncrea se i n g eophytes . The i d ea t ha t c l ima t ic c hanges a t t he e nd o ft he P le istocene p rovoked t he e vo lu -

t i on o fa nnua l s w as f i rs t p roposed b y Whyte ( 1977 ) . Whyte 's t hes is i sb a s ica l ly s im i la r t o t he o ne p resen ted h ere . I td if ers , h owever , i n t ha t i t empha s izes i ncrea sed a r id i ty r a ther t han s ea sona l i ty , a nd a l so i n t hat i td ea ls o n ly w ith A s ia . An i n crea se i nt he s ea sona l ity o fr a infa l lw ou ld i n crea se t he i mportance o fa nnua ls i n t wo ways . P erenn ia ls w ou ld b e a t ad i sadvan tage i n t he n ew ly s ea sona l c l ima te a nd t here wou ld b e s e lec t ion f o r t he a b i l ity t o a dop t t he a nnua l h ab i t . A l so , a ny a nnua ls t ha t h ad b een p resen t p r ior t o t he c hange i n c l ima te w ou ld n ow h ave ac ompe t it ive a dvan tage a nd t herefore b ecome more i mpor tan t . Ar e la ted b u t more c omp lex r e spon se t o i ncrea sed s ea sona l ity may h ave b een a n i n crea se i ns e ed s i ze i na nnua ls . Obv iou s ly c l ima te i sn o t t he o n ly d e ter m inan t o fs e ed s i ze a nd many o ther f a c tors a re l i ke ly t ob e i nvo lved , s uch a s p reda t ion , c ompe t i t ion , d i spersa l s t ra tegy , e dap t ic c ond i t ions , e t c . E ven s o t here i ss o me e v idence t ha t i ncrea sed d rough t s t ress i sp os it ive ly a ssoc ia ted w i th s e ed s i ze ( Baker 1 972 ) , a nd i ts ee ms r ea sonab le t o c onc lude t he refore t ha t ac hange i n c l ima te i nvo lv ing d r ier s ummers , o r w in ters , c ou ld p rovoke t he e vo lu t ion o fl a rge s eedednes s . A s econd e vo lu t iona ry d eve lopmen t i n a reas t ha t w ere b eco m ing more s easona l c ou ld h ave b een a n i n crea se i n t he i mpor tance o f g eophytes .

Geophytes a re o f ten d e -

s c r ibed a s p lan ts wh ich s tore c a rbohyd ra tes i n o rder t o s urv ive t he d ry s ea son .

Th is

i sn o t s t r ic t ly c orrec t , h owever , b ecause t he more i mpo rtan t f unct ion o f t he s tored c a r b ohydra te i st o p erm i t r ap id g row th when f avorab le c ond it ion s r e tu rn . Th is g i ves t he g eophyte ac ompet it ive a dvan tage o ver p lan ts t ha t h ave t o g erm ina te s eed a nd p u t d own r oo t s yste m s . C hanges i n W i ld An ima l P opu la t ions The i d ea t ha t i nc rea sed s ea sona l ity o fc l i ma te wa s r e spon s ib le f o r t he e xt inc t ion o f t he P le is tocene mega fauna h a s b een i n crea s ing ly p opu la r i n r ecen t y ea rs ( Axe lrod 1 967 ; S laugh ter 1 967 ; Gu thr ie 1 984 ) . N eed less t o s ay Ia l so f i nd i tc onv inc ing . Iam a l so a wa re , h owever , o f t he a rgu men t t ha t f auna l c hanges i n t he e a r ly a gr icu l tura l c en ters w ere n ot i mportan t e nough t o p rov ide a s t rong c ase f o r a ny c l i ma t ic e f ect .

Iw ou ld

s uggest , h owever , t ha t t h is i n terpreta t ion o ver looks c er ta in a spects o f t he f auna l r e cord . T ime a nd s pace l im ita t ions p reven t ad eta i led d i scu ss ion o ft h is t he me h ere , b u t Iwou ld l i ke t o d raw a t ten t ion t o o ne a spect o f t he p rob lem , n ame ly t he c onsequences o f i n crea sed s easona l ity f o r g raz ing a n ima ls . A s Gu thr ie ( 1984 ) h as p o in ted o u t , c aeca l id g razers , s uch a s c er ta in e qu ids a nd g ompho theres , w ere p a r t icu lar ly h a rd h i t b y t he e nv iron men ta l c hanges o ft he l a te -P le is tocene/ea r ly -Ho locene . Th i s wa s c er ta in ly t rue i n s evera l o ft he e a r ly a gr icu ltura l c en ters .

2 8

Caeca l ids , u n l ike t he r um inan ts , h ave d iges t ive s ys te ms t ha t a re d es igned t o p ro c e ss l a rge v o lumes o fl ow q ua l ity f o rage . I ts ee m s r ea sonab le t o c onc lude , t herefore , t ha t t hey e vo lved i n e nv i ronmen ts where p erenn ia l g ra sses a nd f o rbs w ere a lways a va i lab le . S uch a n ima ls w ou ld b e e spec ia l ly v u lnerab le t o a ny c hange i n c l ima te t ha t r educed t he i mpor tance o f p erenn ia ls a nd i ncrea sed t he i mpor tance o f a nnua ls . I n s o me a rea s , s uch a s E a s t A f r ica , t he s ea sona l ity p rob lem c ou ld b e a vo ided b y l a t i tud ina l m igra t ion .

I n

o ther a rea s , s uch a s t he N ea r E a st , a l t itud ina l m igra t ion w ou ld b e t he o n ly o p t ion ; a nd i n t h is c a se , t he a va i lab i ty o fs u mmer p a s ture w ou ld b e a n i mportan t c ons tra in t . I ti st emp t ing t oc onc lude , t herefore , t ha t t he d em ise o ft he c aeca l id g razers , s uch a s h orses a nd mammoths , l e d t o ar educt ion i n g raz ing p res sure o n t he n ew ly e vo lv ing a nnua ls .

F ur thermore , i ft h is wa s t he c a se , i tc ou ld h ave l ed t o t he d eve lopmen t o f

monospec if i c s tands o f w i ld c erea ls , s uch a s c ha racter ize c erta in u ngraz ed a reas o f t he N ea r E a s t t oday ( Zoha ry 1 969 ) . A s i sw e l l k nown i ne co logy , r educed p reda t ion t yp ica l ly l e ad s t o ar educt ion i n s pec ies d ivers i ty ( Kreb s 1 972 ) .

I mus t a cknow ledge t ha t my

a wa reness o ft he p o ten t ia l s i gn if i cance o ft h is p o in t h a s c ome f r om d i scuss ion s w ith M .A . B lum ler o f t he U .C . B erke ley G eography D epa r t men t . C onc lus ion I nc onc lus ion l e t me f i rs t r e i tera te t he p o in t t ha t Imade a tt he b eg inn ing ; n ame ly , t ha t Id id n ot i n tend t o d ea l w i th t he o r ig ins o fa gr icu lture p er s e . Wha t Ih ave t r ied t o d o i st o s how h ow l a te -P le is tocene/ea r ly -Ho locene c l ima t ic c hange c ou ld h ave l e d t o a n i n crea sed r e l iance o n w i ld p lan t f oods . More s pec if i ca l ly , Ih ave a rgued t ha t , i n c erta in k ey a rea s , i ncrea sed s ea sona l ity o fr a in fa l l w ou ld h ave p rovoked t he e vo lut ion o fa nnua ls a nd g eophytes . F u rther more , t he e vo lut ion o ft hese p lan ts wou ld h ave made p oss ib le t he d eve lop men t o fe s sen t ia l ly n ew s ubs is tence s t ra teg ies . F ina l ly , l e t me a ga in r e f er t o Gordon Ch i lde 's i d ea s o n t he o r ig ins o fa gr icu ltu re . I ti st rue t ha t t he d ess ica t ion h ypo thes i s h a s n ot b een s upported b y more r ecen t e v idence , a nd i n t h is s ense Ch i lde wa s w rong . On t he o the r h and , Iw ou ld a rgue , t ha t h e wa s r i gh t i n so fa r a s h e r e cogn ized a c ausa l c onnect ion b etween d eg lac ia t ion a nd t o u se h i s o wn w ords " the . r evo lu t ion t ha t t ransformed h uman e conomy a nd g ave man c on tro l o ver h i s o wn f ood s ypp ly” ( Ch i lde 1 951) .

2 9

CC

T he G loba l P atte rn o f

0

0

0

0

0

0

0

0

—
0 .25 m m —0 , < 0 .25 m m —1 . 3 . S u lcus : p re sen t —0 , a bsen t —1 . 4 . G lu mes : s of t —0 , i ndura te —1 . 5 . V est ig ia l ma le p ar ts i n f e r t i le f l ore t : p resen t —0 , a bsen t —1 . 6 . Rach i s : f l ex ib le —0 , s t if f —1 .

A cknow ledgemen ts Th is r e sea rch wa s s upported b y NSF g ran t DEB 8 0 -22772 a nd b y t he P ioneer H iBred I n t e rna t iona l I nc . Edga r Anderson F e l lowsh ip , b o th a wa rded t o H . I l t is . Th is r e sea rch wa s c onducted u nder t he s uperv is ion o f H . I l t is . T rave l s uppo rt t o p a r t ic ipa te i n t he Ch i lde C o l loqu ium wa s p rov ided b y t he Un ivers i ty o f Wiscons in— Mad ison G radua te S choo l . Thanks a re d ue t o K . L a itner B enz who p a r t ic ipa ted i n t he f i e ldwork a nd r ead a nd g rea t ly i mproved t he c l a r i ty o ft he p rose p resen ted h ere .

1 30

1 31

I STHM IAN ALL IANCE ALL IANCE

MADRE ALL IANCE

TEOS INTE

H IGHLANDS

TRANS-S IERRA

CENTRAL M IXE ALL IANCE MEX ICO ALL IANCE

BALSAS- WEST

1 32

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McCLINTOCK , B . , T .A . KATO Y . a nd A . BLU MENSHE IN 1 981 .

C hromosome C ons t i tu t ion o fR aces o f Ma iz e , Co leg io d e P ostgraduados , Chap ingo .

McCLUNG DE TAPIA , E . 1 977 .

" Rec ien te s e s tud ios p a leoetnobo tän icos e n T eo t ihuacan", Ana les d e An t ropo logia v o l . 1 4 : 4 9-61 .

MIRANDA , C .S . 1 966 . D iscu s iön s obre e lo r igen yl ae vo luc iön d e l ma iz , Me mor ia s d e l S egundo C ongreso Nac iona l d e F i togene t ica , S oc iedad Mex icana d e F i togene t ica , A .C . , Mon terrey . NAVARRETE , C . 1 966 .

T he C h iapanec H i s tory a nd C u l ture , P apers o f t he N ew Wor ld A rch o log ica l F ounda t ion 2 1 , S a l t L ake C i ty , U tah .

N IEDERBERGER , C . 1 976 .

Z ohap i l co . C inco m i len ios d e o cupac iön h umana e n u n s i t io l a cus tr e d e l a c uenca d e Mex ico , I NAH C o lecc iön C ien t if ica No . 3 0 .

1 979 .

" Ea r ly S eden tary E cono my i n t he Ba s in o f Mex ico" , S c ience 2 03 : 1 31-142 .

RENSCH , C . 1 973 .

" Oto manguean I s og losses" , i n T .A . S ebeok ( ed ) : C urr en t T r ends i n L ingu i s t ics v o l . 1, Mou ton , The Hague , P a r is .

SAHLINS , M .D . 1 960 .

" Evo lu t ion : S pec if i c a nd Genera l" , i n S ah l in s , M . a nd E . S erv ice ( eds ) : E vo lu t ion a nd C u l tur e , Un ive r s i ty o f Mich igan P ress , Ann A rbor .

SCHOEN WETTER , J . 1 974 .

" Po l len R ecord s o f Gu i la Naqu i tz Cave" , Amer ican An t iqu i ty 3 9 : 2 92-303 .

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SWADESH , M . 1 967 .

" Lex icos ta t is t ic

C la ss if ica t ion" ,

i n

R .

Wauchope

a nd

N .

McQuown

( eds ) :

Handbook o f Midd le Amer i can I nd ians v o l . 5 , Un ivers i ty o fT exa s P re ss , Aus t in . VOGT , E .Z . a nd A . RUZ L . ( ed s ) 1 964 . D esarro l lo c u l tura l d e l o s Mayas , Un ivers idad N ac iona l Au töno ma d e Mex ico , S em ina r io d e Cu l tu ra Maya , Mex ico . WELLHAUSEN , E .J . , L .M . ROBERTS , a nd E . HERNANDEZ X . i n c o l labora t ion w ith P .C . M ANGELSDORF 1 952 . R aces o f Ma iz e i n Mex i co ,

The

Bussey I ns t i tu t ion o f Ha rvard Un ivers ity ,

Camb r idge . WILEY , E .O . 1 981 . P hy logen t ics : T he T heory a nd P rac t ice o fP hy log ene t ic S ys tema t i cs , Wi ley , N .Y .

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THE DO MESTIC ATIO N OF PHASEOL US: A SUPPLE MENTA RY CROP IN PREHISTO RY

LA W RE NCE K APL A N a nd LUCILLE N . K APL A N Un ivers ity o f Massachusetts

I n troduc t ion I n 1 936 V . Gordon Ch i lde s poke o f " the f i rst r evo lu t ion t ha t t ran sformed t he h uman e cono my a nd g ave man c on tro l o ver h i s o wn f ood s upp ly" , t he N eo l i th ic R evo lu t ion . H e empha s ized t he ma jor c rop s , whea t , r i ce , b ar ley , m i l let , ma ize , y ams , a nd s wee t p o ta toes a nd s aw t he n a tu ra l p oten t ia l o f t he whea t a nd b a r ley c rops a s c en tra l t o t he w e ste rn h er i tage : t hey a re n utr i t iou s , s torab le , a nd y i e ld a h igh r e turn o ver t he e xpend i tu re o f s e ed a nd l abor . The r e su lt h e p o in ted o u t wa s l e i su re a t t imes o ther t han t hose o f t he p eak l abor s ea sons . R ice g rowe rs h ad n o s uch r e sp i te . A s t he p lan t r ema in s u ncovered b y e xcava t ion w ere s tud ied b y s pec ia l i sts s uch a s H e lbaek , a nd a s t he w ork o f V av i lov b ecame k nown t o a rch&o log is ts , t he a t ten t ion o fp reh istor ians wa s i nev i tab ly a t tracted t o t he m inor c rops . A b ody o f d a ta wa s a ccu mu la ted o n wh ich t o t e s t ma jor d ivergences i n t he c u ltura l p a tterns t ha t d i s t ingu ished who le g eograph ic r eg ions . A s ynerg ism b etween a rch o logy a nd b o tany wa s g enera ted wh ich wa s t o c on t inue f o r t he n ext f ew d ecades . I nev itab ly t he s upp lemen ta ry a nd m inor c rop s c ame t o r e ce ive t he a tten t ion t ha t w ou ld p rove n ece ssa ry f o r af unct iona l a pp roach t o u nders tand ing d if erence s i n p a tterns o fd omes t ica t ion . I tb ecame p oss ib le t o l ook a t c lu sters o fd omest ica tes t o a s sess t he e f ects o f c oevo lu t ion i n c rop c omp lexes .

I n t he N ea r E a s t t he d o mest ica t ion a nd

e a r ly h i story o fc e r ta in f ood c rop l e gu mes w ere r e cons tructed o n a mode l o f c oevo lu t ion w i th t he ma jor g ra in c rop . U s ing t he N ea r E a s tern mode l w e w ou ld l ook , i n t he N ew Wor ld , f o r c oevo lu t ion w i th ma ize i n o rder t o d i scern t he e a r ly h i story o f P haseo lus d omest ica t ion . B ecause o ft he c l ose a ssoc ia t ion o ft he se c rop s i n t he d iet a nd a gr icu l tu re o f i nd igenous Amer ica i th a s b een t ac i t ly a ssumed t ha t ma ize a nd b eans w ere j o in t ly d omest ica ted . S uch a n a s sump t ion i sp robab ly n ot j u st if ied . I n al a rge mea sure i t wa s C ar l 0 . S auer ( 1969 ) i n as e r ies o f 1 952 l e ctu res who b rough t t he a t ten t ion o f b o tan is ts t o t he d i st inc t d if erence s b e tween t he p rocesses o f a gr icu ltura l b eg inn ings i n t he O ld a nd N ew Wor lds . Among t he o b jec t ives o f t h is p aper i sa n e xam ina t ion o f t he e v idence f o r j o in t o r i ndependen t d omest ica t ion o f ma ize a nd b eans . P reh istor ian s s hou ld k now t ha t b o tan ica ls c ience n ow d ef ines t he g enus P haseo lus ( p rev ious ly r ega rded a s i n c lud ing 1 50 s pec ies o f w or ldw ide d i s tr ibu t ion ) i n s uch a way t ha t o n ly N ew Wor ld s pec ies r e ma in i n t he g enus ( s ee D e lgado , t h is v o lume ) . O ld Wo r ld s pec ies s uch a s t he mung , a d suk i , a nd r i ce b ean s n ow a re c l a ss if ied a s p a r t o f t he g enus V igna a long w ith t he c ow p ea s . S ome c on fus ion h a s t hus b een e l im ina ted , o r s hou ld h ave b een . S eeds c ons t itute t he p r inc ip le s ource o f e v idence f o r t he p re sence o f b eans i n p reh is tor ic s i tes .

These may b e w e l l -p reserved when d ess ica ted o r c a rbon ized .

I n t he

u nca rbon ized s ta te t he s e eds a nd o ther p lan t p a r ts d ecompose r ap id ly u nder h um id c ond i t ions . P ods a re f ound i ng rea t a bundance i n s o me s i tes b u t v egeta t ive p a r ts , s t e ms o r v ines , l e aves , a nd r oots a r e o n ly r a re ly e ncoun tered . These p ods a nd v egeta t ive t i s sues d ecay r ap id ly u nder h um id c ond it ions a nd a re o fs uch af r ag i le s t ructu re when c a rbon ized t ha t t hey a re n ever r eported o r r e cogn ized i n t ha t c ond it ion .

The p o l len o f l e gumes , p erhaps t ha t o f P haseo lus , h as b een r epor ted f r om s ed i men ts i n t he Un i ted S ta tes S ou thwest a nd i n c opro l i te s b ut t he i d en t if i ca t ion o f t h is t ype o fp o l len may b e u ncer ta in . I n a ny e ven t , b ecau se b eans a re i n sec t p o l l ina ted w e d o n ot e xpect t o f i nd t he ir p o l len a s a n e spec ia l ly u sefu l s ou rce o f p reh is tor ic i n forma t ion . B iogen ic s i l ica tes ( opa l p hyto l i th s ) i n P haseo lus a re n o t k nown t o b e d i st inc t ive . On t he mo lecu la r l e ve l , t he o ccurence o f l e gumes i n t he d ie t o fh umans a nd o ther a n ima ls may b e e v idenced b y s pec if ic r anges i n t he s tab le i s o tope s o f n i trogen t o b e f ound i n t he ir b ones ( DeN iro a nd Ha storf 1 985 ) . The a rcheo log ica l r e covery a nd s tudy o fl e gume s e eds a nd p od s , a nd t o al e sser e xten t , v egeta t ive r e ma ins , i n t he N ew Wor ld , h a s s o lved s o me b o tan ica l q ues t ions : o ne h undred y ea rs a go D eCando l le ( 1964 ) wa s u ncer ta in a s t o t he o r ig in o f t he c ommon b ean , P haseo lus v u lgar i s L . , b ut c er ta in t ha t t he L i ma a nd s e iva b eans , P . l una tus L . , w ere Amer ican . I n t he l a te 1 9 th c en tury Wi tt mak r e so lved t he Wes tern -Ea s tern H em i s pher ic u ncer ta in ly o ver t he o r ig in o f t he c ommon b ean o n t he b a s i s o f a rcheo log ica l f i nds . I n f a c t , V o lney J ones ( 1952 ) l a ter d i scovered Wi t t mak 's i d en t if i ca t ion t o b e i ncor r e ct : Witt mak h ad a c tua l ly e xam ined r e ma ins o ft he t epa ry , P . a cu t i f o l ius G ray . v a r . l a t i f o l ius F reeman . The i d en t ity o ft he l a tter , a wa ited r ecogn i t ion b y F reeman ( 1912 ) a lmos t 4 0 y ea rs l a ter . P . c o cc ineus L . , ( ayeco te i n Nahua t l ; b o t i l i n T ze lta l ; s ca r le t r unne r b ean i n Eng l ish ) wa s w e l l -known b o tan ica l ly a t t he t ime o fD eCando l le b ut i sn o t men t ioned b y h im . P . p o lyan thu s G reenm . , c u l t iva ted t o al im ited e x ten t i n t he s ou thern Mex ican h igh lands wa s n ot y et k nown t o s c ien t if ic b o tany . Wi th in t he N ew Wo r ld s tud ies i n r ecen t d ecades h ave f u r ther r ef ined d i s tr ibu t i ona l a nd t e mpora l k now ledge t o t he e xten t t ha t f a ir ly s oph is t ica ted q ues t ion s r egard ing t he o r ig in a nd e vo lut ion o f P haseo lus a nd N ew Wor ld g ra in legume a gr icu ltu re c an b e a sked .

Th is p aper w i l l b r ief ly p o in t t o t he i mportan t d if erences b e tween t he p rocess

o f g ra in legume d omes t ica t ion a gr icu l ture i n t he N ea r E a s t a nd i n t he g ra in a nd s eed d ependen t a rea s o ft he N ew Wor ld . Ad e ta i led d i scuss ion o ft he i ndependen t o r ig in s a nd move men ts o f ma ize a nd b eans w i l l f o l low . I t i sh oped t ha t t h is d i scuss ion w i l l h e lp t o l a y t he b a s i s f o r f ur ther , e f ect ive , i nves t iga t ion b y b o tan i sts a nd p reh is tor ian s i n to t he d o mest ica t ion o f P haseo lus b eans i n t he Amer ica s . A gr i cu l tura l O r ig ins a nd L egume Domes t i ca t ion : O ld Wor ld Agr icu ltura l o r ig ins i n t he O ld Wor ld a re b es t d ocumen ted i n t he Midd le E a s t a nd S outhea stern E urope .

I n t ha t b road g eograph ic r eg ion p rese rva t ion o f o rgan ic r e -

ma ins i n a rcheo log ica l c on texts i se nhanced b y a r id i ty , b y c arbon iza t ion , o r b y w a ter l ogg ing a nd d epos i t ion i n p ea t . The e vo lu t ion o f a gr icu l ture i n E ura s ia , a s e v idenced b y t he a rcheo log ica l a nd h i stor ic r e cord o f t he M idd le E a st p robab ly d if ers f r om t ha t o ft he Amer ica s mo s t p er c ep t ib ly i n i t s c l ose a s soc ia t ion w i th t he d omes t ica t ion o f l i ves tock .

I t i sc er ta in t oo ,

t ha t t he a ssoc ia t ion o f sma l l g ra in c erea ls w ith i nd igenous l e gumes p roduced a c on tex t f o r d o mest ica t ion t ha t wa s s t r ik ing ly d if eren t f r om t ha t wh ich o b ta ined f o r N ew Wor ld p u lses . Z oha ry a nd Hopf ( 1973 ) r ev iew p u lse d o me st ica t ion i n t he O ld Wor ld ( s ee T a b l e 1 ) . The ir e v idence , a rcha eo log ica l , g enet ic , a nd e co log ica l i sd rawn f r om t he M idd le E a s t a nd Eu rope a nd t hey c onc lude t ha t t he p ea ( P i sum s a t ivum L . ) a nd l en t i l ( Lens c u l i n ar i s Med ik . ) a re i nd igenous t o t he M idd le E a s t . The b road b ean (V ic ia f aba L . ) , b i tter v etch (V ic ia e rv i / ia L . ) a nd t he c h ick p ea ( C icer a r ie t inum L . ) a ppea r i n t he a rcheo log i c a l r e cord o ft he M idd le E a s t l a te r t han t he p ea a nd l e n t i l a nd t hu s d o n ot h ave a s c l ea r a n a ssoc ia t ion w i th t he b eg inn ings o fc erea l g ra in a gr icu l ture a s d o p ea a nd l e n t i l . These t wo d o mes t ica tes a re t hough t t o b e d er ived f r om s pec ies i nd igenou s t o t he N ea r E a st a nd t hereby a re s y mpa t r ic w ith t he ir a ncestors a nd b o th o ccur i n t he s ame r eg ion a s t he

1 38

b e tter s i tes f o r a rcheo log ica l r ecovery . The s eeds o f c u lt iva ted p ea c anno t b e s epa ra ted c onf iden t ly f r om w i ld p ea i nt he a rcheo log ica l r e cord u n t i l s i ze a nd h i lum l eng th i n crea se o ver t ime a nd u n t i l t he smoo th s eeded c ha rac ter i se s tab l i shed . I n t he l e n t i l , o n ly s i ze i n c r ea se i su sed a s ac r iter ion f o r c u lt iva t ion ( Zohary a nd Hop f 1 973 ) . No men t ion i s made o f i ndeh iscence i n p ods b y Z oha ry a nd Hopf ( 1973 ) o r b y R enf rew ( 1973 ) a s i nd ica to rs o fc u lt iva t ion , n o d oubt b ecause p os t h a rvest t h re sh ing a nd w innow ing t end t o e l im ina te t hese s t ruc tures p r ior t o s t orage . Ha rvest methods emp loyed f o r N ew Wor ld P haseo lus r e ly l e ss o n t hresh ing a nd w innow ing . I ft hese p rac t ices a re c a rr ied o ut , sma l l b und les o f b ush b eans , o r b unches o fd ry p ods may b e b ea ten w i th s t icks o r h and -rubbed i n o r a round t he h ab i ta t ion . The g rea ter l i ke l ihood o f p od s t o b eco me p a r t o f t he p reserved a chaeo log ica l r ecord h ave a l lowed p od morpho logy a nd d eh i scence t o b e u sed a l ong w i th s e ed s i ze a s i nd ica tors o f d omest ica t ion i n N ew Wor ld P haseo lus ( Kap lan a nd MacNe ish 1 960 ; Kap lan 1 965 ) .

T ab le 1 . T he A r cheo log ica l R ecord o fL egumes Domes t i ca ted i n t h e N ear E as t ( da ta f r om Z oha ry a nd H opf 1 973 ) P er iod N eo l ith ic 8 -7500 BC

F ie ld p ea s

L en t i ls

a b sen t

sma l l w i ld s eeds

Wi ld whea t a nd b a r ley

p resen t

N eo l ith ic 7 -6000 BC Cu lt . e inkorn

s eeds p resen t

emmer , b a r ley

t e sta smoo th

2 . 5-3 .0 m m d ia .

s eeds a bundan t

a bundan t , u p t o

N eo l ith ic 6 200-5000 BC

4 .2 m m C erea l c ut l iva t ion

t e sta smoo th

w e l l -es tab l ished

Z oha ry a nd H op f ( 1973 ) p o in t o u t t ha t t he re i s ag enera l l ong t e rm t r end t owa rd i n crea se i ns eed s i ze i np ea s a nd i n c lude mea sure men ts o fl en t i ls t os how t he s ame p roces s . Un l ike t he s e ed -by -seed s o r t ing a s soc ia ted w ith t he c u lt iva t ion o fN ew Wor ld P haseo lus , O ld Wor ld s torage a nd s e ed s av ing o f ers l e ss o ppo rtun i ty f o r s e lect ion . The l ong t e rm i n crea se i n s eed s i ze r eco rded Z oha ry a nd Hop f ( 1973 ) , i fi ti s ar ea l t r end a nd n ot a s a mp l ing p heno menon , m igh t b ee xp la ined b y h a rves t p ract ices a nd p os t h a rves t p ract ices i n wh ich w innow ing w ou ld r epea ted ly e l im ina te s ma l ler l i gh ter w e igh t s eed . I nc on tra st w ith t he r ecord f o r O ld Wor ld p u lses a rch o log ica le v idence f o r al ong t e rm i ncrea se i n s eed s i ze i n P haseo lus u nder c u lt iva t ion i sn ot d i scernab le i n t he N ew Wor ld a rch o log ica l r ecord ( Kap lan 1 981) . The c l ose c orre la t ion i n t ime a nd p rocess o f N ea r Ea stern p u lse d omes t ica t ion , e spec ia l ly t ha t o f t he l e n t i l , a nd t ha t o f c erea l g ra ins s e em s t o b e e s sen t ia l f o r al ong t e rm s e lec t ive p ressu re o n t he g ene t ic s yste m r e spons ib le f o r s i ze i n t he l e gu mes . The re i sn o p a ra l le l i n t he d omest ica t ion o fP haseo lus a nd ma ize . A gr icu l tura l O r ig ins a nd L egume Domes t i ca t ion : N ew Wor ld Wi ld l e gumes g row a s v ines o n h undreds o f p lan t s pec ies i n c lud ing s o me p op u la t ions o f t eos in te i n Oaxaca , i n Gua tema la ( H . G . Wi lkes , p ersona l c om mun ica t ion ) a nd n o d oub t e l sewhere . S uch o b serva t ions , h owever , t e l l u s l i t t le a bou t a ny a ssoc ia t ion b etween t eos in te a s t he p rogen itor o f ma ize ( Ga l ina t 1 983 ; I l t is 1 983 ) a nd w i ld a nces tra l P haseo lus b eans . S uch a s soc ia t ions a ppea r i n n o a rcha eo log ica l c on tex t . There e x is ts n o a rch o log ica l e v idence t ha t ma ize a nd P haseo lus b eans w ere d omes t ica ted j o in t ly o r a s

1 39

p a rt a t t he s ame p rocess i n t he e vo lu t ion o f a gr icu lture . I fs uch e v idence i st o a ppea r , i tw i l l h ave t o b e w i th in t he p hytogeograph ic r ange o f t hose s pec ies a nd p opu la t ions o f t eos in te t ha t h ave s o me r e la t ion sh ip t o a nces tra l ma ize , wh ich mus t b e s omewhere i n Mesoamer ica -Cen tra l Ame r ica .

Andean d o me st ica ted P . v u lgar is a nd t he l a rge -seeded

P . l una tus g roup w ere n o t d omest ica ted w i th in t he r ange o f t eos in te .

Therefore t ha t

g roup , a nd w i thout d oubt , a l l P haseo lus b eans , c an b e e xc luded f r om t he N ea r E a stern mode l f o r h a rves t , p os t h a rvest w innow ing , a nd s e lect ion f o r l a rge s i ze a nd i ndeh i scen t p ods . I n t he V a l ley o f Oaxaca a t t he p reh is tor ic s i te o f Gu i la Naqu itz ( Kap lan 1 981 , 1 986 ) a sma l l -seeded , g a thered , w i ld l e gu me , p robab ly a s pec ies o f t he g enus P haseo lus , i sp resen t i n t he r ecord b eg inn ing w i th a d a te o f 1 0 ,000 y ears b efore p resen t t ime a nd c on t inues u p t o t he t ime o ft he S pan i sh c onquest . The p od s o ft h is g a thered w i ld s pec ies n ever l oose t he ir t i gh t ly t w is ted c ha rac ter a nd t here i sn o i ncrea se i n s eed s i ze .

I n a

c ave i n T amau l ipa s i n n or thwes t Mex ico ( Kap lan a nd MacNe ish 1 960 ) t i gh t ly t w is ted , d eh iscen t p ods o f wha t i sp robab ly a w i ld s ca r le t r unner b ean ( ayeco te ) , w ere c o l lected o ver ap er iod o ft hou sands o fy ea rs . I ti se v iden t t ha t t he mere a ct iv i ty o fg a ther ing w i ld b ean p ods o ver a l ong p er iod o f t ime , b r ing ing t he m i n to t he c ave a nd e xtract ing t he b eans , d oes n ot i n i t se lf g ua ran tee t he d eve lop men t o fi ndeh iscence o r a n i n crease i ns eed s i ze , i .e . , d omes t ica t ion , i n P haseo lus . Ap oss ib le s e lec t ive mechan ism f o r s eed s i ze i n c rea se d ur ing t he g a ther ing , p rea g r icu l tu ra l , p er iod i sd i scu ssed i n t he s ect ion o n Andean P haseo lus i n t h is p aper . D esp i te t he a bsence o f e v idence f o r t he c oevo lu t ion o f ma ize a nd b ean s i n t he e a r l iest s tages o f d omes t ica t ion , t he l ong a nd w idespread a ssoc ia t ion o f t hese t wo c rops i n i nd igenou s Amer ican a gr icu l ture i sw e l l r e cogn ized . The d egree t o wh ich t hey a re a s s oc ia ted i nt he a rcha eo log ica l r ecord i se xam ined i nt he ma jor g eograph ic—cu ltu ra lr eg ions o ft he N ew Wor ld where t hese c rops a ppea r e a r ly i n t he p reh istor ic r ecord . I n t he Amer ica s , a rch a eo log ica l e xcava t ion h a s b een mos t p roduct ive o f v ege ta l r ema in s i n Mesoamer ica , Andean S outh Amer ica a nd t he G rea ter S ou thwest ( northwe st e rn Mex ico a nd s outhwes tern Un i ted S ta tes ) . O f t hese t h ree b road a reas , t he l a tter t wo h ave t he more r e cen t i n cre men ts o f a rcha eo log ica l e v idence a nd t he more r ecen t i nves t i g a t ions i n to e a r ly p e r iods b efo re t he i n troduc t ion o f p o ttery . E spec ia l ly when c ompared w ith ma ize t he o ccurrence o f b eans i n p reh is tor ic c on tex ts c an s e ldom b e d escr ibed a s a bundan t , " spa rse a nd f r agmen ta ry" i su sua l ly more d escr ip t ive . E ven i n c on tempora ry i nd igenou s a gr icu lture b eans a re u sua l ly b es t u nders tood i nt he ir c u lt iva t ion , d ieta ry r o le a nd e conomy i n r e la t ion t o t he ma jor c rop , ma ize . The s a me i st rue i n p reh is tor ic c on t exts , e spec ia l ly b ecause a rch o log is ts a re p r ima r i ly i n terested i n s ubs istence s ys tems r a ther t han e v idence r e la t ing t o ap a rt icu la r c rop . Thus , i f ma ize a gr icu l ture c an b e d e mons tra ted t o h ave b een c a rr ied o n a t ap a r t icu la r s i te a t ap a rt icu la r t ime , t ha t t o t he a rcheo log i st i s most o f t he s tory .

Whe ther o r n o t t here i s e v idence f o r b eans o r

whe ther t he s uspec ted b ean s a mp les a re s en t t o as pec ia l ist f o r i den t if ica t ion d epends o n whe ther t he e x is tence o f d ivers if ied a gr icu l ture i s aq ues t ion t ha t n eeds t o b e a nswered b y t hose d i rec t ing t he e xcava t ion . A gr icu l tura l O r ig ins a nd L egume Domes t i ca t ion : T he G r ea ter S ou thwes t I n t he Un i ted S ta tes S ou thwes t r ecen t r ev is ions o f t he d a tes f o r t he i n troduc t i on o f a gr icu l ture h ave b een u nder taken . I n t h is r eg ion t he i mpact o f d i rect d a t ing o f t hose s pec i mens t ha t a re t he o b jec ts o f i n teres t , c rop r ema ins f o r e xamp le , r a ther t han a ssoc ia ted o rgan ic ma ter ia l h a s b oth t h rea tened a nd s uppor ted t he p rev iou s ly a ccepted d a tes . B erry ( 1985 ) r ev iews a nd c r i t ic ises t he o r thodox v i ew t ha t ma ize wa s i n t roduced i n to t he A r izona—New Mex ico—Co lorado a rea 4 000-5000 y ea rs b efore p resen t t ime . H e c i tes t he c on t inued u se o f e r roneous c on textua l d a tes a t B a t Cave a s ap r ima ry r ea son

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f o r t he i dea t ha t ma ize ( and p resumab ly b eans ) h ad o ver 4 , 000 y ea rs i n wh ich t o e vo lve u nder d o mes t ica t ion i nt he G rea te r S ou thwes t . H e s peaks i n stead o f al a ter i n troduct ion , 5 00-750 BC , b y f a rmers mov ing n orth f r om Mesoamer ica w i th t he c on sequen t t r igge r ing o f ah igh r a te o fh u man c u l tura l a c t iv ity . C o mmon b eans , P . v u lgar i s , f i rs t a ppea r i n t he S ou thwest i n w e l l d a ted c on tex ts a t T u la rosa Cave b y 3 00 BC ( Kap lan 1 956 ) a long w ith ma ize a nd C ucurb i ta p epo . A ccep t ing B erry 's e v idence f o r al a te i n troduct ion o f ma ize w ou ld s uppor t t he s imu l taneous e n try o f ma ize a nd c o mmon b ean s i n to t he S ou thwes t . Minn is ( 1985 ) s e es J emez Cave i nN ew Mex ico a s p resen t ing t he e a r l iest ( 700 BC ) w e l l d ocu men ted r e cord o f ma ize i n t he S outhwes t a nd a ccepts t he d a te o fa bou t 3 00 BC f o r t he e a r l ie s t c o mmon b eans . H e makes a c a se h owever f o r t he i n troduct ion o f ma ize b y t he s econd m i l lenn ium BC n ot ing t ha t a rch z eo log ica l ly d etectab le r e ma in s m igh t n ot b e p roduced u n t i l l ong a f te r t he i n troduct ion o ft he c rop a s as upp le men t t o h un t ing a nd g a ther ing . S i mmon s ( 1986 ) h a s o bta ined e v idence i n s upport o fM inn is p os i t ion . D irect r ad ioca rbon d a te s w ere o b ta ined f r om ma ize k erne ls , 1 000 BC a nd C ucurb i ta p epo s eeds , 9 50 BC a nd 2 70 BC , t aken f r om A rcha ic p er iod s i tes i n t he S an J uan B a s in wh ich f o r ms p a rt o ft he n or the rn s ec tor o ft he Un i ted S ta tes S ou thwest . A rt ifac ts t ha t a re a s soc ia ted w ith ma ize a gr icu lture d o n ot o ccu r i n c on junc t ion w i th t hese f i nds a nd d o n ot b eg in t o a ppea r u n t i l t he c l ose o ft he A rcha ic p e r iod . B ean s w ere n o t d e tec ted i n t hese S an J uan B as in s i tes . These r e cen t i n terp re ta t ion s o ft he p lan t r e ma ins d if er w i th r e spect t o t he d a tes f o r t he b eg inn ings o f a gr icu l ture i n t he U . S . S ou thwes t b u t n e ither o f ers c l ea r s t ra t i g raph ic e v idence i n s uppo r t o f t he s imu ltaneous e n try o f ma ize , b eans , a nd s qua sh i n to t ha t r eg ion .

The a rcheome tr ic e v idence s upports t he M inn is p os i t ion f o r t he e n try o f

c ommon b ean s i n to t he S ou thwes t s evera l h undred t o o ver o ne t hou sand y ea rs l a ter t han ma ize . I na smuch a s c ommon b ean s b eg in t o a ppear i n t he a rch o log ica l r e cord o f t he T ehuacan V a l ley i n c en tra l Mex ico 6 ,000-7 ,000 y ears a go ( Kap lan 1 967 , 1 981 ) , i ti sc l ea r t ha t b eans w ere a va i lab le i n a rea s c on t iguous t o t he U . S . S outhwes t l ong p r ior t o t he ir a dop t ion t he re .

One mu s t c onc lude t ha t t he a va i lab i l ity o f d o mes t ica ted b eans , a nd

s im i la r ly o ther c rop s , d oes n ot g ua ran tee t he ir a dopt ion u n t i l o ther c ond it ion s s uch a s p opu la t ion p res su re , s eden t ism , d ependence o n t rade a nd t he l i ke made t ha t a dop t ion f avorab le f o r t he h uman p opu la t ion i n q uest ion . A gr icu l tura l O r ig ins a nd L egume Domes t i ca t ion : Andean S ou th Amer ica Wi ld g row ing p opu la t ions o f b o th P . v u lgar i s a nd P . l una tus a re s porad ica l ly d i s tr ibuted n or th t o s ou th f r om w es t c en tra l Mex ico t hrough C en tra l Amer ica a nd i n to S ou th Amer ica a long t he e a stern Andean s l opes i n to n orthwes tern A rgen t ina ( Berg lund— B rucher a nd B rucher 1 976 ) . These r anges h ave b een mapped ( Kap lan 1 965 , 1 981 ) i n r e la t ion t o t he d i str ibu t ion o f a rch o log ica l s i tes f r o m wh ich P haseo lus r e ma ins h ave b een r ecovered . The mapped d i s tr ibu t ion s hows t ha t i n Mesoamer ica ma jor s i tes w i th w e l l p reserved P haseo lus r ema ins a re l o ca ted w i th in t he r ange o fw i ld g row ing r e la t ives o f t he c o m mon b ean . I n c on t ras t , Andean h igh land a nd c oas ta l s i tes f r om wh ich P haseo lus r ema ins h ave b een r ecovered a re w e l l o uts ide o f t he r ange o fw i ld g row ing p opu la t ions . The g enus P haseo lus i n Andean p reh is tory i sr epresen ted b y t wo s pec ies P . v u l g ar i s L . , t he c ommon b ean o r p oro to , a nd P . l una tus L . , t he c u l t iva r g roup " B ig L i ma" o r p a l lar es . The s ca r let r unne r b ean P . c o cc ineus L . o ft he Mesoamer ican h igh lands h a s n ot b een r e l iab ly i d en t if ied among p reh istor ic S outh Amer ican p lan t r ema in s . The t epa ry , P . a cu t if o l ius A . G ray i sn o t c urren t ly c u l t iva ted s ou th o f Gua te ma la a nd h as n ever b een r eported f r om p reh is tor ic s i tes s outh o ft he T ehuacan V a l ley .

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The t yp ica l p a l lar o f Andean S outh Amer ica h a s ab road p od a nd a c orre s pond ing ly w ide s eed i n c ompar ison w ith t he n a rrowe r p od a nd n a rrower s e ed o f t he Mesoamer ican sma l l l ima o r s e iva b ean . O ther b otan ica l d if erences e x ist b u t t hose t o b e e ncoun tered among a rch o log ica l r ema ins a re s eed a nd p od c ha rac ters b ecause t he se p a rts c ons t i tu te a lmos t a l l o ft he a rch o log ica l s amp le . On t he b a s is o ft hese c ha rac ters a l one i t a ppea rs t ha t t he Mesoamer ican a nd S ou th Amer ican P . l una tus g roups w ere d omest ica ted i ndependen t ly f r om d i s t inc t g ene p oo ls .

Ano ther p oss ib i l ity s hou ld n o t

b e o ver looked : t ha t c en ters o f d omes t ica t ion d id n o t e x i st i ndependen t ly i n t hese t wo r eg ions b u t t ha t d if eren t ia t ion r e su l t ing f r om n a tura l a nd a r it if ica l s e lec t ion t ook p lace i n Mesoamer ica f o l low ing t he ir i n troduc t ion .

S tud ies o f t he d i str ibut ion o f P . l una tus

p ha , seo l in t ypes ( noted b e low f o r t he c ommon b ean ) may e n l igh ten t he ma tter . Morpho log ica l d if erences b etween Mesoamer ican a nd S ou th Amer ican P . v u l g ar i s a re n o t o bv ious . A t t he p resen t t ime t he a rcheo log ica l e v idence s ugges ts t ha t c om mon b ean d omes t ica t ion i so lder i n Andean Amer ica t ha t i n Mesoamer ica ( Kap lan 1 981 ) . I t may b e t ha t P . v u lgar i s wa s i ndependen t ly d o mes t ica ted i n t hese t wo r eg ions o r t ha t t he c u l t iva rs a nd c erta in w i ld g row ing r e la t ives o f Mesoamer ica a re d er ived f r om S ou th Amer ica ( Kap lan 1 981 ) .

R ecen t e l ectrophoret ic s tud ie s ( Gep ts a nd B l iss 1 985 ) o f t he

b ean s torage p ro te in , p ha seo l in , s uppor t t he h ypo thes is o f t he s epa ra te o r ig ins o f An d ean a nd Mesoamer ican c o mmon b eans . The d i s tr ibut ion o f a rch o log ica l s i te s w i th w e l l p reserved p lan t r e ma ins i n t he Andes d oes n ot c o inc ide w ith t he d i s tr ibut ion o fw i ld P . v u lgar i s ( Kap lan 1 981 ) o r w i th w i ld r e la t ives o f P . l una tus wh ich a re t o b e f ound e a s t o f t he Andean h igh land s .

The

p hytogeography o ft he g enus P haseo lu s r u les o ut a ny l i ke l ihood o f Andean c u lt iva rs b e ing d er ived f r om t he w es tern s l opes a nd p o in ts s t rong ly t o e a stern s l ope d er iva t ion . Ma jor v egeta t ion c hange i n h uman p reh istory a nd i n h i s tor ic t imes h a s c e rta in ly t aken p lace o n t he w estern Andean s l ope s . I ti sn or l i ke ly , h owever , t ha t t he r ange s o ft he c ommon b ean a nd l ima w i ld r e la t ives e ver e xtended t o t he w estern Andean s l opes o r P ac i f ic c oa st . Andean S ou th Amer ica : T he H igh lands Open s i tes i n t he h igh Andes a re e xposed t o h um id c ond i t ions a nd a ny p lan t r ema in s p resen t a re l i ke ly t o h ave b een c a rbon ized , s o me c ave s o r r ocks s he lters a re s uf f i c ien t ly s he l tered a nd h ave p roduced w e l l -prese rved n on -ca rbon ized r e ma in s . On t he d eser t c oa s t o fP eru a nd Ch i le a rch o log ica l s i tes o f ten y i e ld l a rge q uan t it ies o fv ery w e l l p reserved r ema ins i n t he f o rm o f s tored c rop s , d i sca rded t ra sh , t apestr ies , h uman a nd a n ima l c opro l i tes , ma s t ica ted q u ids , a nd p o l len . P . v u lgar i s a t Gu i ta rre ro Cave , D epa rtmen t o f Anca sh , i n t he n orth c en tra l P e r uv ian Andes ( Kap lan e ta l . 1 973 ; Kap lan 1 980 ) i sr ep resen ted b y f our f u l ly d omes t ica ted r aces . Three o ft hese a re a l so p resen t a t P icha sca 4 700±80 BP ( Kap lan 1 971) ah igh land Andean s i te i nn orthern Ch i le . Two o ft hese t ype s a t Gu i ta rrero C ave c o me f r om ah igh ly r e l iab le c on text ( Un it 1 46 , C omp lex H e ) d a ted a t 7 680 ± 2 80 BP , o r 5 730 BC . P . l una tus a t t h is s i te may b e a bou t t he s a me a ge o r s o mewha t o lder . These r ema in s a re i den t ica l w ith t hose r eported e a r l ier b y Kap lan , L ynch a nd Sm i th ( 1973 ) . Da tes , o b ta ined b y a cce lera tor ma ss s pec trome try , o fa pp rox ima te ly 1 0 ,000 y ea rs b efore p resen t t ime f o r t he o ldes t l e ve ls o f Gu i ta rrero Cave c on ta in ing b eans a nd p ods h ave b een r epor ted b y L ynch ( 1985 ) c onf i rm t he e a r ly d a tes f o r t he p resence o f c ommon b ean s a nd l ima s . B eans a t t he e a r ly l e ve ls o f t h is c ave a re a ccompa ined b y av a r ie ty o f p lan t s pec ies i n c lud ing s o me wh ich mu st h ave c on tr ibu ted t o t he d ie t o f t hose h uman s who c amped t he re . The f ood s pec ies i den t if ied b y Sm i th ( 1980 ) i nc lude t uberou s r ema ins o f t he Ba se l laceae ( poss ib ly u l lucu ) , O xa l i s s pp . ( o ca ) , C ucurb i ta s pp . s qua sh r ema ins a nd C aps i cum ( c f . c h inense ) w ere p re sen t i n e a r ly l e ve ls . Ma ize , a nd p oss ib ly p eanut a nd man ioc , a re i d en t if ied f r om l a ter l e ve ls . O f t he man ioc , Sm i th ( 1980 ) n otes t ha t i t may

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h ave b een t raded f r om a n e l eva t ion l ower t han t ha t o f t he Ca l le j6n d e Huay la s where t he C ave i sl o ca ted .

P . v u lgar i s , P . l una tus , a nd C aps icum s p .

( c f . c h inense ) r e ma ins

a t t h is s i te a re a l l d omes t ica ted a nd h ave a nces tra l t ypes e a st o f t he Andes . Thus , b y 7 , 000-10 ,000 y ea rs a go c om mon a nd l ima b eans h ad a l ready u ndergone d omest ica t ive c hanges e a st o ft he Ande s i n t he L i th ic P er iod d ur ing wh ich h un t ing a nd g a ther ing w ere t he p r i ma ry means o f s ubs is tence a nd m i l lenn ia b efore t he i n troduct ion o fc eram ics . T he Andean H igh lands : I mp l ica t ions o fE ar ly Da tes , a nd S e lec t ion f or S eed S iz e I ncr ease i n t h e L i th ic P er iod The e a r ly , b u t c onf i rmed , d ate f o r d omes t ica ted c o mmon a nd l ima b eans i n t he Andean H igh lands h a s p erp lexed s o me a rch o log is ts . Gene t ic ists ( i n c onversa t ion ) h ave s ugges ted t ha t h uman s e lec t ion o ver a l ong p er iod o f t ime i n t he L i th ic p er iod m igh t a ccomp l ish t he i ncrea se i n s eed s i ze o ver t he w i ld t ype .

The s en ior a uthor h a s l ong

b een s kep t ica l o ver c l a ims f o r t he e f ect iveness o f h uman s e lect ion f o r a dd it ive t ra its i n p o lygen ic s ystem where g ene e f ects a re s ma l l a nd e spec ia l ly where s e lf -po l l ina t ion p redom ina te s . I fw e a ssume t ha t ap heno typ ic c ond it ion , i ncrea se i n s eed s i ze o ver t he w i ld t ype , i st he r e su l t o fc onsc ious h u man s e lec t ion , t hen , w e must a ssume t ha t ah uman l i neage h as d ec ided u pon ag oa l i n t he d i stan t f u tu re a nd h a s u nswerv ing ly p ursued t ha t g oa l . There i sn o emp ir ica l b a s is f o r s uch a n a s sump t ion . More l i ke ly t han l ong t e rm , p urposefu l d i rec t iona l s e lect ion f o r l a rge s eed s i ze b y n on seden ta ry , n onagr icu ltura l h uman s i n t he L i th ic P er iod , i s as e lect ion mechan ism wh ich m igh t o pera te w i thou t h uman a wa reness . B ogue a nd Kap lan ( 1984 ) p roposed t he f o l low ing mechan ism . S tud ies o fs eed s i ze i nt r op ica l l e gumes b y J anzen ( 1969 ) i nd ica ted t ha t s eed w eev i l ( b ruch id ) p reda t ion m igh t e xe rc ise a s i ze d epress ing i nf luence o n t he s e eds o f w i ld b ean p opu la t ions i ft he i n sects s e lected l a rger s eed s f o r o v ipos it ion . The e gg s l a id o n t he s eed s ur face p roduce l a rvae t ha t b urrow i n to t he s e ed , p upa te , a nd l a ter eme rge a s a du l ts .

Th is p reda tory b ehav ior g ene ra l ly r e su l ts i n t he d es truc t ion o f t he

s e ed s o t ha t i fl a rger s e eds a re s e lec ted f o r o v ipos i t ion a nd a re t he reby more l i ke ly t o b e d es troyed t han a re sma l ler s eeds , t he r e su lt f o r t he p opu la t ion i ss e lect ion a ga ins t l a rge s e ed s i ze . There a re , a tt he s a me t ime , a dvan tages s uch a st he e a r ly v igorous g rowth o ft he p lan t c an b e s upported b y l a rge s eed s i ze . I ti sp os s ib le t ha t s o me mechan is m u nknown t o u s may h ave b een u sed t o p rotect t he s eed a ga ins t b ruch id w eev i ls .

F or e xamp le ,

a pp rox i ma te ly 3 h ours a t at e mpera ture o f 6 0 °C . d es troys a l l p ha ses o ft he b ruch id l i ke c yc le w i thou t d amag ing s eed v iab i l i ty (Metca lf ea nd F l in t 1 962 : 9 36-938 ) . S uch e xpo su re m igh t o ccur i fb eans w ere s tored n ea r ac ave h ea r th . S ome o ft hose s eeds w ou ld h ave b een i nadvertan t ly r e turned t o t he s o i l a nd l a ter g erm ina ted a nd p rov ided p a rt o f t he n ex t h a rves t . The r epe t it ion o ft h is p rocess w ou ld h ave e s tab l ished ap opu la t ion o fw i ld b eans p ro tected f r om t he s i ze d ep ress ing e f ects o fw eev i l p reda t ion a nd e xposed t o t he f o rces o f n a tu ra l s e lect ion f avor ing l a rge s e ed s i ze .

I t i sv ery u n l ike ly t ha t t he a rcha eo log ica l

r e co rd w i l l e ve r p rov ide c l ea r e v idence f o r t h is o r a ny o ther s e lect ive mechan is m f o r s eed s i ze i n crea se . An e xper imen ta l t e s t o ft he f ea s ib i l ity o f as eed— insect—hu man r e la t ion sh ip s uch a s t h is wa s u ndertaken . T es ts w ith t wo b ruch id s pec ies n a t ive t ot r op ica l Amer ica s howed t ha tl a rger b ean s e eds w ere more l i ke ly t o b e d estroyed t han w ere s ma l ler s eeds ( Bogue a nd Kap lan 1 984 ) . The o v ipos i t ion b ehav ior o f Z abro tes s ubf asc i la tus B oh . s howed a s t rong p re f erence f o r c u l t iva rs w i th l a rge s eed s i ze ; f o r l and r aces o ver r e la ted , sma l ler -seeded w i ld t ypes ; f o r t he l a rger s eeds w ith in ac u lt iva r , l and r ace , o r w i ld p opu la t ion , A can thosce l ides o b tec tus S ay . e ggs , u n l ike t hose o f Z . s ubf asc ia tu s , a re n ot l a id d i rect ly o n t he s urface o ft he s eeds b ut a re d epos ited among t he m .

The o v ipos i t ion b ehav ior o f A can thosce l ides o b tec tu s

s hows n o c orre la t ion w i th s e ed s i ze . The l a rva e , h owever , wh ich a re mob i le among t he s to red s eeds s how a n a b so lute p ref erence f o r t he c u lt iva rs when p resen ted w ith a c ho ice .

1 43

T he Andean R eg ion : T he P ac if i c C oas t B onav ia ( 1982 : 3 17-322 ) h a s r ev iewed i nd eta i l t he r epor ts o fs evera l a u thors o n e v idence f o r t he a ppea rance o f P . l una tus o n t he S outh C oa st o f P eru . On t h is s e c t ion o ft he c oa s t h e d i sputes o r c a s ts d oub t o n f r equen t ly c i ted d a tes , e spec ia l ly f r om Ch i lca , wh ich w ou ld p lace P . l una tus i n t he p receram ic p er iod a s e a r ly a s 5 , 000-6 ,000 y ea rs b efore p resen t t ime . No d oub t s o me r eports o fp receram ic P . l una tus i n c oa sta l s i tes a re s pur ious . However , a t Hua rmey a s i te o f t he " F ina l P receram ic P er iod" o n t he N or th C en tra l C oas t o f P eru P . l una tus p od v a lves a re p resen t i n t he l a te p receram ic p er iod ( Kap lan 1 982 : 1 81 ) . I n t he Ch icama v a l ley o n t he N orth C oa st o f P eru , i t i sp oss ib le t o c onf i rm t he p resence o f s e cure ly d a ted p a l la res , s eeds a nd p ods , i d en t if i ed b y t he a u thor , i n t he p receram ic m idden o f Huaca P r ie ta ( B ird a nd H ys lop 1 985 : 2 33-234 ) . S amp les f o r r a d ioca rbon d a t ing f r om Huaca P r ie ta w ere p rocessed i n t he o r ig ina l

1 4

Cl abora to ry a t t he

Un ivers i ty o f Ch icago i n 1 949 , 1 950 , 1 951 ma rk ing t he b eg inn ing o ft he a pp l ica t ion o ft h is d a t ing me thod t o S outh Ame r ican p reh istor ic ma ter ia ls . B ecause o f t he s i gn if icance o f t h is s i te , i t s r ad iometry h as b een r e s tud ied r epea ted ly . The most r ecen t d a t ing i nd ica tes t he o ccurrence o f t he e a r l iest l ima b ean r e ma ins b etween 3 080 BC a nd 2 890 BC ( B ird a nd Hys lop 1 985 : 5 3 ) . Ma ize i sn o t f ound among t he 2 0 ,000 s pec imen s o f p receram ic p lan t r e ma ins a t Huaca P r ieta , b u t s o me o ther d omes t ica tes i n a dd i t ion t o P . l una tus a re p resen t : C anava l ia p lag iosp erma b y 4 257 + 2 50 y ea rs b efore p re sen t , C aps i cum s pp . , G ossyp ium b a rbadense , C ucurb i ta s pp . O f t h is g roup o f c u l t igens , l ima b ean s a nd p ep p ers h ave o r ig ins e a st o ft he Andes , C anava / ia p robab ly e n tered t he P e ruv ian C oa s t f r om c oa sta l E cuador a nd t he s ou rces o f t he c otton a nd s qua shes a re n o t k nown . The p receram ic p er iod a t Huaca P r ieta e nds a t a bout 1 200 BC o r e a r l ie r ( B ird a nd H ys lop 1 985 : 5 3 ) .

S ome t ime a f ter t he i n troduc t ion o f c era m ics t o t he s e tt le men t

n ea r t he m idden , c ommon b eans a ppea r i n t he r ecord a l ong w ith t he e a r l ier l ima s a nd c anava l ia s b o th o f wh ich c on t inue i n to l a ter p e r iod s . T he Andean R eg ion : R e la t ionsh ips w i th t h e I n termed ia te Z one B i rd ( 1984 : 4 9 ) e s t ima tes t ha t ma ize e n tered h igh land P eru f r om t he I n termed ia te A rea , ac u l tura l—geograph ic c on t inuu m f r om Ch iapa s , Mex ico s ou thwa rd i n to n orthwest e rn S outh Amer ica , s o met ime b efore 1 , 000 BC . P iperno ( 1985 ) f i nds ma ize p hyto l i ths t o b e p resen t i n P anama b y a bout 5 , 000 y ea rs b efore p resen t t ime . Thus i ti sp oss ib le t ha t c rop p lan ts f r om Mesoamer ica e n tered t he n or thern Andean r eg ion b y w ay o f t he I n ter med ia te Z one b y t he t ime t ha t p ot tery h ad b egun t o a ppear i n E cuador . B ecause P . v u lgar i s d oes n o t a ppea r i nt he e a r ly V a ld iv ian P er iods o r s i tes a long t he O r inoco a nd Amazon i n V enezue la ( Rooseve l t 1 980 ) a l ong w i th ma ize , i t may b e t ha t t he c ommon b ean d id n o t a ccompany ma ize t hrough t he i n termed ia te z one . There may b e s o me e v i d ence , h owever , t ha t c o mmon b ean s f r o m Me soamer ica d id e n ter t he N orthern Andean r eg ion a t al a ter p reh is tor ic d a te . P haseo lus r ema ins f r om a rch&o log ica l s i tes i n n or thwestern S outh Amer ica a re o n ly n ow b eg inn ing t o b ecome a va i lab le . A c o l lect ion o f p lan t r e ma ins r ecovered f r om t he n orthern Andean h igh land s i te o f Huaca loma i n t he C a jama rca V a l ley b y Onuk i a nd o thers i sc urren t ly u nder s tudy . Two h und red f i f ty c a rbon ized s eeds a nd s eed f r agmen ts o f P . v u lgar i s f r om Huaca loma h ave b een i den t if ied b eg inn ing w i th a sma l l n umber ( 8 ) o f s eeds a nd f r agmen ts b etween 1 , 000 BC a nd 5 00 BC ( Forma t ive ) a ssoc ia ted w i th a c u l ture i n wh ich a re f ound e v idences f o r e a r ly c eram ic s , d eer h un t ing a nd o the r h un t i ng a nd g a ther ing a c t iv it ies .

Mos t o f t he P . v u lgar is s e eds a nd f r agmen ts a re p resen t

i n t he p er iod a t a bou t 5 00 BC t o 4 00 BC d ur ing a t ime o f t rans i t ion f r om d eer h un t i ng t o l ama d omes t ica t ion a nd o ther c u ltura l c hanges . These c a rbon ized r ema ins v a ry c ons iderab ly i n t he ir d imens ion s b ut t he ir max i ma , m in ima a nd med ian d i men s ions a re

1 4 4

T ab le 2 . Med ian S e ed D imens ions o fP r eh i s tor ic P haseo lus v u lgar i s L engh t

Width

Th ickness

11111

Mi n

1 0-13

6 .7-8 .3

4 . 3-6 .9

1

7 .6

5 .6

9 . 3-19 .1

8 . 0-10 .0

5 . 3-8 .0

1 5 .0

8 . 4

6 .9

8 -14 1 .5

6 -9 .2 7 . 2

5 -6 .4 5 . 2

Huaca loma ( s ize r educed

5 . 5-10 .7

3 . 2-6 .9

( om itted - mos t ly

s l igh t ly b y c a rbon iza t ion )

7 .4

4 .9

s i ng le c o ty ledons )

Andean H igh land 1 r ange o f med ians a verage o f med ians Andean C oa s t 2 Mesoamer ica 3

1Two s i tes , 7l and r aces .

2F ive s i tes , 1 0 l and r aces .

3 Th ree s i tes , 6l and r aces .

c ons iderab ly sma l ler i n s i ze t han i n t yp ica l o f t he f am i l ia r p reh i stor ic r aces f r om c oa s ta l P e ru ( s ee t ab le 2 ) . These s eeds a re c a rbon ized i ns uch away t ha t t hey h ave l o st t he ir s eed c oa ts a nd h ave n o t b een " puf f ed" s o t ha t t hey a re ab i t r educed i nr e la t ive s i ze when c ompa red w i th t he n onca rbon ized s eed s i n t ab le 2 . N ever the less , t hey d o n o t r e se mb le morpho log ica l ly a ny o ther Andean c o mmon b eans t ha t t he a u thor h a s e xam ined . C ou ld t hey r ep resen t a n i nf lux f r om t he I n ter med ia te A rea , o r Mesoamer ica? C a rbon iza t ion o f t h is r e la t ive ly l a rge s a mp le , u nfortuna te ly , o bv ia tes t he p os s ib i l i ty o f s tud ies o n t he s torage p rote in , p ha seo l in , o f t he t ype n o ted a bove wh ich m igh t h e lp t o r e so lve t he ir af in i t ies , Andean o r Mesoamer ican . T he Andean R eg ion : H igh land-Coas ta l A gr icu l tura l C onnec t ions o f Ma iz e a nd B eans Sm ith ( 1980 ) r ev iews t he d a tes f o r ma ize i n S outh Amer ica a nd f i nd s r e l iab le d a tes o f 2 500-3000 BC i n c oa sta l E cuador , 4 300-2800 BC ( po l len ) i n t he Ayacucho V a l ley ( Cen tra l H igh land s ) , a nd a t Gu ita rrero C ave ( Nor thern H igh lands ) s o mewhere b e tween 6 ,000-4 ,000 BC . R ecen t ly o b ta ined d a tes f r om Gu itarrero Cave ( Lynch 1 985 ) i nd ica te t ha t ma ize i sc ons iderab ly more r ecen t , 2 , 000-3 ,000 y ea rs o ld a t t ha t s i te . B ird ( 1984 ) f i nds t ha t ma ize w as i n troduced s imu ltaneou s ly t o an umber o f P eruv ian c oas ta l s i tes a f ter 8 50 BC a nd s ugge s t t ha t r eports o ft he p resence o f ma ize ( macrofoss i ls ) o n t he c oa st o fP eru p r ior t o 1 500 BC a re b a sed o n e v idence f r om d i s turbed s i tes . The Hua r mey p o l len d a tes d i sagree a nd i nd ica te a n e a r l ier p resence f o r ma ize o n t he c oa st . We ir a nd B onav ia ( 1985 ) a t Hua r mey o n t he Nor th C en tra l C oa s t f ound ma ize p o l len i nc opro l i tes a t 3 , 000 BC . E a r l ier ( Grobman a nd B onav ia 1 978 ) ma ize macrofoss i l r ema ins ,

1 4

C d a ted a t 3 ,7 50 + 10 y ears b efore p resen t t ime h ad b een r epor ted a t t he

s ame s i te . Ma ize o n t he c oa s t o fE cuador c l ea r ly p reda tes ma ize macrofos s i l e v idence i n t he Andean h igh lands b ut i sn ot l i ke ly t o h ave b een t he s ource o ft ha t g ra in f o r t he P eruv ian c oa st e spec ia l ly i n v i ew o f f i nd ings b y G robman a nd B onav ia ( 1978 ) .

These a uthors

i den t ify ma ize c ob s a nd t a s se ls f r om L os Gav i lanes , ap receram ic c oa s ta l s i te i n t he d i s tr ict o f Hua rmey . The r ema ins a re c a refu l ly d esc r ibed a nd i den t if ied a s p redom ina te ly P roto -Conf i te Morocho wh ich i s r e la ted t o t he C onf i te Morocho r ace wh ich p resen t ly

1 45

o ccurs i n t he Andean H igh lands .

These a u thors b e l ieve t ha t t he e a r ly c oa sta l r ace i s

d er ived f r om t he Andean H igh land s . C . E a r le Sm ith , J r . i sc onv inced t ha t t he c ruc ia l r ema ins wh ich w i l l c l ear ly p lace ma ize e a r l ier i n t he Andean H igh land s t han o n t he C oa s t a re s t i l l t o b e e xcava ted i n t he H igh lands ( persona l c ommun ica t ion ) . I t i s c l ea r t ha t t he d a te o f 6 800-6200 BC , Gu i ta rrero C ave , Un i t 1 20 , C om p lex Id , f o r l ima s a nd 5 730 BC f o r c ommon b eans ( Kap lan 1 980 ) a n teda te a ny c oa s ta l o rh igh land s i tes . P . l una tus s eeds f ound i nE a r ly Na sca s i tes i nt he I ca V a l ley a re i d en t ica l w ith t hose f ound i n Gu i ta rrero Cave . B y i mp l ica t ion t he e n t i re a rray o fc oa s ta l P . l una tus d omest ica tes may b e r ega rded a s d i rect h igh land d er iva t ions f r om e a r l ier s ou rces o n t he e a stern Andean s l opes . F ur ther s uppor t ing t he h igh land d er iva t ion o f c oa sta l P . l una tus i st he a bsence o f t h is s pec ies f r om t he p reh is tory o f c oas ta l E cuador .

H ere a t R ea l A lto c arbon ized

C anava l ia s eeds w ere f ound a t l e ve l s b ea r ing r ad ioca rbon d a tes o f 5 495 ± 2 00 y ea r s , a nd 4 900 ± 1 70 y ea rs b efore p resen t t ime a nd l a ter . A l though f r agmen tary , t hese s eeds w ere d ef in i t ive ly i d en t if i ed b y mean s o fs cann ing e l ec tron m icroscopy ( Damp e ta l . 1 981 ) . Th is r eg ion may w e l l b e t he s ource o f C anava / ia b eans f o r Huaca P r ieta a nd o ther c oa s ta l P eruv ian s i tes . However , w ith r ega rd t o P . l una tu s , i t s a b sence f r om R ea l A l to p rov ides u sefu l e v idence s ugges t ing t ha t t he l e gume f r act ion o f t he p reh i stor ic d iet i n t h is a rea wa s n o t b eans o f t he g enus P haseo lus a nd t ha t t he P . l una tus o f c oa sta l P eru d id n ot d er ive f r om s outhwes tern E cuador . The f o rego ing r ev iew o f ma ize a nd b ean d a tes a nd o ccurrences i n h igh land a nd c oa sta l P eru a nd E cuador l e ads t o c er ta in c onc lus ion s : P haseo lus b eans e n tered c oa s ta l P eru i ndependen t ly o f ma ize ; c ommon b eans a re a rch o log ica l ly d e tec tab le i nt he c oa sta l e cono my s o met ime i n t he L a te P receram ic P er iod o r a f ter t he b eg inn ing o f t he c eram ic p er iod ; l ima b eans w ere p resen t o n t he c oa s t i n t he p receram ic p er iod a nd i n s o me s e tt le men ts a n teda ted t he u se o f ma ize . C anava / ia ( p lag iosperma ) p reda ted P haseo lus b eans o n t he S ou th Amer ican C oa s t a nd p robab ly h ad t he ir e a r l iest u se i n s ou thwe stern E cuador . There i sn o e v idence t ha t ma ize a nd l ima b eans o r ma ize a nd c ommon b eans t rave led t ogether a s t hey w ere i n troduced i n to p receram ic o r e a r ly c eram ic p er iod s i tes . L i ma b eans a nd c o mmon b eans t oo , a ppea r t o h ave b een i n troduced o r a dop ted i n to t he e cono m ies o f h igh land a nd c oa s ta l s e tt le men ts i ndependen t ly o f o ne a nother . The t wo P haseo lus s pec ies u ndoub ted ly w ere i n troduced f r om t he h igh land s t o t he c oa s t . Mesoamer i ca S ince t he mos t r e cen t r ev iew o f c ommon b eans i n t he a rch o log ica l r ecord o f Mesoamer ica ( Kap lan 1 981) l i tt le n ew ma ter ia l h a s c o me t o l i gh t . A tten t ion , h owever , s hou ld b e c a l led t o f i nds o f ma ize a nd b eans i n t he Mayan l ow lands o f B e l ize , M iks icek e t a l . ( 1981 ) s umma r ize t he ma ize f i nds a t Cue l lo i n l e ve ls v a ry ing f r om 2 000 BC t o AD 2 50 .

I t may b e a ssumed t ha t P . v u lgar i s b eans a re p resen t i n t h is p er iod .

P oor

p reserva t ion d etrac ts f r om t he p robab i l ity t ha t t hey w i l l b e f ound . A t L amana i i n B e l i ze , P enderga s t ( pe rsona l c ommun ica t ion n . d . )r e covered c o mmon b ean s ( i den t if i ed b y t he s en ior a u thor ) d a t ing t o a bou t 2 , 000 y ea rs a go . These a re sma l l b lack b ean s , d o mes t i ca ted , a nd r e semb le b lack s eeded v in ing b ean s t ha t a re t oday c om mon ly c u l t iva ted i n t he V a l ley o f Oaxaca . A l though t he d a te s a re n ot s i gn if i can t i nt e rm s o ft he o ve ra l l r ecord f o r b ean c u lt iva t ion i n t he Amer ica s , t he r ecord o ft hese s i tes w ith r ega rd t o P haseo lu s i s i n te rest ing i n t wo r e spec ts . F irs t t hey c on st itu te t he f i r st h um id c oa sta l l ow land r ecord n orth o f S ou th Amer ica ( s outhwes tern E cuador ) , a nd s e cond , P . l una tus i sn o t p resen t . S evera l ma jor s t ra t if ied s i tes i n Me soamer ica ( and t he U .S . S ou thwes t ) ( Ka p lan 1 981 ) a re s im i la r w i th r e spec t t o t he ir " bean p rof i les " . C o mmon b eans f i rst a ppea r

1 46

i n p receram ic l e ve ls i n v ery l ow n u mbe rs : 4 ,000-6 ,000 y ea rs a go i n n orthea s tern Mex i c o a t O campo i n T amau l ipa s ; 5 , 000-7 ,000 y ea rs a go i n t he T ehuacan V a l ley o f C en tra l Mex ico . C ommon b eans ( and ma ize ) i n crea se a s c omponen ts o f t he f ood p lan t r e ma ins i nh igh land Mesoamer ican s i tes s o me t ime d ur ing t he AD 1 00-700 p er iod , a pprox ima t ing t he t ime s pan f r om P rotoc la ss ic t h rough L a te C la ss ic p er iods ( Adam s 1 977 : 3 32-333 ) i n t he Pueb la—Oaxaca V a l leys , ( Kap lan 1 981 a nd u npub l ished ) i n T amau l ipa s ( Kap lan a nd MacNe ish 1 960 ) a nd i n Du rango ( Brooks e ta l . 1 962 ) . Th is i s at ime when t here i s e v idence f o r e xp los ive p opu la t ion g rowth a nd t he f ound ing o f u rban c en ters a s w e l l a s p emanen t v i l lages . B y t h i s p er iod i n t he a r id h igh land v a l leys a gr icu lture wa s c arr ied o n i n f i e lds wa te red b y s ea sona l r a ins , a nd v a r ious f o rm s o f c ana l a nd w e l l i r r iga t ion o n h i l ls ide t e rrace s a nd v a l ley f l oors ( F lannery a nd Ma rcus 1 983 : 3 23-339 ) . Th is t ime s pan o f AD 1 00-700 i n Mesoamer ica may ma rk t he b eg inn ing o fc om mon b ean c u l t iva t ion a s af i e ld c rop w ith t he b u sh t ypes g a in ing i n i mportance r e la t ive t o v in ing t ypes .

F orces o f p opu la t ion p ressu re , s hortage o f h um id b otto m l ands a nd

t he c onco m m i tan t g row th o f ma rke ts may h ave c omb ined t o p ress u pon e a r l ie r f o rms o f s ub s is tence ma ize—bean— squa sh h ort icu l ture . I n l a ter t imes , c onques t a nd t he e xac t ing o f t r ibu te wh ich b ecame ma rked i n t he l a te C la ss ic a nd P ost -c la ss ic t imes n o d oub t a f f e cted a gr icu l tura l p roduc t ion b y n ecess ita t ing t he p roduc t ion o fs hort s ea son h a rvest o f s to rab le , t ranspor tab le , c rops l i ke ma ize a nd b u sh b eans . Who le , d ry b ush b ean p lan ts a re p resen t i n V a l ley o f Oaxaca p lan t r e ma ins b y a bou t 1 , 000 y ea rs a go ( unpub l ished ) a nd i n T amau l ipa s b y 8 00 y ea rs a go ( Kap lan a nd MacNe i sh 1 960 ) . Wh i le i ti sd oub tfu l t ha t a n i ncrea se i n t he p roduc t ion o fb ush b ean s c an e ve r b e d ocumen ted b y p reh is tor ic b ean r e ma in s t he mse lves , a t l e a st w e k now t ha t t he s e lect ion o f dwa rf g row ing f o rms h ad b een made a nd t ha t t hese w ere a va i lab le f o r f i e ld a gr icu l tu re b y 1 , 000 y ea rs a go . S tud ies o f s tab le i s otope r a t ios o f n i trogen i n h uman s ke leta l r e ma in s m igh t r e so lve t he q ues t ion o f t he d egree t o wh ich d i eta ry p ro te in wa s d er ived f r om l e gume s ource s r a ther t han h un ted a n ima l s pec ies ( DeN iro a nd Ha s torf 1 985 ) . P . l una tus i n Mesoamer ica a ppea rs r e la t ive ly l a te i n t he a rch o log ica l r ecord , p robab ly n o t b efore 1 , 300-1 ,400 y ea rs a go ( Kap lan 1 965 ) . B o th t he f l a t s e iva a nd t he s pher ica ls o -ca l led " ca r ib" t ypes a re p resen t i n Mesoamer ica a t as i ng le s i te i n Durango b y AD 1 , 300 ( Brooks e ta l . 1 962 ) . There a re n o r e ma ins o fP . l una tus r eported a s y e t i n t he a rch o log ica ll i tera ture o fh um id l ow land Mesoamer ica . The s epa ra t ion o f Mesoamer ican a nd Andean l ima s i sl ong r e cogn ized o n morpho log ica l g round s a nd s hou ld b e e xam ined b y p rote in e l ectrophores is me thods wh ich a re p rov ing s ucces sfu l i n t he s tudy o fc om mon b eans ( Gep ts a nd B l iss 1 985 ) . P . c o cc ineus L . , t he r unner b ean , a ppears a s ad omes t ica te i n t he T ehuacan V a l ley s ecu re ly d a ted b y 2 , 200 y ea rs a go ( Kap lan 1 967 ) a nd i n Durango b y 1 , 300 y ea rs a go ( Brooks e t a l . 1 962 ) . Th is s pec ies i sn ot k nown i n S ou th Amer ican p reh is tory a nd p robab ly d id n ot e n ter t he S ou thwes t u n t i l h i s tor ic t imes . P . a cu t i f o l ius G ray v a r . l a t i f o l ius F ree man , t he t epa ry , wa s c u l t iva ted b y 5 ,000 y ea rs b e fore p resen t t ime i nt he T ehuacan V a l ley ( Kap lan 1 967 ) a nd b y 1 , 000-1 ,200 y ea rs b efore p resen t t ime i n t he Hohokam r eg ion o ft he S ou thwes t ( Kap lan 1 956 ) . S ummary I n h i s l a ter w r i t ing , V . Gordon Ch i lde ( 1958 ) o bserved t ha t t he N eo l i th ic " r ev o lu t ion" mus t r ea l ly b e t he r e su lt o f o ngo ing a nd l ong t e rm p rocesses a nd s hou ld n ot b e u nderstood a s as i ng le e ven t . Our p resen t v i ew o f d omes t ica t ion i sc erta in ly i n h a r mony w ith t h is p os it ion . I ndeed t he e nd r e su lt o f t he l ong t e rm p rocess may e ven ma sk t he p rocess i t se lf . The p resen t a ssoc iat ion o f ma ize a nd b eans i n i nd igenous Amer ican a g r icu ltu re a nd d i et i st he w e l l a dap ted r e su lt o f s epa ra te e vo lu t iona ry p rocesses a nd i ndependen t d ifus ion .

Ou r u nders tand ing o f p reh istory i n t he N ew Wor ld a nd o f t he

1 4 ' 1

p rocess o fd omes t ica t ion i n P haseo lus may b enef i t b y g rea ter a wa reness o ft hese s epa r a te p athways . B ecau se o f t he l i nkage o f P haseo lus a nd Z ea i n h i stor ic i nd igenous Amer ican a gr icu lture t he e a r ly p reh is tor ic r e cord o f t hese c rops i se xam ined f o r e v idence o f a n a s soc ia t ion t ha t m igh t r evea l ap oss ib le r o le f o r c oevo lu t ion i n t he e a r ly h i sto ry o ft hese c rop s .

O f p ar t icu la r i n terest i n t h is c on tex t a re t he p er iod o f t rans it ion i n P haseo lus

f r om t he w i ld t o t he d ome st ic f o rm , e spec ia l ly t he c hange i n s e ed s i ze , a nd t he e a r ly i n troduct ion o ft hese c rops i n to n ew r eg ions . How w ou ld a c oevo lu t iona ry p rocess i nvo lv ing a c erea l g ra in a nd f ood l e gume b e r ecogn ized i n t he a rch o log ica l r ecord? A c o mpa ra t ive a pp roach i sa dop ted i n a n e fort t o a pproach t h is q ues t ion : t he p reh istory o f O ld Wor ld—Nea r E a stern c erea ls a nd f ood l e gu mes i sb r ie f ly e xam ined . A g radua l i ncrea se i n l e gume s e ed s i ze o ver t he m i l l e nn ia o f e a r ly a gr icu ltu ra l ( Neo l i th ic ) h i story a ppea rs t o h ave t aken p lace a s p a r t o f a c odo mes t ica t ive p roce ss . No c ons isten t r e cord o f e a r ly j o in t o ccurrences i se v iden t f o r P haseo lus a nd Z ea ( t ab le 3 ) . F ur thermore , t he t rans it ion f r om sma l l t o l a rge s e ed s i ze i sn ot p reserved i n t he N ew Wor ld a rch e eo log ica l r e cord .

F or t hese r ea son a s w e l l a s t he a bsence o f Z ea

a ncestors i n S ou th Amer ica where ma jor b ranches o f b o th t he c ommon a nd l ima b ean g roup s w ere d omes t ica ted , c oevo lu t ion a s ap rocess i n t he e a r ly m i l lenn ia o f ma ize a nd b ean e vo lu t ion i sr e jec ted .

T ab le S . Z ea a nd P haseo lus i n E ar ly P r eh i s tor i c C on tex ts . S i tes a re d i scussed i n t he t ext . P v = c ommon b ean , P l= l ima b ean . Da tes : t housand s o fy ea rs b efore p resen t t ime G rea ter

Mesoamer ica

S outhwest

H igh lands 1 . 0 (GN )

2 . 3(Tu lCv )

Andean Amer ica C oa st

E cuador

•

P v

2 -3 .0 (GT ) Z ea

Z ea—Pv 2 . 7(Je mez ) Z ea

3 . 7(Huarmey ) Z ea

3 . 0(SJuan ) Z ea

4 . 3-7 .0

4 . 75(P ich )

( Tmps )Zea

P v

•

4 . 5-5(Va ld iv ia ) Z ea

( T eh )Zea ,Pv? 5 -6 (Aya )

T u lCv=Tu la rosa

Z ea p o l len

C ave

5( Huaca P r ieta ) P I 5( Huar mey )

J e mez=Jemez C ave

Z ea p o l len

S Juan=San J uan b a s in GN= -Gu i la Naqu i tz

8 10 (GT )

Tmps=Tamau l ipa s

P v , P 1

GT=Gu ita rrero c ave P ich=P icha sca

T eh=T ehuacan

A ya=Ayacucho

1 48

Da tes f o rt he e a r ly a ppea rance o fP haseo lus a re c r it ica l ly r ev iewed a st hey p e rta in t o t he ma jor r eg ions o f i nd igenous a gr icu l ture i n t he Amer ica s : t he G rea ter S ou thwes t ; Andean Amer ica ; Mesoamer ica ; t he I n termed ia te Z one . I n t he G rea ter S ou thwes t c om mon b eans a re p resen t b y 2 300 BP . O ther P haseo lus s pec ies a re l a ter . I n t he Andean h igh lands s ecure d a tes o fa t l e a st 8 000 BP , l ong b efore t he i n troduct ion o fp o ttery , h ave b een o bta ined f o r c o m mon a nd l ima b eans . On t he Andean c oa st l ima b eans a re p resen t b y 5 000 y ea rs BP . C ommon b ean s a re p resen t a t l e a st b y 2 500 BP a nd p robab ly w i l l b e s hown t o b e e a r l ier b u t t he re s eems t o b e n o c onnec t ion b e tween c om mon b ean a nd l ima b ean i n t roduct ion . The p r ior a ppea rance o f t hese s pec ies i n t he Andean H igh lands a nd t he ir a bsence f r om e a r ly s i tes o n t he c oa st o f E cuador a nd a long t he O r inoco a nd Ama zon R ivers i n V enezue la c onf i rm s t he v i ew t ha t c o mmon a nd l ima b ean s r eached t he c oa st o f P eru d i rect ly f r om t he h igh lands . I t i sl i ke ly t ha t t hese s pec ies w ere o r ig ina l ly d omest ica ted d ur ing t he L i th ic p er iod o n t he e a stern s l opes o f t he Andes a nd w ere l ong e s tab l ished i n Andean h igh land v a l leys b efore t hey w ere a dop ted i n to c oa s ta l a gr icu ltu re . I n Mesoamer ica , t he e a r ly d a tes o f 6 -7000 BP a re b a sed o n sma l l s amp les , b u t a re p robab ly v a l id .

The p a t tern o f t he d i s tr ibu t ion o f t hese r e ma ins i n Mesoamer ican

s i tes , h owever , s ugges ts t ha t P haseo lus b eans may n ot h ave b een a n i mportan t p a r t o f t he d i et u n t i l t he L a te P re -C la ss ic a nd C la ss ic P er iods AD 1 00-700 . A t t h is t ime r ap id c hanges i n p opu la t ion g row th , s e t t le men t p a ttern s , l and u se a nd o ther a rea s o f h uman a c t iv i ty w ere w idesp read i n Mesoamer ica . Th is t ime p er iod c o r responds t o t he f r u i t ion o f wha t V . Gordon Ch i lde c a l led t he U rban R evo lu t ion : a rcha ic a nd e a r ly s ta tes w ere mov ing t oc i ty—sta te l e ve ls oc iet ies . E a r l i er t heocra t ic p ro to -urban c en ters o ft he F orma t ive P er iod c ame t o b e r ep laced b y f u l ly u rban c en ters ( s ee Gända ra a nd L umb rera s i n t h is v o lu me ) . I ncrea ses i n s eden ta r i sm , p opu la t ion s i ze a nd d ens i ty , s pec ia l iza t ion o f c ra f t p roduc t ion a nd e xchange n e tworks w e re a ccompan ied b y t he i n tens if ica t ion o f a gr icu l tura l p roduct ion . I ti st o b e e xpected t ha t n ew s t ra teg ies t o i nc rea se l and u nder c u lt iva t ion a nd t e chno log ica l c hanges i n wa ter c on tro ls hou ld a l so i nvo lve c hanges i nc rop p lan t v a r ie t ies g rown u nder t hese n ew c i rcu m s tances . B ecau se s uch c hanges may h ave r equ ired t he p roduct ion o f c rops h av ing s hort h a rves t s ea son , i n c on tras t w ith t he e x tended s ea son c ha rac ter is t ic o fv in ing b ean s , b ush b eans may h ave b eco me mo re i mportan t a t t h is t ime . The ir r e ma ins h ave b een f ound i n Oaxaca , Mex ico , b y 1 000 y ea rs BP . I n a ttempt ing t o u nders tand t he e vo lu t ion o f P haseo lus u nder d o mest ica t ion , a v a r ie ty o fa pproaches mus t b e u sed . A s o ne a pproach t o t h is p rob le m t he a rch o log ica l r e co rd o fp lan t u t i l iza t ion p rov ides t he p erspec t ives o ft ime d epth a nd t he r e la t ionsh ip t o h uman c u l tu res . T o b e u sefu l , h owever , t he l im its o f t he a rchz eo log ica l me thod must b e u nde rstood a nd t he d a ta r e su lt ing f r om t he b otan ica l a na lys is o fa rch o log ica l ma ter ia ls mus t b e e va lua ted c r i t ica l ly . We k now t oo t ha t t he p reh is to r ic r ecord i sf a r f r om c om p l ete : e ach o ft he s pec ies d i scussed i nt h is p aper i ni t s p reh is tor ic c on text h ad u ndergone ma jor c hanges b efore o ur e a r l ies t r e cords o f i t s e x is tence . No te : Af u l l t r ea tmen to ft he c u l t iva ted P haseo lus s pec ies c an b ef ound i n : G ene t i c R esour ces , Domes t ica t ion , a nd E vo lu t ion o fP haseo lus B eans , e d ited b y P au l A . G epts , Ma r t inus N i jhof f a nd D r . W . J unk Pub l i shers ( i n p repa ra t ion ) . Many o f t he i dea s d i s c ussed h ere w ere d eve loped b y t he a u thors i n t he p rocess o f p repa r ing a c hapter o n a rch o log ica l P haseo lus f o r t ha t b ook .

1 49

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1 50

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v o l .

1 E nv ironmen t a nd

S ubs is tence , e d i ted b y

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1 51

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( Phaseo lus l una tus )" ,

i n Ducc io

B onav ia ,

L os

G av i lanes ,

E d i tor ia l

Au son ia , T a l leres G räf icos S . A . L i ma , P erü : 1 81-182 . 1 986 .

" Preceram ic P haseo lus f r om Gu i la Naqu i tz" , i n Gu i la Naqu i tz : E ar ly F orag ing a nd E ar ly A gr i cu l tur e i n O axaca , Mex ico , e d ited b y Ken t V . F lannery , A cadem ic P ress , N ew Y ork : 2 81-284 .

KAPLAN , L . , T . F . LYNCH , a nd C . E . SM ITH , J r . 1 973 .

" Ea r ly Cu l t iva ted B ean s ( Phaseo lus v u lgar i s ) f r om a n I n ter mon tane P e ruv ian V a l ley" , S c i ence 1 79 : 7 6-77 .

KAPLAN , L . a nd R . S . M ACNE ISH 1 960 .

" Preh is tor ic B ean R ema ins f r om C aves i n t he O ca mpo R eg ion o f T amau l ipa s , Mex ico" , B o tan ica l Museum L eaf l e ts , Ha rva rd Un ivers i ty 1 9 : 3 3-56 .

LU MBRERAS , L . G . 1 974 .

T he P eop les

a nd

C u l tur es o f Anc i en t P eru , Sm i thson ian I nst i tu t ion

P ress ,

Wa sh ington , t rans la ted b y B e tty J ane Meggers . LYNCH , T . F . 1 980 .

Gu i tarr ero C ave : E ar ly Man i n t h e Andes , A cadem ic P ress , I nc . , N ew Y o rk .

LYNCH , T . F . , R . G ILLESPIE , J . A . J . GO WLETT , a nd R . E . M . HEDGES 1 985 .

" Chrono logy o f Gu i ta rrero C ave , P eru " , S ci ence 2 29 : 8 64-867 .

METCALFE , C . L . , a nd W . P . FLINT 1 962 . D es truc t ive a nd U sefu lI nsec t s , t h e i r Hab i t s a nd C on t ro l , 4 th e d i t ion , McGraw -H i l l B ook C o . , N ew Y ork . MINNIS , P . E . 1 985 .

" Do mest ica t ing P eop le a nd P lan ts i nt he G rea ter S outhwes t" , i n P r eh i s tor i c F ood P roduc t ion i n Nor th Amer ica , e d i ted b y R icha rd I .F ord , An th ropo log ica l P apers , Museum o f An thropo logy Un ivers ity o f Mich igan n o . 7 5 , Ann A rbor : 3 09-339 .

P IPERNO , D . 1 985 .

" Phyto l i th T aphonomy a nd D istr ibu t ions i n A rch o log ica l S ed imen ts f r om P anama " , J ourna l o fA r cheo log i ca l S c i ence 1 2 : 2 47 -267 .

RENFRE W , J .M . 1 973 . P a l eo e thnobo tany , t h e P r eh i s tor ic F ood P lan ts o f t h e N ear E as t a nd E urope , C o lumb ia Un ivers ity P re ss , N ew Y ork . ROOSEVELT , A .C . 1 980 . P armana : P r eh i s tor ic Ma iz e a nd Man io c S ub s i s tence

a l ong t he Amazon a nd

O r inoco , A cade m ic P ress , N ew Y ork . SAUER , C .O . 1 969 .

A gr icu l tura l O r ig ins a nd D i spersa l s , M .I .T . P ress , C amb r idge ( o r ig ina l e d it ion , 1 952 , Amer ican G eograph ica l S oc ie ty ) .

1 52

S IM MONS , A .H . 1 986 .

" New E v idence f o r t he E a r ly U se o f Cu l t igens i n t he Amer ican S outhwes t" , Amer i can An t iqu i ty 5 1 ( 1 ) : 7 3-89 .

SM ITH , C .E . J r . 1 980 .

" P lan t R ema ins f r o m Gu itarre ro C ave" , i n Gu i tarr ero C ave , E ar ly Man i n t h e Andes , e d ited b y Thoma s F . L ynch , A cadem ic P ress , N ew Y ork : 8 7 -119 .

WEIR , G . H . a nd D . BONAVIA . 1 985 .

" Copro l itos y d ieta d e l p receräm ico t a rd io d e l ac os ta p eruana " , B o le ti ? : I ns t i tu to F rance s d e E s tud ios A nd inos X IV ( 1-2 ) : 8 5-140 .

YEN , D .E . 1 977 .

" Sunda a nd S ahu l ", i nA l len , J . ,J . Go l son , a nd R . J ones ( eds ) , P r eh i s tor i c S tud ies i n S ou thwes t A s ia , Me lanes ia , a nd Au s tra l ia , A cade m ic P ress , N ew Y ork : 5 67-599 .

ZOHARY , D . , a nd M . HOPF 1 973 .

" Domest ica t ion o f Pu lses i n t he O ld Wo r ld " , S ci ence 1 82 : 8 87-894 .

1 53

A NOT HER APP ROAC H TO THE D O MESTIC ATIO N OF PHASEOL US

ALFO NS O DELG A D O SALI N AS Un ivers idad Nac iona l Aut6no rna d e Mex ico

V e rdcourt ( 1970 ) r edef ined P haseo lus t o i n c lude a g roup o f a pprox ima te ly f i f ty c l ose ly a l l ied N ew Wor ld s pec ies mo rpho log ica l ly s im i la r t o t he c o mmon b ean , P haseo lus v u lgar i s L . Add i t iona l ly , s i gn if ican t c on tr ibu t ion t o t he u nderstand ing o ft he g enus w ere t hose o f Ma r6cha l e t a l .

( 1978 ) a nd L ackey ( 1983 ) , wh ich a ccep ted a nd e xtended V erdcou rt 's

w o rk g i v ing a more c onc i se d ef in i t ion o f P haseo lus . R ecen t ly , D e lgado ( 1985 ) c omp leted as ys tema t ic r ev is ion o f t he s pec ies o f t he g enus f o r Mex ico a nd C en tra l Amer ica . The g enus P haseo lus , t herefore , i s aN ew Wor ld g roup , mos t ly c en tered i n Mex ico a nd C en tra l Amer ica . Man h a s u nques t ionab ly b een a f a c tor i n t he d i str ibu t ion o f a t l e a st a f ew s pec ies o f P haseo lus .

Wi ld s pec ies l i ke P . macu la tus ( f ormer P . me tca lf ei )

s how e v idence o f h u man man ipu la t ion a nd a l so i n terven t ion i n i t s d i str ibu t ion .

Wha t

It ake t o b e t he p re -h isto r ic r ange o f t he g enus i ss hown i n F igure 1 . Th is d i s tr ibu t ion map wa s made c ons ider ing s pec ies i n Mex ico a nd C en tra l Amer ica , a nd P . a ugu s t i i a nd P . p achyrhyzo ides f o r S ou th Amer ica . On ly t h ree s pec ies o f P haseo lu s s how t ru ly w ide d i s tr ibut ions ( f rom Mex ico t o S outh Amer ica a nd o f ten a l so t he Wes t I nd ies ) ; t hese a re t he c u lt iva ted s pec ies P . c o cc ineus , P . l una tus a nd P . v u lgar i s , a nd t he ir w i ld a nd f e ra l c oun terpa r ts . Th is c o inc iden ta l d i s tr ibu t ion c l ea r ly i nd ica tes h uman i n terven t ion d u r ing t he p a st h i s tory o f t he se s pec ies . The g enus P haseo lu s h a s i t s c en ter o fd ive rs i ty , a nd p robab ly i t s c en ter o fo r ig in i n Mex ico , where more t han n inety p er c en t o f t he s pec ies o ccur . d ivers i ty d ecrea ses d ra s t ica l ly i n n umber o f S ou th Gua te ma la .

Th is g rea t s pec ies

I n S outh Amer ica , t he

f ew n a t ive s pec ies o ccur ma in ly i n t he h um id C ord i l lera O r ien ta l o f t he Andes , f r om s outhern E cuador , P eru , B o l iv ia a nd n or thern A rgen t ina . Wi ld b eans a re af ood r e source t ha t h ave b een a va i lab le f o r al ong t ime a nd c ou ld n o t h ave b een o ver looked b y g a ther ing p eop le . I tw ou ld s eem , f r o m at en ta t ive p ro jec t ion o f t he p resen t s i tua t ion b ackwa rd t o t he t ime o f i n c ip ien t d o mes t ica t ion , t ha t t he w i ld s tand s o fb eans i n Nor th Amer ica w ou ld h ave b een v ery a t tract ive t o t he f ood -co l lec t ing c u ltu res . Thus , s o me o f t he se w i ld b eans c ou ld h ave b een ( and p robab ly w ere ) c arr ied b y t he m f r om p lace t o p lace . P haseo lus v u lgar i s L . The o r ig in o f t he c o mmon b ean h a s b een t he o b jec t o f much d eba te f o r s evera l y ea rs . More t han t h irty y ea r s a go B urka rt a nd B rucher ( 1953 ) p roposed aw i ld b ean f r om S outh Amer ica a s t he a ncestor o ft he c u lt iva ted P . v u lgar i s . The w i ld b ean wa s d escr ibed b y Burka r t ( 1952 ) a s P . a bor ig ineus . S ub sequen t ly , M iranda C o l in ( 1967 ) a nd t hen G en t r y ( 1969 ) c ons idered t ha t t he w i ld f o rm o f P . v u lgar i s o ccu rs i n Mesoamer ica a nd t ha t t he S ou th Amer ican f o rm ( P . a bor ig ineus ) wa s p oss ib ly a w eedy f o rm . Much h a s b een w r itten s i nce t ha t d a te , a nd t ak ing i n to c ons idera t ion t he a rcheo log ica l e v idence a no ther h ypo thes i s wa s p roposed . E ach g eograph ica l f o rm g ave r i se t o d if eren t c u lt iva rs o f t he c ommon b ean a nd t herefore , i ndependen t d o me st ica t ion s w ere e s tab l i shed ( He i ser 1 979 ; E vans 1 976 ; Kap lan 1 981 ) . The p reva i l ing o p in ion t herefore p ropose s a mu lt ip le d omes t i ca t ion ( Gep ts , i n p ress ) .

D e lgado ( 1985 ) t r ea ted b o th g eograph ica l f o rm s a s v a r ie t ies o f P . v u lgar i s , t hus P . v u lgar i s v a r . mex icanus D e lgado e ncompa sses t he Mex ican a nd C en tra l Amer ican t axa ( f ig . 2 ) , a nd P . v u lgar is v a r . a bor ig ineu s ( Bu rka rt ) B audet c ompr ises t he b eans f r om S ou th Amer ica . I n T ab le 1 a c ompa r ison b e tween P . v u lgar i s v a r .

mex icanus a nd P . v u lgar i s

v a r . a bor ig ineus i sp resen ted . The c ha racters c oncerned h ave b een g enera l ly s e lected a nd r epresen t t hose u sed i n c rop p lan t d o mest ica t ion .

Mos t o f t he i n forma t ion u sed wa s

e xtrac ted f r om V anderborgh t ( 1983 ) . C orky s t e ms h ave b een r eported f o r v a r . mex icanus b y G en try ( 1969 ) f r om Na y a r i t , J a l isco a nd Michoacan , a nd l i gnescen t s t ems h ave b een f ound o n S tevens 1 56 , 9 . 9 f r om N ica ragua . The l a tter h erba r ium s pec imen s hows t ha t ac er ta in d egree o fp erenn i a l i sm c an b e f ound o n v a r . mex i canus . The p ods o f v ar . a bor ig ineus s how a mod if ica t ion o f t he d eh iscence mechan ism o n ly f ound o n t he c u lt iva ted p lan ts . B erg lund -Brucher a nd B rucher ( 1976 ) c ommen ted w i th r e spec t t o t he p od d eh iscence t ha t t h is wa s " . . le ss d eve loped t han i n o ther w i ld g row ing Phaseo l inae" . S eed n umber p e r p od i ng enera l h a s d ec rea sed f o l low ing d omes t ica t ion i n P . v u l g ar i s ( Evans 1 976 ) .

The n umber o f s eeds p er p od a s w e l l a s t he i ncre men t i n s eed

w e igh t a nd h i lum l engh t i n v a r . a bor ig ineus may r ef lec t s o me d egree o f d omes t ica t ion . Kap lan ( 1981 ) o n t he o ther h and , s ugges ted t ha t s eed s i ze i n crease d oes n o t h ave t o f o l l ow s e lect ion b y h u mans " . . b ut may h ave i nvo lved s imp le p ract ices b y p reagr icu l tura l , g a ther ing f o lks a nywhere t ha t w i ld P . v u lgar i s wa s u t i l ized a s af ood r e source" .

A lso

g rea ter s eed l ing s i ze i so b served i n c u l t iva rs a nd d omest ica ted p lan ts t han o n w i ld o nes . The a bove i n forma t ion s hows t ha t v a r . a bor ig ineu s h a s a t tr ibu tes o f ad ome s t i ca ted o r s em idomest ica ted p lan t , a nd t ha t i t i s e i ther a n e a r ly e scape o r e l se wa s i n troduced a s aw i ld o r i n c ip ien t c u lt iva r b y man f r om t he n or thern h em i sphere . The l a tter wa s c ons ide red a s ap oss ib le e xp lana t ion f o r t he e xtens ive d i str ibu t ion o ft he w i ld f o rm o f P . v u lgar i s b y H e iser ( 1979 ) . R ema in s o fb otan ica l ma ter ia l h ave b een u ncovered i n s evera l a rcheo log ica l s i tes i n Mex ico a nd P e ru .

Most o f t hese s i tes h ave y i e lded c u l t iva ted a nd i n f ew o cca s ion s

( Kap lan 1 981 ) w i ld b ean s , most i fn o t a l l o f wh ich h a s b een c r i t ica l ly e xam ined b y D r . L . Kap lan .

A rcheo log ica l e v idence s hows t ha t Andean I nd ians h ad d omes t ica ted

b eans b y 7 , 600 BP . I n T ehuacan , Mex ico d omes t ica ted c ommon b ean s w ere f ound d a t ing t o 6 ,000 BP . Therefore b ean d omes t ica t ion e v iden t ly t ook p lace a t s o me t ime p reced ing 7 ,000 BP . A lso , t h is d o mes t ica t ion t ook p lace i ndependen t ly i n b o th r eg ion s . Mos t r e cen t ly , G ep ts ( i n p re ss ) u s ing t he ma jor s e ed s torage p ro te in , p ha seo l in , a s a n e vo lu t iona ry ma rker t oge ther w ith s eed s i ze d a ta f ound d if eren t p ha seo l in t ypes f o r t he North Amer ican a nd t he S outh Amer ican w i ld b eans . A lso , h e s ugges ts t ha t a t l e a s t t hree d omes t ica t ion r eg ions c an b e h ypothes ized i n t he o r ig in o fP haseo lus v u lgar i s . 1 . I n Mex ico a nd C en tra l Ame r ica , where " S" p ha seo l in -type w i ld b ean s g ave r i se t o " S" p ha seo l in -type c u lt iva rs ( sma l l -seeded ) . 2 . I n C o lomb ia , where " B" p ha seo l in -type w i ld b eans g ave r i se t o " B" p ha seo l in t ype c u l t iva rs ( sma l l -seeded ) . 3 . I n t he s outhern Andes , whe re " T" p ha seo l in -type w i ld b eans g ave r i se t o " T" p ha seo l in -type c u lt iva rs . The a bove d a ta f r om e l ectrophoret ic t e chn ique s a gree i n many ways w i th wha t morpho logy h a s s hown w i th r e spec t t o " w i ld" p opu la t ions . Tha t i s , i t c onf i rms t he e x i stence o f v a r . mex i canus i n Mex ico a nd C en tra l Amer ica , a nd a l so wha t B erg lund -

1 56

B rucher ( 1976 ) men t ioned w i th r e spec t t o q u i te d if eren t p opu la t ion s o f v a r . a bor ig ineus f r om C o lo mb ia . P haseo lu s c o cc ineus Three a re t he a rcheo log ica l s i tes t ha t h ave y i e lded b eans o fP . c o cc ineus i n Mex i c o .

R ema in s o f d o mes t ica ted P . c o cc ineus w ere d i scovered i n R io Z ape , S onora b y

1 300 BP a nd i n T ehuacan , P ueb la b y 2 , 200 BP ( Kap lan 1 967 ) . Kap lan a nd MacNe i sh ( 1960 ) i n t he O campo C ave s i te i n T amau l ipa s i d en t if ied o ne a lmos t c omp le te p od v a lyz e a nd a f r agmen t o f as e ed a s aw i ld P . c o cc ineus i n o ccupa t iona l l a yers d ated 7 500-9000 BP . They b a sed t he i r h ypothes is " by t he e xtre me a ge o ft he r ema in s a nd t he ir o ccur rence l ong b efore t he p ract ices o fc eram ic c ook ing a nd a g r icu ltu re , a nd b y t he a ppa ren t l a ck o fs e lect ion f o r p od c ha racter ist ics f ound i n modern c u l t iva ted v ar ie t ies" . Kap lan a nd MacNe i sh ( 1960 ) r ecogn ized t ha t t he a na tom ica l f ea tu res o ft he p od v a lv& c orresponded more c l ose ly t o ad eh iscen t w i ld p od . However , d eh iscen t p od s a re n o t r e s tr ic ted t o w i ld f o r ms b u t a re a l so p resen t i n d omes t ica ted P . c o cc ineus . Moreover , t he t o ta l l eng th a nd w idth o f t he r ecovered v a lve s ( g rea ter t han 1 1 .0 cm l ong a nd 1 . 5 o r mo re cm w ide ) a re d iagnost ic t ra i ts o n ly f ound i n modern c u lt iva rs . The l a rges t p od o f aw i ld P . c o cc ineus wa s o n ly 8 . 0 cm l ong a nd 1 . 3 cm w ide ( De lgado , i n p ress ) . Therefore , t he p od f r ag men ts p rov ide d iagnost ic t ra its f o rr ecogn it ion o fi n c ip ien t d ome st ica t ion a l ready i n e x i s tence a round 7 , 500-9 ,000 y ea rs BP . A rcheo log ica l e v idence a ppea rs t o s upport t he i d ea o fa n e a r l ier d ome st ica t ion o fb eans , a t l e a st f o r P . c occ ineus .

1 5 ' 7

C

,.

0

200

m ill a s

F igure 1 .D i st r ibut ion o ft he P haseo lus g enera .

1 58

6 00 l 42

90 °

. ? „ •

Z " ••

** • • ;

••

S. . .)

,

9 p°

1 1 0°

F igure 2 . D i s tr ibut ion o fP ha seo lu s v u lg ar i s v a r . m ex i canus A . D e lgado

•

1 59

TABLE 1 .

C ompa r i son b e tween P . v u lgar i s v a r . mex i canus D e lgado a nd P . v u lgar i s v a r . a bor ig ineu s( Burk . ) B aude t .

C ha rac ter s

v a r . mex i canus

v a r . a bor ig ineus

H ab i t

Annua l , o cca s iona l ly s ome d eg ree o f p erenn ia l i sm

Annua l

S tems

H erbaceou s , s ome p lan t s d eve lop c orky ( Gen try , 1 969 ) t ol i gne scen t o ne s ( S tevens 1 5633 , N ica ragua ) .

H erbaceou s

P od d eh i scence

E la s t icaly t o t a rd i ly

D if feren t d eg ree o fd eh i scence p re sence o ff i ber le s s p od s .

No . s e ed sp er p od

7 c - = 5 .8

7 =3 .3

\ Ve igh t 1 00 s e ed s

7=6 .2 g r

7 c =1 3 .9 g r

H i lum l eng th

C a . 1 .0 m m

C a . 1 . 5 mm

S eed l ing e ophyy l ll eng th

r c=4 .0 cm

7=5 .6 cm

S eed l ing e ophyl w id th

7=2 .9 cm

7 =4 .3 c m

1 60

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BURKART , A . 1 952 . L as l e gum inosas a r gen t inas , s i lves tr es y c u l t ivadas , e d i ted b y Z . A c me , Buenos A i res . BURKART , A . , a nd H . BRUCKER 1 953 .

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" Var ia t ion , T axonomy , Do mes t ica t ion , a nd G er mp la sm P oten t ia l it ies i n P haseo l u s C occ ineus" , i nP . G ept s ( ed ) , G ene t i c R esour ces , Domes t i ca t ion a nd E vo lu t ion i n P haseo lus , Ma r tenus N i jhof f , N ether lands .

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1 61

MIRANDA COLIN , S . 1 967 .

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VERDCOURT , B . 1 970 .

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1 62

A NI MAL DO MESTICATIO N A ND EARLY A NI MAL H USB A ND RY IN CENTRAL , EAST A ND SO UT H EUROPE

SA N D O R BÖ K Ö N YI Hungar ian Acade my o f S c iences

F rom t he v i ewpo in t o f t he d eve lopmen t o f a n ima l h usbandry o f t he who le o f Eu rope , S ou thea st Eu rope h ad a k ey p os i t ion .

F irs t o f a l l , t he f i rs t d omes t ic a n ima ls c om ing

f r om S ou thwes t A s ia l anded t here f i rs t , t hen t he f i rs t d o mes t ica t ion o f t he e conom ica l ly mos t i mportan t d o mes t ic s pec ies ( ca tt le a nd p ig ) o f t he Eu ropean t empera te b e l t f i rs t h appened t here , a nd f i na l ly t he t yp ica l d o mes t ic f auna c ons ist ing o f f i ve a n ima l s pec ies ( ca t t le , s heep , g oa t , p ig , a nd d og ) f r om wh ich t he who le c on t inen t g ot i t s d o mest ic s tock l a ter t ook s hape t here . A w e l l -known p r inc ip le o f a rch ozoo logy i st ha t a n a n i ma l s pec ies c ou ld o n ly b e d o mest ica ted t here where i t s d omest icab le w i ld f o rm e x i sted . S ta rt ing o ut f r om t h is p r inc ip le , o ne c an d iv ide t he f i ve N eo l ith ic d omest ic s pec ies i n to t wo g roup s : t he w i ld f o rms o fs heep a nd g oa t d id n ot l i ve i nt he E uropean ma in land i n p os t -P le is tocene t imes , t hus i n t he t ime o f d omes t ica t ion , b ut t hose o f c a tt le , p ig a nd d og d id .

A t t he s a me

t ime , t he w i ld f o rm s o f a l l f i ve N eo l i th ic d omes t ic s pec ies o ccured i n S ou thwes t A s ia i n t he e a r ly Ho locene . A l l t h is means t ha t t he sma l l r um inan ts ( the c aprov ines ) c ou ld n o t b e d omes t i c a ted i n S ou thea s t Eu rope ; f o r t he i r p lace o f o r ig in o ne h a s t o l ook i n S ou thwe s t A s ia f r om where t hey g ot t o E u rope a l ready i n d omes t ica ted f o rm . The t h ree o ther s pec ies c ou ld b e a nd u ndoubted ly w ere d omest ica ted i n E urope t oo , a no ther q ues t ion i s whe ther t he ir d o mest ica t ion h appened i n E urope e a r l ier o r l a ter t han i n S ou thwest A s ia . With d og a nd p ig t he q uest ion i sn ot s imp le b ecause a t te mp ts o ft he ir d omes t ica t i on t ook p lace b o th i nE urope a nd S outhwes tA s ia w e l lb e fore t he a dven t o ft he N eo l i th ic , t he c l a ss ica l p er iod o f d omest ica t ion ; t hey o ccurred i n f ac t i n t he Meso l i th ic o r e ven i n t he l a te P a leo l i th ic ( Turnbu l l a nd R eed 1 974 : 8 4 ; B ököny i 1 976 : 2 0 ; Nob is 1 984 : 7 4 ; A l t una a nd Ma r iezku rrena 1 985 : 8 9 , 10 ) . The c ommon c ha racter ist ics o fb oth s pec ies wa s t ha t t he ir f ood r equ iremen t s w ere v ery s im i la r t o t hose o f man a nd c on sequen t ly t hey c ou ld e a s i ly s urv ive o n k i tchen r emnan ts . N ever the less , t he f a ct t ha t t hey n eeded t he s ame f ood t han man d id b ecame a n o bs tac le f o r t he i r l a rge -sca le d o mes t ica t ion . I dea ls ub jec ts o fd omes t ica t ion w ere t he c ap rov ines ( sheep a nd g oa t ) b ecau se t hey c ou ld s urv ive o n af odder r i ch i n c e l lu lose ( s traw a nd h ay a s b yp roducts o f a g r icu ltu re ) ; t hus t hey p roduced mea tf r om s uch af ood wh ich c ou ld n ot b e u sed b y man o rd og a nd p ig r e spect ive ly o n t he o ne h and , a nd wh ich wa s o ne o ft he most c o mmon o rgan ic ma ter ia ls o n t he t e rres tr ia l w or ld . The ir d omest ica t ion w en t h and in -hand w ith a gr icu l ture i n S ou thwest A s ia ( where t he ir w i ld f o r ms l i ved i n a bundance ) i n t he e a r ly N eo l ith ic .

A ccord ing t o o ur

mos t r ecen t k now ledge t he e a r l iest p oss ib ly d omes t ica ted s heep w ere f ound i nZ aw i Che m i S han ida r , n or thea s tern I r aq f r om t he e a r ly 9 th m i l lenn iu m BC ( Perk ins 1 964 : 1 565 ) b u t t he e a r l iest u ndoubted ly d omest ica ted s heep r e ma ins c ame f r om A l i Kosh , w es te rn I r an , c . 7 500 t o 6 750 BC ( Ho le a nd F lannery 1 967 : 1 71 ) . Two s i tes o f w estern I ran , A s iab ( Bököny i 1 973 : 7 1 ; 1 977 : 1 9 ) a nd Gan j Da reh ( Perk ins 1 973 : 2 79 ) p roduced t he r e ma ins o ft he e a r l iest d omest ic g oa ts f r om t he 8 th m i l lenn iu m BC . N eve rthe less , d o mes t ic g oa ts w ere s ure ly f ound i n J er icho ( C lutton—Brock 1 971 : 4 8 ) a nd p robab ly i n A l i Kosh ( Ho le a nd F lannery 1 967 : 1 71 ) a t a bout t he s ame p er iod t oo .

I n c ompa r ison t o t hese t hree s pec ies , t he e a r l ies t d o mes t ic p igs w e re f ound a l i tt le l a ter , i n Qa la t J a r mo , n or thea s tern I r aq , c . 6 750 BC ( F lannery 1 961 : 6 5 ; S tampf l i 1 983 : 4 54 ) a nd t he f i rs t d omes t ica ted c a tt le a ppea red i nC a ta l Hüyük , Ana to l ia , a t a bout 6 400 BC ( Perk in s 1 969 : 1 77 ) . Th is c omp lete N eo l ith ic d omes t ic f auna c on s is t ing o f t he a bove f i ve s pec ies r eached s ou thea stern E urope c .6 500 BC c om ing f r om t he N ea r E a s t . I ti st rue t ha t t wo o f i t s s pec ies , p ig a nd c a t t le , c ou ld a l so b e d omes t ica ted i n t he E uropean ma in land b u t o ne a ctua l ly d oes n o t f i nd a ny t races o f s uch a d omes t ica t ion b efore t he N ea r E a stern o ne . Anyway , t he e a r l iest d o mest ic f auna , t hus t he f i rst a n ima l h usband ry o f Eu r ope t ha t wa s f i rst f ound i n t he s ou thea s tern c orner o f t he c on t inen t wa s b a sed o n t he c aprov ines , s heep a nd g oa t , t ha t h ad t he ir o r ig ins i n S ou thwes t A s ia . I n f a ct , i t wa s s o i n e very e a r ly n eo l i th ic s i te o f G reece i ndependen t ly o f i t s g eograph ica l s e t t ing , i n A rg issa - Magu la ( Boessneck 1 962 : 2 7 ) a nd A ch i l le ion ( Bököny i , i n p r in t ) ; i n Thessa ly , N ea N ikomede ia i n G reek Macedon ia ( H iggs 1 962 : 2 71 ) , L erna ( Ge jva l l 1 969 ) a nd t he F ranch th i Cave ( Payne 1 973 : 5 9 ) ; i n t he P e loponnese a nd Knossos ( Ja rman a nd J arman 1 968 : 2 41 ) i n C re te . P igs w ere f a r l e ss c ommon , a nd c a tt le a nd d ogs w ere q u i te r a re . Th is d omes t ic f auna o bv ious ly l i ved w e l l i n G reece s i nce t here t he g eograph ic a nd c l i ma t ic c ond it ions w ere v ery s im i la r t o t hose o f S outhea s t A s ia , t he h ome land o f i t s most i mportan t s pec ies . H ow s uccessfu l t h is a n ima l h u sbandry wa s t here , t he f a cts s how t ha t t he i nhab itan ts o f t hese s i tes w ere h a rd ly f o rced t o h un t a nd f i sh i n o rder t o c omp lete t he ir a n ima l p ro te in n eeds o n t he o ne h and a nd t o d o mest ica te t o i n crea se t he ir d omest ic s tock i n t he o ther . Th is c aprov ine -ba sed a n i ma l h usbandry s ta r ted i t s a dvance t o t he n or th , n or th e a st a nd w est a l ready i n t he s econd h a lf o f t he 7 th m i l lenn iu m BC . Th i s a dvance wa s p robab ly h e lped b y t he " c l i ma t ic o p t imu m " o ft he e ar ly N eo l ith ic t ha t mean t a n a verage t empe ra ture 3t o 4d egrees C h igher t han n ow a nd t hus mak ing p oss ib le t os ou thern t ypes t o r each t he s ou thern t e rr itor ies o f C en tra l a nd E a s tern E urope . S t i l l b efo re t he e nd o f t he 7 th m i l lenn ium BC t h is a n ima l h usbandry r eached Y ugos lav Macedon ia ( Bököny i 1 976b ) a nd i n t he m idd le o ft he 6 th m i l lenn ium a l so C en tra l Yugos lav ia ( Bököny i 1 976c ) a nd Bu lga r ia ( Denne l 1 972 ) . R igh t b efore t he e nd o f t he 6 th m i l lenn ium BC t h is t ype o f a n i ma l h u sbandry a rr ived i n t he Ca rpa th ian Ba s in ( Bököny i 1 969 , 1 974 , 1 984 ) a nd r eached Mo ldav ia a nd s outhwes te rn U kra ine i nt he 5 th m i l lenn ium BC ( T r ingham 1 969 ) . I t i s q u ite i n terest ing t ha t wh i le i n t he who le B a lkans t he c o mp lete r ange o f N eo l ith ic a n i ma l h u sband ry w a s f l our ish ing , i n i nacce ss ib le p laces l i ke t he I r on Ga te g orge o ft he Danube R iver t he s urv iv ing Meso l ith ic p opu la t ion wa ss t i l l l i v ing o nh un t ing f i sh ing -ga ther ing a n t i o n ly made i s o la ted a t te mp ts o fd og o r p ig d omest ica t ion ( Bököny i 1 970 , 1 975 ; B o lo mey 1 973 ) .

Wes twa rds i to ccurred i n s outhern I t a ly ( Bököny i 1 979-

8 2 , 1 983 ) i n t he 5 th m i l lenn ium BC a nd s ou thern F rance a round 4 000 BC ( Pou la in J os ien 1 975 ; B ököny i 1 983 ) a nd a l i tt le l a ter i te ven r eached w es te rn S pa in t oo . These w ere t he n orthernmos t r eg ions where t h i s t ype o f a n i ma l h u sband ry o f b a s ica l ly N ea r E a stern c ha racter e x tended . S uch p a r ts o f Eu rope wh ich a re l o ca ted n orth o r n orthwest o f t hese r eg ions c ou ld o n ly g et d omes t ic a n ima ls t hrough i mpor t f r om t he a bove - men t ioned a rea s ; n everthe less , i th appened v ery q u ick ly b ecau se a l l f i ve N eo l ith ic d omes t ic s pec ies c ou ld b e f ound i n t he who le t empera te b e l t o f E urope i n t he c ourse o f t he 4 th m i l lenn ium BC . A t t he e nd o ft he f i rst t h ird o ft he N eo l i th ic , t ook p lace i n teres t ing c hanges i n t he a n ima l h usbandry o ft he s ou the rn p a rt o fE urope . I ti sw e l l k nown t ha t a n i ma lh u sband ry s t rong ly d epends o n t he e nv ironmen ta l c ond it ion s e ven n ow , o ne c an j ust i mag ine h ow

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s t rong t h i s d ependence wa s i n t he e a r ly p ha ses o f i t s d eve lop men t . I n G reece a nd t he s ou thern e dge o f F rance t h i s a n i ma l h usbandry d id n o t c hange much b ecause t here t he e nv i ronmen t wa s v ery f avorab le .

Bu t i n t he t empera te b e lt o f E urope , t he c ap rov ine -

b a sed a n ima l h u sbandry w a s a l ien a nd u nab le f o r f u rther d eve lopmen t .

I t wa s a l ien

b ecau se i t s ma in s pec ies , s heep a nd g oa t , d id n o t f i nd f avorab le l i v ing c ond it ion s a nd d id c onsequen t ly n o t b reed w e l lt he re . I t wa s u nab le f o rf urther d eve lop men t b ecau se t he w i ld f o rms o fi t s a bove - men t ioned l e ad ing s pec ies d id n o t l i ve i n t he European ma in land , a nd t he s tock o f c aprov ines c ou ld t herefore n o t b e i n crea sed w ith l o ca l d omest ica t ion . And t h is was a n e s sen t ia l d i sadvan tage b ecause u nder t he p r im i t ive c ond it ions o ft he N eo l i th ic a n ima l h u sband ry t he n a tu ra l o f spr ing o f t he d o mest ic a n ima l s a lone was n ot a b le t o p rov ide e nough f ood f o r t he g row ing h uman p opu la t ion a nd t o i n crea se t he n u mber o f t he d o mes t ic s tock a t t he s ame t ime . Thus man h ad t o l o ok f o r s uch d o mes t ic a n i ma ls a s l e ad ing s pec ies wh ich b o th f i t w e l li n to t he e nv i ronmen ta l c ond it ions o ft empe ra te Eu rope a nd h ad l o ca l ly d omest icab le w i ld f o rms a t t he s a me t ime . H e f ound t he m i nc a tt le a nd p ig , a nd a t t he e nd o ft he e ar ly N eo l ith ic h e s ta rted t he s w i tchover t o t hese l a tter s pec ies . F rom t h is t ime o n , c a tt le a nd p ig d o mes t ica t ion g rew e no rmou s ly i n i mpor tance i n mos t p a rts o f Eu rope . I n c e r ta in r eg ions , e .g .i n t he Ca rpa th ian B a s in , r ea l c a tt le d o mest ica t ion c en ters d eve loped . A s a r e su l t c a tt le p opu la t ion ma rked ly i ncrea sed a nd c a tt le b ecame t he l e ad ing s pec ies a l lover t he t empera te b e l t o f t he c on t inen t .

P ig d ome st ica t ion n ever r eached t ha t o f c a tt le

i n i mportance b u t e ven i n t h is way i t wa s c ons iderab le a nd made p ig a s f r equen t a s c aprov ines o r e ven more n umerous . Th i s p ic ture c an v ery w e l l b e o bserved i n t he s i tes o f t he L inea r P ottery Cu ltu re a nd i t s r e la ted g roup s where c a tt le g enera l ly t ook t he l e ad ing p a rt a nd p ig a nd c ap rov ines a l terna t ive ly s tood i n t he s econd p lace . Up t o t he e nd o f t he E a r ly N eo l i th ic , d omes t ic a n ima ls h ad o n ly o ne u se ( no t s peak ing a bou t t he s porad ic u se o fd ogs a s s acr if i ca l a n ima ls , h un t ing c ompan ions , h erd o r wa tch d ogs e tc . ) : t he ir mea t . Then man d i scovered t he ir s econdary p roducts a nd u ses s uch a s m i lk , woo l , d raugh t p ower e tc .

Th is wa s a lmost a no ther " r evo lut iona ry" s t ep

a nd s ta r ted a " domes t ica t ion f e ver" i n t he s econd h a l f o f t he N eo l ith ic when man t r ied t o i n crease t he n umber o f h i s d o mes t ica tes b y a l l mean s ( Bököny i 1 971 : 6 43 , 1 974 : 2 17 , 1 984 : 3 2 ; S herra tt 1 983 : 9 0 ) . The b est e xamp les o f t he l a rge -sca le d o mes t ica t ion o f t he L a te N eo l i th ic c an b ef ound i nt he T isza , H erpä ly a nd L engye l Cu ltures o ft he Ca rpa th ian B as in i n t he 4 th m i l lenn ium BC . Thu s man a te t he mea t o fa l l h i s d omest ic a n i ma ls i n c lud ing t ha t o ft he d og t oo , a s i ti sp roved b y t he o ccurrence o f s ku l ls w ith o pened b ra in -ca ses ( b ra in wa s ad e l icacy e ven i n t hose t imes ) a nd o f e xtre m ity b ones b roken u p f o r t he ma rrow .

I n f a ct , man

s topped e a t ing d og f l esh o n ly a t t he e nd o f t he B ronze Age , a nd t h is wa s p robab ly t he f i rst f ood a vo idance i n E urope . I n t he who le , N eo l i th ic c a tt le wa s t he ma in mea t s upp l ier a n ima l s pec ies e ven i n s uch a rea s where s heep a nd g oa t o utnumbe red t hem b y f a r .

One mus t n ot f o rget

t ha t t he mea t q uan t i ty o f ac ow wa s e qu iva len t t o t ha t o f s even c aprov ines o r f our t o f i ve p igs . I n t h is way , a bou t 4 0% o f a l l o f t he d omest ic a n i ma l mea t c ame f r om c a tt le e ven i n c ap rov ine -do m ina ted a n i ma l h usbandr ies . I n h usbandr ies whe re c a t t le wa s mos t f r equen t t h is r a t io c ou ld g o u p t o 7 5-90% . I n t he E a r ly N eo l i th ic c aprov ine mea t wa s a l so i mpor tan t b ut f r om t he M idd le N eo l ith ic o nward p ork b ecame t he s econd mos t i mportan t mea t a f ter b eef ( Bököny i 1 973 : 1 4 ) . With t he L a te N eo l ith ic , a n i mportan t p er iod o f d eve lopmen t o f a n i ma l h u s b andry c ame t o a n e nd . Hun t ing a nd d o mes t ica t ion l o s t most o f t he ir i mportance b e c ause a n ima l h u sband ry b ecame s t rong e nough , a nd w i th t he i n crea se o f h uman p op -

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u la t ion a gr icu ltu ra l l and a l so i ncrea sed d estroy ing t he h ab ita ts o f w i ld a n i ma ls .

Thus

d o mest icab le w i ld c a tt le t ended t o d i sappea r . Among t he d o mes t ic a n i ma ls n ew s pec ies —horse , a nd a ss — a ppea red wh ich w ere i n ten t iona l ly d o mes t ica ted f o r work a nd t he f i rst e l e men ts o f c on sc ious a n i ma l b reed ing o ccurred i n Mesopo tam ia .

Th is c er ta in ly i nf luenced E uropean a n i ma l h u sband ry t oo ,

t hough n o t w ith t he t akeover o f t he n ew me thods b ut w i th t he i mp rove men t o f c er ta in d o mest ic s pec ies t hrough n ew waves o f i mproved b reeds ( sheep ) .

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DENNEL , R . W . 1 972 .

" Stone Age F arm ing i n Bu lga r ia " , T he I l lu s tra ted L ondon N ews , S eptember , 1 972 : 6 1-62 .

FLANNERY , K .V . 1 961 . S ke leta l a nd Rad iocarbon E v idence f o r t he O r ig ins o f P ig Domes t ica t ion , MA P aper , Un iver s ity o f Ch icago , Ch icago . GEJVALL , N . -G . 1 969 . L erna I . T he F auna , P r inceton , Amer ican S choo l o f C la ss ica l S tud ies a t A thens . H IGGS , E . S . 1 962 .

" The F auna o ft he E a r ly N eo l i th ic S i te a t N ea N iko mede ia ( Greek Macedon ia )" , P roce ed ings o ft h e P r eh i s tor ic S oc ie ty XXV II I : 2 71-274 .

HOLE , F . , a nd FLANNERY K . V . 1 967 .

" The P reh istory o fS ou thwestern I ran : aP re l im ina ry R epor t" , P ro ceed ings o ft he P r eh i s tor ic S o c ie ty XXX I I I : 1 47-206 .

JAR MAN , M . R . , a nd JAR MAN H . N . 1 968 .

" The F auna a nd E conomy o f E a r ly N eo l i th ic Knossos", Anna l s o f t h e B r i t i sh S choo l o fA r cheo logy a t A thens 6 3 : 2 41-264 .

NOBIS , G . 1 984 .

" D ie Haus t iere i m N eo l ith ikum Z en tra l -Europa s" , N ob is , G . ( ed ) , D er B eg inn d er Haus t ier -ha l tung i n d er " A l ten We l t" , D i e Anf aenge d es N eo l i th ikums , v om O r ien t b i s Nordeuropa , 9 , Kö ln a nd Wen , B oeh lau : 7 3-105 .

PAYNE , D . 1 973 .

" An ima l B ones ( f rom t he F ranch th i C ave )", H erp er ia X I II : 5 9-66 .

PERK INS , D . 1 964 . 1 969 .

" Preh is tor ic F auna f r om S han ida r , I raq" , S c ience 1 44 : 1 565-1566 . " Fauna o f ca ta l Hüyük : E v idence f o r E a r ly C a tt le Do mes t ica t ion i n Ana to l ia " , S c ience 1 64 : 1 77-179 .

1 973 .

" The B eg inn ings o f An ima l Domes t ica t ion i n t he N ear E a s t" , Amer ican J ourna l o fA r cheo logy 7 7 : 2 79-282 .

1 6 ' 7

POULAIN -JOSIEN , TH . 1 975 .

" Les a n imaux d omes t iques e n F rance a P epoche n 6o l ith ique" , i n L 'homme e t l ' an ima l , l er C o l loque d 'E thnozoo log ie , J u in 1 975 , P a r is : 4 09-415 .

SHERRAT , A . 1 983 .

" The S econda ry E xp lo ita t ion o f An i ma ls i n t he O ld Wor ld" , Wor ld A r cheo logy 1 5 , 1 :9 0-104 .

STA IV IPFLI , H . R . 1 983 .

" The F auna o f J a rmo w i th No tes o n An ima l B ones f r o m Ma ta rrah , t he Amuq , a nd Ka r im S hah ir" , i n B ra idwood , L . e t a l . ( ed s ) , P r ehi s tor i c A r cheo logy a l ong t he Z agros F lanks , O r ien ta lI ns t i tute P ub l ica t ion s 1 05 , Ch icago O r ien ta lI n s t i tute , The Un ivers ity o f Ch icago : 4 31-483 .

TRINGHA M , R . 1 969 .

" An i ma l Do mest ica t ion i n t he N eo l ith ic Cu l tures o f t he S ou thwes t P a rt o f European USSR" , i n U cko , P . J . a nd D imb leby , G . W . ( ed s ) , T he Domes t i ca t ion a nd E xp lo i ta t ion o fP lan ts a nd An ima l s , L ondon , Duckwor th : 3 81-392 .

TURNBULL , P . , a nd REED , C . A . 1 974 .

" The F auna f r om t he T erm ina l P le is tocene o f P a legawra Cave , a . Z a rz ian O ccupa t ion S i te i n Nor thea s tern I raq" , F i e ld An thropo logy 6 3 , n o . 3 :8 1-146 .

1 68

THE M OST A NCIE NT SO UT H : A REVIE W OF THE D O MESTIC ATIO N OF THE A N DEA N CA MELIDS

JO N AT H A N D . KE NT Metropo l itan S tate Co l lege

I n troduc t ion The r e la t ionsh ip b etween h uman sa nd t he d omes t ica ted a n i ma ls i so ne t ha ti sb etween o ne p opu la t ion o f i n te l l igen t b e ings a nd a no ther . E ach h a s i t s o wn s t ra teg ies f o r p roduc ing t he f ood i tn eed s f r o m wha t i sa va i lab le a nd f o r r eproduc ing s ucces sfu l ly .

E ach s eeks

t o a vo id i t s e nem ies . The i n teres t ing a spect o f t h is r e la t ionsh ip i st ha t t here i su sua l ly as t rong i n terdependence o f e ach u pon t he o ther a s t hese p roduc t ive a nd r ep roduct ive s t ra teg ies a re f o l lowed . I n t he Andean r eg ions o ft he Amer ica s , t h is s t rong i n terdependence i sc haracter i s t ic o f Na t ive Amer ican p a s tora l is ts a nd t he d omes t ic c ame l id s , l ama s a nd a lpaca s ,w i th wh ich t hey i n terac t . F or e xamp le , among Ay ma ra -speak ing h erders o ft he s ou thern c en t ra l Andes o f P eru , t here i st he f o l low ing e xp ress ion : " . .. h iwasaha u ywa u ywa ta r ia , u ka u ywaha h iwasaru u yus i tun wh ich t rans la tes t o " we n u rture t he a n ima ls , a nd t he a n ima ls n ur tu re u s" ( Pa lac ios R . 1 977 ) .

But , t h is i s as pec ia l k ind o f n u rtu r ing . The Ay ma ra

t e rm u ywaia means c a re o r n ur tur ing i n t he way a mother wou ld n ur ture h er c h i ld . An o ther t e rm , a wa t i i ia , mean s p a stur ing a nd f e ed ing o fa n i ma ls t oo , b ut f r om a fa r , i .e .n o t w ith f am i ly l ike i n t i macy . I ti st hus a t e rm u sed when h erd ing a n i ma ls s uch a s s heep a nd c a tt le —an i ma ls o f Eu ropean o r ig in — a nd i sn ever u sed t o d escr ibe t he h erder/came l id i n te rre la t ion sh ip ( i b id . : 5 -6 ) . The o r ig ins o f t h is r e ma rkab le c l ose i n te ract ion c o mpr ise t he ma in s ub jec t o f t h is p aper . There i s as u i te o f a n ima l c ha racter is t ics t ha t b oth h erders o f l ama s a nd a l p aca s a nd h un ters o f w i ld v i cuna s a nd g uanacos h ave f ound t o b e o f g rea t v a lue . S uch c ha rac ter ist ics i n c lude : 1 . 2 .

t he p ossess ion o f p hys io log ica l a dap ta t ion s t o b o th h igh a l t i tude a nd c o ld ; ag rega r iou s s oc ia l o rgan iza t ion t ha t i n c ludes a n e s tab l ished d om inance h i era rchy w i th in g roups a nd t e rr i tor ia l d ef ense among d if eren t g roup s ;

3 .

4 .

av a r ie ty o fu sab le p roduc ts f r om t he b od ies o f t he a n ima ls i nc lud ing : a .w oo l

e .f a t

b . mea t

f .b ones

c .h ides

g .d ung

d . s i new

h . i n terna l o rgans ;

f o r l ama s , a nd o n ly r a re ly a lpaca s , p hys io logy a nd b ehav iou rs p erm itt ing t he ir u se a s b urden -bea r ing a n ima ls ; a nd ,

5 .

u se a s s acr if i c ia l o f er ing s . The a n ima ls h ave d er ived a n umber o f b enef i ts f r om t he ir a ssoc ia t ion w i th h u -

man s a s w e l l : 1 .

f ood p rov is ion ing , e spec ia l ly d ur ing t imes o f c o ld s t ress , e nv ironmen ta l d egrada t ion , o vergraz ing , o r when t ran sported t o a rea s i n wh ich a dequa te p a s turage i sn o t r ead i ly a va i lab le ;

2 .

n urs ing d ur ing i lness a nd c a re o fw eak o r s t ressed n eona ta l a n ima l s ; a nd ,

3 .

p rotect ion f r om n a tura l p reda tors , e spec ia l ly d ur ing t he f i rs t f ew mon ths o f l i f e . I n terest i na n ima l d o mes t ica t ion w i th in t he We s tern i n te l lectua l t rad it ion may b e

t raced b ack a t l e a st t o B ib l ica l t imes . More r e cen t i n teres t h a sf o l lowed Da rw in ' s a t te mp t t o e xp la in a n ima l v a r iab i l i ty a nd i t s r e la t ionsh ip t o h uman s e lec t ion ( Da rw in 1 900 , f i rs t e d i t ion 1 874 , v o l . I :3 ) . Hu mans w ere n ot s een b y Da rw in a s t he c au se o ft h is v ar iab i l i ty , b ut r a ther a s a gen ts t ha t c ou ld s e lect , p reserve , a nd a ccumu la te t he v a r ia t ions a l ready a t h and . L ack ing f r o m Da rw in 's i nvest iga t ion o f t h is p rob le m w ere o s teo log ica l a nd c on tex tua ld a ta f r om a rcha eo log ica ls i tes t ha t c ou ld s how c hanges o ver t ime i nt he a n ima ls t ha t w ou ld b eco me d omest ica tes , a nd d a ta o n c l i ma t ic c hange t ha t w ou ld p erm i t s o r t ing o u t o r c on tro l l ing f o r e nv ironmen ta l c hange a s o pposed t o c u ltura l c hange a s f o rces o f p henotyp ic v a r iab i l i ty i n f u ture d o mest ica tes . V . Gordon Ch i lde wa s among t he p ioneers i n e xam in ing s uch d a ta .

H is f ood

p roduct ion r evo lu t ion , d ef ined a s i n c lud ing d e l ibera te c u l t iva t ion o ff ood p lan ts a nd t he " . .. t am ing , b reed ing , a nd s e lec t ion o fa n ima ls ..." , wa s l i nked t o t he me l t ing o fg lac iers i n n or thern E urope a nd E ura s ia ( Ch i lde 1 953 : 2 3 ) .

The r e su lt wa s t he d ry ing u p o f

g ra ss lands i n s outhwestern A s ia a nd n orthea s tern A f r ica a nd wha t Ch i lde c a l led ( Ch i lde 1 929 : 4 2 ) : e n forced c oncen tra t ion i n c ase s o r b y t he b ank s o f e ver more p reca r iou s s pr ing s a nd s t rea m s ... An i ma l s a nd men w ou ld b e h erded t oge ther r ound p oo l s a nd w ad i s t ha t w ere g row ing i ncrea s ing ly i s o la ted b y d e ser t t r ac ts , a nd s uch i n forced j ux tapo s i t ion m igh t a lmo s t o f i t se l f p ro mote t ha t s or t o f s y mb io s is b e tw een man a nd b ea s t t ha t i s e xpres sed i n t he w ord " do m es t ica t ion" .

B y 1 953 , Ch i lde h ad d ropped t he c a ta s troph ic a spects o f t he c l ima t ic c hanges i n t h is r eg ion .

H e p o in ts t o al a ck o f c atas troph ic c l ima t ic c hange b e ing i nvo lved i n

t he c r ea t ion o f t he Ok lahoma d u st b ow l .

H e s t i l l b e l ieved , h owever , t ha t t he d rough t

c ond i t ions o b servab le i n t he r eg ion u nder c on s ide ra t ion i n modern t imes wa s ar e su l t o f a" . .. g radua l p rocess t o wh ich man a nd h i s s tock may w e l l h ave c on tr ibu ted " ( Ch i lde 1 953 : 1 7 ) . Notewor thy i n Ch i lde 's way o ft h ink ing i st he a ssump t ion t ha t p rox im i ty i ns pace w ou ld e ven tua l ly l e ad t o t he d eve lopmen t o f as y mb io t ic r e la t ionsh ip b etween h umans a nd t he ir f o rmer p rey . The n o t ion t ha t f am i l ia r i ty b reeds s y mb ios is i ss t i l l p e rva s ive i n t he a rcha eo log ica l l i tera tu re i n g enera l , a nd a s w i l l b e d i scu ssed b e low , i n t he ma jor i ty o f work d ea l ing w i th Andean c a me l id d omes t ica t ion . B ackground The e a r l ies t d o mes t ica ted o rgan i sm i nS outh Amer ica wa s ap lan t . B eans ( Phase o l us s p . ) a ppea r t o b e t he e a r l ies t , b e ing f ound i n Gu i ta r rero Cave , i n ah igh land v a l ley o f c en tra l P eru , a t a bout 9 500 BP ( Kap lan e t a / . 1 973 ; L ynch e t a / . 1 985 ) . I n t he N ew Wor ld , t here i s amuch g rea ter p redom inance o fd omes t ica ted p lan ts r e la t ive t o d omes t i c a ted a n i ma ls t han i st rue f o r t he O ld Wor ld . A s i nt he O ld Wor ld , d o mes t ica t ion o fN ew Wor ld p lan ts a nd a n i ma ls wa s ap os t -P le is tocene p rocess t hat f o l lowed t he s h r inkage o f moun ta in g lac iers b e tween 1 2 ,000 a nd 1 0 ,000 BP i n t he Andes (W r igh t 1 977 , 1 983 ; Mer c er 1 982 ) . There i sc ons iderab le d eba te r ega rd ing whe ther t h is s hr inkage r ef lects w or ld w ide wa rm ing , w or ld -w ide r educt ion i np rec ip ita t ion , c hanges i n g loba l w ea ther p a tterns , a nd/or l o ca l c hanges i n t hese p a rame ters (Mercer a nd P a lac ios M . 1 977 ; Wr igh t 1 977 ; S ervan t e ta / . 1 981 ; Ha s tenra th a nd Ku tzbach 1 985 ) . I t wa s n o t u n t i l s evera l t housand y ea rs a f ter t he l a st ma jor g lac ia t ion t ha t a ny e v idence f o r a n i ma l d omest ica t ion a ppea rs .

F ive t ype s o f a n i ma ls a re n ow b e l ieved t o

h ave b een d omes t ica tes i n p re -Co lumb ian Amer ica : 1 .

d og ( c . 1 0 ,400 BP i n Nor th Amer ica ; L awrence 1 967 ) ;

1 10

2 .

g u inea p ig ( c . 6 000-3000 BP i n S ou th Amer ica ; Wing 1 977 ) ;

3 .

Muscovy d ucks ( poss ib ly a s e a r ly a s 2 500 BP i n E cuador ; H esse 1 980 ) ;

4 .

t u rkey ( c . 1 770 BP i n T ehuacän , Mex ico ; F lannery 1 967 ) ; a nd ,

5 .

c ame l id s , t he s ub jec t o ft h is p aper . I n t h i s p aper , Ib r ief ly r ev iew t he e v idence p er ta in ing t o t he o r ig ins o f c ame l id

d omest ica t ion . I n s o d o ing , Iw i l l p ay p a r t icu la r a t ten t ion b o th t o t he k inds o fe v idence w eh ave f o r t h is p rocess a nd t ot he n a tu re o fo u ri n f erences f r om t h is e v idence . The o vera l l t heme i st he n a tu re o f i n te ract ion s among h umans , t he c ame l ids , a nd t he e nv ironmen t . T he S ou th Amer ican C ame l ids I n t he Andean h igh e l eva t ion g ra ss lands , o r p una , t he d o mes t ica t ion o fc ame l ids b egan s o me t ime p r ior t o f i ve m i l lenn ia a go .

I nvo lved i n t he p rocess wa s as h if t f r om

e xc lus ive d ependence u pon h un t ing-ga ther ing c en tered a round p rocure men t o f av a r iety o fl a rge mamma ls t o a n e cono my c en tered a round t he h un t ing o fw i ld c ame l ids a nd d eer a nd t he h erd ing o f d ome s t ica ted c ame l id s (Ma tos M . 1 975 ; P ires -Ferre ira e t a / . 1 976 ; Wing 1 972 , 1 975a , 1 983 ; K en t 1 982 ; R ick 1 980 , 1 983 ; Whee ler 1 984 ) . Our b es t a va i lab le p a leon to log ica l e v idence i nd ica tes a Nor th Amer ican o r ig in f o r t he c ame l ids , who p robab ly m igra ted t o S ou th Amer ica a bou t t h ree m i l l ion y ea rs BP (W ebb 1 978 ) . The m igra t ion f r om Nor th t o S ou th Amer ica o ver t he P anaman ian l and b r idge (Ma rsha l l e ta l . 1 979 : 2 75 ) c orresponds t o g rea t c l i ma t ic a nd t e cton ic c hanges d u r ing t he l a te P l iocene/ea r ly P le is tocene — mos t n otab ly t he ma jor u p l i f t o f t he ma jor moun ta in c ha ins o fb o th c on t inen ts a nd t he c rea t ion o fv a s t s em i -a r id g ra ss land s i n a rea s f o r mer ly s avanna/wood land s ( Ber ry 1 926 ; P a tterson a nd P a scua l 1 972 : 2 51 ) . Mos t o f t he S ou th Amer ican p re -P le i stocene c ame l id f o ss i ls a re f ound i n n on -Andean l oca l it ies , p r i ma r i ly e a stern A rgen t ina ( Ca rdozo 1 975 : 7 4 , map 3 ) . A l though s o me s amp l ing a nd/or p reser v a t ion b ias m igh t p a rt ly a ccoun t f o r t h is d i s tr ibut ion , i tw ou ld a ppea r t ha t t he e a r l ies t S ou th Amer ican c a me l ids w ere n o t i n i t ia l ly a dap ted t o t he h igh e l eva t ions , a nd p oss ib ly t ha t t he ir p re sence a t h igh e l eva t ions i s ap os t -P le i stocene p henomenon . Thus , t he e a r l i es t h igh -a l t i tude c ame l ids may h ave e n tered t he ir p resen t r ange c on te mporaneou s w i th a nd p erhap s b ecau se o fh u man h un ters . There i s ac omp lete l a ck o f a gree men t among t axono m is ts r ega rd ing c ame l id s yste ma t ics . Th is o f c ou rse a f ec ts o u r i n terpre ta t ion o f t he i r p hy logeny a nd e a r ly d i s t r ibu t ion . The ma jor s choo ls o f t hough t g roup t he e xtan t c ame l ids e i ther w i th in o ne o r t wo g enera , w i th e i the r s epa ra te s pec ies o r g rouped w ith in a s i ng le s pec ies . The r e su lt o f t h i s c onfus ion h a s b een a p ro l if era t ion o f t heoret ica l p hy logen ies wh ich c an b e d iv ided i n to f our ma jor g roup s ( f ig . 1 ) : a.

aw i ld g uanaco i sa nces tra lt ot he modern g uanaco , t he modern l ama , a nd t he modern a lpaca ( Cook 1 925 ; H e rre 1 952 ; F a l le t 1 961 ; Z euner 1 963 ; H erre a nd Röhrs 1 977 ; O tte a nd V enero 1 979 ) : f i g . 1( a ) ;

b .

aw i ld g uanaco i sa nce stra l t o t he modern g uanaco a nd l ama , wh i le a w i ld v i cuna i s a ncestra l t o t he mode rn v i cuna a nd a lpaca ( An ton ius 1 922 ; L a tcham 1 922 ; K ru mb ie g e l 1 952 ; S te inbacher 1 953 ; C apurro S .a nd S i lva 1 960 ; Bu st inza M . 1 970 ) : f i g . 1( b ) ;

c .

aw i ld g uanaco i sa ncestra l t o t he modern g uanaco a nd l ama , t hen a l ama x v i cuna c ross r e su l ts i n t he modern a lpaca ( He mmer 1 975 ) : f i g . 1( c ) , a nd

d .

t he l ama o ft oday d escended f r om a ne x t inc t w i ld l ama -type a n ima l wh i le t he a lpaca o ft oday d escended f r om a n e x t inc t w i ld a lpaca -type a n i ma l ( Lopez A ranguren 1 930 ; Cabrera 1 932 ; Cab rera a nd Y epes 1 940 ) : f i g . 1( d ) .

1 ' 71

Thus , d omes t ica ted l ama s o ft oday a re e i ther : 1 .

d escended f r om a g uanaco , o r

2 .

d escended f r o m aw i ld P le istocene , l ama l ike f o rm .

S im i lar ly , d omes t ica ted a lpaca s o f t oday a re e i ther : 1 .

d escended f r om a g uanaco ;

2 .

d escended f r o m aw i ld P le istocene a lpaca l ike f o rm ;

3 .

d escended f r om t he l ama wh ich wa s , i n t u rn , d escended f r om a

g uanaco , a nd t he a lpaca r e su l ted f r om a v i cuna x l a ma c ro ss ; o r , 4 .

d escended f r om t he v i cuna .

The a dop t ion o f a ny o ne o f t hese s c ena r io s h a s o cca s iona l ly u n ju s t if iab ly i nf lu e nced t he i n terpreta t ions o f a rcha 3o log ica l f auna l r ema ins a s w i l l b e d i scu ssed l a ter i n t h is p aper . An o bv iou s l i ne o f i nvest igat ion , n ame ly b iochem ica l s tud ies t ha t w ou ld y i e ld c l ad is t ic i n forma t ion o n t he d i stances among t he e x tan t f o rm s i so n ly j us t b eg inn ing . M i l ler e t a l .

( 1985 ) h ave b een s tudy ing b lood p o lymorph isms , b u t t he ir w ork h a s n o t

y e t p roduced r e su l ts t ha t c an r e so lve t he p hy logenet ic p rob lem . S tud ies s uch a s DNA— h ybr id iza t ion , DNA— sequenc ing a nd am ino a c id s equenc ing h ave n o t b een c arr ied o u t . A l l o f t he c ame l id s i n terbreed o cca s iona l ly , a nd mos t c rosses o ccur w i thou t a ny h u man i n terven t ion . Mos t o f t he h ybr id s a re f e rt i le ( FernAndez Baca 1 971 , 1 978 ) . Th i s s uccess may b e r e la t ive ly r ecen t a nd t he r e su l t o fd e l ibera te a nd i n ten se h uman s e lec t ion d ur ing t he e a r ly t wen t ie th c en tu ry ( s ee K en t 1 982 : 2 3-29 ) . B iogeograph ica l a nd e thnoh is tor ic s tud ies h ave b een h indered b y at r e mendous amoun t o fp os t -H ispan ic d i stu rbance o f b o th h erders a nd c ame l id e nv ironmen ta l z ones . Documen ts a re o f l i t t le h e lp b ecause t he S pan ia rds , who h ad n ever s een t he N ew Wo r ld c ame l ids b efore , g ave t he m n ames s uch a s " ove jas i nd ias" o r “ c arneros d e / a t i erra" , i nd iscr im ina te ly a ss ign ing e i ther o f t hese n ames t o wha tever c ame l id h appened t o b e a round ( La tcham 1 922 : 9 3 -95 ) . R ecen t a dvances i n t he s tudy o f c ame l id t ooth morpho logy (Whee ler 1 982 : 1 21 3 ) a nd o s teo metry (W ing 1 972 ; M i l ler 1 979 ; Ken t 1 982 : 1 42-179 ) h ave a l lowed z ooa r c ha 3o log is ts t o d if eren t ia te among t he f our e xtan t c ame l id f o rm s w ith g rea ter c er ta in ty . The e xten t t o wh ich t hese d i scr im ina t ion t e chn iques a re v a l id f o r t he t ime o ft he o r ig ins o f d o mes t ica ted c ame l id f o rm s w i l l o n ly b e r e so lved a s t hey a re a pp l ied t o p rogress ive ly o lder a rcha 2o log ica l p opu la t ions . B a sed o n t he p resen ts i tua t ion , i ts e e ms t ha t t he f our v a r iet ies o fS ou th Amer ican c ame l ids must b e p laced w i th in o ne g enus a nd p robab ly w i th in o ne s pec ies . Whether t he p resen t z oo log ica l t axonomy i st o r e f lec t t he h i s tor ica l , p re -twen t ie th c en tury s i tua t ion i s ama tter o fc on s iderab le d eba te . N everthe less , i ti sc e r ta in ly t he c a se t ha t i nt he l anguages a nd c onceptua l s ys te m s o f n a t ive S outh Amer ican g roup s s uch a s Ay ma ra , T ehue lche , a nd Quechua , t he d i st inc t ions among ( a t l e a s t ) t he se f our ma in c ame l id v a r iet ies wa s , a nd i s , c l ea r a nd u namb iguous ( s ee Ken t 1 982 : 2 3-29 ) . T he A r cheo log ica l R ecord o f C ame l id Domes t i ca t ion Wr it ing more t han a d ecade a go , Wing s umma r ized t he z ooa rch o log ica l e v i d ence p er ta in ing t o c ame l id d omes t ica t ion .

S he c onc luded t ha t a s e a r ly a s 5 000 BP ,

d omest ica ted c ame l ids w ere t o b e f ound b o th i n t he h igh land v a l ley o f A yacucho a nd i n t he p una s i te o f L au r icocha (W ing 1 977 : 8 48 ; s e e f i g . 2 , n os . 1a nd 2 ) .

I n t he Ay -

a cucho V a l ley , t he e a r l iest e v idence f r om P ik imachay i s d a ted t o t he Ch ihua p er iod , 6 550-5100 BP .

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A t L au r icocha , Card ich ( 1960 ) h igh l igh ted t wo a spects r e levan t t o d o mes t ica t ion o f c ame l id s .

F irs t , h e wa s o ne o f t he f i rs t Andean a rch&o log is ts t o s ave a nd a t te mp t

i den t if ica t ion o f f auna l r ema ins f r om a n e a r ly p receram ic s i te ( i n t h is r eg ion , p r ior t o a bou t 3 800 BP ) . S econd , h e wa s t he f i rs t t o d raw a tten t ion t o a ma jor s h if t i n t he f auna t ha t h ad o ccured b e tween h i s f i rs t p ha se , L au r icocha I ,n ow d a ted t o b etween 9 500-8000 BP , a nd L aur icocha I , b e tween 8 000-5000 BP . Th is wa s ac hange f r om a p redo m inance o fd eer b one (H ippocame lus a n t i sens i s ) i n L au r icocha It o ap redom inance o fc ame l id b one i n L au r icocha I ( Ca rd ich 1 960 :108-109 ) . H e d id n ot c onnec t t hese f i nds t o t he d o mes t ica t ion p rocess , b e l iev ing t ha t t he c ame l ids o f L au r icocha I w ere h un ted .

A s w i l l b e d i scussed b e low , t h is s h if t f r om a

p redom inance o f d eer ( o r c erv ids ) t o ap redo m inance o f c ame l ids i ss ugges t ive t o s o me i nve st iga tors o fa n i n termed ia te s tage i n t he d omes t ica t ion p rocess . I ft hey a re r i gh t , w e wou ld h ave t o r econs ider t he i n terp reta t ion o ft he r e ma in s f r om L au r icocha I . F o l low ing Ca rd ich ' sp ioneer ing work ,f auna la na lys is b ecame p a r to f mos ta rcha eo l og ica l work i n t he Andes . Wing h a s b een t he mos t p ro l if ic , a nd s o me o f h er mos t i mpor tan t c ommen ts o n c ame l id s f o l low . I n t he p una , c ame l ids a nd c erv ids n orma l ly make u p 9 7-100% o f t he i den t if ied f auna f ro m a rcha eo log ica l s i tes (W ing 1 982 : 7 ) . Al i nea r t r end i n p una s i tes i so b servab le s uch t ha t b e tween 1 2 ,000-7500 BP , t he c ame l id :cerv id r a t io i sa bout 5 0 :50 . Th i s i sf o l l owed b y ad rama t ic i ncrea se i n c ame l ids b e tween 7 500-4500 BP . F ina l ly , f r om t ha t t ime t o t he t ime o ft he I nca S ta te , c ame l ids c ompr ise 8 0% o ft he i den t if i ed f auna ( i b id . : 1 3 ) . A v ery d i ss im i lar p i cture emerges f r om h igh land v a l ley s i tes .

There , c ame l ids

a re q u ite r are o r a bsen t f r om 1 2 ,000-7000 BP , r e ma in ing s ca rce i n t he f o l low ing p er iod 7 000-4500 BP . An e xcep t ion i sP ik i machay i nt he Ayacucho V a l ley ( f ig . 2 ,n o . 2 ) where a f our -fo ld i ncrea se i nt he r e la t ive f r equency o fc ame l id s i so bserved f o r t h is p er iod . F ina l ly , b e tween 4 500-3750 BP , c ame l ids d o i ncrea se i n t he h igh land v a l ley s i tes a nd f r om t hen o na re more a bundan t t han d eer e verywhere e xcep t i n t he e a s tern i n ter -Andean h igh land v a l ley i n wh ich t he s i te o f Ko tosh i ss i tua ted ( f ig . 2 , n o . 4 ) . A t t ha t s i te , d eer r e ma in i mpor tan t f r om 3 750-2540 BP ( i b id . : 1 6 ) . On t he c oa st , c ame l id s o n ly b eco me c om mon a f ter 2 450 BP ( i b id . ) . I ti sc l ea r f ro m Wing 's s um ma r ies t ha t t he g rea test c oncen tra t ion o fp reh istor ic c ame l id u t i l iza t ion a nd i t s e a r ly i n tens if i ca t ion o ccured i n t he p una , n ot i n t he h igh land v a l leys o r c oa s t . The p rec ise c en ter o r c en ters o f c ame l id d o mes t ica t ion c erta in ly h ave n o t a l l b een i den t if ied .

L a tcham h ad s ugges ted ( 1922 ) t ha t t he e v idence f o r c ame l id

d omest ica t ion c ou ld b e f ound i n t he P eru—Bo l iv ia a / t ip lano , a nd Wing ( 1975a ) a l so u rged mo re work i n t he L ake T i t icaca a rea . T o d a te , t he n ecessa ry s ys tema t ic s urveys o f t he T i t icaca Ba s in h ave n o t b een c arr ied o ut . I n t he l a te 1 960 's a nd e a r ly 1 970 's Ram iro Ma tos M . a nd Ken t F lannery b egan aj o in t e xam ina t ion i n to t he o r ig ins o fa gr icu l ture i n t he p una a round L ake J un in ( f ig . 2 , n o . 3 ) . They w ere j o ined b y H erb Wr igh t who wa ss tudy ing t he r e la t ionsh ip b e tween a gr i c u ltu ra lo r ig in s a nd e nv ironmen ta lc hange i nb o th t he O ld a nd N ew Wor ld (W r igh t 1 977 ) . I ts oon b ecame a pparen t t ha t , l i ke a t L aur icocha , t here w ere v ery a nc ien t d epos its wh ich d ocumen ted t he t rans it ion f r om d eer h un t ing t o i n ten s if ica t ion i nt he u se o fc ame l ids a nd t he e ven tua l a dop t ion o fc ame l id p a s tora l ism (Ma tos M . 1 975 ; Wing 1 975b ) . I t s hou ld b e n oted t ha t a t t ha t t ime , many O ld Wor ld a nd s o me N ew Wor ld p reh istor ians , s oc ia l a n th ropo log ists , a nd e thnoh is tor ians w ere d eny ing t he e x is tence o f i nd igenou s c ame l id p a s to ra l is m i n t he Andean r eg ion ( s ee F lores 1 983 ) .

O thers , l i ke

Wr igh t a nd F lannery , w ere s eek ing d a ta w i th wh ich t o make c ompa r isons b e tween t he d eve lop men t o f p lan t a nd a n i ma l d o mes t ica t ion i n t he O ld Wor ld a nd N ew Wor ld . The

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J un in p una wa s i den t if i ed , l a rge ly t hrough t he e fort s o f Ma tos M . , a s a n a rea t ha t wou ld p rov ide t he a ppropr ia te d a ta . E xcava t ions a tt he J un in p una s i te o fP achamachay w ere c a rr ied o u ti n1 969/1970 , a nd t he f auna a na lyzed b y Wing ( 1975 1 3 ) . Th is e a r ly a na lys is wa se xpanded u pon b y a na l y ses o ff auna f r o m an u mber o fJ un in p una s i tes d a t ing t o b etween 1 2 ,000-4000 BP , w ork c a rr ied o u t b y J ane Whee ler a nd c o l leagues ( P ires -F erre ira e t a l . 1 976 ; f i g . 2 ,n o . 3 ) . A mode l o f p una c ame l id u t i l iza t ion emerged f r om t h is work , o ne t ha t s aw i n crea s ing i n tens if i ca t ion i n c ame l id u t i l iza t ion o ve r t ime a s h ad e ar l ier i nvest iga tors . But i n ten s if ica t ion d oes n ot n eces sa r i ly e n ta i l at ran s it ion t o d omest ica t ion , a nd i t wa s Whee ler a nd h er c o l leagues who e xp l ic ity r endered t h is i n terpreta t ion ( P i res -Ferre ira o p . c i t . , I b id ) . A n umber o f s i tes w ere i nc luded i n t he ir a na lys is , l end ing a dd it iona l w e igh t t o t he ir mode l .

I nc luded w ere r e ma ins f r om a s econd s ea son a t P achamachay

( 6200-3750 BP ) ; U chcu machay C ave ( 13 ,500—between 6 200 a nd 4 500 BP ) ; P anau lauca C ave ( 9000-7500 BP , i n t h is e a r ly w ork , n ow e x tended b ack t o 9 700 BP a nd f o rwa rd t o c . 1 500 BP [ K . Moore , p ersona l c om mun ica t ion ] ) ; A co machay A ( 4500-3750 BP ) ; t he L aur icocha d a ta men t ioned a bove ; a nd T e la r machay ( a r ock s he lter d a ted t o 4 5003 750 BP i n t h is e ar ly w ork , n ow e x tended b y L ava l lee 's work t o b etween 8 810-3630 BP [ Whee ler 1 984 ] ; s ee b e low ) . The e a r l ies t l e ve ls , f r om U chcu machay , s how s t one t oo ls a s soc ia ted w ith e xt inct f o r ms o fd eer a nd h orse . The n ext p er iod , 9 000-7500 BP , s hows t he 5 0 :50 c erv id :came l id r a t io men t ioned b y Wing . I n s ub sequen t p er iods , t he c ame l id r e la t ive f r equency b eco mes p rogress ive ly h igher s o t ha t b y 4 500 BP , t he c ame l id :cerv id r a t io i s9 0 :10 . Domest ica t ion wa s t hough t t o h ave o ccurred b e tween 4 500-3750 BP . Ba sed o n t hese i n terpreta t ions o ft he e v idence , amode l o fc a me l id d omest ica t ion wa s c onstructed ( f ig . 3 ) . I n it ia l ly , t here w ere " genera l ized h un ters" who w ere f o l lowed b y t hose p rac t ic ing " spec ia l ized h un t ing o f Came l id " . Th is wa s b a sed o n a n " i ncrea s ing k now ledge o f c ame l id t e rr i tor ia l a nd s oc ia l b ehav ior" . A t s ome p o in t , " i ncrea s ing c on t r o l o ver c ame l id t e rr itor ies" l ed t o " con tro l o f s em idomes t ica ted Came l ick e" . B etween 6 200-4500 BP , t he c hange f r om s em idomes t ica ted t o d o mest ica ted c ame l id s o ccur red , c u lm ina t ing i n t he h erd ing o f d omes t icated c ame l id s b a sed o n " i ncrea s ing h uman c on t ro l o ver b reed ing i n s em idomes t ica ted Came l id W ' . The f i na l s tage o f t he p rocess i st he " appearance o f d i st inc t b reeds o fd omes t ic Came l ida 2" ( P ires -Ferre i ra o p . c i t . ) . Th is mode l i sc urren t ly b e ing t e sted b y an umber o fi nves t iga tors , i n c lud ing more d eta i led e xcava t ion a nd f auna l a na lyses b y L ava 1 16e , J u l ien , a nd Whee ler a t T e la r machay ( Lava lMe e ta l . 1 982 ; Whee ler 1 984 : 7 8 ) . A lthough t here i sn o c hange i n t he b a s ic mode l , Whee ler n ow b e l ieves t ha t t he t ran s i t ion f r om h un t ing o fc ame l ids t o h erd ing t he m t ook p lace b etween 6 800 a nd 4 500 BP i n t he a rea o f T e la rmachay , a nd t ha t i t wa s a n i n s i tu d eve lop men t (Whee ler 1 984 ) . An i mportan t f ea tu re o f t he T e la r machay w ork i s t ha t Whee ler a pp l ies t he d if erences i n t ooth morpho logy o bserved among mode rn c ame l ids t o t he a s se mb lage (Whee ler 1 982 :

1 2-13 ) .

I n d o ing s o , h owever , s he f ound i tn ecessa ry t o make c er ta in

a ssu mpt ion s a bou t t he n a ture o f c ame l id p hy logeny ( s ee f i g . 1 ) .

I n t he e a r l iest l e ve ls

a t T e la r machay wh ich , a ccord ing t o h er mode l p reda te t he a ppea rance o f d omest ica ted c ame l ids , s he n otes t ha t s pa tu la te i n c isors w ere f ound . These a re c haracter is t ic o f b oth modern d omes t ica ted l ama s a nd modern w i ld g uanacos (Whee ler 1 982 ) .

B ecause h er

mode l d e mand s o n ly w i ld c ame l ids a t t h i s t ime , Whee ler i d en t if i es t hese s pa tu la te i nc isors a s h av ing c ome f r om g uanacos (Whee ler 1 984 ) . I n a dd it ion t o t he s ee m ing c i rcu la r ity o f t h is a pproach , i ta l so d e mands e l im ina t ing t he p oss ib i l i ty t ha t p re -domes t ica ted l ama l i ke a n i ma ls e x isted [ f i g . 1( d ) ] . I t i sn ot t ha t Whee ler 's a rgumen t i su n rea sonab le , i t i ss imp ly t ha t i t s b a s is h a s n o t b een d e monstra ted . I ts hou ld b e n oted t ha t T onn i a nd

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L anza ( 1976 : 1 37 ) h ave r e jected t he a rgumen ts o n wh ich mode l ( d ) i sb a sed , b u t t hey t oo h ave n o t b een a b le t o d e mons tra te t he v a l id ity o f a ny o ther mode l . T o p u t i tb r ief ly , w e s t i l l d o n ot h ave a s o l id b a s i s f o r c l a im ing t ha t t he 8 000—yea r o ld s pa tu la -shaped c ame l id i nc isors a re f r om g uanacos r a ther t han f r om e i ther a n u nknown e x t inct f o rm o r ap re -do mest ica ted l ama . A s econd a spect o f t h is mode l i st ha t i ti sg radua l ist ic i n t ha t i ti nvokes a s l ow t rans it ion f r om h un t ing t o h erd ing .

The g radua l is t p a rad igm i so ne wh ich i si mp l ic i t

i n mos t z ooa rch o log ica l a pproaches t o d omest ica t ion i n t he O ld Wor ld mode ls a s w e l l . F or e xamp le , R eed h a s s ta ted ( 1960 : 19 ) t ha t mos t a n i ma l s pec ies a re p robab ly p resen t among a nd i mpor tan t t o t he h uman p opu la t ions e xp lo it ing t he m f o r s o me 2 000-3000 y ea rs b efore w e h ave a ny " un impeachab le e v idence" f o r t he ir d omes t ica t ion . However , when w e l ook c l ose ly a t T e la rmachay , a n i n teres t ing p a radox a r ises i fo ne a dheres t o t h is g radua l is t , o r s l ow -tran s i t ion p a rad igm . I n t he p er iod f o l low ing i n tens ive h un t ing o f w i ld c ame l ids ( presumed t o b e v i cuna s a nd g uanacos ) , i n c isors s im i lar t o t hose o f modern a lpaca s a re f ound , l ead ing t o t he i n f erence t ha t d omes t ica t ion h a s b een a ch ieved (Whee ler 1 984 : 7 9 ) . One q ues t ion t ha t a r ises i s : How d oes t h i s n ew morpho log ica l t ra i t a ppea r i fi ti st he r e su l t o fa n i n s i tu p rocess? I n t he g radua l is t mode l , w e e xpec t e v idence f o r c hanges i n a n i ma l manage men t p rac t ices p r ior t o t he a ppea rance o f t he d i s t inct ive d en ta l f eature . However a t T e la r ma c hay , Whee ler n otes t ha t t he i mpor tan t c hanges i nt he c ame l id :cerv id r a t io c o inc ide w ith t he a ppea rance o f t h is d i s t inct ive f ea ture r a ther t han p reced ing i t . Thus , i ts e em s t ha t n ew managemen t p rac t ices a nd d omes t ica ted a lpaca s a ppea r s imu ltaneous ly . Ano ther r e f lec t ion o n managemen t p rac t ices i st he n a ture o ft he a ge s t ructu re o f t he a rch o log ica l c ame l id s . A t t he s a me t ime a s t hese o ther c hanges , t here i s ad rama t ic i n crea se i n t he r e la t ive f r equency o f f e tu s/new b o rn a n i ma l s . Whee ler a rgues t ha t s uch a n i ncrea se i sd ue p r ima r i ly t o t he c hanges i n h e rd manage men t p rac t ices a t t h is t ime . The d a ta s upport t h is c l a im , a s w e s ee t h is a ge g rade i ncrea sed f r om l e ve ls o f 3 0-40% t o l e ve l s o f 4 0-70% d ur ing t h is s ame p er iod ( 6000 t o 5 500 BP ; Whee ler 1 984 : 7 7 , f i g . 2 ) . I fa l l t hese c hanges a re i ndeed c on te mporaneou s o r e ven a pprox ima te ly s o , t hen g radua l ism d oes n o t c ha racter ize t he a ppea rance o f d o mest ica ted a lpacas i n t he J un in p una . I n o ne p er iod t hey a re n o t p resen t , a nd i n t he n ex t t hey a re . E ven r ough c on tem p o rane ity o f c hanges i n h erd managemen t a nd t he a ppea rance o f d o mes t ica ted a n i ma l d i s t inc t ive f ea tures s e em t o f avor i n s tead a p unctua ted e qu i l ibr iu m mode l o f c ame l id d omest ica t ion ( ä . l a Gou ld a nd E ld redge 1 977 ) . T o s um u p s o f a r , i ts ee ms t ha t t he most l i ke ly l o cus f o r t he e a r l ies t c ame l id d o mes t ica t ion wa s i n t he c en tra l Andean p una . Th is o ccurred b etween 6 000 a nd 5 000 BP , a s a lpaca s o r a lpaca l ike a n i ma ls a re i d en t if ied a l ong w i th c on textua l a nd b io log ica l e v i d ence f o r n ew h erd manage men t p ract ices . These c hanges o ccurred r ap id ly , a nd Is ugges t ap unctua ted e qu i l ibr ium mode l f o r c ame l id d o mes t ica t ion i n t h is a rea . Why Domes t i ca t ion? Why w ere a lpaca s t he f i rs t d omes t ica ted c ame l ids? I ts hou ld b e n oted t ha t t he T e la r machay e v idence i si n f u l l a gree men t w ith o s teo me tr ica l d i scr im ina t ion o f c ame l id b ones f r om P achamachay , s how ing a lpaca s a s t he e a r l iest i den t if iab le d o mes t ica ted c a me l i d b etween 5 000 a nd 4 200 BP ( Ken t 1 982 ) . T oday , a lpacas a re n o t o n ly mea t p rov iders , b ut a re t he ma jor c ame l id w oo ls ource . Th i s r a i ses a dd it iona lq ues t ions : Why d id h un ter— g a therers who h ad s ucces sfu l ly a dapted t o t he p una f o r s evera l t housand y ea rs n eed h igh q ua l i ty ( p resu mab ly ) w oo l? Why a t t h is t ime a nd n o t e a r l ier? One p oss ib i l i ty i st ha t a lpaca s w ere d omest ica ted t o p roduce a n i t em t ha t wou ld s e rve a s at rade c o mmod i ty . Wha t w ere p eop le o n t he J un in p una o b ta in ing i n r e tu rn?

1 ' 15

I n l e ve l 4a t U chcumachay , R icha rd Burger i d en t if i ed s evera l p ieces o fo b s id ian f r om t he Qu isp is isa s ource l o ca ted f a r t o t he s ou th i n Huancave l ica ( f ig . 2 , n o . 5 ; P i res -Ferre ira e ta l . 1 976 :484 ) . The l e ve l d a tes t o b e tween 6 200 a nd 4 500 BP ( i b id . ) . Thu s , Is ugges t t ha t a n a lpaca woo l—ob s id ian e xhange w as o pera t ing , a nd t ha t i to r ig ina ted e i ther a s a r e su l t o f o r was a c ause o fa lpaca d omest ica t ion . C ame l ids a nd C l ima te A f ter 1 2 ,000 BP i n t he J un in p una t here i sl i t t le e v idence f o r ma jor c l i ma t ic c hange (W r igh t 1 983 ) . I ts hou ld b e n o ted t ha t t here may b e t wo ma jor o sc i l la t ions c or r e la ted w i th E l N ino l ike c l ima t ic c ond it ions l a s t ing f o r e x tended p er iods i n t he s outhern c en tra l Andes , o ne b etween 7 000 a nd 5 000 BP a nd t he o ther b etween 2 700 a nd 1 600 BP (Mercer a nd P a lac ios 1 977 ; S ervan t e ta / . 1 981 ; Thompson e ta / . 1 984 ) . S uch o sc i l la t ions h ave n ot y et b een d ocumen ted f o r t he J un in a rea . These o sc i l la t ions may h ave i nf luenced t he a dop t ion o f c ame l id p a s tora l is m i n f i rs t m i l lenn iu m BC s i tes n ea r t he S a la r d e A tacama o f Ch i le ( Druss 1 980 a nd p ersona l c ommun ica t ion ; f i g . 2 ,n o . 6 ) . I n t ha t a rea , t he s or t o ft ranshumance t ha t L ynch ( 1967 ) h a s p roposed a s ap redom inan t a dap t ive s t ra tegy i n t he c en tra l Andes may h ave b een o pera t ing , b u t t he a pp l icab i l i ty o f at ranshumance p a t tern f o r t he ma jor i ty o ft he c en tra l Andes wa s c r it ic ized b y C a rd ich ( 1976 ) . I ndeed , L ynch h im se lf n o l onger b e l ieves t ha t t he p a ttern h a s more t han r eg iona l a pp l icab i l i ty ( Lynch 1 980 : 3 10-311 ) . I n t he a bsence o f s i gn if ican t c l ima te c hange i n t he J un in p una a f ter 1 2 ,000 BP , w e a re l e f t w i th s o me i n teres t ing p rob le m s . No c ame l ids a re r e co rded p r ior t o 9 000 BP a t U chcumachay , s o i ti sl i ke ly t ha t c ame l ids w ere n ot i n t he c en tra l Andean p una much b efore 1 0 ,000 BP . I f t hey w ere n o t t here , h ow d id P i res -Ferre ira e t a l . 's g enera l ized h un ters o b ta in t he " i ncrea s ing k now ledge o fc ame l id t e rr i tor ia l a nd s oc ia l b ehav ior" t ha t a ccompa ined t he t rans i t ion t o s pec ia l ized h un t ing ( f ig . 3 )? The g rega r iou sness , d om inance h ierarch ies , a nd t e rr i tor ia l ity o f w i ld c ame l ids w ere c ha racter is t ics t ha t made t he m amenab le t o d ome st ica t ion b y h u mans . However , t hese a re c ha racter is t ics t ha t wou ld h ave made t hem e a s ier p rey f o r h un ters t han d eer . Y e t ;t h is mus t h ave b een t rue p r ior t o t he t ime a t wh ich w e s ee a s h if t a way f r om d eer p redom inance i n t he f auna l a ssemb lages .

Were d eer d i sappea r ing?

n o t d o ing s o b ecau se o f a ny e s tab l ished c l ima t ic c hange .

I f s o , t hey w e re

There wa s n o d es icca t ion o r

e nforced c oncen tra t ion o f man a nd b ea s t i n o a ses i nvo lved h ere .

Were p una h un ters

g radua l ly i n crea s ing t he ir k now ledge o f c ame l id t e rr i tor ia l a nd s oc ia l b ehav ior a s P ires F erre ira e t a l .

( 1976 ) s ugges t?

I fi tt ook t hem s eve ra l t housand y ea rs t o o b ta in t h is

k now ledge i ti s aw onder t hese h un ters s urv ived f o r a s l ong a s t hey d id . F ina l ly , w e c an a sk , a s R eed h a s ( 1977 : 5 60 ) , why b etter k now ledge o fo ne 's p rey s pec ies w ou ld l ead t o s em idomes t ica t ion o r d omes t ica t ion a t a l l . R eed p o in ts o ut , i ts hou ld l e ad t o b etter h un t ing o f t he p rey .

On t he c on tra ry , a s

E ven t he b es t h un ters ,

h e n o tes , ma in ta in c l ose s oc ia l b ond s w ith t he ir p rey p opu la t ions , f r equen t ly t am ing y oung a n i ma ls . The k now ledge o f b ehav iors t hus o b ta ined h e lps t he m t o l e a rn t he b est ways t o t rack a nd h un t t he a n i ma l . F rom t h i s p erspect ive , i t i s d if icu l t t o d i sagree w i th R eed 's o bserva t ion t ha t i ti sn ot t he mere j ux tapo s i t ion o f h un ter t ha t s o mehow r e su lts i n d omes t ica t ion . Ra ther i ti st he a t t itude o f t he h un ter t ha t mu st c hange . The r easons f o r t h is c hange s hou ld d i rec t f u ture mode l b u i ld ing r e la ted t o Andean c ame l id d o mest ica t ion .

1 76

r e O P Y M

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r tr

r

r i

er

/\ r / e m

( c )

r—

z i e r

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o s >

M

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=

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F I GURE 1 A l ternat ive Mode ls o f Dome st ica ted Came l id P hy logeny ( See t ext f or e xp lana t ion ) .

1 77

N e l =

A LPACA

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F IGURE 2 _ L ocat ion o f S i tes D i scussed i n T ext : 1 .L aur icocha ; 2 . Ayacucho Va l ley ( P ik i rnachay ); 3 .J unin p una ( Pachamachay , P anau lauca , U chcumachay , Acomachay A , T e la r r nachay; 4 . Kotosh ; 5 . Qu isp is is i Obs id ian s ource , I luancave l ica ; 6 . S a lar d e A tacama s i te .

1 ' 78

SPANIS H

I NVAS IO N

A ppearance o f d is t inct b reeds o f d o mes t ic C a me l idae

H ERD ING

OF

DO MESTIC

CAMELIDAE

I n creas ing h u man c ontro l o ver b reed ing i n s em ido mest icated

CONTROL

OF

C a me l idae

S EM IDO MESTICATED

CAMELIDAE

I ncreas ing h u man c on tro l o ver c a me l id t e rr i to r ies

S PEC IAL IZED

HUNT ING OF

CA MELIDAE

I ncreas ing k now ledge o f c a me l id t e rr i tor ia l a nd s oc ia l b ehav io r

GENERALIZED

HUNTING

F I G UR E 3 Deve lopmenta l Mode l f o r C ame l id Domest ica t ion i n t he C entra l Andean P una ( f rom P i re s F er re ira e ta l . 1 976 ;4 89 ) .

1 ' 79

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" B lood T yp ing S outh Amer ican C ame l id s" , T he J ourna l o fH er ed i ty 7 6 : 3 69-371 .

OTTE , K .C . a nd J .L . VENERO G . 1 979 .

" Anä l is is d e l a c raneo metr ia d i f erenc ia l e n tre l a v i cuna (V i cugna v i cugna ) yl a a lpaca ( Lama g uan icoe p acos )” , S tud i es o n N eo trop ica l F auna a nd Env i ronmen t 1 4 : 1 25-152 .

PATTERSON , B . , a nd R . PASCUAL 1 972 .

" The F oss i l Mamma l F auna o f S ou th Amer ica " , i n E vo lu t ion , Mamma l s , a nd S ou thern C on t inen ts ,e d i ted b y A . K ea s t , F . C . E rk ,a nd B . G la ss , S ta te Un ivers ity o f N ew Y ork P res s , A lbany : 2 47-309 .

PALACIOS R IOS , F . 1 977 .

" . .. H iwasaha U ywa U ywa ta r ia . U ka U ywaha H iwasaru U yus i tu" ; L os p as tor es A y mara d e C h ich i l lap i , T es is d e Mag i ster d e C ienc ias S oc ia les , P on t if ica Un ivers idad Ca tö l ica d e l P erü , L i ma .

P IRES -FERRE IRA , J . W . , E . P IRES -FERRE IRA , a nd P . KAUL ICKE 1 976 .

" Preceram ic An ima l U t i l iza t ion i n t he C en tra l P e ruv ian Andes", S c ience 1 94 : 4 83-490 .

P IRES -FERRE IRA , E . 1 9 8 1/8 2 ."No menc la tu ra yn ueva c l a s if i cac iön d e l o s c ame l idos s udamer icanos" , R ev i s ta d o Museu P au l i s ta , n . s . , v o l . XXVI I I , Un ivers idad d e S äo P au lo , B ra s i l : 2 03 -219 . REED , C .A . 1 960 .

" A R ev iew o f t he A rch e eo log ica l E v idence o n An ima l Domes t ica t ion i n t he P reh is tor ic N ea r E a s t", i n P r eh i s tor ic I nves t iga t ions i n I r aq i Kurd i s tan , e d i ted b y R . J . B ra idwood a nd B . Howe , S tud ies i n Anc ien t O r ien ta l C iv i l iza t ion n o . 3 1 , O r ien ta l I ns t i tu te , Un ivers i ty o f Ch icago : 19-145 .

1 977 .

" A Mode l f o r t he O r ig in o f Agr icu l ture i n t he N ear E a s t", i n O r ig ins o f A gr icu l tur e , e d i ted b y C . A . R eed , Mou ton P ub l ishers , The Hague : 5 43-567 .

R ICK , J . W. 1 980 . P r eh i s tor ic Hun ter s o ft h e H igh Andes , A cade m ic P ress , N ew Y ork . 1 983 .

C rono logia , c l ima y s ubs i s tenc ia e n e lp r ecerdm i co P eruano , I n st i tuto And ino d e E stud ios A rqueo lög icos , L i ma .

S ERVANT , M . , J . -C . FONTES , M . R IEU , a nd J . -F . SALIEGE 1 981 .

" Pha ses c l i ma t ique a r ides h o locenes d ans l es ud -ouest d e l 'Amazon ie ( Bo l iv ie )" , C omp tes R endus d es A cadem ie d es S c iences , P a r i s , t .2 91 ( 18 ma i 1 981) , S er ie I : 1 295-1297 .

S TE INBACHER , G . 1 953 .

" Zur Abs tammung d es A lpakka -Lama p acos" , S äuge t i erkunde Mi t te i lung , Band I ,H ef t 2 : 7 8-79 .

THO MPSON , L . G . , E . MOSLEY -THO MPSON , a nd B . M ORALES ARNAB 1 984 .

" E l N ino -Sou thern O sc i l la t ion E ven ts R ecorded i n t he S tra t igraphy o f t he T rop ica l Que lccaya I c e C ap , P eru", S c ience 2 26 : 5 0-53 .

1 83

TONNI , E .P . a nd J .H . LAZA 1 976 .

" Pa leoe tnozoo log ia d e l a rea d e l a Quebrada d e l T o ro , P rov inc ia d e S a l ta " , R e lac iones d e l a S oc i edad A rgen t ina d e An t ropo logia v o l . X , n . s . , B uenos A ires : 1 31-140 .

WEBB , S . D . 1 978 .

" A H is tory o f S avanna V er teb ra tes i n t he N ew Wor ld : P a r t I : S ou th Amer ica a nd t he G rea t I n terchange" , Annua l R ev i ew o f E co logy a nd S ys tema t i cs 9 : 3 93-426 .

W HEELER , J . C . 1 982 . 1 984 .

" Ag ing L lama s a nd A lpaca s b y t he ir T ee th" , L lama Wor ld 1 :1 2-17 . " La d o mest icac iön d e l aA lpaca ( Lama p acos L . ) yl aL lama ( Lama g / ama L . ) ye l d esa rro l lo t emprano d e l a g anader ia a u töctona e n l o s Andes C en tra les ", Bo l e tin d e L ima 3 6 : 7 4-84 .

WING , E .S . 1 972 .

" Ut i l iza t ion o f An ima l R esources i nt he P eruv ian Andes" ,i n Andes 4 :E xcava t ions a t Ko tosh , P eru , e d ited b y S e l ich i I zum i a nd Kazuo T e rada , Un ivers i ty o f T okyo P ress : 3 27-352 .

1 975a . " Hun t ing a nd H e rd ing i nt he P eruv ian Andes " ,i nA r ch e Eozoo log i ca lS tud i es ,e d ited b y A . T . C la son , Nor th -Ho l land P ub l ish ing C ompany , Ams terdam a nd Oxford : 3 02-308 . 1 975b ."In forme p re l im ina r a cerca d e l o s r e s tos d e f auna d e l a c ueva d e P achamachay , e n J un in , P erü ", R ev i s ta d e l Museo Nac iona l XLI , L i ma : 7 9-80 . 1 977 .

" An i ma l Domest ica t ion i n t he Andes", i n O r ig ins o fA gr icu l tur e , e d i ted b y C . A . R eed , Mouton P ub l ishers , The Hague : 8 37-859 .

1 982 .

" The Do mest ica t ion o f An ima ls i nt he H igh Andes" , i n A dap ta t ions a nd E vo lu t ion i n B io ta o f H igh T rop ica l Mon tane S ys tems , e d i ted b y M . Mona s ter io a nd F . V iu l leu m ier , Oxford Un ivers i ty P ress , i n p re s s .

1 983 .

" Domest ica t ion a nd

U se

o f An i ma l s

i n t he

Amer ica s" ,

i n

Domes t ica t ion ,

C onserva t ion a nd U se o f An ima l R esour ces , e d i ted b y L . P ee l a nd D . E , T r ibe , Wor ld An i ma l S c ience , A : B a s ic I nforma t ion , n o . 1 ,E lsev ier , Ams terdam : 2 1-39 . W RIGHT , H .E . , J r . 1 977 .

" Env iron men ta l Change a nd t he O r ig in o f A gr icu lture i n t he O ld a nd N ew Wor ld s", i n O r ig ins o fA gr i cu l tur e , e d i ted b y Cha r les A . R eed , Mou ton P ub l i sher s , The Hague : 2 81-318 .

1 983 .

" La te P le is tocene G lac ia t ion a nd C l ima te A round t he J un in P la in , C en tra l P eruv ian H igh lands" , G eograf i ska Anna ler 6 5A : 3 5-43 .

1 984 .

" La te G lac ia l a nd L ate H o locene Mora ines i n t he C e rros Cuchpanga , C en tra l P erü ", Qua ternary R esear ch 2 1 : 2 75-285 .

ZEUNER , F . E . 1 963 .

A H i s tory o f Domes t i ca ted An ima l s , Ha rper a nd R ow , N ew Y ork .

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CO M ME NTS O N THE TRA NSITIO N OF H U NTI N G - G AT HERI N G G RO UPS INTO EA RLY A G RIC ULT U R ALISTS : THE CASE OF THE SO UT H OF JALISC O , M E XICO

MA . DOLORES SOTO Un ivers idad Nac iona l Autöno ma d e Mex ico

I n troduc t ion One o ft he t ran sfor ma t ion s wh ich c au sed ar evo lu t ion i nt he h i s tory o fh u man i ty , was t he s h i f t f r om a n a pp rop ia t ion e cono my i n to a p roduc t ion o ne ; w i th t he r i se o f a gr icu ltu re , man s ta r ted t o r ecrea te t he w or ld , t o t u rn t he n a tura l med ia i n to a c u l tura l o ne ( Pa ler m 1 972 : 1 3 ) . The e f ec t o ft h is d i scovery h a s b een c ha rac ter ized a s " a r evo lu t ion t hanks t o wh ich man s t opped b e ing ap a ra s i te ... t hus t urn ing h i mnse lf i n to a n emanc ipa ted c rea tor o ft he l im i ta t ions w i th in h i s e nv ironmen t" ( Ch i lde 1 928 ) . A s w e a l l k now , t h is c hange i n t he means o f o b ta in ing f ood r e sources d id n ot t ake p lace s imu l taneou s ly a l l o ver t he w or ld ; moreover , e ven t oday t here a re g roups wh ich h ave n o t i n corpora ted i ti n to t he ir c u l tu re . We a l so k now t ha t i t s o r ig in w as n ot u n ique , a s i tt ook p lace , u nder d if eren t c ond i t ion s , i n v a r ious p laces a nd —of c ourse n o t s imu l taneous ly .

I t i s a l so a f a ct t ha t s o me h uman g roup s r eached t h is d i scovery

o n t he ir o wn , a s t he c u lm ina t ion o f ap rocess wh ich i n c luded b oth e nv ironmen ta l a s w e l l a s c u ltura l f a c tors wh ich b rough t a bou t i t s a ch ievemen t a nd t ha t i n o ther s oc iet ies a g r icu l ture wa s l e a rned t hrough c on tac t o r r e la t ions w i th o ther g roups wh ich a l ready p rac t iced i t . On t he o ther h and , i ti sk nown t ha t t rad i t iona l ways o fl i f e a ssoc ia ted w i th t he r i se o f a g r icu l ture a s , f o r e xamp le , s eden t i sm , a re n o t n ecessa r i ly r e la ted o r p resen t ac au sa l r e la t ionsh ip . However , i n s p i te o f t he i mpor tan t r o le p layed b y t he a gr icu l tu ra l r evo lu t ion i n t he d eve lopmen t o fh uman ity , a nd o ft he g rea t n umber o fs tud ies o n t h is s ub jec t , w e s t i l l k now v ery l i t t le a bou t t he way i n wh ich i tt ook p lace , wh ich w ere t he s oc ia l , c u l tura l , g eograph ica l a nd b io log ica l f a ctors t ha t a l lowed i t s r i se a nd a cceptance a s a n e cono m ic s yste m . Up t o n ow , s evera l t heor ies c oex ist t ha t i n tend t o e xp la in h ow , when a nd why i t t ook p lace a nd , a nd t oday n one o f t hem i st horough ly a ccepted . N everthe less , Ib e l ieve i ti si n teres t ing t o c a rry o u t a n a na lys is o f t he ma in p ostu la tes wh ich e xp la in t he r i se o f t he a gr icu l tura l r evo lu t ion , a nd a l though t he re a re d if eren t e xp lana t ions f o r t h i s , e ach o ne o f ers a rgumen ts t ha t —toge ther w i th o thers

g i ve u s ac l ea r v i ew o ft he mechan is m -

wh ich b rough t a bou t t he d o mes t ica t ion p roce ss . Ana lys i s o ft h e Ma in T heor ies o ft h e O r ig ins o fA gr icu l tur e Among t he ma in t heor ies o n t he o r ig ins o f a gr icu l ture , t here a re t hose t ha t p o in t o u t h ow w e l l -acqua in ted w ere t he h un t ing -ga ther ing t r ibes w i th s eeds , w i th t he a g r icu ltu ra l c yc les a nd w i th t he c l ima t ic r eg i me t ha t i nf luences p lan ts ' g row th a s t he ma in c au ses o ft he r i se o fa gr icu lture ( Bra idwood 1 960 ; S auer 1 952 ) .

A ccord ing t o B ra idwood 's p o in t o f v i ew ( 1951 ) , a g r icu l ture i st he c u lm ina t ion o f ac on t inuous ly i n crea s ing p roce s s o fc u l tura l d if e ren t ia t ion , s pec ia l iza t ion a nd k now l e dge o ft he h ab i ta t ; i tt ake s p lace w i th in t he n uc lea r z ones w i th p o ten t ia l ly d ome st icab le r e sou rce s . H e p roposes a s e r ies o f c u l tu ra l l e ve l s : The f i rs t i s aq u i te e x ten s ive s tage o f f ood g a ther ing a nd h un t ing ; a t t he b eg inn ing , man p o s ses ses g enera l ized t oo ls a nd , l a ter o n , t hese b ecome mo re s tanda rd ized . A f terwa rd s , t here c omes a f ood -ga the r ing a nd h un t ing s tage w i th in ar e s tr ic ted a rea a nd , h ere , w e a l ready h ave t oo l d if e ren t ia t ion among t he v a r iou s r eg ion s . S t i l l l a ter , w e h ave a s tage o ff ood -ga ther ing c o mb ined w i th s e lec t ive h un t ing , a s w e l l a s t he a ppea rance o f r eg iona l v a r ia t ion a s f a r a s t oo l f o rm s a re c oncerned , a nd t here i sa l ready a s ea sona l d if eren t ia t ion i n a c t iv i t ie s . A t s o me v e ry s pec ia l ized p lace s , f ood g a ther ing w a s s o e f ec t ive t ha t i ta l lowed t he e s tab l i shmen t o f p e rmanen t o r s em i -pe rmanen t s e t t lemen ts . And , l a s t o fa l l , w e h ave t he f ood -p roduc t ion s tage , wh ich wa s a ch ieved i n t he f o rm o f i n c ip ien t f a rm ing w i th in t he a rea wh ich r ep re s en ted d ome s t icab le ma te r ia la nd , l a te ro n , t he re w i l la ppea rt he f i r s ta g r icu l tu ra lv i l lages . Th i s mode l i sr a ther a d e scr ip t ion o f t he r egu la r i t ie s h e w a s a b le t o o bse rve i n h i s p ro f e ss iona l p rac t ice more t han a n e xp lana t ion o ft he c au ses . T o h im , t he p roce s s o fc hange i si nhe ren t t o h uman n a ture . T ran s i t ion d oe s n o t t ake p lace a ny e a r l ier b ecau se c u l tu re wa s n o t r eady t o r e ce ive i t( B ra idwood a nd Wi l ley 1 962 : 3 42 ) a nd t he man ifo ld r i se o f t he a g r icu l tu ra l r evo lu t ion s ugge sts t ha t i t s h igh p o s s ib i l i ty o f s ucces s i sd ue t o man 's e vo lu t ion , a s w e l l a s t o ap ecu l ia r c o mb ina t ion o fe nv ironmen ta l c i rcums tance s . Bu t , a s B info rd p o in ts o u t ( 1968 ) , t he t r end s o b se rved i nc u l tu ra l e vo lu t ion n eed a n e xp lana t ion . There i s ag enera l a gree men t o f o p in ion among a n th ropo log i st s i n t he s en se t ha t t he f ood -ga the r ing a nd h un t ing g roups h ad t h i s k now ledge , a s i t i s o f p r ima ry i mpo r tance f o r t he ir means o f s ubs i s tence ; moreover , e thnog raph ic e xamp le s o f p resen t g roup s ( Lee 1 968 ) s how t ha t h un te rs—ga therer s a re a cqua in ted n o t o n ly w i th t he f a c t t ha t p lan ts g row f r om s eeds , b u t d ue t o t he i r c on tac t w i th a g r icu l tura l g roups , t hey a re a l so a cqua in ted w i th t he g enera l p r inc ip les o f a g r icu l tu re . A s F lanne ry p o in ts o u t ( 1968 : 6 8 a nd 1 985 : 2 40 ) , " we d o n o t k now o fa ny g a ther ing/hun t ing g roup s o p r im i t ive a nd i gnoran t a s t o b e u nawa re o ft he f ac t t ha t p lan t s g row f r om s e eds " . Obv iou s ly , t h is k now ledge i s much o lder t han t he d ome s t ica t ion p roces s a nd w a s a l ready a p a r t o f t he g roup o fc u l tu ra l t rad i t ion s o ft he h un t ing -ga ther ing g roup s . I ti sc er ta in ly o bv iou s , b u t —never the le s s — ap re requ i s i te f o r c a r ry ing o n t he d ome s t ica t ion p roces s . Tha t i st o s ay , e ven t hough t h i s p os tu la te c anno t b e a ccep ted a s " the c au se" o ft he o r ig in o fa g r icu l tu re , i te v iden t ly c ons t i tu tes ap rev iou s o r p re l im ina ry c ond i t ion f o r t h is c hange t o t ake p lace . Among t he b a s ic p o s tu la te s o fc on t inu i ty a nd c u l tu ra l c hange t he re a re d if eren t ways o f i n te rp re ta t ion a nd i n teg ra t ion t ot he c u l tu re o f" un ive r sa l" p r inc ip le si t se l f , wh ich a cqu i re t he ir o wn p ecu l ia r c ha rac ter i s t ic s a ccord ing t o t he c u l tura l c on tex t i n wh i ch t hey a re i mmer se . The p rob lem l i es , t hen , n o t i n t he d i scu s s ion o f man 's f am i l ia r i ty w ith p lan ts , b u t i n s o me a spec ts o f t h i s p rev ious ly a cqu ired k now ledge wh ich a c ted d i rec t ly u pon d omest ica t ion/cu l t iva t ion , h ow t h is w a s a ch ieved a nd whether s pec if ic d emon s tra t ion s o f t he k now ledge w ere a pp l ied b y e ach g roup t o t he c u l t iva t ion p rocess ; t hu s , w e may e s tab l ish g enera l s tanda rd s f o r t h is e conom ic c hange . A s C ohen p o in ts o u t : " ag r icu l tu re i s , i n aw ay , more t he p roduct o f t he c on tex t t han j u s t an ew t e chno logy i n se rted b y d ifus ion w i th in a d i sorder ly s e r ies o f r ec ip ien t c u l tu re s " ; c onsequen t ly , a l though i ti s t rue t ha t t he u nde r stand ing o ft he c on tex t i sn o t i n i t se lf a n e xp lana t ion o ft he c au se s o f t he a g r icu l tu ra l r evo lu t ion , i ti su tte r ly n ecessa ry t o c o mp rehend i ti n o rder t o a na lyze t he r eg iona l d if e rences , t hu s b e ing a b le t o r each v a l id g enera l iza t ion s . S ome o the r t heo r ie s a re b ased o n c l ima t ic p henomena wh ich a f ected t he e x is t ing f auna a nd f l ora , a nd t ha t moved h uman b e ing s t o l ook f o r n ew a l te rna t ives a s f a r a s f ood w a s c once rned . A rch o log ica l e v idence s how s , i n my o p in ion , t ha t t hese e xp lana t ion s a re v a l id u p t o ap o in t , b u t t hey r e f er ma in ly t o l o ca l e nv i ronmen ts , n o t a pp l icab le ,

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i n g ene ra l t e rm s , t o t he who le p roces s o f t he r i se o f a g r icu l ture . C l ima t ic c hange s a re c l ea r ly r eg iona l , h av ing d if e ren t e f ec t s u pon e ach s egmen t o f o u r p lane t , a cco rd ing t o t he l a tte r 's o wn s pec if ic c onf igura t ion . I ti st hen v ery d if i cu l t t o i mag ine t ha t ac hange i n c l ima te may p rove t o b e o ft he s a me magn i tude t hroughou t t he d if eren t r eg ion s where in a g r icu l tu re a ro se , t he r ea son f o r t h i s b e ing t ha t c l ima te i so n ly a f a cto r —a l though a mo s t i mpor tan t o ne — i n t he p lan t/vege tab le c yc le s ; f a cto r s s uch a s k ind o fs o i l , a l t i tude a bove s ea l e ve l , s ys te m s o f p rocu remen t a nd l o s s o f s o i l n u tr ien ts , t opog raphy , t ypes o f s o i l ma t r ix , d eve lopmen t , e t c . c ause ac l ima t ic c hange t o r everbe ra te i n ad if eren t way i n e ach r eg ion , a cco rd ing t ot he t o ta l n umbe r o ff ac to rs wh ich i n ter f ere w i th t he g row th a nd d eve lop men t o fv ege ta t ion . Ac l ea r e xamp le o ft he a bove i s , i nl a ter t imes , t he p rocess w e a re n ow d ea l ing w i th , whe re , i nt he p ha se c a l led "Manan t ia l d e Z ohap i lco ” ( N iede rberger 1 976 : 2 69 ) ad ec rea se i n r a in fa l l o ccur s a nd t he b o tan ic d a ta a va i lab le p o in t t owa rd s a g rea te r a bundance i n ma i ze p roduc t ion . H ypo theses o n c l ima t ic c hange a re u sefu l f o r t he s i tes where c l ima t ic c hanges t ook p lace , a s ad e scr ip t ion o f t he c on text whe re in t he a g r icu l tu ra l r evo lu t ion t ook p lace , b u t t hey a re n ot a n e xp lana t ion t hereof f . On t he o ther h and , t here i s as e r ies o f t heo r ies t ha t men t ion d emog raph ic p res s u re a s t he c ause f o r t he r i se o f a g r icu l tu re (Wh i te 1 959 ; B inford 1 968 ; F lanne ry 1 969 ; C a rne iro 1 972 , e tc . ) ; n ever the le s s , a s B ender p o in ts o u t , i th a s n o t b een d emon s tra ted wh ich wa s f i r s t , t he e gg o r t he h en , t ha t i s , whether d e mog raph ic p re ssu re f o rces man t o s t a r t c rop r a is ing , o r whe the r i ti st he a dop t ion o f t h i s n ew e conomy t ha t p rop i t ia tes a p opu la t ion i n crea se , o r e l se , whe the r b o th p o s i t ion s a re c o rrec t . B inford 's mode l ( 1968 ) e s tab l ishes t ha t , i n o rder f o r as h i f t i n t he s ubs i s tence e cono my t o t ake p lace , i ti si mpera t ive t ha t t he g roup b e s ubm i t ted t o p res su res t ha t mo t iva te i tt or each an ew b a lance i ni t s s ys te m . H e s ugge s ts ,u s ing e thnograph ic p a ra l le ls t o p rove h i s p o in t , t ha t a t t hose s i tes whe re in e nv i ronmen t a nd p opu la t ion a re s tab le , t here may b e d emog raph ic i n c rea se wh i l s t r e sou rce s r e ma in b a lanced b u t b enea th t he ir c apac i ty ; b u t s hou ld t he re a ny s e r ious a l te ra t ion w i th in t he e nv i ronmen t i t se l f o r w i th in t he g roup 's d emog raphy t ake p lace , t he se w ou ld e xe r t p res sure s s t rong e nough t o c au se t he t rans i t ion i nt he f ood -ob ten t ion s ys te m . Th i sc oncen tra t ion l i e s mo re o nd emog raph ic p re ssu res t han o n e nv i ronmen ta l o nes . D e mograph ic p ressu re v i ews t h is n o t i n r e la t ion t o l i v ing s pace , b u t w i th r egard t o t he amoun t o f f ood r e sou rces a va i lab le . The re i s ad if e rence b e tween i n terna l a nd e x terna l d emograph ic p re s su res . I n te rna l o nes may o ccur i n o p t imum a rea s whe re in t he re i s ag ood s upp ly o f f ood r e sources , t hu s a l low ing a n i mportan t p opu la t ion i n crea se wh ich may b e s o lved e i ther b y means o f a n a r t if ic ia l c on tro l o r t h rough m igra t ion t owa rd s ma rg ina l a rea s ; h owever , t h is l a t ter c ho ice may b r ing a bou t e xte rna l p re s su re s , s i nce t he a rea i n q ues t ion may b e long t o o the r g roup 's t e r r i tory . The r e su l t ing c l a sh may b ea vo ided e i ther b y ad ra s t ic d ec rea se i nb i rth r a te a nd l i f e e xpectancy o r b y mean s o f a mo re i n tens ive e xp lo ia t ion o ff ood r e sou rce s i n o rder t o ma in ta in d e mograph ic i n crea se . The se e xterna l d e mog raph ic p res su res may b e r ecu r ren t a nd , c onsequen t ly , t hey may p rov ide a n e xp lana t ion f o r s ucces s ive a dap ta t ion s . Aga in , i n t h is c a se , w e c an s e e t ha t t he t h ree a n swers s e t f o rwa rd b y t he a u thor a re p os s ib le w ays o f f a c ing p res su res : a r t if ic ia l c on tro l , i n crea se i n t he o b ten t ion o f l i v ing r e sou rces , a nd m igra t ion ; t hey a re n o t —howeve r— a pp l icab le , a s awho le , t o e ve ry s i tua t ion f a ced b y t he N eo l i th ic r evo lu t ion , a nd t hey mus t b e u nde rs tood s epa ra te ly i n e ach c a se , i .e . why d oes a ny g iven g roup c ho se o ne o f t he a l terna t ive a nd n one o ft he o ther s . F lannery ( 1985 a nd 1 986 ) p o in ts o u t t ha t t he a rch o log ica l d a ta s how t ha t d e mog raph ic p res su re s a re n o t t rue i n e ve ry s i te s how ing a rch&o log ica l e v idence o f t he r i se o f a g r icu l ture ; i n r eg ion s s uch a s M idd le Ame r ica , t he a rch o log ica l i nd ica to rs w e h ave u p t o n ow s how , a s F lannery p o in ts o u t ( 1986 , 1 985 : 2 41 ) , t ha t p opu la t ion d en s i ty w a s t oo l ow t o b e c ons id ered a s t he c au se f o r t he s h i f t i n t he s ub s i stence e conomy .

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F lannery ( 1985 : 2 42 ) s ugges ts t ha t , c on tra ry t o mode ls b a sed o n a gen ts a l ien t o man , c l ima t ic c hanges a t s ea l e ve l a nd p lan t mu ta t ion s a re o ne o f t he f a c to rs f o r t he l a ck o f b a lance , e tc . a nd p o in ts o u t t he i d ea t ha t a gr icu l tu re s p r ings a s aw ay o f mak ing n a ture more p red ic tab le , t ha t i sa s " a f l ex ib le a nd d ivers if i ed s t ra tegy a imed a t f a c ing a n u npred ic tab le s uccess ion o f r a iny y ea rs , d ry y ea rs a nd a verage o ne s" , t ak ing a dvan tage o ft he r a iny s ea sons i no rder t o e xper imen t w i th p lan ts a nd , s hou ld t he r e su l ts p rove s a t i sfac tory , g radua l ly i n corpo ra te t hem t o t he i r e conomy d u r ing t he d ry y ea r s . I ti sn eve r the les s d if i cu l t t o c once ive t ha t w i th in a g roup o fe a r ly a g r icu l tu re r s w i th a n e qua l ly p r im i t ive a g r icu l tu ra l t e chn ique , t he c rop s r a i sed m igh t r ep resen t a ny k ind o f s e cu r i ty a t t imes o fp ro longued d rough t . Ano ther p rob le m w ou ld b e t he d eve lopmen t o f a n ef i c ien t s to rage s ys te m . A s a n e xamp le , d ur ing l a te r p er iod s , t here i st he s ta te men t made b y L ä za ro d e A r regu i ( 1980 : 8 2-3 ) , Ch ron ic le r o f Nueva Ga l ic ia d u r ing t he e ar ly XVI C en tu ry , r ega rd ing t he p rob lem o fc rop s torage , g i ven t he l a ck o fa na dequa te s to rage t e chno logy . One o f t he i d ea s o n t he o r ig ins o f a g r icu l tu re wh ich h a s n o t r ece ived much a t t en t ion i sS auer 's p ropo sa l ( 1952 : 2 7 ) t ha t d ur ing t he e a r ly d omes t ica t ion p e r iod f ood p roduct ion wa s c er ta in ly n o t o ne o ft he ma in r ea sons f o r h av ing c u l t iva ted p lan ts . I th a s b een s ugge s ted t ha t , p os s ib ly , t he f i r s t c rop s r a ised c ons is ted o f p lan ts wh ich w ere c on s i dered mag ica l , med ic ina l o r u sefu l i n o ther w ays , wh ich w ou ld e nab le t he o wner t o g a in k now ledge a nd e xper ience r ega rd ing a gr icu l tu ra l t e chn ique s b efore c u l t iva ted p lan ts b ecame b a s ic f o r s u s tenance . I n t h is s en se , F lannery ' s p roposa l w i th r ega rd t o t he r i se o f a g r icu l tu re a s as ys tem f o r p red ic t ing n a tu re i sv e ry i mpo r tan t , a s t here w ou ld a l ready b e p rev iou s e xper ience r ega rd ing c rop s wh ich a re n o t d i rec t ly r e la ted w i th t he f u lf i l lmen t o ff ood n eces s i t ie s . I n t h is s en se , l ook ing f o r b o tan ica l r ema in s wh ich c ou ld h e lp u s e i ther t o p rove o r r e jec t t he a pp l icab i l i ty o ft h i s t heo ry i so fo u t stand ing i mpor tance . P re sen t ly , o ne o f t he mos t w ide ly a ccep ted c u rren ts i st he s ys te m ic a pp roach , where in c u l tu re i sv i ewed a s a n a dap t ive s ys tem ; a r t i fac ts a nd s oc ia l o rgan iza t ion f o rms a re s een a s n eces sa ry t oo l s i nt he a dap ta t ion p roces s r ega rd ing e nv ironmen ta l s i tua t ion s , b o th b io log ica l ly a nd c u l tura l ly s peak ing . Cu l tu re i s made u p b y as e r ies o f a r t icu la ted p a rts o r s ub sys tems wh ich i n c lude e nv i ronmen t , e conom ic a ct iv i t ies , t e chno logy , s oc ia l o rgan iza t ion , r e l ig ious b e l ief s , e t c . , a l l o f wh ich a re i n t ima te ly r e la ted , t ha t i s , t hey a re p a rt o f awho le . Th i s i mp l ies t ha t a ny a l tera t ion i na ny o ft he s ub sys te m s , n o ma tter h ow s l igh t i t may b e , w i l l r equ ire ar ead ju s tmen t i na l l t he o the r s yb sys tems ( F lanne ry 1 968 ) . Th i s a pp roach a l so p resupposes t ha t t he s ys tem t end s t o r e ma in i n b a lance , ad ynam ic b a lance , where in a l l t he s ys tem i sc ons tan t ly c hang ing ( C la rk 1 968 : 5 0 ) . F ina l ly , t h i s a pproach a l so i mp l ie s t ha t s oc ie t ies t end t o o b ta in o p t imu m r e s ponse s w i th a m in imum e for t , i tb e ing u nders tood , o f c ou r se , t ha t t h is i s ar e la t ive c oncep t , a nd t ha t e ach g roup w i l l u nde rs tand i n ad if eren t way t he mean ing o ft he t e rm m in imum e f or t ( Bender 1 975 : 2 7 ) . F lannery a pp l ied t h is mode lt o Mesoamer ica a nd s ugges tt he e x is tence o f ak now l e dge o f n a tu ra l c yc les , b o th w i th r ega rd t o p lan ts a s w e l l a s t o a n i ma l s w i th in t he ir d if eren t e co log ica l n i ches , a nd c on s ide rs f i ve ma in f ood -ob ten t ion s ys te m s , t h ree c on c e rn ing p lan ts a nd t wo c oncern ing a n ima ls , k now ledge wh ich w i l l r egu la te t he ir mov i l i ty a nd s i ze d u r ing t he v a r iou s s ea sons o f t he y ea r . Th ese g roups may h ave o cca s iona l ly i n co rpo ra ted i n to t he ir a c t iv i t ie s a n e a r ly c rop o fn o i mpor tance a t t he b eg inn ing . H ow e ver , i ti sf e a s ib le t ha t o ne o ft he se c rops c ou ld h ave a n e x trao rd ina ry g ene t ic p o ten t ia l , t hus v igo rous ly r e spond ing t o c u l t iva t ion . H e s ugges ts t ha t t eos in te c ou ld h ave p layed t h i s r o le , e ve r increa s ing i n s i ze a nd p roduct iv i ty . When b ean s a nd g ourd j o ined i t , t he n ou r ish ing p o ten t ia l o ft hese c rop s b ecame e no r mou s a nd , c on sequen t ly , t h is n ew s ys tem e n te red i n to c onf l ic t w i th t he s ea sona l c yc le . E ven tua l ly , t he i n crea sed p roduc t iv i ty a nd

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p opu la t ion g row th w i l l f o rce t he g roup t o a cqu i re a n ew b a lance w i th t h i s n ew s h i f t i n t he i r f ood -ob ten t ion s ys tem . Th i s e cosys tem mode l i s av ery p a r t icu la r o ne w i th in t he a pp roach t o s ys tem s , whe re o u ra t ten t ion l i e su pon t he i n te r -re la t ion sb e tween h uman o rgan ism a nd i t se nv i ron men t , a nd t hus b etween c u l tu re s a nd t he ir e nv ironmen t ( Sah l in s 1 964 : 1 32 ) . A s B ender p o in ts o u t ( 1975 : 2 9 ) , t h i s p re sen ts t he l im i ta t ion o f n o t t ak ing i n to a ccoun t t he n on ma ter ia l a spec ts o f t he s y s tem a s , f o r e xamp le , r e l ig ious e xp lana t ions , wh ich h ave n o p lace w i th in a mere ly e conom ica l e xp lana t ion . F lannery , when u s ing t h i s mode l ( 1969 ) , s e ts f o r th t h ree h ypo theses : 1 .

T rans i t ion i n to f ood p roduc t ion o n ly t akes p lace when t he re i s ad ome s t icab le r e sou rce p o ten t ia l p resen t . T h i s a f ects n o t o n ly t he p lace whe re d omes t ica t ion o ccu r s , b u t a l so t ha t wh ich i sg o ing t o b e d ome s t ica ted .

2 .

The t e chn ica l a b i l i ty l e ve l mu s t b e h igh e nough f o r as ys tema t ic a nd i n ten s ive u t i l iza t i on o fr e source s . T echno logy i n c ludes , b e s ide s t oo ls a nd t e chn iques , t he k now ledge , a b i l i ty a nd method t o r each t he d e s ired o b jec t ive s a nd a vo id f a i lu re u nde r d if eren t c i rcums tance s , a nd ,

3 .

J u s t l i ke S auer a nd B ra idwood , h e a ssumes t he e x is tence o f a n e xten s ive e conom ic b a s i s wh ich , t ogether w i th t he t echn ica l a b i l i ty a nd e nv i ronmen ta l a va i lab i l i ty o f a w ide v a r iety o f r e sou rce s , w i l l a l low t he d eve lopmen t o f a g r icu l tu re . The a bove i s i mpo r tan t s i nce i tp re suppo ses a n i n t ima te k now ledge o f t he r e sou rce s a va i lab le , a v a r ie ty o fe co log ica ln i ches t o wh ich p lan ts may b e t ran sp lan ted o nce e xpe r imen ta t ion h a s b egun .

Ha rr i s ( 1969 ) h a s e l abo ra ted a p red ic t ive mode l c once rn ing e nv ironmen ta l p o t en t ia l . H e p o in ts o u t t ha t , i n s o me i n s tances , t here a re h un t ing g roup s s pec ia l ized i n t he i n ten s ive e xp lo i ta t ion o f al im i ted n umber o fs pec ie s l o ca ted i ns pec ia l ized e cosys tem s c ha rac ter ized b y al ow d ivers i ty o f p lan ts a nd a n ima l s , b u t t here i s ag rea t amoun t o f e ach s pec ies . On t he o ther h and , o ther g roup s may b e f ound w i th in g ene ra l ized e cosys t em s whe re in t here i s aw ide v a r iety o f p lan ts a nd a n ima ls , e ach o ft hem r ep resen ted b y f ew i nd iv idua l s o f e ach s pec ie s . H e s ta tes t ha t t h is l a t ter t ype i sg ene ra l ly a ssoc ia ted w i th t rans i t ion a rea s . S ince mo s t o ft he p lan ts a re a dap ted t o c l ima te s w i th w e l l d ef ined s eason s , man i sc on sequen t ly e xp lo i t ing a w ide r v a r ie ty o fa dapa t ion s wh ich e nab le s t he s u rv iva l o f p lan ts i n p e r iod s d u r ing wh ich g row th i sa f ec ted b y a dve rse c ond i t ions s uch a s c o ld a nd d rough t . A l l t hese t heo r ies f ocus t he i r a t ten t ion u pon t he i mpor tance o fe co logy a nd h ow i ti sr e la ted t o c u l tu re . P umpe l ly a nd Ch i lde s ugge s t t ha t a g r icu l tu re h a s i t s o r ig in a t a n o p t imum e co log ica l z one ( "oa s i s") d u r ing ap e r iod o fc l ima t ic c hange , wherea s a ccor idng t ot he t heo r ies o fB ra idwood , S aue r a nd B in fo rd o p t imum z ones a re n o t af ea s ib le p lace o f o r ig in , i n s tead , t hey a re i n c l ined t owa rd s ma rg ina l e co log ica l z ones . N o tw i th s tand ing t he d if erences , e ach o ft he se t heor ies r e f e r s s o le ly t o o ne z one o fo r ig in o fa gr icu l tu re p er s e . F lannery 's t heory o n t he o ther h and , c on s ide rs n umerous z ones whe re in t he c yc les o f r eg iona l e xp lo i ta t ion —tak ing i n to a ccoun t b oth o p t imum a s w e l l a s ma rg ina l z ones — c on tr ibu ted d i rec t ly t o t he a g r icu l tura l p roce ss . I t i s o bv iou s t ha t a l l t hese t heo r ies c anno t b e c o r rec t , b u t i n s tead o f f avo r ing a ny o f t hem a t t h is momen t , w e b e l ieve i t i s more i mpo r tan t t o n o t ice t ha t i f , h i s tor ica l ly s peak ing , t hese d if e ren t t heo r ies a re t rue , t hen t hey s hou ld l e ave p a t tern s o fa rch o log ica l , p a leobo tan ic , p a leon to log ica l a nd p a leoeco log ica l r ema in s , d if eren t a nd i den t if iab le . Due t o t he a bove , mos t o f t hese t heor ie s , i fn o t a l l o f t hem , may b e t e s ted i fw e a re a b le t o f i nd ar eg iona l c on text i d ea lf o r c a r ry ing o u t a rcha eo log ica l a nd p a leoeco log ica l s tud ie s . Th is r eg ion mu s t h ave :

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1 .

Wi ld r e la t ives o fa n i mpo r tan t c u l t igen .

2 .

E co log ica l v a r ie ty wh ich i n c ludes b o th o p t imum a nd ma rg ina l z one s .

3 .

As t ra t if i ed c u l tu ra lh i s to ry c over ing f r om t he h un t ing g a the r ing s tage u p t o i n c ip ien t a gr icu l tu ra l s e t t lemen ts .

Ano the r p rob le m where l i t t le w o rk h a s b een c a r r ied o u ta nd wh ich i s mos ti mpo r t an t t o u nders tand t he r eg iona l f a c tors wh ich t ake p a r t i n t he d omes t ica t ion/cu l t iva t ion p rocess a nd t o h e lp t o who l ly u nde rs tand t he o r ig in o ft h i s p roce ss i st o d e term ine when p lan t c u l t iva t ion d eve loped i n a n a u tonomou s w ay , a nd when t h is wa s d ue t o t he s t im u lus o f o ther r eg ions wh ich a l ready d om ina ted a g r icu l tura l t e chno logy . The re i se nough a rcha eo log ica l e v idence s how ing t ha t n o t a l l d omes t ic s pec ie s w e re o r ig ina ted i nt he s ame p lace ; mo reover , t here i se v idence e nough t o b e l ieve t ha t s eve ra l d ome s t ic s pec ies w e re d omes t ica ted i ndependen t ly a t d if eren t p lace s a nd t ime s , s ta r t ing f r om d if eren t w i ld r ace s o r s pec ies . T he J a l i sco C ase J a l i sco c l ea r ly s eems t o h ave a l l t he se n ece s sa ry p rerequ is i te s . I n t he f i r st p lace , r e cen t b o tan ica ls tud ies made b y Guz män ( 1982 ) a nd D oeb ley ( 1983 ) among o ther s , h ave s hown t he w ides tv a r iety a nd c oncen tra t ion o fw i ld r e la t ive s o f ma ize i nJ a l i sco . S econd ly , J a l isco c oun ts w i th n ume rou s mac ro a nd m icro -eco log ica l z one s , i nc lud ing o p t imum r e g i on s ( "oa s is") , s uch a s t he L ake o f Chapa la , S ayu la , e t c . a nd a s e r ies o fv a l leys , a s w e l l a s ma rg ina l z ones —h i l l s , moun ta in r ange s , e t c .—w i th aw ide r ange o fi n te rmed ia te e co l o g ica l z ones , s uch a s v a l leys b e tween h igh lands , p la teaus , e t c . I n t he t h i rd p lace , t he re i se nough a rch o log ica l e v idence wh ich e nab les u s t o i n f er t ha t t he c u l tu ra l h i s tory o f t h is r eg ion g oes a sf a r b ack a s t he P a leo ind ian p er iod . I fh u man o ccupa t ion i nt h i s r eg ion i ss ubs tan t ia l ly c on t inuou s , t hen t he c u l tu ra l s tage s n eces sa ry f o r t h is i nve s t iga t ion w i l l b e p re sen t i n t he r eg ion . And i ft he b o tan ica l e v idence s how ing t ha t t he w i ld t eo s in te f ound i n t he Wes tern p a r t o f Mex ico i st he a nces to r o f ma ize i sc o r rec t , t hen t he c u l tu ra l s equence o ft h i s r eg ion s hou ld i n c lude a n e a r ly a g r icu l ture s tage . B a sed u pon Ha r r is ' p ropo sa ls ( 1972 a nd 1 977 ) w e h ereby s ubm i t a s aw ork h y p o thes is t ha t s pa t ia l d i s tr ibu t ion o f r e sou rce s a cro s s t he l and scape may i nf luence t he mob i l i ty s t ructu re o ft he l o ca l h uman p opu la t ion , a f ec t ing b o th i t s d e mograph ic g row th r a te a s w e l l a s i t s p robab le r e spon se t o t he d emand i n c rea se . T he d ive r s i ty o fb o tan ica l s pec ie s p resen t i n t h is r eg ion ( Rzedow sk i a nd McVaugh 1 966 ; S ec reta r fa d e P a t r imon io y P resupue s to 1 980 ) , e nab le u s t o a s sume t he r i se o fs eden t ism a nd p lan t c u l t iva t ion . The p re sence o f d if eren t e co system s ( l acu s tr ine , s wamp , w ood s/fo re st , p la teau , d e l l/rav ine , e t c . ) p rov ides , f o r t he r eg ion u nder s tudy , a n i mpo r tan t amoun t o f l o ca l a nd s ea sona l v a r ia t ion o ff ood r e sou rce s wh ich f avored t he s h i f t i nt he s us tenance e conomy . On t he o ther h and , w e a s sumed t ha t , i n o rde r t o r each t he a gr icu l tu ra l s tage , b es ide s t he a spects a l ready men t ioned b y t he a bove i nd ica ted a u thor s ( va r ie ty o fe co sys t ems , g ene t ic mu ta t ion o fp lan ts a t t he a dequa te momen t , d emog raph ic p res su re , h uman t ran spor ta t ion o f v ege tab le s w i th d omes t icab le p o ten t ia l , e t c . ) , t he re mu s t e x i s t a n a c c umu la t ion o f t e chn iques t o i n crea se t he g row th r a te o f g iven r e sou rces a l ready k nown b y h un ters/ga the rer s —and wh ich t hey u sed o n ly when e nv ironmen ta l a nd c u l tura l c on d i t ions w ere a dequa te f o r ac hange i n t he s u stenance e nconomy . A s C ohen p o in ts o u t ( 1977 : 3 0 ) , t ha t mean s : " Tha t t he a dop t ion o f a g r icu l tu re s eem s n o more t han a no ther a dap ta t ion w i th in a l ong s e r ies o fe co log ica l a dap ta t ion s t o t he p opu la t ion i n c rea se" . The refo re , o u r r e sea rch w i l l b e c en tered u pon t he s tudy o f t he r e la t ionsh ip b e t ween t he d imen s ion o fh uman p opu la t ions wh ich i nhab i ted o ur r eg ion a nd t he p roduc t i v i ty o r p roduc t ive p o ten t ia l o f t he v a r ious e conom ic s t ra teg ies emp loyed b y t he s a me g roup s . I n o rder t o a ch ieve t h i s , i ti su t te r ly n ece ssa ry t o e xp lore o u r k now ledge o f t he

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f a c to rs wh ich r u le t he b ehav io r o f h un te r s/ga there r s , empha s iz ing a spec ts s uch a s s ea s ona l c yc les a nd r e sou rces , a s w e l l a s d a ta c once rn ing e nv i ronmen ta l c hange s , w o rk ing a nd p roduc t iv i ty c os ts o fw i ld p lan ts . C ons ide r ing t ha t t he g eog raph ica l d a ta o f t h i s r eg ion p o in t o u t t owa rd s aw ide v a r ie ty o fm icroenv ironmen ts —cha racte r is t ic wh ich w a s men t ioned b y F lannery ( 1969 ) , S auer ( 1952 ) a nd B ra idwood ( 1951 ) a s n ece s sa ry f o r t he r i se o f a g r icu l tu re a nd b a sed u pon Guz män 's b io log ica ld a ta ( 1979 ) , t he p ro ject i nq ues t ion i nc ludes p a r t o ft he mun ic i pa l i t ies o f Au t län , C iudad Guz män , E l G ru l lo , E l L i mön , S ayu la , T onaya , T uxcacuexco , V enus t iano C a rranza i n t he S ta te o fJ a l i sco , Mex ico . On t he o ther h and , r ecen t s tud ies c a r r ied o u t b y b io log i s ts , empha s ize t he i m p o r tance o f t he r eg ion c ho sen f o r t h i s r e sea rch . Guzmän ( 1979 ) s ta te s t ha t t eo s in te o r w i ld ma ize i sr epresen ted , w i th in t he S ta te o fJ a l i sco , b y a t l e a s t t h ree t axa : a ) Z ea p er enn i s , c on s idered e x t inc t d u r ing al ong t ime i n t he t yp ica l l o ca l i ty , i nJ a l isco , a nd r ecen t ly r ed iscove red i n 3a dd i t iona l l o ca l i t ies i n t h i s s ame s ta te . b ) Z ea d ip lop er enn i s , an ew e n t i ty r epo r ted i n f i ve l o ca l i t ies o ft he Manan t län Moun ta in R ange , i n t he s ou th -w es t o f J a l i sco , a nd c )

Z ea mex i cana , f ound i ns even l o ca l i t ie s , s i xo f wh ich a re i nt he s ou thwe st o fJ a l isco a nd t he r e ma in ing o ne i n t he n o r thea s t o ft he s ta te . The s t ronge st e v idence e s tab l i sh ing t he a na logy b e tween ma ize a nd i t s w i ld r e la t ives , t he a nnua l a nd p erenn ia l t eo s in te , l i es i n mo rpho logy a nd c ytogene t ics ( Guzmän 1 979 : 3 1 ) . Ar ema rkab le f a c t r e su l t ing f r om t he w o rks o f Gu z män i st he w ide v a r ie ty o f t eo s in te i n t he s ou thwes te rn p a r t o fJ a l i sco , whe re t here a re p e renn ia l s pec ies : Z ea p er enn i s a nd Z ea d i p lop er enn i s , a nd t wo r ace s o ft he a nnua l Z ea m ex i cana . I ts hou ld b e r ema rked t ha t t he g ende r wh ich i s more c l o se ly r e la ted t o Z ea , t he T r ipsacum , a l so s how s aw ide v a r ie ty o fs pec ies i nt he s ame r eg ion , whe re t he f o l low ing e n t i t ie s h ave b een f ound : T r ipsacum l anc eo la tum , T r ipsacum p i losum , T r ipsacum ma izar , T r ipsacum d ac ty lo ides a nd T r ipsacum l a xum ( Guz män 1 979 : 7 5-76 ) .

Th is e x ten s ive p resence , b o th o f ma ize a s w e l l a s t eo s in te a nd T r ipsacum i n t he s ou thea s t o f J a l isco i si mpo r tan t , d ue t o t he f a c t t ha t au nan imou s a g reemen t h a s n o t b een r eached y e t b e tween b io log i s ts a nd ma ize g enet i s ts a s t o wh ich i st he r o le o ft he t wo l a t te r s pec ie s i nt he o r ig in o fc u l t iva ted ma ize ( Gu z män 1 979 ; Ga l ina t 1 971 ; B ead le 1 977 ; Mange lsdo r f 1 974 ) . P erhap s c a rry ing o u t as tudy i n t he r eg ion whe re b o th s pec ies a re f ound i n an a tu ra l way may h e lp t o s o lve t he p rob le m . Guzmän 's w o rks l e d h im t o c onc lude t ha t : t he s ta te o f J a l isco i st he p robab l e g eog raph ic p lace o f o r ig in , d i s tr ibu t ion a nd b a s ic d iver s if ica t ion o fZ ea . The d i s tr ibu t ion c a r r ied o u t b y v ar iou s f a c tor s ( w ind , wa ter , a n i ma l s ) a nd t he f a c t t ha t a n o u t stand ing r o le wa s p layed b y P reh i span ic g roup s , b rough t a bou t ag eog raph ic s pec ial i za t ion a nd t hu s c on tr ibu ted t o t he s epara t ion o fs ub spec ie s a nd v a r ie t ie s . Ou t o f ap opu la t ion c o mp lex o f a nnua l t eo s in te s s prung modern ma ize , t he p rogre s s ive d ifu s ion o f wh ich l ed t o aw ide g ene t ic d iver s i ty , p resen t ly r ecogn i zed f o r 3 0 t ype s i n Mex ico . T eo s in te h a s l a rge ly c on tr ibu ted t o s uch d iver s i ty , i s su ing a c ons tan t f l ow o f g ene s ... ( Gu z män 1 979 : 8 2 ) .

On t he o ther h and , Mange lsdor fh a s s ugges ted t ha t c u l t iva ted ma ize c omes f r om av a r iety o f w i ld ma ize n ow e x t inc t . Th is a u tho r , t ogether w i th MacNe i sh , s ugges t t ha t t he o ldes t c obs f r om t he T ehuacän ma ize w ere r ea l ly w i ld ma ize . H owever , o ther b o tan is ts d if e r f r om t h i s p o in t o fv i ew . R ecen t ly , Doeb ley ( 1983 ) h a s s ugges ted t ha t , u p t on ow , n os a mp le o fw i ld ma ize h a sb een d i scovered , whe the r a l ive o rf o s i l ized . Th i ss ame a u thor s ugges ts , a f te r s tudy ing t he mo rpho logy o f s eve ra l ma ize a nd t eo s in te v a r ie t ies b o th f r om Mex ico a nd Gua tema la , t ha t t he o r ig in o f ma ize i st o b e f ound i n t eos in te , wh ich a g ree s —w i th s o me r e serves — w i th I l t i s ' n ew t heo ry i n t he s en se t ha t t he f ema le

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c orn c ob e vo lves f r om t he t a sse l o f t e sos in te ma le f l owers a s ar e su l t o f ac a ta s troph ic t ransforma t ion . Doeb ley h o lds t ha t t he morpho logy o f e a r ly c obs f ound a t T ehuacän i s s im i la r t o at ransfor med ma le t a sse l . Th is p rob le m r ega rd ing ma ize i s a most c on trovers ia l s ub ject : t here a re s evera l t heor ies t ry ing t o e xp la in i t : 1 .

Wi ld t eos in te i st he a nces tor o fc u l t iva ted ma ize .

2 .

Wi ld ma ize i st he a nces tor o fb oth c u l t iva ted ma ize a s w e l l a s w i ld t eos in te .

3 .

Wi ld ma ize g ives o r ig in t o c u l t iva ted ma ize .

4 .

I l t is ' t heory o n t he c a ta s troph ic mu ta t ion o ft eos in te i n to ma ize . The t heory wh ich h o lds t ha t w i ld t eos in te i s t he d irec t a nces tor o f ma ize i s

b a sed o n t he a na logy , b o th morpho log ica l ly a s w e l l a s g enet ica l ly s peak ing , b etween b o th v a r iet ies . I n f act , ma ize a nd t eos in te e a s i ly f o rm n a tura l h yb r ids w i th g ra ins e a s i ly r eproduced . However , a ccord ing t o Doeb ley , t he c orn o f ma ize c l ea r ly s how ing t he f ema le p a rt w i th t he e d ib le g ra ins i sv ery d if eren t f r om t h is s a me p a rt i nt he t eos in te . The i d ea i st ha t o fa n e vo lu t ion o ft h is c r i t ica l e l e men t o ft he b io log ica l t heo ry r ega rd ing c u l t iva ted p lan ts . I t i sw e l l k nown t ha t i n forma t ion r ega rd ing p reh ispan ic Mex ico i sv e ry p oor , a t l e a s t w i th r ega rd t o t he t ran s i t ion p er iod f r om n omad h un t ing/ga ther ing t r ibes t o s eden ta ry a g r icu l tura l g roups ; i n t he s pec if i c c a se o f t he Wes te rn p a r t o f Mex ico t here i sa lmos t n o i n for ma t ion wha tever o n t h is r e spect .

On t he o ther h and , i fw e c ons ider

t ha t b io log is t s t i l l d on ' t a gree o ver t he b io log ica l t heor ies c oncern ing t he o r ig in o f o ne o f t he most i mpor tan t Mesoamer ican c rop s , n or o ver t he i n terp re ta t ion o f b otan ica l r ema in s f ound b y a rcheo log is ts , s i nce " the sma l l c orn e a rs , o ne i nch l ong , f ound i n t he T ehuacän c aves a nd wh ich Mange lsdorf i n terp reted a s w i ld c orn , may j u s t a s e a s i ly b e i n terpreted a s s tages i n t he t rans i t ion o f t eos in te i n to ma ize t hrough h u man s e lec t ion" ( F lannery 1 985 : 2 51 ) . Therefore , w e s t i l l h ave t o s ubm i t more a rcheo log ica l e v idence o n t h is p rocess .

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WHITE , L . 1 959 .

T he E vo lu t ion o f C u l tur e , McGraw H i l l , N ew Y ork .

PROSPECTS FO R COLL AB O RATIO N BET WEE N A RC HEOLO G Y A N D ET H NO HISTO RY IN RESEA RC H ON THE EVOL UTIO N OF M ES O A MERIC A N A GRIC ULT U RE

TE RES A ROJ AS RABIEL A Centro d e I nvest igac iones y E stud ios Super iores e n Antropo log ia S oc ia l

R ecen t ly If e l t i tn ecessa ry t o e xam ine t he b ib l iography p roduced i nt he l a st f our d ecades o n t he e vo lu t ion a nd c harac ter s it ics o f p re -H ispan ic a gr icu l ture i n Mesoamer ica .

The

o b ject o ft h i s wa st os umma r ize wha ti sk nown a nd make i ta va i lab le t o aw ider p ub l ic t han s pec ia l ists b y means o f ac o l lec t ive w ork t o b e p ub l ished b y t he Min is try o f Educa t ion . A f ter r ead ing a nd a na lyz ing t he p ub l ica t ion s i n wh ich a rcheo log is ts , b o tan is ts , h i s tor ians a nd e thnoh is tor ians s e t o u t a nd a na lyze t he r e su l ts o f t he ir i nvest iga t ions , Iam a b le n ow t o p ropose s o me f i e lds o f s tudy a nd s ugges t s o me p rob le ma t ica l a rea s c oncern ing Mesoamer ican a gr icu l ture a nd i t s h i story t ha t i ts e em s i mportan t t o r e sea rch i n ac o -ord ina ted manner . B efore d i scuss ing t hese Iw ou ld l i ke t o men t ion s o me o f t he d if i cu lt ies Ih ad w ith t he e x is t ing b ib l iography , i n p a rt icu la r a rcheo log ica l . F irs t ly Imus t s ay t ha t If ound i te x tre me ly d if i cu lt t o e xam ine wha t a rcheo lo g i s ts , b o th Mex ican a nd f o re ign h ave p roduced , e spec ia l ly i n wha t c oncern s t he s ub ject i nh and . Th i s i sn o t s imp ly b ecause o ft he t e chn ica l l anguage o rj a rgon u sed i nt he w orks ( wh ich i n f act wa s ar ea l o b stac le a t t imes ) b u t r a ther b ecause most o f t hem a re v ery n a rrow i nt he ir o u t look . On ly af ew t ry t o make g enera l o r c omprehen s ive i n terpre ta t ions t ha t t ake i n to a ccoun t , a t l e a s t f r om t ime t o t ime , t he " s ta te o f t he q uest ion" , i n o ther w o rds t he a dvance i n k now ledge a bou t , i n t h is c a se , t he g enera l e vo lu t ion o fa gr icu l tura l s oc ie t ies i n Mesoamer ica o r a bou t s o me a rea o r p a rt icu la r q ues t ion r e la ted t o t h is . I ti s a l so r a re t o f i nd g enera l t heor ies a t l e a s t i n a n e xp l ic i t f o rm , t ha t m igh t g u ide t he r eader a s t o t he g enera l o r ien ta t ion o ft he w ork . I n s hor t , t here i s an otab le l a ck o f w orks t ha t c on s ider t he a dvances made i n o u r k now ledge t ha t w e o we t o d i rec t emp ir ica l i nves t iga t ions , a nd t h is p rob lem s ee ms p a r t icu la r ly a cute i n t he c a se o f works i n S pan ish . The r e su l t i st ha t t he g ap b etween t he p roduc t ion o f k now ledge a nd t he i n tegra t ion a nd d ifus ion o f i tt o s oc iety wh ich , a f ter a l l i si t s a ud ience , i sb ecom ing e ver w ider . Ib e l ieve t ha t i n t he c a se o f s tud ies o n Mesoamer ica , Mex ico a nd t he v a r ious C en tra l Amer ican c oun tr ies s hou ld b e t he f i rst t o h ea r t he r e su lts o fr e sea rch . Another p rob le m If ound i nt he p roduc t ion o fs c ien t if ic ma ter ia l o n Mesoamer ica i st he l ow l e ve lo fc o l labora t ion among s pec ia l is ts a nd t he p oor f e edback among t he s evera l d i sc ip l ines . If e e l t h is p rob lem i s more a cute i n t he c a se o f N orthame r ican a rcheo log is ts w o rk ing i n Mesoamer ica t han among t he ir Mex ican c oun terpa rts , b u ti te x is ts e ven among t hese , d esp i te t he f a c t t ha t t he a cade m ic t rad it ion i n Mex ico h a s a lways b een o ne o f g rea ter c oord ina t ion a nd c o l labora t ion .

It h ink t h is i s av ery s ad s ta te o f a fa i rs s i nce

a rcheo logy h a s t he o ppor tun i ty o f i nqu ir ing i n to t he l ong p er iod b efore t he C onques t , b u t i ti sd if i cu l t f o r i tt o e s tab l ish c er ta in a spects o f as oc io -cu ltu ra l n a ture t ha t l e ave v e ry f ew d i rec t c lues i np hys ica l r ema ins . E thnoh is tory h a s amuch more r e s tr icted v i s ion o ft ime b ut o ne t ha t i sv ery r i ch i n t he s oc io -cu ltu ra l f i e ld .

One p oss ib le e xp lana t ion o f t he l i tt le c o l labora t ion a nd f e edback b etween t hese t wo d i sc ip l ines c ou ld b e t ha t t he s pec ia l is ts i n t he f i e lds d o n ot a sk t hem se lve s t he s a me q ues t ions o r a pproach t he s ame p rob lems a nd i ti st h is t ha t p roduces r e su l ts a nd c onc lu s i on s t ha t a re d i ss im i la r o r e ven i n co mpa t ib le . There i sn o d oub t t ha t t he p rob le m mus t b e a na lyzed more t horough ly , b u t i ts e em s t ha t w e h ave b een u nab le t o r each a ny a g ree men t a bou t p lann ing o r a t l e a s t c o -ord ina ted r e sea rch o n t he b a s i s o fc er ta in s ugges t ions o r c erta in h ypotheses a nd c oncep tua l f r ameworks t o o r ien ta te i nves t iga t ion . T o s um u p , my p roposa l i st ha t i n t he c a se o f as tudy o ft he e vo lut ion o fa gr icu l t u re a nd o f t he e cono m ic b a s i s o f p re -H ispan ic s oc iet ie s , b o th t he p oss ib i l i t ie s a nd n eed f o r c o l labora t ion a re g rea t , u rgen t a nd p rom i s ing .

Th is s hou ld n o t b e p o stponed a ny

l onger . F ro m t he w ide r ange o fp oss ib le s ub jec ts f o r s tudy l i nked t o t h is q ues t ion Is ha l l l im i t my c ommen ts t o s o me r e la ted t o t he a gr icu l tu re o f t he a rea a nd i t s h i s to ry , v i ewed t h rough t he c hanges i n t echno logy , t he d omes t ica t ion a nd d ivers if i ca t ion o f t he p lan ts g rown . A s In o ted e a r l ier , t he r eg iona l a nd g enera l e vo lu t ion o f a gr icu l ture ( and o f t he e cono my ) i s ap heno menon t ha t c an o n ly b e u nderstood t h rough a rcheo log ica l d a ta . The p er iod c overed b y t he d ocumen ts w r i tten i n t he s i xteen th c en tu ry wh ich w e e thnoh is to r i an s u se i sv ery s hort a nd g oes o n ly a s f a r a s t he T o l tec p er iod . I n r ega rd t o t h is l a te p er iod k nown t hrough w r i tten d ocu men ts i th a s b een p roposed t ha t p re -H i span ic a g r i c u l tu re wa s b a sed n o t o n t he r i chness o f c omp lex i ty o f i t s t oo ls b u t o n t he p e rf ect ion o f b o th i t s l abor— in tens ive a gr icu l tura l me thods a nd o ft he w ide a nd v a r ied r ange o fd omes t i ca ted p lan ts ( Ro ja s 1 985 : 7 ) . A lso t ha t " H igh ly d eve loped f o r ms o f c oord ina t ion a nd o rgan iza t ion o fw ork r ep laced o r a t l e a s t made u p f o r t he l ower t e chn ica l d eve lopmen t o f t oo ls" ( i b id . ) . These t heor ies wh ich a s r ema rked e a r l ier a re b a sed o n l a te i n forma t ion a bou t t he p re -H ispan ic p er iod , n eed t o b e p u t t o t he t e s t a nd i fn ecessa ry i mproved o n i f w e w ish t o d e mons tra te t he i r v a l id i ty f o r e a r l ier p e r iod s o r s tages .

T o t hese mu st b e

a dded o thers t ha t c ons ider b as ic q ues t ions s uch a s t he n a tu ra l c ond i t ions o ft he t e r r i tory where t he a g r icu ltu ra l c u l tures o r s oc ie t ies o f Mesoamer ica d eve loped . These c ond i t ions w ere p a r t icu lar ly f avorab le , e x i st ing i n at e rr i tory t ha t wa s v ery v a r ied b o th i n c l ima te , s o i l , v ege ta t ion a nd h yd rography . Th i s g enera l ly r e su lted i n t he s imu ltaneous e xp lo i ta t i on o f m icroc l ima tes a t r e la t ive ly s hor t d i s tances f r om e ach o ther b o th h o r izon ta l ly a nd v ert ica l ly . Th is d ivers ity , i mpor tan t i n a ny o f i t s a spec ts ( s o i l , c l i ma te , v ege ta t ion o r h yd rography ) wa s e spec ia l ly i mportan t i n t he c a se o f v ege ta t ion .

I t w as r i ch a nd

v a r ied , c ha racter is t ic o f Mex ico 's p os it ion o n t he n orthern l im i ts o f t he t r op ics , w i th c l ima tes t ha t v a r ied f r om t hose t yp ica l o f med ium l a t i tudes t o s ub trop ica l a nd t rop ica l o nes (Wes t 1 964 : 3 64 ) . Ij ust w ish t o men t ion v ery b r ief ly , n o t dwe l l o n , h ow u nw i se i ti st o u se t e chno lo g i ca l c r i ter ia e xc lus ive ly t o e va lua te o r c l a s s ify t he l e ve l o fd eve lopmen t o f Me soamer ican s oc ie t ies o r o f t he i r a gr icu ltu re . I n 1 964 V . Gordon Ch i lde h imse lf w ro te w ith v e ry s o l id a rgu men ts t ha t t e chno log ica l c r iter ia a re " r ea l ly m is lead ing" when a rcheo log ica l d a ta o f s oc iet ies d if eren t f r om t hose f o r wh ich i tw a s o r ig ina l ly d es igned a nd i n wh ich i th ad a c hrono log ica l mean ing i se va lua ted s oc io log ica l ly o r a n thropo log ica l ly .

R ef e r -

r i ng t o t he " Three Ages" s ys tem h e s a id " . . it wa s o r ig ina l ly d es igned a s ac hrono log i c a l f r a mework f o r t he c l a ss if ica t ion o f t he p re -h is tor ic a r t ifac ts o f as i ng le h omogenous a rea : D enma rk" ( u sefu l a l so i n E ng land , Sw i tze r land a nd o ther c omparab le g eograph ica l u n i ts ) ( Ch i lde 1 959 : 3 07 ) . F or Ch i lde " To l abe l a n a r t ifac t o r as oc iety ' Neo l ith ic ' f o r e xamp le s ays a bso l u te ly n o th ing a bou t when t he a r t ifact wa s made o r when t h is s oc iety l i ved" ( 1959 : 3 07 ) .

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I n o the r w o rd s , i ti su se le s s a s ac hrono log ica l p r inc ip le , n or d oes i ts ay a nyth ing a bou t t he " cu l tu re s , t ha t i s , t he s oc ie t ie s whose p urpo se s a nd n eed s d e term ined t he c ha racte r i s t ic s o ft he a r t i fac t s" ( Ch i lde 1 959 : 3 07 ) . H e g oes o n t o s ay t ha t " the t oo ls a nd w eapon s who se ma ter ia l s e rve s a s ac r i ter ion f o r c l a s s if ica t ion i n n o way e xhaus t t he l abor -fo rce i n t he s oc ie ty" . The t ran spo r t a va i lab le a nd e ven n a tu ra l r e sou rce s c an a l so e xe rc ise a n i nf luence o n s oc ia l s t ruc tu re . S econd ly i ti sn o t t he l abo r— fo rce t ha t i st he i mmed ia te d e te rm inan t b u t t he me thod o f p roduc t ion , t he e conomy w i th in wh ich t he se f o rce s c an o pe ra te . I f a rcheo log ica l d a ta i st o b e r ea l ly u se fu l i n s oc ia l s c ience i t mu s t b e c l a s s if ied n owadays o n an ew , l e s s s upe rf ic ia l b a s i s ( Ch i lde 1 959 : 3 09 ) . I n t he c a se o f Me soamer ica , o f c ou rse i ti sw rong t o c on s ider t he f e a tu res o f a r t i fac ts a s ac h rono log ica l c r i te r ion o r e conom ic c l a s s if i e r a nd i n f a c t t h i s b ecomes a n o b s tac le i n u nders tand ing t h is u n ique , i ndependen t e ndogenou s p roce ss . H oweve r , t he f a c t mu s tn o tb eh idden t ha tt he u se o ft h i sc r i te r ion a nd t h is t ype o fi n te rp re ta t ion i sv e ry w ide spread a nd a l so d eep ly r oo ted . On a no the r o cca s ion Ic ommen ted o n h ow c ommon i ti s among s o me Mex ican w r iters a nd h i s to r ian s t o d e scr ibe a nc ien t i nd igenou s s oc ie t ies a s p r im i t ive , t echno log ica l ly b ackwa rd , N eo l i th ic o r i n o ther s im i la r t e rm s , mechan ica l ly a dop t ing mode l s o f e vo lu t ion ( p roduced b y n ine teen th -cen tury u n i l inea r e vo lu t ion ism ) t ha t h ave b een s upe rseded ( Ro ja s 1 985 ) . Th i s i s why i ti ss o r eg re t tab le t o f i nd t h i s s o r t o f c l a s s if ica t ion i n s uch r e cen t , w ide ly r ead w o rks a s f o r e xamp le E n r ique S emo 's H i s tor ia d e l c ap i ta l i imo e n Mex i co ( 1973 : 2 9 ) ( The H i s tory o f C ap i ta l i sm i n Mex i co ) . I t d oe s n or h e lp u s t o u nde r s tand e i the r t he d eve lopmen t o r t he c ha rac ter i s t ics t aken b y t he p roduc t ive p o ten t ia l o ft he p re -H i span ic e ra o r o f t he p roduc t ion me thods o f t he se s oc ie t ies . S o , t h i s a u tho r w r i te s t ha t " A t t he b eg inn ing o f t he s i x teen th -cen tu ry t he ma t e r ia l c u l tu re o ft he A ztec s w a s i n as ta te o ft rans i t ion f r om t he N eo l i th ic t o t he B ronze A ge . H oweve r i n p roduc t ive p o ten t ia l t he re w e re i mpo r tan t d if e rences b e tween i ta nd t he c ond i t ion s i n wh ich mo s t o f t he p eop les o f E urope a nd A s ia w en t t h rough t he s ame s tage . Whea t , b a r ley , r ye a nd r i ce w e re u nknown ; c a t t le a nd t he a s soc ia ted o ccupa t ion s d id n ot e x is t . The whee l w a s n o t u sed e i ther i n t ran spo rta t ion o r i n i r r iga t ion . The p low , t ha t made i t s a ppea rance t owa rds t he t en th c en tu ry BC wa s n o t k nown among t he A ztecs . . ." ( Semo 1 973 : 2 9 ) . We mu s t a dm i t , a s Ip o in ted o u t a t t he b eg inn ing o f t he p aper , t ha t much o f t he r e spon s ib i l i ty f o r t hese t ype s o f c oncep ts a nd d eforma t ions o fk nown f a c ts l i es w i th t he s c ien t i s ts d ed ica ted d i rec t ly t o t he r e levan t i nve s t iga t ion a nd i t s d i ssem ina t ion t o u s a rcheo log is ts a nd e thnoh i s to r ian s who h ave n o t d one wha t i sn ece s sa ry o r d one e nough f o r t hese v i ewpo in ts a nd i n te rp reta t ion s t o b e e i ther r e jec ted o r c o r rec ted . Two r ecen t s tud ie s b y R . A . Donk in ( 1979 ) a nd t he p resen t w r i te r ( Ro ja s 1 982 ) o rgan ize a nd c l a s s ify t he w ea l th o fh i s tor ica l d a ta c on ta ined i n s i x teen th c en tu ry s ou rces r e f e r r ing t o t he i nven to ry o f t oo ls a nd i mp lemen ts u sed i n Mesoame r ican a g r icu l tu re . These w o rks , a l though p re l im ina ry , b r ing o u t s evera l p o in ts t ha t a re w o r th l ook ing a t c a re fu l ly . F i r s t , t he u se fu lne s s o f mak ing b road s tud ie s o f s ub jec ts t ha t a re a ppa ren t ly v e ry s pec if i c , b u t wh ich a re i mpo r tan t i n t he w ider c on tex t o f t he i n terp re ta t ion o f t he c ha rac ter is t ic f ea tu res o ft he t ype o fa g r icu l ture a nd t he l e ve l o fa gr icu l tu ra l d eve lopmen t t ha t h ad b een r eached a t ag iven momen t , i nt h is c a se t he p er iod o fc on tac t b e tween t he O ld a nd t he N ew Wo r ld . S econd , t he n eed f o r s o me th ing s im i la r t o b e a t te mp ted f o rp rev iou s s tages b a sed o n a rcheo log ica l d a ta g a the red f r om s tud ies c a r r ied o u t i nd if e ren t r eg ion s o f Mesoame r i c a . An e thnoh is to r ian w o rk ing o n t hese q ue s t ion s f i nds , o n a na lyz ing t he i nven tory o f p re -H i span ic a g r icu l tu ra l i mp lemen ts r eco rded i n s i x teen th c en tu ry w r i t ten s ou rce s , t ha t

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o n ly a f ew o f t hem a re men t ioned b y a rcheo log is t s i n t he ir p ub l ica t ion a s e x i s t ing i n e a r l ier p e r iod s , s o t ha t i ti sv e ry n ea r ly i mposs ib le t o t race t he i r h i s tory o r t he i r p o s s ib le r eg iona l d i s tr ibu t ion e a r l ier t han t he s i x teen th c en tu ry . I tw i l l e ven tua l ly b e p o ss ib le t o c l a r ify many p o in ts ( no t o n ly p u re ly t e chno log i c a l ) o nt he b a s i so fa rcheo log ica lr e sea rch s uch a st he s equence i n wh ich t he d if e ren t t ypes a nd c l a s ses o ft oo ls a ppea red ,t he ir d i s tr ibu t ion a nd r eg iona lv a r ia t ion s ,t he i r mod if ica t ion o r p er s i s tence a s t ime w en t b y , t he t ype o f u se , s pec ia l ized o r mu l t ip le , t o wh ich t hey w e re p u t , t he ir a s soc ia t ion w i th d if e ren t t ype s o fa g r icu l tura l s ys tem s , among t he ma in o nes . A rcheo log ica l l i te ra ture r a re ly d ea l s w i th t h ese p rob lem s s pec if i ca l ly a nd when i td oes i tg enera l ly p resuppo ses t ha t t here wa s l i t t le c hange i n t he t ypes o fi mp lemen ts e ver s i nce t he momen t t hey a ppea red , a nd c on sequen t ly v e ry l i t t le i nnova t ion i nt he t ype , a l though t here w a s i nt he t echn ique s b y wh ich t hey w e re made . A t ten t ion i sd rawn t o t he p e r s i s tence o f " t ype s o f e qu ipmen t a nd t e chn iques" i n t he s ucces s ion o f Mesoamer ican c u l tu res f r om v e ry e a r ly t imes ( A rm i l la s 1 985 : 2 8 ; S ander s 1 957 : 3 38 ) . A s r ega rd s t he t ypes o f i mp lemen t s u sed i n a gr icu l tu re , h i s to r ica l d ocumen t s g ive u s ap ic tu re s how ing more v a r ie ty t han w e g enera l ly a ccep ted , b u t Iw onde r whe ther c on tempo ra ry a rcheo log is ts k now when t hese o r ig ina ted a nd wha t t he d i s tr ibu t ion o ft he ma in o nes w a s . Th i s i n fo rma t ion w ou ld b e ab a s i s f o r t e s t ing t he v a l id i ty o fs ta temen ts a bou tl i t t le t e chno log ica lc hange o ro ft heo r ie sa st o ac e r ta in i n suf f i c iency i nt he e conom ic a nd t e chno log ica l b a se t ha t e nab les ac e r ta in p o in t t o b e r eached i nd eve lopmen t b u t n o t b eyond w i thou t ag rea t c r i s i s ( Pa le rm , i n K i rchhof f 1 983 : 5 1 ) . T u rn ing t o t he i nven to ry a nd c ha rac ter is t ic s o f t he p lan ts g rown i n t he a rea , t here i s much t o b e d i scovered a nd many p o s s ib le a rea s o f c o l labo ra t ions ( s ome a l ready e xp lo red ) n o t o n ly b e tween a rcheo log is ts a nd e thnoh i s tor ian s b u t a l so b etween t he l a t t e r a nd b o tan is ts . I n t he q ues t ion o f t he p roces s o f d omes t ica t ion o f t he p lan ts g rown t here a re many p o in ts t ha t a rcheo logy c ou ld c l a r ify a nd e thnoh i s to ry e n la rge u pon , f o r e xamp le t he o r ig in s a nd d i spers ion o ft he b a s ic p lan ts c ha rac ter i zed b y t he i r w ide d i st r i b u t ion a nd l ow d eg ree o fs pec ia l i za t ion ( I am r e f er r ing p r inc ipa l ly t o c orn , b ean s , s qua sh , ama ran th a nd c h i l i ) . I n t he s i x teen th c en tury , a cco rd ing t o e x i st ing e thnoh i s to r ica l a nd b o tan ica l s tud ies t he se p lan ts , a s ar e su l t o fc on s tan t s e lec t ion a nd h yb r id iza t ion e x i s ted i n many v a r ie t ies a dap ted t o aw ide r ange o f m ic roc l ima tes l o ca ted p ract ica l ly a l l o ver t he a g r icu l tu ra l l ands o f Mesoamer ica a t t ha t t ime . I t w ou ld b e i mpo r tan t t o d ef ine s o me th ing s im i la r a bou t t hese s pec ies w i th a n a r rower d i s tr ibu t ion t ha t w e re g rown i n more r e s tr ic ted a rea s , f o r e xamp le c o t ton , a gave , c acao , t obacco , s wee t p o ta to , y ucca o r h uacamo te , s age ( chi a ) a nd a vocado among t he ma in o nes ( Ro ja s 1 985 : 2 25-250 ) . I t i so f f undamen ta l i mpor tance f o r a n u nde r s tand ing o f t he e vo lu t ion o f a gr i c u l tu re , t o d i scover mo re a bou t t he g radua l i n c rea se i n t he y i e ld o f c u l t iva ted p lan ts t h rough t he p roce ss o f d omes t ica t ion , wh ich e thnoh i sto ry c an o n ly d ocumen t p a r t ia l ly f o r t he momen t o f c on tac t a nd l a ter c en tur ies . Qu i te a n umbe r o f v ery u se fu l s tud ies h ave b een p ub l i shed o n t h is s ub jec t , b u t t hey a re s t i l l o n ly p a r t ia l f r om t he p o in t o f v i ew o f r eg ion a nd p er iod ( r e f er r ing a bove a l l t o T ehuacan a nd t he V a l ley o f Oaxaca ) ( s ee e spec ia l ly B yer s [ e d ] 1 967 ; F lannery a nd Ma rcu s [ e d s ] 1 983 ; Ga rc ia C ook 1 985 , a nd W in ter 1 985 ) . Th i s i sa n i mpor tan t s ub jec t , s i nce o ne o f t he t heor ies t o e xp la in t he p henomenon o ft he r i se o fc i v i l iza t ion a nd u rban i sm ( w i th t he d if eren t s pec ia l iza t ion s i t i mp l ied ) i st ha t o ft he g radua l i n crea se i na g r icu l tu ra lp roduc t iv i ty , b a sed n o t s o much o n t he t rans fo rma t ion o r i mp rovemen t o ft oo ls a nd e qu ipmen t ( and t he c on sequen t i ncrea se i nl abor p roduc t iv i ty ) b u t o n t he a dvance s made i na g r icu l tu ra l me thods a nd t e chn iques a nd i n t he g rea ter y i e ld o fc u l t iva ted s pec ies .

2 00

The c hange a nd c harac ter is t ics o f t he p r e -H i span ic d i e t , i t s r eg iona l v a r ia t ions , t he ways o f c onvert ing a nd p repa r ing a gr icu l tura l p roduc ts a re , among o thers , f i e lds whe re a rcheo logy a nd e thnoh is tory c an c o l labora te t o a dvan tage . The e vo lu t ion o fa gr icu l tura l me thods a nd t e chn iques , i nc lud ing i r r iga t ion a nd t he s ys tems o f c u l t iva t ion i si n separab le f r om t ha t o f t he p rocesses men t ioned a bove ( t oo ls a nd e qu ip men t , p lan ts c u l t iva ted ) . A l l a re c omponen ts o ft he h i s tory o ft he f o rma t ion o f t he v a r iety o fc omp lex a g r icu l tura l s ys tems o f Mesoamer ica . The s tudy o fh ow t hese s ystems d eve loped , o ft he ir o r ig in , d ifus ion a nd d ivers if i c a t ion , a s w e l l a s o ft he f a c tors t ha t p layed ap ar t i n t he ir t ran sforma t ion h a s b een l i nked t o t he i dea s o f Ch i lde a bou t t he a gr icu l tura l r evo lu t ion a nd t he u rban r evo lu t ion i n t he O ld Wor ld , t o t he mu l t i l inea r e vo lu t ion ism s ugges ted b y J u l ian H . S tewa rd , a s w e l l a s t he t heory o fs oc iet ies o f a n A s ia t ic o r h ydrau l ic t ype f o r mu la ted b y Kar l A . Wi tt foge l . These i dea s e s tab l ished t he b ases f o r ar e in terp reta t ion o ft he i n forma t ion e x is t ing i n t he 1 940 's a nd 5 0 's o n t he e vo lu t ion o fc i v i l iza t ion a nd a l so f o r as ea rch f o r n ew i n forma t ion . Mu l t i l inear e vo lu t ion ism a nd t he mode l o f Wi ttfoge l , t he t wo most i nf luen t ia l t heor ies , a t tr ibu ted a f undamen ta l a nd c ausa l r o le t o i r r iga ted a gr icu l ture i n t he r i se a nd d eve l o pmen t o f u rban c i v i l iza t ion , a s i tl ed t o t he i n ten s if ica t ion o f a gr icu l ture , t he i ncrea se o fp o ten t ia l a nd t he p roduct ion o ft he n ecessa ry s urp lus . O ther , l a ter l i nes o f i n terp reta t ion , s o me d er ived f r om t hose men t ioned a bove a nd o ther c omp lete ly n ew o nes , s uch a s t ha t o f t he e cono m ist E s ter B oserup ( 1965 ) h ad p os i t ive e f ects o n r e sea rch , e spec ia l ly t ha t i n to t he e cono m ic b a ses o f Me soamer i c a c onducted b y a rcheo log ists a nd e thnoh is tor ian s ( s ee t he a ccoun t g iven b y P a lerm i n 1 970 , 1 972 : 1 66 ) . The mo s t i n teres t ing p rob lem i n t h is f i e ld wa s t ha t " . .of t he c apac i t y o f a gr icu ltu re t o p roduce s uf f ic ien t s oc ia l s urp lus t o ma in ta in , o n t he o ne h and , a n e l emen ta ry d iv is ion b etween t own a nd c oun try a nd , o n t he o ther , ag enu ine s yste m o f s oc ia l s t ra t if ica t ion" ( Pa le rm 1 972 : 1 70 ) . A t t ha t t ime t here wa s ab a tt le ( and s t i l l i s t oday t o al a rge e xten t ) a ga ins t p re jud ices a nd p reconce ived i dea s b a sed o n t he e xtrap o la t ion o f d a ta a bout c urren t n a t ive a gr icu l tu ra l s ys te m s o n t he p a st ( a s i n t he c a se o f t he b ad ly n ames " cornf i e ld " [ m i /pa ] , i n f act l ong f a l low c u l t iva t ion s yste m o r s w idden ) a nd o n o u t -of -da te p a ttern s o fu n i l inea r e vo lu t ion . R esea rch i n to d ocumen ta ry s ou rces d one b y Ange l P a ler m , P ed ro A rm i l la s , Wi l l iam T . S anders a nd o ther w r i ters d u r ing t he 5 0 's a nd c on t inued e ver s i nce t hen i n to t e chno log ica l a nd e conom ic a spect s , e spec ia l ly o fp re -H i span ic a gr icu l tu re , wa s t he b a s i s f o r d estroy ing , a s P a ler m s o r i gh t ly n oted , " The myth o f p ure ly s ub s i stence f a rm i ng . . .capab le o f g enera t ing o n ly v ery l im i ted s u rp lus" ( Pa ler m 1 972 : 1 73 ) . s t i l l much t o d o o f c ourse .

There wa s

The q ues t ion o f t he a ge o f a gr icu ltu re r e sted i n t he h ands

o f a rcheo logy . F ro m t hose y ea rs o n i t wa s h e lped b y t hese i dea s a nd s ugges t ions , a nd t he i nd ica t ion s a nd r e ma ins o f i n ten s ive s ys te m s o f c u l t iva t ion a nd o f i r r iga t ion w orks " . .began t o a ppea r i n many p laces . . . , n ume rous a gr icu ltura l t e rraces w ere l o ca ted , a s w e re p onds , r e servo irs a nd d ikes f o r d ivert ing r i vers" ( Pa lerm 1 972 : 1 74 ; f o r as umma ry s ee Ro ja s 1 985 ) . One o f t he p rob lems t ha t a rcheo logy h ad t o s o lve wa s whether t he c omp lex s ys te ms o fa gr icu lture " w i th wa ter manage men t" ( no t i r r iga t ion , t o u se a w ider c oncep t t ha t i n c ludes b o th e nv ironmen ts where wa te r wa s e xtre me ly s ca rce , i n d ese rts a nd a r id z ones , a nd o thers w i th a p l en t i fu l s upp ly , i n t he h um id t rop ics a nd ma rshy a rea s ) h ad b een t he f ounda t ion f r om wh ich t he s oc ie t ies o f Mesoamer ica p rogressed f r om a n a tura l e cono my t o ap o l i t ica l o ne ( f ro m me re s ubs is tence t o t he g enera t ion o f p roduct ive a nd s oc ia l s urp lus ) . A lso , i th ad t o d e term ine e xac t ly when a nd where t h i s o ccurred . T oday , many o f t he q ues t ions t ha t a rose r ega rd ing t he t ype o f i r r iga t ion w orks , t he ir a ge , t he " t echn ica l a nd g eograph ica l s ca le" o f wa ter manage men t a nd i t s s oc io -

2 01

p o l i t ica l c onsequences h ave b een d ocu men ted a rcheo log ica l ly a nd t he ma tte r p ar t ia l ly s o lved i n t he c a se o f s o me r eg ions .

We h ave r ea sonab ly s a t isfactory r e con struct ion s o f

t he a gr icu l tu ra l a nd s oc io -po l i t ica l e vo lu t ion o ft he v a l leys o fT ehuacan , Oaxaca , Noch ix t l an , Mex ico , Pueb la a nd T laxca la , t he Cu ica t lan c ar iada a nd a l so o f s o me z ones i n t he Maya a rea s uch a s P eten , B e l ize a nd T ika l l. I n a lmos t a l l o f t hese r eg iona l i nves t iga t ion s t he most c ommon a nd f avored f o r mu la h a s b een a c omb ina t ion o fa rcheo logy , b otany a nd e thnography , wh i le e thnoh is tor i c a l r e sea rch b y r eg ion i sl e ss f r equen t ly f ound . F or s o me r ea son t ha t i sn o t c o mp le te ly c l ea r t o me , many a rcheo log ists h ave p ref erred t o u se e thnograph ica l a na logy r a ther t han d a ta f r om s i x teen th -cen tu ry s ources . Wi th e thnoh istor ica l s tud ies a s ab a s is , t ho se who h ave d ea lt w i th t he q ues t ion o f p re -H i span ic n a t ive a gr icu lture h ave r eached s ome s i gn if i can t c onc lus ions .

Among

t hese Ii nc lude t hose o f P a lerm a nd A rm i l la s i n p a r t icu la r a s w e l l a s o ther w r i ters s uch a s Donk in ( 1970 , 1 977 , 1 979 ) , Meyer L 'Epee ( 1943 ) , a nd E va Hun t ( 1972 ) . I n ar ecen t w ork ( Ro ja s 1 985 ) Ih ave b een a b le t o d ef ine a nd g o d eeper i n to as e r ies o fo b scure p o in ts r e la ted t o t he p re -H ispan ic a gr icu l tura l methods a nd t e chn iques u sed i nt he v a r ious t ypes o fc u lt iva t ion s yste m s . F ro m t h is a na lys is t he e x i stence b eco mes c l ear b oth o f i n tens ive a g r icu l tura l s yste m s i n wh ich t he l and wa s w orked i n v a r ious d eg rees o fi n ten s i ty a nd o fa n i nven tory o ft oo ls a nd e qu ipmen t t ha t i sw ider t han wa s p rev iou s ly b e l ieved ; o f as e t o fp rac t ices o f c o mb ina t ions a nd r o ta t ion o fc rops t hat i n crea sed a g r icu l tu ra l p roduct iv i ty a nd methods o f h and l ing c rops t ha t w ere i nd iv idua l o r p a r t icu la r ( f ro m s ow ing t o h a rve st ing a nd s e lec t ion o f s eed , p a ss ing t hrough t he s tages o f w eed ing , wa ter ing , f e rt i l iz ing a nd t he c onserva t ion o ft he h um id i ty ) t ha t l ed t o ah igher y i e ld p er p lan t a nd p er s ur face a rea , a s w e l l a s b e ing t he b a s is f o r t he c rea t ion o fn u merous v a r iet ies a nd s ub -va r ie t ies w i th wh ich i t wa s p oss ib le t o a ch ieve a b etter managemen t a nd u se o fa n e nv ironmen t t ha t d if ered h or izon ta l ly ( i n s o i l , v egeta t ion , h um id i ty ) a nd v ert ica l ly ( a l t i tude a nd t he c onsequen t d if erences i n c l ima te , s o i l a nd v ege ta t ion ) . I tc an t oday b e f i rme ly s ta ted t ha t i fn a tura l d ivers i ty wa s t he d om inan t c ha rac t e r is t ic o ft he r eg iona l c oun trys ide o f Mesoamer ica , v a r ie ty a nd mu l t ip l ic i ty o fa g r icu ltura l methods wa s t he d om inan t c ha racter ist ics o f a gr icu l tu ra l t echno logy . I n s p ite o fa l l t he p rogre ss t ha t h a s b een made , t here s t i l l r e ma ins a l o t t o d o i n t hese a reas . Iw ou ld l i ke t o c onc lude b y men t ion ing s o me o ft he f i e lds t ha t i th a s n ot b een p oss ib le t o s tudy p roper ly , maybe b ecause o f t he ir d if i cu lty a nd t he l a ck o f p er t inen t d a ta . 1 .

The r eg iona l d i s tr ibut ion o ft he t ypes o fa gr icu l tura l s ys te m s i nt he s i x teen th c en tu ry ( and a l so i n h i s tor ica l p erspec t ive ) , b oth f r om t he p o in t o f v i ew o f t echno logy a nd t he i n ten s ity o ff r equency o f l and u se a nd t he c rop s g rown i n e ach t ype .

2 .

The amoun t o fl and n ecessa ry f o rs ubs is tence a nd f o r t he p roduct ion o fs oc ia l ly n eces s a ry s urp lu s i ne ach o ft he r eg ions ( a lways s upposs ing t he c omb ined a nd s imu ltaneous u se o f v a r ious t ypes o fa gr icu l tura l s ys tems a nd a d ivers if i ca t ion o fc rops ) .

3 .

The y i e ld o f t he d if eren t t ypes o fc rop p er s e ed o r p er s eed l ing p lan ted a nd p er a rea o f l and s own , i n t he d if eren t t ypes o f s ystem s ( a ccord ing t o i n tens ity o f a g r icu lture a nd t he t e chno logy emp loyed ) .

1 Wi thout c la im ing t o b e e xhaust ive , t he f o l low ing i s al i st o f t he ma in works i n wh ich t he se r eg iona l s yn the s es h ave a ppeared . On T ehuacan : MacNe ish 1 967 : 2 90-309 ; t he V a l ley o f Oaxaca , Noch ix t lan , T ehuacan a nd Cu ica t lan : F lannery 1 983 a nd Marcus 1 983 ; o n Noch ix t lan : S pore s 1 969 ; T ehuacan , Pueb la , T laxca la a nd Mex i c o : Ga rc ia Cook 1 985 ; o n Oaxaca : Win ter 1 985 ; f o r t he Maya a rea s ee S anders 1 973 ; Ha rr ison a nd Turner I ( eds ) 1 978 , F lannery 1 982 , Dah l in 1 985 .

2 02

4 .

Ways o fo rgan iz ing a gr icu l tu ra l work , t he e xc lu s iv i ty o f t hese t o a gr icu l tu ra l a ct iv i ty o r t he e xtens ion o f t hem t o o ther a ct iv i t ies ( pub l ic works , wa r , r i tua l s e rv ices ) .

5 .

P roduc t iv i ty , n u mber o f d ays i nvested , l engh t o f t he work ing d ay , p roducts o b ta ined i n t he v a r iou s t ypes o f a gr icu l tura l s ys te ms .

6 .

The r eg iona l d i str ibu t ion o f t he t ypes o f p lan ts c u lt iva ted , t he a bso lu te a nd r e la t ive i mpor tance , s pec if ic method s , c u l t iva t ion , r o ta t ion w i th o ther s pec ies , s ea son s a nd c yc les o f c u l t iva t ion .

7 .

Ways o f c onvert ing a nd p repa r ing a gr icu l tura l p roduce .

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2 03

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2 04

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" T ierra y a gua " , A S tudy o f t h e E co log ica l F ac tors i n t h e D eve lopmen t o f Mesoamer ican C iv i l iza t ion , Ph .D . D isser ta t ion , Ha rva rd Un ivers i ty .

1 962 .

" Cu l tu ra l E co logy o f Nuc lea r Mesoame r ica ", Amer ican An thropo log i s t v o l . 6 4 , n o . 1 ,p a r t 1 :3 4-44 .

1 968 .

" Hydrau l ic Agr icu l tu re , E conom ic S y mb ios i s a nd t he E vo lu t ion o f S ta tes i n C en tra l Mex ico " , An thropo log ica l A r ch t fo logy i n t he Amer icas , Wa sh ing ton , D .C .

1 972 .

" Popu la t ion , Agr icu l tu ra l H is tory , a nd S oc ieta l E vo lut ion i n Mesoamer ica ", i n B . S pooner ( ed ) : P opu la t ion G row th : An thropo log ica l I mp l ica t ions , Cambr idge L ond res , The MIT P ress : 1 01-153 .

1 973 .

" The Cu l tura l E co logy o ft he L ow land Maya : aR eeva lua t ion " , i n P . T . Cu lber t ( ed ) : T he C lass ic Maya C o l lapse : 3 25-366 .

1 976 .

" The Agr icu l tu ra l H is tory o ft he B a s in o f Mex ico", i nE . R . Wo lf ( ed ) : T he V a l ley o f Mex ico , A lbuquerque , Un ivers i ty o f N ew Mex ico P ress : 1 01-159 .

SANDERS , W .T . , a nd B . PRICE 1 968 . Mesoamer ica . T he E vo lu t ion o f aC iv i l iza t ion , N ew Y ork , Rando m Hou se . S E MO , E . 1 973 . H i s tor ia d e l c ap i ta l i smo e n Mex i co , Mex ico , E d ic iones E ra . S PORES , R . 1 969 .

" Sett le men t , F a rm ing T echno logy , a nd Env ironmen t i n t he N och ixt lan V a l ley", S c ience v o l . 1 66 , n o . 3 905 : 5 57-569 .

STE WARD , J .H . 1 955a ." Some Imp l ica t ions o f t he S y mpos ium" , I r r iga t ion C iv i l iza t ions : aC ompara t ive S tudy , Wa sh ing ton ,D . C . , P an Amer ican Un ion ,S oc ia l S c ience Monographs n o . 1 : 5 8-78 . 1 955b .T heory o f C u l tur e C hange . T he Me thodo logy o f Mu l t i l inear E vo lu t ion , U rbana , Un ivers i ty o f I l ino is P ress . WEST , R .C . 1 964 .

" The Na tura l R eg ion s o f Midd le Amer ica " , i n : Handbook o f Midd le Amer ican I nd ians , v o l . 1 :3 63-383 .

WINTER , M .C . 1 985 .

" Los A ltos d e Oaxaca " , i n T . R o ja s a nd W. T . S anders ( eds ) : H i s tor ia d e l a a gr icu l tura . E poca p r eh i spän i ca-S ig lo XV I , 2t o mos , Mex ico , I NAH , C o lecc iön B ib l io teca d e l I NAH , 2 :7 7-124 .

WITTFOGEL , K .A . 1 955 .

" Aspectos d e ld esa rro l lo d el a ss oc iedades h id räu l ica s", L as c i v i l izac iones a n t iguas d e l V i ejo Mundo yd e Ame r i ca , Wa sh ing ton , D . C . , Un iön P anamer icana , E stud ios Monogräf icos I :4 5-54 .

1 966 . D espo t i sm° o r i en ta l , Madr id , E d ic iones Guada rrama . 1 972 .

" The Hydrau l ic App roach t o P re -H i span ic Mesoamer ica ", T he P r eh i s tory o ft h e T ehuacan V a l ley , v o l . 4 , Ch rono logy a nd I r r iga t ion : 5 9-80 .

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THE URB A N REVOLUTIO N

OBSERVATIO NS ABO UT THE THEO RETIC AL TER M "ARC HAIC STATE"

M A N UEL GÄ ND A RA I nst ituto Nac iona l d e An tropo log ia e H istor ia

1 .S c i en t if ic C hange a nd R a t iona l i ty The s l ogan " Le t t heo r ies p ro l i f e ra te !" i ss en s ib le o n ly i ft he n ew t heor ies i m p rove t he e x i st ing o nes , o r a t l e as t o f er t he p rom ise o f i mp rov ing t he m i n ar ea sonab le t ime . S c ien t if i c r a t iona l i ty r equ i res t ha t t he n ew p ropo sa l s b ej u s t if ied e i ther b y s how ing t heo re t ica l s hor tcom ing s o f o lde r p ropo sa ls o r e v idence a ga in s t t he e xpec ta t ions o f t he e x i st ing t heo r ie s . Un fo r tuna te ly , t h i s s imp le a nd a ppa ren t ly o bv ious r u le i sn o t a lways f o l lowed b y a rch&o log i s ts . I n r ecen t y ea r s t here h a s b een a p ro l i f e ra t ion o f t heo r ies o n t he o r ig ins o f t he s ta te . B u t c r i t ic i sm o f e x tan t t heor ies i si n many c a ses n o th ing b u t a mocke ry o f t he r ea l p roce s s o ft heore t ica l c r i t ic i sm a nd s ub s t i tu t ion . Why s hou ld t h i s c oncern u s? We l l , f i rs t , b ecau se p ro l i f era t ion u nder t hose c on d i t ion s r epre sen ts n o r ea l p rog res s f o r a rcha eo logy , s i nce t he b a s ic p r inc ip le o f s c ien t if i c r a t iona l i ty i sv io la ted ; s e cond , b ecau se t heo r ie s a nd a u tho rs a re u n fa ir ly t r ea ted a s " r e f u ted " ; t h ird , b ecause wh en a t heo ry i sr e jec ted a s s upe rceded , w o rk o n t he t rad i t ion t o wh ich t he t heo ry b e long s i sd i scou raged , p erhaps d iver t ing t he a t ten t ion o fa cadem ic c ommun i t ie s f r om r e sea rch l i nes wh ich may e ven tua ly t urn t o b e mo re f ru i tfu l . F ina l ly , b ecau se many o ft hese " r e fu ta t ion s " r evea ll og ica la nd me thodo log ica lf l aws s eve re e nough t o emba ra s s a nybody c l a im ing t o b e as oc ia l s c ien t i s t , a nd a c t a ga in s t t he c r ed ib i l i ty o f t h e d i sc ip l ine a s a who le . The se c on s idera t ions a re n o t f o re ign t o Ch i lde 's w o rk wh ich b r ing s u s h e re t oday ( c fP e rez 1 981 ) . H i s t heore t ica l c on tr ibu t ions h ave b een h a i led a s " ver if i ed " o r d i sm i ssed a s " superceded " . Ch i lde i sn o rma l ly i n c luded t oday among t he t heo re t ic ians o n t he o r ig in s o ft he s ta te . And h e i si nc luded f o r w o rse . I n p a r t icu la r , h i s i d ea s o n t he u rban r evo lu t ion a nd i t s r o le o n t he o r ig in s o f c i v i l iza t ion h ave b een t he o b jec t o f s upposed ly d i squa l if ing c r i t iques . F or i n s tance , S e rv ice —a f te r a cknow ledg ing t he g loba l i mpo r tance o f Ch i lde 's w o rk — g oes o n t o s ay t ha t t he " u rban" c oncep t ion , w i th i t s c l a ss s t rugg le i mp l ica t i on s , i st oday i nadequa te , d esp i te h ow much more s oph i s t ica ted i t may b e i n r e la t ion t o t he c l a ss ica l ma rx is t s . L e t me q uo te : " Ch i lde 's ' u rban ' c oncep t ion h a s b een mos t ly s upe rceded ; w e k now t ha t s o me a rcha ic c i v i l iza t ions l a cked c i t ie s , wh i le o thers b ecame s ta te s b efore t he i r c i t ie s d eve loped " ( Se rv ice 1 978 : 2 6-27 ) . The re i ss ometh ing i mmed ia te ly p ecu l ia r i n t h i s q uo te : S erv ice t a lks a bou t c i v i l za t ion s w i thou t c i t ies , when f o r Ch i lde t he i r p re sence i si nd ispen sab le f o r s o meth ing t o b e ac i v i l iza t ion . I n a ny e ven t , f o r S erv ice , Ch i lde i s mo s t ly s upe rceded . Y ou may t h ink t ha t t he s ha l lownes s o f t he c r i t ic ism i s ac onsequence o f l im i ted s pace ( t he a r t ic le i nq ue s t ion i s as hor t o ne ) , b u t C h i lde f a re s n o b e t te r i n S erv ices 's b ook o n s ta te o r ig in s ( Serv ice 1 975 ) . And c l ea r ly many a u thor s w ou ld s i de w i th S erv ice , o therw ise t he ir o wn n ew t heor ie s w ou ld b e o fc h i ldean f l avor a nd t hey a re n o t ; w e a re f o rced t o a s su me t ha t t hey a dvance t hem b ecau se t hey o ve rcome t heo re t ica l o r f a c tua l s ho r tcom ing s o f Ch i lde 's t heo ry .

Bu t p lea se d o n o t t h ink t ha t S erv ice i sa lone i n t h is : wha t c ou ld b e c a l led t he " dogma t ic f a ls if ica t ion i s ta pp roach " s eem st od om ina te t he d i sc ip l ine t hese d ays ,c l a im ing more t han o ne t heo re t ica l c au sa l i ty o n i t s w ay . I n f a c t , C a rne iro ( 1970 ) mu st h o ld o ne o f t he f i r s t p laces i nt e rm s o ft he n umbe r o ft ime s h e h a s b een " r efu ted" , maybe s e cond o n ly t o S ander s , P a r son s a nd S an t ley ( 1979 ) , who se b ook s e em s t o h ave b ecome t he p a rad igm o f ar e fu ted t heory a cco rd ing t o i t s c r i t ics . Ih ave r a i sed my d oub ts e l sewhe re ( Gända ra 1 981 ) a bou t t h is k ind o f " r e fu ta t ion s" , s i nce t hey n o rma l ly r e su l t f r om s e r ious e r ro r s i n t he l og ic o f r e fu ta t ion a nd i n g ene ra l f r om t he m isapp l ica t ion o f s o me r e la t ive ly s imp le a nd w e l l k nown e p is temo log ica l a nd me thodo log ica l p r inc ip les . H oweve r , o ne s hou ld n o t b e s urp r ised t ha t " r e fu ta t ions " a nd " ver if i ca t ion s" a re h anded o u t s o f r ee ly when i tw ou ld s eem t ha t t he a t tend ing t heo re t ica l a na lys i s r educes i t se lf t ot he c l a ss if ica t ion o ft heo r ies ( i n terna l/ex terna l , i n tegra t ion/conf l ic t ,e t c . ) , t he s o r t S erv ice ( 1978 ) h imse lf h o ld s ; o r t o f l owcha r t r epresen ta t ion s ( d i sa s trou s ly c i rcu la r : i n s o me t he o r ig in o f t he s ta te c au ses i t se l f ! ) l i ke R edman 's ( Redman 1 975 : 2 30 ) . B o th p rocedu res , wh i le maybe j u s t if i ed a s means o f e xpo s i t ion , a re f a r f r om b e ing s uf f i c ien t . F or i n s tance , Ch i lde 's i d ea s o n t he o r ig in s o fc i v i l iza t ion s a re v a r iou s ly c l a s s if i ed a s b e ing " exchange" , " demograph ic" , " i n terna l c onf l ic t " o r " t echno log ica l d eve lopmen t" t heo r ies , a cco rd ing t o who b u i ld s t he c l a ss if i ca t ion ( c ompa re S erv ice 1 978 t o C laes sen a nd S ka ln ik 1 978 ) . The se d ef ic ienc ie si nt heo re t ica la na lys i s l e ad t o wha t Ih ave c a l led , i n ame tapho r t ha t u p se ts s o me b ecau se o f i t s c o lourfu lnes s , " prema tu re emp i r iza t ion" : g i v ing p rema t u re ly t he l a s t w ord t o t he d a ta , b o th f o r " r efu ta t ion " a nd f o r " ve r if ica t ion " . T he r e su l ts a re a s u n tenab le i n o ne c a se a s i n t he o ther . C ou ld n o t w e d o b e t ter? 2 . T heor e t i ca l Ana lys i s Theo re t ica l a na lys i s c ou ld g o b eyond c l a ss if i ca t ions , wh ich o f n ece s s i ty r educes t he r i chnes s o f at heory u nder t he c l a ss if ica t ion 's c r i ter ia , a nd b eyond f l owcha r ts , wh ich d es troy o r d i s to r t t he t heory 's c ausa l r e la t ion s a nd o bscu re t he u nders tand ing o f i t s e xp lana tory p r inc ip le s . We c l a im t ha t t he a na lys i s s hou ld i n c lude a t l e a s t s i x a rea s : a ) a s tudy o f t he f ea tu res o f t he t heo ry 's n omo log ica l p r inc ip les ; b ) ac ons idera t ion b o th o f i t s p rob le m— s i tua t ion a nd o f i t s e xp lana tory c apac i ty a nd f e r t i l i ty ; c ) t he i d en t if ica t ion o ft he k ind s o fe n t i t ies i tp o s tu la tes , a s w e l l a s t he k ind o fc ausa l r e la t ion s i te s tab l ishes ; d ) e va lua t ion o fs o me f o rma lp rope rt ies l i ke s imp l ic i ty a nd p a rs imony ; e )t he i d en t if ica t ion o f t he mode l s o f man , s oc ie ty a nd h i s to ry i ti mp l ies , a s w e l l a s t he s oc ia l d e te rm inan ts o ft he t heory ; a nd f i na l ly , f ) t he emp i r ica l a rea , where t he t heory n ow s u i tab ly a na lysed a nd made e xp l ic i t c an b e t e s ted a ga in s t d a ta . A s y ou may h ave p robab ly n o ted , Ih o ld t he v i ew t ha t at heo ry i s as e t o f s ys te ma t ica l ly r e la ted s ta temen ts , wh ich i n c lude a t l e a s t o ne l aw l ike p r inc ip le a nd wh ich i ss u scep t ib le o fc o rrobo ra t ion ; t ha t t heor ie s a re a dvanced t o s o lve e xp lana tory p rob lem s , a nd t ha t w e c an e va lua te c ompa ra t ive ly h ow w e l l t hey d o t h is . I n f a ct , my who le p ropo sa l d epends o n a t l e a s t t h ree v ery g ene ra l a nd s imp le p r inc ip le s : 1 )t ha to ne s hou ld t r ea t t heor ie sj u s t a s wha t t hey a re , t ow i t , t heo r ies ; 2 )t ha t at heory i s wha t at heory s ays ; a nd 3 ) t ha t b efo re y ou c an r e fu te o r c or robo ra te at heo ry y ou mus t h ave a n a na lys i s o f wha t t he t heo ry s ays . We a rr ive t h is w ay t o my f i r s t c onc lus ion , o ne wh ich Io f er y ou a s s ub jec t o f d eba te : n o t heory may b e " supe rceded " o r " r e fu ted " b y d a ta i n t he a b sence o f ar i gou rou s t heo re t ica l a na lys is . R e lax . Id o n o t i n tend t o c a rry o u t af u l l a na lys i s o f Ch i lde 's t heo ry h e re ; n o t o n ly b ecau se o f s pace l im i ta t ions , b u t a l so b ecause i ti mp l ies many d if i cu l t ie s : s oc ia l s c ien t is ts d o n o t n o rma l ly make t he ir t heor ie s e xp l ic i t , t hu s mak ing i nd ispen sab le t o f i r s t emb race o n ac a refu l e xeges i s t o o b ta in a t l e a s t a" ra t iona l ly r econs truc ted " v e rs ion o f t he t heo ry . O f c ou rse , i n t ha t momen t t he t heo ry b ecomes n o t o n ly t he a u thor 's b u t r a ther as ha red r e spon s ib i l i ty . And i n t he c a se o f Ch i lde ' s p ropo s i t ion t he re i ss e em ing ly n o a gree men t o n t he l o cu s c l ass i cus o f t he t heo ry , e ven when h i s a r t ic le o n t h e U rban

2 10

R evo lu t ion ( 1981 , o r ig . 1 950 ) , Wha t H app ened i n H i s tory ( 1973 , o r ig . 1 942 ) a nd t he s e cond e d i t ion o f Man Mak es H imse lf ( 1954 , o r ig . 1 951 ) a re f r equen t ly p o in ted o u t . Ra the r , Iwan t t o i n s i s t t ha t , s t r ic t ly s peak ing , d a ta c an n o t d o a ny th ing , f o r b e t ter o r f o r w o rse , t o at heo ry f o r wh ich w e d o n o t e ven k now e xac t ly wha t i ts ays —and h ere Iam n o t t a lk ing a bou t t he " s to ry" t he a u thor t e l l s , b u t t o t he n omo log ica l p r inc ip les t ha t c ou ld r e ce ive c o r robo ra t ion o r r e fu ta t ion . I n t he a b sence o f ad e ta i led a na lys i s w e r i sk b e ing u n fa i r , t he w ay S e rv ice i s : h e s eems t o t h ink t ha t t he u rban p roces s i n c au sa l ly c en t ra l ; a s h e f i nd s " c iv i l iza t ion s " a nd s ta tes w i thou t c i t ie s , h e c l a im s t he t heory i ss uperceded ( by t he d a ta , i ti su nde r s tood ) ( Serv ice 1 978 : 2 7 ) . S cho la rs l o ya lt o Ch i lde may b et emp ted t o d ef end h im p roduc ing d a ta t oc orrec t S erv ice . Bu t d o ing s o i mp l ies t ha t , i nt he a b sence o f at heo re t ica l a na lys i s , w e a re t ak ing C h i lde n o t i n h i s o wn t e rm s , b u t i n S erv ice 's . Any p o s i t ive e v idence w ou ld s uppo r t o n ly S erv ice 's v er s ion o f Ch i lde , a nd C h i lde w ou ld h ave b een d e f ended o n ly t o t he e x ten t S e rv ice 's v e rs ion i st rue t o t he o r ig ina l . E v iden t ly , t h i s l i ne o f r ea son ing h i ts n o t o n ly C h i lde 's d e trac tor s , b u t a l so t ho se c l a im ing t o h ave " ve r if ied" h i s o r a ny o the r t heo ry w i thou t t he b enef i t o f as e r ious t heo re t ica l a na lys i s . 3 .A C omedy o fE qu ivo ca t ions? Now , Ih ave p o in ted o u t e l sewhere t ha t i n many c a ses t he se "M ickey Mouse" r e fu ta t ions a re g u i l ty o f , among o the r s , a n e l emen ta ry l og ica l f a l lacy k nown a s " equ iv o ca t ion " . I t c on s is ts , b r ief ly , i n s up rep t ic iou s ly s ub s t i tu t ing t e rm s i n t he c ou r se o f a n a rgumen t , f r equen t ly t he o r ig ina l o nes w i th o u r o wn . We h ave s een t ha t t h i s i sp rec ise ly wha t S e rv ice d oe s w i th C h i lde 's t e rm " c iv i l iza t ion " . Ano the r e xamp le o f t h is k ind o f e r ro r ( wh ich It h ink i sb e a n h ones t e r ro r ) , i s Wr igh t a nd J ohnson 's " r e fu ta t ion " o f C a rne i ro ( 1975 ) . I n t h is c a se , d a ta s uppo sed ly s hows t he s ta te emerg ing i n amomen t o fd epopu la t ion a nd n o t o fd emog raph ic p re ssu re a s , a cco rd ing t o t hem , C a rne iro ( 1970 ) w ou ld r equ i re . One c ou ld q ue s t ion t he r e l iab i l i ty , r ep resen ta t iv i ty o r t ru th o f t he d a ta , a s We i s s ( 1977 ) h a s d one , a nd t r y t o " save t he t heo ry" t h i s w ay . Bu t t ha t w ou ld i mp ly t he t e s t h ad b een f a i r ; a nd , i fw e l ook c l ose ly , i t t u rn s o u t t ha t t hey u sed t he i r o wn d ef in i t ion , f r om wh ich c er ta in a rcha eo log ica l d a ta ( we c a l lt hem " ind i cador es" —ind ica to r s-i ns pan i sh ) f o l low , a nd n o t C a rne i ro 's , f r om wh ich ad if e ren t s e t o f i nd ica to r s w ou ld b e o b ta ined . A s ar e su l t , t he s ta te emerges " ea r l ier " t han t he t heo ry p red ic ts ,a nd t he t heo ry i s" r e jec ted " . S anders e ta t . ( 1979 : 3 66 ) c o mp la in o f as im i la r e r ro r c omm i t ted b y Adam s , when t h is a u tho r r e jec ts Wi t tfoge l u s ing h i s o wn n o t ion o f " u rban s oc ie ty" a nd n o t W i t tfoge l 's n o t ion o f " or ien ta l s oc ie ty" ; h e u se s a d if eren t s e t o fi nd ica to rs wh ich p u rpo r ted ly s how t he s ta te t o b e t he c au se o fl a rge s ca le i r r iga t ion a nd n o t t he o the r w ay a round . The p reced ing e xamp les h ave ac ommon p a t tern : t hey s ub s t i tu te , i nt he p roce ss o ft e s t ing at heo ry T , t he k ey t heo re t ica l t e rm s o f Tw i th t hose o f ad if eren t t heo ry , T1, wh ich i st he o ne t he t e s ter n o rma l ly h o lds . T o s e e why t h i s s ub s t i tu t ion i sf a l lac ious , l e t u s r ev iew t he p roces s o f a rcha eo l o g ica l t e st ing . T o t e s t as ub s tan t ive t heo ry u s ing a rch o log ica l ma te r ia l s , o ne n eeds t o e s tab l i sh t h rough " a rgumen ts o f r e levance " , t he t ype o f d a ta ( " ind i cador es" o r " i n d i ca to rs ") wh ich w i l l a l low u s t o r e la te t e rm s i n t he s ub s tan t ive t heory w i th t e rm s i n t he a rch o log ica l t heory ; t he se , i n t u rn , a re r e la ted b y n ew " a rgumen ts o f r e levance" t o t e rm s i n t he a n teceden t ly u nders tood l anguage s ha red b y a n a cadem ic c ommun i ty . I ft h i s a ccoun t o f a rcha eo log ica l t e s t ing i sc o r rec t , t hen when t wo t heor ies d ef ine a t e rm d if eren t ly , t he a rgumen ts o f r e levance wh ich d e r ive f r om i tw i l l t end t o b e d if e ren t a s w e l l , a nd s o w i l l b e t he i nd ica to rs wh ich d er ive f r om t hese . Th is i s why a l l i nd ica to rs a re a lways i nd ica to rs i n r e la t ion t o t heo re t ica l t e rm s , a nd h ence t he re i sn o s uch a t h ing a s a" neu tra l" i nd ica tor . Thu s , i f" c iv i l i za t ion " i mp l ies c i t ies f o r Ch i lde , a nd t he t heoret ica l t e rm " c i ty" i sd ef ined a rcha eo log ica l ly t h rough t en i nd ica tor s , a ny t e s t wh ich c l a im s t o b e at e s t

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o f Ch i lde w ou ld h ave t o u se t ha t d ef in i t ion o f " c i ty" . Bu t i fs o meone c ha rac ter izes " c iv i l iza t ion" d if eren t ly , f ocu s ing i na n i n s t i tu t iona l i zed f o rm o fp ower , t hen p e rhaps t he k ey t heo re t ica l t e rm w i l l b e " gove rnmen t" , wh ich w ou ld h ave ad if e ren t s e t o fi nd ica to rs t ha t may n o t n ece ssa r i ly c o inc ide w i th C h i lde 's . A cco rd ing ly , when t e st ing t he t heo ry , w e may l ook f o r s i te s a nd p e r iod s wh ich may o r may n o t ma tch t he o ne s r equ i red b y t he o r ig ina l t heory , s i nce i t s o r ig ina l r e f e rence w i l l h ave b een s h i f ted . I nc iden ta l ly , t h i s d eva lua t ion a c ts n orma l ly i n f avo r o f t he c r i t ic i sm o ft he i n i t ia l t heory . We may d raw a s econd c onc lu s ion f r om a l l o f t h is : g iven t he w ay s ub s tan t ive t heo ry a r t icu la tes w i th a rcheo log ica l t heo ry , t here a re n o " neu tra l " i nd ica to rs , s i nce a l l d epend o n t he a rgumen ts o fr e levance wh ich d er ive f r om t he k ey t e rm s i nt he s ub s tan t ive t heory . Th i s i s why t heo r ies o f s ta te o r ig ins wh ich c ome f r om n on -a rch&o log i s ts a re n o r ma l ly a t ad i sadvan tage when t hey a re n o t f u l ly e xp l ic i ted a nd d eve loped : i n t he se c a se s i tw i l l b e t he a rcha eo log ica l t e s t ing o f t he t heo ry t he o ne who c on t r ibu tes t he r equ i red a rgumen ts o fr e levance , a nd a s w e h ave s een , t h i s i sn o t a lways d on e f a i r ly . H ence , ar e fu ta t ion i s v a l id o n ly i ft he re a re n o e qu ivoca t ion s a bou t t he k ey t e rms o ft he t heory t e sted . A s y ou c an s ee , i n t h i s c a se w e c an make ad ef en se o fC h i lde wh ich d oes n o t r equ i re a s earch o f d a ta t o c on trad ic t S erv ice : o ne o f t he a dvan tages o f p e rform ing at heoret ica l a na lys i s , h oweve r p a r t ia l , i sp rec ise ly t o h e lp u s s o lve t heo re t ica l p rob le m s t r ea t ing t hem a s s uch , t hu s a vo id ing f a l l ing i n to " prema tu re emp i r i za t ion" . 4 . C ommen surab i l i ty T o s umma r ize : i n o rder t o l e g i t ima te ly t e s t Ta ga in st t he d a ta , t he t heo re t ica l t e rm si nvo lved s hou ld b e t ho se o fT , wh ich w i l lt hen s e lec t , v ia t he a rgumen ts o fr e levance o fT , t he r e levan t i nd ica to r s a nd h ence t he r equ i red d a ta . Bu t p e rhaps S erv ice d id n o t mean t o b e f a l lac iou s , b u t t o e xpre ss a b a s ic d e s ag reemen t w i th Ch i lde r ega rd ing c i v i l iza t ion : h e i s a dvanc ing a n a l terna t ive t heo ry . Wha t h appens when wha t y ou w an t i sn o t t o t e s t T a ga ins t t he d a ta , b u t r a the r t o c ompa re i tw i th a n ew t heory , T1,i n o rder t o b e a b le t o s e lec t t he b e t ter o ne o f t he t wo? P robab ly t he t heo re t ica l t e rm s a nd a rgumen ts o fr e levance w i l l n o t c o inc ide . H ow t o c ompa re , t hen , a nd t hu s f u lf i l l t he d e s ide ra tum t ha t t he r a t iona l g row th o f s c ience r equ i res t ha t n ew t heo r ies i mp rove o n o ld o ne s? I s i tl e g i t ima te t o c ompa re d if eren t t heor ie s a bou t d if eren t t h ing s? C an i tb e d one a t a l l? I tw ou ld b e t emp t ing t o a n swe r t ha t i ti sn o t l e g i t ima te , a nd t h i s w ay t o r e scue Ch i lde . S erv ice w ou ld h ave n o r i gh t t o p re f e r h i s o wn t heory o ver Ch i lde 's , s i nce t hey a re a bou t d if eren t t h ings ( one a bou t t he o r ig in s o f c i v i l iza t ion , t he o ther a bou t t he o r ig in s o f t he s ta te l e ve l o fi n teg ra t ion ) . I ts e ems i n tu i t ive t ha t i n o rde r f o r at heory t o r e fu te a no the r t heory b o th s hou ld b e a bou t t he s a me t h ing s . However , t h is i n tu i t ion c an l e ad t o a bsurd c onsequences . The f i r s t o ne i sr e la t iv i sm : e ach t heo ry w ou ld b e e qua l ly r e spec tab le , mak ing i ti mpo s s ib le t o c hoo se among o p t ion s . Ano the r a bsu rd c onsequence w ou ld r i se i f" abou t t he s ame t h ing s " w a s t o b e i n te rp reted i n t he s t r ic t s ense o f " abou t t he s ame t heoret ica l e n t i t ies " ; t ha t i s , i fi n o rder f o r at heory t o r e fu te a no the r t heo ry o ne w ou ld d emand t ha t t hey d ea l t w i th t he s a me t heo ret ica l p r inc ip le s . Th i s w ou ld b e t he e qu iva len t o f a sk ing t ha t n o n ew t heo r ie s b e d eve loped , s i nce i fa ny n ew t heory w ou ld h ave t o d ea l w i th p re -ex is t ing t heo re t ica l e n t i t ies , t hen s c ien t if ic c hange w ou ld b e p rac t ica l ly i mpo s s ib le . " Ph log i s ton " i sn o t t he s ame e n t i ty a s " ox igen " ; n o t e ven " ma s s " i st he s ame f o r N ew ton a nd f o rK ep ler , a cco rd ing t o t he e xper ts . And y e t w e s ay t ha t i n t he se c a ses t he n ew t heo ry r e fu ted t he p rev iou s o ne : Tha t i s , u nder c e r ta in c ond i t ion s , t heo r ies w i th d if eren t t heo ret ica l a ppa ra tu ses may e n ter i n al e g i t ima te r e la t ion o f c on tra s t a nd r e fu ta t ion . B e s ides , i f w e w e re t o f o l low t he a b su rd c r i te r ium men t ioned a bove , t hen w e w ou ld n o t b e a b le t o c ompa re n o t o n ly t heo r ies a bou t c i v i l iza t ion w i th t heo r ies a bou t s ta te f o rma t ion , b u t w e c ou ld n o t e ven b eg in t o c ompa re t wo d if eren t t heo r ies o n s ta te o r ig in s : s i nce e ach w ou ld h ave d if eren t d ef in t ions o f " a rcha ic s ta te " , t hey w ou ld n o t b e a bou t t he s ame t h ing s ;

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a nd e ven a n a u thor who c hanged t h rough t ime h i s n o t ion o f " s ta te " c ou ld n o t c ompa re h i s p rev ious v e rs ion w i th h i s n ew o ne , ac onc lu s ion wh ich i sp a ten t ly a b surd . Bu t g o ing b ack t o Ch i lde , i ts e em s t hen t ha t w e a re f a ced w i th t he h orn s o f a d i lemma : i ft here i s as en se i n wh ich t wo t heo r ie s a bou t d if eren t t h ing s c an c ompete , a nd S erv ice wa s t o b e r i gh t , t hen Ch i lde 's t heory a bou t t he o r ig in s o fc i v i l iza t ion w ou ld b e r e fu ted b y S e rv ice ' s t h eo ry o n s ta te o r ig in s : o n t he o ther h and , i fd if e ren t t heor ies c an n o t b e a bou t t he s ame , t hen Ch i lde i si r re levan t t o t he c u r ren t d i scus s ion a bou t s t a te o r ig in s , t o t he e x ten t t o wh ich h i s t heo r ie s a re n o t a bou t t ha t p rob le m . I tw ou ld s e em t ha t w e h ave t o c hoo se b e tween a r e fu ted Ch i lde a nd a n i r re levan t Ch i lde . Bu t i t i sq u i te c l ea r t ha t , i n tu i t ive ly , w e w ou ld a l l a gree t ha t b o th t heor ie s a re a bou t t he s a me . T he q ues t ion i sa ga in : c an t wo d if e ren t t heor ie s b e a bou t t he s ame t h ing? Wha t i st ha t s en se t ha t s eems i n tu i t ive ly o bv ious? 5 . T he R ef er ence o f T heor e t i ca l T erms : Two S o lu t ions I t t u rn s o u t t ha t d ef in ing t h i s " i n tu i t ive ly o bv iou s" s en se h a s b een i n cred ib ly d if i cu l t . S pec ia l is t h ave d eba ted h ea ted ly d u r ing t he l a s t t wo d ecades a bou t wh ich s o lu t ion s may b e c ons idered a ccep tab le . The p o s i t ion w e p ropose h e re s o lves t he p rob lem b u t r equ ires t he e xp l ic i t a dop t ion o f a ma ter ia l is t o n to logy a nd e p is temo logy . T h i s d oes n o tw o rry me , s i nce Iam a l ready c onv inced , w i th Ch i lde , t ha t ma ter ia l i sm i st he p o s i t ion mo s t c ongruen t w i th d ay to -day s c ien t if i c p rac t ice . a ) C ausa l C ha in s a nd I n t roduc tory E ven t s Wha t w e n eed i s aw ay o fh av ing c oncep ts i n d if eren t t heor ies r e f e r t o t he s ame r ea l i ty , ac ond i t ion n eces sa ry i no rde r t o b e a b le t o h o ld t ha t s ucce s ive t heo r ie s a re a bou t t he s a me t h ing s , a nd h ence f u lf i l t he r u le o f s c ien t if ic r a t iona l i ty ; c oncep ts wh ich , wh i le b e ing d ef ined d if eren t ly f o r e ach t heo ry , c an h ave a " t ran s -theore t ica l " r e f e rence , t o t he e x ten t t hey h ave t he s ame r e f e rence . P u tnam ( 1975 , o r ig . 1 973 ) h a s s ugges ted as o lu t ion f o r " phys ica l magn i tude t e rm s" t ha t w e s ha l l a dop t a nd a dap t h e re : wha t f i xa tes t he r e f e rence o f t heore t ica l t e rms i st he i r b e long ing t o ac ha in t ha t o r ig ina tes when , f a ced i n ad i rec t c au sa l r e la t ion sh ip w i th t he e n t i ty r e spon s ib le f o r i t , s o meone i n troduces t he t e rm t ha t a s soc ia tes t o i t . L et me q uote : B en jam in F rank l in k new t ha t " e lec tr ic i ty" wa s man i f e s ted i n t he f o rm o f s parks a nd l i gh tn ing b o l ts ; s om eone e l se m igh t k now a bou t c u r ren ts a nd e l ec tro magne ts ; s om eone e l se m igh t k now a bou t a to m s c on s i s t ing o fp o s i t ive ly a nd n ega t ive ly c ha rged p a r t ic le s . They c ou ld a lu se t he t e rm " e lec tr ic i ty" w i thou t t here b e ing ad i scern ib le " i n ten s ion" [ i n t he l og ic ian ' s s en se ] t ha t t hey a l l s ha re . Iwan t t o s ugge s t t ha t wha t t hey d o h ave i n c o mmon i st h i s : e ach o f t he m i sc onnec ted b y ac er ta in k ind o f c au sa l c ha in t o a s i tua t ion i n wh ich ad e scr ip t ion o fe l ec tr ic i ty i sg iven , a nd g enera l ly ac au sa ld e scr ipt ion —tha t i s , o ne wh ich s i ng le s o u t e l ec tr ic i ty a s t he p hys ica l magn i tude r e spon s ib le f o r c er ta in e f ec ts i n ac er ta in w ay . . . T hu s , s uppo se Iw ere s tand ing n ex t t o B en F rank l in a s h e p er formed h i s f amou s e xper im en t . S uppo se h e t o ld me t ha t " e lec tr ic i ty" i sa p hys ica l q uan t i ty t ha t b ehave s i n c er ta in [ way s , e tc . . . ] H e w ou ld h ave g iven me a n a pprox ima te ly c or rec t d ef in i te d e scr ip t ion o f ap hys ica l magn i tude . Ic ou ld n ow u se t he t e rm " e lec tr ic i ty" myse l f . L e t u s c a l l t h is e ven t — my a cqu ir ing t he a b i l i ty t o u se t he t e rm " e l ec tr ic i ty" i n t h i s w ay — a n i n troduc ing e ven t . ( Pu tna m 1 975 :199-200 )

P u tnam p o in ts o u t t ha t n ow h i s u se o f t he t e rm w i l l b e c ausa l ly c onnec ted t o t h i s i n troduc tory e ven t , a nd w a s h e t o t each s o meone e l se t o u se i t , t h i s n ew p er son w ou ld b e i n ac au sa l r e la t ion t o h im , a nd v ia h im , t o t he i n i t ia l i n troduc ing e ven t , a nd s o o n . P robab ly , i n t he c our se o f t h is d eve lopmen t , w e c ou ld f i nd t ha t p a r ts o f t he o r ig ina l d escr ip t ion w ere f a l se ; i n t ha t c a se w e w ou ld r ep lace t he m w i th n ew o ne s , b u t t o t he e x ten t t ha t r e f erence r ema in s f i xed b y t he i n i t ia l c ausa l c onnec t ion , t he t e rm w i l l c on t inue t o r e f e r t o t he s a me . I n t he c a se o f t he t e rm " e lectr ic i ty" t he se d if eren t d escr ip t ions w ou ld c o r respond t o d if eren t t heor ie s , b u t t o t he e x ten t t o wh ich t he se t a lk a bou t t he e n t i ty r e spon s ib le f o r t he o r ig ina l c au sa l r e la t ion wh ich f i xed t he r e f erence i n

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t he i n troduc ing e ven t , t h is t e rm b ecome s " t ran s theore t ica l " i n p rec i se ly t he s en se w e w e re l ook ing f o r ( i b id . : 2 00-202 ) . S ome th ing q u i te s im i la r h appen s w i th t he s o -ca l led " na tu ra l k inds " t e rms , t he u se o f wh ich P u tnam d e sc r ibes u nde rt h ree c ond i t ions ( t he l a s tt wo o ft he m w i l l b ec ruc ia l f o r u s . A c ompe ten t u ser o f an a tu ra l k ind t e rm , s uch a s " l e mon " mu s t k now : a ) h ow t o c l a s s i fy t he t e rm u nder c er ta in s yn tac t ica l a nd s eman t ica l ma rker s [ t ha t " l emon" i sa n oun , t he n ame o f af ru i t , e t c . ] ; b ) h e s hou ld b e a b le t oa s soc ia te t he w ord t o as t ereo type ( c o lo r , t a s te , f o rm , e tc . ) ; a nd c )h e w i l l u se t he w o rd t o r e f e r t o an a tura l k ind "—say , a n a tu ra l k ind o ff ru i t who se mos t e s sen t ia l f ea tu re , f r om a b io log i s t p o in t o f v i ew , m igh t b e ac e rta in k ind o f DNA " . Add i t iona l ly , P u tnam make s c l ea r t ha t t he s t ereo type g e t s a s soc ia ted t o t he n ame , b u t t ha t d oe s n o t i mp ly t ha t a l l member s , n ot e ven t he mo s t " norma l " o f t hem , w i l l f u lf i l t he s t ereo type a s i fi tw a s as pec if ica t ion o f n ece s sa ry a nd s uf f i c ien t c ond i t ion s f o r t he member sh ip i n t he c o r re spond ing c l a s s . Iam s u re y ou h ave p robab ly g ues sed my s t ra tegy h ere : t he s ense i n wh ich t wo t heo r ie s a re a bou t t he s ame , o r mo re p rec i se ly , t ha t t he ir k ey t e rm s c an b e t ranst heo ret ica l e ven when t hey g e t d ef ined d if eren t ly i n e ach t heory i st he s en se i n wh ich t hey b o th r e f er t o t he s a me r ea l e n t i ty , s i nce t hey a re c onnec ted b y ac au sa l c ha in t ha t e ven tua l ly l e ads t o t he i n i t ia l i n troduc tory e ven t . I n t he c a se o f " a rcha ic s ta te" o r o f o ther mo re r e cen t ly i n troduced t e rm s , t he re w ou ld b e ac ha in t ha t l e ad s —obv iou s ly w i th c hange s i n t he r e spec t ive d e scr ip t ions — t o t he t e rm " c iv i l iza t ion " ; t h i s , i n t u rn , l e ads t o a n i n i t ia l i n t roductory i ndex ica l e ven t , i n wh ich t he s t e reo type ( Pu tnam 's s ec o nd c ond i t ion ) o f a n a nc ien t c i v i l iza t ion w a s s pec if i ed . H i s tor ica l ly , t he d eve lopmen t o f a rch o logy d i sp laced i n t ime a nd s pa ce t h i s s t e reo type , f r om c l a s s ica l a n t iqu i ty t o t he o lder c i v i l iza t ions o f t he N ea r E a s t (M esopo tam ia a nd E gyp t ) . A s r e sea rch p rog re ssed t he t e rm w a st hen e x tended t oc ove r t he o ther f ou r c a ses ( I nd ia , Ch ina , Mesoame r ica , a nd P e ru ) , c onf o rm ing t hus t he s i x c a se s wh ich a re , n o mo re n o r l e s s t han t he p a rad igma t ic , e xemp la ry o r s t ereo typ ica l c a se s o ft he t e rm " a rcha ic s ta te " . T o t he e x ten t t ha t d if eren t t heo r ie s r e f e r t o t e rm s l i nked i n t h i s c ha in a l l t he w ay t o t he i n i t ia l i n troduc to ry e ven t , o r p o in t t o t he s i x e xemp la ry c a ses , t hey a re t a lk ing a bou t t he s a me , i ndependen t ly o f t he c o inc idence ( o r l a ck t hereof f ) o f t he i r r e spec t ive d ef in i t ion s . b ) C on t inu i ty i n t h e E xp lana tory P rob l em-S i tua t ion We c an n ow p ropose s o me th ing s im i la r t o P u tnam ' s c au sa l c ha in s a nd i n troduc t o ry e ven ts f o r t he c a se o f t he c on t inu i ty o f e xp lana to ry p rob le ms i tua t ion s , t ha t i sf o r t he s e ts o f " why-quest ions " t he t heo ry i sa t te mp t ing t o s o lve . Two s ucces ive t heor ies h o ld n ece ssa r i ly ac au sa l r e la t ion i nt he s en se men t ioned b efore a ss oon a s t he n ew t heo ry e i the r a ssume s a nd s o lve s t he p rob lems i tua t ion o f t he o ne b efo re , o r h a s t o s how t ha t s uch p rob lema t ic i sn o more t han a s ub se t o f al a rger a nd mo re i n te res t ing p rob lema t ic , o r t ha t t he n ew o ne r ep re sen ts a n u navo idab le r educ t ion o f t he p rev iou s o ne . T he e x t r eme c a se w ou ld b e o ne i n wh ich t he o lde r p rob lema t ic i st o ta l ly r e jec ted ; b u t e ven t hen t he c au sa l c onnec t ion i sp reserved t he momen t o ne h a s t oj u s t ify t he a ppa ren t r e levance i ts e emed t o h ave , a nd why i ts hou ld b e a bandoned i n f a vo r o ft he n ew o ne . I n a l l t he se c a se s i ti sl i ke ly t ha t t here w i l l b e amod if ica t ion o ft he s t ereo type a s soc ia ted t o t he k ey t e rm s . I n t he c a se i n wh ich i ti ss hown t ha t t he o lder p rob le ma t ic i s as ub se t o ft he n ew o ne , wha t It h ink w ou ld a u toma t ica l ly h appen i st ha t n ew l awl ike p r inc ip les w ou ld h ave b een f ound , wh ich w ere c apab le o f e xp la in ing t he p rev iou s l awl ike p r inc ip le s . I n h i s t h i rd c ond i t ion , Pu tnam t a lked a bou t " e s sen t ia l " f e a tu re s o f an a tura l k ind ; Ip re f er t o t a lk a bou t " deg ree s o f c au sa l ef i cacy" . I n t he c a se o f t he t ype o fs ucces s ion men t ioned , i tw ou ld b e s hown t ha t e l emen ts p rev iou s ly c ons idered c ruc ia l i n t he d ef in i t ion o f k ey t e rms i n t he o lde r f o rmu la t ion a re a c tua l ly e f ec ts o f d eepe r c ausa l p roce sse s . S ta ted i n

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ad if eren t way , wh i le t he n ew t e rm s a re c apab le o f a ccoun t ing f o r t he o lder o ne s , t he r eve r se d oes n o t h o ld . T h i s w ou ld a l low u s t o u nders tand wha t S e rv ice a nd Adam s h ave i nm ind when t hey i n s i s t i nt ha t wh i le c i t ie s r equ ire o fs ta tes t o emerge , t he r everse d oes n o t n ecessa r i ly h o ld s : t he re c an b e s ta tes w i thou t c i t ies . 6 .F ina l C on s idera t ions I f wha t Ih ave s a id s of a ri sa tl e a s t p lau s ib le , t hen s evera l c on sequences o rr e su l ts f o l low f r om i t , wh ich It h ink c ou ld b e o fi n teres tf o r s o me o ft he c u rren t p o lem ic s o ns ta te o r ig in s : F i rs t : The d i s t in c t ion b e tween " p r ima ry s ta te " ( tha t wh ich emerge s i n t he c on t ex t o f n on -s ta te s oc ie t ies ) a nd " s econda ry s ta te " ( tha t wh ich emerges i n t he c on tex t o f e x i s ten t s ta tes ) i sn o l onger s imp ly o p t iona l , b u t t urn s o u t t o b e i nd i spen sab le f o r p re s e rv ing b o th t he r e f erence a nd t he e xp lana to ry p rob lema t ic o f s ta te o r ig in s . C r i t ic i sm s o f t he d i s t inc t ion h ave s ta ted i ti sa rb i t ra ry , u nneces sa ry a nd a rt if ic ia l , s i nce t he s ta te s uppo sed ly emerges a nyt ime where c e r ta in s t ruc tu ra lc ond i t ion s a re p resen t , r ega rd les s o f t he i r b e ing p r ima ry o r s e conda ry , a nd h ence i ti st he s a me t o s tudy S umer o r B onapa r t i s t F rance ; b u t c l ea r ly t he t e rm " s ta te" d oes n o t h ave t he s a me c ausa l c ha in i n a rcha ao logy a nd i n p o l i t ica l s c ience ( e ven when t hey a re r e la ted ) . Id o n o t t h ink t ha t i ti sl e g i t ima te t ha t " s ta te" b e a pp l ied t o e thnog raph ic s i tua t ion s ; S erv ice 's " p r im i t ive s ta tes " a re n o t c o term inou s w i th t he o r ig ina l " s ta te" , t he o ne wh ich p erhap s w e s hou ld c a l l " a rcha ic s ta te " i n o rder t o ma in ta in t h is d i s t inct ion . S econd : Nor c ou ld t he s t ereo typ ica l o r e xemp la ry c a se s b e i nc rea sed i n a n a rb i t r a ry f a sh ion : i tw ou ld b e n ece ssa ry f i r s t t o s how t ha t t he n ew c and ida tes a re o n to log i c a l ly s im i la r t o t he k nown o nes . I ti si leg i t ima te i n t ha t s ense t o u se a n e thnog raph ic c ommun i ty o fp resen t—day Oaxaca , a s S usan L ee s d oe s , t ot e s t at heo ry a bou t t he a rcha ic s ta te ( i n S ande r s e t a l . , o p . c i t . : 3 67 ) . On t he o ther h and , Iw ou ld n o t b e s u rp r ised i f t he d a tes i nt he e xe mp la ry c a ses w ou ld g o b ack i nt ime o r s o me n ew c a se c ou ld s how u p . H oweve r , i ti sc ruc ia l t ha t a l l c a ses b e e s tab l i shed w i th p rec is ion , s i nce t hey c on s t i tu te t he o r ig ina l r e f e rence f o r t he t heo ry , a nd h ence , t he b a t t lef i e ld f o r c ompe t ing t heo r ie s . I t i sh ence i nd i spen sab le t o d i scu ss t he a rgumen ts o fr e levance f o r t he a rch o log ica l i d en t if i c a t ion o ft he s ta te ; i ti sd ef in i t ive ly n o t aw a s te o ft ime t o q ue s t ion whe ther ad e term ined p e r iod o r s i te a re e v idence o ft he a rcha ic s ta te . T h i rd : I ft he i dea o fd egrees o fc au sa l ef i cacy p roposed h ere i sc or rec t , t hen t he a na rch ic p ro l i f e ra t ion o f d ef in i t ion s f o r t he s ta te c ou ld b e c on tro l led , b y s imp ly s how i ng t ha t t he t ra i ts s ome n ew d ef in i t ion s p r iv i ledge t u rn t o b e j u st e f ec ts o f t he l aw l ike p r inc ip le s o f o the r t heor ie s . Thu s , i f at heory T i p os i ts a s ad ef in ing t ra i t a n a dm in i s t ra t ive a ppa ra tus w i th f our l e ve ls o fh ie ra rchy , wh i le at heory T 2 p o s i ts c l a s s c onf l ic t a s c en tra l , a nd T 2 i sc apab le o f g enera t ing f r om i tt he a dm in is tra t ive a ppa ra tus , t hen T 2 i sp ref e rrab le t o T i . F ou r th : Ad i rec t c onsequence o ft he p rev ious r e su l t i st ha t p o lem ics a bou t s ta te d ef in i t ion s c ea se t o b e s imp le a nd b o r ing t e rm ino log ica l d i scu s s ions , s i nce e ach d ef in i t ion w ou ld i mp ly a h ypo the s i s , a nd c o mpe t ing h ypo these s c an t hen b e e va lua ted . E ach n ew p ropo sa l w ou ld h ave t o b e a t l e a s t p rom i s s ing i n r e la t ion t o t he a dvancemen t o f t he s o lu t ion o ft he e xp lana to ry p rob lema t ic . O the rw i se i ti sp o in t les s t op ro l if e ra te d ef in i t ion s a nd c l a s s if ica t ions , t he w ay C laessen a nd S ka ln ik d o ( 1978 ) . A l l o ft hese r e su l ts a re i n t ima te ly r e la ted t o o ur s ta r t ing p o in ts : f i r s t , t ha t p ro l i f e ra t ion o f t heor ies i sj u st if icab le o n ly i fi ti mp l ie s p rogre s s , o therw ise w e b e tray t he p r inc ip le o f s c ien t if i c r a t iona l i ty ; s e cond , t ha t s i nce a t heory i s wha t at heo ry s ays , y ou c anno t r e fu te n or c o rrobora te i tw i thou t d e te rm in ing f i rs t wha t t he t heory s ays . The p rob le m o ft he r i se o fc l a s s s oc iety , wh ich i si n my o p in ion wha t l a ys b eh ind t he p rob lem

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o f t he s ta te ly f o rm , i s aq ues t ion o f g rea t i mportance n ot o n ly a rch o log ica l ly b ut a l so p o l i t ica l ly s peak ing . Ib e l ieve Ch i lde was p erf ec t ly a wa re o ft h is . A ccord ing ly , It h ink i ti s ap rob le m t ha t h a s t o b e t r ea ted w i th t he s e r iousness a nd r i gour i td eserves . Theoret ica l a na lys is may h ave s ometh ing t o c on tr ibu te t o t h is t a sk , a s Ih ope t o h ave s hown .

REFERENCES

CARNEIRO , R . 1 970 .

"A T heory o ft he O r ig ins o f t he S ta te" , i n S c i ence 1 69 : 7 33-738 .

CHILDE , V .G . 1 970 . L os o ri genes d e l a c i v i l izac iön , F ondo d e Cu ltura E conöm ica , Mex ico . 1 973 .

Qud s uced iö e n l ah i s tor ia , L a P leyade , Bueno s A ires .

1 981 .

" La r evo luc iön u rbana " , i n P erez 1 981 : 2 65-278 .

CLAESSEN , H . a nd P . SKALNIK 1 978 .

" The E a r ly S ta te : Theor ies a nd Hypo theses" , i n C laessen a nd S ka ln ik ( eds ) : T he E ar ly S ta te , Mou ton , The Hague : 3 -30 .

COHEN , R . a nd E . SERVICE 1 978 .

O r ig ins o ft he S ta te , I SHI P ress . P h i lade lph ia .

GÄNDARA , M . 1 981 .

" E l f a l s if icac ion i s mo d ogmä t ico e n A rqueo log ia : L a s ` r efu tac iones h awa i iana s '" , e n XV Mesa R edonda d e l aS .M .A . , S an C r istöba l L as C a sa s , Ch is .

PtREZ , J .A . 1 981 . P r esencia d e V ere G ordon C h i lde , I NAH , Mex ico . PUTNA IV I , H . 1 975 .

" Exp lana t ion a nd R ef erence" , e n Pu tnam , H . (e d ) : Mind , L anguage a nd R ea l i ty , Ph i losoph ica l P apers . v o l . 2 , Camb r idge Un ive rs i ty P ress , L ondon : 1 96-214 .

RED MAN , CH . 1 978 .

T he R i se o f C iv i l iza t ion , F reeman a nd Co mpany , S an F ranc isco .

SANDERS , W. ; J . PARSONS , a nd R . SANTLEY 1 979 .

T he Bas in o f Mex i co , A cadem ic P ress , N ew Y o rk .

SERVICE , E . 1 975 .

T he O r ig ins o ft h e S ta te a nd C iv i l iza t ion , Nor ton , N ew Y ork .

1 978 .

" C la ss ica l a nd Modern Theor ies o f t he O r ig in s o f Governmen t" , i n C ohen a nd S erv ice ( eds ) : 2 1-34 .

WEISS , H . 1 977 .

" Per iod iza t ion , P opu la t ion a nd E a r ly S ta te F o rma t ion i n Khuz is tan" , i n L ev ine , L . a nd T . Y oung ( eds ) : Moun ta ins a nd L ow lands , B ib . Mesopo t . 7 , Undena .

W RIGHT , H . a nd G . JOHNSON 1 975 .

" Popu la t ion , E xchange a nd E a r ly S ta te F orma t ion i n S ou thwestern I ran" , i n Amer i can An thropo log i s t 1 77 ( 2 ) : 2 76-298 .

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R E VOL UTI O NS R E VISITE D

S .E . VA N DE R LEE U W Ca mbr idge Un ivers ity

" La r ea l i te e s t g ene ra lemen t p lu s c omp lexe q ue n e l a is se e n t revo ir l a p enu r ie d e n o tre d ocumen ta t ion . D e s q ue n o s r en se ignemen ts d ev iennen t p lus n omb reux , l e s s o lu t ions s imp les s on d epa ssees " ( R . Du ssaud , S y r ia 2 5 , 1 946-8 :36 ) . P r ef ac e Th is p aper d oe s n o t l ook a t Ch i lde ' s t wo " r evo lu t ion s" f r om t he p o in t o fv i ew o f a rcha eo logy , t r y ing t o d ec ide when t hey o ccu r red , h ow q u ick ly t hey c hanged h uman s oc i e t ie s , wha t t r igge red t he m , a nd/or wha t t he ir c on sequence s m igh t h ave b een i n s pec if i c a rea s . Is u spec t t ha t mo s t o f t h is s y mpo s ium w i l l b e d ed ica ted t o t hese i s sue s , whe re t hey w i l l b e p u t f o r th b y p eop le who h ave i nves ted much mo re i n r e sea rch ing t he d e ta i l s o ft he p e r iod s a nd p henomena c oncerned . Ra the r , Iw ou ld w i sh t o p resen t as o mewha t mo re r e moved v i ew wh ich d e l ib e ra te ly f ocu sse s o n t heo re t ica l q ues t ion s i nvo lved , a nd o n s o me o f t he c on sequences o f t he i n ev i tab le t heore t ica l c ho ices f o r a rch o logy ; Iw i l l t hu s u se t he " Revo lu t ion s" a s e xamp le s , r a ther t han a s t he f ocu s o f my a rgumen t . I nev i tab ly , t here fo re , s o me o fy ou w i l l f e e l t ha t my i dea s a re i r re levan t , o r w or se , t ha t t hey a t tack f undamen ta l t ene t s i na rch o logy . S o b e i t . Iam n o t t ry ing t o c onv ince a nyone . One c an o n ly c onv ince o nese l f . I n t roduc t ion S c ien t i s ts , whe the r i nt he h a rd o r i nt he s oc ia l s c iences a re u sua l ly n o t c oncerned w i th o b se rv ing h ow t hey i nf luence t he p resen t , o rt he w o r ld w ou ld h ave b een amo re u ser— f r iend ly p lace . E ven when t hey s e e t he i mmed ia te c on sequences o ft he i r d i scove r ies , t hey d o b u t r a re ly t ake d i s tance e nough t o f a thom t he e f ec ts o n t he l onger t e rm , a nd i n a w ider a rea . An th ropo log i s t s a re i nvo lved i n t wo p laces , t wo c u l ture s , b u t u sua l ly o n ly i n t he p resen t o r v ery r e cen t p a s t . T hey h ave t o d ea l w i th d if eren t p erspec t ive s , b u t n o t w i th d if e rences i n t he w ay i n wh ich d if e ren t p erspec t ives c hange o r h ave c hanges . A rch o log i s ts a nd o ther h i s tor ians h ave t o d ea l w i th j u s t t ha t . . . I n v i ew o f t ha t u n ique a spec t o f t he h i s to r ica l s c iences , t he ir u n i ty , a nd t he p o s s ib i l i ty t o a pp ly u n i fo rm i ta r ian p r inc ip le s w i th in t he r ea lm o ft he se s c iences , d epend s o n a s sum ing t ha t t he c hange o fc hange i s au n ive rsa l p henomenon . I fw e a re t o c ompa re p henomena w i th a d if eren t p os i t ion i n t ime a nd s pace , w e n eed t o f i nd a d imens ion i n wh ich t hey a re c ompa rab le . C lea r ly , t he p henomena wh ich w e o b serve i n d if eren t p laces a nd a t d if e ren t t ime s a re v e ry d if e ren t , a nd c o mpa r ing t hem w ou ld mean c ompa r ing a pp les a nd o ranges . Mov ing o ne l e ve l o f a bs trac t ion u p , o ne c ou ld p ropose t o c ompa re p roce s se s , t o c o mpa re t he w ay p henomena c hange . Many h ave d one s o ; i n many w ays t he t ran s i t ion t o a" proce s sua l " a rch o logy wa s b o rn f r om t h i s n eed . B u t t wen ty y ea r s o f p roce ssua l a rch o logy h ave t augh t u s t ha t p roces ses d if er b etween t imes a nd p laces , a nd t ha t t hey a re n o t t o b e a s sumed c ompa rab le , u n le ss d i scu s sed a t s o g enera l al e ve l a s t o b e u se le s s .

I fw e a re n eve r the les s t o p roceed w i th o u r w o rk , t he re s e ems t o b e o n ly o ne w ay o pen , i .e . t o a s sume t he c ompa rab i l i ty o f t he w ay p roce sse s c hange . A t f i r s t s i gh t t ha t i sa s r i sky a b u s ine ss t o i nves t a no ther t wen ty y ea rs o f r e sea rch i n a s t he i nve st iga t ion o fp roces ses t he m se lve s . Bu t o n f u r ther c on s ide ra t ion , t he a s sump t ion p roposed i sn one o ther t han t o a ssume t ha t a l l h umans l e a rn i n t he s ame way , a nd t ha t s eem s f a ir ly e a sy t o a ccep t . I n t he f i r s t p a r t o ft h is p aper , Iw i l l t r y t o i lus tra te h ow p eop le l e a rn b y t ak ing o u rse lves , a rch 2 eo log i s ts , a s a n e xamp le a nd l ook ing a t t he w ay w e h ave l e a rned f r om c e r ta in o fo u r t heor ies i n o rder t o d eve lop o ther s . And Iw i l l n o tab ly t ake a s a n e xamp le t he t wo a rea s o fr e sea rch wh ich w ere s o c l o se t o Gordon Ch i lde 's h ea r t , t he n eo l i th ic a nd t he u rban r evo lu t ion . A rch o log i s ts d o n o t u sua l ly u se t he h i s to ry o ft he ir o wn d i sc ip l ine i nd eve lop ing t heo r ie s o n t he p a s t . Un t i l r e cen t ly , t he h i s tory o f a rch o logy w a s a necdo ta l o r p u re ly d escr ip t ive . H a rd ly w a s i tu p t o s tanda rd s s e t b y t he d i sc ip l ine wh ich i sk nown a s t he " H i s to ry o fI dea s " . S tanda rd s wh ich s eem a pp rop r ia te f o r ama tu re d i sc ip l ine s uch a s t he H i s tory o fH is tory , t he H is to ry o fS c ience , a nd mo re r e cen t ly , t he H i s tory o f An th ropo lo g y . B ecau se t here i sn o s uch H is to ry o fA rch o logy , t here i sn o l i te ra ture f o r me t o l e an o n i n d i scus s ing t he d eve lopmen t o f i d ea s c oncern ing t he t ran s i t ion t o a n a g r icu l tu ra l a nd/or h erd ing s oc ie ty , o r t ha t t owa rd s a n u rban s oc ie ty . Tha t In ever the le ss a t temp t t o b a se a ma jor p a rt o ft he a rgumen t o n t he h i s to ry o fr e sea rch h a s ap rac t ica l r ea son . A l l o f y ou a re more o r l e s s c onver san t w i th t he ma in a spec ts o f t he t heo r ie s i n vo lved a nd , mo re i mpor tan t , y ou a re a l so p a r t ic ipan ts i n t ha t h i s tory . A s a rch o log i s ts , o u r p resen t c once rn w i th c hange h a s n o d oub t o f ten made u s a sk o urse lves : "Why d id t hese f o lks l ook f o r a no ther s o lu t ion , why d id t hey ( s udden ly o r n o t ) c hange t he way i n wh ich t hey w en t a bou t ' i t '?" O r i n o the r w ords : "Why a nd h ow d id t hey l e a rn?" A s p a r t ic ipan ts i n o ur o wn h i s to ry , w e h ave a t o ne p o in t o r o ther h ad t o a sk o ur se lves , " How d oes my t heo ry , my i dea , f i t i nw i th t he o thers?" I n wh ich way i s i td if eren t? P robab ly w e h ave a l so c hanged o ur m ind s mo re t han o nce o n o ur i d ea s , o n wha t w e r ea l ly t hough t . Thu s , w e h ave a l so b een c on f ron ted w i th t he q ue s t ion : "Wha t makes me c hange t he w ay i n wh ich Imake u p my m ind?" " How d o Il e a rn? " a nd " How d o Il e a rn h ow t o l e a rn?" ( cf . B a teson 1 972 ) . A f te r s uch a d i scuss ion o f t he h i s to ry o f t heo r ie s o n t he n eo l i th ic a nd u rban r evo lu t ion , Iw i l l t hen t r y t o d eve lop a mode l o f h uman l e a rn ing i n as oc ie ta l c on tex t wh ich i sv e ry s imp l if i ed , b u t wh ich It h ink m igh t s e rve t he p urpo se o f t he f i na l p a r t o f t h is p aper : t h ink ing a bou t mode l l ing t he w ays i n wh ich o rgan i sa t iona lc hange si ns oc ie ta l d eve lopmen t h ave o ccu r red , a nd h ave b een o vercome . T heor ies o n t h e " N eo l i th i c R evo lu t ion " Ch i lde o r ig ina l ly a rgued t ha t t he o r ig in s o f a g r icu l tu re i n t he N ea r E a s t w e re d ue t o p a l oc l ima t ic c hange s o ccu r r ing a f te r t he l a s t I c e Age , n o tab ly i n c ip ien t d es icca t i on ( 1925 ) . Th is d e s icca t ion w ou ld h ave l e d t o p opu la t ion c oncen tra t ion a round wa te r ( oa ses ) , a nd t hu s t o l o ca l p opu la t ion p res sure a nd a s ea rch f o r a l terna t ive s ub s is tence m ean s . B ra idwood t hen w en t a head a nd t r ied t o t e s t t he h ypo the s i s , w i th e s sen t ia l ly n ega t ive r e su l ts . No t o n ly h ad t here b een e a r l ie r f l uc tua t ions i n c l ima te , wh ich d id n o t r e su l t i n h u sband ry o r c u l t iva t ion , b u t t he re wa s n o c oncre te e v idence f o r t he k ind s o f c l ima to log ica l f l uc tua t ion p o s i ted b y Ch i lde . On t he o the r h and , s im i la r t endenc ies t owa rd s r eadap ta t ion h ad b een o ccur r ing b e fo re t he e nd o f t he P le is tocene ( Bra idwood a nd Wi l ley 1 962 ) . B ra idwood p ropose s a s a n a l terna t ive t he t he s is t ha t c u l t iva t ion i s t he e xpected o u tcome o f al ong n a tu ra l d eve lopmen t ( a d i rec t iona l e vo lu t iona ry t r end )

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c on s tra ined i n i t s o ccu r rence b y t he p resence o f t he r i gh t k ind s o f p lan ts a nd a n ima l s ( 1 . e .i n t he " h i l ly f l anks " o ft he N ea r E a s te rn c ore a rea ) . F rom t here , i ts pread t o o ther a rea s i n E u rope a nd A s ia . The e nv i ronmen ta l d eterm in i s t t he me h ad o the r p rotagon is ts , s uch a s C la rk ( 1 932 ) a nd G imbu ta s ( 1956 ) e ven though t he re a re d if erences i n t he d eg ree t o wh ich t he s p read o f c u l t iva t ion a nd h u sbandry c an b e t i ed i n w i th c u l tu ra l d ifu s ion i sm ( c f . mo re r e cen t ly Ammerman a nd C ava l l i S forza 1 978 ) . The ma in a dvance s s eem t o b e i n t he c o l lect ion o fn ew d a ta , amo re a ccu ra te d a t ing o ft he p henomenon p er s e , a nd ar ef ine men t o f wha t i s mean t b y t he " Neo l i th ic R evo lu t ion " i n p rac t ica l t e rm s . Wi th B o serup ( 1965 ) , p opu la t ion p re s su re i si n troduced a s a n e x terna l " p r ime mover" t owa rds a g r icu l tu re . The i n troduc t ion l e ad s t o av io len t a rgumen t , wh ich s t i l l r ages i n many w ays t oday , b e tween t heo r ie s wh ich i nvoke " pu sh " ( s uch a s p opu la t ion p re ssu re , c f . C ohen 1 975 , 1 977 ) a nd t ho se wh ich i nvoke " pu l l " , s uch a s t e chno log ica l a dvances wh ich t r igger c hanges i n t he s ub s i s tence mode , t h rough l e a s t c o s t i nnova t ions , a nd t he refo re e ven tua l ly a l low a n i n crea se i nt he n umbe r o fp eop le wh ich c an d epend o n a c e r ta in amoun t o fl and f o rt he ir s ub s i s tence n eed s ( Green 1 980 ) . A s G reen ( 1980 ) a rgues , t h i s d eba te i sn o t t o b e r e so lved , a nd i t s ma jo r a dvan tage h a s b een t he i n troduc t ion a nd f u r ther e l abo ra t ion o fv a r iou s d e ta i led a rgumen ts , n o tab ly t he r e la t ion b e tween s eden t i sm a nd c u l t iva t ion ( e . g . H a r r i s 1 977 a s ar e su l t o f p opu la t ion -p re s su re " pu sh" d ue t o i n c rea sed d ependency o n s pec ia l i sed means o f s ubs is tence ) , o r b e tween a much w ider r ange o f v a r iab les , a nd a l ong s eve ra l p os s ib le t ra jec to r ies ( Redman 1 977 a s ar e su l t o f l e a s t -cos t " pu l l ") . C on tr ibu t ion s t o t h is d eba te h ave a l so f e l t t he i mpac t o ft he r e la t ive ly e a r ly a nd l e s s s imp l i s t ic a pp roaches o f B in fo rd ( 1968 ) a nd F lannery ( 1973 ) , e s sen t ia l ly b a sed o n s y s te m ic j uxtapos i t ion o f an umbe r o fv a r iab les , mov ing a way f r om d e term in i sm t owa rd s ap os i t ion i n wh ich mo re i mpor tance i sa t tached t o h uman c ho ice a nd i t se f ec ts . The f o r m er p laces t he t ran s i t ion t oc u l t iva t ion a nd h u sbandry i n amuch l onge rt ime p e rspect ive , a nd s t re sse s p oss ib i l i sm a so ppo sed t o d ete rm in i sm , a nd " . . in te rna l s t ructu ra l d if e rences i ni n teg ra t ion b e tween c o mmun i t ie s made u p o fn on -ana logou s c omponen ts i n tegra ted i n d if eren t ways" ( 1968 : 3 24 ) . Thu s , s t res ses b e tween t he amoun t o f f ood a va i lab le a nd t h e n umber o f p eop le d ependen t u pon i ta re r e so lved t h rough c u l tu ra l mean s ( i nc lud i ng d ec rea s ing p opu la t ion ) a t al e ve l b e low t he l e ve l o f d ep le t ion , s o t ha t t he re i sn o n eed f o r t echno log ica l i nnova t ion . The ma in v a r iab le wh ich B in fo rd n ew ly i n troduces i s t he e x is tence o f r eg iona l d if e rences i n d emog raph ic s t ruc ture w i th in t he a rea wh ich h e c on s ider s , t he N ea r E a s t . D if f e rences wh ich a re d ue t o ac o mb ina t ion o f e co log ica l a nd c u l tu ra l f ac tor s , a nd wh ich g ene ra te t h ree k inds o f s i tua t ion s ; c l osed r eg iona l s ys tem s ( whe re t he p re ssu re b u i ld s u p , a nd c u l tu ra l r egu la to rs a re d eve loped ) , o pen d ono r s ys t ems ( where em ig ra t ion r egu la te s p re ssu re a long s ide t he c u l tura l r egu la to r s , a nd wh ich a re o f ten h igh ly mob i le ) a nd o pen r e c ip ien t s ys te m s ( wh ich a dap ta t iona l modes f r om a d j a cen t o pen d onor s ys tem s may e xpand i n to a s f a r a s i ss u i tab le a nd where , t hen , s udden p re ssures f o r r egu la t ion a nd/o r i n c rea s ing ef i c iency o f p roduc t ion m igh t o ccu r . I n t he l a t ter , c hange s c ou ld t hus b e t r iggered . F lannery a ttemp t s ad e ta i led a nd i n p a r t c ompa ra t ive s tudy o f t he o r ig in s o f c u l t iva t ion a nd d ome s t ica t ion i nf our a rea s : t he N ea r E a s t , S ou thea s t A s ia , Me soame r ica a nd P eru ( 1973 ) . H is mod e ls a re d i rec t ly r e la ted t o t he a rea s c oncerned f o r t he s pec if i cs o ft he p rocess o f e ach c a se . I n g ene ra l t e rms , wha t i si nvo lved i se s sen t ia l ly a d ev ia t ion amp l if i ca t ion mode l wh ich c au ses a c hange i n t he means o f p roduct ion , t he d iv i s ion o f l abou r a nd s oc ia l s t ra t if i ca t ion a s ar e su l t o f t he i n terac t ion o f an umber o f e co log ica l a nd c u l tu ra l v a r iab le s .

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With R eed 's ( 1977 ) c on tr ibu t ion s umma r is ing ah e f ty v o lu me o fs pec ia l i s tr epor ts c oncern ing a l l a reas o f c u l t iva t ion a nd h usbandry , w e a re mos t a cu te ly a wa re t ha t t he p rob le m h a s , a s i tw ere , d ivers if ied i n to a l a rge n umber o f i s sues , e ach o f ad if eren t n a ture , wh ich Ic anno t s u mma r ise h ere d ue t o c ons t ra in ts o ft ime a nd s pace . Iw i l l e nd t h is s u mma ry w i th R indos ' r e cen t a nd e ncompa ss ing c on tr ibu t ion ( 1984 ) wh ich i s , a s f a r a s Iu nders tand i t , ap l ea f o r e vo lu t ion ism i n t he o r ig ina l Da r w in ian s ense , i .e . a n a ccumu la t ion o f l a rge n umber s o f d ec is ions , ma in ly s ho r t -term a nd u sua l ly u nconsc ious , i n teract ing w i th n on -human p rocesses . t he m se lves " s teer" t owa rds " Neo l i th isa t ion" .

N one o f t hese d id i n

Cu lt iva t ion a nd h usbandry w ere , r a ther ,

t he u np remed i ta ted a nd u npred ictab le o u tcome .

A s ar e su lt , t hey c an o n ly b e u nde r -

s tood ap os ter ior i o n t he b a s is o fs ta t is t ica l p rocesses o f many k ind s , b oth s t ocha s t ic a nd s equen t ia l , among t he m e co log ica l , e vo lut iona ry , a nd c u ltura l p rocesses . T heor i es o n t h e " U rban R evo lu t ion » I n Ch i lde 's o r ig ina l a rgu men t ( 1925 ) , t he r i se o f t he C i ty a nd t ha t o f t he S ta te i nt he N ea r E a st c o inc ide . A ma jor p rerequ is ite f o r t he " Urban R evo lu t ion" w a s t he f a ct t ha t t he p r ior i n troduct ion o f a gr icu l ture a l lowed f o r t he c rea t ion o f as u rp lu s i n f ood , wh ich i nt urn p erm itted s oc ie t ies t o s upport p eop le n o t a ct ive ly b usy i nf ood p roduct ion , s uch a s t he h i era rchy n ecessa ry t o k eep t he c i ty/sta te t ogether . Th is a rgumen t h a s b een s ever ly d amaged b y B oserup ( 1965 ) , C a rne i ro ( 1970 ) , a nd S ah l in s ( 1972 ) . Ano ther ma jor c orre la te i n Ch i lde 's t heor ies w a s ag rowth i n p opu la t ion d ens i ty . Th is s i de o f t he a rgumen t h a s b een e xpanded o n b y n umerou s o thers who e ach p ro p ose d if eren t r ea sons f o r t he i n crea se . Thus , Ca rne i ro p roposes e x terna l w arf ar e wh ich r equ ires e ver g row ing ma sses o f wa rr iors , a nd h ence e ver g row ing c oopera t ion a nd o r g an isa t ion . Ma ter ia l t races o f t hese d eve lopmen ts a re f ound i n a r t a nd i n t he d ef ences a round t he c i t ies . F lannery , h owever , p o in ts o u t t ha t t hese t races p os tda te t he e a r l ies t s ta te f o rma t ion ( 1972 ) . S im i la r ly , o thers a s sume i n ternec ine w arf ar e a s ap r ime mover , wh ich b egged f o r t he e s tab l i shmen t o f a u thor i ty ( Haa s 1 982 ) . Aga ins t b oth v a r ia t ions o n t he p opu la t ion g rowth/wa rfa re t heme , o ne may a dduce t ha t t here i s ac on s iderab le amoun t o f v a r ia t ion i n p opu la t ion d ens i t ies i n b o th c h iefdo ms a nd e a r ly s ta tes . Wr igh t a nd J ohnson ( 1975 ) e ven p ropose ap opu la t ion d ec l ine i mmed ia te ly p r ior t ot he f o rma t ebn o f t he s ta te . S tewa rd , Wittfoge l ( 1949 ; 1 957 ) a nd o thers p ropounded t ha t i r r iga t ion wa s t he t a sk wh ich p rov ided t he i mpetus f o r t he c oopera t ion o f l a rge b od ies o f p eop le wh ich i n t u rn l ed t o t he f o rma t ion o ft he S ta te . S anders a nd P r ice ( 1968 ) l a ter mod if i ed t h is t hes is a nd a pp l ied i tt o p a rts o f Mesoame r ica .

A n umber o f c a ses i sk nown , h owever , where

c en tra l c on tro l o ver wa ter d id n ot l e ad t o s ta te f o rma t ion o r u rban isa t ion , s uch a s o n B a l i . L ong -d i stance t rade h a s b een p roposed b y many , among o thers c o l lec ted b y S ab lof f a nd L amberg -Ka r lovsk i ( 1975 ) . The c on tro l o ver p res t ige g oods , a s o ne o f t he s i gn s o fp ower , c ou ld h ave b een a n a id t o t he r i se o f ar u l ing c l a ss , wh i le t he c oncom i tan t a dm in is tra t ive d u t ies m igh t h ave e l abora ted t he a dm in i s tra t ive s yste m a s s uch . Wr igh t , h owever , p o in ts t o a t l e a s t o ne c a se where t rade c ame a f ter " s ta te f o rma t ion " ( 1969 ) . A l l t he a bove a t temp ts h ave i n e s sence r e f e rred t o o ne " cause" f o r t he u rban r evo lut ion/sta te f o rma t ion . I n e s sence , t hese t heor ies w ere u sua l ly d eve loped b a sed o n o ne e xamp le , s uch a s t he N ea r E a st , o r Mesoamer ica ( and more r ecen t ly S ou thea st A s ia , c f . Hages te i jn 1 985 ) . C ompar ison o f d a ta sets i n d if eren t p a rts o f t he wor ld h a s l ed t o t heor ies wh ich i nvo lve s evera l " cau ses" o r v a r iab les .

These may t ake t wo f o rm s , i .e .

"mu l t i l inea r e vo lut ion" where d if eren t v a r iab les a re h e ld r e spon s ib le f o r t he s a me r e su l t , b u t i n d if eren t p laces/per iods , a nd " comb ined i n teract ion o f v a r iab les" .

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A g ood e xamp le o f t he f o rme r a pp roach a re b o th C ohen 's a nd C laes sen 's a p p roaches t o " Ea r ly S ta te F o rma t ion " . They e s sen t ia l ly s ketch v a r iou s s tage s o f s oc ia l d eve lopmen t wh ich s oc ie t ie s s e em t o h ave t o p a s s t h rough i n o rder t o r each t he l e ve l o f t he " S ta te " , b u t t he mechan ism wh ich c au se t he c hange s i nvo lved t oh appen a re l e f to pen , a nd v a ry f r om c a se t o c a se ( Cohen 1 978 , 1 981 ; C laes sen a nd S ka ln ik 1 978 , e tc . ) . The a pp roach i s ad i rec t a pp l ica t ion o f t he mo re g enera l mu l t i l inea r e vo lu t ion i s t a pp roaches o fS tewa rd ( 1955 ) , S erv ice ( 1971 , 1 975 ) a nd F r ied ( 1967 ) . Adam s ' ( 1966 ) v i ew o f E a r ly S ta te F o rma t ion i sa n e xamp le o f t he t heo ry t ha t many v a r iab le s c omb ine t o i n te rac t . H e c ompa res Mesoame r ica w i th t he N ea r E a s t a nd f i nd s i n b o th a n o ve ra l l s im i la r i ty i n d eve lopmen t , wh ich may b e r ep re sen ted a s as ucces s ion o f t h ree p ha se s , t heocra t ic , m i l i ta ry a nd p o l i t ica l . The l a rge n umbe r o f d if erences s eem s t o b e s a t i s fac tor i ly b rough t u nder t he se umbre l la s b y a s sum ing t he f o l low ing p roces s . V a r iou sf o rms o fs ub s i s tence ( he rd ing , c o l lect ing , i r r iga ted c u l t iva t ion ) l e d t o b o th i nc rea sed r ed i s tr ibu t ion a nd i nc rea sed d if erence s i n w ea l th , ma in ly b ecau se t he l a tter f o rm o f s ub s i s tence r e su l ted i n o ther p roduc ts a nd h igh c oncen tra t ions o f p roduce o n t he f e r t i le s o i l s . Wa rfa re l ed t o t he g ene s i s o f wa r lo rd s , a nd p rov ided s l ave l abou r . P a r t o f t h i s l abour a cce le ra ted t he t r end t owa rds c ra f t s pec ia l isa t ion , wh ich r equ i red e ven mo re r ed i s tr ibu t ion , a nd h ence managemen t . The g row ing d if eren t ia t ion i n w ea l th a nd t ha t b etween wa r lo rd s a nd " o rd ina ry" p eop le l ed t o s oc ia l s t ra t if ica t ion . A l l t he se p roces ses c onve rged o n " Sta te F o rma t ion" . R en f rew 's c on tr ibu t ion s h ave s t res sed t he f a c t t ha t many s ub sys te m s o f ac u l t u ra l s ystem may b e i n i ndependen t o pe ra t ion i n a mo re o r l e s s s tab le manner w i thou t g ene ra t ing a ny g row th i nc o mp lex i ty o ft he s ca le u sua l ly i mp l ied when w e s peak o f " Ea r ly S ta tes " . H e a rgue s t ha t " t akeof f " i sn o t g enera ted b y t he e x i s tence o fs uch s ub sys tem s i t se l f , b u t b y ap os i t ive f e edback i n terac t ion b etween t wo o r mo re o ft he s ub sys tem s c on c e rned ( 1972 ) . H i s c on t r ibu t ion i st hu s o ne o fl i f t ing t he d i scu ss ion t o ah igher l e ve l ( the n a tu re o ft he s ub sys tem s i n vo lved i sn o l onger ma ter ia l ) . H i s a rea o fs tudy , t he C yc lades i s land s , may b e i mpo r tan t i nt h i s r e spec t , b o th b ecau se t here i se xten s ive d ocumen ta t ion o n t he i n terac t ion i n i s land b iogeog raph ica l s ys tem s a nd b ecau se t hese i s lands a re n a t u ra l ly c onf ined s ys te m s i nt he s en se t ha t c ommun ica t ion o n t he m g oes o n a t ad if eren t r a te t han c ommun ica t ion b e tween t hem . Thus , w e s ee " takeof f " i n a n a rea w i th l im i ted p e rmeab i l i ty o fb ounda r ie s . Wr igh t a nd J ohnson d eve lop t he a rgumen t t ha t i nd iv idua l p eop le c an o n ly h an d l e ac er ta in amoun t o fi n fo rma t ion . I f , t he refo re , t he amoun t o fi n fo rma t ion wh ich f l ows t h rough t he s ys tem g rows , t ha t s oc ie ty mu st c rea te t he mo s t ef i c ien t p a thways t o c ope w i th t ha t g row ing amoun t o fi n forma t ion . Th is i sd one t h rough h o r izon ta l d if eren t ia t ion a nd v e rt ica l h i e ra rch i sa t ion . S pec ia l i sa t ion r educe s t he n umbe r o f p eop le i nvo lved i n a d ec i s ion . H iera rch isa t ion i n c rea ses t he l eng th o f c ommun ica t ion c hanne ls , b u t r educes t he amoun t o f i n forma t ion f l ow . The d if e rence b e tween s ta te s a nd o ther k inds o fs oc ia l o rgan isa t ion i si n t h is a pp roach t he n umber o f o rgan i sa t iona l l e ve l s i n t he g roup . The n a ture o ft he i n fo rma t ion p roces sed i so fl e s s r e levance (W r igh t 1 969 ; J ohnson 1 973 , 1 978 ; Wr igh t a nd J ohnson 1 975 ) . Wi th t h i s a pp roach , w e g o o ne s t ep f u r ther u p t he l adder o f g ene ra l i sa t ion , b ecause n o l onge r a re s pec if ic s ub sys tems c once rned , o r s pec if ic c omb ina t i on s o fs ub sys te m s . I nc rea s ing c omp lex i ty s eem s t o f o l low f r om i n crea se i n i n fo rma t ion , wha tever t he r ea son f o r t ha t i nc rea se i s . C ompar i son I n c ompa r ing t he se t heo r ies , wha t s e em s mo s t e s sen t ia l h a s b een s umma r i sed i n t he q uote o n t he t i t le p age o f t h is p ape r ; t he re i s ar e la t ion sh ip b e tween t he n a tu re o f t he t heor ies c once rned a nd t he amoun t o fi n fo rma t ion t ha t wa s a va i lab le when t hey w e re

2 21

c once ived . It h ink w e c ou ld d i s t ingu ish t he f o l low ing p ha ses , r e f err ing b etween b rackets t o t he d i scu ss ion i n t he l a s t s ec t ion : 1 .

S ea rch f o r o r ig in s : l o ca t ion o ft he b eg inn ings i n s pace a nd t ime ;

2 .

E xterna le xp lana t ion o ft he n ew p henomenon a si to ccu rs i no ne l o ca t ion ( f or e xamp le Ch i lde 1 925 ; B ra idwood 1 968 ; Ca rne iro 1 970 ) ;

3 .

G enera l isa t ion o f a n e xp lana t ion o ver s evera l o ccurrence s ( f or e xamp le Wi ttfo g e l 1 957 ) ;

4 .

D es ign o f a l terna t ive e xterna l e xp lana t ions , e ach r e la t ing t o t he ir o wn a spect o ft he d a ta , a nd o r ig ina l ly a pp l icab le t o o ne a rea , b u t e x tended t o o thers ( f or e xamp le t rade v s . wa rfare v s . p opu la t ion i n crea se , e t c . ) ;

5 .

I n troduct ion o f mu lt i l inea r e vo lu t ions ( des ign o f e x terna l e xp lana t ions wh ich a re c ons idered e qu iva len t p oss ib i l i t ies u nder o ne umb re l la ( f or e xamp le C a rne iro 1 973 ; C laessen 1 982 ) ;

6 .

I n troduct ion o f c l osed s ystem ic e xp lana t ion s f o r t he p ha se " before" a nd t he o ne " af ter" t he c hange , l e av ing t he a ctua l mechan ism o fc hange t o ac ons iderab le e x ten t i mp l ic i t ( f or e xamp le B inford 1 968 ) ;

7 .

I n troduct ion o f o pen s ys tem ic e xp lana t ion s wh ich i n corpora te e x terna l ly c aused c hanges ( f or e xamp le F lannery 1 973 ; R indos 1 984 ) ;

8 .

I n troduct ion o f morphogene t ic s ys te ms mode l l ing t o a ccoun t f o r c hange , wh ich i n c lude b o th e xterna l a nd i n terna l v a r iab les wh ich , i nc on junc t ion , a re h e ld r e spons ib le f o r c hange ( f or e xamp le F lannery 1 972 ; R enf rew 1 972 ) . There a re an umber o fa spec ts o ft h is p rocess wh ich b ea rf u r ther s c ru t iny . S uch a

s c ru t iny i sb es t o rgan ised a t t h ree l e ve l s , d i scuss ing ( a ) t he who le t ra jec tory a s d escr ibed i n s t eps 1t o 8 , ( b ) wha t h appen s , a s i tw ere " du r ing t he r i se a nd f a l l" o f as i ng le t heory , a nd ( c ) wha t makes u p i nd iv idua l d ec is ions . 1 . L ong -T erm C hange H ere , t he f o l low ing p o in ts s e em o f i mpor tance .

L ook ing f o r t he o r ig in s o f a

p heno menon s uch a s " cu lt iva t ion" o r " s ta tes" i s i n as en se a l so l ook ing f o r c l ear—cu t d ef in it ions , i .e . o f t he c a tegor ies " p re -cu lt iva t ion" a nd " cu lt iva t ion" , " pre -sta te" a nd " s ta te", e tc . When r ev iew ing t he r e sea rch o n t hese a nd s im i la r t op ics , i ta l so b ecomes c l ea r t ha t w ith a ni ncrea se i nt he amoun t o fi n forma t ion i nvo lved , a nd t hus i nt he n u mber o fd i mens ions i n wh ich i ti sa t te mp ted t o d ef ine t hese c a tegor ies , t he d ef in i t ions b ecome l e ss a nd l e ss c l ea r , a nd o ne f i nd s al a rge n umber o fp henomena a nd c onnect ions b etween t he m i n many d i mens ions i n i t s p lace .

R ecen t ly , F e inman a nd N e itze l ( 1984 ) f ound

t h is when t hey a t temp ted t o make a t ypo logy o f s eden ta ry p re -s ta te s oc ie t ie s i n t he Amer ica s . They f i nd t he d ivers i ty t o b e c on t inuous a nd many -d imens iona l , a nd w ithou t c l ea r s ub -types .

O 'Shea a t tempted t o make a t ypo logy o f t r ibes , a nd c onc luded t ha t

i t wa s p oss ib le t o d i s t ingu ish a nd d ef ine c l ear ly i n a ny o ne o f an umber o f d imen s ions , b u t i mposs ib le t o k eep c l a r i ty when more t han o ne d imens ion wa s i nvo lved a t at ime ( persona l c ommun ica t ion ) . S econd , t he r everse i sa l so t rue : t he c oncep ts w i th wh ich t he p henomena a re c onf ron ted a re i n crea s ing ly s oph is t ica ted , a re b e tter c i rcumscr ibed a nd r ef ined . I ti s my c on ten t ion t ha t t he i mpact o f an umber o f t he r e sea rches d one b y t hose p resen t wa s d i rec t ly r e la ted t o t he " f uzz iness" o f t he c oncep ts i n vo lved . A f ter a l l , w e d o n ot k now whe ther t he p eop le whose r ema ins w e s tudy d ef ined t he ir c oncep ts w ith a c l a r ity a nd i n c is iveness a k in t o o ur o wn .

And e ven i ft hey d id , t he c hances a re i nheren t ly sma l l

t ha t o ur c oncep ts t a l ly w i th t he irs . The more n a rrow ly d ef ined o urs a re , t he s ma l ler t he c hances t ha t w e c a tch o ne o f t he irs w ith o ne o fo urs .

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Th i rd , t he l a rge r n umbe r o f p henomena , a nd o f d imen s ions o f t he p rob le m i n v o lved r ef l ec ts t he i nc rea se i n i n forma t ion g a ined a s ar e su l t o f t he s ea rch , a nd when o ne ( i n tu i t ive ly ) c or re la te s t he v a r ious p ha se s o f t he p roce s s o f t heory f o rma t ion w i th t he amoun t o f i n forma t ion g a ined , t here s eems t o b e ap o s i t ive c o r re la t ion b e tween t he amoun t o f i n fo r ma t ion a nd t he s t ruc tu re o f t he t heo ry u sed ( c ompa re t he e f ec t o f t he u se o f n ew e qu ipmen t i n " ha rd s c ience") . Th is r e la t ion sh ip i sc l ea res t when o ne l ooks a t t he v ar iou s t heo r ies c on ce rned f r om t he p o in t o f v i ew o ft he i r e f ec t ivene ss i n s tor ing i n f o r ma t ion , i .e .i n t he amoun t o fr edundancy w i th wh ich t hey s t o re t he d a ta . The f i rs t , i n tu i t ive a nd v ague , e xp lana t ions ( "d if fus ion " e t c . ) d id n o t r ea l ly a ccoun t f o r a ny d a ta i n a" ha rd" w ay . The n ex t s e t t r ied t o " b ind " an umbe r o fo bserved c ha rac te r is t ic s o ft he t ran s i t ion t owa rd s c u l t iva t ion ( c .q . s ta tehood ) i n to a f r amewo rk . The ma in mechan i sm wh ich s ee m s t o b e i nvo lved i st ha t i tc os ts much l e ss memo ry s pace t o s tore a nd/o r ma n ipu la te o ne o r more t r an s fo rma t ion s ( such a s au n i l inea r o r a mu l t i l inea r c au sa l c ha in , o r t he d e s ign o f as ys tem ) , t he i n i t ia l s ta te (s ) ( s uch a s t he s i tua t ion b e fore t he o ccu rrence o fc u l t iva t ion ) a nd t he manner i n wh ich t o c a lcu la te t he o u tcome (s ) ( such a s t he r e su l t o f t he p roces s o f " neo l i th i sa t ion ") t han i td oe s t o s tore a l l t he p o ss ib le r e levan t i n i t ia l s ta tes a nd o u tcomes ( 1 . e .a l ls epa ra te r e levan t a spects o ft he s oc ie ty b efo re n eo l i th i sa t ion a nd a f ter , s uch a s t he i r modes o fs ub s is tence a nd s to rage , t he i r k ind s o f l i v ing q ua r ters , t he ir k insh ip s t ruc tu re s , t he i r e xchange mechan i sm , a nd l a s t b u t n ot l ea s t t he e xcep t i on s , e tc . ) . ( The s hock o fs udden ly s av ing memory s to rage s pace i s wha t w e e xper ience a s t he s a t is fac t ion o f a n e xp lana t ion . ) F ou r th , t h is r e la t ion sh ip t oo w o rks t wo w ays . The amoun t o f r edundancy ( the e f ec t ivenes s o f t he mode l ) i sp u shed u p a s mo re i n fo r ma t ion i sg a ined b u t e qua l ly , t he mo re e f ec t ive mode l s a l low o ne t o p roces s mo re i n forma t ion , s o t ha t ac hange t o a mo re e f ec t ive mode l e ven tua l ly a l so i n crea se s t he amoun t o fi n forma t ion i nvo lved . 2 . T he H i s tory o f aS ing l e T heory I n ar ecen t b ook , K eene a nd Moo re ( 1983 ) h ave a rgued t ha t t he re a re p ha ses t o b e d i s t ingu i shed i n t he l i f e -span o f a rch o log ica l mode ls . N o tab ly , It h ink o ne c ou ld s e e t he f o l low ing : ( 1 ) t he d i scovery o f an ew mode l , ( 2 ) t he q u ick s pread o f i t , wh ich p roceeds b y t e s t ing i t s v a l id i ty o n an umber o fp henomena a nd a rea s o fr e sea rch , ( 3 ) t he r ea l isa t ion t ha ti tf i ts f ewe rc a se st han a n t ic ipa ted , a nd i sl e s sp ower fu l lt han wa st hough t , ( 4 ) r ef in ing t he mode l a nd f ocu s s ing i to n t hose p henomena w i th wh ich i ts eems t o d ea l b e s t , ( 5 ) a ccep tance a nd u se o ft he mode l ,a lmos tw i thou ta ny f u r the rd oub t ,a s at ene tf o r t h e d eve lopmen t o ff u r the r mode l s , ( 6 ) g row ing d oub t a s t o whe the r t he mode l i si ndeed a s e f ect ive a s r equ ired a nd ( 7 ) r ep lacemen t o ft he mode l b y an ewer , more e ncompas s ing o ne . I n t he p roce s s , t he n a tu re o f t he r e sea rch c hanges .

G enera l ly , t he mode l w i l l

b e a rr ived a t i nduc t ive ly . Once i t e x is ts , mos t r e sea rch w i l l p roceed d educt ive ly i n a t temp t ing t o t e s t i t s a pp l icab i l i ty ( the " hammer p ha se " o f K eene a nd Moo re ) . . A s mo re d a ta a ccumu la te t ha t c annot f i t t he mode l , r e sea rch w i l l —aga in — r ever t more a nd more t o i nduc t ive a t temp t s , a nd t he c o l lec t ion o f more d a ta , i n o rder t o f i nd t he mode l 's s ucce s sor . 3 . T he H i s to ry o fI nd iv idua l D ec i s ions A ta ny mo men t , t he re i sa lways t he c ho ice h ow w ew i l ld ea lw i th n ew i n fo rma t ion . I n p r inc ip le , t ha t c ho ice i sa lways f r ee i n t he a cadem ic c ommun i ty ( i f w e b a r f o r t he momen t t he s oc ia l c ons tra in ts , wh ich Iw i l l r e in troduce i n amomen t i n ad if eren t g u i se ) . B u ti ti s ac o ro l la ry o ft h i ss i tua t ion ,t ha tt he c ho ice whe the rn ew ly d i scovered p henomena a re i ndeed u sed t o s uppo r t t he mode l ( "f i tted i n to i t ") i si n p a r t d ependen t o n t he p o in t o f t he c yc le where t he c on f ron ta t ion b etween mode l a nd p henomena o ccu rs . The re a re s t retches o ft ime when e ve ryth ing s eems t of i ti n to t he mode la lmos tw i thou ta ny p rob le m ,

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a nd t here a re momen ts when n o th ing s e em s t of i t , when w es ay t ha t t he f i e ld i s" i nc r is i s " , t ha t w e d on ' t k now wha tw e a re a l l a bou t . ( Soc ia l ly s peak ing , i ti si nt he f o rme rs i tua t ion t ha t t he " bo s ses " g row u p who d i c ta te r e sea rch a nd f und ing , b ecau se t hey h ave as t re tch o f" c lea rs a i l ing " a nd c an a ccumu la te p owe r , a nd i ti st he l a t ter s i tua t ion t ha tt he " r ebe l s " u nder take t o c hange t he s ys te m a f ter a c er ta in d e lay . ) " In c r is i s" n eed t he refore n o t b e d ef ined a s " overcome b y wha t h appen s a round u s" , b u t r a the r a s a" t e mpo ra ry l a ck o f s uf f i c ien t i n fo rma t ion p rocess ing c apac i ty ( 1 . e . s uf f i c ien t ly e f ec t ive mode l s ) t o d ea l w i th t he i n fo rma t ion wh ich n eeds t o b e d ea l t w i th i n o rder t o make t h ing s g o smoo th ly" . The i mpo r tance o ft h is r eve r se v i ewpo in t c an h a rd ly b e o ve r stre s sed i n t h is c on tex t , a s w i l l b ecome c l ea r i n t he n ex t p age s . Mo reover , i ti s t heo re t ica l ly p red ic tab le h ow t he d ec is ion w i l l g o . B u t wha t i sn o t p red ic tab le , i s wha t t he n ew mode l w i l l l ook l i ke o nce i t emerges f r om t he " c r is is" . T o s umma r ize , Ic an p robab ly p resen t t he f o l low ing s imp le s ta temen t : " The o ccur rence o f c hange i sd ependen t u pon t he s ta te o f t he b a lance b e tween t he amoun t o f i n fo r ma t ion wh ich n eed s t o b e p roces sed a nd t he o rgan isa t ion ( 1 . e . i n forma t ion p roces s ing c apac i ty ) wh ich i sa va i lab le t o d o t he p roces s ing" . I nf orma t ion P ro cess ing a nd S torage I nt h is c hap ter a nd t he n ex t , Iw ou ld l i ke t o g i ve t he a bove a rgumen t as o mewha t more s o l id b a s is b y e xam in ing h ow i tr e la te s t o ac u r ren t mode l o fp ercep t ion a nd c oncep t f o rma t ion . P ercep t ion may b e d ef ined a s t he a wa renes s o f u n ifo rm i ty ( s im i la r i ty , c on t inu i t y , h omogene i ty ) , a nd o fc on tra s t ( d i s s im i la r i ty , d i scon t inu i ty , h e terogene i ty ) . E v iden t ly , u n ifo rm i ty a nd c on tra s t a re r e la t ive t oo ne a no ther , a nd c an o n ly b ep erce ived i nc on junc t i on . B ecause t he t wo a re i n sepa rab le , h uman i n fo rma t ion—proces s ing a lways o pera tes o n t wo l e ve ls : t he l e ve l o fc on tex t wh ich s t resses t he u nde r ly ing s im i la r i t ies , a nd t he l e ve l o f s pec if i cs , wh ich s t res ses t he d i ss im i la r i t ies ( and i n t h i s Id if er f undamen ta l ly f r om t ho se who a rgue t ha t u n ive rsa l s s hou ld n o t b e ap ar t o fo u r i n te rpre ta t ion o f s pec if ic c u l tura l p henomena ) . T o g ive a n a rcha Bo log ica l e xamp le , c a tego r i sa t ion c an w ork a t t he l e ve l o f t he a r t ifac t c a tego ry , whe re s im i la r i t ie s b etween ,f o r e xamp le , p o ts o rh ou ses a re s t res sed , a nd a l so a t t he l e ve l o ft he t ype , where d i s s im i la r i t ie s b e tween d if e ren t k ind s o fp o ts o r h ou ses a re s t ressed . Thu s , " no c l a ss ( ca tego ry ) c an b e a me mber o fi t se l f o r o ft he c l a ss o fn onmember s " ( Ru sse l l 1 903 ; B a teson 1 972 ) . F o l low ing a r ange o f e xpe r imen ts , t he p sycho log i s t T ve r sk i a nd h i s a ssoc ia tes ( Tversk i 1 977 ; T ver sky a nd Ga t i 1 978 ; Kahnemann a nd T ver sky 1 982 ) h ave c onc luded t ha t : 1 .

S im i la r i ty a nd d i s s im i la r i ty s hou ld n o t b e t aken a s a b so lu te s .

2 .

C a tegor i sa t ion ( j udg ing i n wh ich c l a ss a p henomenon b e long s ) o ccur s b y c ompa r ing t he s ub jec t w i th a r e f eren t . G ene ra l ly , t he s ub jec t r e ce ives mo re a tten t ion t han t he r e f eren t .

3 .

J udgemen t i sd i rec t ly c ons tra ined b y ac on tex t ( t he o ther s ub jec ts o r o ther r e f eren ts s u rround ing t he o ne u nder c on s idera t ion ) .

4 .

J udgemen t o f s im i la r i ty o r o f d i s s im i la r i ty a re a l so c on s tra ined b y t he a im s o f t he c ompa r i son . F or e xamp le , s im i la r o dds may b e j udged f avou rab ly o r u n favourab ly d epend ing o n whether o ne i st o ld t ha t o ne may g a in o r l o se i n mak ing t he b e t .

On t he b a s is o f t he se c onc lus ions , Ih ave a rgued f o r t he f o l low ing mode l o f p e r c ep t ion ( c f . f i g . 1 ) :

24

a .

Af i r s t c ompa r i son a lways t akes p lace o u ts ide o fa ny a pp l icab le c on text , s o t ha t t here i sn o r e f eren t , n or a ny s pec if ic a im . Thu s , t he re i sn o s pec if ic b ias t owa rd s s im i la r i ty o r d i s s im i la r i ty . I ft he re i sa ny b ia s a t a l l , i ti sd ue t o i n tu i t ion o r t o wha t p eop le h ave l e a rned o n p a s t o cca s ions , wh ich h ave n o r ea l a pp l ica t ion t o t he c a se a t h and .

b .

Once a n i n i t ia l c ompa r i son h a s l ed t o t he e s tab l i shmen t o f ar e f e ren t ( a r e levan t c on tex t o r p a t te rn ing o f s im i la r i ty a nd d i s s im i la r i ty ) , t h i s c on text i st e s ted a ga in s t o ther p henomena t o e s tab l ish t he l im i ts o f i t s a pp l icab i l i ty . I n s uch t e s t ing , t he e s tab l ished p a tte rn i st he s ub jec t , a nd t he p henomena a re t he r e f e ren ts . There i s t here fore ( f o l low ing T ver sk i 's s e cond s ta temen t ) ad i s t inc t b ia s i nf avou r o fs im i la r i ty .

c .

Once t he c on tex t i sf i rm ly e s tab l i shed a nd n o l onge r s c ru t in i sed , n ew p henomena a re s ub jec ti nf u r the rc ompa r ison s , a nd t he c on tex ti st he r e f e ren t . Thu s , t he c ompa r i son s a re b ia sed t owa rd s t he i nd iv idua l i ty o ft he p henomena , a nd t owa rds d i s s im i la r i ty .

d .

Once a l a rge n umber o f p henomena h ave b een j udged i n t h i s way , t he i n i t ia l b ia s i s n eu tra l i sed , t he c on text i sn o l onger c on s idered r e levan t a t a l l , a nd t he c yc le s ta r ts a ga in , s o t ha t f u r ther c ompa r i son s l e ad t o e s tab l ish ing a no ther c on text .

e .

U l t ima te ly , t h is p roces s l e ads t ot he g roup ing o f al a rge s e t o fp henomena i n an umber o f c a tego r ies a t t he s ame l e ve l , wh ich a re g ene ra l ly mu tua l ly e xc lus ive ( e s tab l i sh ing d imen s ion s a nd c a tego r ie s a l ong t hem ) . A t ac e r ta in p o in t , t he n umber o fc a tego r ies i ss o l a rge t ha t t he s ame c ompa ra t ive p roces s b eg in s a ga in , a t ah igher l e ve l , wh ich t r ea ts t he g roups a s p henomena , a nd r e su l ts i nh igher l e ve l g ene ra l isa t ions ) .

T he C ogn i t ive F eedback C yc le , O p en a nd C losed C a tegor i es The c on t inuous t wo -way p roce ss b e tween i n fo rma t ion a nd i n fo r ma t ion -p roces s ing c apac i ty t herefore e n ta i l s af e eback c yc le , wh ich may b e t hough t o fa s t he f o l low ing . S uppo se o ne h a s ap rob lem .

B y p roces s ing i n fo rma t ion , a mode l g e ts d ev i sed

f o r s o lv ing i t . The mode l i sr e ta ined a f te r t he s o lu t ion h a s w o rked , a nd i st o b e u sed o n o ther p rob lem s . A s n o t wo p rob le m s a re e ver t he s ame , t he s o lu t ion w i l l o n ly p a r t ia l ly s o lve t he n ew p rob lem s . Th i s l e ad s t o f u r ther d eve lopmen t o f p rob lem -so lv ing ( i . e . i n fo r ma t ion -p roces s ing ) c apac i ty . A s t he p rob lem s o lv ing c apac i ty g rows , s o d oes t he s i ze o ft he p rob le m s t ack led . The i nc rea se i ni n fo r ma t ion p roces s ing c apac i ty i st he re fo re n on l inea r , b r ing ing mo re a nd mo re " b ra in s " t oge ther i n a n e ver f i ner t uned manner . The f e edback c yc le b ea r s s o me c l ose r s c ru t iny . The s e l f -reproduc t ion i nvo lved i s n ever e xact ly i den t ica l , b ecau se when t he f e edback c yc le r e -en ters t he p o in t o f c oncep t ua l i sa t ion , t he s ub jec t -re f e ren t b a lance h a s s l igh t ly c hanged f r om i t s o r ig ina l p os i t ion a t t he t ime o fi n i t ia l c oncep tua l isa t ion . ( Even i fh i s to ry r epea ts i t se lf , o ur p e rcep t ion o f i tn ever d oe s . ) The f i r s t r e -en try a f ter i n i t ia l c oncep tua l i sa t ion , f o r e xamp le , w i l l o n ly r eg i ster am in ima ls h if t , b ecau se ( a s w e h ave s een i nt he mode l o n T ve rsk i 's e xper imen ts ) t he s ub ject— re f eren t b a lance c au se s t he i n forma t ion—p roces s ing a ppa ra tus t o s t re ss s im i l a r i t ies r a ther h eav i ly . Wi th e ach s ub sequen t r e -en try , t he b ia s w i l l s h i f t al i t t le more t owa rd s ab a lance b e tween s im i la r i ty a nd d i s s im i la r i ty , t hough a s l ong a s s im i la r i ty i s d om inan t , t he i n forma t ion w i l l o u twa rd ly b e i d en t if i ed w i th t he o r ig ina l c a tegor i sa t ion . Once d i s s im i la r i ty i st he d om iman t mode o f i n fo rma t ion p roce s s ing , e ach r e -en t ry w i l l c ause i nc rea s ing d i s sa t i s fac t ion w i th t he o r ig ina l c oncep tua l i sa t ion , s o t ha t t he b a s is f o r t h i s c oncep tua l isa t ion w i l ls l ow ly b e wh i t t led a way . E ven tua l ly , t here c omes ap o in t when r e -en try r e su l ts i n ad if eren t c oncep tua l isa t ion . T hen s udden ly ( o r s o i ts eem s ) t he re i s aq ua l i ta t ive c hange . The d if e rence b e tween t he o ld a nd t he n ew i se xte rna l ised a f ter t he a c tua l c oncep tua l t r ans i t ion h a s t aken p lace , a nd when t he f ocu s i s —aga in — o n s im i la r i t ie s . A t t he l owe st l e ve ls uch ac hange man if e s ts i t se l f , f o re xamp le , a st he i n troduc t ion o f an ew c a tegory a long a p re -ex i st ing d imens ion . Bu t a t h igher l e ve ls , i t may e n ta i l

2 25

t he i n troduc t ion o f n ew d imen s ions , n ew mode l s o r e ven n ew p a rad igms , a l ongs ide t he e x i st ing o ne s o r i n s tead o f t hem ( c f . f i g . 2 ) . B a te son h a s a rgued h ow s tab i l i ty ( non l e a rn ing ) , c hange ( l ea rn ing ) a nd t he c hange o fc hange ( l ea rn ing h ow t o l e a rn ) a re n es ted more o r l e ss a long t he l i ne s p resen ted h e re ( 1972 ) . Once a n ew c ogn i t ive c a tego ry h a s d eve loped , t here w i l l b e t wo s uch c a tego r ies i n e x i s tence , a nd t he i n fo rma t ion—p roces s ing f r amewo rk w i l l e xpand . I n o the r w o rd s , t he " powe r o fr e so lu t ion" h a s b een i nc rea sed , a nd a no ther v a r iab le ( o r a no ther g roup o f v a r iab les ) h a s " sudden ly" b een c ogn ised , u sua l ly i n ad if eren t d imen s ion o fv a r iab i l i ty . Mo re i n fo rma t ion may t he refo re b e p roces sed s imu l taneou s ly . N ew c a tego r ie s d if e r f undamen ta l ly i ns ta tu s f r om o ld o ne s , a s t he o r ig ina l o nes h ave u nde rgone a c omp lete c yc le o f s ub jec t— ref eren t s h i f t , wh i le t he n ew o ne s h ave n o t . We m igh t s ay t ha t t he o r ig ina l o nes a re t ru ly " known " b ecau se w e k now t he p henomena wh ich w i l lb e long t oe ach o ne a sw e l la st ho se wh ich e ven tua l ly w i l ln o t . I nt he c a se o fn ew c a tegor ies , h owever , w e o n ly k now wha t m igh t b e long t o t he m ( and n o t wha t e ven tua l ly w i l l n o t ) b ecau se t he s ub jec t— re f eren t s h i f t i ss t i l l s t res s ing s im i la r i t ies . Thu s , t he p re e x i s t ing c a tegor ies a re s ha rp ly d ef ined ,b u t t he d ef in i t ion o ft he n ew o ne si sr a the r " f uzzy" , a nd w ea re s t i l l l e a rn ing t od ea lw i th t he m . One m igh ts ay t ha t n ew ly in i t ia ted c a tego r ies o r o ther p ercep tua l g ene ra l isa t ion s a re " open -ended " a nd p a rt ly -known , wherea s l ong u sed c a tego r ie s a re n o l onger " open -ended " b u t " c losed " . E xper ience h a s t augh t u s wha t b e long s i n t hem a nd wha t d oe s n o t . F igure 3 p re sen ts t he t ra jecto ry wh ich o rgan isa t ion f o l low s w i th a c on t inuou s ly i n crea s ing amoun t o f i n forma t ion f l ow . The g raph i s , f o r r ea sons wh ich b e b eyond t he s cope o ft h i s p ape r , e s sen t ia l ly t he s ame a s t he g raph s u sed b y P r igog ine i n h i s mon i to r i ng t he h i s tory o f " d is s ipa t ive s t ruc tu res " ( P r igog ine 1 978 , 1 981 ; v an d er L eeuw 1 982 ) . I t s ummar ize st he c on junc t ion o ft wo k inds o f" l ea rn ing" , " p rob lem s o lv ing" o r " behav iour " , 1 .e . ( 1 ) ap red ic tab le p rog re ss ion b a sed o n f u r ther d eve lopmen t o f a cknow ledged p r in c i p le s , a nd ( 2 ) s udden , a ppa ren t ly " i rra t iona l " d ec i s ion s t aken o u ts ide t he f r amewo rk o f t ho se p r inc ip les ( e . g . " random" b ehav iour ) . I t f o l lows f r om t he g raph t ha t i ti s p os s ib le t o p red ict ( a ctua l ly b y n on l inea r d ynam ic mode l l ing ) i n t heory w hen s udden j umps o ccu r , b u t n ever w ha t t hey w i l l b e . N o te a l so t ha t t he p roce sses t hu s mode l led a re e s sen t ia l ly i r reve rs ib le i n ad i rec t ion wh ich i st he r eve r se o ft he s e cond l aw o ft hermody n am ic s , a nd t he e nsu ing o rgan isa t ion i ss e lf -s truc tu red , i .e .i t s f o rm i ss e l f imposed a nd n o t ( en t i re ly ) d ependen t o n e x te rna l c ons tra in ts . I n t h i s i td if e rs f undamen ta l ly f r om a ny d e scr ip t ions o f t he f l ow o f e nergy o r ma t ter t h rough a n i nd iv idua l ( o r as oc ie ty ) . B ecau se t he l a t ter c ommod i t ie s a re s ub jec t t o t he l aw s o f c onse rva t ion , t hey a re a lways o rgan i sed e x terna l ly . I nf orma t ion F low a nd O r gan i sa t ion a t t h e L eve l o fS o c i e t i es I n tu i t ive ly , o ne w ou ld a ssume t ha t l e a rn ing a tt he l e ve l o f as oc ie ty w ou ld h ave t o b e mode l led i n t he s ame manner a s i nt he i nd iv idua l . A f te r a l l , t he s oc ie ty i s made u p o f t he i nd iv idua l s . A s w e w i l l s ee , t h is i st rue a t ac e r ta in l e ve l , b u t t he re a re c onsequences t o t he f a c t t ha t a t t h i s l e ve l w e a re t a lk ing a bou t a gg rega tes o f p eop le r a ther t han i nd iv idua ls . I th a s l ong b een a cknow ledged t ha t as oc iety c on ta ins f us iona ry a nd f i ss iona ry t endenc ies ( and i nd iv idua ls ) , i .e . ( g roup so f ) i nd iv idua l s who c on fo rm t ot he o rgan i sa t ion o ft he s oc ie ty ( i . e . wha t t he s oc ie ty h as c o l lec t ive ly l e a rned ) a nd o thers who d o n o t , a nd g o t he ir o wn w ay t o ag rea ter o r l e s se r d eg ree ( when t he d eg ree i st oo g rea t , t hey c ome i n to c onf l ic t w i th t he s oc iety a nd h ave t o l e ave o ne w ay o r a no ther ) . I n t he H i s tory o f S c ience , t he s a me i sa cknow ledged when Kuhn s peaks o ft he " e s sen t ia l t ens ion" b e tween c onform ism ( i n i n te l lec tua l " s choo l s") a nd i nnova t ion .

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We mu s t a s sume t ha t i nd iv idua l s h ave , a t l e a st a t c er ta in p ha ses i n t he ir l i ves , p re f erences f o r wha t w i l l h e re b e c a l led " s tocha s t ic" ( non -con form ing ) a nd " ca rte s ian " ( c onf orm ing t o t he l og ic o f t he s oc ie ty ) b ehav iou r . The t e rms c ome f r om a v e ry s t im u la t ing s tudy b y A l len a nd McG lade ( i n p re ss ) , u pon wh ich Id raw h eav i ly f o r p a r ts o f wha t f o l lows . A s oc iety w i th o n ly " s tocha s ts " w ou ld d evo lve i n to a na rchy , wherea s as oc ie ty w i th o n ly " ca r tes ian s " w ou ld s oon b ecome h omogenous , s o t ha t e xchange w ou ld dw ind le , a nd t he s oc iety w ou ld e qua l ly f a l l a pa r t . The i n te rac t ion ( i n forma t ion e xchange ) b e tween t h e t wo i st herefore a s e s sen t ia l a s t he i r c oex i s tence i n t he s oc ie ty , a nd i ti st ha t i n for ma t ion f l ow wh ich n eed s t o b e mon i to red a nd u nde rs tood , i fw e a re e ve r t o u nde r stand s oc ia l p roces s . Anyth ing a round u s i sp o ten t ia l mean ing , a nd t hu s p o ten t ia l ly s i gn if ican t f o r a g roup o fh umans . " Stocha s ts " w i l lh i to n many u nexpected t h ings , a nd t hu s p e rce ive al o t o f mean ing . They w i l l , h owever , a lways move o n , a nd n ever a ttemp t t o d o a nyth ing w i th t h i s i n fo rma t ion ( = d i scove red mean ing ) . A s oc iety wh ich c on s is ts o n ly o f " s tocha s ts" w i l l b u i ld a m in imum o f o rgan i sa t ion . Tha t i sl e f t t o t he " ca r tes ian s " . Bu t t hey h ave t h e n a tu ra l t endency t o s t ick w i th wha t t hey a l ready k now , a nd make t he mos t o ft ha t . A s mo s t s ou rces o f ma t ter a nd e nergy a re l im i ted , t hey w ou ld t end t o e xhau s t t he se , f o r e xamp le . A l so , t hey w ou ld p re f er aw o r ld wh ich c ou ld b e p ic tured i n am in ima l n umber o fd imen s ions . They r educe p lur ifo rm i ty . How w ou ld t he t wo i n terac t? The " s tocha s ts" w ou ld make ad i scovery ; t hen t he " ca r te s ian s" w ou ld j ump o n t he b andwagon a nd g o o n w i th a pp ly ing t he d i scovery , f o r al ong t ime . A l l t he wh i le t he r e sources i nvo lved , f o r e xamp le , w ou ld d im in i sh , a nd s o w ou ld t he y i e ld . B ecau se " ca r tes ians " , h owever , n eve r l ook a t wha t t hey d o n o t k now , t hey w ou ld f a i l t o n o t ice t ha t u n t i l t he v ery e nd wa s i n s i gh t . Then , t hey w ou ld b ecome d ependen t o n t he " s tocha s ts" a ga in t o f i nd t he m an ew s o meth ing t o e xp lo i t . The c u rve i se s sen t ia l ly t he s ame " b i fu rca t ion c u rve " a s s hown i n t he l a st s ec t ion . I ft he f l ow o fi n fo rma t ion b e tween " s tocha sts " a nd " ca rte s ians " w ere c on t inuou s , t he re w ou ld b e p lace f o r a t l e a st t wo ( e xt reme ) s t ra teg ie s , i .e . c o l labora t ion a nd c om p e t i t ion . T o b eg in w i th t he l a s t , a s s oon a s t he " ca r tes ian s" s t epped i n , t hey w ou ld b e s o much mo re e f ec t ive t ha t t he " s tocha s ts " w ou ld h ave t o p lay a t t he i r g ame , o r r un t he r i sk o f b e ing e l im ina ted , w i th p o ss ib ly d i sa s trou s r e su l ts f o r t he who le s oc ie ty , b ecau se a s s oon a s y ie ld s d im in i sh , t he " ca r tes ians " w ou ld b e l e f t d ry : t he s oc ie ty w ou ld h ave n o c apac i ty f o r a dap ta t ion l e f t . I f , o n t he o the r h and , t he " s tocha s t s" managed t o a vo id p a s s ing o n i n forma t ion t he " ca r te s ians " w ou ld n o t s tand a c hance , b ecause t he s tocha st ic s t ra tegy i se s sen t ia l ly ab e t ter l ong term s t ra tegy . S ome d eg ree o fc o l labo ra t ion , e ven i fs i len t ly a cknow ledg ing e ach o the r 's c on t r i b u t ion , i st he o n ly s t ra tegy wh ich m igh t w ork i n b o th t he s hort a nd t he l ong t e rm . Bu t e ven t hen , i te s sen t ia l ly w i l l d r ive t he s i tua t ion more a nd more o u t o fb a lance . The r a te a t wh ich t h is o ccurs d epends o n t he d eg ree t o wh ich t he " ca r te s ian " s t ra tegy p reva i ls . T he m in imum i sb es t i n t he l ong t e rm . T he F e edback C yc l e B e twe en O rgan i sa t ion a nd i t s Env i ronmen t I n t he f e edback c yc le o f a n i nd iv idua l 's l e a rn ing p roces ses , wh ich h a s b een d i s c u s sed e a r l ie r o n , i th a s b een made c l ea r t ha t t he s econd t ime a round t ha t ac a tegory i sc ogn ised , i ti sn eve r e xac t ly t he s ame . H ere , i ts eem s , t he r ecen t ly p opu la r i d ea s o f B ou rd ieu a nd G iddens f i t i n , s ta t ing t ha t f o r as oc ie ty a s a who le , " hab i tu s g enera tes b ehav iou r , b ehav iou r g enera tes c on tex t , a nd c on tex tg enera tes h ab i tu s " ( Bou rd ieu 1 979 ) . One o f t he ir i mp l ica t ion s i st he i n terac t ion b e tween a s oc ie ty a nd i t s ma ter ia l man i f es -

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t a t ion s ( ma ter ia l c u l ture , o rgan i sa t ion o f s pace , e t c . ) a nd a no ther t he c on t inu i ty a nd u n iquene ss o f e ach c u l tu ra l t rad i t ion , p o s s ib ly t o t he p o in t , a cco rd ing t o f o r e xamp le H odder ( 1982 ) , o f e xc lud ing c ompa ra t ive r e sea rch ( we h ave a l ready s een t ha t s uch r e s ea rch i sp o s s ib le , p rov ided o ne s t ep s al e ve l o f mode l l ing u p ) . At h ird ma jor c o r ro l la ry , h owever i st he f ac t t ha t ( a ) o rgan i sa t ion p lays i n to t he f l uc tua t ions o f t he e nv i ronmen t , n a tu ra l a nd c u l tu ra l , a nd o f ten amp l if i es t he m d ue t o t he a dap t ive d e lay i nheren t i n h uman i n fo rma t ion p rocess ing ( ad e lay wh ich v a r ie s w i th t he s i ze o ft he o rgan i sa t ion i n v o lved ) , a nd ( b ) t ha t e ven a f ter f e edback , t he r e spon se i sa lways ( t heore t ica l ly s peak ing ) l e s s t han e f ec t ive b ecau se t he r e spon se o n ly t akes i n to a ccoun t wha t w a s k nown , n o t wha t wa s u nknown a t t he t ime o f l e a rn ing . We w i l l r e tu rn t o t h i s l a st p o in t i n al a ter s e c t ion ; h ere Iw ou ld l i ke t o d evo te s o me mo re a t ten t ion t o t he d ev ia t ion s . F igure 4 p resen t s t he i n te rac t ion b e tween o rgan isa t ion a nd i t s ( r e levan t ) e nv i r onmen t i fw e a s sume c on t inuou s c hange o ft he e nv i ronmen t [ 1 . e .i fw e u se aN ew ton ian mode l o f c hange wh ich i sd e te rm in i s t a nd s o g ene ra l i sed t ha t i t s o wn i nheren t d ynam ic f l uctua t ions a re i gno red — wh ich i s mo re o r l e s s wha t w e h ave a lways d one i n s tudy ing p a st c hange — a nd i fw e i gno re t he f e edback b etween t he t wo f o r t he momen t ] . I n a s s e ss ing wha t h appenes f r om t he p o in t o fv i ew o ft he p a s t p opu la t ion , o ne h a s t o i mag ine o nese l fo n t he d i scon t inuous l i ne , whe rea sw e , a sa rch o log i s ts , h ave a lways a s sumed t ha t w e w e re o n t he c on t inuous o ne , a nd " even ts" o n t he o ther . ( Hence my e a r l ier r ema rks a bou t t he p er spec t ive o n ac r i s i s o r " r evo lu t ion " . ) When t he c hange i n t he e nv i ronmen t i si n terac t ive w i th t ha t o ft he o rgan i sa t ion , t he r ap id i ty w i th wh ich t he d i s tance b e tween e nv i ronmen t a nd o rgan isa t ion ( o r i n o ther w o rds p e rcep t ion o f t he e nv i ronmen t ) g rows i se ven much g rea ter . I t s e em s am irac le t ha t w e s tay i n t ouch w i th t he e nv ironmen t a t a l l . Tha t d i s tance i nd ica te s t he n eces s i ty o fs t ocha s t ic b ehav iou r i n r e la t ion t o t he s ta te o fp e rcep t ion a nd t he " age " o ft he e x tan t p a rad igm . S ome I mp l i ca t ions f or o ur Mode l l ing o fP as t P ro cesses I n t h is s ect ion , Iw i l l d i scus s s o me c hanges wh ich t h is p er spect ive i mp l ie s f o r o u r c oncep t ion o fv a r iou s p rocesses i nt he p a s t . N o t s o much t he e xac t n a tu re o ft he v a r iab les a nd t he ir i n teract ion s , b u t t he w ay " change o fc hange" p lays ap a r t i n t hem . I n o rder t o d o s o , Iw i l l r e f er t o f our k inds o fp roces ses , i .e . ( a ) v ery l ong t e rm p roces se s , e s sen t ia l ly o u r c oncep t ion o f c u l tu ra l e vo lu t ion , ( b ) med ium t e rm p rocesses , s uch a s t h e c hange f r om o ne ma jor o rgan isa t iona l mode t o a no ther ( i . e .t he t ran s i t ion t o c u l t iva t ion , o r t he t r an s i t ion t o s ta tehood ) , ( c ) s ho rt -te rm p roces ses s uch a s f l uc tua t ion s i n t he l a t te r , a nd ( d ) i n s tan taneou s p roces ses , i .e .h uman d ec i s ion - mak ing . P r io r t o t hose d i scus s ion s , h oweve r , o ne r ema rk , s umma r i sed i n aq uo te f r om A l len ( i n p res s ) : " S tab le o rgan isa t ion c an emerge a nd t empo ra l ly d om ina te t he u nde r ly i ng " chao s " , b u t e vo lu t ion t akes t he f o rm o f ad ia logue b etween t he mac ro scop ic f o rm s a nd f l ows t ha t e x i st a t a ny g i ven t ime , a nd t he m icro scop ic ( mo lecu la r ) l e ve l wh ich h a s t empo ra l ly c on sen ted t ot he ir e x is tence " . The f l uctua t ion s wh ich Iw i l l d i scu s ss epa ra te ly i nt he n ext f ew p ages a re a l l p resen t i nc on junc t ion a nd i ti si ndeed t ha t c on juc t ion wh ich i st o b e mode l led i fw e a re e ve r t o g et b eyond t he p resen t s ta te o f a rcha Bo log ica l mod e l l ing . I gno r ing t hese s ho r ter term a nd sma l le r amp l i tude f l uc tua t ion s i n f a vou r o f t he " smoo thed " l a rger o nes h a s l e d u s u p t he g a rden p a th where w e a re n ow ( no t o n ly a s a rcha ao log is ts ) . a .L ong -T erm P ro cesses : C u l tura l E vo lu t ion Wha t w ou ld t he l ong -term e f ect b e o ft he p roce sses o fe ver i n crea s ing c a tego r i s a t ion wh ich Ih ave o u t l ined? P resumab ly e ve r i n crea s ing r ef inemen t o f c a tego r ies , a nd mu l t ip l ica t ion o ft he s ame , a nd ( impo r tan t f o r a rch o log i s ts ) o ft he ma ter ia l r ep re sen ta -

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t i on s o ft he se c a tegor ies . C oncom i tan t ly , a ni nc rea se i nt he h i era rchy o fc oncep tua l l e ve l s a va i lab le t o h uman i n fo rma t ion p roce s s ing : i n crea se o fa b s trac t ion s a nd t he ir s cope . C onve r se ly , d ec rea se o f t he " f uzz ine ss " o f d ef in i t ions a nd c oncep ts . S uch a d e c r ea se i nf u zz ine ss i sa n i mpo r tan t e l emen t i nt he g row th o fi n forma t ion f l ow i n as oc ie ty . F uzzy c oncep ts a re r e la t ive ly e a sy t o t ran sm i t f a ce -to -face , b ecau se o ne h as many mean s a t o ne 's d i spo sa l , b u t d if i cu l t t o t ran sm i t o the rw ise ( th rough mes senger , o r p ic tog raph o r s y mbo l o rw r i t ing , e t c . ) . Thu s , t he d ecrea se i nf uzz ine ss a l low s t he i n crea se o ft he s i ze o ft he i n te rac t ion g roup , a s w e l l a s i t s c omp lex i ty a nd c oherence . E v iden t ly , t he i n c rea se i n s i ze o f t he i n terac t ion g roup i t se l f p u shes f o r mo re e f ec t iveness i n i n forma t ion p roces s ing . I n t h i s c on tex t , i ti s i mpo r tan t t o r emember t ha t w i th a l i nea r i ncrea se i n p opu la t ion o f a n i n te rac t ive g roup , o ther t h ing s e qua l , t he n umbe r o fi n teract ion s g oe s u p e xponen t ia l ly ( c f . J ohn son 1 978 ) . Th is r equ i res e ver b e t ter s i gna ls , a nd e ver l e s s n o i se i nt he c hanne l s . B igge r p rob le m s a nd b ette r s o lu t ion s . I n t ha t r e spec t , t he d eve lomen t a s e nv isaged h e re a l so p u shes t he m ix o f t he s oc ie ty t owa rd s t he c a r te s ian s i de . S tocha s t ic s i gna l s a re e s sen t ia l ly n o ise . The l a rger t he i n terac t ive g roup , t he mo re i mpo r tan t i si tt ha t e veryone c on fo rm s t o c a r tes ian r u les . Tha t i ni t se l fp u shes t he s y s te m i n to e ve r i n crea s ing i n s tab i l i ty i nt he r e la t ion t o i t s e nv i r onmen t . On ly t he a dm i s s ion o f mo re n o ise i n t he c hanne l s , a nd t hus o f mo re c onf l ict i n t he s oc iety , w ou ld c oun te ra ct t ha t t endency a nd r educe t he s oc iety 's c ohes ion ( e ven tua l ly t o a na rchy/en tropy ) . I n s umma ry , c u l tu ra l e vo lu t ion c ou ld b e s een a s f o l lows : " Evo lu t ion i s ac hange f r om a n o -how i sh , u n ta lkabou teb le a l la l ikenes s t o as o mehow i sh a nd i n g ene ra l t a lk a bou tab le n o t -a l l -a l ikene ss b y c on t inou s s t ick toge thernes s a nd s o me th inge l se if ica t ion s" ( Jones , q uo ted i n McGu i re 1 984 : 9 1 ) . L ook ing v ery b r ief ly a t t he e v idence f o r l ong -term e vo lu t ion o f s oc ie t ies wh ich w e h ave , i ti si ndeed t emp t ing t o s e e d eve lopmen ts s i nce t he L owe r P a l o l i th ic a s a n i n c rea se i n c i rcumsc r ip t ion ( i n as oc ia l s en se , a s w e l l a s i n t he d egree o f d ef in i t ion o f a r te fac ts , c f . Gamb le 1 986 ) , ad ecrea se i n s tocha s t ic i ty ( f rom r andom ly r oam ing h un te rs i n al and scape v i rtua l ly d evo id o fo ther h uman s t o s pa t ia l c i rcum sc r ip t ion a nd e ven tua l ly s eden ta t ion , i n c rea se i n p opu la t ion a nd e xp lo i ta t ion o f af i xed s e t o f r e sources ) , i n crea s i ng d ependency o n c ommun ica t ions ( and c oncom i tan t ly i n crea se s i n f o rm s o f s y mbo l ing b ehav iou r , s uch a s a rt ) ( van d er L eeuw 1 986 ) . One o f t he c on sequences o f t h is a pproach i s t ha t i n mode l l ing c hange i n t he mo re d i s tan t p a s t , w e h ave t o a sk q ue s t ion s a nd u se c oncep ts w i th i ncrea s ing d eg rees o f f uzz iness . Ano the r c on sequence r e la tes t o t he f ac t t ha t w e h ave a lways i n c luded a n o p t im i sa t ion h ypo thes i s i n o u r mode l l ing o f ( b io log ica l a nd ) c u l tu ra l e vo lu t ion . I n a r e cen t p ape r , A l len a nd McG lade h ave p o in ted o u t t ha t s uch i s i mpo ss ib le , b ecau se o p t im i s ing b ehav iou r i sa lways r e la t ive , i nr e la t ion t o o the r s o lu t ion s . I n r e la t ion t o w ha t a c tua l ly , f o l low ing o u r a pp roach , i sn o t k nown t o t he p erson who p re sumab ly d oes t he o p t im i s ing ( c f . A l len a nd McG lade , i n p res s ) . R a ther , w e c an o n ly u se t he h ypo thes is t ha t p eop le d id wha t s e em ed a dequa te i n t he i r m ind s . I n away , w e h ave h ere t he r e tu rn o f t he s ub s tan t iv is t d eba te [ " fuzz ines s " i s v e ry c l o se t o " e mbeddedness" , i ndeed o ne c ou ld a rgue t hey a re t he s a me t h ing ( van d e r L eeuw 1 984 ) ] . No th ing d emon s tra tes t h is " adequacy h ypo thes i s" b e t ter t ha t S ah l ins ' i nd ica t ions o n l e isure t ime among h un te r g a therers ( 1972 ) . b . Med ium -T erm P roc es ses : T rans i t ion B e tween O r gan i sa t iona l Modes I f , i nt he l a s t p a rag raph s , w e h ave l ooked a t a n " i roned -ou t" v e rs ion o fe vo lu t ion , a t t h i s l e ve l w e a re c once rned w i th t he f l uc tua t ion s i n t he p roce s s j us t d e scr ibed : t he ma jo r c hanges wh ich t he h i s tory o f mank ind h a su ndergone , s uch a s t he t wo " r evo lu t ion s"

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wh ich t h is s y mpos ium i sa l l a bou t . Iw i l l t herefore d i scuss wha t g oes o n a t t h i s l e ve l i n s o mewha t more d eta i l . The f o l low ing p o in ts s eem t o r equ ire mak ing .

F i rs t , t ha t a s s oon a s w e a re

d i scuss ing p rocesses a t t h is l e ve l , w e a re n o l onger c oncerned w i th " change o fc hange" a t t he c u ltura l l e ve l , b ecause w e a re e s sen t ia l ly d i scuss ing t he r i se a nd f a l l o f as i ng le mode o fo rgan isa t ion . We a re t herefore l e ss c oncerned w i th g enera l it ies t han w i th t he s pec if i cs o ft he s t ruc tur ing t o b e mode l led . S econd , t ha t d oes n o t i mp ly t ha t t he m icro -sca le p rocesses wh ich Ih ave s um ma r ised i n t he l a st s ect ion i n ag enera l d escr ip t ion o f " evo lut ion " a re n ot a t w ork a t t h is l e ve l . I ndeed , t he t ran s i t ion b e tween o rgan isa t iona l modes i si n t he e nd o n ly e xp l icab le b y a ssu m ing t ha t i td oes , b ut t he p rec ise e f ect i n q ua l i ta t ive t e rm s o f t he n a rrow ing o f c a tegor ies i su npred ictab le , a nd c an t herefore n o t b e i n c luded . T hi rd , t here i sn o k ind o f mode l l ing wh ich d oes i n a ny way e nab le u s t o p red ic t a ny p rocesses o r p heno mena . i t ies .

A t mos t , mode l l ing a t t h is l e ve l may e luc ida te p oss ib i l -

A s w e h ave s een , t he s ys te m may f o r t heoret ica l r ea sons n ever h ope t o a ch ieve

c l ose e nough c orrespondence b e tween wha t c an b e k nown a nd wha t o ugh t t o b e k nown t o e nab le f u l l p red ict ion ( e ven i fl o g ica l ly s t ruc tured a l ong t he s a me l i nes , e xp lana t ion a nd p red ict ion c an n ever b e t he s a me b ecause t he s t a tus o f t he c ogn ised c oncep ts i n b o th d if ers . E xp lana t ion w orks w i th a p os ter ior i ( and h ence " c losed") c oncepts , a nd p red ic t ion w i th ap r ior i ( and h ence " open " o nes ) . The a ctua l mode l l ing p roposed i sd ynam ic a nd n on l inea r . A l len a nd McG lade g ive a v ery e n l igh ten ing e xamp le o fs uch mode l l ing i n r e la t ion t o f i sher ies ( 1986 ) , wh ich h igh l igh ts s o me c r it ica l a spec ts . F ir s t ly , t ha t i no rder t o b e e f ect ive , mode l l ing o fh uman s yste m s c anno t b e d one o n t he b a s is o fd eter m in is t ic g enera l isa t ions a bou t wha t h appens a t l ower l e ve ls .

S uch d eterm in is t ic mode l l ing i sp a r t o f t he t rad it ion i n a rch&o logy t o

l ook f o r s im i la r it ies r a ther t han c on tra s ts . A t rad i t ion wh ich , a t e ach s t ep , r educes t he d imens ion s o f v a r iab i l ity c ons idered , a nd t hu s b r ings u s f ur ther f r om r ea l ity w ith e ach s uch s t ep . Ra ther , w e s hou ld move t owa rds t he s tudy o f c on tra s ts , o pen u p more a nd more d i mens ion s o f v a r iab i l ity , a nd mode l t he ir i n terac t ion d ynam ica l ly . I n A l len a nd McG lade 's f i sher ies mode l ,f o re xamp le , t he c ruc ia l i n teract ion i sb etween t he f l uctua t ion s i nt he f i sh d emography a nd t he h uman r eac t ion t o t hese , i nt hem se lves m inor , o sc i l la t ion s wh ich h ave a p er iod ic ity o fa bou t f our y ea rs . The d ev ia t ion amp l if i ca t ion b etween t hese t wo f l uctua t ions i s wha t k eeps t he f i sher ies s ys tem i n o sc i l la t ion , a nd b r ings i tf urther a nd f u rther f r om e qu i l ibr ium r a ther t han a l low ing i tt o d ampen d own ( c f . f i g 5 ) . The mode l l ing a s p roposed b y A l len a nd McG lade a t rr ibu tes t o " chance" t he d i scovery b y t he s yste m , a f ter s imu la ted r unn ing o f 1 000 ( ! ) y ea rs , o f as econd " l oca l " m in imum i n wh ich i tt hen p roceed s t o s pend much t ime , ( and wh ich wa s u n traceab le i n ad eter m in is t ic mode l l ing o ft he s a me v a r iab les ) . I n t he a pp roach s ketched i n t h is p aper , Id o t h ink w e c an d o b etter t han " chance" b ecause o ft he e vo lu t iona ry f r amework . A l len a nd McG lade s how c l ea r ly , h ow t he r ap id i ty o f t he r a te o fr e spon se o f e for t t o r e turn i s c ruc ia l i n d eter m in ing t he r ange o f d if eren t s o lut ions f ound b y t he s ys tem . An i ncrea se o f t ha t r ap id i ty d r ives t he s ys te m t o aw ider r ange o f r e sponses ( s ee f i g . 6 ) . Now , t he r ap id i ty o ft he r a te o fr e sponse o fe fort t o r e turn i st i ed i n to t he o rgan isa t iona l c oherence o ft he f ramework wh ich c r ea tes t ha t r e spon se . A s w e h ave s een , t ha t c oherence i sb ound t o i n crea se w i th t he t ime i n wh ich t he s ys te m f unc t ions i n a ny o rgan isa t iona l mode ( c f . t he b i furca t ion c u rves o f f i g . 3 ) . Thus , a ny s ys tem w i l l o f n ecess i ty c hange f r om a n ea r -deter m in is t ic o ne t o o ne v ery f a r f r om b e ing d e term in ist ic ( f ro m f i g . 6at h rough bt o c ) .

I n o ther w ords , i ti si nheren t i n a ny s ys tem s ta te t ha t i td igs i t s o wn g rave ,

o sc i l la t ing h eav ier a nd h eav ier , o ver a w ide r p o lyd imens iona l s pace , u n t i l i t s udden ly h i ts a nother l o ca l m in imu m . Then , v ery r ap id ly , t he v a lues i nvo lved c hange ( such a s t he

2 30

c u l tu ra l v a lues o r , i n A l len a nd McG lade 's c a se , t he p r ice a nd t he s pec ies o ff i sh c augh t ) , o n ly i n o rder t o s e t an ew c yc le mov ing . I n a ctua l f act , i t mu st b e p os s ib le t o c a lcu la te t he p robab i l i ty o f d ra st ic c hange i n t he s ys tem ( i ts f i nd ing a n ew l o ca l m in imum f r om t he s i ze a nd f r equency o f t he o sc i l la t ions ) . B efore Ig o o nt o d i scuss t hose , i nt he n ext s ect ion , Iwou ld l i ke t o empha s ise t ha t n o tw i ths tand ing t he l im i ta t ion s o ft he " p red ict ive v a lue" o f mode ls o ft h is k ind , t hey a re e xtreme ly p owerfu l t oo ls i n l e a rn ing w ha t m igh t h ave g one o n ( r a ther t ha t " wha t w en t o n ") . The ir p ower d er ives i np a rt f r om t he f a c t t ha t t he o p t ions n o t c hosen b y t he s ystem may b e s c ru t in ised , s o t ha t w e may l e a rn mo re a bout t ha t v agues t o f a l l a rch o log ica l c oncep ts : " t rad i t ion" . L as t o f a l l , i ts eems t ha t t hrough t h is k ind o f mode l l ing , t he t wo ma jor a rea s o f p re sen t -day r e sea rch , d evo ted t o r e spect ive ly t he o pera t ion o ft he s ystem a nd t he c on tex t a nd s y mbo l ing i n wh ich i tf unc t ions , m igh t b e b rough t c l oser t oge ther . c . T he T h ird L eve l : O sc i l la t ions W i th in a n O r gan i sa t iona l S tage

J . A l len ( 1984 ) p resen ts u s w i th a b eau t ifu l s tudy o f s ys te m o sc i l la t ion a nd d ivers if ica t ion i n h i s s tudy o ft he p o t tery t rade f r o m Mo tu o n t he S ou th C oa s t o fP apua N ew Gu inea .

The c urve h e u ses i s p resen ted i n f i g . 7 .

Wha t w e s ee i s ap arabo l ic

r i se , t hen a v i r tua l ly s t ra igh t c ra sh t o al e ve l o fo rgan i sa t ion j us t a bove t ha t a t w h ich t h e s y s tem ' s s t ud ied t r aj ec tory s t ar ted , a nd t he a nother p a rabo l ic r i se t o j us t a bove t h e l a s t p eak . Connect ing b o th t he p eaks a nd t he t r oughs wou ld i n i t se lf g i ve t wo i n teres t ing c urves , i .e .o f t he i ncrea se i n o sc i l la t ion , r e spec t ive ly t he i ncrea se i n o rgan i sa t iona l g a in o ft he s ys te m . H is i n tu i t ive i n terp re ta t ion ( 1984 ) i st ha t t he c ra she s a re d ue t o t he f act t ha t ag enera t ion o f men i nvests much i n t he c on tro l o f t he s ys tem , a nd k eep s d o ing t h ings a c erta in way . A s o thers , n o t i n c on tro l , a dap t t o t he way t h ings a re r un , t he o rgan isa t iona l a dvan tage i sl o s t , a nd t he s ystem h a s e i ther t o c hange o r c ra shes . C lear ly , t h i s i n terpreta t ion f i ts a tt h e l e ve l o fo bservab l e a n thropo log i ca l a nd a rcheo log ica l d a ta t he k inds o fs ys tem o sc i l la t ions w e h ave b een d i scu ss ing . Bu t a pa rt f r om t he " v is ib i l i ty" o ft he p rocesses a t t h is l e ve l , t here a re an u mber o f i n teres t ing q uest ions . F irs t , wha t i st he f i e ld o f t ens ion i n p ercep t ion wh ich c auses t hese o sc i l la t ion s t o h appen? R ef er r ing b ack t o a n e a r l ier s ect ion , Iw ou ld v en tu re t ha t i t i st he i ncrea s ing t ens ion b e tween t he p e rce ived w or ld ( o r i no ther w ords , t he o rgan isa t ion wh ich a g roup h a s a ch ieved i n o rder t o d ea l w i th t he e nv iron men t ) a nd t he e nv i ron men t i t se lf ( wh ich c hanges a s ar e su lt o ft he o rgan isa t ion w i th wh ich i ta rt icu la tes ) . Another i n teres t ing a spec t o f t hese d a ta i st he r eg iona l i sa t ion wh ich o ccu rs t o w a rds t he e nd o ft he t ra jectory . S uch r eg iona l isa t ion h a s b een o b se rved t o o ccu r t owa rds t he e nd o f as ys te m 's t ra jec tory i no ne o rgan isa t iona l mode i n q u ite an u mber o fc a ses , i n v a r iou s p reh is tor ic p er iod a nd a rea s ( e . g . B rad ley 1 984 ) , a nd w i th d if eren t i n terpre ta t i on s . I n o ne s ense , i tc ou ld b e s een a s ar e su l t o fh ypercoherence o ft he s ys tem , i .e . t oo h eavy a n i n forma t ion l oad t o p rocess b y t he " c en tra l" r egu la tor , s o t ha t d ecen tra l isa t ion i sn eeded ( c f . F lannery 1 972 ) . I n t he t e rm s p roposed h ere , t ha t m igh t b e r ephra sed a s f o l lows : a s r e sponse t ime ( s ee l a s t s e ct ion ) i n crea ses , w e h ave s een t ha t t he s yste m b eg in s t o c over a w ider r ange o fp ermuta t ion s v ery q u ick ly ( the a rea i n mu lt id i mens iona l s pace i to ccup ies i n crea ses r ap id ly ) . These w i l l e f ec t t he e nv ironmen t d if eren t ly i n d if eren t d imens ions . A s t he e nv iron men t i t se lf i si nhomogeneou s , t he v a r ious " so lut ions" w i l l " take" t o d if eren t d eg ree s i n d if eren t d imens ions [ a nd o ne o f t he r e su lts i st ha t t he s ystem , i n t h is way , d icovers " new" d imens ions i n wh ich i tm igh t t akes o f , t o t he e f ect t ha t at ota l ly n ew o rgan i sa t iona l mode i sr ea l ised ( pa rad igm c hange ) ] . I n " r ea l " s pace , t he i nhomogene it ies o ft he e nv ironmen t a re r eg iona l ly d eter m ined , a nd " r eg iona l isa t ion" o ccurs .

2 31

Ano ther i n te res t ing q ues t ion a t t h is l e ve l i s mo re s ub stan t ive : wh ich f e a ture s o f t he i n for ma t ion p rocess ing o rgan i sa t ion a re r e ta ined d u r ing a " c ra sh", wh ich a re r e jec ted , a nd ( poss ib ly ) wh ich a re t ransformed? I st he a n swer d ependen t o n t he f r equency o fu se , maybe? O r o n t he " c en tra l ity" o f t he c a tegory t o t he t rad it ion a s a who le? O r o n i t s e f ec t iveness i n c ommun ica t ion? O r o n t he e nergy i nves ted? O r i st he a nswer n ot t o b e g i ven i n s ubs tan t ive t e rms?

H ere , c on textua l a nd s y mbo l ic q ue st ions c ou ld p resen t u s

w i th o ne k ind o f a n swer , b ut maybe t here a re o thers , t oo . d . T he I ns tan taneous L eve l : t h e D ec i s ion Ih ave i nc luded t h is l e ve l ma in ly t o p o in t o u t t ha t t here a re a l so i mp l ica t ions o f o ur a pproach a t t h is l e ve l o f t he i nd iv idua l d ec is ion . I t , t oo , f unc t ions i n ac on tex t a nd i t , t oo , i sd ependen t o n t he s ta te o f t he b i furca t ion c urve . Bu t t o g o i n to t ha t a t t h is p o in t wou ld e xceed t he p hys ica l l im i ta t ions o ft h is p aper ( bu t s ee v an d e r L eeuw , i n p ress ) . C onc lus ion Ra ther t han e nd w i th a s umm ing u p o f an umber o f p ages wh ich r ef l ec t a n o u t look , r a ther t han d a ta o r s pec if i c i dea s o r o therw ise s u mma tab le t h ings , Iw ou ld l i ke t o p o in t a t o ne f ur ther i mp l ica t ion o fa l l t h i s , a nd s o c ome b ack t o where w e s t a rted , t he H is tory o f A rcha eo logy . C lea r ly , w e a re i nvo lved i n t he t ra jec tory o f t he h uman s ys tem i n t wo momen ts i n t ime , t hose s tud ied , a nd t he o ne w e l i ve i n . Th is p aper h a s s hown y et a ga in h ow d if i cu l t i ti s t o c onnec t t hese momen ts . P rob lems o fd if eren t d egrees o f " f uzz iness" o fc oncep t d ef in it ion , t he p robab i l i st ic n a tu re o ft he a pproach , t he many l e ve ls o fo sc i l la t ion s , t he t heo ret ica l i mposs ib i l i ty e ver t o k now t ha t wha t i ti se s sen t ia l t o k now t o mon i tor t he s ys te m 's t ra jec tory a ccura te ly . . . And y e t t here i so ne more p rob le m , t ha t i st he p a s t t ra jec tory o ft he s ys te m o fa rch o log is ts . We t end t o , t hese d ays , t r ea t o ur q ues t ions a nd a n swe rs , o ur d a ta se ts a s " neogene" , b u t t hey a re n o t . We a re i r revocab ly b ound i n o ur a nswers b y e a r l ier c oncep tua l isa t ions , b y t he h i s tory o f r e search i n a ny p a rt icu la r a rea . Th is r equ ires u s t o a dop t a more modes t a pproach , a nd a t t he s ame t ime , at echn ique o f s l ow ly u n tang l ing wha t i n ad a tase t i s p a st h i s tory , wha t i sh i s tory o f r e sea rch , a nd wha t i su sab le i n b o th .

H is to r ian s h ave

d one t h is s i nce t he l a s t c en tury . . . A cknow ledgemen ts Th is p aper i s , a s a ny o the r , i ndeb ted t o many . F irs t t he " grandes" wh ich Ih ave o n ly me t t h rough t he ir w r i t ings , s uch a s Ch i lde i n whose h onou r w e a re h ere g a thered . N ex t , t o an umber o fc o l leagues o f more o r l e ss my o wn g enera t ion , o f whom Is pec if i ca l ly wan t t o men t ion Roe l B rand t , B er t V oorr ip s , H enry Wr igh t , G regory J ohn son , C o l in R enf rew , I an H odder , P eter A l len , R icha rd B rad ley , C l ive Gamb le , a nd M ike J och im ( i n o rder o f a ppea rance ) , t o whom Io we v a r ious i n teres t ing i dea s o r c r it ica l r emarks . L a st , t here a re s o me o f my s tuden ts , I neke Abb ink , L inda Therkorn a nd Wi l le m J an H ogest i jn .

2 32

LEVEL SUBJECT

S IMILARITY

of

CONTEXT

( similarities)

REFERENT

D ISSIMILARITY

a

S TRESSED

STRESSED

LEVEL

N r

of

PHENOMENA

( dissimilarities)

REFERENT

SUBJECT

F igure 1 . S chema t ic r epresenta t ion o f c a tegor i sa t ion /conceptua l i sa t ion b a sed o n i n teract ion b etween t wo l e ve l s o f c ogn i t ion ,

f o l low ing t he p recept s o fT ver sk i a nd Ga t i , 1 9 ( i l l , a f ter v an d er L eew ,

1 981) . I n t he i n i t ia l p ha se , t he l e ve l o fc on tex t i st he s ub ject o f t e st ing a ga inst t he p henomena , a nd s im i la r it ie s a r e a ccord ing ly s t res sed , b ia s ing t he c ompa r i son t owa rd s v a l ida t ion o f t he c oncept .

A s l ow s h if t e ventua l ly o ccur s t oward s t e s t ing t he p henomena a ga ins t t he ( a ccepted )

c oncept .

Th is e nta i l s as h if t t owa rds d i s s im i la r i ty a nd d e l im i t ing t he b ounda r ies o f t he c oncept

( i .e . c rea t ion o f a' c losed ' c a tegory ) .

GROWTH OF COMPLEXITY HYPOTHESIS

SECOND LEVEL CONTEXT

POPULATION GROWTH

INFORMATION

TRADE

SOCIAL STRATIFI—

WARFARE

FIRST LEVEL

HYPOTHESIS

FLOW

H YPOTHESIS

CATION

HYPOTHESIS

CONTEXT

= SECOND LEVEL PHENOMENA

HYPOTHESIS

SOC I AL STRAT I FI CAT I ON

HYPOTHESIS

' A )

FIRST LEVEL PHENOMENA

F igure 2 . R e la t ing t he t wo l e ve l s o f p e rcept ion : t he l e ve l o f t he p henomena a nd t ha t o f t he c ontext . A s i ss een f rom t he r i gh t -hand c o lumn , t he c ontext o f t he l ower l e ve l may s e rve a s t he p henomena a t t he h igher l e ve l .

The ' exp lana t ion s ' a t t he t wo u ppe r l e ve l s may r e la te t wo e nt ire ly d i f fe ren t

d imen s ions o fc onceptua l i sa t ion .

2 33

D eg ree o fo rgan i zat ion

C

E / / — / /

/ \ \

%

•• , .

/

• • .. . . .. . .. .. .

1 \

\

. . . .

\ \

.. ..

. . ..

. 1 ...

. .. ..

. . . ... ,

S i ze o ff l ow

. . . .. , .. . . . . . . . . .. . . ..

F igure 3 . R e la t ionsh ip b etween t he s i ze o f a n i n forma t ion f l ow a nd t he d egree o f o rgan iza t ion . No te t ha t a s t he f ormer i ncrea se s c ont inuous ly , t he l a t ter i ncrea ses d i scont inuous ly . A l so , i fo ne h a s t o e xt rapo la te t he t r a jectory f rom o bserv ing i ta t p o int A a nd p o in t E , o ne c annot d ec ide w i th a ny p robab i l i ty wha t t he i n terven ing s t age s h ave b een , u n le ss o ne r econ s t ructs t he t o ta l t r a jectory : t he g row th o f c omp lex o rgan iza t ion s i sa n i r rever s ib le p roce s s t h rough t ime , a nd e ach h a s i t s own t r a jectory . Th i s d oes n ot i mp ly t ha t t here a re n o ( i n terven ing o r f i na l ) p ha ses o f d ecay : D -E i ss uch a t r a jectory o f d ecrea s ing c omp lex i ty , a s a re a l l t he d i scon t inuous l i nes . T hey r epresen t t r a jector ie s t he s ys tem c ou ld h ave t aken a t t he b reak ing p o in t s .

2 34

C URVE A SSUMING C ONTINUOUS C HANGE O F T HE E NVIRONMENT

C URVE R EPRESENTING T HE P ERCEPTION O F C HANGE I N T HE E NVIRONMENT

--- D ISTANCE B ETWEEN P ERCEPT ION A ND R EALITY I F C ONT INUOUS C HANGE O F E NVIR ONMENT I S A SSUMED

F igure 4 . I mag inary t r a jectory o f t he p ercept ion o f a n e nv i ronmen t ( human , n a tura l o r o the r ) , i fc hange i n

t ha t e nv i ronment i s a s sumed t o b e c ont inuos a nd n on l inea r .

A t i n terva ls , t he d i stance

b etween t he r ea l i ty a nd i t s p ercept ion g rows b igger a nd b igge r , u n t i l f undamen ta l c hanges i n t he p erceptua l s ys tem a re r equ ired ( i .e . p a rad igma t ic c hanges ) .

2 35

B oa t s( F ; i r t irg E fo r t )

f i le S lo i r i al e (10 20toad

C l ItC t 1 (1M O t Ond • • • • •' ' ' ' •• • • • •. •• •• : • • •.» • • » • • •. •• • •o n. •. •• • ••• •. m • •g m .. •« u m »

1 4 . : c o

2 0

10

e b

81 0

T ime ( 1 .2. 1y ear )

-

o o

2 0

4 0

e o

e o

T ime ( 1 .2.1 y ea r )

F igu re 5 . a .

N ew ton ian a pproach t o f i sh y ie ld s .

The ( na tura l ly d eterm ined ) c urve o f f i sh b ioma s s i s

c ompa red w i th t he ( cu l tura l ly d e term ined ) c urve o ff i sh ing e f for t . The c urve sa re s u mma ted a nd t he r e su l t i s af l a t c urve o fc a tch , w i th l e ve l s o ut t he d if ference s w i th o ccu rf rom y ea r t o y ea r . An a ppa ren t move t owa rd s s t ab i l i ty r e su l t s . b . I n t he c ompa r i son , d ev ia t ion amp l if ica t ion a nd r educt ion i sa s sumed whe re n ece s sa ry , t he r ea l y ea r t o y ear c hange s a re t aken i n to a ccoun t , a nd t he re i sn o ' move t owa rd s s t ab i l i ty ' .

2 36

F igure 6 . The p robab i l i ty o f f i nd ing v a lue s f or t he v a r iab les x a nd y i n t he f i sh ing s ys tem . ( a ) W i th s l ow r espon se r a te s , t he n u mber o f ' s o lut ions ' f ound i sl ow , a nd t he s ys tem s tays i n an ar row b a s in o ver a l l 10 00 y ea r s o f t he s imu la ted r un . ( b ) W i th f a ster r e spon se r a te , t he n umber o f d if fe rent ' s o lut ions ' f ounu i ncrea se s , u l t i l ( c ) w i th t he f a s tes t o f t hree r e spon se r a tes , al a rge n umber o f ' s o lut ion s ' i s' con s idered ' b y t he s ys tem .

Thus , t he c hances i ncrea se t ha t i tw i l l ' f ind ' a nother

l oca l m in imum ( i .e . a nothe r s t ructura l ly c ohe rent s e t o f s o lut ions ) o ut s ide t he r ange o f t he p resen t o ne .

2 37

F igure 7 . D eg ree o f o rgan iza t iona l c oherence i n at r ad ing s ys tem a long t he S outh C oa s t o f P apua . No te t he r eg iona l i sa t ion o f t he s ys tem ( a f ter A l len , 1 984 ) .

2 38

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2 39

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P a rt I , Amer ican S choo l o f P reh istor ic

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2 40

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o f

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2 41

RENFRE W , A .C . 1 972 .

T he

Emergence

o f C iv i l i sa t ion : t he

C yc lades

a nd

t he

A egean

i n t he

T h i rd

Mi l lenn ium BC , L ondon , Me thuen . R INDOS , D . 1 984 .

T he O r ig ins o fA gr icu l ture , N ew Y ork , A cade m ic P ress .

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P r inc ip les o f Ma thema t ics , s econd e d it ion , p ho tos ta t ic r epr in t , N ew Y ork .

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i n p ress

" R isk , P ercept ion , I nnova t ion " , i n : I nnova t ion , e d i ted b y S .E . v an d er L eeuw a nd R . T orrence , L ondon , George A l len a nd Unw in .

2 42

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2 43

FU RT HER REFLECTIO NS O N RES O U RCE CO NCENTRATIO N A ND I TS ROLE IN THE RISE OF THE STATE

ROBE RT L . CA R NEI RO A mer ican M useu m o f Natura l History

The o r ig in o f t he s ta te c an b e l ooked a t i n t wo ways . E ach i n s tance o fi tc an b e t hough t o f a s au n ique h i stor ica l e ven t , t he r e su lt o f as i ngu la r s e t o f c ond it ions .

T o a ccoun t

f o r t he r i se o f a ny p a rt icu lar s ta te , t hen , w ou ld r equ ire a d e ta i led k now ledge o f a l l t he s pec ia l c i rcu m s tances i nvo lved . A s l ong a s t he o r ig in o fs ta tes i sv i ewed i n t h is l i gh t , n o g enera l t heory o fs ta te f o rma t ion w i l l e ver emerge . I f ah undred c a ses o fs ta te f o r ma t ion a re k nown , t hen a h und red d if eren t e xp lana t ions w i l l b e n eeded t o a ccoun t f o r t he m . Th is i sh i stor ica l p ar t icu la r is m . I ti st he p o in t o fv i ew a ssoc ia ted w i th t rad i t iona l h i s to r ians . Bu t wh i le t h i s v i ew i sb es t e xe mp l if ied b y t he d i sc ip l ine o f h i s tory , i ti sb y n o means r e str icted t o t ha t d i sc ip l ine . I t c an b e f ound i n a n thropo logy a s w e l l . R ead , f o r e xamp le , R ichard B lan ton ' s d i scuss ion o f s ta te f o r ma t ion i n Oaxaca a nd y ou w i l l b e s t ruck b y h i s p red ispos i t ion t o s ee t he r i se o f t he s ta te i n t here a s t he r e su l t o f au n ique c onste l la t ion o ff a ctors ( B lan ton 1 981 : 2 30-231 ) . H e s eems r e so lu te ly d i s inc l ined t o l ook f o r t he c o mmon e l e men ts t ha t m igh t u nder l ie a l l c a ses o f s ta te f o r ma t ion , i n Oaxaca , Me sopotam ia , Nor th Ch ina , o r a nywhere e l se l . There i s , o f c our se , a nother way o f l ook ing a t t he ma tter .

One c an t ake t he

p o s it ion t ha t s ta tes p robab ly a rose t hrough t he o pera t ion o f a sma l l n umber o fr ecurr ing f a c to rs . The r o le o f e ach f a c to r n eed n ot h ave b een e xact ly t he s a me i n e ach c a se , b u t t he ir j o in t o pera t ion may w e l l h ave a ssured t he r i se o f t he s ta te wherever t hese f a c tors w e re p resen t . The t a sk , t hen , w ou ld b e f i rs t , t o f e rret o u t t hese f ew f a ctors , a nd t hen t o a s ses s t he ir r e spect ive e f ects i n e ach i n stance o fs ta te f o rma t ion . Th is i st he p o in t o fv i ew o fs c ience . I tb eg ins w i th p a rt icu la rs b u t e ndeavors t o t r anscend t he m . I ta im s t o r each p ropos i t ions a nd e xp lana t ions o ft he w ides t g enera l i ty . T o b e s ure , o ne c annot a s sume t ha t r ecurr ing r egu la r i t ies e x i st . Bu t o n t he o ther h and , r egu la r it ies c anno t b e f ound u n less t hey a re s ough t f o r . Thus , w e mus t b e r eady t o l ook b enea th s uperf ic ia l d if erence s f o r u nder ly ing c ommona l i t ies . The p a ra l le ls i n t he o r ig in a nd d eve lop men t o f e very s ta te may i ndeed b e d i sgu ised a nd o bscu red , b u t t hey may e x i st n onethe less . A t a ny r a te , t h is w a s t he p os i t ion It ook i n 1 970 i n a n a r t ic le e n t i t led " A Theory o f t he O r ig in o f t he S ta te " . T oday , 1 6 y ea rs l a ter , Iw ou ld l i ke t o g o o ver t he e s sen t ia l f e a tu res o f t he t heory a s Io r ig ina l ly p roposed i t , a nd t hen e xp la in h ow Ih ave r e cen t ly mod if i ed a nd e l abora ted i t . A t t he o u tset , t hough , w e n eed t o h ave a c om mon u nders tand ing o f wha t w e mean b y as ta te . The d ef in it ion If avor i st h is : A s ta te i s a n a u tono mou s p o l it ica l u n i t , e nco mpass ing many c o mmun i t ies w i th in i t s t err itory , a nd h av ing a c en tra l ized g overn men t w i th t he p ower t o d ra f t men f or war o r work , l evy a nd c olec t t axes , a nd d ecree a nd e n force l aw s .

( See Carne iro 1 970 : 7 33 ,

1 981 : 6 9 ) .

1R ev iew ing H enry C laessen a nd P e ter S ka ln fk 's t wo v o lumes , T he E a r ly S ta t e ( 1978 ) a nd T h e S tudy o ft h e S ta t e ( 1981 ) , Ma lco lm Webb c omp la ins o f t he " un fo r tuna te t endency" o f c on tr ibu tor s t o t hese v o lumes " to v iew t he c a se s [ o f s ta te f o r ma t ion ] a dh o c , w i th l i tt l e a t ten t ion t o t he l a rger o ngo ing wo r ldw ide h i s tory o ft he s ta te a s as oc ia l t ype . . ." (Webb 1 984 : 2 77 ) .

I f as oc iety h a s t he se a t t r ibu te s , i ti s as t a te . I fi td oesn ' t , i ti s n ' t . Y ea rs a go , a f ter e xam in ing many s oc ie t ie s i n b o th t he O ld Wor ld a nd t he N ew , s oc ie t ie s w i th s ta te s a nd s oc ie t ies w i thou t , Ic ame t o t he c onc lu s ion t ha t a l l t heor ies o f s ta te o r ig in s t hen c u rren t w ere f l awed . I ts ee med t o m e t ha t an ew o ne wa s r equ ired , a nd Iwa s embo ldened t op ropose o ne . My t heory s ough t t oe xp la in why a u tonomou sv i l lages , wh ich d u r ing t he e a r ly N eo l i th ic p e r iod w e re a l l b ut u n iversa l , l a ter g ave w ay i n c e r ta in p a rts o f t he w o r ld t o s ucces s ive ly l a rger a nd mo re c o mp lex p o l i t ica l u n i t s , c u lm ina t ing , i n c er ta in f avored a rea s , i n t he r i se o ft he s ta te . L e t me s umma r ize my t heo ry h ere i n as om ewha t d if eren t way f r om t he o ne i n wh ich Io r ig ina l ly p resen ted i t . B road ly s peak ing , t h e r i se o ft he s ta te i st he c l imax o fa c er ta in p ro cess . Th is p roce s s i sb rough t o n b y c e r ta in c ond i t ions . And t hese c ond i t ion s a re b a sed i n t u rn o n c er ta in f ac tor s . The p ro ces s wh ich o vercame t he p o l i t ica l a u tonomy o fv i l lages a nd w e lded t hem , f i rs t i n to c h ie fdom s , a nd t hen i n to s ta tes , w a s c onqu e st wa r fa re . A s s ign ing t h i s p os i t ive r o le t o w a r fa re may b e u npa la tab le t o s o me p eop le , b u t i ti sn one the le ss i n escapab le i n v i ew o f t he e v idence . I n my p ape r o f 1 970 Id i s t ingu ished b e tween v o lun tar i s t ic a nd c o er c ive t heor ies o f s ta te o r ig in s , a nd d i sm i s sed t he f o r mer a s i nadequa te , l a rge ly b e c au se It hen k new o fn o c a se o fa u tonomou s p o l i t ica l u n i ts v o lun ta r i ly r e l inqu ish ing t he i r s ove re ign ty a nd j o in ing w i th o ther s im i la r u n i t s t o f o rm a l a rge r who le . Is t i l l d on ' t . E very v i l lage o r c h ie fdom Ik now o f , wh ich g ave u p i t s a u tonomy a nd b ecame p a r t o f al a rge r p o l i t ica l u n i t , d id s o e i the r t hrough t he e xe rc ise o f f o rce o r t he t hrea t o f i t . A cco rd ing ly , Ia rgued i n 1 970 t ha t o n ly a c o er c iv e t heo ry c ou ld a ccoun t f o r t he r i se o f t he s ta te . Is t i l l d o . Bu t wh i le Ii d en t if i ed w a r fa re a s t he mechan i sm b y wh ich a u tonom ie sw ere o ve r r i dden a nd l a rger p o l i t ica l u n i ts e s tab l i shed , Ir e cogn i zed t ha t n o t a l l wa r s h ad h ad t h i s e f ec t . Du r ing e a r ly N eo l i th ic t ime s , f o r i n stance , w a r fa re r a re ly i fe ver r e su l ted i n c on q ue s t . I t wa s waged o ver mu rder , w i tchcra f t ,w if es t ea l ing a nd t he l i ke , b u t n o t o ver l and . S pec ia l c ond i t ions w ere n eeded f o r w a r fa re t o b ecome r ed irec ted f r om t he se o b jec t ives t o t he t ak ing o fl and a nd t he s ub juga t ion o fp eop le . O ft hese s pec ia l c ond i t ion s , t he ma jo r o ne wa s p opu la t ion p res sure . And t h i s p re s sure , Ia rgued , r e su l ted f r om a n i n crease i n h uman n umber s r e la t ive t o t he amoun t o fl and a va i lab le t o s uppor t t hem . Obv iou s ly , p opu la t ion p res su re w a s much mo re l i ke ly t o a r ise whe re l and wa s i n s ho r t s upp ly t han whe re i tw a s a bundan t . And t h i s c ond i t ion w ou ld h ave b een e spec ia l ly l i ab le t o o ccu r where a rab le l and w a s s ha rp ly l im it ed b y moun ta in s , d e ser ts , o r s ea s . T hu s , Ia rgued , c onque s t w a r fa re a ro se f i rs t a nd p roceeded f u r the s t i n t ho se p a r ts o ft he w o r ld whe re a g r icu l tu ra l l and w a s c i r cumscr i b ed . Once s e tt lemen t b eca me d en se e nough i n ac i rcum sc r ibed a rea , a ny w a r f ough t t here w ou ld l e ave a d e f ea ted v i l lage w i th n o p lace t o f l ee . I tw ou ld b e f o rced t o r ema in i n p lace a nd b e s ub juga ted b y t he v i ctor s . I n a rea s where a rab le l and wa s n o t c i rcums c r ibed , w a r fa re wou ld f a i l t o h ave t h is e f ec t . Thu s , i n e x tens ive a nd u nbounded r eg ion s l i ke Ama zon ia , wa r fa re r a re ly l e d t o c onque s t , b u t r a ther t o ap roce s s o f " f igh t a nd f l i gh t" . S ince a rab le l and w a s a va i lab le a lmo s t e ve rywhe re a round , t he l o ser s i n w a r c ou ld r ead i ly move a way f r om t he i r mo re p ower fu l e nem ie s a nd t hus r e ta in t he ir i ndependence . A s ar e su l t , l o ca l a u tonomy w a s r a re ly t ran scended i n Ama zon ia . And , w i th o n ly a f ew e xcep t ions , p o l i t ica l e vo lu t ion h ere d id n o t g o b eyond t he s tage o fa u tonomous v i l lage s . A ux i l l iary H ypo theses When If i r s tf o rmu la ted t he c i rcum sc r ip t ion t h eo ry Iwa sa wa re o f af ew c a se st ha t a ppea red t o b e e xcep t ions t o t he r u le . These e xcep t ion sw ere s ta tes wh ich h ad d eve loped e a r ly a nd a u toch thonous ly , b u t i n a rea s whe re a rab le l and wa s n o t c i rcum sc r ibed . The

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t wo p r inc ipa l e xcep t ion s , i ts eemed t o me a t t he t ime , w ere N or th Ch ina a nd t he Maya L ow land s . In ever d oub ted t ha tt he se s ta te s , l i ke a l lo the rs ,h ad b een f o rged i n to e x i s tence t h rough c onques tw a r fa re . B u t i ts eemed t o me t ha t s o me th ing o the r t han e nv i ronmen ta l c i rcum scr ip t ion mu s t h ave p rec ip i ta ted c onques t wa rfa re i n t ho se a rea s . I na ne fo r t t oa ccoun tf o rt he r i se o fs ta te s i ns uch a rea s , Is ough tf o ra n a ux i l l iary f ac tor t o p u t i n to t he e qua t ion . Th is a ux i l ia ry f a c to r t u rned o u t t o b e s o c ia l c i rcumscr ip t i on . The n o t ion o f s oc ia l c i rcum sc r ip t ion i so ne Ib o rrowed f r om Napo leon Chagnon ( 1968 : 2 51 ) , a nd i to r ig ina ted i n t he f o l low ing way . I t s e e med t o Chagnon t ha t t hose Y anomamö v i l lages l o ca ted i nt he c en tra l o r " nuc lea r" p a r t o fY anomamö t e r r i to ry w e re l a rge r , mo re c l ose ly s paced , h ad s t ronger h eadmen , f ough t mo re f r equen t ly , a nd f o rmed a l l iances mo re r ead i ly t han v i l lages i n t he p e r iphe ra l a rea s . Thu s , i n n uc lea r Y anomamö t e r r i to ry p o l i t ica l e vo lu t ion s eemed t o h ave a dvanced a s t ep o r t wo b eyond wha t i th ad e l sewhe re . Th i s f a c t Chagnon a t tr ibu ted t o ag rea ter c rowd ing o fv i l lages i n t he n uc lea r a rea , ac rowd ing wh ich h ad l ed t o more f r equen t a nd i n ten se f i gh t ing among v i l lages l o ca ted t here . Bu t a t t he s a me t ime , t h i s c rowd ing made i th a rder f o r d e f ea ted v i l lages t o f l ee a nd f i nd a s a f e h aven e l sewhe re , s i nce s ecu re t e rr i to ry wa s n o t a lways a va i lab le . The s ma l ler a nd w eaker v i l lage s o f t h i s n uc lea r a rea , wh ich w e re u sua l ly t he v i c t im s i n w a r , w e re o f ten u nab le t o move o u t o fr ange o ft he ir s t ronge r e nem ie s . T oc ompen sa te f o r t h i s , t hey f o r med d ef en s ive a l l iance s w i th o ther v i l lages a nd s o me t imes e ven t empo ra r i ly ama lgama ted w i th t hem . I n Chagnon 's n o t ion o f s oc ia l c i rcum scr ip t ion Is aw a n i mpo r tan t p roces s , o ne b y n o means l im i ted t o t he Y anomamö . I n f a ct , i ts e e med t o me t ha t s oc ia l c i rcum scr ip t i on a nd i t s p o l i t ica l c on sequence sw ere much mo re s t r ik ing ly man if e s ted i nc er ta in o ther a rea s o ft he w or ld . The p roce s s , It hough t , c ou ld b e s e i zed o n a nd p u t t ow ork t o a ccoun t f o r t he r i se o f t he s ta te i n a rea s s uch a s t he Maya L ow land s a nd N o r th Ch ina , wh ich a ppea red t o me t o l a ck e nv i ronmen ta l c i rcumsc r ip t ion . I n s ta te f o rma t ion , s oc ia l c i rcum scr ip t ion o pera tes i n much t he s ame w ay a s e nv i ronmen ta l c i rcum sc r ip t ion . Unde r t he l a tte r , ag roup d e f ea ted i n w a r i sk ep t f r om mov ing a way a nd t hus r e ta in ing i t s a u tonomy b y t he e x i s tence o fs u r round ing moun ta ins , d eser ts , o r s ea s , wh ich f o rce t hem t o s tay i n p lace . I n c a se s o f s o c ia l c i rcum scr ip t ion , i t i sn o t p hys ica l b a rr ie rs t ha t p reven t d ef ea ted v i l lages f r om f l ee ing , b u t t he f a ct t ha t a l l t he s u r round ing t e r r i tory i sa l ready o ccup ied b y o ther v i l lage s . The n e t e f ec t , t hough , i st he s ame . V i l lage s b ea ten i n w a r a re f o rced t o r e ma in i n p lace a nd b e s ub juga ted b y t he v i c tors . There i s , h oweve r , a n i mpo r tan t d if erence . S oc ia l c i rcum sc r ip t ion i sn ever a s t i gh t a s e nv i ronmen ta l c i rcum sc r ip t ion . I t d oesn 't r e s tr ic t v i l lages movemen t q u i te a s much . S oc ia l c i rcum scr ip t ion a l low s ac e r ta in amoun t o f " l eakage" , e spec ia l ly d ur ing i t s e a r ly s tages . D ef ea ted g roup s c an s o me t ime s f i l ter t he ir way o u t t o u noccup ied t e r r i to ry a nd t hu s e scape l o s ing t he i r s overe ign ty . On ly w i th t he p a s sage o ft ime d oes t he l and f i l l u p t o t he p o in t where f l igh t b ecomes i mpo s s ib le . Thu s , a s ac au se o f s ta te f o rma t ion , s oc ia l c i rcumscr ip t ion a c ts mo re s l ow ly . And i ndeed , i nt hose a rea s where t he s ta te a rose b y t h is mean s , a rea s s uch a s t he Maya L ow land s , Wes te rn E u rope , a nd Wes t A f r ica , i t d id s o s ub s tan t ia l ly l a te r t han where i ta ro se t hrough e nv i ronmen ta l c i rcum scr ip t ion . The r eade r may h ave n o t iced my om is s ion o f N o r th Ch ina f r om t h is l i s t ing . A s Imen t ioned e a r l ier , Io nce t hough t t ha t t he e a r l ies t Ch ine se s ta tes h ad a r isen i n N o r th Ch ina t hrough t he a c t ion o fs oc ia l c i rcum scr ip t ion . Bu t Iam n ow c onv inced t ha t Iwa s w rong . My e r ro r l a y i ns uppo s ing t ha t t he f i r s t Ch ine se s ta te w a s S hang , wh ich d eve loped o n t he b road , u nbounded p la in o f t he l owe r Y e l low R iver . A c a re fu l r ead ing o f K . C . Chang 's T he A r cheo logy o f Anc i en t C h ina ( 1977 ) t hough , b egan t o p e rsuade me t ha t

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s uch w a s n o t t he c a se . The e a r l ies t Ch ine se s ta te , i ts e ems t o me , a rose p r ior t o S hang , a nd i ta ro se many m i les u p s tream , a l ong t he b ig b end o f t he Y e l low R iver , where i ti s j o ined f r om t he w e s t b y t he We i . Th is r i ver ine a rea , wh ich i ss haped l i ke a ni nve r ted " T " , i sf l anked b y moun ta in s t ha t r i se t o 5 , 000 f e e t o r mo re a nd wh ich h em i n t he r i ve r v a l ley o n a l l s i des . Thu s , t he b i r thp lace o f t he Ch inese s ta te t u rn s o u t t o b e e nv i ronmen ta l ly c i rcumscr ibed a f ter a l l ! And a cco rd ing ly , w e c an move Nor th Ch ina o u t o f t he c o lumn o f c a ses r equ i r ing t he w eaker e xp lana t ion i n t e rm s o f s oc ia l c i rcumsc r ip t ion , a nd i n to t he ma in c o lumn o f s ta te f o rma t ion where t he s t ronger v er s ion o f t he t heo ry , i nvo lv ing e nv ironmen ta l c i rcum scr ip t ion , p reva i l s . R esour ce C onc en t ra t ion A s Ic on t inued t o l ook a t s ta te f o rma t ion , c e r ta in f a c ts l ed me t o f o rmu la te a s e cond a ux i l l ia ry h ypo the s i s . The f a c ts w ere t hese . F rom t he a ccoun ts o ft he e a r ly S pan i s h c hron ic le rs , i tw a s v ery c l ea r t ha t d u r ing t he 1 6 th c en tu ry , c h iefdoms o f i mp re s s ive s i ze h ad e x i s ted a long t he Ama zon R iver . S ince t h i s r eg ion l a cked e nv i ronmen ta l c i r c um sc r ip t ion , a nd s e emed t o l a ck s oc ia l c i rcum sc r ip t ion a s w e l l , s o me a dd i t iona l f a c to r w a s n eeded t o a ccoun t f o r t he d eve lopmen t o f c h ie fdom s h ere . I t s t ruck me t ha t t he a dd i t iona l f a cto r w a s r e sour c e c oncen t ra t ion . Quo t ing f r om my p ape r o f 1 970 , t h i s i sh ow i ts eemed t o me t ha t r e source c oncen tra t ion h ad o pe ra ted a long t he Ama zon : Wi th u nbroken s t re tches o fa rab le l and e x tend ing b ack f r om t he Amazon f o r h und red s o fm i l es , why w ere t here c h ie fdo m s h ere? T o a n swer t h is q ues t ion w e mu s t l ook c l o se ly a t t he e nv ironmen ta l c ond i t ion s a forded b y t he Ama zon . A long t he marg in s o f t he r i ver i t se l f , a nd o n t he i s land s w i th in i t , t here i s at ype o fl and c a l led v ärz ea . The r i ver f l ood s t h is l and e very y ea r , c over ing i t w i th al ayer o fs i l t . B ecau se o ft h i s a nnua lr ep len i sh m en t , v c irz ea i sa g r icu l tu ra ll and o f f i r s t q ua l i ty wh ich c an b e c u l t iva ted y ear a f ter y ear w i thou t e ver h av ing t o l i e f a l low . Thu s , among n a t ive f a rm er s i t wa s h igh ly p r i zed a nd g rea t ly c ove ted . The wa ter so ft he Amazon w e re a l so e x traord ina r i ly b oun t i fu l ,p rov id ing f i sh , mana tee s , t u r t l e s a nd t ur t le e gg s , c a i man s , a nd o ther r i ver ine f ood s i n i nexhau s t ib le amoun ts . B y v i r tue o f t h is c oncen tra t ion o fr e sou rce s , t he Amazon , a s ah ab i ta t , wa s d i s t inc t ly s uper ior t o i t s h in ter land s . C oncen tra t ion o f r e sources a l ong t he Ama zon amoun ted a lmos t t o ak ind o f c i r c um scr ip t ion . Wh i le t here w a sn os ha rp c l eavage b e tw een p roduc t ive a nd u nproduc t ive l and , a s t here wa s i n P eru , t here wa s as t eep e co log ica l g rad ien t . S o much more r e wa rd ing w as t he Ama zon R iver t han a d jacen t a rea s , a nd s o d e s i red d id i tb eco m e a s a h ab i ta t , t ha t p eop les w ere d rawn t o i tf r om s u r round ing r eg ion s . E ven tua l ly c rowd ing o ccu r red a long many p or t ion s o f t he r i ver , l e ad ing t o war fa re o ver s e c t ion s o f r i ver f r on t . And t he l o ser s i n w ar , i n o rder t o r e ta in a cces s t o t he r i ver , o f ten h ad n o c ho ice b u t t o s ub m i t t o t he v i c tor s . B y t h i s s ubord ina t ion o fv ilage s t o ap aramoun t c h ief t here a rose a l ong t he Amazon c h ie fdom s r epre sen t ing a h igher s t ep i n p o l i t ica l e vo lu t ion t han h ad o ccur red e l sewhere i n t he b a s in . ( Ca rne i ro 1 970 : 7 36-737 ) .

I n af oo tno te t o t h is p a ssage In o ted t ha t c h ie fdom s f o s tered b y r e sou rce c on c en tra t ion h ad a l so a r i sen i n t he Mo jos P la in o f B o l iv ia ( s ee D enevan 1 966 : 4 3-50 , 1 04-105 , 1 08-110 ) —and , Im igh t h ave a dded , t he m idd le O r inoco . Ia l so p o in ted t o t he l ower M i s s is s ipp i v a l ley a s a no ther r eg ion l a ck ing e nv i ron men ta l c i rcumsc r ip t ion wh ich h ad n ever the le s s g i ven r i se t o c h iefdom s , a nd Ia t tr ibu ted t h is d eve lopmen t t o r e sou rce c oncen tra t ion a s w e l l . And t here t he ma t ter s tood u n t i l 1 980 . Tha t y ea r s aw t he p ub l ica t ion o f Anna R ooseve l t 's b ook , P armana , ad a r ing a nd amb i t iou s a t temp t t o r econ s truc t , i n b road t e rms , t he p reh i story o f Ama zon ia . B efo re p resen t ing h er o wn t heo ry , R ooseve l t e xam i n ed t ho se o f o the rs , c r i t ic iz ing e ach i n t urn . I n d i scus s ing my v i ews o n t he s ub jec t , s he s ee med r eady t o a ccep t t he n o t ion t ha t Ama zon ian c h iefdom s h ad a r isen t h rough

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c onque s t wa rfa re . Howeve r , s he o b jec ted t o t he c ha in o f a rgumen ts Ih ad p re sen ted t o a ccoun t f o r t he o n set o f c onques t w a r fa re . Mo s t p a r t icu la r ly , s he a rgued t ha t my u se o f r e sou rce c oncen tra t ion w a s f l awed b ecau se , i n t he manner t ha t Ih ad a pp l ied i th ere i t amoun ted , s he s a id , t o av o lun ta r i s t ic t heory . S ince i n " A Theory o f t he O r ig in o f t he S ta te" Ih ad empha t ica l ly r e jec ted v o lun ta r i s t ic t heo r ies o fp o l i t ica l d eve lopmen t i nf avo r o f ac oerc ive o ne , R ooseve l t f e l t t ha t my u se o fv o lun ta r ism i n r econ s t ruc t ing t he r i se o f Amazon ian c h ie fdom s i nvo lved me i n ac on trad ic t ion . And s he was r i gh t . The e xp lana t ion o f t he r i se o f Amazon ian c h ie fdom s Ip ropo sed i n 1 970 wa s , w i thou t my r ea l iz ing i t , v o lun ta r i s t ic . C on s ide r c a re fu l ly t h i s k ey p hra se ( a lready q uo ted a bove ) f r o m my a r t ic le : " . . a nd t he l o se rs i n w a r , i n o rder t o r e ta in a cce s s t o t he r i ver [ a nd i t s r e sou rce s ] , o f t en h ad n o c ho i ce b u t t o s ubm i t t o t h e v i c tor s" . Bu t wha t Iw a s r ea l ly s ay ing w a s t ha t t hey h ad a c ho ice . Ic l ea r ly i mp l ied t ha t d ef ea ted g roup s c ou ld move a way f r om t he r i ver f ron t a nd r ema in a u tonomou s , b u t i n s tead , c hose n o t t o d o s o . F ac ing t he a l terna t ive b etween p o l i t ica l a u tonomy a nd b oun t ifu l f ood r e sources , t hey h ad c ho sen t he l a t ter . E ven b efo re R oo seve l t p ub l i shed h er c r i t ique , Ih ad b een v ague ly a wa re o f t h i s c on trad ic t ion . Bu t o n ly v ague ly . And r a the r t han f a ce i ts qua re ly , Ih ad p u shed i tt o t he b ack o f my m ind a nd l e f t i tt here . N ow Iw a s f o rced t o c on f ron t i ta nd , i fp o s s ib le , r e so lve i t . AR ef ormu la t ion o fR esour c e C oncen t ra t ion Ove r t he l a s t f ew y ea rs Ih ave s pen t c on s ide rab le t ime r eexam in ing t he i d ea o f r e sou rce c oncen tra t ion . And Ih ave c ome t o s e e i t s r o le i n p o l i t ica l e vo lu t ion i n ar a ther d if eren t l i gh t . R esou rce c oncen tra t ion d id i ndeed h e lp g i ve r i se t o Amazon ian c h iefdom s , b u t o n ly b y a c t ing i n c oncer t w i th s oc ia l c i rcum sc r ip t ion . L e t u s l ook a t t he Ama zon a ga in a nd s ee h ow t he j o in t o pe ra t ion o f t hese t wo f a c tors s eems t o h ave l ed t o t ha t r e su l t . The re i sl i t t le d oubt t ha t t he e no rmous a nd i n exhaus t ib le amoun ts o f f i sh a nd o ther r i ver ine f ood r e sou rces f ound i n t he w a te rs o f t he Ama zon a c ted a s a magne t . I t d rew p eop le t o t ha t r i ver f r om many m i le s a round . And s i nce t hese r i ver ine r e s ou rces w ere w i ld , t hey c ou ld b e e f ec t ive ly e xp lo i ted b y t he r e la t ive ly s imp le s ubs is tence t e chn iques a l ready p osses sed b y h un ter s , f i shers , a nd g a the rer s . Thus , t he f i rs t s t eps l e ad ing t owa rd d en se s e t t lemen t a long t he Ama zon p robab ly o ccu rred e a r ly , d ur ing p re a gr icu l tu ra l t ime s . A s w o rd o f t he r i ver ' s b oun t ie s s p read , mo re a nd more I nd ian s w ere d rawn t o i t , a nd s e t t lemen t a l ong i t s b anks c on t inued t o i n crea se . B y t he t ime p lan t c u l t iva t ion a r r ived o n t he s cene , s e t t le men t a long t he r i ver mus t h ave b een f a i r ly d en se —den ser , c er ta in ly , t han i n o ther p a r ts o f Ama zon ia . The i n troduc t ion o fa g r icu l tu re made p os s ib le t he u se o f ar i ver ine r e sou rce wh ich h ad n o t b een p rev iou s ly t apped —vä rz ea . Th is r i ch s o i l , who se f e r t i l i ty wa s r ep len ished e very y ea r b y t he o verf low ing o f t he Amazon , p rov ided a n a dd i t iona l l u re . E ven mo re p eop le s w ere n ow d rawn t o t he b anks o ft he r i ve r . And w i th t h i s n ew s ubs is tence a t trac t i on a dded t o f i sh a nd mana tee , t u r t le s a nd t u r t le e gg s , s e tt le men t a l ong t he Ama zon b ecame e ven d en ser . B e fo re l ong , t he ma rg in s o ft he r i ver a nd t he i s lands w i th in i tw ere t h ick ly s e t t led . I ndeed , b y t he 1 6 th c en tu ry , p opu la t ion w a s s o d en se o n t he Ama zon t ha t t he S pan i sh c h ron ic le r Ga spa r d e C a rva ja l c ou ld w r i te t ha t o ve r as t re tch o f 8 0 l e ague s ( 240 m i le s ) a long t he r i ver , " there w a s n o t f r om v i l lage t o v i l lage a c ro ssbow s ho t" (Med ina 1 934 : 1 98 ) . Wha t Ih ave j u s t d esc r ibed i sn o t ma te r ia l ly d if e ren t f r om wha t Ie nv i s ioned i n 1 970 . Bu t h ere t he s cena r io c hanges . A n ew f a c to r c ome s i n to t he p ic tu re . Iam n ow

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r eady t o a rgue t ha t t he d en s i ty o f s e t t le men ts i nduced b y r e sou rce c oncen t ra t ion g ave r i se a t many p o in ts a long t he Amazon t o s o c ia l c i rcumscr ip t ion . The d eg ree o fc rowd ing t ha t d eve loped a long t he r i ve r a nd b ack a way f r om i tn o t o n ly i n ten s if ied w a r fa re , wh ich wa s , n o d oub t , a l ready p re sen t , b u t made i td if i cu l t i fn o t i mpo ss ib le f o r t ho se g roup s d ef ea ted i n wa r t o move o u t o f r ange o ft he s t ronger g roups . Thu s t hey b ecame s ub jec t t o c onques t . Tha t wa r fa re a l ong t he Amazon w a s f r equen t a nd i n ten se , a nd t ha t i tw as d i r ec ted t o t he t ak ing o fl and , i sa t te sted t o b y C a rva ja l . No t ing t ha t t here w ere I nd ian s l i v ing i n land , a way f r om t he r i ve r , who w e re e ne m ie s o ft hose s e t t led a long t he r i ver i t se l f , C a rva ja l r e ma rked t ha t t he i n land t r ibes " co me e ach d ay t o d r ive t hem [ t he r i ve rf ron t dwe l ler s ] f r om t he i r h omes " (Med ina 1 934 : 1 90 ) . And t h i s w a rfa re , i nduced p r ima r i ly b y as ho r tage o f c ove ted r i ver f r on tage , h ad i t s e f ec ts a ugmen ted b y t he c on s tra in ing f a c tor o fs oc ia l c i rcum scr ip t ion . D e f ea ted g roup s c ou ld n o l onger r ead i ly f l ee , b u t w ere s ub ject t o b e ing i nco rpora ted , a l ong w i th t he ir l and , i n to t he p o l i t ica l u n i t o f t he v i c tor s . I n t h i s manner t he Amazon g ave r i se t o a n e x ten s ive s t r ing o fc h ie fdom s wh ich , i n t he 1 6 th c en tu ry , f o rmed s o c on sp icuou s a f ea tu re o f t ha t r i ver . G enera l C on s idera t ions Wi th t h is r e fo rmu la t ion o f t he c i rcum sc r ip t ion t heo ry a s i to pe ra ted a long t he Amazon , w e h ave n ow e xorc i sed t he d emon o f v o lun ta r i sm . L ike c h iefdom s e l sewhere i n t he w o r ld , Ama zon ian c h iefdom s c an b e s e en , u nequ ivoca l ly , a s a r i s ing t h rough c onques t w a rfa re b rough t o n b y p opu la t ion p ressure . Bu t t hough t he r o le o fr e source c oncen tra t ion i st hu s d im in i shed i n o ne r e spec t , i ti sa ugmen ted i n a no ther . S oc ia l c i rcum scr ip t ion may w e l l h ave b een t he i mmed ia te a nd e s sen t ia lp recu r sor o fc onques tw a rfa re a l ong t he Amazon , b u tr e sou rce c oncen tra t ion p layed t he k ey r o le i nc rea t ing t he c ond i t ion s t ha t g ave r i se t ot h i s s oc ia l c i rcum scr ip t ion . And n ow w e mu s t a sk a q ue s t ion o f b road i mp l ica t ion s : i fi td id s o a long t he Ama zon , why n o t e l sewhere? We k now t here a re a rea s i n o ther p a r ts o f t h e w o r ld wh ich l a cked e nv i ronmen t a l c i rcum scr ip t ion b u t wh ich n ever the le ss s aw t he r i se o f c h ie fdoms a nd s ta te s . C ou ld r e sou rce c oncen tra t ion h ave b een t he f ac tor t ha t t r iggered p opu la t ion g row th i n t ho se a rea s t oo? I tl ooks t ha t w ay t o me . And i fr e sou rce c oncen tra t ion c ou ld a ggrega te p eop le i n a rea s t ha t l a ck ed e nv ironmen ta l c i rcum scr ip t ion , why n o t i n a rea s t ha t h ad i t ? Iam c onv inced t ha t i td id . Th is i dea h ad a l ready e n tered my m ind b y 1 970 , when In o ted i n my p ape r o n t he o r ig in o ft he s ta te t ha t r e sou rce c oncen tra t ion h ad p layed a ma jo r r o le i n p romo t ing p o l i t ica l d eve lopmen t o n t he c oa s t o fP e ru . The e normous q uan t i t ie s o ff i sh a nd s he l lf i sh f ound a long t h is c oa s t h ad f o stered t he emergence o f c h iefdom s h ere e ven b efo re t he i n troduc t ion o f a g r icu l tu re —or a t l e a s t b e fo re i t s e x tens ive u se ( Ca rne i ro 1 970 : 7 37 ) . Bu t Id id n o t s ee t hen wha t Id o n ow , n ame ly , t ha t r e sou rce c oncen tra t ion w a s ak ey f a c tor i n p roduc ing c h ie fdom s a nd s ta te s i n a lmo s t e ve ry e nv i ronme ta l ly c i rcum scr ibed a rea whe re t hey a ro se . Wi th t he p o s s ib le e xcep t ion o f t he P eruv ian c oa s t , n owhe re o n e a r th d id f u l l f l edged s ta tes a r ise b efo re a g r icu l tu re b ecame t he ma jo r c on tr ibu to r t o s ub s i s tence . And q u i te p os s ib ly i ta lways t akes a g r icu l ture t o b r ing a bou t t ha t d eg ree o fp opu la t ion p re s s ure n eeded f o r t he o nse t o fs ta te f o rma t ion . Bu t e ven b efore t he c om ing o f a g r icu l tu re , ah igh c oncen tra t ion o f w i ld f ood r e sou rce s c ou ld h ave g i ven a n a rea a b ig p ush t owa rd ac or respond ing ly d en se c oncen tra t ion o fp eop le . A t l e a s t , e nough o f ac oncen t ra t ion t o b r ing a bou t t he e a r ly s tages o f p opu la t ion p ressu re .

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L e t me r un t h rough t he g enera l a rgumen t o nce more . R e sou rce c oncen tra t ion , b y i t se lf , c anno t g ive r i se t o c h ie fdoms o r s ta tes . I ta c ts o n ly a s ac a ta lys t . I t s p e eds u p ar eac t ion i nvo lv ing o the r e l emen ts . S pec if i ca l ly , i ta cce le ra tes t he o n se t o f p opu la t ion p re ssu re , wh ich i st he p r ime t r igge r o fs ta te f o rma t ion . Now , t he d egree o f p opu la t ion p re ssu re n eeded t o b eg in t he p roce ss o f s ta te f o rma t ion c ou ld , i n t ime , a r i se i n a ny e nv ironmen ta l ly c i rcum sc r ibed a rea o fa rab le l and . I t c ou ld d o s o e ven i n c i rcum scr ibed a rea s d ef ic ien t i n w i ld f ood r e source s a nd t hu s s pa rse ly s e t t led p r io r t o t he c om ing o f a g r icu l tu re . S ta te f o r ma t ion c ou ld o ccu r h e re , b u t i ts imp ly w ou ld t ake mor e t ime . B y g iv ing p opu la t ion g row th a h ead s ta r t , r e sou rce c oncen tra t ion p robab ly h a s tened t he a dven t o f many c h ie fdom s a nd s ta tes b y c en tu r ies —pe rhap s e ven b y m i l lenn ia . I n t he r e s t o f t h i s p ape r Iw ou ld l i ke t o s u rvey s o me o f t he p r inc ipa l a rea s o f t he w or ld where c h ie fdom s a nd s ta tes a rose , a nd t o s ee wha t e v idence w e c an f i nd t ha t r e sou rce c oncen tra t ion may h ave p layed a r o le i na cce le ra t ing t he ir d eve lopmen t . R e sour ce C onc en tra t ion i n A r eas o fE ar ly S ta te F orma t ion L e t u s b eg in w i th t he r eg ion where t he f i r s t s ta tes emerged — M esopo tam ia . Wa s t here a c oncen tra t ion o f w i ld f ood r e sou rces i n " the l and b e tween t he r i ver s"? H ere i s wha t V . Go rdon Ch i lde h ad t o s ay o n t he ma t ter . I n Man Makes H imse l f , Ch i lde ( 1948 : 1 07 ) w ro te : B e tween t he ma in c hanne l s o ft he T ig r is a nd t he Euph ra te s wa s av a s t t rac t o fs wa mp s , o n ly r ecen t ly r a ised b y t he r i ver s i l t a bove t he wa ter s o ft he P er s ian Gu l f . The s wamps w ere c overed w i th a t ang le o f g igan t ic r eed -brakes i n ter sper sed w i th g rove s o f d a te p a lm s . They w ere i n ter rup ted o n ly b y l ow r i dges o f r ocky o u tcrop o r b anks o fs andy s i l t . Bu t t hey s wa rm ed p erpe tua l ly w i th a n i ma l l i f e wh i l e o n e i ther s i de t he s t eppes a bove t he f l ood leve l w ere p a rched a nd b a r ren t h roughou t t he l ong b laz ing s um m er a nd t he b i t ter w in ter . A t trac ted p erhap s b y t he g am e , w i ld -fow l , a nd f i sh , a nd b y t he g rove s o fd a te—pa lm s , t he p roto -Sum er ian s t ack led t he s tupendous t a sk o ft am ing t he T ig r i s—Euph ra tes d e l ta a nd mak ing i tf i t f o r h ab i ta t ion .

A l though q ua l if i ed b y a " pe rhaps " , Ch i lde h a s c augh t ag l imp se o f r e sou rce c oncen tra t ion . H ec l ea r ly i mp l ies t ha tt he p resence o fw i ld f ood r e sources i n Me sopotam ia may h ave d rawn p eop le t he re i ns i zab le n umber s b e fore t he c om ing o fa g r icu l tu re . Thu s , when a g r icu l tu re a r r ived o n t he s cene , t he s e t t le r s w ou ld a l ready h ave b een i n p lace i n Mesopo tam ia , r eady t o c l ea r a nd c u l t iva te t he l and s o i tc ou ld e nhance t he ir s ub s i s tence . Now , wha t a bou tt he N i le V a l ley? Ch i lde s ays l i t t le a bou tt he w i ld f ood r e sou rce s t ha t o nce e x i s ted a long t he N i le , b u t o the r a u tho rs p rov ide u s w i th a g ood a ccoun t o f t h i s . F or e xamp le , t he E gyp to log i s t F ranc i s L . G r if f i th ( 1910 : 4 5 ) w ro te : H ere i n a nc ien t t ime s w ere f ound t he o ryx , a ddax , i bex , g a ze l le , b uba le , o s tr ich , h yena a nd p orcup ine , more r a re ly t he w i ld o x a nd w i ld s heep ( 0 . t r ag e laphu s ) . A l l o f t hese w ere c on s idered f i t f o r t he t ab le . . . P igeon s a nd o ther b ird s w ere c augh t i n t raps , a nd q ua i l s w ere n e t ted i n t he f i e lds . . . E nor mou s q uan t i t ie s o fw i ld -f ow l o f many s or ts w ere t aken i n c l ap -ne ts , t o b e p re served i n j ar s w i th s a l t . F ish w ere t aken s o me t im es i n h and n e t s , b u t t he p ro f e s s iona l f i sherm en w i th t he ir d raw -ne ts c augh t t he m i n s hoa l s . The f i sh ing i ndu s try wa s o fg rea t i mpor tance : t he a nnua l c a tch i n t he L ake o f Moer i s , a nd i t s c ana l f o rmed a n i mpor tan t p a r t o ft he E gyp t ian r evenue . The f i sh o ft he N i le , wh ich w ere o f many k inds ( i nc lud ing mu l le ts , e t c . , wh ich c ame u p f r om t he s ea ) , w ere s pl i t a nd d r ied i n t he s un : o ther s w ere s a l ted a nd s o p re served .

G r if f i th wa s w r i t ing a bou t Dyna s t ic t ime s , b u t i fa nyth ing , t he g ame a nd f i sh a nd f ow l p resen t i n a nd a l ong t he N i le i n p re -Neo l i th ic t imes mu s t h ave b een e ven more a bundan t .

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L ake Moe r i s , wh ich l a y i n wha t i sn ow t he b a r ren F ayum d ep res s ion , w a s o nce a mos t a t trac t ive a rea f o r s e t t lemen t . A round t h i s l a ke h ave b een f ound t he r e ma in s o f many e a r ly N eo l i th ic v i l lages —perhap s , Ch i lde t hough t , t he e a r l ie s t s uch v i l lages i n a l l o f E gyp t .

And L ake Moe r i s , G r if f i th t e l l s u s , w a s w e l l s t ocked w i th f i sh .

E ven

d ur ing P a leo l i th ic t imes t he l a ke h ad b egun t o a t trac t h uman s e t t lemen t , f o r , a s Ch i lde ( 1948 : 7 0 ) n o te s , " Round t he l a ke t ha t o nce f i l led t he F ayum d ep res s ion t he n umber o f O ld S tone Age t oo ls i sc er ta in ly i mpos ing" . H e i sn o t r eady t o s ay t ha t t he F ayum w a s d en se ly p opu la ted d u r ing t he l a te P a leo l i th ic b ecau se t he s tone t oo ls f ound t he re a rcheo log ica l ly " have t o b e s p read o ver s o many t hou sand y ea r s t ha t t he p opu la t ion t hey a t te s t [ t o ] may b e e x iguou s" ( Ch i lde 1 948 : 7 0 ) . S t i l l , h e re i s wha t Ch i lde s e es h appen ing a round L ake Moe r i s w i th t he a r r iva l o f a g r icu l tu re : " . .qu i te a b rup t ly t he s hore o f as o mewha t s h runken l ake i sf ound t o b e f r inged w i th a c ha in o f p opu lou s h am let s , a l l s e em ing ly c on tempo ra ry a nd d evoted t o f a rm ing . The N i le v a l ley f r om t he F i rs t C a ta rac t d own t o C a i ro i sq u ick ly l i ned w i th ac ha in o f f l ou r i sh ing p ea san t v i l lages , a l l s eem ing t o s ta r t a bou t t he s a me t ime a nd a l l d eve lop ing s t ead ly d own t o 3 000 BC" ( Ch i lde 1 948 : 7 0 ) . The s imp les t e xp lana t ion f o r t h i s r ap id d ep loymen t o f N eo l i th ic v i l lages i st h i s : t here wa s a l ready a l a rge p opu la t ion o f h un ters , f i she rs , a nd g a the re r s a round L ake Moer i s when a g r icu l ture wa s i n troduced . And t he se p eop le , who w ere b y t hen a t l e a s t s em i -seden ta ry , t ook f u l la dvan tage o f wha t a g r icu l tu re a l lowed a nd b egan l i v ing i ns e t t led v i l lages . The p resence o f as i zab le , p re -ag r icu l tu ra l p opu la t ion a l ong t he N i le w ou ld n a t u ra l ly h ave s hortened t he t ime n eeded t o p roduce p opu la t ion p res su re t he re . Thu s , i t w ou ld h ave a cce lera ted t he p roce s s t ha t l e d e ven tua l ly —and Iw ou ld s ay i r r es i s t ib ly — t o t he r i se t o t he s ta te o n t he b anks o ft he N i le . L ook ing s ou th o ft he S aha ra , w e f i nd e v idence t ha t r e sou rce c oncen t ra t ion may h ave p layed a r o le i n t he r i se o f t he f i r s t n a t ive s ta te s t he re t oo . Two a rea s where t h i s s e em s t o h ave b een t rue a re We s t A f r ica a nd t he I n ter lacu s tr ine r eg ion o f E a s t A f r ica . The e a r l ies t k nown s ta te s o f We s t A f r ica w e re Ghana , Ma l i , S ongha i , Kanem , a nd B ornu . Ghana , t he f i r s t N eg ro s ta te o f wh ich w e h ave a ny k now ledge , w a s l o ca ted o n o r n ea r t he N ige r R iver , wh i le t he S ongha i k ingdom wa s l o ca ted r i gh t o n t he m idd le N iger , a nd t he s ta te o f Ma l i h ighe r u p t he N iger . The k ingdom o f Kanem b o rdered t he n or thea s te rn s hore o f L ake Chad , wh i le B ornu w a s l o ca ted o n t he s ou thwe ste rn s ho re .

The q ues t ion i s , t hen , w e re t he N iger R iver a nd L ake C had a rea s o f r e sou rces

c oncen tra t ion? And t he a n swe r s e em s t o b e y es . L e t u s l ook a t t he e v idence . I n h i s E conom i c H i s tory o f Wes t A f r ica , A . G . H opk in s s ays : " F i sh ing w a s p rac t i ced . . . in many i n land w a ter s [ o f We s t A f r ica ] , t wo o ft he l a rges t c en te r s b e ing L ake Chad a nd t he g rea t b end o ft he N iger i nt he Wes te rn S udan " . And , h e c on t inue s : " Spec ia l ized c o mmun i t ie s o f h igh ly s k i l led f i shermen a re k nown t o h ave d eve loped i n t he se a rea s a t a n e a r ly d a te " ( 1973 : 4 3 ) , c h ie f among t hem b e ing t he S orkawa a nd t he B ozo . H opk ins g oe so nt on o te t ha t " the a va i lab i l i ty o ff i sh f l uctua ted w i th t h e . . .d if f eren t f l ood p e r iod s o f t he r i ver s , s o f i she rmen t ended t o m igra te i n s ea rch o f t he i r c a tch " ( 1973 : 4 3 ) . Thus , " the S o rkawa a nd B ozo t rave l led h und red s o f m i les e ach y ea r a long t he N ige r" ( 1973 : 4 3 ) , l ook ing f o r t he b e s t p laces t o f i sh . S o b oun t ifu l w e re t he i r c a tches t ha t d ur ing t he 1 6 th c en tury b o th t he S o rkawa a nd t he B ozo " pa id t he ir t axes t o t he r u ler s o ft he S ongha i emp ire e xc lu s ive ly i n d r ied f i sh " ( 1973 : 4 3 ) . S ome i dea o ft he magn i tude o ff i sh a va i lab le i nt he N iger c an b e g a ined f r om t he f a c t t ha t a s r ecen t ly a s 1 954 t he t own s o f Mop t i a nd S egou o n t he m idd le N ige r e xpo r ted t o t he I vo ry C oa s t n o l e ss t han 1 0 ,000 t o 1 2 ,000 t ons o f d r ied f i sh a y ea r ( Hopk ins

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1 973 : 2 46 ) . Du r ing t he f i r s t m i l lenn ium AD , when t he e a r l ie st s ta tes w ere a r i s ing i n t h i s r eg ion , t he f i sh s upp ly mu s t h ave b een a t l e a s t a s p len t i fu l . L ake Chad a l so s e em s t o h ave b een w e l l p rov ided w i th w i ld f ood s . S peak ing o f t he n o r the rn a nd n or thwe s te rn s ho res o ft he l a ke o ne s ource s ays : " Th is r eg ion a bound s i n b ig g ame a nd b i rd s a re p l en t ifu l . . . F i sh a bound i n i t s w a te r s . . ." 7 86-787 ) .

( Anony mou s 1 910 :

I t s e em s f a ir t o c onc lude , t hen , t ha t ar i ch s ub s t ra tum o f w i ld f ood r e sou rces e x i sted a long t he b anks o f t he N ige r a nd t he s ho res o f L ake Chad i n e a r ly t ime s , a nd t ha ti t wa si n st rumen ta li nd raw ing h uman p opu la t ion sh ere a nd a l low ing t he m t of l ou r i sh a nd mu l t ip ly . Th is i n t u rn w ou ld h ave p rov ided t he i mpetu s f o r t he p opu la t ion p res su re t ha t l ed t he se a rea s t o d eve lop s ta tes b efo re t he s u r round ing r eg ions h ad d one s o . I n t he I n ter lacu s t r ine r eg ion o f E a s t A f r ica , w edged b e tween L akes V ic tor ia , A lber t , T angany ika , K ivu , E dwa rd , a nd Kyoga , e a r ly E u ropean e xp lo rers f ound a s u r p r i s ing n umber o f n a t ive s ta te s . And t he c lu s ter ing o f s o many s ta tes i n t h i s r eg ion h a s c on t inued t o i mp re s s o b se rver s d own t o t he p re sen t d ay . Thus Mu rdock ( 1959 : 3 54 ) s ays t ha t " Ruanda a nd U ganda . . .a re c ha rac ter ized b y t he e x trao rd ina ry p reva lence o f d e spo t ic s ta te s " . And F a l lers ( 1965 : 2 3 ) h a s made a s im i la r o b serva t ion : Mos t o ft he B an tu P eop les o f Uganda , n or thern T angany ika a nd Ruanda-Urund i t ra d i t ionaly h ad p o l i t ica l s ys te m s o f t he c en tral i sed s ta te t ype . E thnog raph ica l ly mos t f a mous among t he se B an tu s ta tes a re Buganda , B imyoro a nd Anko le , b u t t he c om p lex i s mu ch w ider , e x tend ing s ou th -we s t a round l ake V ic tor ia t o i nc lude t he T oro o f Uganda . . . t he Ruanda a nd Rund i o f Ruand i-Urund i a nd t he Haya , Z on za , Ha , Nyamwez i a nd o ther p eop le s o fn or th -we s tern T angany ika .

Tha t t he re w a s a n u nusua l c oncen tra t ion o f s ta te s i n t he I n ter lacu s tr ine b a s in h a s t hus n o t e s caped a t ten t ion . Wha t h a s g one u nperce ived , t hough , i st he b a s ic c au se f o r t he r i se o f s o many s t a te s h e re . D eba te s t i l l r ages o ver whe the r o r n o t t hese s ta tes a ro se t hrough t he c onque s t o f aw eak a g r icu l tu ra l ma jor i ty b y as t rong p a s to ra l m inor i ty ( e . g . , F a l lers 1 965 : 2 7-29 ; Ko t tak 1 972 : 3 53-353 ) . Bu t n o o ne , a s f a r a s Ic an t e l l , h a s p o in ted t o wha t s e em s t o me t he u nde r ly ing r ea son f o r s ta te f o rma t ion h ere —the a t trac t ion o f p eop le t o t he s ho re s o f t he se l akes b ecau se o f t he f ood r e sou rce s a va i lab le t h ere , a nd t he e ven tua l p opu la t ion p res sure t hus p roduced . Add ing t o t he l i ke l ihood t ha t r e source c oncen tra t ion w a s wha t t r igge red s ta te f o rma t ion h e re i st he f a c t t ha t t hose p eop le s who l a y o u ts ide o ft he I n te r lacu str ine r eg ion , whe the r t hey w e re B an tu speake r s o r H am i t ic -speake r s , n eve r d eve loped s ta tes . The l i t t le r e sea rch Ih ave d one s o f a r o n t he e co logy o f t he G rea t L ake s o f E a s t A f r ica i nd ica tes t ha t t he se l a ke s p rov ided s i gn if ican t amoun ts o f f i sh a nd o ther w i ld f ood s f o r t ho se who dwe l led a long t he i r ma rg in s . F or e xamp le , i n p reh i s to r ic t imes , t h e Wi l ton C p eop le who l i ved a l ong t he l a kes l e f t " huge s he l lf i sh m idden s . . ." ( Co le 1 963 : 4 6 , c i ted i n Ko t tak 1 972 : 3 54 ) .

And o f modern -day i nhab i tan ts o f t he r eg ion ,

Mu rdock ( 1959 : 3 52 ) s ays : " The I n te r lacu s tr ine p eop les d epend v e ry l i t t le o nh un t ing a nd g a ther ing , b u t many o ft hem f i sh e x tens ive ly . . ." B r ie fa s i ti s , t he e v idence g a thered s of a r s ugges ts t ha t r e sou rce c on cen tra t ion e x i s ted i n t he I n te r lacu s tr ine r eg ion a nd e ven tua l ly p roduced t he e xpec ted r e su l ts . F rom o ne p o in t o fv i ew , t h i s a rea m igh t mo re a pp ropr ia te ly b e c a l led " C i rcum l a cu s tr ine" r a ther t han " In ter lacu s tr ine" . The f o rme r t e rm w ou ld h igh l igh t t he l ake ma rg ins a nd t he ir e xp lo i ta t ion i n t he u l t ima te p o l i t ica l d eve lopmen ts o f t he a rea . Bu t t h ere i sa l so a g ood r ea son f o r r e ta in ing t he t e rm " In te r lacu str ine" , b ecau se i tp o in ts t o t he g eograph ica l b oundednes s o ft he r eg ion . And i ndeed , ag lance a t t he map s hows t ha t i tw a s , t o ac on s iderab le d eg ree , e nv i ronmen ta l ly c i rcum scr ibed .

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P a r t o ft he c i rcum sc r ip t ion w a s p rov ided b y t he l akes t hem se lves , wh i ch f o rmed ap a r t ia l r i ng e nc lo s ing a n e l l ip t ica lp ocket o fl and . And i na dd i t ion , t he M i tumba Moun t a in s t o t he w es tf o rmed as o r t o fr ocky s p ine t ha t f u r ther b ounded t he a rea , c on t r ibu t ing s t i l l more t oi t sc i rcum scr ip t ion . Thu s , b e ing i mpac t ed b e tween l a kes a nd moun ta ins , a nd d raw ing o n t he l akes ' b oun t i fu l w a ter s f o r s ub s i s tence , t he e a r l ier i nhab i tan ts o ft h is r e g i on l i ved u nde r t wo c ond i t ions t ha t f avo red s ta te f o rma t ion . And , a s w e h ave s e en , t hey r e sponded t o t hese c ond i t ions b y e ven tua l ly g i v ing r i se t o al a rge n umber o fs ta tes . R e tu rn ing t o A s ia , i n t he c a se o f N or th Ch ina w e a ga in f i nd ar i ver o f er ing p re N eo l i th ic p eop le s as t rong i nduce men t t o s e t t le a l ong i t s b anks . A cco rd ing t o t he F rench S ino log is t J acque s G erne t ( 1968 : 4 7 ) : " A t t he e nd o ft he s e cond m i l lenn ium [ BC ] , Y e l low R iver Ch ina w a s q u i te u n l ike wha t i tb ecame a t t he b eg inn ing o f t he Emp ire . A l l t he a va i lab le e v idence s how s ac oun try s t i l l c overed b y g rea t f o re sts a nd v a s t ma r sh es , w i th a n a s ton i sh ing n umber o f b i rd s , f i sh , a nd g ame o f e very s i ze . " N eed mo re b e s a id? Mov ing t o t he N ew Wo r ld , l e t u s l ook f i r s t a t t he V a l ley o f Mex ico . I n e a r ly t ime s , t h i s l a rge i n ter io r b a s in c on ta ined f i ve l a ke s : T excoco , wh ich wa s b ra ck i sh , a nd f our o the rs , Z umpango , Xa l tocan , Cha lco , a nd X och im i lco , wh ich w ere s wee t . O f t h i s b a s in d u r ing p re -C la ss ic t imes , G eorge V a i l lan t ( 1966 : 4 9-50 ) w ro te : " The l a ke s w e re s ha l low a nd t he i r ma rshy s hores , t h ick w i th r e ed s , a t t rac ted a t e em ing a bundance o f w i ld f ow l . On t he w ooded moun ta in s l opes d eer a bound ed" . V a i l lan t ( 1966 : 1 42 ) l a ter l i sted s o me o ft he w i ld f ood s a va i lab le i nt he V a l ley o f Mex ico : " The s ea sona l m ig ra t ion s o ft he b i rd s , wh ich s t i l l v i s i t t he l akes o f Mex ico , o f e red ap rofus ion o f g eese , d ucks a nd o ther w i ld f ow l . Sma l l f i sh , n e t ted o r s pea red w i th at r iden t , w e re s o met imes c on sumed , a nd t he e ggs wh ich a c e r ta in f l y l a ys o n t he l a kes w ere made i n to a p a s te s t i l l e a ten i n Mex ican c ommun i t ies " . Mu r ie l P or ter Weaver n o tes t ha t t he " l a rge l a ke s i n t he B a s in o f Mex ico c on t a ined av a r ie ty o ff i sh , r ep t i les , amph ib ian s , a qua t ic b i rd s , a nd i n sec ts t ha t p rov ided a n e a sy d a i ly f ood s upp ly" . L a te r , s peak ing o fL ake Cha lco i np a r t icu la r , Weaver ( 1981 : 1 7 ) s ays : " The l a ke w a s n eve r v ery d eep b u t wa s i d ea l f o r f r esh -wa ter mo l lu sks , t u r t les , a nd f i sh , wh i le t he s wampy s hore l ine wa s c overed w i th c a t ta i l , r eeds , w a ter l en t i ls , a nd a v a r ie ty o f a qua t ic p lan ts . . .

R ema ins o f wh i te ta i led d eer , r abb i t , d og o r c oyo te , s ma l l

r oden ts , a nd f i sh a nd t u r t les h ave a l l b een p re se rved . B e tween N ove mbe r a nd May , m igra to ry b i rd s f l ocked i n to t he Cha lco r eg ion t o s pend a more p l ea san t w in te r . The i nven tory i n c ludes C anad ian g eese , d ucks , p in ta i l s , ma l la rd s , t ea l s , a nd t he Amer ican c oo t . When w e v i sua l ize t he magn if icen t . . .set t ing . . .comb in ing a dequa te r a infa l l , f i ne a l l uv ium s o i l s , aw ea l th o ff auna l a nd f l o ra l r e sou rces , w e c an s ee t ha t t h is wa s a n o p t ima l e co log ica l a rea i n wh ich t o l i ve" (Weave r 1 981 : 4 5-46 ) . We c an c onc lude , t hen , t ha t a s f a r a s c ond i t ion s f o s ter ing s ta te f o rma t ion w ere c oncerned , t he V a l ley o f Mex ico w a s d oub ly f a vo red . On t he o ne h and , i t wa s r i nged b y moun ta ins wh ich t i gh t ly c i rcum scr ibed t he v a l ley , a nd o n t he o ther i ts uppor ted ag rea t v a r ie ty a nd a bundance o fw i ld f ood s s uf f i c ien t t o a t tra c t p eop le i n l a rge n umbe r s . I t i s n o t a t a l l s u rp r i s ing , t hen , t ha t as ta te s hou ld h ave em erged h ere e a r ly i n p reh i s tory . Wha t i s s urp r i s ing t o many a rcheo log i sts , t hough , i st ha t as ta te —or a t t he v e ry l e a s t a max ima l c h iefdom ( s ee C a rne i ro 1 981 : 4 7 )— s hou ld h ave emerged i n t he a rea o ccup ied b y t he O lmec . A s Weaver ( 1981 : 6 7 ) n o te s : " The O lmec h ea r t land i st oo h o t , t oo h um id , a nd t oo t r op ica l a nd r a iny t o b e s i ng led o u t b y a nyone t oday a s ac ho ice p lace t o l i ve" . N one the le s s , whe ther w e c l a s s i fy i t s p o l i t ies a s c h ie fdom s o r s ta tes , t he O lmec p roduced a c u l ture t ha t w en t f a r b eyond t he l e ve l o f a u tonomous v i l lage s . H ow d id i th appen? M ichae l C oe , t he c h ief i nves t iga tor o f t he O lmec , s eems r eady t o emb race t he c i rcumscr ip t ion t heory i n o rde r t o a ccoun t f o r t h i s d eve lopmen t . H e w r i tes a s f o l lows :

2 54

F ro m o ur w ork a t t he s i te c o mp lex o f S an L oren zo T enoch t i t lan , w e h ave g a thered ag rea t d ea l o f e v idence t o s how t ha t t he move t owa rd s oc iopol i t ica l c o mp lex i ty , b e g inn ing s o me t ime b e fore 1 200 BC , f olowed t he l i nes o f Ca rne iro ' s " c ircum scr ip t ion t heory" ( Ca rne i ro 1 970 ) . I n f ac t , t he p roce ss mu s t h ave f o l lowed t he s a me s cena r io [ a s ] f o r t he m idd le Ama zon c h ie fdom s , w i th r e s tr ic ted r i ver l e vee l ands o f i mmen se ly h igh p roduc t iv i ty b e ing c o -op ted b y o ne o r more l i neages t h rough s ucce s s i n w ar . I n t h i s c a se , i fo ne h a s t o l ook f o r p r im e mover s , t hen t he f a c tor s i nvoked b y C a rne iro f i t t he c ase v ery w e l l , i ndeed ( Coe 1 981 : 1 65 ) .

The O lmec r eg ion d oes , i n f a c t , s e em t o a ford a c on sp icuou s c a se o f r e sou rce c oncen tra t ion . A s Weaver ( 1981 : 6 7 ) n o te s : " th is i s av e ry r i ch a g r icu l tu ra l a rea t ha t o f e red a n a lmos t i n exhau s t ib le f ood s upp ly . . ." Bu t e ven b efo re t he l and wa s t apped f o r a g r icu l tu re , t he r i ve rs a nd l a kes o f t he O lmec r eg ion o f ered a r i ch s ou rce o f f i sh , wa ter f ow l , r ep t i le s , a nd amph ib ian s . We c an s uppo se , t hen , t ha t a t q u i te a n e a r ly p e r iod t he O lmec a rea b egan a t trac t ing s i gn if ican t n umbers o f p eop le , a nd c on t r ibu ted t o t he r ap id i n crea se o f t ho se who s e t t led t here . B y t he s econd m i l lenn ium BC , t he p opu la t ion c oncen tra ted h ere wa s s uf f i c ien t t o p e rm i t O lmec c u l tu re , w i th i t s v a r ious i mpo s ing man i f es ta t ion s , t o a r ise . F rom Me soamer ica l e t u s t u rn n ex t t o S ou th Amer ica a nd t he c oa s t o f P e ru . Th i s c oa s t , s ha rp ly d e l im i ted b y d e ser ts , moun ta in s , a nd t he s ea , i s , f r om a n e nv i ron men ta l p o in t o f v i ew , o ne o f t he mo s t h igh ly c i rcum scr ibed r eg ions i n t he w o r ld . Bu t b e s ides i t s c i rcum scr ip t ion i tw a s a l so a no u ts tand ing a rea o fr e sou rce c oncen tra t ion . The a rcheo log is t M ichae l Mo se ley h as h ad much t o s ay a bou t t he n a tu ra l f ood r e sou rces o f t h is a rea : The c oa s ta lb io ma s s [ l i v ing o f shore i n P eru ] i st he r i che s t i n t he Wes tern H em i sphere , i fn o t t he w or ld . . . (Mo se ley 1 975 : 4 4 ) . .here mar ine p lan ts —such a s d ia to m s a nd o ther p hy top lank ton — f l ou r i sh i n p ro fu s ion . . . The mu l t i tude s o f ma r ine p lan ts p rov ide l u sh p a s tu rage t ha t u nder l ie s ap rod ig iou s c ha in . B il ion s o f c epepod s a nd o ther m inu te h erb ivores f o rm g ra z ing p opu la t ion s f ed u pon b y mu l t i tudes o fo ther i nver tebra tes a nd sma l l f i she s , i n c lud ing v a s t s choo l s o fa nchov ies . These a n i ma l s a re , i n t u rn , p rey f o r a p rofu s ion o fl a rger o rgan i sm s . A s t he e nergy t ran sf er moves t o h igher l eve l s i nt he f ood c ha in i ts u s ta in s p inneped s a nd o ther mar ine a n i ma l s , a s w el a s t he l a rge s tp opu la t ion o fo cean ic b i rd s f ound a nywhere i n t he w or ld (Mo se ley 1 975 : 1 0 ) .

And i t wa s t h i s l a v i sh ma r ine f ood b a se , r a ther t han a g r icu l tu re , Mo se ley a rgues , t ha t s t imu la ted t he d eve lopmen t h ere o n t he c oa s t o ft he f i r s t h igh c u l tures o fP e ru : [ The se ] ma r i t im e r e sou rces u nderw ro te t he mo s t s i gn if i can t c u l tu ra l c hange s t ha t t ran s p i red [ i n P eru ] d ur ing t he P recera m ic S tage . They f o s tered a s eden ta ry way o f l i f e a nd s uppo r ted a marked g row th i n t he s i ze o f t he c oa s ta l p opu la t ion .

The se p he -

n om ena a l so r e su l ted i nt he d eve lop men t o fp ermanen t ly o ccup ied s e tt le m en ts h ou s ing l a rge n umber s o fp eop le , a nd i t wa s i n t h is c on tex t t ha t c o mp lex s oc ia l f o rm s a nd t he b eg inn ing s o fc i v i l iza t ion f i r s t a rose (Mo se ley 1 975 : 4 7 ) .

When a g r icu l ture f i na l ly a r r ived o n t he c oa s t o f P eru , t he l a rge , s e t t led , a nd c omp lex s oc ie t ies t ha t h ad a l ready a r isen h e re w ere w e l l p repa red t o t ake t he n ext e vo l u t iona ry s t ep s . I n n o o ther p a r t o f t he w o r ld , a ppa ren t ly , d id p re -ex is t ing w i ld f ood r e sou rces p e rm i t c u l tu re t o e vo lve s o f a r b efo re t he f u l l -f ledged a dop t ion o fa g r icu l tu re . F ina l ly , w e c ome t o N o r th Ame r ica . Do w e f i nd o n t h is c on t inen t p reh is to r ic i n s tance s o f t he o pe ra t ion o f r e sou rce c oncen tra t ion? I ndeed w e d o . Anyone f am i l ia r w i th t he l a te p reh is tory o f t he L owe r M is s i ss ipp i , a nd e spec ia l ly w i th s uch f e a tures o f i t a s Monk 's Mound a t C ahok ia , n eed n o t b e t o ld t ha t i n p re -Co lumb ian t imes t h i s r eg ion s pawned e l abora te c h iefdom s , a nd q u i te p os s ib ly a s ta te .

S uch p o l i t ica l d eve lopmen ts

o ccur red h e re , It h ink , b ecau se t he M is s i ss ipp i a nd i t s l a rger t r ibu ta r ies , i n a dd i t ion t o p o sses s ing v ery r i ch a l luv ia l s o i l , s uppo r ted a n e normou s v a r ie ty a nd a bundance o fw i ld f ood t ha t wa s r ead i ly a va i lab le f o r h uman s us tenance . I n 1 970 Ir e cogn i zed t h is f ac t a nd

2 55

a l luded t o i t , t hough b r ief ly , i n af oo tno te t o my a r t ic le o n t he o r ig in o ft he s ta te . Du r ing t he i n terven ing 1 6 y ea r s , t he e v idence f o rt h is h a si nc rea sed d rama t ica l ly . L e tu s e xam ine s o me o fi t . F i r s t , t hough , Iw i l l q uo te t he f o l low ing s ta temen t b y B ruce Sm i th a bou t t he l o ca t ion o fM is s i ss ipp ian s e tt lemen ts g enera l ly : I tw a s w i th in t he meander -be l t z one o ft he l ow er a l luv ia lv a l ley o ft he M i ss i s s ipp i R iver t ha t t he M i ss is s ipp ian c u l tura la dap ta t ion f i r s ta ppea red , a nd where t he ma jor d eve lop men to fM i s s is s ipp ian c o mmun i t ie st ook p lace . S ub sequen t e xpan s ion o f . . .M is s i ss ipp ian [ c u l tu re ] . . . wa sp r i mar i ly a long t he ma jor f l oodp la in v aley c or r idor sf o rm ed b yt he t r ib u tar ies o ft he M i s s i s s ipp i R iver . E ven t ho se M i s s i ss ipp ian s e t t le m en ts e s tabl i shed o u t s i de t he d ra in inge o ft he M iss i s s ipp iR iver w ere s i tua ted ,w i th f ew e xcep t ions ,w i th in t he v aley o f ama jor r i ver . I th a sb een r ecogn i zed f o r an umber o fy ea r s t ha t . . .M i ss i s s ipp ian I c u l ture ] . . .wa s l a rge ly r e s tr ic ted t o t he meander -be l t z one s o f t he r i ver v a l ley s o f t he E a s tern Un i ted S ta tes . Wha t h a s n o t b een g eneraly r ecogn ized i s t ha t t h is r e s tr ic t i on o f M i s s is s ipp ian p opu la t ion s t o f l oodp la in s i tua t ions w a s n o t s imp ly b ecause o f t he a va i labl i ty o f e a s i ly t i led a l luv ia l s o i l s . Ra ther , [ i t ] . . .wa s af unc t ion o f t he s pe c if i c , c o mp lex a dap ta t ion b y M i s s i s s ipp ian p opu la t ion s t o t h is h ab i ta t z one c o mpo sed o f l i nea r b ands o f c i rcum scr ibed a g r icu l tura l l and a nd c onc en tra ted b i o t i c r e sour c es ( Sm i th 1 978 : 4 81 ; empha s is m ine ) .

B e fore l ook ing more c l ose ly a t t he se " l inea r b ands o f . . .concen tra ted b io t ic r e s ou rces " , i ts hou ld b en o ted t ha t e ven o u ts ide t he v a l ley b o ttom s g ame w a sp l en t ifu l . The s u rround ing f o res ts h a rbo red b ea r s , d eer , e l k , t u rkeys , r accoon s , w oodchucks , b eaver s , muskra ts , r abb i ts , a nd s qu ir re l s i n v e ry l a rge n umbe r ( S truever a nd H o l ton 1 979 : 1 541 55 ) . H owever , i tw a s t he w a ter s o f t he meande r -be l ts wh ich c on tr ibu ted i n g rea tes t mea su re t o t he n a t ive d i et o fw i ld f oods . S peak ing o ft he I l ino is R iver i n p a r t icu la r , b u t h av ing i n m ind a c on s iderab ly l a rger a rea , R ober t E . Wa r ren ( 1982 : 6 5-68 ) w r i tes : I ng enera lt e rm s , f i sh r epre sen ted ama s s ive ,p red ic tab le , a nd h igh ly r enewab le r e sou rce t ha t wa s r e la t ive ly e a sy t o c olec t . T h i s w a s e spec ialy t rue d u r ing s pr ing s pawn ing p er iod s i n f l ooded b ackwa ter l akes a nd a l so d ur ing s ummer a nd f a l l when l ake s e vap o ra ted a nd t rapped d en se p opu la t ion s i n smal , s halow , r ead i ly h arve s tab l e l oca les . . . M ig ra tory wa ter fow l a l so w ere a bundan t s ea sona l ly a nd i nc luded a t r em endou sv a r ie ty o f d uck s , g ee se , s wans , a nd wad ing b i rd s . Many o f t hese a re c ha rac ter ized b y ar e la t i ve ly h igh mea t y i e ld a nd l a rge c lu tch s i ze , a nd h uge f l ock s r ou t ine ly made s t opover s a l ong t he M is s is s ipp i a nd i t s ma jor t r ibu ta r ie s .

L ook ing mo re c l ose ly a t f i sh , wh ich w ere p robab ly t he ma jor s i ng le c omponen t o f t he w i ld f ood d i e t o f t he m idd le M is s i s s ipp i V a l ley , h ere i s wha t S tua rt S truever h a s c onc luded o n t he b a s i s o fh i s f i nd ings a t t he Ko s te r s i te : F i sh w ere av ery i mpor tan t p a r t o ft he ir [ t he A rcha ic p eop le s ] d ie t , a s w ere f r e shwa te r mu sse l s . Among t he f i sh t hey a te w ere b a s s , b uf f a lo f i sh , b owf in , c a t f ish , s unf i sh , a nd f r e shwa ter d rumf i sh . The amoun t o f f i sh r e ma in s [ f ound a t t he s i te ] c ame a s a s urpr i se . Appa ren t ly E ar ly a nd M idd le A rcha ic p eop le i nc luded a g rea t d ea l o f f i sh i n t he ir d ie t . I t h ad p rev iou s ly b een a s sumed t ha t d ur ing t h i s l ong p er iod ( 80002 500 BC ) t he a bor ig ine s h ad l i ved p r i ma r i ly o n l and mamma l s a nd a f ew p lan ts . Bu t t he Ko s ter e v idence t el s ad if eren t s t ory . A s e a r ly a s 6 500 BC t hey w ere e a t ing e normou s q uan t i t ies o f f r e shwa ter f i sh a nd mu s se l s . The mo s t f a sc ina t ing r eve la t ion f r om t he f i sh r e ma in s wa s t ha t a s e a r ly a s 3 900 BC , when t he f i r s t o f as e r ie s o fl a rge v ilage s wa s e s tab l ished a t Hor izon 6 , Ko s ter p eop le w ere h arve s t ing f i sh l i ke w eh a rve s t p lan t c rop s , t ak ing v a s tn u mber s a t at ime . . . We a l so f ound f i sh b one s t ha t w ere smoke b lackened . Appa ren t ly Hor izon 6p eop le w ere smok ing s o me o f t he ir f i sh h arves t a nd s t or ing t he d r ied f i sh f o r u se d u r ing t he l ean w in ter mon th s , when f r e sh f ood s w ou ld h ave b een s ca rce ( S truever a nd H o l ton 1 979 : 1 55-156 ) .

S trueve r t hen c i tes a n e s t ima te b y af i sh b io log is t t ha t " Ko ste r p eop le may h ave b een a b le t o t ake f r om t h ree h undred t o s i x h undred p ounds o f f i sh p e r a cre o f w a ter i n t he b ackwa te r l akes . When y ou c on s ider t ha t s o me o f t hese l akes c ove red a s

2 56

much a s s evera l h undred a cres , y ou c an s ee t ha t h a rves t ing t he c rop f r om j u s t o ne l ake w ou ld h ave b een a v ery p roduct ive v en ture f o r e ven a sma l l g roup o f p eop le . The f i sh p opu la t ion s i n t he I l ino is a nd M iss i ss ipp i R iver V a l ley f l oodp la ins may w e l l h ave made t hese t wo a rea s among t he mos t p roduc t ive f o r t housand s o fs qua re m i les" ( S truever a nd H o l ton 1 979 : 1 57 ) . We may n ow a sk , wha t e f ec t d id t h is mode o f s ubs is tence h ave o n s e tt le men t p a tterns? L e t u s l i s ten t o Emerson a nd McE l ra th ( 1983 : 2 31 ) o nt he s ub ject : " The sma l l , c ons tan t ly s h if t ing , mob i le b ands o fh un ters a nd g a therers s t i l l d om ina te many s cho la rs ' r e sea rch o n t he A rcha ic . . ." H owever , " there i sl i tt le e v idence t o s upport t h is l a tter mode l f o r t he T er m ina l L a te A rcha ic c u l tures o ft he Amer ican B o tto m . Da ta i nd ica te t ha t t hese c u ltu ra l g roups h ad a dop ted a s eden ta ry l i f e -s ty le a s ar e su lt o f t he ir e xp lo i ta t ion o f t he r i ch e nv ironmen t o f t he r i ver v a l ley" . A l l o ft h is e v idence makes t wo t h ings v ery c l ea r . F irst , t he M iss i ss ipp i R iver a nd i t s l a rger t r ibu ta r ies a forded t he I nd ian p opu la t ion wh ich o ccup ied i ta n i n ca lcu lab le w ea l th o f w i ld f ood .

And s e cond , t h is b oun t i fu l s ubs is tence h ad a l ready g i ven r i se t o

r e la t ive ly d en se a nd s e tt led p opu la t ion s h ere , e ven b efore t he A rcha ic P er iod c ame t o a n e nd . Thus , t hese a reas o f r e sou rce c oncen tra t ion b equea thed t o t he Wood land a nd M is s i ss ipp ian p eop les who f o l lowed , ab road a nd f i rm s ubs is tence b ase . And t h is s ubs is tence b ase h e lped t o g enera te t he c ond i t ions wh ich e ven tua l ly made i tp oss ib le f o r t he se a rea s t o g i ve r i se t o i mp ress ive c h iefdom s a nd p erhap s e ven s ta tes . S ummary And n ow i ti st ime t o s u mma r ize . Where d oes t he c i rcu m scr ipt ion t heory s tand t oday? S t i l l v ery much where i td id b efore , a t l e a s t w i th r egard t o t he c ond i t ions a nd t he p rocess o f s ta te f o r ma t ion . Ic on t inue t o s ee c onques t wa rfa re a s t he o n ly means b y wh ich c o mmun i t ies c ou ld b e made t o s u rrender t he ir i nd iv idua l s overe ign t ies a nd u n i te i n to l a rger p o l i t ica l u n its .

And Is t i l l s ee p opu la t ion p ressure a s t h e p ropu l s ive f o rce

n eeded t o e ngender c onques t wa rfa re . Where t he t heory h a s b een mod if ied , e l abora ted , a nd r ef ined i si n t he r o le a ss igned t o r e sou rce c oncen tra t ion . Ih ave a l tered , a nd i n s o me w ays l e ssened , t he r o le o f r e sou rce c oncen tra t ion . Y et t h is c hange e n ta i l s n o l o ss o f e xp lana tory p ower f o r t he t heory a s a who le , o n ly a g a in i n c ons is tency . A d i sgu ised v o lun ta r is t ic e l e men t h a s b een u nma sked a nd e xpe l led , l e av ing t he t heory e n t ire ly c oerc ive . A f ter l ook ing a t e v idence f r om many p a rts o f t he wor ld , In ow s e e r e source c oncen tra t ion p lay ing ( a l l t h ings c ons idered ) a much l a rger r o le t han Ip rev iou s ly e nv i s i oned . Is ee i ta s a t trac t ing p eop le s t o e co log ica l ly f avored a rea s a nd t here g i v ing r i se t o t he d ense p opu la t ions n eeded t o t r igger c onques t w a rfa re —the s i ne q ua n on o f t he c i rcumscr ipt ion t heory . I n a rea a f ter a rea — Mesopo tam ia , t he N i le V a l ley , No r th Ch ina , t he V a l ley o f Mex ico , t he O lmec a rea , c oa s ta l P eru , t he Amazon , a nd t he M iss i ss ipp i— w e h ave f ound n a ture b oun t ifu l ly o f er ing p rod ig ious q uan t i t ies o fw i ld f ood t o t hose who w ou ld c o me a nd l i ve t he re . And t h is w i ld f ood —pr ima r i ly f i sh — c ou ld b e t aken w i th t he s imp le t echno logy o f Meso l ith ic o r A rcha ic h un ters a nd g a therers — whom w e r ea l ly s hou ld r e chr is ten " f i shers a nd g a therers" . A s ar e su l t , e ven b efore t he c om ing o fa gr icu l t u re , n o t o n ly h ad r e source c oncen tra t ion d rawn p eop le t o c ho ice a rea s o fs e tt lemen t , i t h ad a l lowed t hem t o b ecome p ar t ly o r e ven f u l ly s eden ta ry . I ti se ven p oss ib le t ha t a t t he w i ld f ood s tage i n t hese c ho ice a reas , t he f i rst s t eps w ere t aken i n t ranscend ing l o ca l a u tonomy a nd f o rm ing c h iefdoms a nd p erhaps s ta tes . B ut e ven i fn o s oc iety o n e a rth e ver b ecame as ta te u n t i l a f ter i th ad a cqu ired a gr icu l tu re , i tc anno t b e d en ied t ha t r e source c oncen t ra t ion b rough t many o ft he m ag ood d ea l c l oser t o t ha t s tage b efore t hey h ad a dop ted a gr icu l tu re .

27

A t wha t r a te , o r o ve r wha t p er iod o ft ime , ag i ven r eg ion w en t f r om t he l e ve l o f a u tonomou s v i l lages t o t ha t o f as ta te d epended o n many f ac tor s . These f ac to rs i n c luded t he s i ze o f t he b a sa l p opu la t ion , t he a bundance a nd t ypes o fw i ld f ood , t he d a te o f t he i n troduc t ion o f a g r icu l tu re , t he f e r t i l i ty o f t he s o i l , t he s i ze o f t he a rea , i t s d eg ree o f e nv i ronmen ta l c i rcum sc r ip t ion , a nd s o o n . Ad e l ica te e qua t ion wa s a t w ork i ne ach a rea , a nd t he a n swer i ty i e lded d epended o n t he magn i tude o ft he p a r t icu la r f a c to r s i nvo lved . Bu t i fw e c anno t p red ic t e xac t ly when a v a l ley , p eop led i n i t ia l ly b y f i she r g a therer s , w ou ld e ven tua l ly b ecome a s ta te , w e c an c e r ta in ly i s sue a g enera l f o reca s t . Thu s , i f al a rge Meso l i th ic p opu la t ion , d rawn b y t he f i sh a nd f ow l t ha t a bounded i n t he s ur round ing w a ters , wa s i np lace e a r ly , i fa gr icu l ture s oon made i t sa ppea rance a nd f ound f e r t i le s o i l , i ft he v a l ley wa s o f mode ra te s i ze a nd t i gh t ly r i nged b y h igh moun ta in s , w e h ave e ve ry r ea son t o e xpec t much more r ap id s ta te f o rma t ion t han i ft he se c ond i t ion s w e re e n t i re ly a bsen t o r p re sen t o n ly t o a mode ra te d eg ree . O fc ou rse , t he p roce ss o f s ta te f o rma t ion i sc omp l ica ted . The v a r iab les may a c t i ndependen t ly o f o ne a no the r . Ah igh magn i tude o f o ne f a c tor may c ompen sa te f o r , o r e ven o u twe igh , t he l ow magn i tude o fa no the r . D e ta i ls a s ide , t hough , t he n e t e f ec t o fa l l t h i s s hou ld b e q u i te c l ea r : The r i se o fc h ie fdom s a nd s ta te si sn o t a dven t i t ious . I ti sn o t ama t ter o fh appen s tance b u t o f c i r cums tanc e . I t i s ad e term ina te p roce s s w i th i den t if iab le c au se s . The se c au ses , mo reover , a re n e i ther i nnumerab le n o r u nen tang leab le . They a re f ew i n n um b e r a nd p a ra l le l i n o pe ra t ion . T o b e s u re , i n a c tua l c a ses t hey o ccu r c o mb ined w i th a l l manne r o f e x traneou s a nd i ne s sen t ia l c ond i t ion s a nd e ven ts . And i tt akes a p rac t iced e ye — more , i tt akes a d i spo sed m ind — t o s epa ra te t he o ne f r om t he o the r , k eep ing t he u nde r ly ing a nd n ece ssa ry f ac tor s , a nd s e t t ing a s ide t he i r re levan t o ne s . Bu t t he q u icke r w e a re i n r e cogn iz ing t he f ew k ey f a cto r s a t w ork , a nd t he r ead ier w e a re i n a pp ly ing t hem , t he s u re r a nd t ruer w i l l b e o ur r econ s truc t ion o ft he ma jo r e ven ts o f t he p a s t .

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" Va r ia t ion i n Mis s iss ipp ian S e tt lemen t P a tterns" , i n : Mi ss i ss ipp ian S e t t lemen t P a t terns , e d i ted b y B ruce D . Sm ith , A cade m ic P ress , N ew Y ork : 4 79-503 .

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STRUEVER , S . , a nd F .A . HOLTON 1 979 . Kos ter ; Amer icans i n S ear ch o f T he i r P r eh i s tor i c P as t , Anchor P ress/Doub leday , Ga rden C ity , N ew Y ork . VAILLANT , G .C . 1 966 .

T he A z tecs o f Mex i co , R ev i sed e d it ion , P engu in B ooks , Ha rmondswor th .

WARREN , R .E . 1 982 .

" The H is tor ica l S e tt ing" , i n : T he C annon R eservo ir Human E co logy P ro jec t , e d i ted b y M ichae l J . O 'Br ien , R ober t E . Wa rren , a nd D enn i s E . L ewa rch , A cadem ic P ress , N ew Y ork : 2 9-70 .

WEAVER , M .P . 1 981 .

T he Az tecs , Mayas , a nd T he i r P r edecessors , S econd e d i t ion , A cadem ic P ress , N ew Y ork .

V VEBB , M .C . 1 984 .

" The S ta te o f t he A r t o n S ta te O r ig ins?" , R ev iews i n An thropo logy v o l . 1 : 2 70-281 .

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CO M MO N SENSE VS . OLDFAS HIO NED THEO RY IN THE INTERP RETATIO N OF THE CULTURAL DEVELOP MENT OF THE ANCIENT NEA R EAST

JA MES M ELLA A RT London Un ivers ity

I ti sp robab ly f a i r t o s ay t ha t mo s t o f u s f i e ld a rcheo log i s ts a s w ere t ra ined i n t he a r ts w i th a p redom inan t ly c l a ss ica l e duca t ion f o l lowed b y h i s to r ica l ly o r ien ted a pp roach t o p reh i s tory , f e e l i l -equ ipped when c on f ron ted b y s uch p h i lo soph ica l c oncep ts a su rban i sm , t he c i ty , c i v i l i sa t ion a nd t he l i ke , o n wh ich o u r v i ews a re a sked , a s i ti su s t ha t h ave u ncovered t hem . N obody n ow d oub ts t ha t t he v i ew s o f G o rdon Ch i lde h ave g rea t ly i nf luenced t h eo re t ica l t h ink ing a bou t t he d eve lopmen t o fc i v i l i sa t ion ; e ve ry s choo lboy k now s a bou t t he " Neo l i th ic r evo lu t ion " a nd t he " Urban r evo lu t ion " . I n t h i s c on tex t i ti so f ten f o rgot t en t ha t Gordon Ch i lde w a s ap reh i s to r ian who d id h i s p ioneer ing s tud ie s o n t he Danube —Cen tra l a nd E a s t E u ropean — , b efo re h e b ecame i n tere sted i n B r i t i sh a rch o logy . H e n eve r d ug i n t he N ea r E a s t , wh ich wa s d ef in i te ly n o t h i s f i e ld o fc ompe tence , y e t h e w a s f a sc ina ted w i th t he i dea o f E x O r ien te L ux a nd w a s i t s mo st p owe r fu l e xponen t . S uch i st he p owe r o f t he p en , t ha t h i s t hough ts ; d ec ided ly c on trover s ia l —to p u t i tm i ld ly — ,h ave t r iumphed o ver t he l e ss a r t icu la te , b u t b e t te r f ounded v iews a nd s ta temen ts o f p rac t i t ioners i n t he f i e ld . H e s yn the s ized f r om b ook k now ledge a nd w ove t he s c raps i n to amagn if i cen t t heo ry ; ap a rachu te c ove r ing t he who le N ea r E a st , E gyp t i nc luded ; i mp re s s i ve o n p ape r , f au l ty i nd e ta i l , a nd ma r red b y a na ch ron i s t ic i d eo logy . I n mode rn p a r lance i tw a s a "mode l " a nd a d a r ing o ne . I t wa s s oon t o b e p u t t o t he t e s t b y e xcava t ions o u ts ide t he t wo s uppo sed h o me l and s o f c i v i l i sa t ion : E gyp t a nd L ower Mesopo tam ia . I n t he d ecades a f te r t he S econd Wor ld Wa r , o ne e xcava t ion a f ter t he o ther s howed c onc lu s ive ly t ha t t he g eog raph ica l b a s i so f Gordon Ch i lde 's t heor ie s wa s t oo n a rrow , t he e nv i ronmen ta l s tud ies m i s judged , a nd t he t imesca le g ro s s ly u nde re s t ima ted . One a s sump t ion a f te r t he o ther w as d e mo l ished ; t h e N eo l i th ic d id n o t t ake p lace i n E gyp t o r L ower Mesopo tam ia c .4 750 o r 5 000 BC , ah ab i ta t d evo id o f t he w i ld p rogen i tor s o f whea t a nd b a r ley , b u t i n s uch p e r iphera l a rea s a s P a le s t ine , S yr ia , Ana to l ia , I r an , B a luch i s tan , e tc . , a l l p rev iou s ly r ega rded a s b a rba rou s . N eo l i th ic c u l tu re s d id n o t s p read f r om E gyp t o r L ower Mesopo tam ia t o l e ss f o r tuna te n e ighbou rs , a r r iv ing t here much l a te r . T he v ery r everse i st he c a se ; w i ld whea t a nd b a r ley w ere b rough t d own f r om t he h i l l s , moun ta in s a nd p la teau s a nd w ere g radua l ly i n t roduced i n to t he n ew e nv i ronmen t o ft he l ow land s ; a nd whe re r a in fa l l wa s i n suf f i c ien t t o e n su re t he i r g rowth , i tw a s n o t u n t i l i r r iga t ion t e chn iques h ad d eve loped t ha t t hey f i na l ly c o lon ised E gyp t a nd L ower Mesopo tam ia , t he I ndu s v a l ley e tc . b y c .5 000 BC o r a l i t t le e a r l ie r r e spec t ive ly i n S ou the rn Mesopo tam ia . The e n t ire p roces s , f r om t he e a r l ies t u se a nd c u l t iva t ion o fc rop s i nt he N a tuf ian i nt he 1 0th m i l lenn ium , h ad a l ready e vo lved o ver 5 000 y ea rs o r s o , s o meth ing wh ich d ef ie s t he t e rm " r evo lu t ion " .

C r ea t io e x n ih i lo , a l ready c ondemned b y A r i s to t le , i sn o t av ery u se fu l c oncep t ; e vo lu t ion a nd c on t inu i ty a re . T he a nces to r s o fo ur n eo l i th ic f a rme r s a re t he h un ters a nd f i sher s o fa n e a r l ie r a ge —the Uppe r P a leo l i th ic — , who se r ea l a ccomp l i shmen t s a re s t i l l v e ry b ad ly k nown i n t he N ea r E a s t , b u t who w ere c e rta in ly t he re , a nd p rov ided t he i mpe tus t o wha t wa s t o d eve lop l a te r . F o r i nva s ions o r i mm igra t ions o fn ewcome rs t he re i sa tp resen tn os c rap o fe v idence ; p opu la t ion p re ssu re , i nvoked b ys o me t oa ccoun tf o rt he t ran s i t ion f r om f ood g a the r ing t o f ood p roduc t ion , l a cks as o l id b a se o fo b servab le f a cts . Overpopu la t ion a s t he r e su l t o fs uccesfu l f ood p roduc t ion , c an h owever b e d emon stra ted a t Q a ta l Hüyük . Ch i lde 's s econd r evo lu t ion , h i s u rban o ne , i se qua l ly t enuou s . The r i se o f c i t ies i nt he P ro to l i te ra te p er iod ( La te U ruk i n Mesopo tam ia ) a nd P ro todyna s t ic E gyp t ( when e xac t ly : Nagada I o r u nde r t he F ir s t Dyna sty? ) s e em s r a the r s udden a nd i n exp l ica b l e i fi th ad n o p redece sso r s . T hey w ou ld i n ev i tab ly h ave c ome t o l i gh t l ong b e fore i f t hey h ad o f ered a ny i nducemen t s , i n t he h ope o ff i nd ing e ven e a r l ie r t ex ts . H av ing c on c l uded t ha t t hey d id n o t , i n te res t i n " p reh i s to ry" e vapo ra ted r ap id ly , b o th i n E gyp t a nd Mesopo tam ia . S uch a t im id a pp roach h a s p robab ly r obbed u s o f much t ha t r ema in s t o b e d i scove red a nd v i ews t ha t E gyp t ian c i v i l isa t ion o wed i t s e x i s tence t o Mesopo tam ian c on tac ts h ad a n a dverse e f ec t o n f u r ther r e sea rch i n E gyp t , whe re t he i d ea o f af o re ign c on tr ibu t ion t o i t s c u l ture h a s f o r l ong b een u n th inkab le a nd a na the ma . I n t h i s r e spec t E gyp to log is ts a re u ndoub ted ly r i gh t , b u t t he b e s t w ay t o p rove i ti sb y e xcava t ing " Pro t odyna s t ic " c i t ies a nd r evea l t he i r l e ve l o f c u l tu re i n t he Nagada I , ( Ge rzean ) p er iod —some th ing t ha t i sl ong o verdue , a nd a lone c an r emove t he p ro - Me sopo tam ian b ias , o f H . F rankfo r t a nd G . Ch i lde 's t heo r ie s . C ompa r ing t he c on ten ts o f E gyp t ian c e mete r ies w i th t he b u i ld ing r e ma in s o f Me sopo tam ian ( and S yr ian ) c i t ie s ( w i thou t c e me ter ies ) i n t he f ou r th m i l lenn ium BC c an h a rd ly b e r ega rded a s t he i dea l w ay t o e va lua te c u l tura l c on tac ts . A s ab a s is f o r f a r r each ing r econs truc t ions o fc u l tu ra l d eve lopmen t v i s äv i s t he o ther , t he e v idence i sc l ea r ly u n sa t i sfac to ry i n t he e x treme . T o t h is o ugh t t o b e a dded t he s imp le f a c t t ha t u rban isa t ion i n E gyp t i sa no ther o ft hese a s sump t ions t ha t d og t he Ch i lde t heo ry —the e v idence i sn o t t he re ; n o E gyp t ian c i ty o ft h is p e r iod h a s b een e xcava ted ; a nd a w a l l o r g a te d oes n ot p rove t he e x i stence o f ac i ty . N ot s urpr is ing ly p e rhap s W i l son d e sc r ibed a nc ien t E gyp t a s " a c i v i l i sa t ion w i th o u t c i t ies " , a pp rop r ia te e nough b efo re t he M idd le K ingdom , c .2 000 BC . T o a rgue a bou t u rban ism i n E gyp t i n t he f ou rth ( o r t h i rd ) m i l lenn ium i s who l ly p re ma tu re . I ti sw o r se , f o r i ti sm i s lead ing . Wha t w e h ave g o t i s monumen ta l t o mbs , mo s t ly a t S aqqa ra , t hough t ho se a t Abydos a nd N aqadeh a l so f a l l i n t h is c l a s s —bu t n one b efo re t he F i r s t Dyna s ty ( c . 3 200-3000 BC ) s o f a r . The se i n t u rn a re f o l lowed b y t he monumen ta l S tep P yram id c o mp lex o fN e t jerykhet ( l a te r k nown a s Z ose r ) , wh ich i sj u s t ly h a i led a s at ran s la t ion i n to s t one o fb u i ld ings p rev iou s ly c on s truc ted o fr eeds , ma ts , w ood a nd mudb r ick . I n teres t ing a st hey a re , t hey a ppea r t o r ep resen t ar oya l f o rt re ss w i th t he a ppu r tenance s o ft he of i ces o f s ta te , r ep l ica t emp le s a s w e l l a s ar oya l r e s idence a nd i t s w o rkshop s a nd s t o reroom s . Wha t t hey a re c l ea r ly n o t , i s ac i ty , l i ke e . g . Kahun i n t he X I I th d yna s ty . Monumen t a l i ty i n a rch i tec ture s e em s c onf ined t o t he b u i ld ings o fi mpres s ive t o mbs a nd a s soc ia ted f unera ry a nd v a l ley t emp les d ur ing t he O ld K ingdom . Wha t t he p a laces w ere l i ke w e d o n o t k now ,j u s t a s w e d o n o t k now wha t man s ion s , p r iva te h ou ses o ft he n ob le s w ere l i ke . Ar ow o f h ouse s o u ts ide t he ma s taba t o mb o f Queen Khen tkawes ( e a r ly F i f th d yna s ty ) b u i l t f o r h e r f unera ry p r ie st s i sa lmos t t he o n ly e v idence f o r d ome s t ic a rch i tec tu re ; i ti s f unc t iona l . One w ou ld i mag ine t ha t E gyp t ian r oya l p a laces , t he n ob le s ' man s ion s e t c . w ere d i s t inc t ly n on -urban ( i nt he Mesopo tam ian s ense ) a nd s o meth ing much mo re l i ke ag a rden s uburb ; s pac iou s a nd s hady , w i th p oo ls a nd f i sh , b i rd s a nd t r ee s . On ly t he a r t isan s , merchan ts a nd t he p oor p robab ly l i ved i nh udd led q ua r te rs w i th n a rrow l anes a nd c rooked

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p a ssages , s t i l l t o b e s een t oday . E gyp t a f ter a l l h ad n o s e r ious e ne m ie s a nd o ur i d ea s o fu rban ism c on ju re u p h eav i ly w a l led c i t ies , o verpopu la ted i n c rowded q ua r ter s w i th a m in imum l and w i th o f S ume r e xamp les

o fg a rdens , e xcep t p e rhap s a round t emp les a nd p a lace s , s o me th ing t yp ica l o fa many a nd mu tua l ly h o s t i le c i ty s ta tes , —Lower Me sopo tam ia , t he a nc ien t l and s a nd Akkad . Is a id " ou r i d ea s" , b u t ac l o ser l ook a t t he t hree b e s t p reserved o f u rban i sm o f t he f ou r th m i l lenn ium : U ruk i t se l f , H abuba K eb ira a nd J ebe l

A ruda d o n o t c on fo rm t o s uch i d ea s . A t U ruk w i th in a v a s t e nc lo sure t here i sp l en ty o f s pace a round t he t emp les o n t he Anu Z iggura t a nd t he u nexcava ted h uge mound n ea rby t opped b y aS e leuc id t emp le . I n t he E -anna c omp lex a l so a f ew t emp les a nd n umerou s o ther p ub l ic s t ruc ture s ( a l l c a l led t emp le s ) b u t p robab ly p a laces a nd b u i ld ing s o f s ta te a l te rna te w i th v a s t o pen a rea s a nd a rea s o f d ome s t ic dwe l l ings , a s y et h a rd ly t ouched b y e xcava t ion . A t Habuba K eb ira awa l led t own a bu ts o n a n a dm in is tra t ive q ua r ter ( i n T . Qanna s ) f r inged b y a n a rea o fg a rden s a nd as ou thern s ubu rb . J .A ruda t o t he n o r th , may c on ta in t he s ma l l t emp les a nd h ouse s f o r t he c u l t p e rsonne l ; h igh u p o n ah i l l w i th af i ne v i ew o f t he E uph ra tes . The c ompa ra t ive ly s pac iou s l a you t o f t he se p laces c omes much c l ose r t o wha t o ne m igh t d educe f o r E gyp t a t t he s a me p e r iod t han wha t wa s t o a ppea r l a te r , a nd wha t w e t h ink o f , r i gh t ly o r w rong ly , a s t yp ica l , when o ve rpopu la t ion a nd d e f ence c rea ted t he p redecesso r s o fs l um c ond i t ions a nd t he s oc ia l u n re s t t ha t a ro se a s ar e su l t , a s t o ld o fL aga sh i n t he d ays o f U rukag ina a nd o f Memph is d u r ing t he F i r s t I n te rmed ia te p er iod , when c en tra l g overnmen t b roke d own . I ti sa l so n ece ssa ry t o b ea r i n m ind t ha t t he f i r s t s e tt ler s a t Habuba K eb ira d id n o t f e e l t he n eed f o r f o r t if i ca t ion s ; p robab ly t he S yr ian n a t ive s w ere n o t y et h o st i le , a nd t he s heer n umber o f s e t t le r s may h ave b een s uf f i c ien t t o o verawe t he m . The b es t e a r ly d ef en se i sn o t w a l ls , b u t men , i n s uf f i c ien t n umber s t o d e ter . How o ld i su rban i sm t hen a nd Iam t h ink ing h e re i n t e rm s o f U ruk , Habuba a nd s im i la r s i tes , l i ke T e l l J awa i n t he B lack D eser t o f J o rdan . Does i tr ea l ly o n ly a ppea r i n t he U ruk p e r iod , t he f ou rth m i l lenn ium BC? The q ues t ion s hou ld p e rhaps b e p u t i n ad if e ren t way : wha t make s a n u rbs? a nd wha t d i s t ingu i she s i tf r om a v i l lage? T he c on fus ion t h is q ues t ion c rea tes v e ry s t rong ly s ugges ts t o me t ha t w e a re a sk ing t he w rong q ues t ion , wh ich o ugh t t o b e r eph ra sed i n a nc ien t t e rm s .

H ow d id t he a nc ien t

E gyp t ians o r t he S umer ian s d i s t ingu i sh b e tween s e t t lemen ts? H ow much t ax c ou ld e ach a f o rd t o p ay? The a n swe r i sd i sappo in t ing ; t here a re s e t t le men ts , f o r ts a nd i n E gyp t , v ineya rds/es ta te s , s pec if ica l ly men t ioned , b u t t here a re n o s epa ra te w ord s f o r c i ty , t own a nd v i l lage . I f t he a nc ien ts w ere n o t i n tere s ted i n s uch d i s t inc t ion s , s hou ld w e b e? G o rdon Ch i lde 's a t temp t t o l i nk c i v i l isa t ion w i th t he a ppea rance o f c i t ies s e em s f l awed t o me w i th o ne o fh i s t wo ma in c on tende r sf a l l ing o u t o ft he r ace . N obody c ou ld d eny t ha t e .g . Habuba K eb i ra s hows a l lt he s i gns o fu rban isa t ion ; i ti sw e l lp lanned , n ea t ly p a rce l led o u t w i th s t ree ts a t r i gh t a ng les t o ama in t ho rough fa re , c omp le te w i th as ys tem o fd ra ins , q uays , ac i ty w a l l , a n a dm in is tra t ive c en tre , wha t r e semb le s ap a rk a nd s tanda rd t ype h ou s ing . Wha t o ne e a s i ly f o rge ts i fo ne t akes s uch a s i te a s t yp ica l , i s t ha t Habuba K eb i ra i s an ew f ounda t ion o f t he m id -fou r th m i l lenn ium , mos t ly b u i ld o n v i rg in s o i l . Mo s t c i t ies , h owever w e re n o t n ew b u t g rew o n t op o f e a r l ier s e t t le men ts o r w i th in a n e nc lo sed t e r ra in ( w i th f i e ld s a round e .g .o r w i th in a d ef en s ive w a l l ) o r a round a t emp le , w e l l , s anc tua ry : ar a the r h igg ledy p igg ledy a r rangemen t u np lanned e xcep t f o r ac oup le o f ma in s t ree ts c ro ss ing a t t he c en tre , n ea r s o me i mpor tan t b u i ld ing . Many c i t ies s a t o n r ocks , t ak ing a dvan tage o f n a tu ra l s t reng th , w i th a f o r t , o r t emp le o n t op a nd a v ague ly r ad ia t ing p lan o f q ua r te rs a l l a round , e nc losed b y aw a l l a nd n o t i n f requen t ly b u i l t o ve r t he r ema in s o fe a r l ier o ccupa t ion . S ome p lann ing i sa lways i nvo lved ; h ow l ong i tr ema in s c l ea r a nd u nd is tu rbed i sa no ther ma t ter . When s e tt lemen ts g row t hey n o t o n ly f r equen t ly s ubd iv ide s pace , b lock o fl ane s a nd s t ree ts b u t e ven tua l ly s p read b eyond t he ir wa l l s , r ebu i l t f ur ther o u t .

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I ti so n ly s hor t l ived s e tt lemen ts , e spec ia l ly n ew f ounda t ions t ha t h ave p reserved n ea t a nd c l ea r e v idence f o r p lann ing , s ub sequen t ly u nd isturbed , wh ich i mp ress a rch itects a nd a rch&o log is ts a l ike . E xpans ion ist p o l ic ies , l i ke t he u n if ica t ion o f E gyp t , o r t he U ruk o ccupa t ion o f t he u pper s t retch o f t he S yr ian E uphra tes u ndoub ted ly l ed t o much n ew b u i ld ing b y a ggressors a nd r e s is ters a l ike . Whether w e c a l l t h is u rban isa t ion o r n ot s eems t o me i r re levan t ; f a r more i mpor tan t i s t he f ac t t ha t i t wa s n ot n ew , a nd d id n o t mean a u n iversa l c hange f r om v i l lage t o t own a nd c i ty .

T own a nd c i ty l i f e c rea ted p rob le ms

o f f ood s upp ly , c ramped q ua rters f a c i l i ta ted t he s p read o f d i sea se a nd s oc ia l u n rest . I t h ad o f c ourse a dvan tages : a n a ssu red l abour f o rce f o r manufactu re o f g ood s t ha t c ou ld b e e xchanged f o r r aw ma ter ia ls . The ma rked i ncrea se i n i n terna t iona l t rad ing n etworks d ur ing t he f ou r th , t h ird a nd e a r ly s e cond m i l lenn ium wa s u ndoubted ly f ac i l i ta ted b y a n i n crea se i n t owns a nd c i t ies a nd a g rea ter c oncen tra t ion o f w ea l th . A l l t h is i sc o m mon k now ledge ; wha t c oncerns u s h ere i st he c ond i t ion s b efore t he f our th m i l lenn ium . F or many y ea rs n ow i th a s b een k nown t ha t t he Uba id p er iod i n Mesopota m ia wa s p robab ly o f much g rea ter i mportance t han t he meagre a rcha eo log ica l e v idence r ecov e red s ugges ted . Uba id r e ma in s o ccur b e low n ea r ly e very i mpor tan t S u mer ian c i ty a nd t emp les , a ncestra l t o t he U ruk o nes h ave b een e ncoun tered a t E r idu , U ruk , a nd T epe Gawra i n A ssyr ia .

E xcava t ions i n t he Hamr in a rea h ave n ow p roduced , a t T . Abada ,

a n e n t ire s e tt le men t p lan o f Uba id 3 w i th a rch itectu re o f as oph is t ica ted t ype , h i ther to u nsuspected , a nd ma tched b y an umber o fs ound ings a t n e ighbour ing mounds . A lthough T . Abada i s sma l l , i t may r epresen t t he s ea t o f t he l o ca l a dm in istra t ion o f t he d i str ic t ; t he p r inc ipa l b u i ld ing b een a rch i tec tura l ly empha s ized ,w i th b uttresses a nd r e ce sses . The s i te c on sp icuous ly l a cks a t e mp le , u n less t he c en tra l b u i ld ing ( i n p lan n o d if e ren t f r om t he o thers ) h ad i n f act s uch a f unct ion . The q uest ion wh ich a r ises , i s , whether t hese Uba id s i tes l i ke Abada a nd T . Gawra a re " Uba id c i t ies" o r t he ir more h umb le c oun terpa rt s , t he " towns" p end ing t he e xcava t i on o f al a rge Uba id " C i ty" . I ts eems i nheren t ly u n l ike ly t ha t c i t ies o f t he U ruk p er iod w ere n ot p receded b y Uba id c i t ies , b ut t hey w ere mere " v i l lages" , o n t he r evo lu t iona ry p r inc ip le . Iam s usp ic iou s o fs uch e vo lu t iona ry j ump s , when t he a rche eo log ica l e v idence i ss can t ly i n t he e xtre me .

S tr ik ing c on tra sts , u sed b y t heor is ts t o p rove t he ir p o in t ,

o n r ef lect ion a nd f urther e v idence , t end t o b e l e ss e x tre me .

Those s udden b urs ts o f

i n te l l igence , l i ke t he i nven t ion o f w r i t ing , h ave r ecen t ly b een s hown t o b e i lusory b y D . S ch mand t -Bessera t . Wr i t ing h ad many p redecessors , merg ing b ack i n to t he 8 th m i l l enn iu m . Ha rd ly a r evo lu t iona ry e ven t ! S im i la r ly t he b eve l led r im b ow ls o f t he U ruk p er iod a re p receded b y t he f l in t s c raped o r b ru shed C oba b ow l s o f t he Uba id 4 p er iod a nd w i th a s im i la r v a st d i str ibu t ion f r om C i l ic ia a nd North S yr ia t o S us iana , s uggest ing w idespread t rade a nd c on tac t .

Wha t Gordon Ch i lde t hough t w ere i nnova t ions i n t he

l a te f ourth m i l lenn iu m , n ow t u rn o u t i n t he l i gh t o f more a dvanced k now ledge t o b e a c u lm ina t ion o f p rocesses wh ich h ad s tar ted l ong b efore . E ven B ra idwood w as a wa re o f wha t h e c a l led a " ko ine" d u r ing t he Uba id p er iod , a nd i tr equ ires n o men ta l e for t t o r e cogn ise a t l e a s t t wo p redecessors o f t he s ame p rocess i n t he Ha la f p er iod o f t he s i xth m i l lenn iu m a nd t he " PPNB" o f t he s even th , n o t t o men t ion v es t ig ia l t races i n t he 8 th m i l lenn iu m i n PPNA/Ea r ly PPNB i n t he L evan t , No rth S yr ia a nd N orth Mesopo tam ia , e ngaged i n t he o b s id ian t rade . These p re -Uba id c u ltures a l ready e xh ib it a c ons iderab le r ange o f s i ze i n s e tt le men t ; s i ze e v iden t ly h a s n o th ing t od ow i th t ime , b u t d epends o n o ppor tun ity , f avourab le c i rcumstance a nd h u man e ndeavour . There a re much l a rger Ha la fs i tes t han a nyone h a s s o f a r e xcava ted a nd t o a ssu me t ha t p re -Uba id s i tes a l l c ons i st o f v i l lages i s most u n r easonab le a s t he s i ze o f e .g . J er icho PPNA ( 4 h a ) , T e l l Abu Hureyra ( 11 h a ) o r Va ta l

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Hüyük E a st ( 16 h a ) d emon s t ra te s . G rea t d i spa r i t ies i n s i ze i n f a c t a ppea r a s e a r ly a s a g r icu l tu re i se s tab l i shed ; i f as i te c an s ucce s sfu l ly f e ed i t se l f , i t s l o ca t ion i sp re t ty w e l l a ssu red ; c omme rc ia l r e la t ion s d eve lop a nd a r ts a nd c ra f ts f l ou r ish . S ub s id ia ry v i l lages a l ong t rade r ou tes t o t he s ou rces o f r aw ma ter ia ls a re a l ready t he re i n t he N eo l i th ic ; Umm Dabagh iyah b e ing a g ood e xamp le , s o t oo p robab ly wa s A rpach iyah . I n o ther w ord s , t he re i sn ow g ood e v idence f o r al i ne o f a nces to r s f o r Ch i lde 's u rban c i t ies i n t he l a ter f our th m i l lenn ium BC , l i nked t o t he a ppea rance o fc i v i l i sa t ion . A s o mewha t l e s s r evo lu t iona ry e xp lana t ion o f N ea r E a s tern c u l tu ra l a ch ievemen ts i s c l ea r ly c a l led f o r , a s a l l t he f ea tu res o f ma ter ia l c u l tu re a ssemb led a s " c iv i l isa t ion " ( c i t ies , i r r iga t ion , monumen ta l s t ruc tures , a r t , w r i t ing , e t c . ) a re a l ready p resen t i ns o me f o rm o r a no ther i n t he e a r l ie r s tage s ; n one o ft hem ( wr i t ing e xcep ted ) b e ing d emon s trab ly an ew i nven t ion . A rch o log ica l r e sea rch h a s o ver taken t he p rem i ses o n wh ich G ordon Ch i lde 's u rban r evo lu t ion wa s b u i l t .

I ns tead w e n ow s ee a much l a rger v i s ta o f c u l tu ra l a nd

s oc io -econom ic e vo lu t ion t ha t i sc l ea r ly d emon s trab le f r om t he Na tuf ian p er iod o nwa rds a nd a lmo s t c e rta in ly h a s r oo ts t ha t e x tend e ven f ur the r b ack . The n ew s t ress i s o n e vo lu t ion a nd c on t inu i ty , w i th s u i tab le embe l l ishmen ts a nd r eg iona l a d ju s t men ts t ha t e ven tua l ly r each ac l imax i nt he t h ird m i l lenn ium BC a nd i na n a rea o ff a r g rea te r e x ten t t han Mesopo tam ia a nd E gyp t , e x tend ing f r om t he A egean t o I nd ia . The w iden ing o f h o r i zons h a s h ad s o me v e ry s a lu ta ry e f ec ts ; c h ief among t he m t he r ea l i sa t ion t ha t L ower Me sopo tam ia wa s n o t t he c en tre o f t he w or ld a nd s ou rce o f a l l c u l tu re a s H . F rankfor t w ou ld h ave u s b e l ieve . N o r t he s ou rce o fI nd ian c i v i l isa t ion , l a s t s ugge s ted b y Mo r t imer Whee ler . Ana to l ia , I ran , w es tern T u rkes tan , a nd B a luch i s tan h ave a l l c ome i n to t he i r o wn a s mo re o r l e ss i ndependen t c en tre s o fc u l tu re o w ing p rec iou s ly l i t t le t o Me sopo tam ia b e fo re t he f our th m i l lenn ium . The c on tr ibu t ion o ft he L evan t , a l so , h a s c ome a s as urp r i se , w i th S yr ia l oom ing l a rge v i s äv i s S ume r a nd A kkad . The t e em ing p opu la t ion i n C ha lco l i th ic P a les t ine a nd S ina i a nd i t s e xtrao rd ina ry me ta lwork ( N . M ishma r ) c on te mpo ra ry w i th t he Uba id p e r iod c an a l so n o l onge r b e i gno red . One c ou ld e a s i ly g o o n ; wha t ma t ter s i st ha t o ur k now ledge h a s b een a ugmen ted t o s uch a n e xten t t ha t G . Ch i lde 's t heo r ies h ave l o s t much o ft he i r v o ice . We re h e s t i l l w i th u s , h e w ou ld h ave b een t he f i r s t t o a dm i t i t . ( lea ' H i ir i ik : P rob l ems o fI n terpr e ta t ion . Tha t an umber o fe a r ly s i te s d on o t e a s i ly f i ti n to s chemes o fc u l tura ld eve lop men t c once ived b e fo re t he i r p re sence w a s k nown i so ne o f t he r i sks t aken b y a l l who t heo r i se . The i n te l l igen t w ay o u t o f t he d i lemma i st o mod ify t he t heo ry t o i n corpo ra te t he n ew e v idence o r i n fo rma t ion . I ti su nhe lp fu l t o i gno re i ta nd p re tend i td oes n ot e x is t , r ega rd i ta s af r eak , o r t r ea t i ta s a wh i te e l ephan t . I fJ e r icho p resen ts p rob lem s t o a ccep ted w isdom , Qa ta l Hüyük i sc l ea r ly an igh tma re t o o ld -fa sh ioned t hough t . Had i tb een f ound n o t i n Ana to l ia , b u t i n E gyp t , a nd h ad i tb een d a ted t o t he p e r iod i mmed ia te ly p reced ing t he B ada r ian , i tw ou ld h ave b een h a i led a s t he e a r l ies t e v idence f o r E gyp t ian c i v i l i sa t ion . I ti sl a rge e nough t o r ep resen t a n a nc ien t c ap i ta l , w a s n ea t ly b u i l t o f mudb r ick , w ood a nd p la s ter . I t s i nhab i tan ts p rac t i sed i r r iga t ion a g r icu l tu re a nd h ad d ome s t ica ted c a t t le a nd d og , a nd p e rhap s s ome s heep . They w ore g a rmen ts o fa n ima l s k in , i nc lud ing l e opa rd , b u t a l so w ove l i nen a nd w oo l len c l o th . They w e re a r med w i th b ows a nd a r rows a nd s pea r s , t i pped w i th f i ne ly made p o in ts o fo b s id ian a nd f l in t , p rac t ised p res su re f l ak ing o nd aggers , moun ted i nw ooden , s tone , o r c a rved b one h i l ts . They u sed mace s f o r f i gh t ing a nd k i l l ing p rey , a nd u sed t he mace a s as y mbo l o f a u tho r i ty . They c a rved b one a nd s t one , made c oppe r a nd l e ad t r inke ts , u sed s he l l f o r b eads ; f i shed w i th h ooks a nd n e ts ; p layed d rum s a nd f l u tes , d anced , h un ted d ee r , w i ld b oa r , o nager a nd w i ld a ss a nd f ow led b i rds i n t he ma r shes . They made v ery s imp le p o t te ry , b u t b e t ter w ooden v es se ls , mode l led c l ay a nd c a rved s tone s ta tue ttes ; p u t u p c l ay r e l ief s o f ag odde ss a nd n umerous h eads o f b u l ls ;

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e ng raved i n t he t h ick p la s ter l e ve ls o f t he i r b u i ld ing s a nd a bove a l l t hey p a in ted .

I n

t ho se s c ene s t hey d ep icted t he i r g od s a nd g odde s se s i n h uman f o rm w i th t he ir a n ima l a t tr ibu te s ; e a r ly l and scapes , c e lebra t ion w i th a n ima ls , d eerhun t ing , f i sh ing n ets a nd a b oa t w i th a n s t ee r ing o a r , e no rmou s b u l ls , v u l tu res , a nd h ead les s c orpse s a nd a n umber o f o the r c l ea r ly r e l ig ious s ub jec t s , b u t n o s cene s o f f i gh t ing o r w a r . Wr i t ing wa s s t i l l u nknown . R oof e n try i n to t he h ou ses a nd s e conda ry b u r ia lw ere u n fam i l ia r , A rcha ic f e a tu res p e rhap s , d e r ived f r om a more d i s tan t p a s t . A sa na nces to r o ft he B ada r ian c u l ture Q a ta l Hüyük w ou ld h ave f i t ted a dm i rab ly , a l low ing f o r af ew , b u t n o t v ery s ub s tan t ia l c hanges , i n i t s ma ter ia l c u l tu re . H e re t he E gyp to log i st 's d ream e nd s ; Q a ta l Hüyük f o r a l l i t s r e semb lance s t o l a ter p redyna s t ic c u l tu res o f E gyp t , l i es i n Ana to l ia a nd i t s d a te i sn o t t he s i x th , b u t t he s even th m i l lenn ium BC a f ter c a l ib ra t ion . T o s o me t heor i s ts Q a ta l Hüyük mus t s e em o u t o f p lace a nd o u t o f t ime . B efore t he e s tab l i shmen t o f C1 4 d a t ing ( now r e in fo rced b y d end roch rono logy ) t h is w ou ld h ave p re sen ted f ew d if i cu l t ies . " In o u r o p in ion t he e xcava to r h a s d a ted h i s s i te t oo h igh " wa s af am i l ia r a rgumen t . On ly ad e sperado w ou ld n ow i gno re o ne o ft he b es t d a ted s i tes i n Wes tern A s ia . N or c an t he f e r t i le Konya P la in i n wh ich t he s i te i ss i tua ted , b e r ega rded a s ap e r iphe ra l b ackwa te r , a no ther f avou r i te a rgumen t i n t he n ine teen -f i f t ie s . Un iquene s s i s at e rm t ha t h a s b een u sed f o r t he s i te — s o me th ing p ecu l ia r , o u t o ft he o rd ina ry ; macab re , u ncanny . Bu tw a l lpa in t ings o ft he s ame p e r iod a re n ow a l so k nown f r om B ouq ra s , Umm Dabagh iyah , Z aghe , a nd e a r l ier o nes f r om C an Ha san I I , Mik l i ( pa in ted p la s ter o n ly ) , Mu reyb i t I I . An ima l h ead s a t Mu reybe t T b , Gan j -Da reh a nd Z aghe a nd t he p ecu l ia r b u r ia l h ab i t s o f V a ta l Hüyük a re a k in t o t he Na tuf ian t o H a la fs equence o f t he L evan t a nd N o r th Me sopo tam ia , a s a re t he u se o f r ed p la s te r f l oo rs , h ou ses e n tered f r om t he r oo f (Mu reybe t , Che ikh Ha san , Gan j -Da reh , Umm Dabagh iyah ) a s w e l l a s a t Can H a san a nd E rbaba . The u se o f c oppe r i sa t tes ted e ven e a r l ier a t V ayönü , t he s ame t ype o fv e ry e a r ly p o ttery i sa l so f ound a t T e l l A s souad o n t he B a l ikh r i ver i nn o r th S yr ia , u nbaked p o t tery a s e a r ly a s Mu reybe t I I c .8 000 BC . The c l a im t o u n iqueness i sd i s s ipa t ing f a st a nd w i th i tt he e xcuse f o r i gno r ing t he s i te a s u n typ ica l . The u npa la tab le f a ct r ema in s t ha t e verybody h ad u nde res t ima ted t he r ea l p o ten t ia l o ft he N ea r E a ste rn N eo l i th ic a nd s o me s cho la r sh ave n o t y e t r ecovered f r om t he s hock . They f e e l o u traged a t t he t hough t o f n eo l i th i c c i t i es a nd c i v i l i sa t ion , wh ich i s my i n te rp reta t ion o f t he p henomenon , a nd wh ich i sc l ea r ly o u t o f s t ep w i th me thodo log ica l a nd a n th ropo log ica l t h ink ing , e spec ia l ly i nt he U .S .A . A rch o logy w i thou t i n terpre ta t ion i sf a ir ly s t e r i le a nd l i t t le mo re t han a b o r ing c a ta logue . A s S i r Mo r t imer Whee le r o nce s a id : " a rch o logy i sa bou t p eop le , n o t o b jec ts " . H ow much t hough t a nd i mag ina t ion o ne mus t b r ing t o b ea r i n a rch o log ica l i n te rp re ta t ion l e ad s t o many t ed ious d eba tes ; af ew b r igh t i n s igh ts t o me a re mo re i mpor tan t t han moun ta in s o f t r iv ia . R ea l a rcha eo l og i s ts a re b orn , n o t t ra ined ; c ommon s ense i np a r t icu la r i se s sen t ia l , a nd s o i s as en se o fh i s to ry . W i thou t t hese , o ne d oe s n o t g o v e ry f a r i n N ea r E a s te rn a rch o logy . T o me , i ts e em s i nconce ivab le t ha t t here i ss t i l l as choo l o ft hough t t ha t e xpec ts a nd d emands t ha t n ew d i scover ie s s hou ld b e t r immed t o f i t i n ap reconce ived s t ra igh t j acket o f t heo ret ica l t hough t a bou t c u l tu ra l e vo lu t ion , b e i t Ch i lde 's o r B ra idwood ' s , R edman 's o r a nybody e l se 's . S u re ly t heory s hou ld a dep t t o t he d i scovery o f n ew f a c t s ( e v idence ) a nd n o t v i ce v e r sa . I n h i s T hr esho ld t o C iv i l i sa t ion ( New Y ork , 1 975 : 1 40-207 ) , W .A . F a ir serv i s J r . a t temp ts t o f i t Q a ta l Hüyük i n to a n a n th ropo log ica l f r amewo rk u nder t h rea t b y n ew d i scove r ies . I n h i s a na lys is , t he empha s i s i s o n p lay ing e ve ryth ing d own b y mode rn a n thropo log ica l p a ra l le ls . The r ea l p o in t i sm is sed ; w e a re n ot d ea l ing w i th E sk imo s o r t he Konyak N aga , Andaman I s lande r s o r P apua -New Gu inea , s t i l l a round t oday a nd n o

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d oub t v ery a ccomp l ished i n mak ing t oo l s , mu s ic a r t , a l l i n t he i r s pa re t ime ; b u t w i th a c u l tu re f l ou r i shed s o me 8 500 y ea rs a go a nd wh ich d id n o t n eces sa r i ly r e sponded i n t he s a me way . I t i si mpo r tan t , a s f a r a s t ha t i sp oss ib le , t o r emove t he a nach ron i sm , p u t o u rse lves i nt he i rp lace a nd t r y t of i nd o u th ow t hey s aw t h ing s . A f te ra l lt hey d id n ot h ave t he h ind s igh t , wh ich a f ec ts u s a l l . When a s Ih ave t r ied t o p o in t o u t t ha t s uch c oncep ts a s u rban i sa t ion , c i t ies , t own s , v i l lages o r c i v i l i sa t ion a re modern c on s truc ts , c oncep tua l ly u n impor tan t t o l i te ra te E gyp t ian s a nd S umer ian s , h ow v a l id o r u sefu l a re s uch i d ea s a s k ing sh ip , c l a s ss oc iety ,s l ave o wn ing a nd t he r e s tt oa nc ien t man? A sf a ra s Iam c oncerned t he t e rm ino logy i su n impo r tan t a nd when Iu se n eo l i th i c c i ty Id on o t mean Mesopo tam ian c i ty , G reek c i ty , R oman o r mode rn c i ty , b u t s o me th ing wh ich Ii mag ine i sc on s ide rab ly mo re c omp lex t han s imp ler f o rm s , " towns " o r " v i l lage s " . S im i la r ly Iu se c i v i l i sa t ion n o t i nt he r e tr icted Ang lo—Saxon s en se , b u t i nt he F rench o ne , o n ap a rw i th " Le s c i v i l isa t ion s d u P a leo l i th ique " . I ti sn o r o n ly aq ues t ion o fs eman t ic s , b u t aq ues t ion o fi n te rp re ta t ion ; Iw ou ld o b jec t t o s uch a t e rm a s " the c i v i l i sa t ion o f t he Mongo l s" , n o t t o q uo te mo re r e cen t e xamp les . There i s more i nvo lved h e re t han p u re ly ma te r ia l c u l tu re , t e chno lo g y , e conom ics ; t here i sa l so t he mora l a t t i tude t owa rd s l i f e , i n my , h uman i s t i c , o p in ion , f a r mo re i mpo r tan t t han ma te r ia l is t ic o r t e chno log ica l a ch ieve men ts , i n t he d ef in i t ion o f c i v i l isa t ion . C iv i l i sa t ion w i thou t c i v i l ised b ehav iou r , i .e .t o le rance a nd r e spec t , mo ra l v i r tue a nd r e l ig ion , i s ac on t rad i c t io i n t e rm in i s . I t s eem s t o me t ha t t he a spec ts o f r e l ig ion ( i .e .d iv ine o rd inance f o r p roper h uman b ehav iour ) h a s g o t l o s t i n t he d ef in i t ion o fc i v i l i sa t ion . As p lend id e xamp le o f wha t Imen t ioned b e fo re , i so u r s uperc i l iou s v i ew o r t he i r s ; a the i s t ic i n terp re ta t ion s a re u n l ike ly t o c on tr ibu te much ( i f a nyth ing ) t o o u r u nde r s tand ing o fe a r ly c i v i l i sa t ion s ; t hey e n t i re ly m i s s t h e p o in t ; man ' s b e l i ef s , wh ich a re f a r mo re p o ten t t han s oc io—econom ic modern f an ta s ie s a bou t h im . Whe the r a t V a ta l Hüyük , O ld K ingdo m E gyp t o r f ou r th a nd t h i rd m i l lenn ium Me sopo tam ia , t he r e l ig iou s empha s is i sn o t o n t echno log ica l i mprove men ts i n p lan t o n a n ima l h u sband ry , b u t o n c on t inu i ty o fl i f ea nd t he e s tab l i shed o rder ,g ran ted o ro rda ined b y t he g od s ; o np ro sper i ty , f e cund i ty , c h i ld ren a nd w e l lbe ing a s t he r e su l t o f r i tua l o bed ience . I t i sn o t k ing s t ha t a re t o b e o beyed , b u t t he g od h im se l f ( i n E gyp t ) o r h i s p r ie s t o r g overnor ( Sumer ian EN .en s i , n o t l u ga l , t he w a r leader ) . Once a ga in , t he mode rn i n te rpreta t ion g o t i ta l l w rong . " C iv i l isa t ion" a s n a r row ly d ef ined i sn o t l i nked w i th mona rchy , b u t w i th God o r h i s r ep re sen ta t ives . Th i s i sn o i nnova t ion , a l though i th a s b een r ep resen ted a s s uch . T o t h i s d ay , Mesopo tam ian s cho la rs s t re ss t he r o le o f t he p r ie s t a nd t emp le v e r sus t he i d ea o f as e cu la r mona rch . A c l a im t o l e ader sh ip i sb a sed o n s pec ia l r e la t ion t o t he d e i t ies ; p ower w i thou t r e l ig ious s anc t ion s eems i n conce ivab le i n t he Anc ien t N ea r E a s t . Wha t w e i nnocen t ly c a l l h i story , i si n f a ct a r u ler 's a ccoun t a nd j u s t if ica t ion o f h i s s t ewa rdsh ip t o h i s d e i ty . Adm i s s ion o f g u i l t , i n competence a nd f a i lu re h ave n o p lace i n i ta nd h i s tor ian s a re w e l l a wa re t ha t o ne h a s t o r ead b e tween t he l i ne s . One o f t he d i sadvan tages o f w r i t ing a s c o mpa red t o o ra l t rad i t ion i st he e a se o f f a l s if ica t ion o f t he r e cord s , a ccess ib le t o f ew . Wha t i sc ommon k now ledge i sh a rd t o f a l s i fy ; t he h i s to r ian 's d i lemma i st o w e igh t he e v idence a nd t r y t o g e t a t t he t ru th . I t i s af a ir g ues s t ha t t he e a r l ie s t t ex ts c on ta in ing r e f e rences t o s oc ie ty i n t he l a te r f ou r th m i l lenn ium BC r e co rd s o me th ing a l ready c ur ren t , a nd n o t n ew ly d ev ised . E gyp t ian a nd S umer ian k ing l is ts g o b ack f a r b eyond t he e a r l ies t w r i t ing ; s ta rt ing w i th as e r ie s o f g od s , f o l lowed b y s em i legenda ry o r l e genda ry f i gu res a nd e nd ing u p w i th i nd iv idua ls , s o me o f whom h appen t o b e k nown f r om c on tempora ry i n scr ip t ions . O s i r i s a nd H oru s a re p or trayed a s p r imeva l k ing s o f E gyp t ; G i lgamesh a nd E nme rka r a s k ing s o f U ruk . Whe re l i te ra ry e v idence g i ve s o u t a rcha 3o log i s ts , a rgu ing t ha t a s l a te r k ing s l i ved i n p a laces , t he ir p redece sso rs mu st h ave d one t he s a me , l ook f o r p a laces a nd when t hey

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d o n ot f i nd t hem , p roc la im a p re -dyna s t ic p e r iod . G ood c la ss ica l l og ic , n o d oub t , b u t wha t h appened i fe a r ly k ings d id n o t l i ve i n p a lace s , b u t i n t emp les ( a s aS ume r ian t ex t p rec la im s )? a nd b efo re t ha t i n s o me th ing e ven mo re s imp le l i ke a h ou se o f t he s ame p lan a s t he ir s ub jec ts? There a re o ther w ays i n wh ich i t s s pec ia l n a tu re c ou ld b e i nd ica ted b eyond a s imp le g round p lan , a l l t ha t w e f i nd . S o -ca l led n ega t ive e v idence i sn ever d ef in i te ly p o s i t ive . The a nc ien t E gyp t ian s n ever t hough t o f h av ing h ad r u le rs o ther t han g od -k ing s , n o t mere h uman s . I t i sn o t f o r u s t o c on trad ic t t hem i n t he i r b e l ie f t ha t E gyp t h ad a lways b een a " k ingdom " . Why d oub t t h is? On a p ot o f t he N aqada I ( Am ra t ian ) p e r iod , d a ted t o t he s econd h a l f o f t he f i f th m i l lenn ium , t he re i s ac l ea r r ep resen ta t ion o ft he R ed C rown o f L owe r E gyp t ( A shmo lean Mu seum , Oxfo rd ) . The e v idence i s p re t ty u nequ ivoca l ; why d ep ic t ac rown , s y mbo l o f k ing sh ip , i ft he l a t ter d oe s n o t y et e x is t? Th is i sn o t t he o n ly e xamp le o f wha t a ppea r t o b e " r ega l ia " , s c ep ters , c rown s , e t c . f r om t he p henom ina l N aha l M i shma r a r sen ica l c opper h oa rd i n I s rae l , d a ted t o c .4 000 BC f r om t he r e ed ma tt ing i n wh ich i t wa s w rapped , when h idden i nt he Gha s su l ian p e r iod ( c . 5 000-4000 BC ) . They c ou ld h ave b een manufactu red a t a ny t ime d u r ing t h is p e r iod . Tha t t he se a re s ta tus s y mbo l s i sb eyond much d oub t a nd w i th c i r e p erdue c a s t ing a nd e l abo ra te s y mbo l i sm , t he c hances t ha t s uch s upe rb o b jec ts o nce b e longed t ov i l lage h ead men o rd e ser ts he ikh ss eem sr a ther r emo te . I ti se xac t ly t he s ame s o r t o f i n s ign ia t ha t at hou sand y ea rs l a ter w e s ee i n t he h and s o f E gyp t ian k ing s , b u t n o t i n t ho se o ft he ir s ub jec ts . K ing s i n E gyp t a nd P a le s t ine i n t he f i f th m i l lenn ium BC? Why o n e a r th n o t? B ecau se o f G . Ch i lde ' s t heo ry t ha t t hey d id n o t a ppea r u n t i l much l a te r? One c an b e s u re t ha t h e w ou ld h ave p ushed k ingsh ip b ack much f u r the r h ad t hese d i scove r ies b een k nown i n h i s l i f e t ime . Mos t Mesopo tam ian a rcha eo log i s ts n ow a g ree t ha t t he U ruk p er iod , i n t he l a te r h a lf o f wh ich , u rban i sm , k ingsh ip , w r i t ing , e t c . t he b a s i s f o r t he i d ea o f " c iv i l i sa t ion " b ecome e v iden t , g o b ack t o t he p receed ing Uba id p e r iod o f t he f i f th m i l lenn ium , t ha t i s , r ough ly c on tempora ry w i th t he E gyp t ian a nd P a le s t in ian e v idence w e h ave b een d i scu ss ing . I t i sn o t t he d eg ree o f p ower —sma l l o r b ig k ing s , o r e ven b igge r o nes — t ha t ma t ter , b u t t he i dea o f k in sh ip , g od -g iven p ower , t ha tc once rn u s ,i r respec t ive o f whether i tw a sp r im i t ive , d eve loped o r wha teve ro ne m igh t l i ke t o c a l l i t . I n a rch&o log ica l c on tex t , t he f i f th m i l lenn ium , b e i ti n E gyp t ( Bada r ian , Am ra t ian ) , P a le s t ine ( Gha s su l ian -Bee rsheba ) , S yr ia a nd Me sopo tam ia ( Uba id p er iod ) s e e t he f i rs t f l our ish o f i r r iga t ion a g r icu l ture , a g r icu l tu ra l s u rp lu s , i n c ip ien t u rban i sm , w ide spread t rad ing c on tacts , t e chno log ica l i mp rovemen ts , l o ca l ly s pec tacu la r me ta l lu rgy ( a s a t N . M i shma r ) , p ro spec t ing f o r r e sou rce s ( S ina i ) , t he c umu la t ive e f ec ts o f wh ich , i n t he f ou r th m i l lenn ium U ruk p e r iod , w e re o nce h era lded a s t he a dven t o fc i v i l i sa t ion ( t he b a s i s f o r G . Ch i lde 's t he s i s ) . I f , o nt he b a s i s o fn ew d i scove r ies , o ne c an a dd ag ood m i l lenn ium o fd eve lopmen t t o s uch ac l imax , o ne i se qua l ly e n t i t led t o a sk t he q ues t ion : a nd whe re d id a l l t ha t c ome f r om? The a nswer i so bv iou s : f r om p rev ious d eve lopmen ts d u r ing t he N eo l i th ic p er iod , a nd s o o n , b ack i n to t he Upper P a la eo l i th ic . One c an a l so t u rn t he q ues t ion a round a nd a sk ; wha t e v idence i st here f o r a" p re -k ing sh ip " s tage? V ery l i t t le i ndeed i n memo r ies o f a nc ien t l i tera te c u l tu res ; n one i n E gyp t a nd p rec iou s l i t t le i n S ume r , a b ly s umma r ised b y Tho rk i ld J acobson o n t he b a s is o f S umer ian r e l ig ious t ex ts , a s as o rt o f p r im i tve d e moc racy . Much a s Ir e spec t h i s j udgemen t , If e e l u nconv inced , a nd t hough t he w i sh f o r c on su l ta t ion i n a fa ir s may b e c onceded , o ne v ery much d oub ts —in a N ea r E a s te rn c on tex t— t ha t i tb o re much w e igh t , among t ho se who made t he d ec i s ion s . S . W . A s ia h a s g iven u s many t h ing s , b u t Iw ou ld v en ture t o s uggest t ha t d emocracy , p r im i t ive o r n o t , wa s n o t among t hem . Ih ave d a red t o s ugges t t ha t s o me f o rm o fk in sh ip may g o b ack a s f a r a s 5 000 BC . Wha tp receeded i t , i fa ny th ing d if eren td u r ing t he s i x th a nd s even th m i l lenn ia? F a i rse rv i s c l a s s if ies V a ta l Hüyük a s a" ch iefdom" , aC lan S ys tem , s o me th ing d eemed t o h ave e x -

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i s ted a t al ower l e ve l t han a " k ingdom " —a " c iv i l i sed s ta te" ( a s s igned t o t he l a te f ou r th m i l lenn ium a nd l a ter ) . Th e e s sence o f c l an sh ip —the t r ibe a nd i t s s o i l— i st he i n ten se a f ec t ion f o r i t s i nher i tance f e l t b y a l l i t s d escendan ts , b u t w i th t he s ubd iv is ion i n to s t i l l mo re i nd iv idua l , b u t e qua l ly s acred h o ld ing s . The v ery mean ing o f " c lann i shne ss " , a nd a s ou rce o fi mmen se p r ide a nd l o ya l ty . The f am i ly , d escended f r om h im o r h er , who " f i rs t r a i sed f i re o r b o i led wa ter u pon t hese l and s " w as t he b a s ic u n i t , n o t al a rger t e r r i to ry o ve r wh ich t he h ead o f t he c l an may h ave g a ined s way . F am i ly i n teres t t ran scended a ny o the r ; t he s o i l b e longed t o t he c h ie f , b u t t he c l an w ou ld p reven t h im f r om m i su s ing i t ; c h ie f s f o r a l l t he ir h e red i ta ry ( mo s t ly p a tr ia rcha l ) p owe r c ou ld b e a nd w e re d eposed when a c t ing a ga ins t t he i n teres t o ft he c l an . The s oc ia l s t ruc tu re w a s s imp le ; ac ommon d escen t f r om t he f ounde r u n i ted a l l ; t he c h ief , h i s f am i ly , t he i r d escendan ts , h i s of i c ia l s a nd t ho se who h ad c ho sen t o f o l low h im , f o rme r members o f o ther c l an s , r e fugees e tc . C la ss d i s t inc t ion d id n o t e x i s t ; e ven t he p oo re s t c l ansman wa s o r r ega rded h im se l f a s s upe r ior t o a ny f o re igner . A l l r eve l led i n t he f ame a nd e xp lo i ts o f t he i r r ea l o r a dop ted a nce s tor s , a nd l ooked d own u pon t he r e s t . The s t reng th o f t h is s ystem i ss uch t ha t i th a s s urv ived —in a t t i tude — e ven t o t he p resen t d ay ; n a tu ra l p ugnac i ty a nd c l ann ishnes s h app i ly s u rv ive , —among t he S co ts — wherever t hey may b e . Whe the r s uch a c l an s yste m c an b e t ran sf e r red b ack i n t ime t o V a ta l Hüyük , a s F a i rserv is t h inks , Il e ave t o y ou r j udgemen t . H e d educe s a c l a s s les s s oc ie ty w i th a c h ief ( o r p r ie s t ) i n a u thor i ty o ve r as ma l l p opu la t ion o f u nde r 3 000 s ou l s , l i v ing i n av i l lage . The s oc ie ty i se ga l i ta r ian , t here i sn o c ra f t s pec ia l i sa t ion , n o p ub l ic b u i ld ing s a nd o n ly d ome s t ic c u l ts . L and i so wned b y t he s oc ie ty , n o t t he c h ie f , a nd t rade i so fl i t t le i mpo r tance . The b a s is o ft he e conomy i ss ucces s fu l a gr icu l ture . A r t i si c on ic , n o t s y mbo l ic . S uch ab a r ren l abe l w ou ld a c tua l ly f i t a ny n eo l i th ic s e t t lemen t i n t he N ea r E a s t , J er icho , C ayönü , J a rmo , e t c . , e xcep t Q a ta l Hüyük . I ft h is i sa l l a n th ropo logy c an c on t r ibu te t o t he i n terp reta t ion o f my s i te , i t s s e rv ices a re n o l onger r equ ired . I ti sa s u se fu l a si n c lud ing Man among t he Mamma ls ,w i thou t a ny f u r the r d e ta i ls , o fh ow h e i sd if e ren t . I ti se a sy t o s ee why s o many a rcha ao log i s ts i n t he N ea r E a s t p re f er a h i s to r ica l a pp roach t o i n terp reta t ion , s hake o fo u tmoded t heo r ies a nd g o t he ir o wn w ay . Wha t D r . F a i rserv is p robab ly d id n o t k now i sh ow o rd ina ry c l an smen i nS co t land a nd I r e land r ega rded t he i r s oc ie ty ; h e w ou ld b e d i s tre ssed t o k now t ha t t hey c a l led i ta k ingdom , l i ke e .g . t he MacDona ld K ingdom o f t he I s le s , n eve r s ub jec t t o t he K ing o f S co ts .

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T H E B E GI N NI N GS OF U R B A N SO CIET Y A N D T HE FO R M ATI O N OF T HE STATE : TE MPL E A N D PAL A C E AS B ASI C IN DI C AT O RS

L I N D A M A NZ A NILL A Un ivers idad Nac iona l Autc l en .o ma d e Mex ico

I n troduct ion The v a r iou s mode l s o fp re -f euda l s oc ie t ies t ha t h ave b een p roposed f o r t he p a s t h ave emerged f r om s tud ies b a sed o nh i s tor ica l s ources a nd e thnograph ic a na log ies . Thus , S erv ice 's c l a ss ica l d iv is ion i n to b and s , t r ibes , c h iefdoms , a nd s ta tes , o r F r ied 's e ga l i ta r ian , r anked , s t ra t if i ed a nd c l a ss s oc ie t ies s e em t oh ave o rgan ized t he e thnograph ic a nd a rch o l og ica lu n iverse i nd i scre te c l a sses . Y e t , i ns p ite o f mu l t ip le e fo rts c a rr ied o u ti nt h i ss en se , t he p rocess o f c hange t o t he mos t c omp lex f o rms h as n o t b een c l a r if ied . I n my o p in ion , o ne o ft he p rob lems t ha t h ave b ia ssed a rch&o logy r e cen t ly i st he f a ct t ha t p a rt icu la r d a ta h as b een f o rced i n s ide t hese mode ls , r a ther t han p roduc ing n ew t heoret ica l f o r mu la t ions t ha t a ccoun t f o r t he p resen t s ta te o ft he f a c ts . Wi th r e spec t t o t he f o r ma t ion o f t he f i rs t u rban s oc iet ies a nd a rcha ic s ta tes , t he f i rs t f act i st ha t w e d o n o t h ave e thnograph ic c orre la tes f o r t hese s oc iet ies . Iw i l l d ef ine a n u rban s oc iety a s o ne w i th c o mp lex d iv is ion o f l abor , t ha t i s , t he e x is tence o f s pec ia l i sts i n a ct iv i t ies d if eren t f r om t he p roduc t ion o f s ub s i stence g oods ; t h is t ype o f s oc ie ty a l so p resen ts i n s t i tu t ions t ha t c oord ina te e conom ic p rocesses a nd h ave a u thor i ty o ve r c o m mon p eop le ; a nd f i na l ly , s pec ia l is ts a nd a u thor i ty l i ve i n a n u rban c en ter t ha t p rov ides s pec if ic s e rv ices t o t he s urround ing r eg ion , s uch a s , f o r e xamp le , t he d i s tr ibu t ion o f al a rge v ar iety o f g ood s . On t he o ther h and , a n a rcha ic s ta te s oc ie ty w ou ld h ave a c l a ss s oc ia l o rgan i z a t ion , w ith t he f i rst c l ea r i nd ica t ions o f a ccummu la t ion o f w ea l th , ar e la t ive ly p rec ise d e ma rca t ion o f f r on t iers , c onquest a s af o rm o f t e rr i tor ia l a pprop r ia t ion , a nd t r ibute a s a n i n s tance o f e cono m ic s ub juga t ion . I fw e o bserve t he d if erence b etween b o th d ef in i t ions , w e w i l l s ee t ha t t hey r e f er t o p heno mena wh ich a re n o t n ecessa r i ly c on te mporaneous , b ut s o me t i mes s ucces ive i n t ime . Moreover , t he b a s ic i nd ica tors o f e ach o f t hese s tages l i e p rec ise ly i n t he s cope o f t he i n st i tu t ions t ha t f unct ion a s t he s ea t o f " urban " a u thor i ty : t e mp le a nd p a lace . Ou r s t ra tegy w i l l b e t o f ocus o n t he i nd ica tors o f c hange i n s ide d e o rgan iza t ion o ft hese t wo i n s t i tu t ions . The g oa l o ft he s tudy o fa rch o log ica l i nd ica tors i st o e s tab l ish ar e la t ion sh ip b etween emp i r ica l d a ta a nd t he p heno mena s t ipu la ted i n t he c oncep tua l f r amework . The i mpor tance o f c ons ider ing t he a rcha 3o log ica l c on tex t a s af unct iona l a nd s pa t ia l— tempora l r e f erence i s v i ta l .

L et u s t ake , f o r e xamp le , t he p resence o f a

c omp lex d iv is ion o f l abo r a s o ne o f t he k ey e l emen ts f o r d e tect ing t he p resence o f e a r ly u rban s oc iet ies . A t t he l e ve l o fh and icra f ts , w e w ou ld l ook f o r t races o fs pec ia l iza t ion i n t he a rch o log ica l r ecord , s uch a s t he p resence o f c ra f ts q ua r ters , w orkshops , s pec ia l is ts ' g raves w i th t he ir i n strumen ts , a rt i san s ' ma rks i n t he ir p roduc t ion ( s pec ia l ly n o tor ious i n t he S ama rra p o ttery o f Mesopotam ia ) , e l e men ts t ha t w ou ld i nd ica te a p ar t icu la r a b i l ity o r c o mp lex i ty i n t he manu fac ture ( such a s t ha t i mp l ied i n t he e labora t ion o f Ha laf p o ly c hrome p o ttery , i n wh ich e ach p iece i s au n ique ma s terp iece , o r i n t he manufacture o f b ronze o b jects ) , a nd f i na l ly ma ss—p roduct ion t ha t c an b e o bserved , f o r e xamp le , i n mo ld o r f a s t whee l - made p o ttery (Manzan i l la 1 979 , 1 986 ) .

One f a ctor t ha t s hou ld b e s pec if ied i st he d eg ree o f s pec ia l iza t ion . I n d ea l ing w i th l i th ic w orkshop s , e xamp le s c an b e c i ted whe re a v a r ie ty o f i n s trumen ts a re made , wherea s , i n o the r c a ses , o n ly as i ng le t ype o f i n s trumen t i se l abora ted . Ano ther p o in t t o c on s ider i st ha t t he se i nd ica to r s a re n o t d ep r ived o fr e la t ions t o t he g ene ra l c on tex ts o fu se -con sump t ion whe re w e s hou ld e va lua te wha t s oc ia l n eces s i t ies t hey a re s a t i s fy ing . I n 1 979 Ip roposed t ha t t he o n ly w ay t o c or rec t ly e va lua te t he s oc ia l i mpac t o f g oods i st o c o rre la te t he i n fo rma t ion c om ing f r om p roduct ion c on texts —fo r s ub s i s tence e l e men ts , manu fac tu re s o r c on st ruc t ion — w i th t ho se d e r ived f r om u se a nd c on sump t ion c on tex ts , i nt he b ranches o fi mmed ia te a nd p roduc t ive i nd iv idua l c onsump t i on , i n d i s tr ibu t ion o r e xchange , a nd i n p o l i t ica l o r i d eo log ica l i n s tance s (Man zan i l la 1 979 , 1 986 ) . Thus , f o r e xamp le , i ti sn o t t he s a me t o f i nd a w o rkshop whe re p r i sma t ic b lade s , d es t ined t o b e u sed a s d ome st ic i n s trumen ts , a re made , t han i ti st o f i nd a s im i l a r w orkshop u nde r t he a u sp ice o f t he t emp le , who se p roduc ts s e rve f o r a u to -sac r if ice . Therefore , i ti sn eces sa ry t o a na lyze n o t o n ly p roduc t ion s i tes , b u t a l so t he d i s tr ibu t ion o ft hese s ame p roducts i n p r ima ry c on texts t ha t d eno te ap a r t icu la r f unc t ion . A t t he manu fac tur ing l e ve l , o ne c an t h ink o ft wo t ype s o fs pec ia l is ts : a )

Those who w o rk i ndependen t ly , o n t he i r o wn , whe re w e w ou ld h ave t wo moda l i t ies : 1 .

The h ou ses a nd w o rkshops o f t ho se who w o rk i nd iv idua l ly w ou ld b e r andome ly d i s tr ibu ted i n t he s e t t lemen t .

2 .

Tho se who a re i nvo lved i nc o rpo ra te a c t iv i t ie si n s ide ap a r t icu la rp roce s s m igh t b e a s semb led i n w a rd s , t hough o ther f a c to r s c ou ld a l so b e w o rk ing i n t h i s d ec i s ion .

b ) The o ther t ype o fs pec ia l is t i st he c ra f s tman who w orks e x lu s ive ly f o r t he t emp le o r t he p a lace . I n t h i s c a se , w e w ou ld e xpect t o f i nd t he ir h ouses a nd w o rkshops i n t he s e c to r c on t iguou s t o t he c e remon ia l o r p a lace p rec inct . Ano the r e l emen t t ha t s e rves t o d ef ine t he f i r s t u rban s oc ie t ies i st he e x i s tence o f a n i n s t i tu t ion t ha t c oo rd ina te s v a r iou s e conom ic p roces ses . A s Imen t ioned i n 1 983 , t he e a r l ies t p er t inen t i nd ica to r s a re r e la ted t o t he t emp le a s a n i n s t i tu t ion t ha t c ontro l s t he s pec ia l i zed p roduc t ion o fc e r ta in g ood s , t he s to rage o fo the r s , d i s tr ibu t ion a nd l ong d i s tance e xchange . Th is s ub jec t w i l l b e d eve loped f u r the r . F ina l ly , a s ap a r t o ft he d ef in i t ion Ip o in ted o u t t he e x is tence o fa n u rban c en ter , t ha t i th ouse s t he ma jo r i ty o ft he s pec ia l is ts t ha t a re n o t d evo ted t os ub s is tence a nd o f e rs s pec ia l ized s e rv ices t o t he r u ra l c o mmun i t ie s t ha t o ccupy t he i mmed ia te s ur round ing t e r r i tory . A t t he l e ve l o fr eg iona l s e t t lemen t p a tte rn s , w i th d a ta c om ing f r om e xcava ted a nd d a ted c on tex ts , w e w ou ld n o t o n ly h ope t o f i nd ad if e ren t ia l d i s tr ibu t ion o fa c t iv i t ies b u t a l so ag rea te r v a r ie ty o fg oods t ha t c i rcu la te i nu rban c en ter s , c ompa red w i th d ependen t c o mmun i t ie s . The b a s ic c on tro l i n s t i tu t ion s —temp le a nd p a lace — w ou ld o bv iou s ly b e f ound i n s ide t he u rban c en ter . I .T he Mesopo tam ian C ase The Me sopo tam ian e xamp le i so fs pec ia l i mpo r tance i n t he p rob lem w e a re d ea l i ng w i th b ecause i tr ep re sen ts t he e a r l ies t a nd b e t ter k nown c a se r ega rd ing t he f o rma t ion o fu rban s oc ie ty a nd t he s ta te . Many s cho la r s h ave p ropo sed d if e ren t h ypo theses t o e x p la in t he t ran s forma t ion p roce ss t owa rd s a" comp lex s oc ie ty" . Iw i l l n ow c on s ide r s o me o ft he se i d ea s t ha t w e re d eve loped mo re t ho rough ly i n 1 979 . 1 . T he H yd rau l i c Mode l One o f t he mo s t w ide ly d i scussed p ropo s i t ion s i st ha t o f Ka r l Wi t tf oge l , wh ich eme rged f r om t he s tudy o f s o me p er iod s o f Ch inese h i s tory , a nd w a s g ene ra l ized b y h im a nd h i s f o l lowers a t aw o r ld -w ide l e ve l . The c en tra l c oncep t i st ha t o f " hydrau l ic

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s oc ie ty" , a n a g ra r ian s oc ia l o rgan iza t ion i n wh ich i r r iga t ion w o rks ( f o r p roduc t ive a nd d ef en s ive p u rpose s ) a nd o the r c on s truc t ion s ( c ommun ica t ion , d e f en se , s e rv ice , e t ce tera ) a re a dm in i s te red b y as t rong g ove rnmen t (W i t tfoge l 1 974 : 1 7 ) , whose ef i c iency w ou ld d er ive f r om i t s c apac i ty t o o rgan i ze a nd c on tro l man -power f o r t he ir c on s truc t ion a nd ma in tenance , a s w e l l a s t he d i s tr ibu t ion o f wa te r a nd i r r iga ted l and . Ah yd rau l ic s oc ie ty w ou ld t end t o a cqu i re as ta te c on fo rma t ion b ecau se t he s ta te w ou ld b e t he mo s t ef i c ien t p o l i t ica l s ys tem a b le t o i n teg ra te t he f o rma l p a t tern s o f a u tho r i ty t ha t a re r equ i red b y t he a foremen t ioned t a sks ( Sander s a nd P r ice 1 968 : 1 77 ) . H owever , Wi t tfoge l c once ives h yd rau l ic s oc ie t ies a t t he l e ve l o f c h ie fdom s , a nd a l so n on -u rban h yd rau l ic s oc ie t ie s . Th is i sa n e xamp le o f ap ropo s i t ion wh ich h a s b een g enera l ized t o an umbe r o f r eg ions wh ich h ave n o t b een t hou rough ly s tud ied a s t he o ne t ha t s e rved a s t he b a s i s f o r t he o r ig ina l i d ea s : t he Ch inese c a se . One o ft he c r i t ic i sm s t ha t s hou ld b e l e ve led a t t h i s p ropo s i t ion i st ha t , e ven t hough i ti ss eem ing ly p re sen ted w i th in a d ynam ic t empora l f r amework , t he f o rm t he e xp lana t ion t akes i sc l ea r ly a h is to r ica l . I n mos t c ases , r eg ions a re c i ted w i thou t p rec is ion w i th r e spec t t o t he p a r t icu la r p e r iod t o wh ich t he a rgumen t i sr e f e rred ; i n o the r s , t he p roce ss i sn o t f o l lowed i n ad iach ron ica l w ay . The d a ta i s f r agmen ted a nd , t hu s , t here i sn o c omp lete e xpo s i t ion o f a ny p a r t icu la r c a se . I n h i s a na lys is o f s even c on tempo ra ry s ma l l -sca le i r r iga t ion s ys te m s , M i l lon ( 1962 :56 ) h a s c onc luded t ha t t he re i sn o c l ea r r e la t ionsh ip b e tween d eg ree o f c en tra l iza t i on o fa u thor i ty a nd t he d imen s ion s o ft he i r r iga t ion s ys tem o r t he s i ze o ft he p opu la t ion i t ma in ta ins . Moreover , t he d ependence o n ac o mmon i r r iga t ion s ys tem r e su l ts n o t o n ly i n a n tagon ism s , b u t a l so i nc oopera t ion . Due t o t he f a c t t ha t Wi t tfoge l a nd S tewa rd i n c luded Mesopo tam ia i n t he c a te g o ry o f " compac t , s imp le , s ta te , h yd rau l ic s oc ie ty" ( S tewa rd 1 955 : 2 ) , o the r s cho la r s h ave i n s i s ten t ly s ea rched f o r t he i nd ica to r t he d ef ines t h i s t ype o fs oc ie ty , r educ ing t he p rob l em t o t ha t o fi r r iga t ion c ana l s . E xtens ive s u r face r econna i s sance p ro jec ts w e re p lanned , p a r t icu la r ly i n t he c en t ra l a nd s ou thern Mesopo tam ian p la in ( D iya la , Akkad , t he c en ter o f S umer a nd t he a rea o f U ruk - Wa rka ) . The ma in g oa l o f t hese p ro jec ts w a s t o d e tect t he c o rrespondence b e tween t he p resence o ft hese h yd rau l ic e l emen ts a nd t he mo men t o f eme rgence o ft he " s ta te" o r o f " u rban s oc ie ty" . A f te r y ea rs o f r e sea rch , o ne o f t he se s cho la r s , R ober t McC . Adam s , h a s c ome t o t he c onc lu s ion t ha t , f o r Me sopo tam ia , t he s ta te p receed s t he v a st h ydrau l ic n e two rks t ha t c ou ld g ene ra te p o l i t ica l s t ructu re s o f t he t ype Wi t tfoge l d ef ines a s h yd rau l ic b y a m i l lenn ium o r mo re ( Adams 1 965 : 4 1 ) . The a rch o log ica l e v idence s o f i r r iga t ion b e fo re t he m idd le o f t he t h i rd m i l lenn ium BC a re s o s ca r se a nd c on trove r s ia l t ha t t hey d o n o t h ave a ny w e igh t . F ina l ly t he a dm in i st ra t ive r eg i s ters o f t he t h i rd m i l lenn ium BC i nd ica te t ha t p eop le d epended p r ima r i ly o n e x tens ive c u l t iva t ion u nder r o ta t ion , w i th a l te rna te f a l low y ea rs a nd l e gum inou s c rop s . Sma l l -sca le i r r iga t ion c ons t i tu ted a s ub s id ia ry p a r t o f a n i n te rdependen t n e two rk o fs ubs i s tence t echn iques a nd e conom ic r e la t ion s , a nd i tc anno t b e i s o la ted a s ac ausa l a gen t ( Adam s 1 969 ; H o le 1 974 : 2 71 ) . 2 . T he D emograph i c a nd Warf ar e Mode l s The se t wo p ropo s i t ions w i l l b e d i scu s sed t oge the r b ecau se t hey a re i n t ima te ly r e la ted , e xp l ic i t ly o r i mp l ic i t ly . Ag rea t d ef ender o f t hem , i n o rder t o e xp la in t he eme r g ence o ft he s ta te , i sR obe r t C a rne iro ( 1970 ) , who p ropo se s t ha t t he p rog re s s ive i n c rea se o fp opu la t ion p rovoke s c on stan t c onf l ic ts d ue t o t he c o mpe t i t ion f o r a g r icu l tura l l and o r r e co l lect ion , h un t ing , g a ther ing , o r f i sh ing s ec tors ( t hu s c rea t ing p res sure o ve r l im i ted r e sou rces ) . The c o ro l la ry o f c ons tan t f r ic t ion w ou ld b e t he c onque s t o f s o me g roup s b y o ther s , a nd t r ibu ta ry r e la t ionsh ips b e tween c onquero r s a nd c onquered . Th rough t he se

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mecan is m s , t he s i ze o f p o l i t ica l u n its w ou ld p rogress ive ly i ncrea se , a s wou ld t he d egree o fc omp lex i ty a nd c en tra l iza t ion . F or Mesopo tam ia t here a re t hree mode ls t ha t w ou ld f i t t hese p ropos it ions . The most o rthodox , p roposed b y Cuy ler Y oung ( 1972 ) , wa si n ten ted t oa pp ly B oserup 's ( 1965 ) a nd Cane iro 's ( op . c i t . ) p ropos it ions t o Mesopo tam ia , a n a rea c ons idered a s ar e la t ive ly c i rcumscr ibed g eograph ica l u n i t . F ro m 6 000 t o 4 500 BC , t he p opu la t ion wou ld i ncrea se t h ir teen t imes , a nd t h is wou ld p rovoke a n i n crea s ing p re ssu re o nr e source s , wh ich i nt urn wou ld r e su l t i n t he i n ten s if ica t ion o fa gr icu l ture a nd i nt he m igra t ion o fo ne s ec tor o ft he p opu la t ion t o ma rg ina l z ones . Th is w ou ld h appen i n t he Uba id P er iod . Y e t , t he c o lon iza t ion o f n ew t e rr i tor ies a nd t he i n ten s if ica t ion wou ld h ave l im i t s . When t hese w ere r eached , c onf l icts o ver c u lt iva t ion l ands w ou ld worsen . Dur ing t he U ruk P er iod , ma rg ina l l and s w ou ld h ave b een a bandoned f o r t he s ake o fc rea t ing s e tt le men t c lu sters t ha t c ou ld b e more e as i ly d ef ended , c on s t i tu t ing " buf f er z one s" b etween p opu la ted s ectors .

Thus , u rban is m w ou ld b e t he means o f o rgan iz ing a nd c on tro l l ing

i ncrea s ing p opu la t ion , t he i n tens if i ed e conom ic s t ructu re , a nd man -power t ha t made t h is i n tens if ica t ion p oss ib le , b u t o n ly i n r anked s oc ia l f o rms . On t he o ther s i de , McGu i re G ibson ( 1973 : 4 58-460 ) p roposes a mode l wh ich s pec if i ca l ly r e f ers t o t he U ruk , N ippu r , a nd K ish s e ctors , p resen t ing s o me v a r ian ts w i th r e spect t o t he p rev ious o ne . I n t he f i rs t p lace , p opu la t ion i n crea se w ou ld b e af unc t ion o fl and p roduct iv i ty , a nd n o t a n i ndependen t v a r iab le , a s i n B oserup 's mode l . D e mograph ic i ncrea se w ou ld c on t inue t o b e t he p r inc ipa l i nd ica tor , a l though a n ew f ac tor i si n troduced , c on s idered a s c ruc ia l i n t he u rban iza t ion p rocess o f Mesopo ta m ia : a t ap a r t icu la r momen t , t he e a s tern r i verbed o ft he E uphra tes a nd t he p opu la t ion move t o t he w es t , n ea r t he n ew r i verbed . Th is d i sp lacemen t a gg lu t ina tes p eop le e ven more , r educ ing a va i lab le l and . Aga in , t he o n ly way o u t i st o i n ten s ify a gr icu l tu re , t he e cono m ic n e twork a nd s oc ia l o rgan iza t ion . Y e t , t he s ys tem o f l a rge s e tt lemen t u n its i s n o more ef ic ien t , a nd , a s ar e su l t , l a rge s i tes a re d i s in tegra ted i n f avor o f s ma l l v i l lages t h roughout t he t e rr i to ry . Th is a l lows a n ew d e mograph ic i nc rea se , a nd n ew a t te mpts t o i n tens ify e xchange a nd c raf tsmansh ip . C ompe t i t ion f o r l and a nd g oods i sn ow s o i n ten se t ha t wa r i s ac o mmon a nd a much b etter o rgan ized p heno menon . I ns tead o fm igra t ing , n ow i ti sc onven ien t t o f a ce c onf l ic ts d i rec t ly . The l a st mode l d er ives f r om R ober t McC . Adams ' ( 1972 : 6 2-63 ) i dea s wh ich s ha re t he c en tra l s t ruc ture o f t he a foremen t ioned mode ls , b ut p roposes t ha t t he e f ects o f t hese p rocesses s hou ld b e a na l ized n o t o n ly o n t he i n tercom mun i ty l e ve l ( w i th a n i ncrea sed emphas is i n h ost i l it ies , whose e f ect wou ld b e t he a ppea rance o f wa l led c i ty s ta tes ) , b ut a l so a t t he i n tracommun i ty l e ve l , t ha t i s , i t s e f ec ts o n s oc ia l s t ra t if ica t ion , wh ich wou ld p rovoke t he emergence o f s ta te s uper s tructu res . F o l low ing Ho le ( 1974 : 2 77 ) , i ts hou ld b e men t ioned t ha t t here i sh i s to r ica l e v i d ence o f wa r u n t i l 2 500 BC , wh ich i ss o me c en tu r ies a f te r t he c u lm ina t ion o ft he p rocess . S erv ice ( 1975 : 3 04-308 ) a dd s t ha t e v idences o f v io len t a ct ion s a re f ound s po rad ica l ly a t a ny mo men t o f t he p rocess .

F ur thermore w e s hou ld n o t c onfuse t wo t ypes o f c on -

f l i cts : f r ic t ion b etween r i va l n e ighbors , where o ne c en ter d ef ea ts o thers a f te r ad i spu te o ver b orders , a nd c onf l ict b e tween s eden ta ry a nd n omad ic p eop le . On a v ery d if eren t s ca le i st he s ys tema t ic m i l i ta r ism o f a n e xpan s ive s ta te , wh ich w ou ld b e p resen t f r om Akkad ian t imes o nwa rds . T ak ing i n to c on s idera t ion t he o r ig ina l mode l , o n ly f r om t hese p er iods o nwa rds c ou ld w e s peak o f aS ta te , t hu s h av ing t he p rob le m o f e xp la in ing t he S u mer ian " c i ty— sta te" . L e t u s r e tu rn t o t he b a s ic p rob lem : d e mog raphy . o f t hese h ypo these s i st he a rch&o log ica l s t ra tegy a dop ted .

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One o f t he w eake st p o in ts B y means o f t he s tudy o f

a rch o log ica l ma te r ia l f ound o n t he s u r face , p a r t icu la r ly t he d i s tr ibu t ion o fs herds , i ti s p re tended n ot o n ly t o a ss ign t he s i te t o ap a rt icu la r p er iod , b u t a l so t o d e te rm ine t he t ype o f s e t t le men t a nd t o c a lcu la te i t s p opu la t ion . A l so i ti si mpo r tan t f o r t he mode l t o e xp la in c hange s i n " s e tt lemen t p a t tern s " a t ar eg iona l l e ve l , where d e mog raphy i si n t e rms o f t he n umber o f s i tes i n e ach p e r iod . Y e t , d ue t o t he i n ex i s tence o f e x ten s ive e xcava t ion i nt hese s t ra teg ies , t he re a re n o p rec i se c h rono log ica l c on tro l s a nd , t hu s , t he re i sn o c onf i rma t ion t ha t t he s i tes a s s igned t o ap a r t icu la r p e r iod a re r ea l ly c on tempo ra ry . On t he o ther h and , i ti sw e l l k nown t ha t N ea r E a s te rn s i te s a re c ha racte r ized b y t he f a c t t ha t d if eren t o ccupa t ion s a re s uperposed t o f o rm h uge mound s c a l led t e l l , i n wh ich t he ma jo r i ty o ft he o ccupa t ion s l i e many me te r s b e low t on s o f f i l l a nd d eb r is . The s a me i st rue f o r s e t t lemen ts b u r ied u nde r t on s o f l ime . Thus , s o me o f t he f a c to r s t ha t w ou ld d ec i s ive ly h ave i nf luence o n t he e x ten s ion a nd d en s i ty o fs u rface ma te r ia l s a re t he d ep th a t wh ich t he d if e ren t l e ve ls o fo ccupa t ion l i e , t he means b y wh ich t he ma ter ia l sb e long ing t ot he u nder ly ing l e ve l s r ea ch t he s u rface , t he d eg ree o fe ros ion o ft he s i te a nd t he n umber o fs uperposed l e ve l s , t o men t ion o n ly s o me ( s ee Manzan i l la 1 979 , c hap te rs 7a nd 9 ) . Ip ropo se t ha t t he p rob lem b e c on s idered a s f o l lows . I n t he f i r s t p lace , t he d e mo g raph ic e s t ima te mu st n o t b e a n i mpe ra t ive g oa l i n ar eg iona l r e sea rch d es ign . N o t o n ly t h i s a pproach p roduces q uan t i ta t ive r e su l t s t ha t a re a f terwa rd s t aken a s d ef in i te w i th o u t f u r ther d i scuss ion , b u t a l so g rea t e ndeavou r s a re w a s ted o n g oa l s n o t y e t a cce s ib le . I n a ny c a se , t he mo s t a ccu ra te e s t ima te w ou ld c ome f r om t he n u mbe r o f h ouse s i n t he s i te , s pec ia l ly when w e h ave d a ta f r om e xcava t ion c on tex ts a nd when t he f unc t ion o ft he s t ruc ture s h a s b een d ete rm ined . I n t he s econd p lace , Id oub t t he f a c t t ha t t he d e mo g raph ic i ncrea se s hou ld b e c ons idered a n i ndependen t v a r iab le . A s C h i lde o nce p o in ted o u t , o ne o f t he e f ect s o f t he i mp rovemen t o f t he p roduc t ion s ys tem wa s d emograph ic i n c rea se , a nd t h is i mp rovemen t w ou ld c e r ta in ly b e e v iden t i n t he i n c rea sed ef i c iency o f t he r ed i s tr ibu t ive s ys tem , a s w e w i l l s e e a f terwa rd s . 3 . T he A dm in i s t ra t i ve H i erar chy Mode l Wr igh t a nd J ohn son h ave p ropo sed a mode l t o e xp la in t he o r ig in o f t he s ta te i n t he Khuz i stan . I n t h i s mode l t he emergence o f c en tra l ized g ove rnmen t i n s t i tu t ion s , w i th s pec ia l ized a dm in is t ra t ive f unc t ion s i nd ec i s ion mak ing , w ou ld b e i nvo lved , a nd t hey w ou ld i mp ly t h ree o r mo re l e ve l s i n t he c on tro l h i era rchy , i n o rde r t o b e c on s ide red a s ta te . The i nd ica to rs w ou ld b e t he s up remacy o f s o me s e t t le men ts o ver o the rs a nd t he t e chno logy u sed i n a dm in i s tra t ion . The mecan isms t ha t a re p ropo sed t o e xp la in t he emergence o fs uch l e ve l s a re t he f o l low ing . On t he o ne h and , t he f a c t t ha t d if eren t v a r iab les a re c hang ing s imu l taneou s ly a nd , t hu s , t he c apac i ty o ft he d ec is ion—mak ing i n s t i tu t ion s t o p roce s s i n fo r ma t ion w ou ld b e s u rpa s sed . On t he o ther h and , t he re a re t wo mechan i sm s t ha t t ake p lace : t he c hange f r om d ivers if i ed f unc t ion s t o s pec ia l ized a nd c o mp le men ta ry f unc t ions f o r t he a dm in is t r a t ive a ss is tan ts , wh ich w ou ld p reven t c onf l ic ts t ha t c ou ld emerge o u t o f t he i r p o s i t ion i nt he d if e ren t l e ve ls o fd ec i s ion—mak ing , a nd t he i n te ract ion b etween v a r iab les (W r igh t a nd J ohn son 1 975 : 2 67-268 , 2 85 ) . The p rob lem w i th t h is h ypo thes is i st ha t t hese a u thor s n ever d e te rm ine wha t t ype o f v a r iab les a re i n g ea r , a nd n e i ther i st here a c omp rehens ion o f h ow a c omp lex a dm in is tra t ive s yste m eme rge s i n t he N ea r E a s t , o r h ow i tf unc t ion s . Iw i l l d evo te s o me c on s ide ra t ion t o t h is s ub jec t l a te r o n . The a dm in i s tra t ive s ys tem w ou ld b e a n e f ec t , n o t ac au se , o f ab roader s ys tem . 4 . T he E xchange Mode l C o l in R en f rew ( 1975 ) h a s d eve loped as e r ies o f mode l s b y mean so f wh ich t he r o le o fe xchange a s a n i nd ica to r f o r u nde rs tand ing t he d eg ree o fo rgan iza t ion a nd c omp lex i ty

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o f a" c iv i l iza t ion" a nd t he emergence o f as ta te w ou ld b e e xp la ined . The b a s ic c oncep ts t ha t a re men t ioned a re t he " cen tra l p lace" , a s t he s pec if ic s i te where e xchange t akes p lace , a nd t he " ea r ly s ta te modu le" , a s t he a u tonomous t e rr itor ia l u n it where t hese s i tes a re embedded .

I n t he f i r st p lace , h e e s tab l ishes a d if erence b etween c h iefdom

a nd s ta te i n r e la t ion t o t he c r i ter ia o f p ermanence o f c en tra l p laces .

The o r ig ins o f

c i v i l iza t ion w ou ld b e a na lyzed t hrough t he emergence o f t hese p er manen t c en tra l n odes t ha t wou ld c orrespond t o t he p r inc ipa l d emograph ic c oncen tra t ions o ft he s ta te modu les . An e xamp le w ou ld b e t he S u mer ian " c i ty -s ta tes" . I n t he s econd p lace , R enf rew e s tab l i shes a mode l o f e cono m ic r e la t ions t ha t w ou ld t ake p lace i n t hree d if eren t s ca les : i n terna l e xchange , w i th in e ach modu le , whose p reva i l ing t ype wou ld b e r ed is tr ibu t ion ; i n ter med ia te e xchange , wh ich wou ld ma in ta in u n ifor m i ty b etween s ta te modu les b y r ec iproc i ty ; a nd f i na l ly , l ong -d istance e xchange , b e tween t he modu les a nd f o re ign r eg ions . S ome a rch o log is ts h ave b egun t o d i scu ss t he s ub ject o fp re l itera te N ea r E a st e rn e xchange .

The s l owness w i th wh ich t he o u t l ine i s b e ing p roduced i sd ue t o t he

c omp lex i ty o f i n terven ing f actors , a nd t o t he d if i cu l ty o f e va lua t ing , o n ly w i th a rcha eo l o g ica l d a ta , c er ta in modes a nd means . G enera l ly a p a r t icu lar r aw ma ter ia l i sd i scussed , a s f o r e xamp le c h lor i te , l ap is l a zu l i o r c opper , a s i nd icators o f i n terac t ion b etween t he S umer ian o r I ran ian i nf luence s phe res , d ur ing t he t h ird m i l lenn iu m BC . With r e spec t t o e a r l ier p er iod s , o ne s hou ld men t ion t he o b s id ian c a se , t ha t Ga ry Wr igh t ( 1969 ) h a s a ccu ra te ly d escr ibed . Y e t , t he s ub ject o f e xchange c anno t b e t r ea ted o n ly u nder t he r aw ma ter ia l a p p roach , b u t w e s hou ld a l so d i scuss t he u se t o wh ich t hese a re d est ined , t he f o r ms o f e xchange , t he r outes , who p a rt ic ipa te a nd who a re b enef i tted . F ro m t he t abu la t ion o f o b ject s f ound i n n orth Mesopo tam ian Cha lco l i th ic s i tes a v ery c omp lex s cheme emerges . S ome r aw - ma ter ia ls , t ha t i n ap a r t icu la r p er iod h ave b een d es t ined t o t he manufacture o fd omest ic g oods , a re l a ter t ransfor med i n to p res t ige g ood s ( f or e xamp le , a laba s ter , o b s i d ian , a nd l imestone ) . O thers , s uch a s s e rpen t ine , b a sa l t o r d ior i te , w ith wh ich w ork ing i n s trumen ts w ere e l abora ted , a f terwa rds a re r epresen ted i nw eapon s o r i n a dm in is tra t ive o b jects . O thers b eg in a s e l e men ts o fp ersona l d ecora t ion a nd e ven tua l ly a re t he ma ter ia l b a s i s o f i n s trumen ts a nd w eapons ( copper , f o r e xamp le ) . S o me o thers p enetra te i n b u lk a nd s udden ly a ppea r a s p res t ige g oods , r epresen ta t ive o f s ta tus ( l ap is l a zu l i , g o ld , a nd s i lver ) . One s hou ld a sk wha t p heno mena u nder l ie t hese f acts . Wha t emerges f r om t he a na lys is o f t he t ransfor ma t ions t ha t h ave o ccu rred w i th t ime i n t he e xchange n e tworks i st he f o l low ing . Wi th t he Uba id P er iod ( Perk ins 1 949 ; T ob ler 1 950 ; Me l laa r t 1 975 ) w e c an o bserve , f o r t he f i rs t t ime , t he c omp le te o ccupa t ion o ft he Mesopotam ian p la in a nd , t hus , v a st i n terreg iona l c on tac t . We t herefore f i nd o bs id ian f r om E a stern Ana to l ia i n t he P ers ian Gu lf s i tes . S e tt lemen ts s uch a s T epe Gawra , i n t he n o rthern p la in , s ee m t o h ave c on tro l led t he p rov is ion ing o f t urquo ise , c opper , l ap i s l a zu l i , a nd a laba s ter t hrough s i tes s uch a s T epe G iyan , S ia lk a nd T epe H issa r . On t he o ther h and , t he r e la t ionsh ip w i th E astern Ana to l ia c on t inues , f o r t he s upp ly o f o b s id ian a nd , maybe , c opper a nd g o ld . F or t he U ruk a nd Gawra P e r iod s ( Herrmann 1 968 ; Ca ldwe l l 1 976 ; Wr igh t , H .T . 1 972 ; Dyson 1 965 ; B ea le 1 973 ; T os i 1 973 ; L amberg -Ka r lovsky 1 973 , 1 974 ) , t here i sa v a s ter i n tegra t ion o ft he a for men t ioned p a ttern . Wi th r e spect t o l ong -d istance e xchange , o ne c ou ld men t ion t wo c i rcu its t ha t p erhaps i n te rsect a t S usa (Manzan i l la 1 979 , 1 986 ) : a )

The n orthern r oute t ha t i n c ludes t he l i ne t ha t u n i tes T epe Gawra , T epe G iyan , S ia lk a nd T epe H issa r , ar ou te t ha t i nl a ter m i l lenn ia r e ce ived t he n ame o f " the g rea t r oad

2 76

o f Khura ssan" . Through t h is r ou te , l ap is l a zu l i a nd t urquo ise p ene tra ted a s f a r a s T epe G iyan , a nd p robab ly f r om t here t o S u sa , U ruk , a nd T epe Gaw ra . b ) The s ou thern n e twork r e la ted t he P ers ian Gu l f ( f or s i tes s uch a s Bakun A a nd J ag in ) t o t he K er man ( T epe Y ahya a nd T a l i I b l i s ) a nd t he Khuz is tan ( w i th T epe F a rukhabad a nd maybe S usa ) . The ma jor i ty o f t hese s i tes w ere d ed ica ted t o t he e l abora t ion o f s pec if ic h and icra f ts . F or S u sa , i th a s b een men t ioned t ha t , a t t he b eg inn ings o ft he U ruk P er iod , t he a r t icu la t ion o fe xchange n e tworks i sr e la ted t o t he p er iod ic a ppea rance o fv as t g roups o f s pec ia l ized n omads i n s ea rch o fg ood s (W r igh t a nd J ohnson 1 975 : 2 79 ) . An i mpor tan t f a c t i s Moorey 's ( 1976 : 1 06 ) o b serva t ion i n t he s en se t ha t t he d i s tr ibut ion o f b eve l led -r im b ow ls o u ts ide Mesopo tam ia i sd i rect ly r e la ted t o s ources o f r aw - ma ter ia ls t ha t i n teres ted t h i s a rea . One m igh t t h ink o f ac ha in t ha t w ou ld c onnect d if eren t r ed is tr ibu t ive c en ters i n c ha rge o f t he p rov is ion o f f o re ign r aw ma ter ia ls f o r t he ir r e spec t ive r eg ions . A s w e w i l l s ee a f terwa rds , e xchange w ou ld t hus b e o ne o f t he i n s t i tu t ion s f o s tered b y r ed is tr ibu t ion . F or t he J emdet N a sr P er iod ( Tusa 1 977 ; We iss a nd Y oung 1 975 ; Y oung 1 972 ; L amberg -Ka r lovsky a nd T os i 1 973 ; F rankfor t 1 971 ) , w e o bserve t he e s tab l ish men t , s o me t imes b y f o rce , o f p ro to -E lam i te c o lon ies a t v a r ious p o in ts i mp l ied i n t he p rov is ion ing o f I ran ian r aw - ma ter ia ls . A s B ea le ( 1973 ) men t ions , t he p o l i t ica l c on tro l o f t he e xchange n etworks a nd o f t he d epos i ts wa s t he d om inan t f a c tor t ha t d eterm ined t he mos t i mpor t an t f l uc tua t ion s . A ccord ing t o C a ldwe l l ( 1976 ) , S u sa c ap tured t he l ap is l a zu l i e xchange , a nd s i tes s uch a s T epe G iyan a nd S ia lk p resen t ah ia tus i n t he i r s equence , o r e v idence o fd es truc t i on s a nd s ack ing , f o l lowed b y t he i mp lan ta t ion o f p ro to -E lam i te o u tpos ts . On t he o ther h and , L amberg -Ka r lovsky a nd T o s i o bserve t wo v a st i n teract ion s pheres d ur ing t h is p er iod : o ne f r om S umer t ot he P ers ian Gu lf a nd t he s ou thwes tI ran ian p la teau , a nd t he o ther t ha t w ou ld c o mpr ise t he s ou the rn s ector o f T u rk men ia a nd t he n or thea st I ran ian p la teau . A ccord ing t o H er rmann ( 1968 : 4 7 ) , d u r ing t he E a r ly Dyna s t ic P er iod , t here s e em s t o b e as u spen s ion i n t he af luence o f f o re ign e l emen ts t o S umer b y way o f t he n or thern r ou te , d ue t o t he s ca rse p resence o fl ap is l a zu l i . Dur ing Pha se I , a n i mportan t n etwork b e tween K erman a nd S umer wou ld e x is t , maybe w i th S u sa a s a n i n termed ia ry . The s ou thern r ou te t ha t i s men t ioned i nh i s tor ica l t exts b e long ing t o t he e nd o ft he E a r ly Dyna s t ic i st he ma r i t ime r ou te t ha t l i nked S umer w ith D i lmun , a nd f r om h ere g oods w en t t o Makran a nd t o t he n or thwestern c oa st o f I nd ia . I n t h is r e spect , t here h a s b een t he s usp ic ion t ha t t he o pen ing o f a ma r i t ime r ou te wa s may h ave b een a r e sponse t o t he E lam i te b a rr ier i n t he Khuz is tan . I n r e la t ion t o t he n or thern n etwork , L amberg -Ka r lovsky a nd T os i ( 1973 : 4 4 , 5 0 ) p ropose t ha t t here wa s am inor macro -reg iona l a nd a g rea ter z ona l i n tegra t ion . I n t he I ran ian p la teau , t he f o rmer p a ttern o f c u l tura l i n te rre la t ion s i sd i s in tegra ted , a nd t h is p rovoked l a ter o n t he i s o la t ion a nd , t hus , t he c o l lap se o fu rban l i f e , a cce lera ted b y i n terna l s oc ia l t ens ions a nd b y p opu la t ion movemen ts f r om t he n orth ( Tos i 1 973 : 4 45 ) . A w e l l -known f a ct i st ha t i n ar eg ion w i thout r ocks , m inera ls , a nd meta ls , s uch a s Mesopo tam ia , l ong -d i stance e xchange i sv ery i mpor tan t f o r t he p rov is ion ing o f r aw ma ter ia ls u sed i n t he manu factu re o ft he most b a s ic d omes t ic i mp le men ts , w eapon s , a nd p res t ige i t em s . Y e t , a s Is ugges ted i n 1 979 , l ong -d is tance e xchange wa s o n ly o ne o f t he b y -p roducts o f a n o rgan iza t ion c en tered i n t he t emp le , i n wh ich r ed is tr ibut ion a ssured t he a va i lab i l ity o f g ood s . E a r le a nd D 'A l troy ( 1982 : 2 67 ) a gree w i th t h is i dea , i n v i ew

27 1

o f t he ir s tudy o fr ed is tr ibu t ion i n Hawa i ian s oc iet ies . L e t u s p a ss t o t he l a s t h ypothes is c ons idered , i n o rder t o i n tegra te e xchange i n a more c omp le te f r amework . 5 . T he C on tro l o fP roduc t ion a nd R ed i s tr ibu t ion Mode l Th is mode l h a s i t s o r ig in i n V . Gordon Ch i lde ' s a na lys is o fu rban o rgan iza t ions . Ch i lde men t ioned t ha tt he c i ty i s ab y -produc to fp rog ress ive d emograph ic i nc rea se , wh ich c ou ld o n ly b e p roduced b y t he a ccumu la t ion o fs urp lus . The p opu la t ion o ft he f i rs t c i t ies n o t o n ly r ep resen ted a n ew o rder o f magn i tude , b u t a l so a d if eren t c ha racter i n t he p resence o ff u l l -t ime s pec ia l is ts ( Ch i lde 1 964 : 2 9-30 ) . I n t he Mesopotam ian c a se , s u rp lus p roduct ion b eyond t he d omes t ic n eeds o ft he v i l lage i nhab itan ts w ou ld s e rve t o ma in ta in n ew e cono m ic c l a sses t ha t w ou ld h ave s pec ia l a cces s t o t he b a s ic p roduc t ive r e sources , s t i mu la t ing s oc ia l s t ra t if ica t ion . On t he o ther h and , t h is s u rp lus w ou ld b e d evo ted t o e xchange a nd r ed istr ibu t ive a ct iv i t ies . There w ou ld t hen b e a n i mp l ic it n eed t o c rea te i n s t i tut iona l ized f o rms t o c oncen tra te a nd r ed i str ibu te s uch s urp lus : ac en tra l a u thor i ty ( Ch i lde 1 968 : 2 75-276 ) . S erv ice ( 1975 : 2 07-210 ) h a s men t ioned t he f a c t t ha t i n t he U ruk P e r iod , t he t e mp le a dm in is tra tors c oncen tra ted a nd r a t ioned f ood s tuf f s , s t ored a nd r ed i str ibu ted r aw - ma ter ia ls a nd p roducts , a nd a l so w ere i nc ha rge o fe xchange w i th f o re ign g roups . F or t he E a r ly Dyna s t ic , r ed is tr ibu t ion i st ransformed when p ower moves t o s ecu lar p o l i t ica l s pheres . F o l low ing a s im i la r l i ne o f t hough t , F rank H o le ( 1974 ) p roposes t ha t when man b eco mes s eden ta ry , h e s acr if i ces d ie t v a r ie ty a nd mob i l i ty f o r s e cur i ty i n p roduct ion . I n t h is p rocess , ad eve lopmen t o f r e s tr icted— specter p a t terns o f e xp lo i ta t ion i si mp l ic i t a nd , t hus , man i so b l iged t o e xchange h i s p roduc ts f o r t hose g oods t ha t a re n o t l o ca l ly p roduced ; t he r e su l t w ou ld b e t he l o ss o f s e lf -suf f ic iency . The f a ct t ha t t he N ea r E a s t i sc ha racter ized b y a n u nequa l d i s tr ibu t ion o fr e sources w ou ld s t imu la te i n tercom mun ity s pec ia l iza t ion . Therefore , t here i st he n eed o f a n o rgan iza t ion t ha t c on tro ls p roduc t ion a nd r ed is tr ibu t ion , e i ther i n t he h ands o f o ne p erson —the c h ief — , a n i n s t i tu t ion —the t emp le — , o r as e tt le men t . F ur thermore , i n ar ed is tr ibu t ive e conomy , mo re s urp lus w ou ld b e c orre la ted w ith more s t ra t if ica t ion , t ha t i s , as i gn if ican t p or t ion o ft he s urp lus w ou ld b e c hanne led t o t he t e mp le a nd t o t he a ct iv it ies r e la ted t o t he e l i te , s uch a s t he p rov is ion o f r aw - ma ter ia ls , t he ma in tenance o fc ra f tsmen t ha t p rocess t hem , e t ce tera . My p roposa l g oes i n t he s ense o f t h i s l a s t mode l , b u t i td i s t ingu ishes b etween t wo s tages w i th d if eren t o rgan iza t ions : t ha t o f t he t emp le a nd t ha t o ft he p a lace . I . T he T emp le S pher e A s men t ioned e a r l ier , t he a rea i n wh ich t he f i r s t i nd ica tors o fc en tra l iza t ion c an b e b e tter t racked i sn a tura l ly Mesopo tam ia , where w e h ave a n a bundance o f e xcava ted a nd a na lyzed s i tes . F rom t he N eo l i th ic o nwa rd s t here i se v idence o fc o m muna l a ct iv i t ies , p a rt icu la r ly s torage . Due t o t he f a ct t ha t w e d o n o t h ave d a ta t ha t d i st ingu i shes o ne s oc ia l g roup f r om t he r e s t , e i ther i n r e s iden t ia l p ract ices o r i n g raves , o ne c omes t o t he c onc lus ion t ha t , a s i n a c tua l " l ineage s oc iet ies" , t he e lders ' c ounc i l wou ld h ave s e rved a s t he c oörd ina t ing i n s t i tut ion o fc om mon a c t iv i t ies , s pec ia l ly t he d i s tr ibu t ion o fs tored p roduct ion i n t he c en ter o f t he v i l lages , i n ac i rcu i t Ia nd o ther s h ave c a l led " c i rcu la r r ed is tr ibu t ion" (Manzan i l la 1 983 ) .

F ur thermore , t he re c ou ld b e ac o m muna l p roperty

s phere b eyond t he f am i ly s phere . With t he a ppea rance o f t he t r ipa r t ite t emp le , f r om t he Uba id P er iod o nwa rds , w e o b serve c l ea r e v idence o f s pec ia l iza t ion i n d if eren t t a sks . The p r iesthood t akes t he p lace o f t he e lders ' c ounc i l a s ac oörd ina t ing i n st i tut ion o f e conom ic a nd i d eo log ica l c om muna l t asks , b ut a dds a h igher o rder o fc omp lex i ty : e ven t hough t he e lders ' c ounc i l

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d oes n ot d i sappea r a t t he l e ve l o fp a r t icu la r c ommun i t ies , t he p r ies thood l i es a t ah igher h i era rch ica l o rder a nd r e s ides i n t he ma in s e tt lemen t where i ti sp oss ib le t o ma in ta in c raf t— a nd e xchange— spec ia l is ts , a s as ubs id ia ry p a r t o f t he a ssy me tr ica l r ed is tr ibu t ion c i rcu i t . The s tored p roduct ion c oncen tra ted i n t he sma l l r oom s t ha t f l ank t he s anctua ry o ft he t r ipa r t i te t e mp les f l ows i n t he f o rm o ff oods tuf fr a t ions t o t he f a i thfu l a nd d epen d en t p ersonne l , a nd i ti sa l so c hanne led t o l ong -d is tance e xchange , t o make a p rov is ion o f d if eren t r aw - ma ter ia l s wh ich d o n ot e x is t i n Mesopotam ia . These a re b rough t f r om Ana to l ia , t he L evan t o r I r an . The r a t ions a re e v iden t i n h i stor ica l s ou rces b e long ing t o i mmed ia te l a ter p er iod s , b u t a l so i nt he ma ss p roduct ion o ft runcocon ia l b ow l s ( E sp inosa a nd Manzan i l la 1 985 ) a nd o ther v esse ls t ha t l i e i n t e mp le s torehouses o f v a r ious s i tes , s uch a s A rs lan tepe i n O r ien ta l Ana to l ia ( Pa lm ier i 1 973 ) . A ssy me tr ica l r ed is tr ibu t ion i si mpor tan t i n r eg ions w i th r e la t ive ly h omogeneous a nd l im ited r e sources , s uch a s t he Mesopo tam ian p la in o r t he Mayan L ow land s , d ue t o t he f a ct t ha t t he g oods s t ored b y t he t emp le s e rve t o f o ster s pec ia l ized manufac tures a nd t o e xchange t he m f o r i n ex is ten t r aw -ma ter ia ls . On t he o ther h and , i n r eg ion s w ith e co log ica l d ivers ity d ue t o t he e x i stence o f o rograph ic d if erences , t he r e sponse i s t he " e conom ic s y mb ios is" o f s e tt le men ts t ha t p a rt ic ipa te i n i n terco mmun ity s pec ia l iza t ion n etworks , a s S anders ( 1968 :100 ) h a s p roposed f o r t he L a te F orma t ive o f t he Ba s in o f Mex ico , a nd t ha t i sa l so p resen t i n t he V a l ley o f Oaxaca ( F lannery a nd Coe 1 972 ) . An o ppos ite a l terna t ive w ou ld b e t he o ne t ha t p re tends t o a ch ieve s e lf -suf f i c iency f o re ach c ommun i ty a nd t he e xp lo i ta t ion o fe co log ica ln iches l o ca ted a t d if eren t a l t i tudes ; t h is w ou ld c on s t i tute Mu rra 's ( 1975 ) " ver t ica l c on tro l" mode l f o r t he C en tra l Andean A rea . When i n st itut ion s t ha t c en tra l ize ag ood p a rt o ft he p roduc t ive p rocess , a nd t he c onsequen t d i str ibut ion o fg ood s a ppea r , s uch a s t he t e mp le , u rban c en ters emerge where t he p r ies thoods p ro mo te t he e x is tence o f as e r ies o fs pec ia l is ts i nd if eren t p roduct ive a nd e xchange a ct iv i t ies . S uch c en ters b ecome t he a x i s o f macro -reg iona l c i rcu its o f c oncen t ra t ion a nd d i s tr ibu t ion o f g ood s . T o a s sure t he s upp ly o f f o re ign r aw - ma ter ia ls f o r t he e l abora t ion o fs ump tua ry g ood s , t he p r iesthood s end s em i ssa r ies t ha t wou ld e s tab l ish a t ype o f p ac if ic c o lony i n s ide l o ca l c ommun i t ies i n o ther r eg ion s , a nd s en t t hose g oods b ack . E xamp les , s uch a s T eo t ihuacan , i n t he Ba s in o f Mex ico , a nd T iwanaku , i n t he T i t icaca L ake , w ou ld f i t i n t h is f r amework . A s a ma tter o ff a c t , i ts hou ld b e men t ioned t ha t i n t he c en tra l -northe rn Andean r eg ion , f r om F orma t ive t imes o nwa rd s , at ype o f s e tt le men t d es igna ted a s " ceremon ia l c en ter" emerges , i n wh ich t he c en tra l p ort ion i s o ccup ied b y t he t e mp le s u rrounded b y s torehouses ( Lu mb rera s , p ersona l c om mun ica t ion , 1 986 ) . Thus , t he r ed is tr ibu t ive c i rcu it c ou ld b e d e tec ted i n t he a rch o log ica l r ecord p a rt icu la r ly i n t he wa rehouses c on tro led b y t he t emp le , i n t he f l ow o fs tored g ood s i n t he f o rm o ff ood r a t ions o r c ommuna l b anque ts , u s ing ma ss - made p o ttery a nd , i n t he N ea r E a s tern c a se , i n a n e l abora te a dm in i stra t ive s ys te m t ha t i mp l ied a ccoun t ing a nd c on tro l p rocedu res o ft he g oods t ha t e n tered a nd d epa r ted f r om t he wa rehou ses . The c oro l la r ies t ot h is s ystem w ere t he emergence o fs pec ia l is ts d etached f r om f ood p roduct ion , s us ta ined w i th t he s tored f ood stuf f s , a nd t he s upp ly o f f o re ign r aw - ma ter ia ls b y means o f t emp le em issa r ies .

These e l emen ts c on st i tu te i mportan t c harac ter is t ics o f wha t w e c ou ld c a l l

" p r i st ine u rban s oc iet ies" . Two s pec ia l c a ses a re Ch ina a nd E gyp t , where f r om e a r ly t imes o nwa rds , w e h ave e v idences o f d iv ine k ingsh ip . Th is i st he c a se o f Ch ina d u r ing t he S hang Dyna s ty ( Chang 1 974 ) , i n wh ich t he p a lace a nd t he c eremon ia l a rea o ft he c ap i ta ls w ere a r t icu la ted i n o ne s ec tor ; o n t he o ther h and , g roups o f c ra f ts men , a nd t he r e s iden t ia l a nd s torage

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a rea s w ere l o ca ted i n c l us te rs s ur round ing t he c en t ra l s ec tor . Th is d e tachmen t o f t he s to rehouses f r om t he c en tra l i n st i tu t ion s c ou ld i nd ica te t ha t r ed i s tr ibu t ion o ccu rred a t t he l i neage o r c l an l e ve l . Chang ( 1984 ) h a s empha s ized t ha t t he monopo ly o fs haman ism w a s t he k ey t he r u ler h ad t o a ccede t o a nces tra l a nd d iv ine w i sdom , a nd t h i s w a s t he b a s i s o f h i s p o l i t ica l a u tho r i ty . Ano ther n o to r iou s c a se i st ha t o f E gyp t f r om t he L a te P redyna s t ic t hrough t he Anc ien t K ingdom , i n wh ich t he p ha raoh w a s t he h ead o f a l l i mpo r tan t f unc t ion s , e i ther c i v i l o r r e l ig iou s . The w a rehou ses o f Upper a nd L ow er E gyp t l a y i n t he p a lace s phere a nd r ed is tr ibu t ion d epended o n h im . I n t he C h ine se a nd t he E gyp t ian e xamp le s , t he a r t icu la t ion o f t he r u le r ' sa u t ho r i ty w i th h i s d iv ine f unc t ions i ss o i n tr inca te t ha t t he p r ies thood s tands i n as econd p lace , g ene ra l ly d evo ted t o t he f unera ry c e remon ies o fp a s t r u ler s . I ta l so s e ems t ha t t he V a l ley o f Oaxaca , d u r ing C la ss ic t ime s , c ou ld h ave h ad a s im i la r o rgan iza t ion . I I . T he P a lace S pher e Du r ing t he E a r ly Dyna s t ic , a t S umer , t he t emp le g radua l ly c o l lap se s a s t he e cono m ic a x i s o fs oc iety a nd t h i s f a c t i sc on tempo ra ry w i th t he a ppea rance o ft he p a lace a s ar i va l e conom ic i n s t i tu t ion , c oncern ing l and , c a t t le , p roduc ts , a nd c en tra l iza t ion . The p a lace a cqu i red t he a dm in is tra t ive f unc t ion s o f t he t emp le , a nd a l though t he g oods i n s to rage d id n o t r each c ommon p eop le , a s i n t he f o rme r s phe re , t hey d id f o rm p a r t o f a c l o sed c i rcu i t . I n t he E a r ly Dyna st ic P e r iod t he t wo i n s t i tu t ion s c oex i s ted , b u t i nt he f o l low ing A kkad ian P e r iod , an ew k ind o f o rgan iza t ion b ecome s c l ea r ly o u t l ined , w i th t he p a lace a s t he a x is : t he e xpan s ive a nd t r ibu ta ry s ta te (Manzan i l la 1 979 ) . The d ef in ing c ha rac te r i s t ics a nd o rgan iza t ion o f t h is momen t a re t he f o l low ing o nes :

1 )

T r ibu te s ub s t i tu tes r ed i st r ibu t ion a s t he f o rm o fc en tra l iza t ion o fs u rp lus p roduc t ion . C onques t a ssure s t he c on t inuous f l ow o f g oods t o t he p a lace .

2 ) Ano ther c on sequence o f c onque s t i st he emergence o f t he c oncep t o f w ea l th a ccu mu la t ion , i n t he f o rm o fw a r s po i l s , a nd i n t he a d sc r ip t ion o f ma rg ina l l and . I tc an b e s a id t ha t , e ven t hough t he re a re s o me c a se s o fl and lo rd s r ewa rded w i th l and , t he b a s ic p rope rty c e l l i st he c ommun i ty ( c a lpu l l i , a y l lu , n ome ) wh ich i st he o ne t ha t a s s ign s l and a nd t a sks t o i t s membe r s . T hen , t h i s s t ep ma rks t he b eg inn ing o f c l a ss s oc iet ie s a nd t he s ta te . 3 ) A t h i rd e l emen t , i n c l o se r e la t ionsh ip w i th t he p a lace a nd i t s o rgan iza t ion , i st he ma rke t a nd t he emergence o ft he merchan t . The ma rke t i sa n i n s t i tu t ion t ha t c omes l a te i n t he p rocess ; i ti sc r ea ted i n c l o se a r t icu la t ion w i th t he p a lace i n teres ts , a s h a s b een p o in ted o u t b y C a r ra sco ( 1983 ) . S ince t he E a r ly Dyna s t ic I i n Mesopo tam ia , merchan t g roup s a s soc ia ted w i th t he p a lace s t imu la ted p opu la r d emand f o r b ronze w eapon s a nd l uxu ry g ood s ( Adams 1 973 ) . I n t he B a s in o f Mex ico , t he p o ch te ca s ubs t i tu te t he o lder t emp le emm isa r ie s . 4 )

A s ac onsequence o ft he a ppea rance o ft he ma rke t , i na dd i t ion t ot he t emp le o rp a lace c ra f ts men , o ne c an a l so o bserve i ndependen t c ra f tsmen , g enera l ly g rouped i n w a rd s , e xchang ing t he ir p roduc t ion f r ee ly .

E xamp le s s uch a s t he A kkad ian Emp i re a nd t he s uccess ive B aby lon ian a nd A s s yr ian s ta tes , t he N ew E gyp t ian K ingdom , t he C en t ra l Mex ican P o stc la s s ic , a nd t he C h i mu a nd I nca Emp ires b e long t o t h is s tage .

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I n t he ma jor ity o f t hese c a ses t here a re s t i l l r e l icts o f t he f o r mer r ed i str ibu t ive o rgan iza t ion . F or e xamp le , Ca rra sco ( 1982 ) a nd B roda ( 1976 ) h ave w r i tten o n d if eren t c a ses i n wh ich t he A ztec t l a toan i o pened h i s wa rehouses t o g ive f oods tuf f t o c o m mon p eop le , o r i n s ign ia t o t he wa rr iors . Ano ther e xamp le i st ha t o ft he I nca S ta te , where w e c an b etter s tudy t he r e l ic ts o f r ed is tr ibu t ion i n t he p a lace o rgan iza t ion . S cho la rs s uch a s Morr i s ( 1978 ) , E ar le a nd D 'A l troy ( 1982 ) a nd o thers h ave d escr ibed s torehouses i n d if eren t P eruv ian c en ters , p a r t icu la r ly i nt he r eg ion o ft he p rov inc ia l c ap i ta l o f Huänuco P ampa a nd i n t he Man ta ro B a s in . These wa rehouses , t ha t Murra ( 1975 ) men t ions a re v i ta l when t here a re f r osts o r d rough t , s e rved a l so t o ma in ta in s ta te p ersonne l , t he a r my , a nd a l l t he p eop le t ha t p a rt ic ipa ted i n s ta te a ct iv i t ies . The d epos its w ere l oca ted e i ther i n s ide t he s e tt lemen ts o r o n t he moun ta in s l ope s , d epend ing o n t he p er manen t o r t e mpora l c ha rac ter o f t he p opu la t ion ( Ea r le a nd D 'A ltroy o p . c i t . ) . On t he o ther h and , Morr is ( op . c i t . ) men t ions t he f act t ha t a t Huanuco P ampa , t he t wo o pen s ectors o r p lazas w ere d evoted t o t he e l abora t ion a nd r ed is tr ibu t ion o f c h icha a nd o ther f ood stuf f s . Due t ot he p ers i stence o ft he b a s ic e l emen ts o ft he f o r mer s tage ,w ec ou ld c ons ider t he I nca c a se a s at rans it iona l e xamp le . An e l e men t t ha t wou ld s uppor t t h i s i d ea i st he i n ex is tence o f ma rkets a nd merchan ts i n s ide t he I nca Emp ire . We wou ld l i ke t o c onc lude , t hu s , s ay ing t ha t t he t e mp le o rgan iza t ion , c en tered i n a n i n tr inca te r ed is tr ibu t ive c i rcu i t , wa s t he b a s is f o r t he " u rban r evo lut ion" , a nd t ha t o n ly i n l a ter t imes , as ta te c en tered i n t he p a lace a s t he a x i s o f at r ibu ta ry c i rcu i t a nd t he t op o f ac l a ss s oc iety emerges .

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LA MBERG -KARLOVSKY , C .C . , a nd M . TOSI 1 973 .

" Shahr i S okh ta a nd T epe Y ahya : T racks o n t he E a r l ies t H istory o f t he I ran ian P la teau ", E as t a nd Wes t n . s . , v o l . 2 3 , n o . 1a nd 2 , Ma rch—June , I s MEO , Ro me : 2 1-57 .

2 83

LU MBRERAS , L .G . 1 968 . C ourse : " Los f undamen tos e conöm icos d e l a s oc iedad a nd ina " ,

C en tro d e

I nves t igac iones y E s tud ios S uper iores e n An tropo log ia S oc ia l , Mex ico . M ANZANILLA , L . 1 979 . C o men tar ios e n t orno a u n p roceso h i s tör ico : l a c ons t i tuc iön d e l a s oc iedad u rbana e n Mesopo tam ia ( cua r to m i len io a C ) , t e s is d e maes tr ia , ENAH , Mex ico . 1 983 .

" La r ed is tr ibuc iön c omo p roceso d e c en tra l izac iön d e l ap roducc iön yc i rcu lac iön d e b ienes . Anä l is is d e d o s c a sos" , B o lean d e An tropo logia Amer icana n o . 7 ,j u l io , I n st i tu to P anamer icano d e G eogra f fa eH is to r ia , Mex ico : 5 -18 .

1 985 .

" T emp lo y p a lac io : p ropos ic iones s obre e ls u rg im ien to d e l a s oc iedad u rbana y e le s tado" , Ana les d e An tropo logi a v o l . XXI I , UNA M , Mex ico .

1 986 . L a c ons t i tuc iön d e l as oc i edad u rbana e n Mesopo tamia . U n p roceso e n l ah i s tor ia , ( Ser ie An tropo lög ica n o . 8 0 ) ,I ns t itu to d eI nve st igac iones An tropo lög ica s , UNA M , Mex ico . MELLAART , J . 1 975 .

T he N eo l i th ic o ft h e N ear E as t , Thames a nd Hudson , L ondon .

MILLON , R . 1 962 .

" Va r ia t ion s i n S oc ia l R esponses t o t he P rac t ice o f I r r iga t ion Agr icu l tu re" , i n Woodbury , R icha rd B . ( cd ) :

C iv i l iza t ions i n D eser t L ands , ( An thropo log ica l

P apers n o . 6 2 , D ecember ) , Un ivers ity o f U tah P ress , S a l t L ake C ity : 5 6-88 . MOOREY , P .R .S . 1 976 .

" The L a te P reh is tor ic Adm in is tra t ive Bu i ld ing a t J amda t Na sr", I r aq v o l . 3 8 , p a rt 2 ,a u tumn , L ondon : 9 5-106 .

M ORRIS , C . 1 978 .

" Chapter

1 3 .

The A rcheo log ica l S tudy o f Andean E xchange S ys te m s" , i n

R edman , Cha r les L . e ta l . ( eds ) : S oc ia lA r cheo logy . B eyond S ubs i s tence a nd Da t ing , A cadem ic P ress : 3 15-327 . MURRA , J .V . 1 975 . F ormac iones e conöm i cas y p o li t icas d e l mundo a nd ino , I n s t i tuto d e E stud ios P eruanos , L i ma . PAL M IERI , A . 1 973 .

" Scav i n e l l 'a rea s ud -occ iden ta le d i A rs lan tepe . R i trovamen to d i u na s t ru ttura t e mp la re d e l l 'an t ica e ta d e l B ronzo" , O r ig in i v o l . V I I , R oma : 5 5-228 .

PERK INS , A .L . 1 949 .

T he C ompara t ive A r cheo logy o fE ar ly Mesopo tam ia , ( Stud ies i n Anc ien t O r ien ta l C iv i l iza t ion n o . 2 5 ) , The O r ien ta l I ns t i tu te o ft he Un ivers i ty o f Ch icago , Ch icago .

RENFRE W , C . 1 975 .

" 1 . T rade a s A ct ion a t aD is tance : Ques t ion s o f I n tegra t ion a nd C o mmun i c a t ion" , i n S ab lof f , J eremy A . , a nd C .C . L amberg -Kar lovsky ( eds ) : Anc ien t C iv i l iza t ion a nd T rade , ( A S choo l o f Amer ican R esea rch B ook ) , Un ivers i ty o f N ew Mex ico P ress , A lbuquerque : 3 -59 .

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SANDERS , W .T . 1 968 .

" Hydrau l ic Agr icu l ture , E cono m ic S y mb ios is a nd t he E vo lu t ion o f t he S ta te i n C en tra l Mex ico" , i n Meggers , B e t ty ( ed ) : An thropo log ica l A r cheo logy i n t h e Amer i cas , The An thropo log ica l S oc ie ty o f Wa sh ing ton , B rook lyn : 8 8-107 .

SANDERS , W .T . , a nd B .J . PRICE 1 968 .

Mesoamer ica . T he E vo lu t ion o f aC iv i l iza t ion , Rando m Hou se , N ew Y ork .

S ERVICE , E .R . 1 975 .

O r ig ins o f t he S ta te a nd C iv i l iza t ion . T he P rocess o f C u l tura l E vo lu t ion , W. W . Nor ton a nd C o . , N ew Y ork .

STE WARD , J .H . 1 955 .

" In troducc iön . E l s y mpos iu m s ob re l a s c i v i l izac iones d e r egad io", L as C iv i l iza c i ones An t iguas d e l V i ejo Mundo y d e Ame r i ca , ( E stud ios Monogräf i cos n o . 1 ) , Un iön P ana mer icana , Wa sh ing ton : 1 -5 .

TOBLER , A .J . 1 950 . E xcava t ions a t T ep e G awra V o l . I . L eve les I X—XX , Un ivers ity o f P enn sy lvan ia P ress , Ph i lade lph ia . TOSI , M . 1 973 .

" Ea r ly U rban E vo lu t ion a nd S e tt le men t P a tterns i n t he I ndo -I ran ian Borde r l and " , i n R en f rew , Co l in ( ed ) : T he E xp lana t ion o f C u l tur e C hange : Mode l s i n P r eh i s tory , Duckworth , G louces ter C re scen t : 4 29-446 .

TUSA , S . 1 977 .

" Is i g i l l i el ei mpron te" , i n L a C i t tä B ruc ia ta d e l D eser to S a la to , E r izzo Ed i tr ice , V enez ia : 2 51-261 .

WEISS , H . , a nd T .C . YOUNG J r . 1 975 .

" The Merchan ts o f S u sa . God in V a nd P la teau -Low land R e la t ions i n t he L a te F our th Mi l len ium BC", I ran v o l . 1 3 , L ondon : 1 -17 .

WITTFOGEL , K .A . 1 974 .

" Deve lop men ta l A spec ts o f Hydrau l ic S oc ie t ies", i n L amberg -Ka r lovsky , C .C . , a nd J ere my

A .

S ab lof f ( ed s . ) :

T he R i se

a nd F a l l o f C iv i l iza t ions .

Modern

A rcheo log ica l Approaches t o Anc ien t C u l tur es , Cu mm ings Pub l ish ing C o . , Men lo P a rk : 1 5-25 . W RIGHT , G .A . 1 969 .

O bs id ian

Ana lyses

( An th ropo log ica l

a nd P r eh i s tor ic N ear E as tern

P apers

n o .

3 7 ) ,

Museum

T rade :

7 500 t o 3 500 BC ,

o f An thropo logy ,

Un ivers i ty

o f

Mich igan , Ann A rbor . WR IGHT , H .T . 1 972 .

" A C ons idera t ion o fI n terreg iona l E xchange i n G rea ter Mesopo tam ia : 4 000-3000 BC" , i n Wi l msen , Edw in N . ( ed ) : S o c ia lE xchange a nd I n terac t ion , ( An thropo log i c a l P apers n o . 4 6 ) , Museu m o f An thropo logy , Un ivers i ty o f Mich igan , Ann A rbor .

WR IGHT , H .T . , a nd G .A . JOHNSON 1 975 .

" Popu la t ion ,

E xchange a nd E a r ly

S ta te

F o r ma t ion i n S outhwes te rn I ran" ,

Amer i can An thropo log i s t v o l . 7 7 , n o . 2 ,J une , Wa sh ington : 2 67-289 .

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YOUNG J r . , T .C . 1 972 .

" Popu la t ion D en s i t ies a nd E a r ly Mesopo tam ian U rban ism " , i n U cko , P eter J . ; Ru th T r ingham , a nd G .W . D i mb leby ( eds ) : Man , S e t t lemen t a nd U rban i sm , Duckwor th , H er tfordsh ire : 8 27-842 .

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THE U RB A N RE VOLUTIO N OF M ES OP OTA MIA — RECO NSIDERED

H A NS J . NISSE N F re ie Un ivers ität Ber l in

Iam a f ra id , i tw ou ld b e q u i te e a sy t o d i sm iss Ch i lde 's c oncept o fa n " Urban R evo lu t ion" i n to t he h i s tory o fo ur f i e ld , a s o ver many y ea rs i th ad b een d i s man t led b y a l l c oncerned w i th t ha t q ues t ion .

Iw ou ld l i ke t o s how , h owever , t ha t s een f r om t he Mesopotam ian

s c ene t he t e rm s t i l l c an b e u sed p rof i tab ly t o d es igna te a n i mpor tan t i n te l lectua l c hange . I ts hou ld b e u nderstood , h owever , t ha t t he t e rm " r evo lu t ion" i sr e ta ined o n ly i n i t s v ery l oo se mean ing : t he b u i ld ing u p t owa rds a c hange wh ich t hen c omes r a ther q u ick ly a nd r e su l ts i n a n i r revers ib le s i tua t ion . Id o n o t wan t t o s pend much t ime o n d i scuss ing c hapter s even o f h i s " New L igh t o n t he Mos t Anc ien t E a s t" where Ch i lde ( Ch i lde 1 952 ) mos t e xp l ic ity a pp l ied t h is c oncept t o Mesopo tam ia , a nd a t t he s ame t ime d er ived i tf r om Mesopo tam ia . Io n ly w an t t o men t ion o ne p o in t where i n a dd i t ion t o a l l c r i t ic ism o f h i s c r i ter ia l i sted t here , a nd most c onc ise ly , i n h i s a r t ic le " The U rban R evo lu t ion " ( Ch i lde 1 950 ) t he re i s a n i n con s i stency i n h i s b a s ic r ea son ing . Th i s h appens t o b e ap o in t where moreover r ecen t r e sea rch mos t d ra s t ica l ly h a s a l tered t he b a s is . Th is c oncern s h i s u l t ima te a rgumen t f o r c a l l ing t he U ruk -per iod i n Mesopo tam ia " urban" : Wr i t ing i su sed b y s oc io log is ts a s ac onven ien t c r i ter ion t o d i s t ingu i sh c i v il i za t ion f r om b arbar i sm . S o w e c an a sser t t ha t i n Messopota m ia c i v i l iza t ion wa s c rea ted i n t he U ruk p er iod . We c an n ow t e rm t he l a rger s e tt le men ts — E r idu , E rech ( Uruk ) , U r , L agash , Uqa ir — c i t ies a nd c o mpare t he g rea t t e mp les t o C a thed ra l s ( Ch i lde 1 952 : 1 28) .

Obv iou s ly , h e c ons idered t he mos t d ec is ive c r i ter ion t he emergence o fw r i t ing . I t s e ems s t range t ha t h e s hou ld p lace s o much empha s is o n t h is f ac t b ecause e l sewhere h e h imse lf a t tacks t he c oncep t o fd raw ing as ha rp l i ne b e tween " h i sto r ic" a nd " p re -h is tor ic" p er iod s , ac oncept o r ig ina t ing w i th H ege l w ith t he t e rm " h is tor ic" b e ing t i ed t o t he p re sence o f as c r ip t . H ege l 's c oncep t h a s b een c on tested o n t he g round t ha t a s a ma tter o f c ourse t he e a r l ier p er iods a re p a r t o f t he h i s tory o f mank ind a s w e l l , ar ea son why i n G e r many w e u se t he t e rm " Urgesch ich te" ( "p r imeva l h i s tory") i n s tead o f " Vorgesch ich te" ( "p re -h istory") . But t he re a re o ther a rgu men ts why b o th H ege l 's c oncept a nd Ch i lde 's o p in ion o n t he emergence o fw r i t ing ma rk ing t he a dven t o fu rban is m l o st t he ir b a s is . A s Iw i l l men t ion l a ter i n c on text w r i t ing i n B aby lon ia h a s n ot b een u sed t o r ender f u l ly t he s poken l anguage f o r more t han 5 00 y ears a f ter i t s a ppea rance . I t s emergence a t f i rs t i s n o th ing e l se b u t ar ef inemen t o f e x i st ing c on tro l l ing d ev ices f o r e conomy ( N issen 1 983b ; 1 985 ; 1 986 ) . The emergence o fw r it ing t hus i sn o t f i t t o s e rve a s ah i stor ic d iv id ing l i ne . I fo ne wan ts t o t h ink i n t hese c a tegor ies a t a l l , i ti st he t ime o f t h e f i rs t f u l l u se o f t he p o t en t ia l o fw r i t ing f o r r ender ing t he f u l l f l ow o f t he s poken l anguage , a nd s ub sequen t ly , f o r w r i t ing h i s tor ica l a nd l i terary t exts wha t s hou ld b e t aken t o ma rk t he b eg inn ing o f a n ew p ha se . Ra the r t han t ak ing u p t he i s sue o f d i scuss ing o ne o f Ch i lde 's c r iter ia f o r t he " Urban R evo lu t ion" a f ter t he o ther I wou ld l i ke t o s ketch my o wn v i ew o f t he e a r ly d eve lop men ts i n Mesopo tam ia wh ich Ih ave g iven i n g rea ter d e ta i l i n o ther p laces ( N is s en 1 983a ; 1 983b ; 1 987 ) .

L e t me s ta r t w i th t he a s sump t ion t ha t a t at ime a nd b ecause o f r ea son s w e s ha l l n o t d i scus s h ere s e tt lemen ts wh ich l i e c l o se t oge ther w i l l d eve lop d if e ren t ly f r om e ach o ther . One o f t he r ea son s i st he emergence o fs o -ca l led " c en tra l f unc t ion s" i n o ne s e tt lemen t , i .e .o fa spec ts wh ich g a in i mpo r tance f o r al a rge r a rea t han p re sen ted b y o n e s e t t le men t a lone . Ano ther a ssump t ion i st ha t f r om a c e r ta in l e ve l o f o rgan iza t ion o n , d iv i s ion o f l abor a nd s pec ia l iza t ion h ave t he t endency t o d eve lop more c o mp lex f o rm s i ft he o u ter c ond i t ions p erm i t . I ts hou ld b e n oted t ha t Is ha l l l im i t t he f o l low ing d i scus s ion t o s e t t le men ts t he i nhab i tan ts o f wh ich d e r ive t he ir ma in s ub s is tence f r om c u l t iva t ing t he s ur round ing a rea . S ett lemen ts r e ly ing h eav i ly o n t rade ( "por ts o f t r ade ") o r a ny o ther mean s o f i n come t hus w i l l n o t b e c overed . The t he s i s i st ha t s uch a d eve lopmen t o f s pec ia l iza t ion f i nd s i t s l im i ts when a s pec ia l a ct iv i ty n eed s al a rge r c u s tomer p o ten t ia l t han c an b e p rov ided b y t he p opu la t ion o fo ne s e t t lemen t , o r o ft hose s e t t lemen ts , wh ich b y f o rce o ft he c en tra l f unc t ions a re t i ed t oge ther t of o rm as e t t le men t s ys tem . The d eg ree o ft he d eve lopmen t o fs pec ia l a ct iv i t ies a nd o fc en tra l f unc t ion s t hu s t u rns o u t t o d epend o n t he s i ze o ft he s e t t lem en t , o r o ft he s e tt lemen t s ys tem . E ach s e t t lemen t u nder c on s ide ra t ion i ss u r rounded b y a g r icu l tura l ly u sed l and o f as i ze wh ich i sn ecessa ry t o f u rn i sh t he i nhab i tan ts o f t he s e t t le men t w i th t he ir n ec e s sa ry s upp l ies . The n umber o f i nhab i tan t s t hu s i st i ed t o t he s i ze o f t he s u rround ing a g r icu l tu ra l ly u sab le a rea . Wh i le t heo re t ica l ly i ss hou ld b e p o s s ib le t o e x ten t t h is a rea u p t o i t s n a tura l l im i ts i n o rder t o a ccomoda te a s many p eop le a s p o s s ib le , t h is mee t s a n o b s tac le . The max imun r ad ius o ft he a rea c anno t b e l a rger t han h a l ft he d a i ly t raf f i c c apac i ty o f man , wh ich i n e a r ly s oc iet ies mean s t he ma rch ing c apac i ty . S i ze o f t he a rea , n umbe r o f i nhab i tan s a nd t hu s c u s tome r p o ten t ia l f i nd c er ta in l im i ts wh ich c anno t b e s u rpa ssed . The re i s ap o s s ib i l i ty , h owever , t o s urpa s s t h i s b o rde r l ine i n t he c a se o f t he c us tomer 's p o ten t ia l , i fi n s tead o f o ne s e t t lemen t w e t h ink o f t he e n la rged p o ten t ia l o f as e t t le men t s ys tem , a s sum ing t ha t s pec ia l a c t iv i t ies may a t t rac t t he ir c u stome rs a l so f r om t he o ther s e t t lemen ts o f as ys tem . Theo re t ica l ly , s uch s upra loca l a c t iv i t ies may s e tt le i n a ny s e t t lemen t o f as ys tem b u t i n r ea l i ty , t hey w i l l t end t o c lu s ter i no ne o ft he s e tt le men ts . N orma l ly , t h is w i l l b e t he c en tra l p lace o fs uch a s ys te m . The s i ze o ft he a rea o f as e t t lemen t s ys tem a ga in t heo re t ica l ly may b e e x tended t o s o me n a tu ra l b o rders , b u t i n r ea l i ty , t h is w i l l n o t b e s o . F i rs t , t he t e r r i tor ies o f t he c ons t i tu t ing s e t t lemen ts c anno t b e e x tended a s w e s aw ; s e cond ly s ys tema t ic c l o se c on tac ts b e tween s e t t lemen ts a s a re n ecessa ry t o q ua l ify f o r t he t e rm s y s te m c an b e ma in ta ined o n ly t h rough c ons tan t d a i ly c on tac ts , wh ich i n t u rn , r equ i re s hor t t raf f i c c onnec t ions . H ence w e a ssume t ha t o n ly o ne c i rc le o f s e t t lemen ts w i l l s u rround e ach c en tra l p lace . S hou ld t he a va i lab le a rea s u i ted f o r s e t t lemen t b e l a rger t han c ove red b y as ys tem c on s is t ing o f ac en tra l p lace a nd s u r round ing s e t t lemen ts , t he r ema ind ing a rea w i l l b e t aken u p b y t he f o rma t ion o fa no ther s uch s ys tem r a ther t han b y mere e xpan s ion o f t he f i rs t o ne . A ga in , s e tt lemen ts o f s uch a dd i t iona l s ys tem s may s e rve a s ar e servo i r f o r e n la rg ing t he c u s tome r p o ten t ia l f o r a ny s pec ia l a c t iv i t ies who m igh t f o rm i n ac en tra l p lace s e rv ing a l l s e tt lemen ts o f s uch a c oheren t s e t t lemen t a rea . I n t he c a se d esc r ibed b efore t he f o rma t ion o f s pec ia l a c t iv i t ies w i l l b e p o ss ib le wh ich n eed a n e ven l a rge r c u s tome r p o ten t ia l t han b efo re . On t he b a s ic a ssump t ion t ha t t he s i ze o f t he t o ta l p opu la t ion f r om wh ich t he n umbe r o f c u s tomers c an b e r ec ru i ted s uf f i c ien t t o s uppo r t as pec ia l a ct iv i ty h a s t o b e t he l a rger t he mo re s pec ia l ized t he

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a c t iv i ty i s , w e f i nd a ga in t ha t t he d eg ree o f s pec ia l iza t ion g row s w i th t he c omp lex i ty o f s e t t le men t s ys tem s . The s i tua t ion d i scu ssed b e fo re r e sted o n t he a s sump t ion o f s eve ra l s e t t lemen t s ys tem s c on s i s t ing o f ac en tra l p lace a nd s u r round ing s e t t lemen ts b e ing i n t ha t c l ose c on tac t w i th e ach o the r t ha t a no ther l e ve l o f s uper impo s i t ion wa s r eached b y t he f o r ma t ion o f ac en tre o n al e ve l h ighe r t han t he c en tra l p lace s e x i s t ing p rev iou s ly . Th is p rob lem c an b e a pproached a l so f r om a no ther a ng le , b y a ccoun t ing f o r t he n eces s i ty o f c onf l ic t r egu la t ion . A f te r al ong t ime o fi n terpersona l c onf l ic t r egu la t ion s i ze a nd d ens i ty o f s e t t le men ts w i l l e xped i te t he f o rma t ion o f p ermanen t a genc ie s f o r s uch r egu la t ion , wh ich a t t he s a me t ime w i l l b e e n t ru s ted w i th t he f o rmu la t ion a nd e xecu t ion o f r u les . A s t he e x ten t o fc onf l ic ts d oes n o t g row l i nea r i ly w i th t he s i ze o ft he g roups i nvo lved b u t s hows p eaks a t v a r iou s p o in ts , w e may a s sume t ha t a t c er ta in p o in ts o f t he e x ten s ion o f s e t t le men t s ys tems t he f ounda t ion s a nd mechan isms o f c onf l ic t r egu la t ion w i l l h ave t o a s sume a no the r q ua l i ty . F rom a c e r ta in l e ve l o n i n t he d eve lopmen t o f s e t t le men t s ystem s t h i s w i l l r equ i re s pec ia l i s ts a nd t hus b e o ne r ea son o f t he f o rma t ion o f ar u l ing o r a dm in is tra t ive g roup . N e i ther t he f o rma t ion o f ap e rmanen t r u l ing o r a dm in i st ra t ive g roup n o r t he o ngo ing p roce ss o f ar ef inemen t o f t he d iv is ion o f l abo r c an h ave p a ssed w i thou t ma jo r i mpac ts o n t he s oc ia l o rgan i za t ion o ft he n o rma l p opu la t ion . I n f a c t , i t may b e a ssumed t ha t t hese p roce sse s w ere p a r t o fa nd e nhanced a c hange o ft he s oc ia l s i tua t ion , p a r t icu l a r ly at r end t o s ub s t i tu te f am i ly d iv i s ion s b y f unc t iona l d iv i s ion s . And a ga in , w e c an t i e t h is d eve lopmen t t o t he d eve lopmen t o fs e tt lemen t s ys te m s w i thou t b e ing a b le t o n ame t he p o in t w i th in t ha t d eve lopmen t . O fo ne t h ing w e c an b e s u re , h owever : t he i n ter -dependan t d eve lopmen ts i n t he s phe re s o ft he d iv i s ion o fl abo r , o ft he f o rma t ion o fr u l ing c l a sses , o ff unc t iona l d iv i s ions a nd o f s e t t lemen t s ys tem s a l l c o mb ine i n ap robab ly s l ow b u t n ever the less s ubs tanc ia l c hange i n t he s t ructu re o f t he e conom ic , s oc ia l a nd p o l i t ica l s i tua t ion wh ich d id n o t t ake p lace i n a rea s where o u ter c ond i t ion s w ere s uch a s n o t t o a l low t he d eve lopmen t o f s e t t lemen t s ys tems . Thu s t he p e r iod s o f t he f o rma t ion o f mo re c omp lex f o rm s o f s e tt lemen t s ys tem s a t t he s a me t ime mus t h ave s een a d if e ren t ia t ion i n t he l e ve l o f o rgan iza t ion b e tween s e t t lemen ts a cco rd ing t o t he ir l o ca t ion . A t t h i s p o in t , Is hou ld c l a r i fy wha t Imean b y t he t e rm o f a" coheren t s e t t lemen t a rea " b efo re Iam g o ing t o u se i ta ga in . Ima in ta ined b efo re t ha t i n o rde r t o q ua l i fy f o r as e t t lemen t s ys tem t he v a r iou s s e t t lemen ts s hou ld b e a b le t o h ave r egu la r , d a i ly c on tac ts . Though e xcep t ion s a re p o s s ib le , w e c an c on t inue b y s ay ing t ha t o ppor tun i t ies a re o p t ima l , i ft here a re n o n a tu ra lo b s tac les i mped ing s uch t raf f i c . A lso i no the r r e spects w i l l s uch o u ter c ond i t ions b e o p t ima l f o r t he f o rma t ion o fs e t t le men t s ys tem s a s i n l a rge p la ins t he a rea a round s e t t lemen ts may a s sume i t s o p t ima ls i ze a nd a t t he s ame t ime , t he c onnec t ing r ou tes b e tween t he s e t t lemen ts may r ema in a s s ho r t a s p o ss ib le . A rea s wh ich i n t h i s s en se a l low s e t t lemen t s ystems t o d eve lop o p t ima l ly Ic a l l " coheren t s e t t lemen t a rea s " . I ti sf u r thermo re u nde rs tood t ha t n orma l ly s uch c oheren t s e t t lemen t a rea sw ou ld b e s epa ra ted f r om e ach o ther b y n a tu ra l b ounda r ie s . Wi th in an a tu ra l l and scape t here w i l l b e a ny n umbe r o fs uch c oheren t s e t t lemen t a rea s o f v a r ious s i zes . A cco rd ing t o o u r c on ten t ion t ha t t he d eg ree o f h i era rch iza t ion o f s e t t le men t s ys tems d epend s o n t he o ppo r tun i ty t o e s tab l ish p a ra l le l s ys tems w i th in t he s a me a rea a nd t o d eve lop s upe r impo s i t ion s w e c an p o s tu la te t ha t i n a ny s uch l a rger r eg ion w i th d if e ren t c oheren t s e tt lemen t a rea s t here w i l l b e s ys tem s o nd if e ren t l e ve ls o f c omp lex i ty . Tha t means , t he re w i l l b e d if erences i n t he d eg ree o f t he d iv i s ion o fl abo r , i n t he s pec ia l iza t ion o f a c t iv i t ies a nd f unct ions , a nd t he g enera l s oc ia l a nd e conom ic c ond i t ions .

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L e t u s n ow c on s ider t he e v idence . T here i so ne r eg ion i n p a r t icu la r i n t he N ea r E a s t whe re s o me o ft he i dea s p roposed c an b e c hecked a ga ins t b o th t he o u te r c ond i t ion s a nd t he i n forma t ion a va i lab le . The a rea b e tween a nd i n c lud ing t he B aby lon ian p la in t o t he Wes t a nd t he I r an ian p la teau t o t he E a s t p rov ides t he o u te r f r ame s i nce w i th in a r e la t ive ly s ma l l a rea i tc on ta in s many d if e ren t ly s i zed c ohe ren t s e t t le men t a rea s , a nd o n t he o ther h and , w e h ave e nough e v idence t o k now t ha t t hey w e re i nhab i ted d u r ing v a r iou s e a r ly p e r iods , p a rt ly d u r ing t he s a me p er iod s . A s f a r a s c an b e d e r ived f r om a rch o log ica l e v idence s ugges ts t ha t t he re i s ar e la t ion b e tween t he s i ze a nd t ime o ff u l l o ccupa t ion i n t he s en se t ha t t he l a rge r a rea s w e re l a s t t o b e s e t t led t o t he i r f u l l c apac i ty ( N i s sen 1 983a ) . I n a dd i t ion , t he a rea men t ioned l e nd s i t se lf t o ad i scu ss ion o f t he p henomena o f E a r ly U rban ism b ecause i ti n c lude s t he B aby lon ian p la in a nd t here fo re among o the rs a l l t hose p laces men t ioned b y Ch i lde i n t he q uo ta t ion c i ted a bove a s e a r ly c i t ies . Apa r t f r om t he t e rm ino logy u sed , t he re i sn o d oub t t ha t t h i s a rea s aw t he f o rma t ion o fl a rge , c omp lex s e t t lemen ts a t a n e a r ly momen t . T h is a pp l ie s a t l ea s t t o t ho se l a rge c en te r s o f t he t ime a round t he m idd le o f t he t h i rd m i l lenn ium , t he p e r iod wh ich i n o u r t e rm ino l o gy w e a re u sed t o c a l l E a r ly Dyna s t ic I I . The se s e t t lemen ts c over a n a rea o f s evera l h undred h ec ta res w i th ah igh d en s i ty o ft he b u i l t -up a rea s ; ah igh d egree o fs pec ia l iza t ion i n c ra f ts a nd a dm in i s tra t ive f unc t ions i sa ccompan ied b y t he e x is tence o f p ermanen t r u l ing g roups . A l though t he t e rm c an b e a ma t te r o fd i spu te — we c a l l t hese s e t t lemen ts " c i ty -s ta te s " — , a t t he t op o ft he se s e t t lemen ts w e f i nd h ered i ta ry r u ler s , s uppor ted b y a t ho rough ly o rgan ized b ody o fa dm in i s tra to r s . The f a c t t ha t e xcava t ion s h ave b een c onduc ted a lmost e xc lu s ive ly i n t he c en t ra l a rea s o f a nc ien t B aby lon ian c i t ies p lu s t he a ssump t ion t ha t t he u se o f t he s c r ip t wa s r e s tr ic ted t o of i c ia l i n s t i tu t ion s b o th made u s b e l ieve f o r al ong wh i le t ha t t he e n t i re l i f e w i th in s uch as e t t lemen t wa s c on tro l led b y t he c en tra l i n s t i tu t ion o ft he c i ty . T h i s n o t ion h a s c hanged t o s o me e x ten t a s w e f i nd s t rong h in ts a s t o t he p resence o f s evera l l a rge " hou seho ld s " w i th in a c i ty . The f o rm o f t he " t emp le -economy" t i ed t o t he c oncep t o f t he " t emp le -c i ty" i sn o t c on s ide red a nymo re t he o n ly , o r e ven t he mos t i mpo rtan t o ne . H owever , t h is d oes n o t c hange t he g ene ra l c oncep t a cco rd ing t o wh ich a l l i nhab i tan t s w e re emp loyees o fo ne o r t he o the r k ind o fh ou seho ld . We h ave n o e v idence f o r t he e x i s t ence o fp r iva te e n trep reneu rs i n t he m idd le o ft he 3 rd m i l lenn ium BC ( D iakonof f 1 974 ; G e lb 1 969 ) . Ano the r p i ece o f r e levan t e v idence i sp rov ided b y t he o bserva t ion o f t he d i s t r ibu t ion o f s e t t lemen t s i zes i n t he s u rvey a rea o f t he h in te r land o f U ruk ( Adam s a nd N i s sen 1 972 ) . O f t he t o ta l a gg rega te s e t t led a rea f o rmed b y c ompu t ing t he a rea o f a l l c on tempora ry s e tt lemen ts mo re t han 8 0% c an b e a t tr ibu ted t o t he c a tegory o f c i t ies . S ho r t o f e n te r ing t he d ub ious c a lcu la t ions o ft he n umber o f i nhab i tan ts f r om t he s i ze o f t he s e t t led a rea w e n eve r the les s a re s a f e i n a s sum ing t ha t a round 8 0% o ft he t o ta l p opu l a t ion l i ved i n c i t ie s b y t he m idd le o f t he 3 rd m i l lenn ium i n B aby lon ia . The p e rcen tage c ou ld b e e ven h igher i fw e a ccoun t f o r t he p robab i l i ty t ha t p opu la t ion d en s i ty w a s h igher i n l a rge r p laces t han i n s ma l ler o nes ( N is sen 1 984b , 1 987 ) . T o a rr ive a t ad a te f o r t he b eg inn ing o f u rban iza t ion w e s hou ld s imp ly t r y t o t race b ack i n t ime t he f ea tu res men t ioned a bove t o t he i r f i rs t o ccu r rence . Un for tuna te ly , h oweve r , s uch a pproach i s me t b y an umber o f d if i cu l t ies . The f i rs t i st ha t t he E a r ly Dyna s t ic I I p e r iod i s t he f i r s t when w r i t ing i su sed t o i t s f u l l p o ten t ia l o f r ende r ing a l l d e ta i l s o f s poken l anguage . Th is i mmed ia te ly l e d t o t he c ompos i t ion o f r oya l a nd l i tera ry t exts wh ich a l low u s t o g e t ag l imp se o f t he h i s tor ica l t ex ture o f t ha t p e r iod . E a r l ier , t he s c r ip t h ad o n ly b een u sed t o w r i te more o r l e s s d e ta i l led c a tch -wo rd s , a nd i t s i sq u i te u nde rstandab le t ha t t h i s s hou ld c au se many p rob le m s f o r o ur u nder s tand ing

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t he se t exts .

I n s p i te o f a l l t hese p rob lem s , w e h ave b een a b le o ver t he p a s t y ea r s t o

d ecode a n umbe r o ft hese t ex ts , o ft he s o c a l led " A rcha ic T ex ts f r om U ruk" , o ft he t ime o fs ho r t ly b efo re 3 000 BC . I n s o me c a ses w e a re e ven a b le t o b e more s pec if ic a bou t t he e cono m ic a nd s oc ia l c ond i t ion s o f t he p er iod w e c a l l t he L a te U ruk p er iod ( Green 1 980 ; N is sen 1 985 , 1 986 ) . A cco rd ing t o t h i s a nd r e la ted i n fo rma t ion t he c ond i t ion s d ur ing t h i s t ime o f a round 3 000 BC s eem t o h ave b een v ery c l o se t o t hose men t ioned b efo re . Our b es t e v idence c omes f r om U ruk i t se l f . Th i sp lace c ove red a n a rea o f more t han 1 00 h aa nd h ad e xten s ive p ub l ic a rea s i n t he c en tre . The b es t s i ng le p i ece o fe v idence i s al i s t o ft i t les o f of i c ia l sa nd c ra f tsmen , a ppa ren t ly e numera t ing t hem a cco rd ing t ot he i rr ank ing . The re i s af i xed s ystem o fh i era rch ie s b o th i nt he of i ces a nd t he c ra f ts . The l i s t s ta rt s w i th at i t le wh ich o the rw i se i su nknown f r om l a te r t rad i t ion e xcep t t ha t i n a much l a ter v ocabu la ry i ti st ran s la ted b y t he l a te rw o rd f o r " k ing " . The f o l low ing t i t les a ga in a re c omposed w i th a n e l emen t s tand ing f o r " l eade r" o r t he l i ke , c on ta in ing i n a dd i t ion w o rd s l i ke " ba r ley" , " c i ty" , " t roops " wh ich w e t ake t o i nd ica te t he i r a rea o fr e spons ib i l i ty . There i se ven o ne t i t le wh ich l a te r mean s t he " cha irman o ft he a s semb ly" . Un fo r tuna te ly , o u r s tud ies h ave n o t p rog res sed t o t he p o in t t ha t w e s hou ld h ave a ny n o t ion o ft he i n te rre la t ion s o ft hese of i c ia l s ( N i ssen 1 974 , 1 985 , 1 986 ) . Imen t ioned a l ready t ha t n o p r iva te q ua r ters h ave b een e xcava ted . However , w e h ave e v idence f r om o ne s e t t lemen t o n t he M idd le E uph ra tes , Habuba Kab ira , i np re sen t d ay S yr ia wh ich i ss p i te o fi t s d i s tance f r om B aby lon ia s hows s uch s t r ik ing s im i la r i t ie s i n a l l d e ta i l s t o B aby lon ian i nven tor ie s o f t he L a te U ruk p er iod t ha t a l so i t s p lan mu s t b e a ccep ted a s as ub st i tu te o ft he m is s ing e v idence f r om B aby lon ia ( S trommenger 1 980 ) . I f s o , w e c an a s sume a h igh d en s i ty o ft he b u i l t -up a rea i nB aby lon ian c en tres , p a r t icu la r ly o f t he p r iva te q ua r ters . A s ac au t iona ry n o te , h owever , Is hou ld r eca l l t he p a s sage o f t he G i lgamesh -ep ic , r ead ing t ha t 1 /3 o f t he c i ty a rea w a s c ove red w i th h ouses , 1 /3 w i th g a rdens a nd 1 /3 w i th p i t s , p resumab ly t he s ou rce o ft he b u i ld ing ma te r ia l . The h in ter land o fU ruk wa s o ccup ied d u r ing t h i s p er iod b y a mu l t i tude o fl a rge a nd s ma l l s i tes wh ich o bv ious ly w e re c en tered a round U ruk . App ly ing mode l s f r om s e tt lemen t g eog raphy r e su l ted i n t he o b serva t ion o f a mu l t i t ie red s e t t le men t s ys tem w i th U ruk a t t he t op ( Adam s a nd N i s sen 1 972 ; N is sen 1 983b , 1 987 ) . Th i s s ho r t s ke tch h a s r evea led t he c l o se r e la t ion sh ip i n o rgan iza t ion o f t hose c en t ra l p laces t o t hose s e tt lemen ts o f c .6 00 y ea rs l a te r wh ich w e h ad n o d if i cu l t ie s i n c a l l ing c i t ies . I fw e g o o ne s t ep b ack i n t ime f r om t h e L a te U ruk p er iod w e c ome a c ross as t range f a ct : i mmed ia te ly b efo re t he L a te U ruk p e r iod w e e ncoun ter at o ta l ly d if e ren t s i tua t ion i n B aby lon ia . T h i s o lder s i tua t ion i s ma rked b y t he p re sence o fi s o la ted s e t t le m en ts s epa ra ted b y w ide d i s tances w i thou t a ny c hances o f f o rm ing s e tt lemen t s ys tems . We h ave n o i d ea a bou t t he i n te rna l s t ruc tu re o f t hese s e t t le men ts ; w r i t ing o r a nyth ing e l se i nd ica t ing s o me d eg ree o f c omp lex i ty a re a b sen t , a nd a n o cca s iona l c en t ra l t emp le c omp lex d oes n o t s uf f i ce t o p os tu la te t he e x i s tence o f ar u l ing g roup . Though t o i t s f u l l e x ten t t h is s i tua t ion b ecame k nown o n ly i n t he p a s t y ea rs , t here n eve r the les s w a s e nough i n fo rma t ion a va i lab le many y ea rs a go t o i nco rpo ra te t he n o t ion o f ac e rta in s uddenne ss o ft he emergence o ft he L a te U ruk c u l tu re i n to t he c ommon b e l ie f . Ih ave n o d oub t t ha t t h is n o t ion i nf luenced Ch i lde 's t e rm ino logy t o q u i te s o me e x ten t . The p e r spec t ive c hange s , h oweve r , o nce w e c on s ider t he l a rger r eg ion men t ioned a bove , b ecau se t he s i tua t ion s hows mo re c on s i s tency o nce w e l ook a t t he a d jacen t a rea t o t he E a s t . L a rge c en ter s l i ke Chogha M i sh , S u sa a nd o thers o n t he o ne h and d i sp lay t he s a me L a te U ruk f ea tu res wh ich w e s aw i n B aby lon ia , l i ke i nd ica t ion s f o r ac o mp lex e conomy o r l a rge p ub l ic a rea s ; b u t d if e ren t ly f r om B aby lon ia , t he i mmed ia te ly p reced ing

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s i tua t ion , i no u r t e rm ino logy S u sa A , p re sen ts i t se l fa sj u s t a no lde rs tage w i th in t he s a me d eve lopmen t ( N i ssen 1 983a ; Wr igh t a nd J ohnson 1 975 ) . The se e a r l ier p lace s o bv iou s ly w ere c en tra l p laces t oo , i n p a r t icu la r t hey c an b e s hown t o f o rm t he t op o f t h ree leve l s e t t lemen t s ys tem s . A ga in w e f i nd l a rge c en tra l i n s ta l la t ion s a nd t he e x tens ive u se o f s tamp— sea ls p o in ts t o ac omp lex e conomy . T o b e s u re , w e h ave o n ly v ague h in ts f o r ad eve loped s tage o f t he d iv i s ion o f l abo r a nd s pec ia l iza t ion , a s w e l l a s f o r t he e x i s tence o f ap e r manen t r u l ing g roup , b u t a l l p o in ts t o t he e x i s tence o ft hose p henomena . Wi th t h i s s tage w e h ave r eached t he e a r l ie s t r ange s upp ly ing u s w i th a c tua l i n for ma t ion f o r o u r p u rpo ses . A sf o r s t i l l e a r l ier s tage s w e n eve r f i nd e nough p a r t s o ft he e n t i re a s semb lage . I fn o th ing e l se , t h i s e xcu r s ion i n to t he Khuzes tan a rea a t l e a st h a s s uppo r ted t he i dea t ha t t he L a te U ruk s i tua t ion i nB aby lon ia b y n o means w a s t he r e su l t o f as udden d eve lopmen t , a nd c er ta in ly w a s n o t t he f i r s t p ha se t o s how t ho se f e a tures wh ich j udg ing f r om t he l a ter d eve lopmen ts w e t ook a s i nd ica tor s f o r u rban c en ter s . The a ttemp t t o t race b ack i nt ime t he v a r ious f ea tu res t hu s h a s n o t h ad s t r ik ing r e su l ts , s i nce n owhe re d id w e c ome a cro s s s uch b reak s i n t he d eve lopmen t wh ich w ou ld s i gna l ize a d eep q ua l i ta t ive c hange . A s Imen t ioned , f o r s t i l l e a r l ier p er iod s t he e v idence i st oo s ca rce ; o n t he o the r h and , o u r e a r l ier d e l ibera t ion s s ugge s t t ha t s o me o f t he p he n omena w e re p re sen t a l ready a t a n e a r l ier s tage , l i ke t he e x i s tence o f ap ermanen t r u l ing g roup o r ah igh d eg ree o ft he d iv i s ion o f l abor , s i nce t he se f ea tu re s p robab ly s hou ld n o t b e s epa ra ted f r om t he f o rma t ion o fs e t t lemen t s ys tem s . Doe s t h i s mean t ha t t he p roce ss o f u rban iza t ion w a s at o ta l ly c on t inuou s o ne? Y e s a nd n o . I fw ec on s ider o n ly t he a rcha eo log ica le v idence t he a n swe r mu s t b e af i rma t ive b ecau se o bv iou s ly i n o u r r e co rd t here i sn o th ing t o s ugges t s uch a c hange i n q ua l i ty a s t o wa rran t t he d es igna t ion o fa n " Urban R evo lu t ion" . I ft here e ve r w a s s uch a momen t t hen i t mus t h ave b een b e fo re t he p er iod s f o r wh ich w e h ave s uf f i c ien t a rch&o log ica l e v idence . The a n swer may b e d if eren t i fi n a dd i t ion t o t he f ea tu re s l i s ted a bove f o r t he E a r ly Dyna s t ic H I c i t ies w e i n troduce a p henomenon wh ich , h owever , l e ad s u s i n to t he f i e ld o f s pecu la t ion : Imean t he a spec t o f a n u rban c on sc iousnes s . Obv iou s ly , t here i s h a rd ly a ny w ay i mag inab le h ow t o u se a rch o log ica l e v idence i n t h is r e spec t , a nd e ven u s ing t ex tua l e v idence w i l l n o t h e lp t oo much . S o w e mu s t t ake r e fuge t o s o me g enera l c on s ide ra t ions . A t a no ther o cca s ion ( N i ssen 1 980 ) Ih ave a ssemb led h in t s f o r t he p resence o f a f i xed g roup—consc iou snes s d u r ing t he E a r ly Dyna s t ic p er iod , u sed t o s e t o ne se l f a pa r t f r om o ther g roup s . I n p a r t icu la r , t h i s c an b e s hown f o r t he d ichotomy b etween s e tt led a nd n on -fu l ly -set t led b u ta l so f o rt he d if e rences b e tween t own a nd c oun try ( N i s sen 1 980 ) . Mo s t p robab ly , o ne l i ne o fd eve lopmen t o fs uch g roup—consc iousne s s i st i ed t o t he d eve l o pmen t o f c en tra l p lace s ; t ha t w ou ld mean t ha t a l so t h i s f e a tu re o r ig ina ted q u i te e a r ly . H oweve r , Ih ave t he f e e l ing t ha t ar ad ica l iza t ion c an b e t i ed t o as pec if ic h i s tor ic s i tua t i on : t he r ap id c hanges i n s e t t lemen t p a t tern s d u r ing t he t ime f r om L a te U ruk t h rough E a r ly Dyna s t ic I I , o rf r om 3 300 t o 2 400 BC ,w i th t he t r end o fd ec rea s ing t he n umber b u t i n crea s ing t he s i ze o f s e t t lemen ts . Im en t ioned a l ready t he f i na l o u tcome : b y t he E a r ly Dyna s t ic H Ip e r iod a bou t 8 0% o ft he s e t t led a rea i st aken u p b y l a rge c en te rs wh i le t he re a re o n ly f ew s ma l l s e t t lemen ts l e f t . Th i s q u i te o bv iou s ly mean s ap o la r iza t ion b e tween t own s—peop le a nd i nhab i tan ts o ft he c oun trys ide whe the r t hey l i ved i n sma l l s e t t lemen ts o r i n s em i -permanen t s e t t lemen ts . Th i s p roces s o f c hang ing s e t t lemen t c onf igura t ion s c an b e f o l lowed u p t h rough t he E a r ly Dyna s t ic p e r iod w i th t he t endency b ecom ing v i s ib le a l ready d ur ing t he p re c ed ing p er iod . H oweve r , i tw ou ld b e d if i cu l t t o r each a t t he c onc lu s ion men t ioned b e fo re i fw e h ad n o t s o me p oo r s uppo r t f r om t ex tua l e v idence . I n p a r t icu la r Iam r e f e rr ing t o

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t he l i te ra ry g enre o f d ia logues o f wh ich t he o nes b e tween Dumuz i a nd Enk imdu ( i . e . b e tween f a rmer a nd s hephe rd ) o r b etween b a r ley a nd s heep ( K ramer 1 961 ) a re t he mo s t i n te re s t ing o ne s i n o u r c on tex t , a s t hey d i sp lay a c er ta in a r rogance f r om t he s i de o f t he t own p eop le . E ven t he e r rec t ion o fc i ty w a l l s , wha t i nB aby lon ia s ta r ts i nE a r ly D yna st ic t im e s t o my m ind s hou ld b e p laced i n t h i s c on tex t . A s much a s t hey w e re mean t f o r p ro tec t ive p u rpo ses a ga in s t a t ta ck s f r om o the r c i t ies t hey b ecame a n a bso lu te d ema rca t i on l i ne b e tween t he i nhab i tan ts o f t he c i ty a nd e veryone l i v ing o u ts ide . Iam i n c l ined t o t ake t he e r rec t ion o f c i ty wa l l s n o t o n ly a s t he f i na l a nswer a f ter t oo many a t tacks b u t a l so a s ad e l ibe ra te move t owa rds t he b u i ld ing u p o f ag roup 's i d en t i ty . Wherea s i n s p i te o fa l l d if e rences i n e a r l ier t imes a n i n terchange b e tween t own a nd c oun tryfo lk wa s p os s ib le t h i s n ew d eve lopmen t r e su l ted i n a n i r revers ib le s i tua t ion . R e tu rn ing t o t he t e rm " Urban R evo lu t ion " a nd c on s ide r ing t he a rch o log ica l e v idence , w e f i nd n one o f t he e s sen t ia l c r i ter ia a ppea r ing t ha t r ap id ly t ha t t he t e rm " r evo lu t ion " w ou ld b e j u st if ied , e xcep t i fw e c on s ider t he d eve lopmen t o f a n " u rban c on sc iou sne ss " . F o rge t t ing f o r a momen t a l l t he s quabb le a bou t t he c ho ice a nd v a l id i ty o f s i ng le i nd ica to rs f o r i d en t ify ing a s e t t lemen t a s u rban t he g ene ra l d i rec t ion o f t he c oncep t o f t he " Urban R evo lu t ion " wa s a nyway more o n t he u rban c on sc iou snes s t han o ns i ng le t ra i ts . C er ta in ly much o ft he ma ter ia lu sed b y Ch i lde i so u tda ted b y n ow a nd o f c ou r se s o me o fh i s c onc lu s ion s c anno t b e a ccep ted a nymo re . Bu t t he q ues t ion o fp rov ing o r d i sp rov ing t he c oncep t c anno t b e t i ed t o t he q ues t ion whether h i s d a t ings s t i l l h o ld g ood . I n f a c t , i n my m ind , t he t e rm s t i l l i sa pp l icab le i ft a lk ing a bou t t he eme rgence o fa n u rban c on sc iou sne ss , a nd i ti st h i s a spec t ac on so l ida t ion o f wh ich i n f a c t j us t if i es t ha t o ne s ta rts a n ew p ha se w i th in t he d eve lopmen t o f s e t t led l i f e .

REFERENCES

ADA MS , R .M . 1 981 .

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ADA MS , R .M . , a nd H .J . N ISSEN 1 972 .

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CHILDE , V .G . 1 950 .

" The U rban R evo lu t ion " , T own P lann ing R ev iew 2 1 .

1 952 . N ew L i gh t o n t h e Mos t Anc i en t E as t , 4 th E d i t ion , L ondon . D IAKONOFF , I .M . 1 974 . S t ruc tur e o fS o c i e ty a nd S ta te i nE ar ly D ynas t i c S umer , Monog raph so ft he H is tory o f t he Anc ien t N ea r E a s t 1 , 3 , Ma l ibu . F ALKENSTE IN , A . 1 974 .

T he S umer ian T emp l e -C i ty , Monog raph s o ft he H is to ry o ft he Anc ien t N ea r E a s t 1 , 1 , Ma l ibu .

F INKBE INER , U . , a nd W . RÖLLIG ( ed s ) 1 986 . J amde t N asr : P er iod o r R eg iona l S ty l e? , Wiesbaden . GELB , I . J . 1 969 .

" On t he A l leged T emp le a nd S ta te E conom ies i n Anc ien t Mesopo tam ia " , S tud i i n Onor e d e E . V o l terra , R ome .

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GREEN , M. W . 1 980 .

" An i ma l Husband ry a t U ruk i n t he A rcha ic P er iod" , J ourna l o f N ear E as tern S tud i es 3 9 .

JOHNSON , G .A . 1 977 .

" Aspects o f R eg iona l Ana lys is i n A rch o logy", Annua l R ev i ew o f An thropo logy 6 .

1 982 .

" Organ iza t iona l S truc ture a nd S ca lar S tress" , i n C . R en f rew e t a l .

( ed s ) , T heory

a nd E xp lana t ion i n A r cheo logy , L ondon . KRA MER , S .N . 1 961 .

S umer ian My tho logy , N ew Y ork .

N ISSEN , H .J . 1 974 .

" Zur F rage d er A rbe i tsorgan isa t ion i n Baby lon ien während d er S pä tu ruk -Ze i t" , A c ta An t . Hung . 2 2 .

1 980 .

" The Mob i l i ty B e tween S ett led a nd Non -Set t led i n E a r ly Baby lon ia : Theory a nd E v idence" , i n : T . Ba rre le t ( ed ) , L 'ar cheo log ie d e l ' I raq d u d ebu t d e l ' epoque Neo l i th ique d 3 33 a van t n o t r e e r e , Co l loques d u CNRS n o . 5 80 , P a r is .

1 982 .

" D ie ' T e mpe l stad t ' : R eg ierungsfor m d er f rüdyna st ischen Z e i t i n B aby lon ien? ( The ' T e mp le C i ty ' : f o rm o f o rgan iza t ion o f t he E a r ly Dyna st ic p er iod i n Baby lon ia? )" , i n H . K lenge l ( ed ) , G ese l l schaf t u nd Ku l tur i m a l ten V orderas ien , S chr if ten z u r Gesch ich te u nd Ku ltur d es A lten O r ien ts 1 5 .

1 983a . " Po l i t ica l O rgan iza t ion a nd S ett led Z one" , i n Y oung , Sm ith a nd Mortensen 1 983 . 1 983b .G rundzüge e iner G esch ich te d er F rühz e i t d es V order en O r ien ts , Da rm s tad t . 1 985 .

" The Emergence o f Wr i t ing i n t he N ea r E a st" , I n terd i sc ip l inary S c i ence R ev i ews 1 0 .

1 986 .

" The A rcha ic T exts f r om U ruk" , Wor ld A r cheo logy v o l . 1 7 , 3 .

1 987 .

Ou t l ine o f aH i s tory o ft he E ar ly P er iods o ft he N ear Eas t , Ch icago .

STRO M MENGER , E . 1 980 . Habuba Kab i ra , e ine S tad t v or 5 000 J ahr en , Ma inz . WR IGHT , H .T . , a nd G .A . JOHNSON 1 975 .

" Popu la t ion , E xchange a nd E a r ly Amer i can An thropo log i s t 7 7 .

S ta te

F or ma t ion i n S ou thwes te rn I ran" ,

YOUNG , T .C . , P .E .L . SM ITH , a nd P . M ORTENSEN ( eds ) 1 983 .

T he H i l ly F lanks a nd B eyond . E ssays o n t he P r eh i s tory o f S ou thwes tern A s ia , p resen ted t o R .J . B ra idwood , S tud ies i n Anc ien t O r ien ta l C iv i l iza t ion n o . 3 6 , Ch icago .

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U RBA NIZ ATIO N IN PERI MESOP OTA MIA N AREAS : THE CASE OF EASTER N A NATOLIA

M A RCELLA FRA N GIPA NE a nd ALB A PAL MIERI Ro me Un ivers ity

T he p ropaga t ion mode l o f N ear E a s te rn u rban c i v i l iza t ion o u t l ined b y Ch i lde , b e ing b a sed o nt he i n te rna l e xpan s ive c ha rac te rs o ft he n ew e conomy , s t resses o n t he n eed f o r s uch a d ifu s ion . " In f a c t n o t o n ly t he p roduc ts o f u rban i ndus try , b u t t he n ew e conomy t ha t p roduced t hem s p read a nd w e re b ound t o s pread . T o p e rsuade t he i rp o s ses sor st oe xchange t he n eeded r aw ma te r ia ls f o r manufac tures , t hey mu s t b e i nduced n o t o n ly t o d emand t he l a t ter , b u t a l so t o a d ju s t t he i r e conomy t o a b so rb t he m " ( Ch i lde 1 942 : 1 40 ) . I n Ch i lde 's p er spec t ive , t h i s mode l , a l though r e f er red t o s pec if i c r eg ion s , h e ld a g enera l v a lue a nd c oncerned a v a s t c h rono log ica l a nd g eog raph ica l s ca le , s i nce i ti n tended t o a ccoun t f o r t he e a s tern i nf luence o n t he e n t i re d eve lopmen t o f E u ropean p reh is tory . The mode o f d ifu s ion a ppea red a s ac oro l la ry o f t he v e ry n a tu re o f u rban c i v i l iza t ion , t he a dven t o f wh ich w a s s een a s o ne o f t he r evo lu t ion s wh ich ma rked t he o vera l l t r end o fh i s to r ica l d eve lopmen t . B o th d ef in i t ion s o f " u rban r evo lu t ion " a nd " neo l i th ic r evo lu t ion " a re s t i l lb a s ic , o n ag enera l l e ve l , p a r t icu la r ly i nt ha t t hey r ecogn ize t he f undamen ta l i mpo r tance o f t he d eve lopmen t o f p roduct ive f o rce s a s w e l l a s o f t he s oc ia l r e l a t ionsh ip s o f p roduc t ion , t he refore q ua l i fy ing a c oncep tua l a nd me thodo log ica l p e rspec t ive . Ch i lde ' s d ifu s ion mode l h a s b een v a r iou s ly r econ s ide red , e i ther t hrough r e -adap ta t ions t o s pec ia l s i tua t ion s , o r t h rough c r i t ic ism s b a sed o n d if eren t p o in ts o f v i ew . An a pp roach wh ich s t re s se s t he r e levance o f l o ca l p roces se s i n stead o f t h e d ifu s ion o f " i nf luences " , h a s l ed , a l so o n t he b a s i s o f n ew d a ta , t o ad if e r e n t i n te rp reta t ion o f t he w e s tern Med i te r ranean c u l tu ra l d eve lopmen ts , f ocu sed o n t he i r b e ing i ndepend en t o f t he u rban c i v i l iza t ion s o f t he N ea r E a s t ( Ren f r ew 1 970 ) ; o n t he o the r h and , t he w e igh t o f N ea r E a s te rn r e la t ions o n t he A egean u rban d eve lopmen ts s t i l l a ppea rs t o b e av e ry i mpo rtan t e l emen t t o b e p rope r ly a sses sed . I th a s r ecen t ly b een u nde r l ined t ha t t he c ho ice o ft he g eog raph ic s ca le i n t he s tudy o fi nnova t ion p roce sses i sv ery c l ose ly r e la ted t o t he t ype o fe xp l ica t ive mode l a dop ted ( Renf rew 1 986 ) . Wi th r e spec t t o Ch i lde 's mode l , t he n ew d a ta a t o u r d i sposa l a l low u s t o c on s ide r t he d ifu s ion o ft he s ou thern Mesopo tam ian u rban c i v i l iza t ion i n ag rea ter d eta i l b o th c h rono log ica l a nd g eog raph ica l . The i n te rp reta t ive mode ls c an t he re fo re b e mo re c i rcum s tan t ia ted a nd c once rn t he s pec if i c mechan i sms i n t u rn i nvo lved . Wi th in t he e a r ly Mesopo tam ian u rban i z a t ion , i nf a ct , o ne c an p re sen t ly r e cogn ize p ha ses w i th d if eren t c ha rac te r is t ic s a s r ega rds b o th t he l o ca l o rgan iza t ions ( John son 1 973 ; Adam s 1 981 ) a nd t he i n te r reg iona l e xchange s ys tems ( Pa lm ie r i 1 985b ) .

A t t he f i rst f u l l e s tab l ishmen t o f t he u rban p rocesses , i n t he L a te U ruk p er iod , r e ma rkab le c u l tura l c onnect ion s j o in t ogether t he a l luv ia l p la in w ith s o me p er i— M esopotam ian r eg ion s , s o t ha t t hese mu s t b e i nc luded i n t he g en e ra l a na lys is o f t he u rban iza t ion p henomenon . I n t h is p aper w e w i l l c on s ide r t he e xp lana tory p oss ib i l it ies o f ered b y t he p henomenon o f t he r i se , i n n or thern p er i— Mesopotam ian a rea s a l ong t he S yro—Ana to l ian E uphra tes , o fs uch c u ltura l a spects s t rong ly c onnec ted w i th t he s outh . Th is p henomenon ma in ly c oncern s t he L a te U ruk p er iod , e ven i fi ti sd if icu l t t o f i nd i n t he n orth t he e xact e qu iv a l en t o ft he c hrono log ica l a nd c u l tura l d iv is ions i n t he s ou th . The c hrono log ica l l im i ts o f t he L a te U ruk h or izon i n S yr ia a nd e a s tern Ana to l ia m igh t i n c lude a t l e a s t p ar t o f t he t ime s pan o f J emdet Na sr i n t he s ou th , a n a spec t wh ich i sn o t r e cogn izab le i n n orthe rn a reas b y t he p resence o f p ecu l iar t ra i ts . I n f a c t , t he h or izon c ha rac ter ized i n e a s tern Ana to l ia b y E ar ly R eserved S l ip a nd U ruk l ike wa res i sf o l lowed h e re b y aL a te R eserved S l ip wa re h or izon , wh ich a ppea rs t o b e r ough ly c on tempora ry w i th t he a rcha ic p ha ses o ft he E a r ly Dyna s t ic , a s i ti s i nd ica ted , f o r e xamp le , b y t he s t y l i st ic c onnect ion s s hown b y t he g l yp t ic o f Hass ek Hüyük ( Beh m -B lancke 1 981 ) . Moreover , w i th in t he h or izon w i th U ruk l ike w a res , t he n orthern s i tes u p t o n ow i nves t iga ted m igh t a l so h ave b een s pread o u t o ver a c er ta in p er iod o f t ime . The r ad ioca rbon d a t ings s how t ha t , a pa r t f r om as i ng le d a te f o r Habuba Kab ira l wh ich a ppea rs t o b e f a ir ly e a r ly , t here i si n g enera l ag ood c orrespondance among t he d a tes f r om o ther s i tes r epesen t ing t he s outhern e xpans ion i n c en tra l -we s tern I r an ( God in ) 2,i n t he M idd le E uphra tes ( J ebe l A ruda )3 a nd i n Ana to l ia ( Ha ssek Hüyük 4 a nd A rs lan tepe 5) , wh ich a l to g e ther f a l l b e tween 3 400 a nd 3 000 BC , u s ing M ASCA c orrect ion 6. I t c an b e n ot iced t ha t t he A rs lan tepe d a te s o ver lap o n ly i n p a rt w i th t hose f r om J ebe l A ruda a nd Ha ssek , a l so c over ing t he f i na l p a r t o f t h is p e r iod , b e tween 3 200 a nd 3 000 BC . H ere w e s ha l l d ea l g loba l ly w ith t he L a te U ruk h or izon o f t he n or thern S yro—Ana to l ian a rea s , w i th t he p urpose o f mak ing s o me s uggest ions a bou t t he p oss ib le mode o f d ifus ion f r om t he s ou thern Mesopo tam ian r eg ions . A s t rong c u l tu ra l af in ity r e la tes a rea s wh ich w ere p rev iou s ly h eterogeneous a nd wh ich s ub sequen t ly r econf i rm t he ir h eterogene i ty . Th is s hou ld i nd ica te n o t ap re -Uruk a b sence a nd p os t -Uruk d i scon t inuance o f t rade , b ut p robab ly a c hange i n t he f o rm a nd i n tens i ty o f t rade r e la t ion s . Wi th in t he u n ive rse o f i d ea s wh ich wa s g i ven s c ien t if ic f o rm b y Ch i lde , h in ts f o r r ef lec t ions r ange f r om t he f i e ld o f t he g enera l i n terpreta t ive r econs truc t i on s t o t ha t o f t he d ef in i t ions o f c onceptua l p a rame ter s . The b a s ic Ch i ldean c oncept o fa rch o log ica l c u l tu re i sr e f erred t o h ere . I n f a c t , f ocu s ing o n t he w ide g eograph ica l e xtens ion o f t he U ruk " cu lture" , t he i d en t if ica t ion o f t he c u l tura l d ifus ion i n t e rms o fe i ther c o lon iza t ion o r a ccu ltura t ion i ss een a s f undamen ta l . The d eba te wh ich a rose a round Ch i lde 's c oncep t o fa rch o log ica l c u l ture ( Ch i lde 1 936 , 1 956 : 3 4 , 11-124 ) l e d t o l i nk more c l o se ly a rch o log ica l s tud ies w ith t he d eve lopmen t o f t he g enera l t heory o f c u l tu re . A tte mpts h ave b een made t o d e lve i n to t he t axonom ic a nd i n terpre ta t ive p rob le ms o f t h is c oncept

1 5 085 ± 6 5 BP ( Oa tes 1 983 : 2 72) . 24 474

± 1 00 BP ( Young 1 969 : 4 8 , n o te 2 1) .

3 Th ree 4

Three d ates b etween 4 470 a nd 4 390 BP ( Behm -B lancke 1 985 : 9 3-94) .

5 6

d a tes b etween 4 490 a nd 4 410 BP ( Oa tes 1 983 : 2 72) .

S ix teen d ates r ang ing f ro m 4 460 t o 4 240 BP ( A less i° e ta l . i n p ress ) .

A g ood c orrespondence i s a l so v is ib le w i th t wo d a tes f ro m S hara fabad ( 4380 -4331 BP) i n t he S us iana p la in ( Bov ing ton e ta l . 1 973 ) .

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( C la rke 1 968 ; K le jn 1 982 ) , t o q ue s t ion c e r ta in a spec ts s uch a s t he n orma t ive a pproach a nd t he d i rec t c o r re la t ion b e tween c u l tu re a nd p eop le o r s oc ie ty ( B in f o rd 1 965 ; B in fo rd , S ab lof 1 982 ) ; s o me a u tho rs h ave e ven c hosen t o r e jec t t he u t i l iza t ion o f " cu l ture" a s au se fu l c oncep t i na rch o logy i no rder t o b e t te r s how u p t he s oc ia l n a ture o ft he p rob le m s i nvo lved ( Ren f rew 1 978 , 1 982 ) . I n f a c t t he i n te rp re ta t ion o f t he p a tte rns o f f o rma l s im i la r i t ies a s t hey eme rge i n d if eren t s i tua t ions f r om t he a rch&o log ica l d a ta , r a ther t han b e ing b a sed o n g enera l e qu iva lences w i th a n o vera l l v a l id i ty , s hou ld b e f ounded c a se b y c a se o n t he i nve s t iga t ion o f t he i d en t if iab le s t ruc tu ra l e l emen ts , s uch a s t he s oc ia l o rgan i za t ion o f a c t iv i t ies . E ven t he s pa t ia l d e l im i ta t ion o f t he c u l tu ra l f ades , o f ten i nd i s t inc t , s o me t ime s c l ea r , p ose s s pec if ic i n te rp re ta t ive p rob lem s wh ich g o b eyond t he q ue s t ion o f t he ir r e cogn i t ion a nd p rec i se d ef in i t ion . The d if e ren t d eg ree o ff o r ma l s im i la r i t ie s r ecogn izab le i n t he L a te U ruk p o t te ry o f t he S yr ian-Ana to l ian a rea s mu s t b e i nves t iga ted p ay ing a t ten t ion t o t he g loba l c ha rac ter i za t ion o ft he i nd iv idua l s i te s a nd t o t he i r p o s s ib le f unc t ion i n t he n e twork o fi n ter reg iona l r e la t ion s i n t he p er iod c once rned . Habuba Kab ira/T e l l Kanna s i s as e t t lemen t wh ich w e l l r ep resen ts aL a te U ruk p re sence o n t he M idd le E uph ra te s , t oge ther w i th J ebe l A ruda a nd T e l l H ad id i ( Sü renhagen 1 974-75 ; S trommenger 1 980 ; F inet 1 979 ; V an D r ie l , V an D r ie l - Murray 1 979 , 1 983 ) . H ere t he s o -ca l led " co lon ia l " s e t t lemen t p a t tern i s c ha rac ter ized b y ak ind o f u rban c en t re s wh ich a re p ecu l ia r b o th i n t he i r i n ter n a l s t ruc tu re a nd i n t he i r r e la t ion sh ip w i th t he c u l tu ra l e nv i ronmen t i n wh ich t h ey a re f ound . The i r a ppea rance a s u n ifo rm ly p lanned s e t t lemen ts i s q u i te s udden o n s i te s wh ich h ave n o t r evea led i mmed ia te p re -Uruk o ccupa t ion , a s i s a l so s udden t he ir a bandonmen t a t t he e nd o ft he p e r iod . The i r t emp le a rea s i n c l ude s t ruc tu res w i th t he s ame a rch i tectu ra l c ha rac ter i s t ic s o ft he Mesopo tam ian b u i ld ings ( f ig . l a ) . Go ing u p s tream a l ong t he E uph ra te s i n to e a s te rn Ana to l ia , o the rc en tre s a ppea r t o b e c onnec ted w i th t hese . S ome o ft hem a re o fr ema rkab le p ropo r t ion s —Sam sa t a nd L ida r , s ou th o f t he T au rus ( Özdogan 1 977 )— o ther s a re s ma l le r s uch a s Ha s sek Hüyük ( Behm -B lancke 1 981 , 1 984 , 1 985 ) , a ga in s ou th o f t he T au rus , a nd T epec ik ( E s in 1 982 , a ,b ) , t o t he n o r th . The e xcava t ion o ft he sma l l mound o f H a ssek h a s u ncove red a w a l led s e t t le men t , a l so w i thou t i mmed ia te p receden t s , wh ich s eem s t o b e l a rge ly made u p , b es ide s a" t e mp le" , b y ab ig b u i ld ing who se p lan i s af a i thfu l r ep roduc t ion o f t he mode l k nown a t Habuba Kab ira a nd J ebe l A ruda ( f ig . 2 ) . A rs lan tepe , i n t he Ma la tya p la in n o r th o f t he T au ru s , s how s d if eren t c ha rac ter i s t ic s . H ere t he e xcava t ion o f t he l e ve ls b e long ing t o t he e nd o f t he f ou r th m i l lenn ium ( per iod V IA ) h a s u n t i l n ow u nea r thed e xc lu s ive ly b u i ld ing s o f ap ub l ic c ha rac ter f o l low ing o ne a no the r ( Pa lm ie r i 1 973 , 1 981 , 1 985a , c ;F rang i p ane a nd P a lm ier i i n p res s ) . The a rea d es t ined t o t he c en tra l i n s t i tu t ions s eem s a l ready t o b e q u i te e x ten s ive . The b igge s t s ec to r i st aken u p b y as t ruc ture wh ich c ou ld b e c on s idered a p a lacel ike b u i ld ing ( bu i ld ing I V ) a s i ti sf u rn i shed w i th a s to reroom c omp lex t ha t d oe s n o t s e em t o b e d i rect ly c onnec ted t o c u l t a c t iv i t ie s . I n o ther t wo b u i ld ing s t he r e l ig iou s a nd c e remon ia l f unc t ion a ppea r s p reva len t . One i n p a r t icu la r ( bu i ld ing I )i sr e cogn izab le a s at emp le ( f ig . 1 b ) . The L a te U ruk p o t tery p roduc t ion s hows c er ta in g ene ra l u n i fy ing c ha r a c ter is t ics , s uch a s t he manu fac tu r ing t echn ique s w i th t he t o ta l o r p a r t ia l u se o f t he p o t te r 's whee l a nd t he d ifu s ion o f r e served -s l ip d ecora t ion . G ene ra l ly s peak ing t h is p ot tery , wh ich i n c lude s ma s s-p roduced c a tegor ies o f v e s se ls , a p p ea rs t o h ave b een made b y s k i l led s pec ia l ized p o t te rs a nd p robab ly d er ive sf r om ac en tra l ized a c t iv i ty . The r eper to i re o f p o t tery s hapes i sp a rt icu la r ly r i ch a nd h omogeneou s i n t he s ou th , wherea s i n t he S yro-Ana to l ian a rea s i ts how s av a r i a b le r ange o ft ype s a nd d if e ren t d eg ree s o f af in i ty w i th t he s ou thern s i tes . Th i s

2 9 ' 1

i sa l so o ne o ft he r ea sons why s o me o ft he s e t t le men ts i n t he n orth h ave b een i n t e rpreted a s " co lon ies" ( N i ssen 1 974 ) a nd o thers h ave a ppea red t o b e t he r e su l to f a n a ccu l tura t ion p rocess ( Pa lm ier i 1 981 , 1 985 b ; P a lm ier i a nd F rang ipane 1 986 ) . An umber o fp a rt icu lar a spec ts c ou ld b ei nvest iga ted i nt h is f i e ld ( Howa rd a nd Morr is 1 980 ) , b ut t he p resen t ly a va i lab le d a ta a re f a r f r om s uf f i c ien t . I tw a s t herefore d ec ided t o u se p o ttery s hapes t o mea su re t he r ec iproca l af in i ty o f n orthern s i tes , s e lected o n t he b a s is o f t he a va i lab le d ocumen ta t ion , a s w e l l a s t he ir r e la t ion s w ith s ou thern Mesopo tam ia t aken a s awho le . The Habuba Kab ira p o ttery p roduc t ion a ppea rs t o b e l i nked t o t ha t o f s outhern Mesopo tam ia a nd S usa b y a n e x treme ly h igh p ercen tage o f c ommon p rof i le t ypes ( f ig . 7 a ) . The s ou thern v e sse l c a tegor ies a re a l l r epresen ted i n t he M idd le E uph ra tes o u tpost a nd r eproduce a lmos t t he e n t i re t ypo log ica l r ange r e cogn izab le i n t he s ou th ( f igs . 3 , 4 ) . There a re o n ly a f ew s hapes p ecu l ia r t o Habuba Kab ira , a nd s o me o f t hese a re p robab ly l i nked t o t he l o ca l S yroP a les t in ian e nv ironmen t ( Sü renhagen 1 974/75 : t ab . 1 9 , 1 61 ) . Mov ing o n t o t he s i tes o n t he T urk ish E uphra tes , t he c l osest c onnec t ion s w ith Habuba Kab ira a re s hown b y Ha ssek Hüyük , where t he t ypo log ica l r eper t o ire i n c ludes f o r t he mos t p a r t p o ttery s hapes f ound b o th a t Habuba a nd i nt he s ou thern a rea ( f igs . 7 b , 4 ) . I n t h is s ca le o f s ou thern af in i t ies T epec ik i s ac l ose s e cond ( f ig . 8 a ) , wh i le A rs lan tepe d if ers f o r t he a u tono my t ha t i t s p o ttery p ro d uct ion s hows w i th r e spect b o th t o t he s outhern a rea s a nd e spec ia l ly t o Habuba Kab ira —very l ow n umber o fa ctua l ly s im i la r f o rms — ( f ig . 8 b ) , t hough f u l ly f i t t i ng i n w i th t he g enera l L a te U ruk c ha racte r iza t ion . The i n ten s ity o f s ou thern r e la t ions d oes n o t t herefore s e em t o d epend o n t he g eograph ica l l o ca t ion o f t he s i tes , a s T epec ik i st he n or thermos t . The t hree T urk ish s i tes , b es ides t he ir d if eren t c onnect ions w i th Habuba Kab ira a nd w ith t he s ou th , s how s i gn if i can t r e c iproca l r e la t ions c ons is t ing a l so i n t he s ha r ing o fs o me c l a sses o fb lack b urn ished p o t tery w ith c en tra l Ana to l ian s im i la r i t ies ( however e xcept iona l a t Ha ssek ) a nd s o me k i tchen p o ts a nd p i tho i ( f ig . 6 ,9 a ) . Another n o tewor thy l i nk i sr epresen ted b y t he c ha rac ter is t ic whee lmade r e served -s l ip j a rs w ith e xpanded s hou lder t hey h ave i n c ommon ( f ig . 5 : / 0 , / 1 , / 2 ) . On t he who le t he t ypo log ica l r eper to ire o f a l l t h ree s i tes i ss imp l if ied , l e ss r i ch i n t he n umber o f c a tegor ies a nd p rof i le t ypes t han t ha t o f b o th t he s ou thern r eg ions a nd t he M idd le E uphra tes L a te U ruk s e tt le men ts ( f ig . 9 b ) . D esp i te t he s ub s tan t ia l s im i la r i ty o f t he t h ree Upper E uph ra tes s i tes , t he l i nks b etween T epec ik a nd H as sek s e em s t ronger t han t hose s hown b y t hese t wo s i tes w i th A rs lan tepe , e s sen t ia l ly d ue t o t he ir g rea ter af in i ty w i th Habuba Kab ira a nd w i th t he s outh . T o t he l a rge o u tpos t o f H abuba Kab ira w e may t herefore much more c l ose ly r e la te t he t wo s i tes o f more l im i ted d imens ion s , wh i le A rs lan tepe , wh ich s e e ms t o h ave b een o fl a rger s i ze , i sr ema rkab ly a u tonomous . F rom ac hrono log i c a l p o in t o fv i ew w e h ave s e en t ha t o n t he b a s is o fr ad ioca rbon d a t ing A rs lan tepe c ou ld c over t he f i na l p ha se o f t he L a te U ruk S yro-Ana to l ian d eve lopmen t , p a r t i a l ly o ver lapp ing w ith J ebe l A ruda a nd Ha ssek . Anyhow t he s i te s hows v ery s ound t ypo log ica l c onnec t ions w i th Ha ssek ( e . g .v i rtua l ly i den t ica l r e served -s l ip j a rs ) , wh i le among t he ma ter ia l wh ich i sc ons idered i mpor ted f o r t he u nu sua l c ha rac ter is t ics o ft he p a ste t here i s as pouted b o tt le w i th a r e served -s l ip d ecora t i on h igh ly r em in iscen t o f s ome Habuba e xamp le s ( f ig . 3 : / 0 ) . The r ema rkab le a u tonomy s hown b y t he A rs lan tepe p o ttery p roduct ion h ence d oes n o t s eem t o b e a ccoun ted f o r b y a n e ven tua l p a r t ia l c hrono log ica l d i sp lacemen t . E ven i n t he r i ch s e r ies o f s ea ls r e constructed a t A rs lan tepe f r om o ve r t wo t hou sand c l ay-sea l ings , b o th i c onog raphy a nd s t y le i nd ica te p reva len t ly a u t onomous e l abora t ions , t hough t hey a re s o mehow r e la ted t o t he S yr ian a nd

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n orthern Mesopotam ian t rad i t ion s ( F rang ipane a nd P a lm ier i i n p ress ) . There i si n a ny c a se a c l ea r d if erence f r om t he Mesopo tam ian— inf luenced g lyp t ics o f Habuba Kab i ra a nd J ebe l A ruda ( Töpperwe in 1 973 ; v an D r ie l 1 983 ) . A ma rked i nf luence o f t he c l a ss ic s outhern L a te U ruk c u l ture , h owever , i sr e cogn izab le i n t he u se o fs y mbo ls o fp a rt icu la r s t rengh t a nd d ifus ion , a nd e spec ia l ly i np ic ture s r ega rd ing t he c en tra l a u thor i ty a nd t he a ct iv i t ies o ft he b urocra t ic e l ite . An ima l s w i th i n tertw ined t a i ls a nd r epresen ta t ions o fp or ters c an b e men t ioned . The mos t i n teres t ing c a se i st he s c ene o f t he t ranspor t ing o f ar ega l f i gu re o n as l edge—ca r d ep icted o n ac y l inder—sea l o f l o ca l s t y le , wh ich r eproduces e ven d eta i ls o f t he d es ign e ngraved o n as ou thern p laque ( Pa lm ier i 1 981 : P l .XVa ; S ürenhagen 1 985 : f i g s . 1 ,2 ) . On t he p laque t he t ran sported f i gure r ep resen ts t he i c onograph ic t ype o ft he k ing w e l l -known a t U ruk . F rom a n o rgan iza t iona l p o in t o fv i ew i tc an b e r e cogn ized a t A rs lan tepe t he o pera t ion o f ac en tra l ized r ed i str ibut ive s ys tem c l ea r ly i n sp ired b y t he Meso p o tam ian mode l ( Pa lm ie r i a nd F rang ipane 1 986 ) . The o rgan iza t ion o f as tore h ouse s ys te m w i th a c o mp lex a dm in istra t ive c on tro l o n t he c i rcu la t ion o f g ood s i sl a rge ly w itnessed : b es ides an umber o fc l ay— sea l ings f ound i n s i tu i no ne o ft he s torerooms o ft he p a lace— l ike b u i ld ing ( Pa lm ier i 1 985c ) , ag rea t c oncen tra t ion o f s ea l ings wa sf ound i np a r t icu la r d ump ing p laces l o ca ted i n s ide t he t wo ma in p ub l i c b u i ld ings o ft he p er iod . I n t he s t ra t if ied d epos i ts o ft he d ump i n t he " pa lace" t h ree ma in s t ra t igraph ic p ha ses c ou ld b e i den t if ied , e ach c ha racter ized b y most ly d if eren t s ea ls a nd b y p reva i l ing c oncen tra t ions o fc er ta in k inds o fc on ta iners , a s t hey a re s hown b y t he c l ay— sea l ings ( Fer io l i a nd F iandra , i n p ress ; F rang ipane a nd P a lm ier i i n p ress ) . I ts ee ms t ha t t he v a r iou s g roups o f r ubb ish l a yers may r e f er t o d ivers if i ed s e r ies o f a dm in is tra t ive o pera t ions , p oss ib ly r e la t ing t o t he f unct ion ing o f wa rehou ses o fd if e ren t t ypes . A s i n o ther S yr ian a nd Mesopo tam ian c on texts , a ma ss—product ion o f b ow ls , a l l whee l— turned i n t he c a se o f A rs lan tepe , i sa ssoc ia ted t o t he e v idence o f c en tra l ized s tor ing a nd a dm in is tra t ion . A s i th a s b een h ypo th ized f o r t he Mesopotam ian b eve l -r im b ow ls ( N issen 1 970 : 1 37-38 ; J ohnson 1 973 : 1 29-39 ; c on tra B ea le 1 978 ) , t he c oncen tra t ion o f t he ir c apac it ies a round v o lu me g roups , e ven t hough t hese a re q u i te w ide ( E sp inosa a nd Manzan i l la 1 985 ; F rang ipane a nd P a lm ier i i n p ress ) , s ugges ts t he p oss ib i l i ty t hey w ere u sed f o r t he d i str ibut ion o f f ood r a t ions t o t he emp loyees o f t he c en tra l i n s t i tu t ion , p robab ly n o t a s a c tua l mea sur ing—vesse ls , b u t s imp ly a s r a t ion—con ta iners . The r ed is tr ibu t ion s ys te m s ee m s t o h ave b een b a sed , a t A rs lan tepe , o n a n a gr icu ltura l p roduc t ion o f ac erta in c omp lex i ty , i n c lud ing a l so v ine , b es ides b a r ley a nd whea t . I ti st o b e s t ressed , i n t h is r e spect , t he c en tra l p os i t ion o ft he s i te i n t he Ma la tya p la in , i n a n a rea f u l l o f s p r ings , wh i le t he sma l ler s i tes a re g enera l ly s i tua ted a l ong t he b ank o f t he E uphra tes (Ma rco longo a nd P a lm ier i i n p ress ) . I n t he L a te U ruk p er iod i tc an b e o bserved a t A rs lan tepe a l so a ma rked c hange i n t he g enera l p a t tern o f a n ima l b reed ing w ith r e spec t t o t he p reced ing l o ca l L a te Cha lco l ith ic . The mos t o u tstand ing t ra i t o f s uch a c hange i sr epre s en ted b y t he r e ma rkab le i n crease i n t he n umber o fs heep a nd b y t he c on te mpo r aneous ma rked r educt ion o f p igs , t he l a tter b e ing c ha rac ter is t ic o f ad omes t ic r ea r ing ( Bököny i i n p ress ) . Th is p a ttern s eems t o b e t i ed u p w ith t he a dven t o f ac en tra l ly—governed e cono my , i n sp ired b y t he Mesopo tam ian mode l , i n wh ich r ed is tr ibu t ion e l e men ts s uch a s m i lk a nd e spec ia l ly w oo l mu st h ave p layed a n i mportan t r o le 7.

7 Th ere

i s ag ood e v idence i n t he U ruk a rcha ic t ab le ts b o th o f t he g rea t w e igh t o f s heep -rear ing w i th in t he c en tra l

a dm in istra t ion ( Green 1 980 ) a nd o f t he i mpor tan t r o le h e ld b y t he d i str ibut ion o f woo l a nd t ex t i les ( N issen 1 985 ) .

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Un l ike A rs lan tepe , t he sma l ler s i te o f Ha ssek H . s hows p igs a s t he most c om mon a n i ma l r ea red ( Boessneck a nd v on d en D r iesch 1 981 ) . B es ides c harac t e r iz ing t he l o ca l dwe l lers a s f u l ly s eden ta ry a gr icu l tura l is ts , s uch a p reva lence i nd ica tes a s pec ia l ized b reed ing wh ich wa s p oss ib ly b a sed o n t he e xterna l e x c hange e ven o f e l e men ts o f p r ima ry p roduct ion . I ti sp robab le o n t he c on tra ry t ha t t he s t rong i nc idence o f s heep a t A rs lan tepe may r ef lec t t he c en tra l—p lace c ha rac ter o f t h is s i te . C ons ider ing o n t he o ne h and t he s pec if i c c ha rac ter is t ics o ft he o rgan iza t i ona l s t ructures o f t he s i tes u nder e xam ina t ion , a nd o n t he o ther h and f o r ma l a spects , s uch a s i n p a rt icu la r t hose o ft he p o ttery p roduct ion c ons idered a bove , w e s ee t ha t A rs lan tepe , c en tra l -p lace w i th a Mesopo tam ian— in sp ired o rgan iza t i on , h a s v ery f ew f o rma l af in i t ies w i th t he s ou thern a rea s , wh i le sma l ler s i tes w i th l e ss e v iden t p roof s o f a ma rked c en tra l iza t ion , l i ke Ha ssek H . a nd T epec ik , s how s t rong s outhern l i nks a s r ega rd s f o rma l s im i la r i t ies . We may t hus n o te t he a ssoc ia t ion o fg rea ter s t ruc tura l a ff in i t ies w i th f ewer f o r ma l s im i la r it ies , a nd v i ce -versa . The " co lon ia l" c onf igu ra t ion o f t he t wo sma l ler s i tes a ppea rs s t ronger , t hough t hey d o n o t c o mp lete ly l a ck l o ca l e l emen ts . On t he o ther h and i t must b e p o in ted o u t t ha t t he p ottery p roduc t ion o f A rs lan tepe , o f wh ich w e s t ressed t he l o ca l t ypo log ica l n a ture , o wes l i tt le t o t he p reced ing L a te Cha lco l i th ic t rad i t i on . Th is c apac ity f o r a n a u tono mous r eorgan iza t ion o ft he p o ttery t ypo log ica l r eper to ire i s a ssoc ia ted p oss ib ly n ot b y c hance w i th t he s t rong c en tra l iza t ion s t ruc ture a cqu i red , a s i ts eems , u nder e x terna l s t imu l i b y t he l o ca l s oc ie ty . The n ew s pec if i c n eeds b rough t i n to p lay b y t he c hanged c ond it ion s mus t h ave b een r ef lec ted i n t he manu fac ture o fn ew f unc t iona l c a tegor ies a s w e l l a s i n t he w ork i ng u p o f d i s t ingu ish ing s t y l i st ic f e a tures , l a rge ly l im i t ing t he a dop t ion o f t he f o rma l s ou thern r eper to ire . R econs ider ing t he g enera l Ch i ldean mode l o fd ifus ion o fu rban c i v i l iza t i on i n t he l i gh t o f t he L a te U ruk e xpans ive p henomenon , t he a ssu mp t ion c on c e rn ing t he n ecess ity f o r Mesopo tam ian c en tres t o o b ta in r aw ma ter ia ls s eem s w e l l s uppor ted . I n t h is s ame p er iod t he o bv ious i mpor tance o f a cqu ir ing meta l i n Mesopotam ian s oc iet ies i sa t tes ted t o b y t he d ifuse a nd d ivers if i ed u se t hey made o f c opper a s w e l l a s o f o ther me ta ls ( Adam s 1 981 : 8 0 ; N issen 1 985 : 3 58 ; F rang ipane 1 985 ; Moorey 1 982 ) . C oncern ing t he w ays o fp rocu re men t , i th a s t o b e c ons idered t he p oss ib i l i ty o f c ond i t ion ing f r om a d i stance n on -urban ized o r l im i ted ly u rban—or ien ted g roups , o b ta in ing f r om t he m a dequa te a nswers t o t he s t imu l i . The a cqu is it ion o ff undamen ta l r aw ma te r ia ls s e e ms t o h ave t aken p lace i n t h is p er iod t hrough a c u l tura l a ss im i la t ion o f t he a rea s o f i n teres t , p robab ly r ea l ized t hrough c o lon iza t ion a nd s ubsequen t a ccu ltura t ion . Ch i lde 's mode l a ppea rs t o b e v a l id i ng enera l t e rms a s f a r a s t he h ypoth i z ed a ccu ltu ra t ion p rocess i sc oncerned , i fi n s i tes s uch a s A rs lan tepe o ne may r e cogn ize t he emergence o f al o ca l e l i te o r , a s i ts eems l e ss p robab le , t he s t rong l o ca l c ond it ion ing o f a n a l ien e l i te . Ef ect ive i n terac t ions mus t a nyway h ave t aken p lace w ith in g eograph ica l ly l im ited a rea s , a s i ss uggested b y t he p robab le med ia tory f unct ion o fc o lon ies . I t w ou ld s eem t ha t t he L a te U ruk i n ter reg iona l e xchange s yste m h ad t he c ha racter o f a n i n ter med ia te t rade ( Renf rew 1 975 ) r e st ing u pon a n e two rk o f " cen tra l p laces" w i th c u l tura l a ss im i la t ion p lay ing a n i mpor tan t r o le . The f a l l o f s uch a s ystem i n t he s ub sequen t p er iod , i n c onnect ion w i th t he e cono m ic—organ iza t iona l g row th o f t he E a r ly Dyna s t ic c o mmun it ies i n Me s opo tam ia , m igh t b e d ue t o t he r i se o f n ew ways a nd f o rm s o f e xchange , r e s u l t ing i n t he e s tab l ish ing o f ad if eren t k ind o f r e la t ion sh ip w i th t he n or thern p e r i— Mesopo tam ian r eg ion s t ogether w i th t he o pen ing o fn ew r ou tes t owa rd s f a r e a stern a rea s ( Pa lm ier i 1 985b ) .

3 00

The c u l tu ra l a ss im i la t ion o ft he r eg ions i nvo lved i nt he e xchange n e twork d u r ing t he f o r ma t ive L a te U ruk p ha se m igh t h ave b een s t i mu la ted j us t b y t he d i ff icu lty f o r t he Mesopotam ian c en tres i n manag ing d i rec t f o r ms o fr aw ma ter ia l p rocure men t f r o m al ong d i s tance , a s t hey p robab ly c a rr ied o u t i n t he s uccess ive E a r ly Dyna s t ic p er iod .

L i s t o f t he P o t tery T yp es H er e C on s id er ed

T ype 1 : Habuba Kab ira ( Sürenhagen 1 974/75 , P l . 2 0 , 1 0-11) ( f ig .

4 ,3 ) ; T epec ik ( E s in 1 982 ,

P l . I I , 6 -7 ) . 2 a :

Habuba K . ( 1974 , P l . 2 0 , 3 9 ) ; Hassek ( Hoh 1 981 , f i g . 1, 7 ) ( f ig .

4 ,7 ) ; T epec ik ( 1982 ,

P l . I I , 1 5 ) ; Warka ( N issen 1 970 , 3 9/27 ) . 2 b :

Ha ssek ( 1981 , f i g . 1, 8 ; 1 984 , f i g . 1, 4 -6) ; T epec ik ( 1982 , P l .

I I , 1 9 ) ; Habuba K .

( 1974 , P l . 2 2 , 8 5 ) ; Wa rka ( 1970 , 3 9/36 , 1 14) ; S usa 1 7 ( Le B run 1 971 , f i g . 4 5 , 1 1) . 3 a :

Habuba K . ( 1974 , p l .

1 , 1 8 ; 2 0 , 3 0-32) ; T epec ik ( 1982 , P l .

I I , 2 0 ) ; Warka ( 1970 ,

3 9/22 ) . 3 b :

Habuba K . ( 1974 , P l . 1 , 1 7 ; PL . 2 0 , 3 3) ; Ha ssek ( 1984 , f i g . 1, 2 ) ( f ig .

4 ,4 ) ; Warka

( Ha l ler 1 932 : l ey . V I , I V ; 1 970 , 3 8/9) ; S usa ( 1976 , f i g . 4 , 1 -3) . 4 a :

Ha ssek ( 1981 , f i g . 1 , 5 ) ; Warka ( 1970 , 3 4/2) .

4 b :

T epec ik ( 1982 , P l . V I I , 1 ) ; Habuba K . ( 1974 , P l . 2 1 , 5 2 ) .

5 :

Ha ssek ( 1984 , f i g . 1 0 , 1 6 , 1 8 ; f i g . 1, 3 , 5 ) ( f ig .

4 ,2 ) ; T epec ik ( 1982 , P l .

V I I , 2 ) ;

Habuba K . ( 1974 , P l . 2 2 . 7 8 ) . 6 :

T epec ik ( 1982 , P l . I I , 1 6) ; Warka ( 1970 , 4 0///) ; U r (Wool ley 1 956 , JN 1 ) .

7 :

Habuba K . ( 1974 , P l .

2 , 3 0-31) ( f ig .

4 ,1 0 ) ; T epec ik ( 1982 , P l . I I , 1 3-14) ; Wa rka

( 1970 , 3 9//8) ; S usa 1 7B ( 1978 , f i g . 1 9 , 2 3 ; 2 3 , 1 ) ; U r (Wooley 1 956 , JN 1) . 8 :

Habuba K . ( 1974 , P l . 2 2 , 6 7 ) ; Ha ssek ( 1984 , f i g . 1 0 , 1 7 ) ; S u sa 1 7 ( Le B run 1 971 , f i g . 4 5 , 5 ; 1 978 , f i g . 1 9 , 1 9) .

9 a :

Habuba K . ( 1974 , P l .

3 , 3 4; P l .

2 0 , 1 9-20 ) ; Warka ( Ha l ler 1 932 : l ev .

V I ; Adam s ,

N is sen 1 972 , f i g . 5 6 , 1 ) ; S u sa ( 1976 , f i g . 4 , 9 ; 1 957 , f i g . 1, 4 ) ; JN (Mackay 1 931 , 2 1F ) . 9 b :

Habuba K . ( 1974 , P l . 3 , 3 3) ; Warka ( 1970 , 3 9/25 ) ; N ippu r ( Hansen 1 965 , f i g . 3 2 ) .

1 0 :

Habuba K . ( 1974 , P l . 2 0 , 1 6 ) ; JN ( 1931 , P I LXV I , 2 9 ) ; S u sa ( 1976 , f i g . 4 , 1 2 ) .

1 :

Habuba K . ( 1974 , P l . 2 0 , 1 5 ) ( f ig . 3 , 3 ) ; Warka ( 1932 : l ev . V I ) ; S u sa ( 1976 , f i g . 4 , 1 0 ) .

1 2 :

Habuba K . ( 1974 , P l . 2 0 , 1 8 ) ; Warka ( 1932 : l ey . V I ) ; S u sa ( 1976 , f i g . 4 , 1 1) .

1 3 :

Habuba K . ( 1974 , P l . 1 , 1 2) ; Warka ( Lenzen 1 958 , P l . 5 1 c ) .

1 4 :

Habuba K . ( 1974 , P l . 3 , 3 2) ; JN ( 1931 , P l . LXV I I , 2 0) .

1 5 :

Habuba K . ( p l . 1 , 1 3) ( f ig . 3 ,2 ) ; S u sa 1 7 ( 1971 , f i g . 4 6 , 1 7 ) .

1 6 :

A r s lan tepe ( F rang ipane a nd P a lm ier i i n p ress , f i g . 3 0 , 3 ) ( f ig . 5 , 1 ) ; Warka ( Stro m menger 1 963 , P l . 3 9 s ) .

1 7 :

Habuba K . ( 1974 , P l . 2 , 2 9) ; Warka ( 1932 : l ev . V ; 1 970 , 3 9/29 ; 1 972 , f i g . 7 1 , 4 ) ; S u sa 1 7B ( 1978 f i g . 2 3 , 1 7 ) .

1 8 :

Habuba K . , Ha ssek ( 1981 , f i g . 8 , 9 ) ( f ig .

4 ,5 ) , T epec ik , Warka , S u sa , N ippu r , T e l lo ,

J e mde t Na sr , U r . 1 9 :

Habuba K . , Ha ssek , A rs lan tepe ( i n p ress , f i g . 3 1) ( f ig .

4 ,1 ) Wa rka , S usa , N ippur , T el lo ,

J e mde t Na sr . 2 0 :

Habuba K . ( 1974 , P l . 2 , 2 4 ) ; Warka ( 1932 : l ev . I V ; L enzen 1 965 , P l . 2 6 , p -s ) ; N ippu r ( 1965 , f i g . 3 4 ) .

2 1 :

Habuba K . ( 1974 , P l . 1 , 1 0) .

2 2 :

Habuba K . ( 1974 , P l . 2 1 , 6 5 ) .

2 3 :

Habuba K . ( 1974 , P l . 2 1 , 5 9 ) .

3 01

2 4 :

A r s lan tepe ( i n p ress , f i g . 3 3 , 8 ) ( f ig . 5 , 9 ) ; Warka ( 1970 , 2 1/4) ; S u sa 1 7 ( 1971 , f i g . 4 6 , 1 3 ; 1 978 , f i g . 2 3 , 1 2 ) .

2 5 :

Habuba K . ( 1974 , P l . 2 5 , 5 0 ; P l . 2 7 , 1 19 ) ; Ha ssek ( 1984 , f i g . 1 2 , 6 ) ( f ig .

4 ,8 ) ; Wa rka

( 1970 , 3 7/5 ; 1 972 , f i g . 6 4 , 4 ) ; S usa ( 1978 , f i g . 2 4 , 1 8 ) . 2 6 :

Habuba K . ( 1974 , P l . 1 , 1 ) .

2 7 :

A r s lan tepe ( i n p ress , f i g . 2 8 , 7 , 9 ) .

2 8 :

Habuba K . ( 1974 , P l . 2 3 , 8 -9 ) ; Warka ( 1932 : l ev . V I ) .

2 9 :

Habuba K . ( 1974 , P l . 2 3 , 1 3) ; Warka ( 1932 : l ev . V I ; 1 970 , 3 9/10 ; 1 972 , f i g . 4 2 , 2 5 ) .

3 0 :

Habuba K . ( 1974 , P l . 3 , 4 7 ) ( f ig . 3 , 6 ) ; Warka ( 1972 , f i g . 4 7 , 3 ) ; S u sa 1 7 ( 1971 , f i g . 4 6 , 6 ) ; T e l lo ( de Genou i l lac 1 934 , P l . 2 2 , 3 ) .

3 1 :

Habuba K . ( 1974 , P l . 3 , 3 8 , 4 3 ; P l . 2 2 , 2 ) ; Warka ( 1963 , P l . 3 8 i ;1 970 , 4 2/1 ; 1 972 , f i g . 4 2 , 2 5-26 f i g . 6 1 , 8 ) ; JN ( 1931 , P l . LXV I , 2 7 ) ; S usa 1 7 ( 1971 , f i g . 4 6 , 5 ) .

3 2 :

Habuba K . ( 1974 , P l .

2 3 , 1 1) ( f ig . 3 , 5 ) ; Warka ( 1932 : l ev .

V I ; 1 970 , 3 9/15 , 3 1/6 ) ;

S u sa 1 7 ( 1976 , f i g . 3 , 1 4 ; 1 978 , f i g . 2 3 , 1 0 ) . 3 3 :

Habuba K . ( 1974 , P l . 3 , 4 9) ; Warka ( 1970 , 3 9/112) ; S usa 1 976 , f i g . 3 , 8 ) .

3 4 :

Habuba K . ( 1974 , P l . 1 9 , 1 52 ) .

3 5 :

Habuba K . ( 1974 , P l . 1 9 , / 5 4 Wa rka ( 1963 , P l . 3 8 h ) .

3 6 :

Habuba K . ( 1974 , P l . 1 9 , 1 54) .

3 7 :

Habuba K . ( 1974 , P l . 1 9 , 1 53 ) .

3 8 :

Habuba K . ( 1974 , P l . 5 , 5 8) .

3 9 :

Habuba K . ( 1974 , P l . 5 , 5 6) ; Warka ( 1932 : l ev . V I ; 1 970 , 3 2/26 ) ; T elo ( 1934 , P l . V I ,

4 0 :

4 986 ) . 0 .

4 1 :

Habuba K . ( 1974 , P l . 1 8 , 1 08 ) .

4 2 :

Habuba K . ( 1974 , P l . 1 8 , 1 10 ) .

4 3 :

Habuba K . ( 1974 , P l . 1 8 , 1 13) . ( f ig . 3 , 4 ) ; Warka ( 1972 , f i g . 4 6 , 3 ) ; JN ( 1931 , P l . LXV ,

Habuba K . ( 1974 , P l . 1 8 , 1 38-143) ; T e l lo ( 1934 , P l . V , 4 823) .

8 ) . 4 4 :

Habuba K . ( 1974 , P l . 1 8 , 1 17 ) .

4 5 :

Habuba H . ( 1974 , P l . 1 8 , 1 19 ) .

4 6 :

Habuba K . ( 1974 , P l . 1 8 , 1 20 ) .

4 7 :

Habuba K . ( 1974 , P I . 1 5 , 8 9 ) ; Ha s sek ( 1981 , f i g . 2 1 , 3 ) ( f ig . 5 , 4 ) ; T epec ik ( 1982 , P l . V I I , 5[ 1 50 ]) .

4 8 :

T epec ik ( 1982 , P l . V I I , 5[ 2 90 ]) .

4 9 :

Ha ssek ( 1981 , f i g . 2 2 , 3 ) ; T epec ik ( 1982 , P l . V I I , 5[ 1 24 ]) .

5 0 :

Habuba K . ( 1974 , P l . 1 8 , 1 35 ) ; Hassek ( 1981 , f i g . 2 2 , 2 ) ( f ig . 5 , 3 ) .

5 1 :

Ha ssek ( 1984 , f i g . 1 2 , 3 ) .

5 2 :

A r s lan tepe ( i n p ress , f i g . 2 8 , 1 -5 ) ( f ig . 5 , 2 ) ; T epec ik ( 1982 , P l . V , 1 3) .

5 3 :

Habuba Kab ira ( 1974 , P l . 1 8 , 1 14) ; S u sa ( 1971 , f i g . 5 0 9 ) .

5 4 :

Habuba K . ( 1974 , P l . 1 8 , 1 36 ) .

5 5 :

Habuba K . ( 1974 , P l . 1 8 , 1 47 ) ; Warka ( 1972 , f i g . 4 3 , 3 9 ) .

5 6 :

Habuba K . ( 1974 , P l . 1 8 , 1 24) ; Ha ssek ( 1981 , f i g . 2 3 , 1 2 ) ; A r s lan tepe ( i n p ress , f i g . 3 3 , 4 ) ( f ig .

4 ,6 ) ; T epec ik ( 1982 , P l . V I I , 4 ) ; N ippur ( 1965 , f i g . 1 1a ) ; JN ( 1931 , P l . LX IV ,

1 8-20 ) ; S u sa Cb ( 1957 , f i g . 1 , 5 7 :

Habuba K . ( 1974 , P l .

24 ) •

1 8 , 1 22 ) ; Wa rka ( 1932 : l ev .

V I ) ; T el lo ( 1934 , P l .

2 5 , 2 ) ; JN

( 1931 , P l . LX IV , 1 1) . 5 8 :

Habuba K . ( 1974 , P l . 7 , 6 7 ) ( f ig . 3 , 9 ) ; T e l lo ( 1934 , P l . 2 1 , 2 , P l . V , 4 865 ) ; JN ( p l .

5 9 :

Habuba K . ( 1974 , P l .

LX IV , 1 2) ; S usa ( 1957 , f i g . 1, 2 0-21 ; 1 971 , f i g . 5 1 , 1 -2 ; 1 978 , f i g . 2 4 , 4• 1 8 , 1 27-13D) ( f ig . 3 , 1 ) ; S u sa ( 1957 , f i g . 1 1 , 3 0 ; S teve , Ga sche

1 971 : m . 2 0 .20 ) .

3 02

6 0 :

Habuba K . ( 1974 , P l . 1 8 , 1 33) ; T e l lo ( 1934 , P l . V I , 4 936 ) ; S u sa Cb ( 1957 , f i g . 1, 2 8 ) .

6 1 :

Habuba K . ( 1974 , P l . 1 6 , 9 6 ) ; S u sa C ( 1957 , f i g . 1, 3 1) .

6 2 :

Habuba K . ( 1974 , P l . 1 8 , 1 32 , 1 34) ; T elo ( 1934 , P l . V I , 5 272 ) ; S u sa ( 1976 , f i g . 8 , 6 ) .

6 3 :

Habuba K . ( 1974 , P l . 1, 7 4) ; Ha ssek ( 1984 , f i g . 1 2 ,

4 ) ( f i g . 4 ,9 ) ; JN ( 1931 , P l . LXV I ,

3 7 ) ; S usa Cb ( 1957 , f i g . 1, 3 5 ) . 6 4 :

Habuba K . ( 1974 , P l . 7 , 6 6 ) ; Wa rka ( 1932 : l ev . I V ) ; S u sa 1 7 ( 1971 , f i g . 5 1 , 9 ; 1 978 ,

6 5 :

Habuba K . ( 1974 , P l .

f i g . 3 3 , 7 ) . 7 , 6 4) ( f ig . 3 , 1 2) ; Warka ( 1932 : l ev .

I V ; 1 972 , f i g . 5 4 , 1 1) ;

N ippur ( 1965 , f i g . 2 1) ; S usa Cb ,c ( 1957 , f i g . 1 2 , 9 ) . 6 6 :

Habuba K . ( 1974 , P l . 8 , 6 8) ; S usa ( 1957 , f i g . 1, 3 6 ; 1 971 , f i g . 5 1 , 8 , 1 1 ; 1 978 , f i g . 2 8 ,

) .

1 6 7 :

Habuba K . ( 1974 , P l . 1 5 , 9 0 ) ; T epec ik ( 1982 , P l . I X , 7[ 3 40 ]) ( f ig .

4 ,/ 3) ; U r (Woo l ley

1 955 , JN 1 39 ) ; S usa ( 1976 , f i g . 7 , 7 ) . 6 8 :

Habuba K . ( 1974 , P l . 1 2 , 7 6 ) , ( f ig . 3 , 8 ) ; N ippur ( 1965 , f i g . 2 2 ) ; S usa 1 7 ( 1971 , f i g . 5 2 , 7 -8 ) .

6 9 :

Habuba K . ( 1974 , P l . 1 2 , 7 5 ; 9 , 6 9) ( f ig . 3 , 7 ) ; U r ( 1955 : p i t F , m . 9 . 3 0 ) ; S u sa 1 7 ( 1978 , f i g . 3 2 , 1 ) .

7 0 :

A r s lan tepe ( unpub l ished ) .

7 1 :

A rs lan tepe ( f ig . 5 , 6 ) ; Warka ( 1963 , P l . 3 7 d ) .

7 2 :

Habuba K . ( 1974 , P l . 4 , 5 4) ; Warka ( 1972 , f i g . 5 9 , 3 1) .

7 3 :

Habuba K . ( 1974 , P l . 4 , 5 3) ; Warka ( 1961 , P l . 1 7 a ; 1 932 : l ev . V I-V ) .

7 4 :

Habuba K . ( 1974 , PL . 5 , 6 0 ) ; Warka ( 1970 , 3 4/14) ; N ippur ( 1965 , f i g . 2 7 ) ; S usa ( Steve 1 971

7 5 :

Habuba K . ( 1974 , P l . 1 9 , 1 46 ) ; JN ( 1931 , P l . LX I I I , 1 0 ) .

7 6 :

Ha ssek ( 1984 , f i g . 1 4 , 4 ) ; A rs lan tepe ( f ig . 5 , 8 ) ( i n p ress , f i g . 3 3 , 7 ) ; Wa rka ( 1970 , 3 9/98 ) ; N ippur ( 1965 , f i g . 2 8 ) ; S u sa Ca ( 1957 , f i g . 1 4 , 2 ) .

7 7 :

Habuba K . ( 1974 , P l .

1 7 , 1 01-103) , ( f ig .

4 ,/ 2 ) ; Ha ssek ( 1981 , f i g . 2 3 , 7 ) ; Warka

( Lenzen 1 959 , P l . 2 1 , f ;1 961 , P I . 2 4 , a -b ; 1 970 , 3 7/18 ; 1 972 , f i g . 5 9 , 3 4) ; S u sa ( 1957 , f i g . 1 2 , 5 -7 ; 1 971 , f i g . 5 2 , 5 ; 1 978 , f i g . 3 0 , 1 3 ) . 7 8 :

Habuba K . ( 1974 , P l . 1 7 , 1 00) ( f ig . 3 , 1 0 ) ; Wa rka ( 1932 : l ev . V I-V ) ; N ippu r ( 1965 , f i g . 1 7 ) ; A r s lan tepe ( probab ly i mpor ted , u npubl i shed ) .

7 9 :

T epec ik ( 1982 , P l . I X , 7[ 1 38 ]) ; Warka ( 1963 , P l . 3 7 1 ) .

8 0a :

Habuba K . ( 1974 , P l .

1 5 , 9 1 ; 1 6 , 9 3) ; Ha ssek ( 1984 , f i g . 1 4 , 5 ) ( f ig .

4 ,1 1) ; Wa rka 4 ) •

( 1958 , P l . 4 9d ; 5 0a ) ; N ippur ( 1965 , f i g . 2 6 ) ; S usa ( 1957 , f i g . 1, 4 2 ; 1 978 , f i g . 2 9 , 8 0b :

Habuba K . ( 1974 , P l . 1 6 , 9 2 , 9 4) ; T el lo ( 1934 , P l . V I 4 938 ) .

8 1 :

Habuba K . ( 1974 , P l . 1 6 , 9 5 ) ; T epec ik ( 1982 , P l . X I , 1 0) ; N ippur ( 1965 , f i g . 2 9 ) ; S u sa 1 7 ( 1978 , f i g . 2 9 , 5 ) .

8 2 :

Habuba K . ( 1974 , P l . 1 6 , 9 8 ) ; N ippur ( 1965 , f i g . 1 9 ) .

8 3 :

Habuba K . ( 1974 , P l . 1 5 , 8 8 ) ; Wa rka ( 1932 : l ev . V I ) ; S u sa Ca ( 1957 , f i g . 1, 4 0 ) .

8 4 :

Habuba K . ( 1974 , P l . 1 3 , 8 5 ) ( f ig . 3 , 1 1) ; Warka ( 1958 , P l . 4 8 d ) .

8 5a :

Habuba K . ( 1974 , P l . 1 4 , 8 3) ; Warka ( 1958 , P l . 4 8 a -b , e ; 1 970 , 3 9/119) .

8 5b :

Ha ssek ( 1984 , f i g . 1 5 , 2 ) .

8 6 :

Habuba K . ( 1974 , P l . 1 4 , 8 4) ; Wa rka ( 1932 , l ey . V I ) .

8 7 :

Habuba K . ( 1974 , P l . 1 2 , 7 8 ) ; Wa rka ( 1965 , P l . 2 6b ) .

8 8 :

Habuba K . ( 1974 , P l . 4 , 5 2) ; Ha ssek ( 1981 , f i g . 1 8 , 5 ) ; S u sa 1 7 ( 1971 , f i g . 5 0 , 6 ) .

8 9 :

Habuba K . ( 1974 , P l . 1 3 , 8 1) ; Ha ssek ( 1981 , f i g . 2 2 , 6 ) ( f ig . 5 , 7 ) .

9 0 :

Habuba K . ( 1974 , P l . 5 , 6 1) ; Warka ( 1972 , f i g . 5 2 , 1 2) .

9 1 :

A rs lan tepe ( i n p res s , f i g . 2 6 , 1 ) ( f ig . 5 , 1 1) ; Ha ssek ( 1981 , f i g . 1 8 , 9 ; 2 0 ,

9 2 :

A r s lan tepe ( i n p ress , f i g . 2 6 , 2 ) ; Has sek ( 1981 , f i g . 1 9 , 5 ) .

3 03

4 ) •

9 3 :

A r s lan tepe ( i n p ress , f i g . 2 6 , 4 ) ( f ig . 5 , 1 0) ; Ha ssek ( 1984 , f i g . 1 3 , 6 ) ; T epec ik ( 1982 , P l . I X , 6) •

9 4 :

A r s lan tepe ( i n p ress , f i g . 2 6 , 6 ) ( f ig . 5 , 1 2 ) ; Ha ssek ( 1984 , f i g . 1 4 , 7 -8 ) .

9 5 :

A r s lan tepe ( i n p ress , f i g . 2 6 , 5 ) ; Hassek ( 1984 , f i g . 1 5 , 4 ) •

9 6 :

Habuba K . ( 1974 , P l . 6 , 6 3) ; Ha ssek ( 1981 , f i g . 2 0 , 2 ) .

9 7 :

Habuba K . ( 1974 , P l . 1, 7 3 ) ; S u sa 1 7 ( 1971 , f i g . 5 3 , 6 ) .

9 8 :

Habuba K . ( 1974 , P l . 1 2 , 8 0 ) .

9 9 :

Habuba K . ( 1974 , P l . 1 2 , 7 7 ; 1 4 , 8 6 ) .

1 00 :

Habuba K . ( 1974 , P l . 1 9 , 1 61) .

1 01 :

Habuba K . ( 1974 , P l . 3 , 4 0 -42 ) ; Wa rka ( 1963 , P l . 3 8 m-o ) .

1 02 :

Habuba K . ( 1974 , P l . 1 9 , 1 50 ) ; JN ( 1931 , P l . LXV , 1 ) .

1 03 :

Habuba K . ( 1974 , P l . 4 , 5 0) .

1 04 :

A r s lan tepe ( i n p ress , f i g . 2 8 , 8 ) ( f ig . 5 , 5 ) .

1 05 :

Habuba K . ( 1974 , P l . 3 , 3 5 ) .

1 06 :

A r s lan tepe ( i n p res s , f i g . 3 4 , 7 ) ; T epec ik ( 1982 , P l . X I , 9 ) ( f ig . 6 , 5 ) .

1 07 :

A r s lan tepe ( i n p ress , f i g . 3 4 , 8 ) .

1 08 :

T epec ik ( 1982 a , P l . 7 4 , 1 1) ( f ig . 6 , 3 ) ; Hassek ( 1984 , f i g . 1 2 , 5 ) .

1 09 :

A r s lan tepe ( i n p ress , f i g . 3 4 , 1 -2 ) ( f ig . 6 ,1 ) ; T epec ik ( 1982 a ,P l . 7 3 , 5 -6 ; 7 4 , 1 0 , 1 2 -13) .

10 :

A r s lan tepe ( i n p ress , f i g . 3 4 , 3 ) .

11 :

A r s lan tepe ( i n p ress , f i g . 3 4 , 4 )

12 :

A r s lan tepe ( i n p ress , f i g . 3 4 , 6 ) .

13 :

A r s lan tepe ( i n p re ss , f i g . 3 6 , 4 ) ; T epec ik ( 1982 a , P l . 7 4 , 1 -2 ) .

14 :

A r s lan tepe ( i n p ress , f i g . 3 6 , 8 ) ; T epec ik ( 1982 a , P l . 7 4 , 4 ) •

15 :

A r s lan tepe ( i n p ress , f i g . 3 6 , 1 ) .

16 :

A r s lan tepe ( i n p ress , f i g . 3 7 , 1 ) ( f ig . 6 , 7 ) ; Ha ssek ( 1984 , f i g . 1 3 , 7 ) ; T epec ik ( 1982 a ,

( f i g . 6 ,4 ) •

P l . 7 3 , 9 -12) . 17 :

A r s lan tepe ( i n p ress , f i g . 3 7 , 2 -4) ( f ig . 6 , 6 ) ; Ha ssek ( 1981 , f i g . 1 6 , 7 ; 1 984 , f i g . 1 3 , 8 ) ; T epec ik ( 1982 a , P l . 7 5 , 4-5 ) .

18a :

A r s lan tepe ( i n p ress , f i g . 3 8 , 1 -2) .

18b :

Ha ssek ( 1981 , f i g . 1 5 , 9 ) .

18c :

T epec ik ( 1982 a ,P l . 7 5 , 3 ) .

19 :

A r s lan tepe ( i n p ress , f i g . 3 9 , 3 ) ( f ig . 6 , 9 ) ; T epec ik ( 1982 a , P l . 7 4 , 1 5 ) .

1 20 :

A r s lan tepe ( i n p ress , f i g . 3 9 , 1 ) ( f ig . 6 , 8 ) ; Ha ssek ( 1984 , f i g . 1 3 , 9 ) .

1 21 :

A r s lan tepe ( i n p ress , f i g . 3 8 , 3 ) .

A bbr ev ia t ion s Habuba Kab ira : 1 974 = S ürenhagen 1 974/75 . Ha ssek Hüyük : 1 981 = Hoh 1 981 ; 1 984 = Hoh 1 984 . T epec ik : 1 982 a = E s in 1 982a ;1 982 = E s in 1 982b . A r s lan tepe : i n p ress = F rang ipane a nd P a lm ier i ,

O r ig in i X I I , i n p re ss .

Warka : 1 932 = - Haler 1 932 ; 1 958 , 1 959 , 1 961 , 1 965 = L enzen 1 958 , 1 959 , 1 961 , 1 965 ; 1 963 = S tro mmenger 1 963 ; 1 970 = N i ssen 1 970 ; 1 972 = Ada m s a nd N issen 1 972 . N ippur : 1 965 = Hansen 1 965 . T el lo : 1 934 = d e G enou i l lac 1 934 . U r : 1 955 = Wool l ey 1 955 . J e mde t Na sr : JN 1 931 = Mackay 1 931 . S u sa : 1 957 = L e B re ton 1 957 ; 1 971 = L e B run 1 971 ; S t ve a nd Ga sche 1 971 ; 1 976 = Mirosced j i 1 976 ; 1 978 = L e B run 1 978 .

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