Social Organisation and Settlement, Parts I and II: Contributions from Anthropology, Archaeology and Geography 9781407358260, 9781407358277, 9780860540236, 9781407347677
This volume is part of a two volume set: ISBN 9781407358260 (Volume I); ISBN 9781407358277 (Volume II); ISBN 97808605402
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English Pages [564] Year 1978
Polecaj historie
Table of contents :
PART I
Cover Page
Copyright Page
Table of Contents
LIST OF CONTRIBUTORS
PREFACE AND ACKNOWLEDGEMENTS
INTRODUCTION
SOME PROBLEMS IN CROSS-DISCIPLINARY COMMUNICATION AS VIEWED FROM ARCHAEOLOGY AND GEOGRAPHY
PART I
SECTION I: FRONTIERS, BOUNDARIES AND GROUP INTERACTION
CRITICAL SELF-CONSCIOUSNESS AND BEYOND? SOME THEORETICAL PERSPECTIVES
FRONTIER STUDIES AND THE EARLIEST FARMERS IN EUROPE
THE ROLE OF A COMPETITION MODEL IN THE ARCHAEOLOGICAL EXPLANATION OF ECONOMIC CHANGE
THE MAINTENANCE OF GROUP IDENTITIES IN THE BARINGO DISTRICT, W. KENYA
THE LAW OF CULTURAL DOMINANCE AND THE COLONIAL EXPERIENCE
THE ANATOMY OF INNOVATION
ECOLOGICAL PERSPECTIVES ON SOCIAL BEHAVIOUR
MAXIMU M POPULATIONS AND STANDARD POPULATIONS: THE CARRYING CAPACITY QUESTION
RESOURCE EXPLOITATION AND THE SPATIAL PATTERNING OF HUNTER-GATHERERS: A CASE STUDY
GROUP TERRITORIES OR TERRITORIAL GROUPS? COMMENTS ON AN INTER-DISCIPLINARY PROBLEM IN CULTURAL ECOLOGY
THE CULTURAL ECOLOGY OF PRODUCTION: SHERBRO COAST AND HINTERLAND, SIERRA LEONE
ACROSS THE RUBICON
PART II
SECTION 3: THE ANALYSIS OF SETTLE MENT PATTERN AND FOR M
ISSUES IN THE ANALYSIS OF SETTLE MENT SPACE
FORMATIVE DEVELOPMENT IN THE NORTH AMERICAN SOUTHWEST
RURAL SETTLE MENT IN COUNTY DURHAM: FORMS, PATTERN AND SYSTE M
THE PEASANTRY IN ENGLAND BEFORE THE INDUSTRIAL REVOLUTION. A MYTHICAL MODEL?
Space syntax
DISCUSSION
DOES SPACE SYNTAX REALLY "CONSTITUTE THE SOCIAL"?
REPLY TO PROFESSOR LEACH
SECTION 4: THE CONCEPT OF EARLY STATE FORMATION
GENERALIZATION AND THE ARCHAEOLOGY OF THE STATE
STATE FORMATION AND THE ROLE OF TRADE IN MIDDLE SAXON ENGLAND
TERRITORY AND STATE FORMATION IN CENTRAL GAUL
FARMING SYSTE MS, SETTLE MENT AND STATE FORMATION: THE NIGERIAN EVIDENCE
ROUND THE MULBERRY BUSH
Citation preview
Social Organisation and Settlement: Contributions from Anthropology, Archaeology and Geography Part I Edited by
David Green, Colin Haselgrove and Matthew Spriggs
BAR International Series (Supplementary) 4 7 (I) 1978
British Archaeological Reports 122, Banbury Road, Oxford OX2 78P, England
GENERAL EDITORS A. R. Hands, B.Sc. , M.A. , D. Phil. D. R. Walker, M.A.
B .A. R. International Series (Supplementary) 47 (I), 1978: "Social Organisation and Settlement." Part I
© The Individual Authors, 1978.
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 9781407358260 (Volume I) paperback
ISBN 9781407358277 (Volume II) paperback
ISBN 9780860540236 (Volume set) paperback ISBN 9781407347677 (Volume set) e-format
DOI https://doi.org/10.30861/9780860540236
A catalogue record for this book is available from the British Library
This book is available to buy at www.barpublishing.com
CONTE NTS Page L ist o f Contr ibu tors Preface a nd Acknow ledge men ts
i i
I n troduct ion D . R . Green a nd
S o me p roble ms i n c ross-d iscip l inary c o m-
C . C . Haselgrove
mun icat ion a s v iewed f ro m a rchaeo logy v i i
a nd g eography Part I S ect ion 1 .
Fron t iers
S . Haselgrove
3
Boundar ies a nd Group I n teract ion Cr it ical s el f-consc iousness a nd b eyond :
5
s o me t heoret ica l p erspect ives J . A . A lexander
F ront ier s tud ies a nd t he e arl iest f ar mers i n 1 3
Europe A. Anderson
The r o le o f ac o mpet it ion model i n t he a rchaeo log ica l e xp lanat ion o f e cono m ic c hange
I . R . Hodder
The ma intenance o f g roup i den t it ies i n t he Bar ingo d istr ict , western K enya
4 7
The l aw o f c u l tural d om inance a nd t he c o lon ia l
L . N ewson
C . Ren frew S ect ion 2 .
3 1
e xper ience
7 5
The a nato my o f i nnova t ion
8 9
Eco log ical Perspect ives o n S oc ial Behav iour
R . F . E l len T . P . Bay l iss-S m ith
1 19
Eco log ical p erspect ives o n s oc ia l b ehav iour Max i mu m p opu lat ions a nd s tandard p opu lat ions: t he c arry ing c apac ity q uest ion
C . Ga mble
1 29
Resource e xp lo itat ion a nd t he s pat ia l p at terni ng o f h un ter-ga therers:
D . R . Harr is
1 21
ac ase s tudy
1 53
Group t err itor ies o r t err itor ial g roups ? Com ments o n a n i n ter-d iscipl inary p roble m i n c u l tural e co logy
C . P . MacCor mack
The c u ltural e co logy o f p roduct ion :
1 87 S herbro
c oast a nd h in terland , S ierra L eone
1 97
Across t he Rub icon
2 13
Co m men tary t o Part I M. D . I . Ch isho lm
Page P art 1 S ect ion 3 .
The Ana lys is o f S et t le men t Pa t tern a nd S oc ia l For m
R . F letcher
I ssues i n t he a na lys is o f s et t le men t s pace
J . G ledh il l
For ma t ive d eve lop men t i n t he N orth Amer ican
Rura l s et t le men t i n Coun ty Durha m :
f or ms,
p attern a nd s yste m A . Macfarlane
2 25
2 41
S ou th West B . K . Roberts
2 23
2 91
The p easan try i n Eng land b efore t he I ndustr ia l Revo lu t ion .
A my th ica l model?
3 23
B . H i l l ier , A . L ea man , P . S tansa l l a nd M. Bedford
S pace S yn tax
3 43
D iscuss ion E . R . L each
B . H i l l ier e t a l S ect ion 4 .
Does S pace S yn tax r ea l ly " const itu te t he s oc ia l"?
3 85
Rep ly t o Pro fessor L each
4 03
The Concep t o f Early S tate For mat ion
J . Cherry
Genera l izat ion a nd t he a rchaeo logy o f t he s tate
R . Hodges
S tate f or mat ion a nd t he r o le o f t rade i n Midd le
4 07 4 11
S axon Eng land
4 39
D . Nash
T err itory a nd s tate f or mat ion i n c en tra l Gaul
4 55
P . R ichards
Env ironmen t , s et t le men t a nd s tate f or ma t ion i n p re-co lon ia l N iger ia
4 83
Round t he Mu lberry Bush
5 19
Co m men tary t o Part I J . R . L ew is
L IST OF CONTR IBUTORS J . A . A lexander , Departmen t o f Archaeo logy , Un ivers ity o f Ca mbr idge. A . Anderson , Departmen t o f An thropo logy , Un ivers ity o f O tago. T . P . Bay l iss-S m ith , Departmen t o f Geography , Un ivers ity o f Ca mbr idge. M. Bedford , S choo l o f Env ironmen ta l S tud ies, Un ivers ity Co l lege , L ondon . J . Cherry , Depar t men t o f Archaeo logy , Un ivers ity o f S ou tha mpton . M . D . I . Ch isho lm , Departmen t o f Geography , Un ivers ity o f Ca mbr idge. R . F . E l len , Facu lty o f S oc ia l S c iences , U n ivers ity o f K en t . R . F letcher, Departmen t o f Anthropo logy , Un ivers ity o f S ydney. C . Ga mble, Departmen t o f Archaeo logy , Un ivers i ty o f S ou tha mpton . J . G ledh i l l , Departmen t o f An thropo logy , Un ivers ity Co l lege , L ondon . D . R . Green , Depart men t o f Geography , Un ivers ity o f Ca mbr idge. D . R . Harr is , Departmen t o f Geography , Un ivers ity Co l lege , L ondon . C . C . Haselgrove, Departmen t o f Archaeo logy , Un ivers ity o f Durha m. S . Hase lgrove , Van M ildert Co l lege , Durha m. B . H il l ier , S choo l o f Env ironmen ta l S tud ies, Un ivers ity Co l lege , L ondon . I . R . Hodder, Departmen t o f Archaeo logy , Un ivers ity o f Ca mbr idge. R . Hodges , Department o f P reh istory a nd Archaeo logy , Un ivers ity o f S hef f ield. E . R . L each , K ing 's Co l lege, Ca mbr idge. A . L ea man , S choo l o f Env iron men ta l S tud ies, Un ivers ity Co l lege , L ondon . J . R . L ew is , Departmen t o f Geography , Un ivers ity o f Durha m. C . P . MacCor mack , Departmen t o f S oc ia l An thropo logy , Un ivers ity o f Ca mbr idge. A . Macfarlane, Departmen t o f S oc ia l An thropo logy , Un ivers ity o f Ca mbr idge. D . N ash , Ash mo lean Museum , Ox ford . L . N ewson , Depart men t o f G eography , K ing 's Co l lege , L ondon . C . Ren frew , Depart men t o f Archaeo logy , Un ivers ity o f S ou tha mpton . P . R ichards , Departmen t o fG eography , S choo l o fA frican a nd O r ien ta l S tud ies, L ondon . B . K . Roberts, Depart men t o f Geography , Un ivers ity o f Durha m.
M. J . T . S pr iggs, Research S choo l o f Pac if ic S tud ies, Austra l ian N at iona l Un ivers ity . P . S tansa l l , S choo l o f Env ironmen ta l S tud ies , U n ivers ity Co l lege , L ondon .
1
PREFACE AND AC KNO WLEDGE MENTS
The o r ig ins o f t h is v o lume a re t ob e f ound i n t he s econd o f ac on t inu ing s er ies o f mu lt i-d isc ip l inary c onferences h eld i n Ca mbr idge. 1 The c on ference t ook p lace o n4 th-6th March , 1 977 , a t S t. J ohn 's Co l lege a nd a i med t o b ring t oge ther a rchaeo log ists, a n thropo log ists, g eographers a nd i n terested c on tr ibu tors f rom o ther f i elds f or t he d iscuss ion o f an umber o f t he mes, f our o f wh ich a re t aken u p i n t he c urren t v o lume. We s hou ld l ike t o t ake t h is o pportun ity o f r ecord ing o ur t hanks o n b eha l f o f a l l t he p art ic ipan ts t o a l l t hose w ho c on tr ibu ted t o t he s uccess o f t h is e nt erpr ise, f irst a nd f ore most t hose who p resen ted p apers a t t he c on ference. The ma jority o f t hese p apers h ave b een e xpanded i n t he l i ght o f t he d iscuss ion t ha t t ook p lace a nd a re p ub l ished h ere. J . C . Harr iss , C . J ard ine a nd A . S herra t t a l l p referred n ot t o t ransfer t he ir v iews i n to p r in t a t t h is j uncture. D . J . Gregory , D . R . Harr is , D . J . Mu lvaney , C . Ren frew a nd C . C . Tay lor k ind ly a cted a s S ess ion Cha ir men a nd p romo ted much v a luab le d iscuss ion . T he Master a nd Fel lows o f S t . J ohn 's Co l lege made a most g enerous g ran t t owards t he c ost o f t he c on ference ; w e s hou ld l ike t o t hank t he m f or t h is a nd f or a l low ing u s t he u se o f t he ir e xcel len tf ac il it ies.
Part icu lar g ra t itude i s
a lso d ue t o o ur s ponsors, P rofessor G . E . Dan iel , Mr. B . F ar mer a nd Pro fessor J . R . Goody , a nd t o me mbers o f t he c o l lege s taff .
Much o f t he
n ecessary h ard w ork o f o rgan is ing a nd e nsur ing t he smoo th r unn ing o f t he c on ference was s hared b y Barry Burnha m a nd Mark Horton , t ogether w ith L isa Donel , Mike Gor man , H elen J ohnson a nd G lenys Putna m. Many o thers , t oo n umerous t o n a me h ere , h elped i n o ne w ay o r a nother t o make t he o ccas ion b o th s uccessfu l a nd e n joyab le. I n t he p repara tion o f t h is v o lume w e h ave b ene f ited e nor mously f ro m t he a dv ice a nd a ss istance o f Co l in Ren frew , Chr is Tay lor , J im L ew is a nd Dave Winde l l. L isa Donel w as k ind e nough t o r edraw s ome o f t he maps f or p ubl i cat ion , wh ile An thony Hands a nd Dav id Wa lker o f Br it ish Archaeo log ica l Repor ts h ave b een a c onstan t s ource o f e ncourage men t. We w ou ld a lso l ike t o t hank a l l t hose w ho h ave p u tu p w ith u s d ur ing t he l ong p er iod o f e d it ing , p art icu larly S usanne Haselgrove who h as b orne t he b run t o f t he a n t i-soc ia l a ct iv it ies a ssoc ia ted w ith t h is t ask .
Mat thew S pr iggs a dds h is p ersona l
t hanks t o t he l ads a nd l ass ies o f Mi l l Road. The g round p lan o f Angkor Wat i s t aken f rom G . Coedes, Angkor : a n i n troduc t ion ( 1963 ) a nd i s r eproduced h ere b y k ind p er m iss ion o f t he O xford Un ivers ity P ress ( Ma lays ia ). Un t i l h is d eparture f or Austra l ia i n O ctober, Mat thew S pr iggs was f u l ly i nvo lved i n t he p reparat ion a nd e d it ing o f t h is v o lume. However, p roble ms o f t ime a nd d istance s ubsequen t ly p reven ted h im f rom p lay ing a s f u l l ar o le
1 11
i n t he w r it ing o f t he i n troduct ion a nd s ect ion p refaces a s h e wou ld h ave w ished , a l though h e w as s t il l a ble t o o ffer many v a luable s uggest ions.
T he t ask o f
a sse mb l ing t he f ina l v ers ion o f t he manuscr ip t f or p ub l ica t ion w as t herefore u ndertaken b y Dav id Green a nd Co l in Haselgrove.
U lt i mate r espons ib il ity f or
a ny e rrors o r s hortco m ings i n t he p ub l ished v o lume must r est w ith t he e d itors.
Dav id Green Co l in Hase lgrove J une 1 978
1 .
Ma t thew S pr iggs
The v o lume a r is ing o u t o f t he f i rst c on ference w as p ub l ished i n 1 977 a s M. S pr iggs ( ed.) , Archaeo logy a nd a n thropo logy : Ox ford :
B .A.R , I n ternat iona l S er ies , 1 9.
i v
a reas o f mutua l i n terest ,
I NTRODUCTION
V
SOME PROBLE MS I N CROSS-D ISCIPL INARY COMMUN ICAT ION AS V IE WED FROM ARCHAEOLOGY AND GEOGRAPHY Dav id G reen a nd Co l in Haselgrove l
" The p ower a nd ma jesty o f n ature i n a l l i t s a spects i s l ost o n h im who c on te mp la tes i t mere ly i n t he d e ta i l o f i t s p ar ts a nd n o t a s a w ho le"
( P l iny , H istor ia N atura l is, Book V I I , Chapter 1 ) .
N otw ithstand ing P l iny 's v iews o n t he i n tegrat ion o f k now ledge , i ti s p erhaps impor tan t f or u s t o s tress a t t he o utset t hat t h is a rt icle s hou ld n ot b e s een a s as yn thet ic i n troduct ion t o t he r est o f t he v o lume. There a re a n umber o f r easons f or t h is , t he most c ompel l ing o f wh ich i s u ndoubted ly t he s heer d ivers ity o f t he a pproaches t o h uman s oc ia l o rgan isat ion a nd s et t le men t a dop ted b y t he c on tr ibu tors t o t he v o lume i n w h ich , r igh t ly o r w rongly , w e b el ieve i t s s treng th l i es.
A t ab as ic l eve l , t he c on tr ibu tors a re , o f c ourse, u n ited i n t he ir b el ief
t ha t i n s eek ing t o f urther o ur k now ledge o f t he r ea l world a nd o ur u nderstand ing o f e vo lu t ionary p rocesses i nas much a s t he ir o pera t ion i n t he p as t c an b e i nf erred f ro m t he ir ma ter ia l r es idues o r w r it ten r ecords a s p reserved i n t he p resen t ( c f. B in ford , 1 975 ), t here i s much t o b e g a ined f rom a n i n terchange o f i deas, i n for mat ion , a nd e xper ience w ith s cho lars whose r esearch p roble ms h ave b een d ef ined w ith in t he c on f ines o f a nother d isc ip l inary t rad it ion .
More-
o ver , s evera l o f t he p apers s hare a c om m itmen t t o o ne o f an umber o f i nterd isc ip l inary s trateg ies f or a dvanc ing k now ledge, i nc lud ing ma ter ia l is m i n i t s v ar ious f or ms, s tructura l is m a nd ' syste ms t heory ' However, i ti s o ur o p in ion t hat t o g o f urther t han t h is a nd a t te mp t t o g ene ra l ise a bou t t he c on ten ts o f t he v o lume i nt er ms o f af ew c hosen t he mes wou ld s erve o n ly t o o bscure r a ther t han t o c lar ify many o f t he i nstances w here b o th t he l eve l o f e nqu iry a nd r esearch s trateg ies a dop ted b y i nd iv idua l c on tr ibutors a ppear t o b e mu tua l ly i ncompat ib le.
What we h ave d one , t herefore , i s t o
g roup t he p r i mary p apers p resen ted h ere i n f our s ect ions, e n t it led ' Fron t iers , Boundar ies a nd G roup I n teract ion ' , ' Eco log ica l Perspect ives o n S oc ia l B ehav iour ' , ' The Ana lys is o f S et t le men t Pa ttern a nd S oc ia l For m ' a nd ' The Concep t o f Early S ta te For mat ion ' r espect ively , w h ich w e b el ieve t o r epresen t s eparate a reas o f c onvergence w ith in c urren t a n thropo log ica l , a rchaeo log ica l a nd g eograph ica l r esearch .
A lthough i tw as o r ig ina l ly i n tended t hat e ach o f t hese s ect ions s hou ld
c on ta in a n i n troductory p aper wh ich s ought t o make s o me o f t he t he mes r a ised i n i nd iv idua l p apers more a ccess ible t o t he g enera l r eader, i n t he e ven t as ep arate i n troduct ion w as n o t i ncluded i n t he l ast s ect ion d ea l ing w ith e arly s tate f ormat ion a s i tw as f e lt t hat J ohn Cherry 's a rt icle e xp lored most o f t he a pprop r iate t he mes s o c o mprehe n s ive ly a s t o r ender a f urther c on tr ibu t ion s uperf luous.
Each s ect ion i s a lso a ccompan ied b y as hort e d itor ia l p reface w h ich
a tte mpts t o e va lua te t he g enera l c on text w ith in wh ich w e f eel t he t op ic h as b ec o me a f ocus f or r esearch i nt he d isc ip l ines r epresen ted t here. v i i
Wh i le i ti s t herefore t o b e h oped t hat a t o ne l evel t he h o mogene ity imp l ied b y g roup ing t he p apers t ogether i n t h is manner i s a dequa te ly r ef lected i n t he ir c on t en ts, i t must b e r e me mbered t ha t t he e x istence o f d iscrete d isc ip l inary p erspect ives i s o f ten s u f f ic ien t t o e n sure t ha t s im i lar p rob le ms w il l b e a pproac hed i n s uch a manner a s t o r ender c om mun ica t ion d i f f icu l t a nd c ooperat ion i mposs ib le. A t t he o ther e x tre me , i ti s e qua l ly t rue t hat s ome o f t he i ssues r a ised i n i nd iv idua l p apers t ranscend s uch a rb itrary b oundar ies a s imp l ied b y t he s ect ion ing o f t he v o lume. I nt he ir c ommen tar ies , Ch isho lm a nd L ew is a t tempt t o i den t ify s ome o f t hese c ross-curren ts f or P arts Ia nd I r espect ive ly a s w el l a s d ef in ing t he ir own p os it ion w ith r espect t o s ome o f t hese i ssues ( s ee , f or e xamp le , C h isho lm 's n ega t ive r eact ion t o t he v a lue o f C a tastrophe T heory ), w h i le L each p refers t o a t tack w hat h e s ees a s t he s hor tco m ings o f as ing le p aper, t hat o f H i l l ier e t a l., o n a ccoun t o f t he v ery g enera l imp l icat i ons o f t he ir a t te mpt t o v iew s pat ia l o rgan isa t ion a s a me mber o f af am ily o f morph ic l anguages u sed t o c onst itu te t he s oc ia l . A f urther p o in t w e s hou ld l i ke t o make c oncern ing t he c on ten t o f t h is i n trod uctory a rt ic le r e lates t o o ur own v iew o f t he b enef its w h ich a ccrue f rom b r ing ing t ogether a s er ies o f s tud ies r ela t ing t o o ver lapp ing a spects o f t he r ea l w orld .
I n v iew o f t he i ncreas ing ly r educ t ion ist emphas is o f much r esearch
b e ing u ndertaken w ith in t he s oc ia l s c iences , t o s ay n o th ing o f t he e xp los ive u ps urge i n t he p ub l icat ion o f j ourna ls a nd b ooks d evo ted t o e ver more s pec ia l ist t op ics s ince 1 960 w h ich h as made i td i f f icu lt t o f o l low d eve lopmen ts w ith in o ne 's own d isc ip l ine l e t a lone o u ts ide i t , t he n eed f or mu l t i-d isc ip l inary v o lumes i s g enera l ly a cknow ledged .
However , w e w ou ld c on tend t hat t he r o le o f s uch
p ub l ica t ions must b e a s much t o p rov ide a f orum w i th in w h ich k ey a reas o f d isagreemen t a nd d ivergence b etween s pec ia l ist s c an b e p erce ived a nd t horough ly d eba ted , a s t o i dent ify me thodo log ica l c onvergence a nd c ommon a i ms whose a t ta inmen t c an b e f ac il itated b y mu tua l c ooperat ion .
I ti s u n fortunate t ha t w ith
o ne o r t wo e xcept ions ( e .g. Ren frew , 1 972a ; Row lands a nd F r iedman , 1 978 ) s uch v o lumes s ee m c oncerned t o a vo id t he f or mer t ask a l toge ther, w ith t he r esu lt t hat a ny c la i ms t o h ave f u l f il led t he l a t ter c anno tb u t a ppear a s r a ther h o l low . Too o f ten , t he p roduc t i s ac o l lect ion o f p apers marred b y t he ir u nc r it ica l a dopt ion o f as ing le p erspect ive t o t he e xc lus ion o f a l l o thers, o r a v o lume t he i n troduct ion o f w h ich s eeks t o c oncea l t he h e terogen e ity o f i t s c ont en ts. I n p ass ing , i tm igh t b e n oted t hat p art o f t he b la me f or t h is u n fortunate s i tuat ion must b e l a id a t t he d oor o f a cadem ic p ub l ishers— it i s o f ten f orgo t ten t ha t t he a im o f most p ub l ishers i s t o make a p ro f it i n s el l ing b ooks r a ther t han t o f urther r esearch. As a r esu lt t hey a re u nders tandab ly i nc l ined t o f avour u n itary p roduc ts f or w h ich t hey c an i den t i fy a ne x ist ing marke t o ver t hose wh ich a t te mpt t o " ...generate f ree a ssoc iat ions o f as ymbo l ic , metaphor ica l k ind ...." ( Leach , 1 977 :170 ) i n t he h ope o f i n sp ir ing p ract it ion ers i n a no ther d isc ip l ine. However , w e w ou ld a lso a rgue t hat b efore k ey a reas o f c onvergence a nd d ivergence b e tween s pec ia l ists c an b e f u l ly r ecogn ised a nd d eba ted , a no ther more b as ic o bstac le must f i rst b e o vercome. T h is i s wha t w e s ha l l c a l l , f or w an t o f ab et ter t er m , t he c ommun ica t ion b arr ier wh ich s ee ms t o a r ise w henever p ract it ioners i n o ne d isc ip l ine s uggest t hey h ave s ometh ing i n c ommon w ith t hose i n a no ther f i e ld , a nd b eh ind w h ich many s pec ia l ists a re p rone t o r e trea t w ithou t f urther a do , o f ten i n t he s incere b e l ief t ha t t hey a re f u l ly j ust i f ied i n t h e ir a ct ion .
I ti so ur o p in ion t ha t t h is b arr ier i s i nheren t i n t he v i i i
s tructure o f d isc ip l inary-based r esearch w h ich c haracter ises Western l earn ing , d esp ite t he c om m itmen t o f s evera l d isc ip l ines t o a na lys ing a nd e xp la in ing a pp aren t ly s im i lar a spects o f h uman b ehav iour , b u t t hat i t s e f fects c an b e amel io ra ted i f more a t tent ion i s p a id t o t he r easons f or i t s e x istence. Un t il t hen , t he p roduct ive e xchange o fi deas, i n for mat ion a nd e xper ience b etween d isc ip l ines w il l a lways b e h indered a nd o f ten e x tre mely d if f icu l t. The r e ma inder o f t h is a rt icle i s , t herefore, o f fered a s ac on tr ibu t ion t owards t he e xp l ic it r ecogn it ion o f t he p roble ms wh ich c onst itu te t h is c om mun icat ion b arr ier, p art icu larly a s t hey h ave h a mpered r ecen t a t te mpts b y a rchaeo log ists t o i n it iate a d ia logue w ith g eographers i n t he f i eld o f s pat ia l s tud ies. Wh i le o ur i m med ia te c oncern i s , t herefore , w ith i den t ify ing p ercep tua l a nd c ogn it ive o bstacles t o p rogress i n c ross-d isc ip l inary r esearch , i ti s a lso o ur h ope t hat t h is a rt ic le w il l p rov ide ac on text w ith in w h ich t he c on tr ibu t ion o f fered b y t he p r i mary p apers c on ta ined i n t he v o lu me c an b e impar t ia l ly e va luated. Thus f ar , i th as b een a ssumed t hat t he b oundar ies o f ad isc ip l ine c an b e d el ineated w ithout u ndue d i f f icu lty a nd t hat i t s c onst ituen tp arts merge t ogether t o f orm a c oheren t w ho le.
A lthough t h is o f ten a ppears t o b e t he c ase when a
d isc ip l ine i s v iewed e x terna l ly , i ti s f ar f rom t he t ru th w hen c ons idered f rom w ith in .
N ot s urpr is ing ly , a s o ne o f u s h as a lready a rgued e lsewhere ( Hasel-
g rove, 1 977 ), t he t ouch ing b u t t ota l ly u n just if ied b el ief i n t he c oherence o f o ther d isc ip l ines g enera l ly d isp layed b y t he p ract it ioners o f ap art icu lar s oc ia l s c ience d isc ip l ine h a mpers p roduct ive r elat ions b etween t he m f rom t he o u ts et , a nd o ften l eads t o o ne d isc ip l ine s eek ing t o f orce a n u nacceptab le r e lat ions h ip u pon t he o ther.
I ti s b ecom ing i ncreas ing ly o bv ious t hat d isc ip l ines h ave
p ub l ic images a nd p r iva te l i ves a nd t hat t he t wo a re n o t o n ly r arely t he s a me , b u t f requen t ly c on trad ictory .
However, b efore embark ing u pon a c ons iderat ion
o f t h is p ropos it ion o f t he f a lse-coherence o f d isc ip l ines a t a n a bstract l evel , i ti s n ecessary t o e xa m ine t he c hang ing c on ten t o f b o th g eography a nd a rchaeo logy i n t he p er iod f rom 1 960 i n s ome d e ta i l.
I t must b e r e me mbered t hat
e ach i nd iv idua l h as h is own men ta l map ( Gou ld a nd Wh ite , 1 974 ) o f t he d iscip l ine wh ich c la i ms h is u l t i mate a l leg iance , i n w h ich c erta in a i ms, methodo log ica l i ssues a nd e xp lana tory p rob le ms a re p erce ived a s b e ing o f c ent ra l impor tance t o t he d etr i men t a nd v ir tua l e xclus ion o f many o thers.
The c o m-
p lex i n ter-relat ionsh ips b e tween s ub ject ive e xper ience , o r t hough t p rocesses, a nd t he s tate men ts b y means o f w h ich w e c o mmun icate w ith o ne a no ther h ave r ecen t ly b een d iscussed b y Popper ( 1976 ) a nd h ere w e n eed o n ly n o te t he imp l icat ion t hat t here a re a s many w ays o f a t te mpt ing t o s ummar ize r ecen t work i n ad isc ip l ine a s t here a re p eop le p repared t o t ranslate t he ir i deas i n to s tate men ts. Geography a nd Archaeo logy s ince 1 960 For many o u ts ide t he d isc ip l ine , t he image o f g eography a s ag enera l s pat ia l s c ience c on t inues t o b e i nvested w ith a d egree o f r ea l ity f ar i n e xcess o f i t s p resen t s tature.
Wh i le i ti s t rue t hat much o f t he w ork u ndertaken i n t he
1 960s, p art icu larly i n N orth Amer ica , c an b e c haracter ised a s s pat ia l a na lys is o f ah igh ly t echn ica l , b u t n evertheless d escr ipt ive n ature, t he 1 970s , a l though i n s o me r espects a p er iod o f c onso l idat ion a nd r ef lect ion ( Cook a nd Robson , 1 976 ), a re more n o tab le f or h av ing w itnessed t he f urther d eve lopmen t o f q uan t itat ive t echn iques a nd a q uest f or n ew p h ilosoph ies. i x
I n t he f ac e o f
c r it ic is m o f i t s f or ma l ist p erspect ive a nd p at tern f i tt ing a pproach ( e.g. O lsson , 1 968 ), s pat ia l a na lys is h as emerged i n t he p resent d ecade i n a n a ltered a nd much l ess i nf luen t ia l f or m , a lthough f ew g eographers wou ld d isagree e n t irely w ith Ch isho lm ' so p in ion ( 1975 :65 ) t hat t he e xp lora t ion o f t he o pportun it ies a fforded b y p o in t p at tern a nd l at t ice t echn iques o f a na lys is s t il l r epresen ts o ne o f t he ma jor r esearch e fforts i n g eography . The 1 960s h ave b een h a iled b y Gou ld ( 1969 :3 ) a s " ...one o f t he g reatest p er iods o f i n tel lectua l f er men t i n t he who le h istory o f g eography ...invo lv ing i n v irtua l ly e very i nstance t he s ubst itut ion o f q uan t itat ive a pproaches t o p robl e ms f or merly t reated i n d escr ipt ive, v erba l w ays" .
The w idespread b orrow-
i ng o f mode ls a nd c oncep ts f ro m t he p hys ica l s c iences r epresen ted b o th a r eact ion a ga inst t he i deograph ic a pproach w h ich c haracter ised work i n t he p rev ious d ecade a nd a n a tte mpt t o e stab l ish g eography a s as c ience f or o nce a nd f or a l l , a l though i n a ctua l f act t here w as l i t t le t o c hoose b etween many o f t he d eter m in ist ic models t ha t w ere u sed a nd t he s earch f or u n iversa l
l aws
wh ich a cco mpan ied t he e nv ironmen ta l d eter m in is m o f t he i n ter-war y ears. The q uest f or e xactness f ound e xpress ion i n e very b ranch o f s pa t ia l a na lys is, a nd n o t j ust i n i t s q uan t itat ive a spects, r esu l t ing i n t he a ppearance o f s uch s em ina l works a s Bunge 's Theoret ical Geography ( 1962 ) —arguab ly s o meth ing o f am isno mer — in w h ich g eography w as t reated a s s ynonymous w ith a pp l ied g eo me try , a nd Hagge tt 's L ocat iona l Ana lys is i n Human Geography ( 1965 ). By t he m id-1960s t hen , t he q uan t itat ive r evo lu t ion was a lready o ver i n t he s ense t hat t he methods a ssoc iated w ith q uan t if icat ion h ad b een i ncorporated i n t he o vera l l g eograph ica l a pproach , wh ile s pat ia l a na lys is h ad r eached a do lesc ence i fn ot matur ity ( Burton , 1 963; b efore r eact ion s et i n .
O lsson , 1 974 ) , a nd i tw as n ot t o b e l ong
As O lsson v iewed t he s i tuat ion f ro m w i thin o ne o f t he
s trongho lds o f t he N ew G eography a t M ich igan : " ...an i nord inate amoun t o f t he s o-ca l led p h ilosoph ica l d iscuss ion h as b een w asted o n s ter ile n avel c on te mp lat ion , wh i le s uch i n teresti ng a nd b as ic p roble ms a s v er if icat ion , e xp lanat ion a nd model b u ild ing h ave b een t reated most g rudg ing ly .
G iven t h is methodo log ica l
b ias i ti s e asy t o u nderstand why s o many g eographers v iew t he ir d isc ip l ine i n t er ms o f a pp l ied g eo metry .
I n d o ing s o t hey h ave s pa-
t ia l ised t he u n iverse a nd i gnored f luency ...A g row ing n u mber o f g eographers a re r each ing t he c onc lus ion t ha t t here i s s o meth ing w rong e ither w ith t he a x io ms o f c urren t f or mu lat ion o r w ith t he metap hys ica l s tress o n s pa t ia l v ar iat ion o f ten a t t he e xpense o f t he n eg lect o f o ther i n tu it ively more impor tant f actors."
( O lsson , 1 968:254 ).
What t hen w ere t he f actors wh ich h ad b rough t a bou t t hese f eel ings o f d oub t? I n t he f i rst p lace , s pat ia l a na lys is h ad c ons isten t ly f a iled t o o verco me o r e ven a t tack t he p rob le m o f i nferr ing p rocess f ro m f or m.
I n p art icu lar, many
o f t he p re m ises d er ived f ro m l arge-sca le d ata w ere f ound n o t t o h o ld f or sma l l-sca le b ehav iour —for i nstance , c orrela t ion c oef f ic ien ts o f s pat ia l p at terns v ary a ccord ing t o t he s ize o f t he q uadran ts u sed f or t he ir a na lys is ( Rob inson e t a l., 1 961;
Tho mas a nd Anderson , 1 965; S ee a lso Hagget t , 1 970 ).
S im i-
l arly , Harvey ( 1968 ) d e monstra ted t hat t he s a me s pat ia l f or m c an b e d er ived f rom v ery d if feren t p rocesses t hereby mak ing f a ls if ica t ion a nd v er if icat ion
i mposs ib le. T hus i n many c ases a nd d esp ite t he s ta t ist ica l s oph ist icat ion o f much s pa t ia l a na lys is , i th as p roved d i f f icu l t i fn o t i mposs ib le t o d e l inea te s pat ia l p at terns , a nd i n a ny c ase , e ven i fp at tern c ou ld b e a ccura te ly d escr ibed t here a re c ons iderab le p rob lems i n i rrefu tab ly l i nk ing p rocess a nd f or m i n a ny o ne-to-one c ausa l r elat ion sh ip.
Much o f t he w ork w h ich f o l lows o n f ro m t hese
d iscover ies h as b een d irec ted t owards t he r ef ine men t o f q uan t itat ive t echn iques emp loyed i n s pa t ia l a na lys is , n o tab ly t he i ncorpora t ion o f as tochast ic e le men t i n e xp lanatory s yste ms ( Curry , 1 964 ) , a nd t he c on fron tat ion o f t he p rob le ms p osed b y s pa t ia l a nd t e mpora l a u tocorrelat ion ( e .g. C l if f a nd O rd , 1 973 ). As ar esu l t t here h as b een a c erta in amoun t o f c on t inu ity b etween t he 1 970s a nd t he p rev ious d ecade , b u t i np ract ice t here i s a much g rea ter g ap b etween t he f i rst a nd s econd g enerat ion s o f q uan t if iers t han t here w as b e tween t he f i rst g en erat ion a nd t he ir i mmed iate p redecessors ( Cook a nd Robson , 1 976 ). S econd ly , an umber o fg eographers h ave f e l t t he n eed t ob reak away f rom d eter m in ist ic modes o f a na lys is b y r educ ing t he d egree o f emphas is p laced o n t he g eometr ic o u tcomes o f t he s pat ia l ' game ' a nd i nstead f ocus ing o n t he s truct ures o f t hough t a nd a ct ion w h ich g overn t he b ehav iour o f t he i nd iv idua l a ctor i n t h is g ame. I n t he ir o p in ion , s pat ia l a na lys is h as b ecome a p r isoner o f i t s mode o f r eason ing f ounded i n Cartes ian l og ic , i n w h ich t he amb igu ity o f h uman a ct ions w as n ega ted i nf avour o ft he c erta in ty o f s pat ia l f or m ( O lsson , 1 974 ) . T he n ew f ocus o f r esearch u shered i n ap hase i n w h ich much w as made o f t he n eed t o a dop t ab ehav ioura l a pproach t o s pat ia l f or m— man w as a bou t t o b e r ea dm it ted t o t he s pa t ia l u n iverse o r s o i ts eemed . However , i n p ract ice t he b ehav ioura l a pproach h as f a l len v ict im t o e xact ly t he s a me i n feren t ia l p roble m t ha t t he s pa t ia l a na lysts h ad f a i led t o o vercome s ince n o t ransfor mat ion w as f or mu la ted t o med iate b e tween t he b ehav ioura l v iewpo in t o f t he a c tor a nd t he e nsu ing s pa t ia l f or m. Thus w h ile t he a pproach i n jected b o th a n e xp l ic it r ec ogn it ion o f t he e f fects o fb ehav ioura l c onstra in ts i n g eograph ica l mode ls ( e .g. P red , 1 967;
Wo lpert , 1 965 ) a nd a n emphas is o n e nv ironmen ta l p ercep t ion a s
i ta f fects h uman l oca t iona l d ec is ion mak ing ( e .g. B rown a nd Moore , 1 970 ; Burton a nd K a tes , 1 964; G ou ld a nd Wh ite , 1 974 ) i n to g eograph ica l r esearch , i n n e i ther c ase h as a na lys is a dvanced b eyond emphas is ing t he s urface f ea tures o f h uman b ehav iour i n r ela t ion t o t he ir p hys ica l man ifesta t ions i n t he l andscape ( Massey , 1 975 ). Moreover, a l though b ehav ioura l g eography r epresen ted a move away f rom c er ta in ty t owards l ess ' s c ien t i f ic ' methods, i tw as n ever t he l ess c onst ra ined w ith in a n emp ir ic ist f ramework w h ich s tressed b ehav iour a s t he o u tcome o f t he s tructured c on tex t w ith in w h ich i to ccurred ( e .g. Downs , 1 970 ). A s ar esu l t i th as r eached a t heoret ica l i mpasse , w h ich i nt urn c onst itu tes a s er ious d i le mma f or t he d isc ip l ine. T he b ehav ioura l a pproach s ough t t o r e in tegrate man a nd t he l andscape i n to a s ing le c oncep tua l w ho le f o l low ing t he w edge wh ich s pa t ia l a na lys is h ad d r iven b e tween t hem , y e t t he s pa t ia l f or m w as s t il l b y a nd l arge t rea ted a s a n teceden t t o t he s oc ia l p rocess w h ich h ad l ed t o i t . Man w as , i n e f fect , a ppended a s as ubord ina te c onst ituen t o f t he l andscape , a nd s oc ia l b ehav iour w as s een a s t ot a l ly embedded i n s pat ia l f or m. The d i le m ma t ha t g eography n ow f aces i s t ha t w h i le e xp l ic it ly r ecogn is ing t he p r ior ity o f t he s oc ia l p rocess i ng enera t ing s pa t ia l f or m , i th as h ad l i tt le i n terest i n t h is p rocess a nd l acks t he i nd igenous s oc ia l t heory w ith w h ich t o s et a bou te xami n ing t he r elat ion sh ip b e tween h uman b ehav iour a nd t he s pat ia l u n iverse w ith x i
w h ich i ti n teracts.
The d isc ip l ine h as f ound i t sel f i n much t he s a me p os it ion
a s a n o vergrown s choo lch ild , h av ing w el l-t r ied p hys ica l t oo ls a nd t echn iques b u t ac o mpara t ive ly u nderdeveloped e xp lanatory f ramework . As a r esu l t o f t h is d i le m ma , g eography i s p erhaps g o ing t hrough t he most i ncoheren tp er iod i n i t s h istory . Any h opes o f d isc ip l inary c ohes ion b ased a round a c o mmon t heoret ica l c ore , f ounded o n t he p ossess ion o f c o mmon s pat ia l t echn iques ( Ab ler , Ada ms a nd Gou ld , 1 971) o r f or t hat mat ter o n ' syste ms t heory ' ( Acker man , 1 963; L ang ton , 1 972 ) h as f a iled t o ma ter ia l ise a nd g eog raphers s ee m u n ited o n ly i n ac o m mon , o f ten f ran t ic , s earch f or a s oc ia l t heory o f s pa t ia l f or m ( e .g. B il l inge, 1 977 ; C lava l , 1 975 ; Cook a nd Robson , 1 976 ; Gregory , 1 967a ; Harvey , 1 973; N ewson , 1 976 ; L ey , 1 977; Relph , 1 970 ). Wh ilst t h is m igh t b e t aken i n s ome q uarters a s as ign o f h ea l th , t here c an b e n o r ea l d oubt t hat t h is e xcursus i n to s oc ia l t heory r ef lects t he t heoret i ca l p overty o f much c on te mporary g eography . Three s uch a pproaches m ight b e s ing led o u t a s b e ing o f p art icu lar i n f luence a nd p rom ise— Marx is m , s tructura l is m a nd p henomeno logy r espect ively—a l l o f w h ich r ef lect , t hough b y n o means e xclus ive ly , t he i ncreased a t ten t ion b e ing p a id b y g eographers t o t he l i terature o f s uch d isc ip l ines a s h istory , e cono m ics, a n thropo logy a nd p h i losophy. T he Marx ist e le men t i n c on te mporary g eography h as a r isen p art ly i n c on junct ion w ith i t s i mpact o n o ther s oc ia l s c ience d isc ip l ines s uch a s a n thropo logy a nd p art ly a s as pec if ic i npu t i n i t s own r igh t. M icro-econom ics a s i th as d eveloped w ith in t he n eo-class ica l p arad igm h as p roved u nsu itable f or t he a na lys is o f t he t ota l e cono m ic s yste m , w ith t he r es u l t t hat s evera l g eographers ( e .g. Boddy , 1 977; Brook f ield , 1 975; Harvey , 1 973 ) h ave a rgued t hat Marx is m , w ith i t s c oncen trat ion o n t he s tructure o f t he e cono my a nd t he r o le o f s oc ial r e lat ions o f p roduc t ion , p rov ides a p oss ible a nd p rom ising a l terna t ive.
Th is, i n p ar t , a lso r ef lects t he i ncreas ing t endency f or
g eographers t o f ocus o n man- man r elat ionsh ips made man ifest i n s pace r a ther t han t he man-land i n ter-rela t ionsh ip w h ich w as t he p r i mary c oncern o f much e arl ier w ork ( Gregory , 1 976b ).
I ndeed , o f t he t hree p h ilosoph ies men t ioned
a bove , Marx is m h as p erhaps h ad t he most w idespread i n f luence i n a l l b ranches o f h uman g eography t o j udge f ro m a b lossom ing i n t he l i terature ( e .g. L each , 1 974; P eet , 1 978; S la ter , 1 975 ) , wh ich i nc ludes t he p ub l icat ion f ro m 1 969 o f An t ipode , aj ourna l d evo ted t o r ad ica l g eography . S tructura l is m h as a lso b ecome a n i ncreas ing ly impor tant mode o f a na lys is i n r ecen t y ears , a lthough i t s impact o n g eograph ica l r esearch h as p erhaps b een r educed b y a t tendan tp roble ms o f i n terpreta t ion ( Harvey , 1 973;
O lsson , 1 974 ).
Rela ted t o t he r ise o f s tructura l is m i n s tress ing t he i n ter-relat ionsh ip b etween s pa t ia l a ppearance ( spat ia l f or m ) a nd r ea l ity ( soc ial o rgan isat ion ) i s p henome no logy , w h ich , o f c ourse h as i t s o r ig ins i n ar eact ion t o t he a pp l icat ion o f t he methods o f t he n a tura l s c iences i n t he f i eld o f t he h uman s c iences.
I t s
f unda men ta l r at iona le w as p erhaps b est e luc idated b y Husserl : " Ob ject iv ist s c ience h o lds w hat i tc a l ls t he o b ject ive world t o b e t he t ota l ity o f w hat i s w ithou t p ay ing a t ten t ion t o t he f act t ha t n o o b jec t ive s c ience c an d o j ust ice t o t he s ub ject iv ity t hat a ch ieves s c ience." ( 1965 :185 ).
x i i
W ith in g eography , t he u se o f p heno meno log ica l c oncepts h as a l ong a ncestry , s tretch ing b ack a t l east a s f ar a s S auer ' ss em ina l p aper o n " The morpho logy o f l andscape" ( 1925 ) a nd h as r ece ived f ur ther i n f luen t ia l c ontr ibu t ions f ro m P r ince ( 1971) a nd Mercer a nd Powel l ( 1972 ) among o thers e n r oute t o t he p resen t . Wh ile t he c oncer ted a t tack o n p os it iv ist methodo logy t ha t i s c urren t ly t ak ing p lace i n g eography c an b e p ara l leled i n o ther s oc ia l s c iences, n otably i nh istory a nd a n thropo logy , i t s impact i s p robably y et t o b e f e l t o u tside t he d isc ip l ine. I ndeed n owhere i s t he f a ilure o f t h is i n tel lectua l f er men t t o d iff use b eyond t he b oundar ies o f t he s ub ject more
marked f rom a g eographer ' s
p o in t o f v iew t han i n t he c urren t e n thus ias m f or s pa t ia l a na lys is among a rcha eo log ists ( e .g. C larke , 1 977 ), d raw ing a s i td oes o n a n u neasy ama lga m o f t he q uan t itat ive methodo logy o f t he 1 960s N ew G eography a nd e arl ier , s ub jecti ve a pproaches.
Thus much s pat ia l a na lys is i n a rchaeo logy i s c losely r elated
t o l ocat ion .a l a na lys is i nh uman g eography b u t t he f i rst a ppearance o f s em ina l s yn thet ic works i n t h is t rad it ion i n t he t wo d isc ip l ines ( e .g. Haggett , 1 965; Hodder a nd O rton , 1 976 ) i s s eparated b y ag ap o f o ver t en y ears a nd t h is d esp ite v ery e arly a pprec iat ion o f t he s ign if icance o f Haggett 's w ork ( Ren frew , 1 969 ).
Wh ile t here i s n o th ing i nheren t ly w rong i n t h is s i tuat ion , i ti s c learly
o f s o me i nterest i n t he l i ght o f t he p reced ing d iscuss ion .
However, a d eta iled
e xa m inat ion o f t he r easons f or t h is s tate o f a f fa irs must b e p ostponed u n t i l t he c hang ing n a ture o f a rchaeo logy i n t he p er iod s ince 1 960 h as b een s urveyed i n t urn . Archaeo logy h as a lways b een a n e c lect ic f i e ld , e ncompass ing v ar ied a pp roaches a nd s ub ject mat ter , a nd c apab le o f d ef in it ion i n many d if feren t ways, most o f t he m v iab le ( Redman , 1 973 ).
I ft here i s as ing le u n ify ing c r iter ion
w ith in t he d isc ip l ine , i ti s t hat a rchaeo logy i s e xp l ic i t ly c oncerned w ith t he h uman p ast a longs ide h istory i n i t s b roadest s ense a nd t he h istor ica l o r e vo lut i onary b ranches o f o ther h u man a nd b io log ica l s c iences wh ich a re p r i mar ily c oncerned w ith t he p resen t.
I ti s , t herefore, o f more t han p ass ing i n terest
t ha t i nt he l ast t wen ty y ears , more a nd more a rchaeo log ists s ee m t o h ave t urned t o ac ons iderat ion o f t he d evelop men t o f t he ir own t hough t , a nd t hat o f t he d isc ip l ine a s a who le.
Wh ile t h is i s p art ly a r ef lect ion o f t he f act t hat
a rchaeo logy h as n ow a cqu ired a r espectable p ast o f i t s own , wh ich h as b een made a ccess ible t o u s i n t he p ioneer ing work o f Dan iel ( e .g. 1 943; 1 950 ) among o thers, i ti s p erhaps worth l ook ing i n to t h is ma t ter i n g reater d eta il t o e stabl i sh w hether , a nd i fs o t o w ha t e xten t , i ti s s ymptomat ic o f t he p resen t s tate o f t he d isc ip l ine. To w hat e xten t t hen i s ah istor ic ist e le men t o r p erspect ive e v iden t i n t he l i terature o f t he l ast t wen ty y ears?
As f ar a s i nd iv idua l a u thors a ssess ing
t he s ign if icance o f t he ir own c on tr ibu t ion t o a rchaeo logy a nd t he ir r easons f or h av ing c hosen t o p ursue a p art icu lar l ine o f s tud ies , t he most n otab le p ubl i ca t ions must b e t hose o f Ch i lde ( 1958a ; L ou is L eakey ( 1976 ).
1 958b ) , B in ford ( 1972 ) a nd p oss ib ly
A l though i n as ense t hese may b e s een a s c on t inu ing a
l ine o f a u tob iograph ica l w orks w h ich i nc ludes t hose o f Craw ford ( 1955 ), Thompson ( 1963 ) , Wheeler ( 1955 ) a nd Woo l ley ( 1953 ) a nd s tretches b ack a t l east a s f ar a s P etr ie ( 1932 ) , t hey a lso d i ffer i nb e ing a i med p r i mar ily a t t he a rchaeo log ica l c om mun ity , r ather t han a t t he g enera l p ub l ic.
Wh ile t here
c an b e n o d oub t t hat b o th Ch ilde a nd B in ford o ccupy a n e spec ia l ly p ro m inen t p lace i n t he d evelopmen t o f a rchaeo logy ( w itnessed b y t he f requency w ith w h ich t he work o fb o th a uthors i s c i ted i nb ib l iograph ies ) a nd much t he s a me i s t rue r egard ing t he r o le p layed b y L eakey i n t he d evelop men t o f e ar ly h om in id s tud ies, t he q uest ion w e must a sk i s whether a n h istor ica l a pprec iat ion o f t he ir work i s n ecessary a t a l l. The work o f Ch ilde, f or i nstance, i s c urren t ly t he s ub ject o f r esearch d issertat ions i n t wo Br it ish u n ivers it ies a nd a f orthcom ing b ook b y T r igger , h as b een s cru t in ised f or t he i n f luence o f e thnography o n h is t hough t ( Gatherco le , 1 971) a nd h as b een c i ted a s a n t ic ipat ing much c urren t w ork i n a rchaeo logy , i nclud ing t he g row ing i n terest i n Marx ist t heory ( Spr iggs , 1 977a ). On t he o ther h and , i n t he s a me a u tob iograph ica l t ex ts ( Ch ilde , 1 958a ; 1 958b ) men t ioned a bove , C lark ( 1976 ) c la i ms t o f ind a n a dm iss ion o f f a ilure b y Ch ilde i nh is a t te mpt t o c on tr ibu te t o aq uest f or l aws o f h uman d evelop men t w h ich c on f ir ms t o C lark t he s uper ior ity o f h is own e co log ical a pproach. Where c ont e mporary a u thors a re u n ited i s i n t he ir d iscovery o f wha t t hey b el ieve t o b e ar elat ionsh ip b etween Ch i lde 's work a nd t hat o f more r ecen t a rchaeo log ists. When w e t urn f rom t he work o f i nd iv idua l s cho lars , b o th a s t hey t he mselves a nd o thers h ave p erce ived i t , t o o ther p ub l icat ions o f t he p ost-war p er iod , we f ind t hat t he i n terest i n t he h istory o f a rchaeo log ica l t hough t a nd p ract ice i s n o l ess p ronounced. The w ork o f i nd iv idual r eg ional s choo ls h as r ece ived t reatmen t a t t he h ands o f s evera l a u thors, i nc lud ing t hose o f t he N ew Wor ld ( W il ley a nd S ab lo f f , 1 974 ) , Western Europe ( Dan ie l , 1 976 ;
Ren frew , 1 974 ), S cand in-
a v ia ( K l ind t-Jensen , 1 975 ) a nd t he U .S.S.R. ( M il ler, 1 956 ; Monga it , 1 961). Archaeo log ica l a dvances w i th in o ne s choo l h ave b een c on trasted w ith t hose i n a no ther ( e .g. T r igger, 1 978 ; h ie jn , 1 977 ) , wh ile i n as ing le s hort a r t icle C larke ( 1973 ) h as g iven u s ab r il l ian t s yn thes is o f r ecen t d evelopmen ts i n t er ms o f a more g enera l model o f d isc ip l inary e vo lut ion a nd a daptat ion .
As
ap o in t o f d eparture, a nh istor ica l c o mponen t i s e qua l ly e v iden t i n p ub l ica t ions a s d iverse a s t extbooks ( e .g. Fow ler, 1 977 ;
Ho le a nd H e izer , 1 977 ) , method-
o log ica l t rea t ises, w hether t hose wh ich d eal w ith t he s ub jec t a s aw ho le ( Clarke, 1 968 ; S ch if fer, 1 976 ) o r w ith s pec if ic a spects o f i ts uch a s s pat ia l s tud ies ( Clarke , 1 977 ;
Hodder a nd O rton , 1 976 ), a nd w ork s o f s yn thes is o fb o th t he
c u l ture h istory ( Cun l if fe, 1 974;
Gu ilane , 1 976 ) a nd c ulture p rocess s choo ls
( Ada ms , 1 966 ; F lannery , 1 976 ; Ren frew , 1 972 ). 2 Notw ithstand ing o ur p rop ens ity t o f ind w ha t w e a re l ook ing f or i n e very th ing w e r ead , t h is l i s t c an b e e xtended a l most i ndef in ite ly b y t he i nc lus ion o f w orks w h ich a i med a t a p art icu lar p o in t i n t ime t o p rov ide a n a ppra isa l o f a rchaeo logy i n i t s ' p resen t ' s ta te ( e .g. B in ford , 1 962; 1 968 ) —th is s ect ion o f o ur a rt icle i s n o e xcept ion— i nas much a s t he ' n ew ' ( t here i s l i t t le p o in t i n wr i t ing a bou t t he p resen t u n less o ne b e l ieves o ne h as s ometh ing n ew t o s ay ) i s most c onven ien t ly d e l inea ted i n o ppos it ion t o w hat i s a lready ' o ld ' a nd t hus r efu table.
What t hen a ppears
t o b e t he r elat ionsh ip b etween t he i ncreased c oncern w h ich a rchaeo logy i s s how ing f or t he h istory o f i t s own t hough t a nd o ther r ecen t t rends w ith in t he d isc ip l ine a s aw ho le? The f i rst p o in tt o make i s t hat t h is s i tuat ion m irrors t he d isarray a nd t heoret ica l d isun ity o f a rchaeo logy i n t he 1 970s. i ng K uhn 's ( 1970 ) p h i losophy o f d isc ip l ines:
x iv
As C larke h as p u t i t , f o l low-
" Af ter p erhaps h al f ac en tury o f r elat ively s teady c hange w ith in a c ompartmen ted b u t b road ly u n iversa l a rtefact-based , p art icu lar izing , q ua l itat ive , c u l ture h istor ica l p arad igm e xpressed i n l i terary n arrat i ve c l iches , w e n ow h ave a t l east f our n ew ly f or mu la ted c ompet ing a pproaches, w h ich w e h ave c rudely d es igna ted t he morpho log ica l , a n thropo log ica l , e co log ica l a nd g eograph ica l p arad igms." ( Clarke , 1 972 :43 ). N owhere i s t he c urren t w eakness o f t he d isc ip l ine more a pparen t , h owever , t han i n as i tuat ion w here i ti s p oss ib le t o a dopt t he n ames o f t hree o ther d isc ip l ines t o q ua l ify t hese emergen t a nd c ompet ing a pproaches. N ow , a s Fow ler ( 1977 ) h as r ecen t ly p o in ted o u t , o ne o f t he a rgumen ts t hat i s c ommon ly a dvanced a s r egards t he r e levance o f a rchaeo logy i n t he c on te mporary world i s t ha t p eop le n eed a p ast— the c u ltura l h er itage t ha t a rchaeo logy makes a ccess ib le p rov ides a s ort o f s oc ia l r eference p o in t . " Peop le n eed t o k now w here t hey a re a nd f ee l t ha t t hey b elong , i n t ime , i np lace a nd w ith t he ir f e l low h uman b e ings" ( i b id .:192 ) , f or Fow ler a nd many o thers , t he u nderly ing message o f G eorge O rw el l 's N ine teen E igh ty-Four ( 1949 ). Th is n eed i s p art icu lar ly marked i n t imes o f o vera l l s t ress a nd c ompet it ion a nd i ti s p erhaps n o c o inc idence t ha t i n a n e ra o fi ncreas ing d is i l lus ionmen t w ith t he modern world p ubl ic i n terest i n a rchaeo logy a nd t he p ast i n g enera l i s b oom ing. Hodder ( 1 977 ; t h is v o lume ) h as c om men ted o n t he k ey r o le p layed b y mat er ia l c u lture i np art icu lar a nd c u lture i n g enera l i n s ymbo l is ing a nd r e in forc ing g roup i den t ity w hen t hese g roups a re s ub jec ted t o s oc ia l a nd e conom ic s tra in , b u t w hen w e t urn t o a rchaeo logy i ti s i mmed iate ly a pparen t t ha t i ti s t he d is in tegrat ion a nd d ivers if ica t ion o f t he ir c u lture w h ich i s t he c ause o f much o f t he s tra in w h ich t he d isc ip l ine i s c urren t ly e xper ienc ing. F rom t he r elat ive h o mogene ity o f t he c u l ture h istor ica l a pproach n oted b y C larke ( 1972 ) , a rchaeo logy h as g one o nt o a cqu ire n ew f or ms o f mater ia l c u l ture ( e .g. t he c ompu ter , t he a er ia l c amera , a ccess t o t he e qu ip men t n ecessary f or t he p hys ica l a nd c he m ica l e xam inat ion o f mat ter a nd much e lse b es ides ) , n ew l augu ages ( e .g. ma the ma t ics , s tat ist ics , j argon , e tc.) , n ew c as tes ( un its , t eachers , s pec ia l ists , ' amateurs ' , e tc.) n ew a i ms , n ew p h ilosoph ies a nd s o o n . I n s hort , a rchaeo logy h as f ound i t se l f c apab le o f d o ing f or t he u nrecorded h uman p ast a l most a l l o f t he t h ings t ha t t he h uman a nd n a tura l s c iences a re d o ing f or t he p resen t . I td oes n o t s ee m t oo f anc ifu l t o s uggest t ha t many a rchaeo log ists a re t urn ing t o t he ir p ast a s t he o ne p o in t o f r eference t hey h o ld i n c ommon i n t he h ope o f d iscover ing t he u n ity t ha t e ludes t he m i n t he p resen t o r o f f ind ing a p o in t o f d eparture f ro m w h ich t o j ust i fy t he ir own p reoccupat ion . On a more mundane l eve l , many a rchaeo log is ts c learly d isp lay a c omm itmen t t o t he a dage t ha t a n u nderstand ing o f t he p resen t s ta te o f as ystem r eq u ires a k now ledge o f i t s p ast t ra jectory , a nd t hus a n ecessary p rerequ is ite f or a ny a t te mpt t o p rescr ibe a u n if ied f u ture r esearch t rad it ion f or t he ir d isc ip l ine. Moreover , a n a ppea l t o t he h istory o fa rchaeo logy a s n o more t han ap art icu lar i ns tance o ft he more g enera l p rocess o f d isc ip l inary d eve lopmen t a s c hron ic led b y h istor ians o f s c ience a nd o thers ( e .g. A lexander , 1 964; K uhn , 1 970 ) may b e u sed b o th t o a l lay t he a nx iet ies o f i nd iv idua l p ract it ioners a nd a s a n ap r ior i j ust i f ica t ion f or w ha t a re t hough t b y s ome a rchaeo log ists t o b e d es irable t ransforma t ions f or t he ir d isc ip l ine t ob e u ndergo ing. XV
C lark e' s
a rt icle " The l oss o f i nnocence" ( 1973 ) w as a rguably a n a tte mp t t o p erfor m t he f or mer t ask , a l though a s Ren frew ( 1974 ) n o tes, s evera l r eact ions t o i ti nd icate t ha t i nnocence h as b een r eta ined. Much o f t he Amer ican N ew Archaeo logy o f t he 1 960s ( e .g. Watson , 1 972 ) s ee ms t o r est i t s c ase, a t l east i mp l ic it ly , o n t he l at ter p re m ise.
As Ho le
a nd He izer h ave p u t i t : " The t heoret ica l p os it ion t aken b y t hese a rchaeo log ists h as b een d esc r ibed b y l og ica l p os it iv ist p h ilosphers s uch a s He mpel....and Kuhn ... Ou t o f t h is w e ld ing o f i deas f rom p h i losophy w ith a rchaeo logy c a me t he b el ief—so me c a l led i t ad og ma—tha t a rchaeo logy c an a nd s hou ld b e s c ience , d one i n o ne manner o n ly....The " new a rchaeo log ists" r ap id ly a ch ieved a p os it ion o f p rom inence b y s peak ing b lun t ly o f t he p oten t ia l o f s c ien t if ic a rchaeo logy a nd o f t he e v ils ( Our emphas is ) t hat h ad b een masquerad ing a s s c ien t if ic w ork" .
( 1977 :63 ).
For Wa tson , L eblanc, a nd Redman ( 1971:x ), " I f t he t er m ' n ew a rchaeo logy ' i s t o b e u sed , i ts hou ld b e e qua ted w ith e xp l ic it ly s c ien t i f ic a rchaeo logy".
But
what i s s c ience a nd w ha t i s s c ien t if ic ? N atura l ly t hese a uthors a nd many o thers h ave p u t t he ir v iews i n p r in t ( e .g. B in ford , 1 977 ), b u t o ne i s t e mp ted t o s ugg est t hey h ave o verlooked s o me o f t he p o in ts wh ich Kuhn h as r a ised i n t he f o ll ow ing p assage : " To a v ery g rea t e x ten t t he t er m ' s c ience ' i s r eserved f or f i e lds t hat d o p rogress i n o bv ious w ays.
N owhere d oes t h is s how more c learly
t han i n t he r ecurrent d ebates a bou t w hether o ne o r a no ther o f t he c on te mporary s oc ia l s c iences i s r eal ly a s c ience ...Inev itab ly o ne , s uspects t hat t he i ssue i s more f unda men ta l. l ike t he f o l low ing a re r ea l ly b e ing a sked :
P robably q ues t ions
Why d oes my f ie ld f a il t o
move a head i n t he way t hat , s ay , p hys ics d oes?
What c hanges i n
t echn ique o r method o r i deo logy w ou ld e nab le i tt o d o s o?
These
a re n o t , h owever , q uest ions t ha t c ou ld r espond t o a n a gree men t o n d ef in it ion .
Further more, i fp receden t f ro m t he n atura l s c iences
s erves, t hey w i l l c ease t o b e as ource o f c oncern n o t when a d ef in it ion i s f ound , b u t when t he g roups t ha t n ow d oubt t he ir own s tatus a ch ieve c onsensus a bou t t he ir p ast a nd p resen t a cco mp l ish men ts.
I t may ,
f or e xamp le , b e s ign i f ican t t hat e cono m ists a rgue l ess a bou t whether t he ir f i e ld i s as c ience t han d o p ract it ioners o f s o me o ther f i elds o f s oc ia l s c ience.
I s t hat b ecause e cono m ists k now what s c ience i s ?
O r i s i tr ather e cono m ics a bou t wh ich t hey a gree?"
( Kuhn , 1 970 :
1 60-1). We h ave a lready n o ted t he p oss ib il ity t hat t he c urren t b ackward-look ing c ur io s ity i n a rchaeo logy r epresen ts a n a t te mpt t o c o me t o t er ms w ith t he c onsp icu ous l ack o f ac onsensus a s t o h ow a rchaeo logy s hou ld b e p rac t ised b y d e monst ra t ing s o me s or t o f c on t inu ity b etween w hat i s b e ing d one n ow a nd what u sed t o b e d one i n t he n ame o f a rchaeo logy .
A t t h is p o in t w e s hou ld p erhaps a sk
w hy i ti s t hat a n a pproach wh ich a rgued t ha t h enceforth a rchaeo logy s hou ld b e p ract iced i n o ne manner o n ly , a nd w h ich b y a l l a ccoun ts h as b eco me a n ew
x v i
o rthodoxy a t l east i n t he Un ited S tates ( e .g. Ho le a nd He izer, 1 977; S ch if fer, 1 976 ;
Tr igger , 1 978 ) , h as i n f act l ef t w hat w as a lways a n e c lec t ic d isc ip l ine
i n e ven g rea ter d isarray t han b efore, p art icu larly a s f ar a s Western Europe i s c oncerned. I n t he f i rst p lace , a ccep tance i s o f ten c on fused w ith c onvers ion .
Much
o f t he s uccess o f t he N ew Archaeo logy i n Amer ica i s s i mp ly t he r esu lt o f i t s p roponen ts h av ing s ucceeded t o t each ing a nd r esearch p osts i n t he ir own r igh t , wh i le i t s w idespread a ccep tance b y me mbers o f t he d isc ip l ine w ith more t rad i t iona l v iews , i s o f ten b ased o n t he s t rong c ont inu ity b etween many a spects o f t he N ew Archaeo logy a nd t he p ast .
I ti s e asy t o a ccept t ha t o ne h as a lways
b een t est ing h ypotheses o r t ha t q uan t if icat ion h as a lways h ad a p lace i n t he d isc ip l ine.
S im i larly , t he e luc idat ion o f c u lture p rocess ( e .g. B in ford , 1 965 ;
F lannery , 1 967 ) i s n ot a n ew i dea i n i t sel f ; ar ea l ist ic a im f or a rchaeo log ists t o a dopt .
w ha t i s n ew i s t he b el ief t hat i ti s Moreover, i n Amer ica a rchaeo logy
h as a lways f or med p art o f t he b roader d isc ip l ine o f a n thropo logy a nd t hus many o f t he n ew t enets o f t he s pec if ica l ly a rchaeo log ica l t rad it ion , s uch a s t he s earch f or g enera l l aws , ac o mm itmen t t o c u ltura l e co logy a nd t o c u ltural mater ia l is m , t he i n terest i n s oc ia l o rgan isa t ion a nd t he a dop t ion o f a n e vo lu t ionary p o in t o f v iew , w ere a lready f eatures o f t he w ider r esearch t rad it ion .
S im i larly , t he
s yste m ic c oncept ion o f c u lture h as b een ab as ic p re m ise o f Amer ican a n throp o logy f or s o me t ime ;
i ti s o n ly t he e xp l ic it ly d ynamic emphas is a nd t he
t er m ino logy o f ' syste ms t heory ' t hat i s n ew .
Thus, i n many r espects, a l l
t hat h as h appened i s t hat t he f ron t iers o f t he d isc ip l ine h ave b een p ushed b ack a nd t he n ew a pproaches a ccep ted a s h av ing a s much v a l id ity w ith t he o ld , a rcha eo logy b e ing w ha t a rchaeo log ists d o. I n t he s econd p lace , f or r easons w h ich w il l b e f u l ly d iscussed b elow , t he N ew Archaeo log ists b y g rea t ly e xpand ing t he p oss ib le r o les a nd r elevance o f t he ir d iscip l ine h ave s ucceeded i n p os ing f ar more p roble ms t han t hey h ave s o lved. Moreover , t he w idespread a ccep tance o f t he N ew Archaeo log y i t sel f , h as l ef t i t s p roponen ts w ithou t ac o m mon e ne my i n t he f orm o f t he d issen t ing ' Trad it iona l Archaeo log ist ' , a s ar esu lt o f wh ich t hey a re b eg inn ing t o f ind t hat t hey h ave l ess i n c om mon w ith o ne a no ther t han a ppeared t o b e t he c ase a t f irst .
As T r igger h as p u t i t : " ...the N ew Archaeo logy ...cons ists o f w idely s cat tered i nd iv idua ls a nd g roups o f i nd iv idua ls i nnova t ing a long many l ines a nd i n r espect o f p rob le ms t ha t a re v ery d if feren t f ro m o ne a nother. They a re u n ited b y c erta in c o m mon p erspect ives , b u t a s a n a ct o f c onv ict ion r ather t han f ro m h av ing t o c ope w ith c o m mon p rob le ms...Because o f t h is , i ti s n o t d i f f icu l t f or a N ew Archaeo log ist t o b e d is in terested i n t he a cco mp l ish ment s o f v ast n umbers o f h is c o l leagues."
( 1978 :17 ).
A c oncern w ith d e monstra t ing h ow f resh p erspect ives c an r elease d if feren t k inds o f i n forma t ion f rom t he a rchaeo log ica l r ecord i s t hus a l l v ery w el l , b u t i n t he a bsence o f ag enera l c onsensus o f o p in ion o n t he p r i mary a i ms o f t he d isc ip l ine, t here i s a lways t he d anger t hat when t hey t urn t o e ach o ther 's work , t he N ew Archaeo log ists w i l l f ind t hat g enera l isat ion e ludes t he m.
x v i i
I n Europe, b y c on trast , d evelop men ts s ince 1 960 h ave f o l lowed a d i fferen t a nd i n many w ays , r ather more t raumat ic , c ourse , t i on ( Ren frew , 1 973b;
The r ad iocarbon r evo lu-
1 974 ) h as a l most o vern igh t d emo l ished t he l ong-stand ing
d iffus ion ist f ra mework wh ich h ad p rov ided b o th a c hrono logy a nd a n e xp lanat ion f or s ome o f t he p r inc ipa l d eve lopmen ts i n p reh istor ic Europe.
The r esu l t h as
b een s ometh ing o f ac onceptua l v acuum : I t. .the
i nnocent c on f idence t hat a rchaeo log ists k new w hat t hey w ere
d o ing a nd s hou ld g et o n w ith i th as b een r ep laced b y t he u ncomfortab le awareness t ha t t hey d idn 't a nd t ha t w e o urselves a re n one t oo s ure." ( Renfrew , 1 974 :40 ). A t t he s a me t ime, t he i mport o f ab a ttery o f o ther t echn iques d eveloped i n t he n a tura l s c iences a nd t he i ncreas ing s ca le o f h uman i n terference w ith t he l ands cape i n many c oun tr ies h as b rough t h o me t o European a rchaeo log ists b oth t he r ichness a nd d ivers ity o f t he i n for ma t ion p reserved i n t he a rchaeo log ica l r ec ord , a nd t he r ate a t w h ich i ti s b e ing d estroyed.
As a r esu l t , many a rchae-
o log ists h ave r esponded t o ac a l l t o r ecord a s much a s p oss ib le o f t h is i n for mat ion w h i le i ti s s t il l t here ,i nt he b el ief t hat t he a ccumu lat ion o f n ew d ata w il l i n i t se l f e nsure a b et ter u nderstand ing o f t he p ast .
O ther a rchaeo log ists ,
e spec ia l ly i n Br ita in , Ho l land a nd S cand inav ia , h ave p referred t o make a c o mp lete b reak w ith w ha t t hey s aw a s t he d ef ic ienc ies o f t he t rad it iona l Europ ean a pproach , i np art icu lar i t s i deograph ic g oa ls , a nd h ave t urned t o t he emerg ing N ew Archaeo logy .
However , i n d o ing s o , ac lear s ch is m h as d e-
v e loped b etween t hose o f t he m w ho merely a dvoca te t he n eed t o d raw o n a w ider r ange o f i n terpretat ive c oncepts i n a t te mpt ing t o e xp la in o bserved c hanges i n t he a rchaeo log ica l r ecord a nd t hose w ho a rgue t hat w e must f i rst e stab l ish as ound t heoret ica l b as is f or mak ing u se o f a rchaeo log ica l d a ta.
The f or mer
g roup s tress t he o pen-ended n ature o f t he d isc ip l ine a s f ar a s t heory r elat ing t o h u man b ehav iour i s c oncerned.
They h ave t herefore made u se o f aw ide
r ange o f models d eve loped i n i t ia l ly i n o ther f i e lds—soc ia l , e conom ic , e co log icnl , e tc. — in a tte mpt ing t o e xp la in a rchaeo log ica l d a ta a nd ma in ta in t he n eed f or c lose c ooperat ion w ith o ther d isc ip l ines. They f requen t ly employ a p at tern f i tt ing a pproach s im i lar t o t ha t f avoured b y many g eographers i n t he 1 960s a nd a rgue t hat a rchaeo log ica l d ata c an t hus p lay a n importan t r o le i n v eri fy ing t he s ta tus o fg enera l isat ions a ch ieved b y r esearch i n o ther d isc ip l ines. The s econd s choo l o f t hough t p ut s a much g reater p re m ium o n t he i ndepend ence o f a rchaeo logy , a lthough w ith in i ta t l east t wo d ist inct a pproaches c an b e d iscerned.
The p a laeoecono m ists ( H iggs , 1 972;
1 975 ) c la im w e s hou ld c oncen-
t ra te o nt he e cono my , r ather t han u pon mater ia l c u lture , a s ab as ic a spec t o f h uman b ehav iour w h ich may b e s hown t o c on form t o p red ictable l aws o ver l ong t ime p er iods.
O ther a rchaeo log ists, f o l low ing t he l ead o f Dav id C larke ( 1968;
1 973 ), s t il l s tress ma ter ia l c u lture ( e .g. Hodder , 1 978 ) , a lbe it a longs ide o ther mater ia l r es idues. T hey a rgue t he n eed f or a rchaeo logy t o d eve lop t heory o f i t s own , r elat ing t o t he f or ma t ion p rocesses o f t he a rchaeo log ica l r ecord ( pred epos it iona l , d epos it iona l , p ost-depos it iona l t heory ), t o t he r etr ieval a nd a na lys is o f d a ta , a nd t o t he c ond it ion s b y w h ich w e s eek t o e va luate t he v a l id ity o f i deas w e h o ld a bou t t he p rocesses p romo t ing c hange a nd d ivers if icat ion i n d irect ly u nobservab le b ehav ioura l s yste ms ( I n terpretat ive t heory , a long w ith
x v i i i
a rchaeo log ica l metaphys ics, e p iste mo logy a nd l og ic ) ( c f. C larke, 1 973 :13-17 ). Wh ile a ccept ing t ha t a n importan tp art o f b oth p re-depos it iona l a nd i n terpret at ive t heory m igh t b e r educed t o o r c onverse ly d er ived f rom s oc ia l t heory ( Clarke , 1 973 :17 ), t h is i s s een a s o nly a sma l l p art o f a rchaeo log ica l t heory . Many c oun terparts f or t h is v iew o f a rchaeo logy may b e s een i n r ecen t work c arr ied o u t b y Amer ican a rchaeo log ists ( e .g. B in ford , 1 977;
Gou ld , 1 978;
S ch if fer, 1 976 ) of ten u nder t he b anner h ead ing o f e thno-archaeo logy , b u t i ti s n ot y et w el l r epresen ted i n t h is c oun try ( bu t s ee Hodder, 1 977 ; t h is v o lume; S pr iggs , 1 978 ).
P erhaps t he most importan t f eature o f t h is s choo l o f t hough t
i s t hat w e must d ec ide w h ich q uest ions t he a rchaeo log ica l r ecord i s c apab le o f a nswer ing b efore s eek ing t o make u se o f i ti n o ur s earch f or g enera l isat ions, r ather t han mak ing o bserved c hanges o ur s tart ing p o in t. I n c onclud ing t h is d iscuss ion o f r ecen t d eve lop men ts i n a rchaeo logy , i t may b e worth r ef lect ing o n a n o bservat ion r ecen t ly made b y B in ford , w h ich i s p erhaps t he s ign if ican t b reak through o f t h is p er iod , b u t t he imp l icat ions o f w h ich h ave y et t o b e f u l ly d eba ted : ' The a rchaeo log ical r ecord i s ac on te mporary p heno menon . a bove a l l as tat ic p heno menon .
I ti s
I ti s w hat r e ma ins i n s tat ic f or m o f
d yna m ics t ha t o ccurred i nt he p ast a s w el l a s d yna m ics o ccur ing u p u n t il c on te mporary o bserva t ions a re made ...Ge t t ing t o t he p ast t hen i s ap rocess i n w h ich t he a rchaeo log ist g ives mean ing t o s tat ic p hen o mena i n d ynam ic t er ms." ( Bin ford , 1 975 :251;
c f . 1 977 :6 ).
T he a rchaeo log ica l r ecord t hus e x ists f or u s o n ly i n a s much a s i ti s p reserved i nt he p resen t . I td oes n ot c ons ist o f f acts wh ich s peak f or t he mselves a bou t t he p ast— it i s r ather a p art o f t he r ea l w orld wh ich we a re f ree t o o bserve a nd a ss ign mean ing t o i n t he s a me w ay a s w e wou ld t o a ny o ther a spect o f t h,:r eal w orld.
And a s B in ford g oes o n , " To p o int o u t ...that mean i n gs a ss igned t o
a rchaeo log ica l o bservat ions may b e w rong s hou ld n ot b e s urpr is ing t o a —yone" ( 1975 :251).
Bu t i ti s t he e xp l ic it r ecogn it ion t hat t he a rchaeo log ica l r ecord i s
ac on te mporary t hat i s i mportan t h ere — its much v aun ted t ime d ep th , f or i nst ance e x ists o n ly i n a s much a s w e a ss ign t e mpora l mean ing t o o ur o bserva t ion o f t he p hys ica l , c he m ica l , f or ma l o r r elat iona l p ropert ies o f a rchaeo log ica l ma t ter, a nd i ti s c lear t ha t i n t he p ast a t l east w e h ave o f ten a ss igned t he w rong mean ing. On t h is b as is a rchaeo logy i s i n e xact ly t he s a me p os it ion a s a ny o ther d isc ip l ine t hat s eeks t o t rans late i t s o bserva t ions o n c onte mporary f or m i n to d yna m ic o r p rocessua l s tate ments e .g. g eography , g eo logy , e vo lu t ionary b io logy , a n thropo logy , e tc.
The i mp l icat ions o f t h is a re t wo fo ld.
F irst , w e
must d ec ide wh ich p ort ion o f t he r eal world w e s hou ld o bserve i n o rder t o make mean ingfu l s tate men ts a bou t i t s n ature a nd o ur p ast. S hou ld a rchaeo logy a im t o b eco me t he c ore o f an ew n omothet ic s c ience o f mater ial c u lture a s C larke a dvoca ted i n h is Ana ly t ical Archaeo logy ( Trigger, 1 978 )? O r i ft he mater ia l ist s tudy o f s oc ia l e vo lut ion i s o ur a im , s hou ld w e e x tend o ur o bservat i ons t o c on te mporary s oc iety a nd i t s ma ter ia l c omponen t a s many a rchaeo log ists a re n ow d o ing. O r s hou ld w e o bserve e nergy , mat ter a nd i n for mat ion f l ows i n c on te mporary e cosyste ms ?
x ix
S econd ly , t he r ea l isat ion t hat t he a rchaeo log ica l r ecord i s a s much a c o mponen t o f t he r ea l world a s a ny o f i t s o ther c omponen ts c arr ies w ith i tt he impl icat ion t hat w e must t h ink more c arefu l ly a bou t t he p rocesses b y w h ich o ur o bserva t ions a re t ransfor med i n to mean ingfu l s tate men ts a bou t t he r ea l world— in s hort , a bou t o ur p h ilosoph ica l c oncept ion o f k now ledge a nd h ow i t c an b e a ch ieved.
We must a pproach t he c on te mporary a rchaeo log ica l r ecord
mind fu l o f h ow o ur p ercept ion , c u ltural c ond it ion ing a nd t hough t p rocesses a f fect o ur a pproach a nd o f t he k inds o f k now ledge t o wh ich w e a sp ire. W i l l p os it iv ist methodo logy , w ith i t s emphas is o n l og ico-deduct ive h ypo thes is t esti ng , p rov ide u s w ith t he e xp lanatory f ra mework w e d es ire a s B in ford ( e .g. 1 977 ) a nd o ther a rchaeo log ists h ave ma in ta ined ( e .g. Wa tson , L eb lanc a nd Red man , 1 971;
S pau ld ing , 1 968 ), s hou ld w e f o l low Popper ( e .g. 1 976 ) o r s hou ld
w e e xper i men t w ith o ther p oss ib il it ies s uch a s t hose p rov ided b y Marx is m , s tructura l is m o r p henomeno logy?
I nas much a s t hey a re s tudy ing p ar t o f t he
r ea l w orld a rchaeo log ists c an p resumab ly a sp ire t o k inds o f k now ledge i n n o w ay i n fer ior t o t hose s ough t b y p ract it ioners i n a ny o ther d isc ip l ine, b u t e qua l ly t hey wou ld b e w ise t o t rea t t he v iew t hat t here i s ' on ly o ne t rue w ay ' t o k now ledge w ith t he s cept ic is m t hat i td eserves ( Feyerabend , 1 975 ). And w ha t c an a rchaeo logy l earn t hrough c ooperat ion w ith o ther d isc ip l ines a nd f ro m t he p rob le ms wh ich t hey h ave e xper ienced i n t he ir own q ues t t o a dd t o k now ledge?
L et u s n ow a dd o ur own a pprec iat ion o f t h is q uest ion b y e xa m-
i n ing t he r elat ionsh ip b etween a rchaeo logy a nd g eography s ince 1 960 , w ith r espect t o b o th p erce ived a reas o f mu tua l i n terest a nd t he p roble ms t ha t h ave a r isen o n a ccoun t o f t he c oherence t hat e ach d isc ip l ine f a lsely a ccords t o t he o ther. Convergence a nd D ivergence I n t he p reced ing s ect ion , w e h ave d iscussed t he i ncreas ing d ivers !f ica t ion wh ich s ee ms t o c haracter ise t he d evelopmen t o f b o th a rchaeo logy a nd g eogranhy o ver t he l ast t wen ty y ears.
When t he c ourse o f e ven ts i n e ach d isc ip l ine i s
c o mpared , i tb ecomes c lear t hat t here a re a n umber o f o ther f eatures c om mon t o b o th.
As Goud ie p o in ts o u t : " Bo th d isc ip l ines h ave u ndergone wha t s o me wou ld r egard a s n ear p ara l le l ' revo lut ions ' i n t he l ast t wo d ecades.
There h as b een t a lk
b o th o f a' new ' g eography a nd o f a' n ew ' a rchaeo logy.
Geography
h as embraced many o f t he methodo log ica l t enets o f t he n atura ls c ie nces :
s yste ms t heory a nd models a re w idely u sed , a nd q uan t if icat ion
h as b een a dopted.
The s i tuat ion i n a rchaeo logy i s s im i lar ( t hough
p erhaps d elayed ) ( Our emphas is )...." ( 1976 :202 ). Here Goud ie i s e v iden t ly t h ink ing p r i mari ly o f t he Br it ish N ew Archaeo logy , f or a s w e h ave a lready s een , t he Amer ican v ers ion c an t race i t s b eg inn ings b ack t o t he e arly 1 960s.
A l though t he l at ter w as c learly o ne o f t he s ources
o f t he i deas a dopted i n t he d evelop men t o f i t s B r it ish c oun terpart , i ti s c lear f ro m a p erusal o f t he l i terature ( e .g. C larke , 1 968; 1 972;
Hodder a nd O rton , 1 976 ;
Ren frew , 1 969;
1 972; 1 977;
Hodder,
1 975 ) t hat t he N ew Geography
w as a lso a n importan t a nd i n s o me w ays a more d irect i n f luence.
Moreover ,
t hat t here h as b een s o me d e lay b etween ' i nven t ion ' a nd ' i nnovat ion ' ( c f . Ren frew ,
t h is v o lume ) s hou ld n o t s urpr ise
US
u ndu ly , b u t i ti s p erhaps worth a sk ing
o urselves t o w hat e x ten t t h is d e lay h as a f fected t he p rospects f or c om mun icat i on a nd c ooperat ion b etw een Br it ish a rchaeo log ists a nd g eographers a t t he p resen t t ime. I n h is r ev iew o f Hagget t ( 1965 ) a nd Chorley a nd Haggett ( 1967 ) , Ren frew w as moved t o w r ite, " I t i s n ot a n e xaggera t ion t o s ay t hat w e h ave a l l b een w ork ing o np roble ms w h ich h ave a lready b een s o lved" ( Ren frew , 1 969 :74 ) a s r egards t he a na lys is o f d istr ibu t ions o f a rchaeo log ica l ma ter ia ls i n s pace. Bu th ow much s upport f or t h is v iewpo in t w ou ld w e e xpect t o f ind among c ont e mporary g eographers ? To many a rchaeo log ists , g eography r e ma ins t he s pa t ia l s c ience—yet a s w e h ave a lready s een , t here a re g rave m isg iv ings w ithi n c on te mporary g eography c oncern ing i t s a ppo in ted r o le.
The ' spat ia l
s c ience' v iew , a cco mpan ied b y r igorous f or ms o f q uan t ita t ive d escr ip t ion a nd i n feren t ia l t est ing , h ad r eached i t s p eak b y t he m id-1960s a nd h as s ubsequen t ly r eceded i n t he f ace o f t he p rob le ms o f i n ferr ing p rocess f rom f or m a nd o f ' s ca le '. Thus i n t he ir p resen t p reoccupat ion w ith t he methodo logy a nd t echn iques o f s pa t ia l a na lys is o f t hat p er iod , a rchaeo log ists h ave o n ly s a mp led a p ort ion o f c urren t g eograph ica l r esearch.
The ir m istaken v iew o f t he c ohe-
r ence o f g eography ( t o w h ich many o f t he g eograph ica l p apers i n t h is v o lume s ure ly p u ts t he l i e ) i s b ased o n t he ir c onsu l tat ion o f a my th ica l d escrip t ion o f t he d isc ip l ine e nshr ined i n t hose a nna ls o f d isc ip l inary f a iryta les k nown a s t ex tbooks ( e .g. Hagge tt , 1 965 ;
Ab ler , Ada ms a nd Gould , 1 971), t he b est o f
w h ich o ften b ecome t he s tandard h a l l- mark o f t he d isc ip l ine a s s een b y t he e x ternal wor ld. As t he j ob o f ag ood t ex tbook i s t o r epresen t t he t each ing o r thodoxy o f ad isc ip l ine t o a sp ir ing s tuden ts, t he ir a u thors c anno t b e b la med f or a t te mpt ing t o p urvey a n image o f ac oheren t wor ld o f a cade m ic a gree men t— i n a ny c ase , i t matters l i t t le w ith in t he d isc ip l ine a s t he s tuden t who g oes o n t o b eco me a r esearcher c an b e e xpected t o c a l l e x ist ing o rthodox ies i n to q uest i on a nd i ndeed i s a ct ively e ncouraged t o d o s o i n o rder t o j ust ify i s own a ct iv it ies.
However, f or r esearchers i n a no ther f i eld t o t ake t he t ex tbook i mage
o f ad iscip l ine a s r epresen tat ive o f i t s c urren t r esearch e ffort c an o n ly l ead t o s er ious p rob le ms whenever c ooperat ion i n t he i nvest iga t ion o f ' common ' p rob le ms i s s uggested. T hus t he s pat ia l a rchaeo log ist c an e xpect t o f ind l i t t le s uppor t among many g eographers w hen h e s uggests t hat h e i s w ork ing o n a n o verlapp ing s et o f p roble ms.
I n t he ir v iew , t he a rchaeo log ist h as t o o vercome t he ' i n feren t ia l '
s ca le a nd a u to-correlat ion p rob le ms i n a n e ven more e x tre me f orm t han t hat f rom w h ich t hey h ave t hemselves r etreated.
Moreover , i ti s t he ir o p in ion ,
s hared b y af ew a rchaeo log ists(e.g. Harr iss , 1 971), t hat i t may b e q u ite w rong t o a pp ly l ocat ion t heory a nd t echn iques a pp l icab le a l most e n t ire ly t o t he Western , Cap ita l ist wor ld ( Haggett , 1 965 ) t o p reh istor ic s i tuat ions. 3 Geograp hers d o n o t , o r s hou ld n ot , d eny t ha t a rchaeo log ists may b e a b le t o a ch ieve u se fu l g enera l isat ions o f t he ir own r elat ing t o s pat ia l o rder a pparen t i n t he mater ia l r es idues o f p ast s oc iet ies o r may h ave more s uccess i n s o lv ing t he p rob le ms wh ich g eographers h ave b een u nab le t o c ircumven t , b u t u n t i l t h is h appens a rchaeo log ists s hou ld n ot e xpect t o e ncoun ter u n ifor m s ympa thy f or t he ir a i ms w i th in t he c orr idors o f g eography . I ndeed , a lready d isagree men t a bou t t he v a lue o f a na lys ing s pa t ia l f or m b etween t he p roponen ts o f t h is a pproach i n a rchaeo logy a nd t he many g eographers x x i
w ho a re u nhappy a bou t n ot o n ly t he a pproach , b u t p os it iv ist methodo logy i n g enera l , a nd h ave t urned i nstead t o t he s tudy o f s oc ia l p rocess a nd t o t he p robl e ms o f h ow i deas i n s oc ia l a nd mora l p h ilosophy c an b e r elated t o g eograph ic a l e nqu iry , h as c aused t he l at ter g roup t o o verlook t he p oten t ial i n terest o f s ome o f t he work w h ich i s b e ing d one b y a rchaeo log ists. Among o ther e xa mp les, o ne migh t p erhaps c i te t he g enera l isa t ions r ecen t ly p roposed b y Ren frew ( 1978 ) c oncern ing t he s pa t ia lb ehav iour o f s oc ia l g roups , F letcher 's ( 1977 ) a ssess men t o f t he r elevance o f f or ma l o rder t o h uman l ocat iona l b ehav iour a nd o f t he a dap ti ve c onsequences o f f or ma l s pa t ia l a rrange men ts , a nd Hodder ' s s tudy o f t he s pa t ia l c onsequences o ft he u se o f ma ter ia l c u lture t o e xpress g roup i den t ity u nder c ond i t ions o f e cono m ic s tress ( t h is v o lume ). Renfrew 's u se o f Catast rophe Theory t o i nvest igate t he impor tance o f t he s oc ia l mechan is ms g overni ng c ho ice r a ther t han s pa t ia l c on tact i n ad i ffus ion s itua t ion ( t h is v o lume ) a nd Ammer man a nd Cava l l i-Sforza 's ( 1973 ) i ncorpora t ion o f p opu lat ion g row th i n t he ir "Wave o f Advance" model must s ure ly a n t ic ipate s im ilar work i ng eography . S im i larly , r ecen t w ork o n p reh istor ic e xchange s yste ms ( Ear le a nd E r icson , 1 977 p ass im ), may w el l b e r e levan t t o t he g eographer c oncerned w ith t he u nderp inn ings o f t he r eg iona l a nd i n ter-reg iona l o rgan isa t ion o f c omp lex s oc ia l f or ms. N or s hou ld w e o verlook t he c lose l inks wh ich s t il l e x ist b etween p ar t icu lar b ranches o ft he t wo d isc ip l ines, a nd f rom t he e x istence o f w h ich b o th s ides h ave d er ived e nor mous b enef it i n t he p ast ( Goud ie, 1 976 ).
Var ious ma jor t he mes
h ave c haracter ised t h is r elat ionsh ip a nd c an b e b r ie f ly r e iterated h ere a s f o ll ows.
As Dan iel r e mark s ( 1964 :141), " The g eographer a nd t he p reh istor ian
meet i n t he map" , o r i fo ne p refers , i n s pace , a nd i ti s n o e xaggera t ion t o s ay t hat i nt he d ist r ibu t ion map , g eography h as f urn ished a rchaeo logy w i th o ne o f i t s most impor tan t a na lyt ica l t oo ls f or a t te mpt ing t o u ncover l ong-ter m r elat ions h ips b etween h uman s ett le men t a nd e nv ironmen ta l f actors.
One o f t he e arl iest
a rchaeo log ists t o u t il ise d istr ibu t ion maps w as C raw ford ( who h ad i nf act t ra ined a s ag eographer )( e .g. 1 912;
1 922 ) a nd t he c on t inued i n terest i n s i t e a nd
,r te-
f ac t d is tr ibu t ions a nd s e t t le men t l oca t ions was p erhaps t he ma jor r eason f or t he i n terest a rchaeo log ists h ave t aken i n t he N ew G eography o f t he 1 960s , a dopt ing n ot o n ly q uan t i tat ive t echn iques o f s pat ia l a na lys is ( e .g. C rum ley , 1 976 ; Hodder a nd O rton , 1 976 ;
J ohnson , 1 975;
Wha l lon , 1 973 ) , b u t a lso s pat ia l
s amp l ing p rocedures f or t he a cqu isit ion o f n ew d ata ( e .g. Muel ler , 1 975; Cherry , Ga mb le a nd S hennan , f orthcom ing ) a nd s i mu la t ion a pproaches ( e .g. Wr igh t a nd Z eder, 1 977 ;
c f . Chadw ick , 1 977 ).
A t much t he s a me t ime a s t hey b egan t o make u se o f d istribu t ion maps , a rchaeo log ists a lso made a s tart o n c ons ider ing t he e f fects t hat t he p hys ica l e nv ironmen t h ad e xerted o n e arly man , b est e xe mpl if ied i n Fox 's w ork ( 1923; 1 932 ) , a nd i n t he p er iod o f e nv ironmen ta l d eterm in is m , a t te mpts w ere made i nb o th d isc ip l ines t o e xp la in c u l tura l c hanges i n t er ms o f a lterat ions i n t he n atura l e nv ironmen t ( e .g. Ch ilde , 1 954; t h is v o lu me ).
S auer , 1 952;
1 956;
s ee Ch isho lm
More r ecen t ly , i nl ine w ith d evelop men ts i n e co log ica l t heory ,
b o th a rchaeo log ists a nd g eographers h ave moved o nf rom e nv ironmen ta l is m a nd h ave a dop ted t he e cosyste m a s ab as ic model f or v iew ing a dap t ive c hanges b etween man a nd h is e nv iron men t. ( e .g. F lannery , 1 968; ume ).
Harr is, t h is v o l-
Assoc iated w ith t h is h as b een t he i n terest s hown i n t he f unc t ion ing o f
w ho le s oc io-spa t ia l s yste ms a t l evels o f s tudy r ang ing f rom t he d e ta iled r ec onstruct ion o f t he
l i feways o f p art icu lar sma l l-scale c o m mun i t ies ( e .g.
J och im , 1 976 ; Y el len , 1 977 ) t o t he e xa m inat ion o f t he d yna m ic b ehav iour o f l arge-sca le, c omp lex , s oc iet ies ( e .g. Chap man , 1 977 ; F lannery , 1 972; 1 976 ;
Ren frew , 1 972;
Sm ith , 1 976 ).
The r econstruct ion o f p ast e nv ironmen ts
h as a lso p roved t ob e o f c on t inu ing i n terest t o a rchaeo log ists , g eo morpho log ists a nd p hys ica l g eographers a l ike ( e .g. B int l if fe , 1 975; Bu tzer, 1 972; B ishop a nd C lark , 1 967;
Dav idson a nd S h a .ck ley , 1 976 ;
V ita-Finz i , 1 969 ), w h i le i ti s
t rue t o s ay t hat i n t he ir s tudy o f man 's r o le i n c hang ing t he f ace o f t he e arth ( Thomas , 1 956 ) a nd a s a n a gen t o f e co log ica l c hange ( Darby , 1 956 ; S i m monds, 1 968 ) a nd t o e va luate t he s ign i f icance o f r el ict f eatures i n t he p resen t l andscape , g eographers h ave h ad , p erforce, t o make u se o f a rchaeo log ical d ata ( e .g. Roberts, t h is v o lu me ).
T hus, e ven f rom a c ursory g lance , i ts ee ms s afe t o
c onclude t ha t i nas much a s a rchaeo log ists a nd g eographers s hare a c om mon i n tere st i n t he d istr ibu t ion o fh uman p opu lat ions i n s pace , t he u se o f n atura l r esources a nd t he i n teract ion o f man a nd h is e nv ironmen t ( Renfrew , 1 969 ) , a nd a s y et h ave p a lpab ly f a i led i n t he ir s eparate q uests f or u n ity f ounded r ound a c om mon ( and t hus p oten t ia l ly c onf l ict ing ) t heoret ica l c o ire , t hey c an c on t inue t o e n joy a p rod uct ive d ia logue. However, w e a re u nab le t o a gree w ho lehearted ly w ith Ren frew 's v iew ( 1969 :74 ), c ited a pprov ing ly b y Goud ie ( 1976 :202 ), t ha t " The a i ms o f g eography a nd p reh istory a re c losely a nd i ncreas ing ly l inked". A l though t h is s ta te men t w as c learly n ever i n tended t o imp ly t ha t t hese f i e lds o f s tudy , o r p art s t hereof , wou ld e ven tua l ly merge i n s ome s ort o f myst ica l i n terd isc ip linary c o mmun ion , i td oes s ee m t o imp ly t he p robab il ity o f ag rea ter d egree o f c onvergence t han i s i n f act a pparent n early a d ecade l a ter— in f a irness t o Ren frew , i t must b e p o in ted o u t t hat , u n l ike many a rchaeo log ists , h e d oes n ot make t he m istake o f t reat ing g eography a si fi tw ere s ynonymous w ith s pat ia l a na lys is a nd g oes o n t o c i te p apers b yS toddar t ( 1967 ) a nd Hensha l l ( 1967 ) a s o ther a spects o f g eog raph ica l r esearch r elevan t t o p reh istor ic s tud ies.
I n a ctua l f act , i ti s p oss ible
t ha t i ft he d isc ip l ines c on t inue t o d ivers ify a t t he ir p resen t r a te, h e w il l u lt i ma te ly b e p roved c orrect a t q u ite a d ifferen t l evel , i .e. c erta in g eographers a nd a rchaeo log ists may e ven tua l ly f ind t hat t hey h ave more i n c om mon w i th o ne a no ther t han w ith o ther me mbers o ft he ir own d isc ip l ine , whe ther i n t er ms o f p h ilosophy , me thodo logy , o r o b jects o f s tudy. Nor d o w e w ish t o d eny t he i n terest t hat s pat ia l a rchaeo logy h as s hown i n g eograph ica l work i n t he s a me f ie ld ; w e wou ld mere ly p o in t o u t t hat t he c hance o f g eographers e xpress ing a r ec iproca l i n terest a re s ign if ican t ly l ower t han t hey w ere a d ecade a go , w ith ac orrespond ing r educt ion i nt he o pportun it ies f or p roduct ive c o l laborat ion . F ina l ly , i ti s p erhaps w orth r e mark ing o n o ne t rend t hat s ee ms t o u n ite many a rchaeo log ists a nd g eographers, wh ich , a lthough r ef lected i n t he c o mpos i t ion o f t h is v o lu me , h as y e t t o e ngender much d iscuss ion i n t he c on tex t o f t he r e lat ionsh ip b etween t he d isc ip l ines.
Th is i s t he d issat is fact ion t ha t b o th
g roups h ave b egun t o f eel a bou t t he ir l ack o f i nd igenous t heor ies r elat ing t o t he s oc ial p rocesses o perat ing i n s oc iety a s a who le.
I n i ncreas ing n umbers
a rchaeo log ists a nd g eographers a l ike h ave b een t urn ing t o t he l i tera ture o f o ther d isc ip l ines s uch a s e conom ics, h istory a nd e spec ial ly a n thropo logy i n t he a n t ic ipat ion o ft here d iscover ing r eady- made t heor ies o f s oc ial p rocess a nd s pa t ia l o r mater ia l f or m.
I ti s n o t o ur p urpose t o c om men t h ere o n
w hether o r n ot t h is h as s o f ar b een a p roduct ive L evelopmen t—a lthough i ti s o ur h ope t hat t he p apers c on ta ined i nt h is v o lume w il l a ss ist t he r eader i n
r eaching a n o p t imist ic v erd ic t—su f f ice i tt o s ay t ha t many a rchaeo log ists a nd g eographers b e l ieve i tt o b e ad es irab le d eve lopmen t , a l though a s w e h ave s een , s o me s cho lars ma in ta in t hat t ob e o f r e levance a s s oc ia l s c iences t he ir d isc ip l ines must f i rs t d eve lop i nd igenous g enera l t heory o ft he ir own b y means o f w h ich o ur i deas a bou t t he n ature o f s oc ia l o rgan isa t ion a nd c hange c an b e e va luat ed ( Clarke , 1 973; Harvey , 1 969 ; b u t s ee a lso H arvey , 1 973 ). Bu t t h is i n t urn r a ises t he p rob le m o f t he e x ternal f a lse-coherence o f d isc ip l ines. Are a rchaeo log ists ' a nd g eographers ' v iews o f w ha t a n thropo log ists d o l ikely t ob e a ny more a ccurate t han t he ir v iews o f e ach o ther ? A g lance a t t he d ivers ity o f t he o p in ions a nd i deas p u t f orward i nj ust a f ew o f t he ' an thropo log ica l ' t ex ts t ha t h ave b een c i ted b y a rchaeo log ists a nd g eographers w arns u s t ha t t h is i s e x tre mely u n l ike ly ( see e .g. Durkhe im , 1 893; G ode l ier , 1 972; Harr is, 1 968 ; L each , 1 976 ;
L ev i-St rauss , 1 962;
Mauss , 1 954 ;
Po lany i e t a l ., 1 957;
S ah l ins , 1 974; S teward , 1 955 ; e tc. ) a nd w ith t h is i n m ind l e t u s r eturn t o a more a bstract c ons iderat ion o fh ow t he p rob lems o f d isc ip l inary f a lse-coherence a f fec ts t he c on ten t a nd t he o u tcome o f e xchanges b etween t he d if feren t s oc ia l s c iences. The Fa lse-Coherence o f aD isc ip l ine F rom t he a bove e xam ina t ion o f c on temporary g eography a nd a rchaeo logy a nd o f t he c onvergence a nd d ivergence b e tween t hem , i tb ecomes c lear t ha t t he q uest ion o f c oherence , o r more p rec isely , f a lse-coherence, i s ac omp lex o ne i nvo lv ing i nd iv idua lp ercep t ions a nd i mages a nd d i f feren t t e mpora l it ies w ith in e ach d isc ip l ine. Moreover, i t must b e a sked t o w ha t e x ten t w e a re impr isoned w ith in o ur o wn mode o f r eason ing a nd l anguage s tructure a nd t o w hat e x ten t w e l ose f l ex ib il ity b y a t tach ing d escr ip t ive a nd of ten a dm in istrat ive l abels t op art icular f i e lds o f s tudy a s t hey a re p erce ived. There w i l l , o f c ourse , a lways b e n umerous s cho lars w ork ing o n t he p er iphery o f ar ecogn ised d isc ip l ine w ho m igh t e qua l ly b e a ccoun ted me mbers o f a no ther d isc ip l ine a nd i ndeed o ne m igh t a n t ic ipa te t hat p roduct ive i n terd isc ip l inary r esearch w ou ld t end t o f l our ish i n t he i n terst it ia l a nd o f ten t w il igh t a reas b etween s uch e stabl i shed f i e lds o f s tudy. However , i ti s o ur o p in ion t hat w here s uch i n ter-change o ccurs s pon taneously , i ti s l i kely t o b etween s pec if ic g roups o f workers a nd t ha t ow ing t o t he p rob lem o f f a lse-coherence a nd t he c on t inua l ly c hang ing c on ten t o f many d isc ip l ines , i tw ou ld b e u nrea l ist ic t o e xpect p roduct ive c ol labora t ion a t a ny h igher l eve l. I nt he f ace o f i ncreas ing i n ternat iona l is m i n t he a cade m ic v en ture i ti s c lear t hat t he d i f feren t d escr ip t ive l abe ls wh ich n a t ions a t tach t o f i e lds o f s tudy i s i n i t se l f ac ons iderab le o bstacle t o c ross-d isc ip l inary c ommun icat ion . A s w e h ave a lready s een , a rchaeo logy a nd a n thropo logy a re n o t d ist ingu ished i n t he U n ited S ta tes t o t he e x ten t t ha t t hey a re s eparated i n t h is c oun try ; moreover w hen a Br i t ish a rchaeo log ist t urns t o B r it ish s oc ia l a n thropo logy i nt he h ope , i ndeed e xpec tat ion , o fb e ing a b le t o e stab l ish a s im ilar ly p rof itable w ork ing a rrange men t , h e more o f ten t han n o t s u f fers a r ebu f f ( e .g. L each , 1 973 ; 1 977 ) w h ich r ef lec ts n ot o n ly t he a t t itudes o f t he i nd iv idua l s cho lar a pproached , b u t a lso t he f act t hat t here i s v ery l i tt le o ver lap b etween t he B r i t ish a nd Amer ican a nthropo log ica l t rad i t ions. As a no ther e xamp le , most h istor ica l g eographers i nt h is c oun try w ou ld u ndoubted ly b e c a l led h istor ians i nF rance. However , a n a ppea l a ga inst d ogmat ic n at iona l a cade m ic c ategor isa t ion i s d oomed t o x x iv
f a i lure t he momen t i te n coun ters t he a cade m ic s tructure , d istr ibu t ion o f r esources a nd d i f feren t t rad it ions o f l earn ing wh ich a re a f eature o f Western s cho larsh ip. The p aroch ia l n ature o ft he a cadem ic p ro fess ion i s ap owerfu l c onserva t ive i n f luence i n ma in ta in ing d isc ip l inary b oundar ies , a l though t h is i s p erhaps e ven more t rue o f B r ita in t han e lsewhere. T here i s , t hen , at hreef o ld p roble m i n a t te mp t ing t o e stab l ish t he c oherence o f ad isc ip l ine ; t he i n f lex ib i l ity o f n at iona l a cadem ic s truc ture ; t he e x is tence o f d i f feren t t e mpora l it ies w ith in a d isc ip l in e w h ich g ives r ise t o c on f l ict ing p r iva te a nd p ubl ic images; a nd f i na l ly t he d ef in it ion o f af i e ld o f s tudy . L et u s e xam ine t he s econd a nd t h ird a spects o f t h is p rob le m i n s omewha tg rea ter d eta il . By a t e mpora l ity w e s imp ly mean t he p assage t hrough t ime o f ap art icu lar r esearch i n terest o r t each ing v iewpo in t a s r ef lected i nt he n umber o f p ract it ioners who h o ld t he m. E ach t e mpora l ity c an b e c haracter ised i n t he f or m o f a na symmetr ica l w ave. E ar ly i nt he a dop t ion o f ap art icu lar r esearch i n terest i ti s c ommon t o o n ly a f ew r esearchers a t t he f ore fron t o f t he d isc ip l ine; b u t a s t ime p asses t he n umber o f w orkers a dop t ing a nd p ract is ing t h is i n terest f rom t hose a t t he v anguard r ises t o ap eak a nd t hen s low ly d ec l ines a ga in a s ar esu l t o f t h e f a ilure o f a n a pproach t o s o lve c erta in p roble ms o r i n t he f ace o f c ompet i t ion f rom a lterna t ive a nd n ewer r esearch i n terests. C lear ly d i f feren t r es earch i n terests h ave d i f feren t f or ms o f t e mpora l ity , a s s ome p rove t o b e o f g rea ter d urab i l ity t han o thers a nd s ome a re t aken u p b y more w orkers t han a re o thers. O n t he o ther h and i ti s n ot u nusua l f or a w ho le s er ies o f n ew r esearch i n terests t o d evelop r ough ly i np ara l lel i n r esponse t o ap art icu lar s t i mu lus w hether i n terna l o r e x terna l t o t he d isc ip l ine —wha t K uhn ( 1970 ) wou ld c a l l ap arad igm s h i ft—as h appened i nb o th g eography a nd a rchaeo logy i nt he 1 960s. The t e mpora l it ies wh ich t ogether make u p t he t each ing o rthodoxy o f a d isc ip l ine f o l low t he r esearch t e mpora l it ies i n t he ir b as ic f or m b u t w i th s o me s ign i f ican t d if ferences. F irst ly , an umber o f t he more s hor t-l ived r esearch i n terests a dop ted b y sma l l g roups o f workers n ever r ea l ly f ind e xpress ion i n t he g enera l t each ing o f
9
d isc ip l ine.
S econd ly , t here i s u sua l ly a c ons iderab le
d e lay b efore n ew r esearch i n terests a nd a pproaches f ind f u l l e xpress ion i n t each ing , p art ly b ecause t he t ex tbooks wh ich med iate b etween t he t eacher a nd t he t augh t u sua l ly r epresen t s yn theses o f w ork t ha t h as a lready b een d one a nd p ub l ished i np er iod ica ls a nd p art ly b ecause , a s w e h ave men t ioned i n c onnect ion w ith t h e Amer ican N ew A rchaeo logy , a s y ounger r esearchers f i nd t each ing p os it ions o f i nf luence t he ir v iews b ecome more a nd more w idely d isse m ina ted. T each ing t e mpora l it ies a lso t end t ob e l ongerl ived i nt he s ense t ha t t hey o f ten r epresen t t he l i fe t i me t each ing o f g roups who a dop ted s im ilar v iews a t t he o u tset o f t he ir c areers b u t p ub l ish l ess a nd l ess p r i mary r esearch a s t ime g oes o n , w h i le a no ther r eason f or t h is i s t hat t each ing i nev itab ly i s f ounded n o t o n ly o n r elat ive ly c urren t r esearch b u t a lso o n t he e ar l ier a ch ievemen ts o f ad isc ipl ine i nasmuch a s t hey a re s t i l l i n s o me w ay r e levan t . We d o n o to f c ourse w ish t o i mp ly t hat a ge i s t he s o le d eter m inan t o f t he r esearch i n teres ts a nd t each ing o r ien tat ion o f d isc ip l inary p ract it ioners—clear ly t h is w il lb e d ependen t o n an umber o f f actors i nc lud ing t he a t tract iveness o f an ew r esearch i n terest ; t he N ew Archaeo logy h as e xerted c ons iderab le i n f luence o n more t rad it iona l a rchaeo log ists i n Amer ica b ecause many o f i t s a i ms w ere a lready a f ea ture o f t he b roader a n thropo log ica l a pproach w i th in w h ich t he ir own r esearch h ad b een c arr ied o u t .
Equa l ly , t he N ew Archaeo logy h as met XXV
w ith s urpr is ing r es istance among s ome y ounger w orkers , t er med " new f og ies" b y F lannery ( 1973 ), ow ing t o p ersona l a t t itudes a nd e spec ia l ly t he t each ing w h ich t hey t he mse lves r ece ived. N ow , i fw e t ake a s ynchronous v iew o f ad isc ipl ine , i ts hou ld b e c lear t hat w hat w e a re i nf ac t d o ing i s t o t ake a c ross-sect ion a t d i f feren t p o ints i nt he t ra jectory o f a who le s er ies o f d i f feren t t e mpora l it ies. By o vers i mp l i fy ing c ons iderab ly , w e c an c haracter ise c on te mporary g eography i nt he f o l low ing w ay i nt er ms o f i t s c onst ituen t r esearch t e mpora l i t ies. F irst o f a l l t here a re a w ho le s er ies o f m inor t e mpora l it ies w h ich t oge ther r epresen t t he v ang uard o ft he d isc ip l ine , as or t o f i n te l lectua l f er men t c ompr is ing a n umber o f sma l l g roups e xper i ment ing w ith a r ange o fp h i losoph ica l v iewpo in ts , s uch a s s tructura l is m a nd Marx is m. S econd ly , t here i s a much l arger g roup o f workers r epresen t ing t he ' b ody ' o ft he b ehav ioura l t e mpora l ity . L ast ly , t here i s an ot i ncons iderab le g roup w h ich r epresen ts t he t a il o f t he s pat ia l a na lys is t empora li ty . How ever , i fw e h ad t aken a s im ilar c ross-sec t ion o f t he d isc ip l ine a d ecade a go , w e w ou ld h ave f ound t he b ehav ioura l move men t i n i t s e ar ly s tages , wh ile t he most p rom inen t f eature w ou ld h ave b een t he g roup o f s pa t ia l a na lysts , a ctua l ly i n t he b ody o f t ha t t e mpora l ity , T he w ho le s i tuat ion i s c lose ly a na log ous t o t he a rchaeo log ica l p rac t ice o f d at ing s i tes b y s er ia t ion ( e .g. D eetz , 1 967 ) , e. g .a rrang ing t hem i n at e mpora l o rder a ccord ing t o t he r e la t ive f req uency o f an umber o f d iferen t c eram ic t ypes p resen t o nt he s i tes. H ad w e i nstead a t te mp ted t o c haracter ise g eography i nt er ms o f i t s t each ing t empora l it ies , a s e v idenced b y c urren t t ex tbooks , ar a ther d i f feren t p icture w ou ld emerge , w ith a g rea ter emphas is o n s pat ia l a na lys is ow ing t o t he t ime l ag. T hus i ti s c lear t ha t d epend ing a t wha t s tage a d isc ip l ine i s c haracter ised , a nd d epend ing o n w hether o ne 's emphas is i s o n t he r esearch r epresen ted i n p er iod ica ls o r o n i t s t ex tbooks , s evera l d i f feren t c a tegor isat ions may b e p rop osed . Thus t o c haracter ise a d isc ip l ine w i th r espect o n ly t o i t s i n te l lectua l v anguard c ou ld b e t o i gnore t he f ar l arger s ect ion c on ta in ing p erhaps t he c ore p rob le ms a nd e stab l ished t heory b e long ing t o e arl ier t e mpora l it ies. A lternat ive ly , t o d escr ibe o n ly t he d isc ip l ines ma jor o r ien ta t ions i s t o d eny t he imp or tance o f t he i n te l lectua l f er men t a t t he f ron t . Moreover , i nt he s en se t ha t e ach t e mpora l ity c on ta ins t he s eeds o f i t s o wn d estruct ion i n t he f or m o f i nso lub le p rob le ms a nd t hus p rov ides s ome o f t he mat ter f rom w ith o ther t e mpora l it ies s pr ing u p , t here i s ad ia lec t ica l r e lat ionsh ip b etween t he f oref ront o f ad isc ip l ine a nd i t s t a i l a nd t o i gnore o ne o r t he o ther i s c lear ly d etr imen ta l t o af u l l u nderstand ing o f t he d isc ip l ine 's t ra jectory . W ith t h is i n m ind , l et u s r eturn b r ief ly t o t he r ela t ionsh ip b etween a rchaeo log ists a nd g eographers. T here i s c ons iderab le e v idence t o s upport t he i dea t ha t t he f or mer 's v iew o f t he l a tt er ' sd isc ip l ine a s ac oheren t s pa t ia l s c ience r ests o n t he i mage p resen ted b y t he t ex tbooks o f t he 1 960s. I nasmuch a s mos t a rchaeo log ists h ave c oncerned t hemselves w i th t he r esearch l i tera ture o f g eography , i th as b een t ha t r e lat ing t o t he t a i l o f t he s pat ia l a na lys is t e mpora li t y ( c f . t he b ib l iography i n Hodder a nd O rton , 1 976 ) , r ecen t ly e nshr ined i nt he s econd e d i t ion o f L ocat iona l Ana lys is i n Human G eography ( Hagge t t , C l i f f a nd F rey , 1 977 ) w h ich may y et e xerc ise a s p owerfu l a n i n f luence o n t he n ex t g enera t ion o f a rchaeo log ists a s d id i t s f a mou s p redecessor. However, a s r egards many o ther f i elds o f s tudy , t he c urren t i mage a nd l anguage o f g eo-
graphy represents a serious barrier to communication, albeit mat.ched by the view of many geographers that archaeology is just a technique for the recovery of material data, and it is to be hoped that the papers assembled in this vol ume will go some way towards dispelling this myth on both sides. Conclusion:
towards breaking the communication barrier
The fundamental question that rapidly becomes the bedrock upon which all further enquiries into coherence are founded, is that concerning the definition of a field of study; possibly the fundamental question of research in general. We would maintain that it is invidious to make a distinction between the physi cal and human sciences and fraught with pitfalls for those who push the distinc tion too far. Marx, for instance, warns that no science can take its object as given, but must create it through theoretical praxis. Facts no matter how accurately they may be described, are ideational and therefore a product of human activity; moreover the act of observation is also the act of evaluation. When this is pushed to its logical extreme, it cannot be held that the physical and human sciences are different in kind. Where they do differ is in the de gree of exactness with which they are able to delineate their field of study. Now, according to Husser!, the first great st.ep in the process of discovery lies in: " •••overcoming the finitude of nature that has been thought of as an objective-in-itself, finitude in spit.e of the open infinity of it. Infinity is discovered and first of all in the form of idealised quantities, mas ses, numbers, figures, straight lines, poles, surfaces, et:c. Nature, space and time become capable of stret:ching ideally into infinity, and also of being infinitely divided ideally..... Now without anyone forming a hypothesis in this regard, the world of perceived nature is changed into a mathematical world, the world of the mathematical natural sciences." (1965:82-3). For him, the development of the natural sciences was totally insufficient to provide a theoretical approach to human behaviour-knowledge of the spirit as he termed it. Thus in the human sciences, nature is never nature, but rather nature-with-spirit. The positivist attempt t:o attach coherence to the social sciences through the application of the methodology of the exact sciences, as for instlnce in the structural-functionalism of British social anthropology or with spatial analysis in geography, was according to HusserI, doomed to failure precisely because it paid no attention to the subjective status of object ive science (see alsoFeyerabend, 1975). Since the mathematically exact sciences deal only with appearances as data in the factual sense, their approach is clearly inappropriate t:o deal with the ideational facet of appearance. Similarly, any att.empt to suggest that different social science disciplines objectively study different facets of human behavioux must be viewed with scepticism • A lesson that is always apparent in the human sciences, yet usually ignored, is that no matter to what degree man is excluded from an analysis of his social and spatial appearan�'�S, he nevertheless lies at the root of all enquiry-both as subject and object, Thus, the idea that the coherence of social science disciplines is foundec' on their possession of a separate core xxvii
problem or set of problems, is necessarily false since at their heart lies a common subject, man, and a common object, human behaviour. However, despite a common object and subject, the t.endency in the social sciences has not been towards convergence but divergence, or more explicitly towards a profusion of disciplines, each proceeding in dialectical fashion, by analytical reasoning, to destroy their own coherence, thus begetting yet more disciplines. In the face of this trend towards multidisciplinarity, social sci entists have frequently invoked the notion of int.erdisciplinarity as a ldnd of "epist.e mological panacea" (Gusdorf, 1977 :580) with which to overcome these disint.egrative tendencies. Interdisciplinarity aims at establishing the possib ility of a dialogue between the various occupants of mental space and goes about doing this in two relat.ed ways • First, it attempts to establish unity by denying any allegiance to a partic ular discipline, whilst avowing its faith to common problems as the focus of research. It thereby rejects analytical reasoning in favour of synthesis and adopts centripetality as its guiding tendency. However, this can call for sacrifice of career-orientated, individualistic, specialisations in favour of a more collectivist approach to particular problems as the common focus of research. This, of course, runs counter to the professionalisa ·on of dis ciplines, a process which tends to revolve around the accumulation of a store of 'disciplinary knowledge' and stresses the importance of the 'specialist' r 'professional' in that discipline. It is of some int.erest to note that one of the few genuine attempts to promot.e a collectivist, inter-disciplinary, research programme, the South-Western Anthropological Research Group (Gumerman, 1973), has apparently not entirely succeeded in overcoming either the existing institutional barriers, or for that matt.er the restrictions imposed by its own ruling paradigm (Gledhill, Pers. Comm.; see also Longacre, 1974 and dis cussion). Secondly, it seeks to establish a common dialogue based on a universal language, which must perforce c ncentrat.e on form rather than content. General Syst.em Theory was long held to be just such a language (see Von Bertalanffy, 1973) and more rec ntly str 1cturalism (Piaget, 1968). Too oft.en, though, the search for this int.e rdisciplinary foundation has been reduced to the quest for a magic formula in terms of universal rules and properties of the organisation of phenomena. Indeed, it may yet prove to have been the case that in some instances the extravagant claims made on behalf of interdis ciplinarity have inhibit.ed discussion between believers and non-believers of the approach in question. Interdisciplinarity, though, also shades into the notion of transdisciplin arity: the idea of a transcendent "scientific authority binding on several disciplines" (Gusdorf, 1977:588). In essence this concept takes us away from a concentration on form or appearance and into the realms of epistemology. For some, such as Husserl (1965) and Feyerabend (1975) this has meant philosophy, whilst for others, notably Marxists such as Therborn (1976) this has involved historical mat.e rialism. Yet other paths can be traced, such as that taken by Godelier (1972) passing from philosophy to economics and then to anthropology. This focus on epistemology necessarily involves a different level of abstraction from that implied by int.erdisciplinarity and the complexity xxviii
of the concepts dealt with often places them beyond the reach of the majority of practitioners in the various disciplines. Small wonder then, that: ''Transdisciplinari�, as actually practised, is an empty chair which everyone would like to sit in; it is one of the most coveted prizes at the int.ellectual Vanity F air." (Gusdorf, 1977 :588). As the quotation at the head of this paper shows, the idea of knowledge as a single realm is by no means a new one. Indeed, the contemporary call for interdisciplinary research could be seen as a reaffirmation of a wholeness lost in the course of disciplinary evolution. However, the road back to unity, if indeed it is the correct road to search for, will at best be a long and difficult one. But at least in seeking to break down the barriers between disciplines and by an explicit recognition of the divergence that exists, along with some suggestions by which convergence may be brought about, we have all started to walk in the same direction. June 1978
Footnotes 1.
Our original intention was that this introduction should be written by all three editors. However, the draft of Matthew Spriggs' contribution reached us too late for integration with the rest of the article, whilst the commencement of his fieldwork in the New Hebrides precluded revision of the draft as a separate introductory paper •
2.
The contrasting and perhaps largely conflicting aims of which are discussed in Flannery 1967.
3•
Similar doubts have been ..;c · ced by several anthropologists ccrcerning the application of neo-classica economic theory to the study of non-industrial ised societies. A good account of the so-called Formalist-Substantivist debat.e is given in Dalton 1969, w�ich includes a comprehensive bibliography.
Acknowledgement We would like to thank John Gledhill, John Hall and Colin Renfrew for their helpful comments on an earlier draft of this paper.
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models f or
S ECTION I FRONTIERS , BOUNDAR IES AND GROUP I NTERACT ION
The s tudy o f f ront iers, b oundar ies a nd g roup i n teract ion h as a lways h ad a p lace i na n thropo logy , a rchaeo logy a nd g eography , a lthough ow ing t o t he o f ten c yc l ica l n ature o f d isc ip l inary i n terests , p o in ted o ut b y S . Haselgrove, s uch t op ics h ave n ot a lways h e ld t he s tage a t t he s ame t ime i n e ach o f t he t hree d isc ip l ines.
For t h is r eason p erhaps , c o m mon g round h as n ot o ften b een p erce ived
o n a ni n ter-d isc ip l inary b as is —a p rob le m wh ich t h is s ect ion a t te mpts t o r e medy. F or i nstance , t here i s t he c om mon c oncern w ith a s ituat ion i n w h ich t wo c u l tures, o f ten w ith d i fferen t t echno log ica l c apab il it ies , meet a nd i n teract . A lexander 's work , b ased o n t he g eograph ica l i n terpretat ion o f Fron t ier Theory a nd N ewson 's u se o f t he L aw o f Cu l tural Dom inance may b o th b e v ery u sefu l h ere.
There a re myr iad e xamp les o f s uch i n teract ions i n r ecen t c o lon ia l
h istory a nd , we n ow r ea l ise , i nt he a rchaeo log ica l r ecord a s w el l—"neo l ith ic" f armers p ush ing o u t "meso l ith ic" h un ter-gatherers t o marg ina l a reas i s o ne o bv ious e xa mp le. I ndeed , Anderson w ou ld s ee e conom ic c o mpet it ion b etween g roups a s a n importan t s t imu lus t o c u ltura l c hange.
P rocesses o f d if fus ion
a cross a nd w ith in e thn ic b oundar ies h ave b een c ons idered b o th b y a rchaeo log is ts a nd b y g eographers a nd Ren frew 's u se o f Catastrophe Theory i n i nvest iga t ing t he a dopt ion o f i nnovat ions may r epresen t as ign if ican t a dvance i n t h is a rea.
However , i tr e ma ins p oss ible t hat more a tten t ion w il l h ave t o b e p a id
t o p rob le ms o f s ca le a nd s amp le i nheren t i n t he a pp l icat ion o f Ca tastrophe Theory t o t e mpora l d a ta. Cruc ial t o a ny d iscuss ion o f t he a bove t op ics i s t he d ef in it ion o f e thn ic a nd i den t ity g roups. The h istory o f a rchaeo logy i s l i ttered w ith s i mp l ist ic e quat i ons o f a rchaeo log ica l " cu ltures" w ith e thn ic g roups.
Th is s pawned " the
Beaker Fo lk" , v ar ious " Bat t le-Axe p eop le a nd i n I nd ia , b ased o n ad ist inct ive p ot tery w are, t he " Black a nd Red Peop le"! However , a more d e ta i led c ons iderat ion o ft he c u l ture-peop le e quat ion i s n ow u nderway i n a rchaeo logy , b ased n o t o n ly o n a n thropo log ica l s tud ies o f c on temporary g roups a nd t he ir ma ter ial c u l tures , b ut a lso o n o r ig ina l f ie ldwork , s uch a s t hat p resen ted h ere b y Hodder. W ith in s ocia l a n thropo logy t he r ecogn it ion o f e thn ic g roups a nd b oundar ies i s a lso a s ub jec t o f s ome c on ten t ion , p art icu lar ly i n t he c on tex t o f s tud ies o f 3
u rban e thn ic ity . Th is h as f o l lowed f rom Barth 's w ork wh ich h as b een c r i t ic ised i n s o me q uarters a s merely d escr ip t ive a nd b ased o n a n e ssen t ial ly c ircu lar a rgumen t . He i s s a id t o s ee e thn ic i den t ity a s a n i nnate p red ispos it ion a nd t herefore a s a n a h istor ica l c oncep t. Th is i s n o t t he p lace t o e n ter i n to a c o mp lex a nd c on t inu ing d eba te, b ut i ti s worth n ot ing t hat Hodder ' s e thnoh istor ica l a na lys is , i nsp ired b y Barth 's i deas, o vercomes many o f t he o b ject ions t o h is a pproach. I n t he r ea l ms o f h istor ica l g eography , s ome a t ten t ion h as a lready b een p a id t o t he l andscape a s p erce ived b y f i rst s et t lers a nd o thers, a p roble m o f p erc ept ion w h ich w ou ld r epay s tudy b y a rchaeo log ists a nd a n thropo log ists i n teres ted i n t h is d ebate.
I ti s e ncourag ing t o n ote t hat t he more t rad it iona l g eograph ica l
i nterest i n r es iden t ia l s egregat ion ( o f ten s tress ing e thn ic f ac tors ) t oge ther w ith many o f t he o ther t he mes r a ised i n t h is s ect ion , h ave a lready s t i mu lated f urther i n ter-d isc ip l inary d iscuss ion a s e v idenced b y t he c onference o n " Soc ia l A rea Ana lys is" h eld i n Cambr idge e ar l ier t h is y ear. I n c onclus ion i ti s w orth emphas is ing t hat a l l h uman b ehav iour h as a s pat ia l c omponen t , b ut t hat d if feren t t ypes o fb ehav iour h ave d if feren t t err itor ia l man if estat ions. We must b e c arefu l n ot t o a l low a n o bsess ion w ith p ar t icu lar k inds o f mater ia l a nd p ercep tua l b oundar ies t o o bscure t h is f undamen tal p o in t a nd d ef lect o ur a t ten t ion c o mp lete ly f ro m o ther f or ms o f h u man i n teract ion u pon wh ich t he ir e x istence h as n o b ear ing.
4
CR IT ICAL S ELF-CONSCIOUSNESS AND BEYOND? SOME THEORETICAL PERSPECT IVES S usanne Haselgrove
Abs trac t Th is i ntroductory p aper e xa m ines i n ter-d isc ip l inary i n terests i n t he r elat i onsh ips b etween sma l l-sca le a nd c omp lex s oc iet ies i n t he c on tex t o f r esearch c arr ied o ut i nt he p ost-co lon ia l e ra.
I ti s a rgued t ha t N ewson 's a dherence t o
t he L aw o f Cu l tura l Dom inance , w ith i t s r oo ts i n t he p r inc ip les o f h omo e conom icus, i gnores t he c r i t ica l r eassess men t o f h ierarch ica l models o f h uman d evelopmen t o ccas ioned b y t he g row th o f Th ird World ' Consc iousness '. Recen t a rchaeo log ica l work o ng roup i n teract ion h as t aken t he e cono my a s t he b as ic u n it o f a na lys is , ap os it ion wh ich p erhaps marks a r e treat f rom t he e x tremes o f o p t im is m s hown i nt he 1 960s r egard ing t he d egree o f i n ference p oss ib le f ro m a rchaeo log ica l ma ter ia l ; i t may a lso r epresen t a n u nrea l s eparat ion o f i n terest. The r ecogn it ion o f e thn ic i den t ity , f or s o l ong t he g oal o f much a rchaeo log ica l r esearch , i s n ow r ecogn ised a s o n ly o ne f acet o f t he p erspect ive o n i n tra- a nd i n ter-group r elat ions a fforded b y mater ia l c u lture. • • • • • • • • I nt he p apers p resen ted i nt h is s ect ion , t he a u thors d isp lay a c om mon i n tere st i ng roup i n teract ion a nd , wh i le f ron t iers a nd b oundar ies a re a lso u nder r ev iew ( both imp l ic it ly a nd e xp l ic it ly ) t hey a re ma in ly d iscussed a s s ubsets o f t h is g enera l t he me. Two b road a pproaches c an b e d iscerned. Ren frew 's p aper , wh ile b e ing c oncerned w ith t he e x terna l r elat ions o f s oc iety i n i t s r ev iew o f t he p rocess o f d i ffus ion , f ocuses o n t he i n terp lay o f f actors, i n terna l t o a s oc iety , wh ich b r ing a bou t c hange. The o ther a u thors , h owever , s tress i n tera c t ions w ith e x terna l g roups a nd f ac tors a s b e ing c ruc ia l t o t he s trateg ies a dop ted b y t he s oc iet ies , u nder r ev iew. O ft he a uthors , o n ly Hodder d ea ls w ith a c on te mporary s oc iety—the t r ibes o f t he Bar ing° d is tr ict o f K enya—and t akes f u l l a dvan tage o f a n a sset d en ied t o s tuden ts o fp as t s oc iet ies , t hat o fb e ing a ble t o d iscuss a rtefacts w ith t he ir makers.
The r elat ionsh ip b etween ma ter ial c u lture a nd t he s oc iety wh ich
p roduced i th as a lways f or med o ne o ft he ma in c oncerns o f a rchaeo logy , e spec ial ly t he e x ten t t o wh ich t he s tructure o f t he l at ter may b e i n ferred f rom t he f ormer ( Hawkes , 1 954; B in ford , 1 968 ).
Yet , i ti s o n ly r ecen t ly t hat a rchae-
o log ists h ave s ough t t o t est t he ir a ssump t ions a bou t ma ter ial c u l ture-pa t tern ing i n c on te mporary c on tex ts ( e .g. Dav id , 1 971;
F letcher , 1 977 ;
B in ford , 1 977 ).
Hodder ' sc onclus ion , t ha tt he d ist inct ions i n mater ial c u lture d etectab le b etwen t he v ar ious t r iba l g roups s te m f rom i t s r o le i n t he ma in tenance o f d ist inct g roup i den t it ies , wh ich a re t he mselves n ecessary t o i n ter-group r elat ionsh ips i nvo lvi ng n egat ive r ec iproc ity , h as much t oc o mmend i t . N evertheless, s uch a monoc ausa l e xp lanat ion s ee ms t o i gnore l essons, wh ich t he r est o f h is p aper h igh l igh ts ' , 5
i .e. t hat h uman b ehav iour i s t he e xpress ion o f a mu l t ip l ic ity o f s ubcon sc ious a nd c onsc ious a t t itudes a nd c oncep ts. ( An i dea h ard ly u n fa m i l iar e ven i nt he p opu lar p sycho log ica l l i terature—Argy le , 1 972;
B erne , 1 966.)
The p rob le ms o f t he i n terpre ta t ion o f h uman b ehav iour i nt he e t ic c on tex t o f e thnograph ic r esearch h ave l ong b een t he s ub ject o f d ebate i n a n thropo logy ( Harr is , 1 968 ) , a nd i ti s h ard ly s urpr is ing , t herefore , t hat t he n ew b reed o f e thno-archaeo log ists , d ue t o t he ir u n fa m i l iar ity w ith t he c omp lex ity o f ad isc ip l ine o ther t han t he ir own , a re f a l l ing i n to t he s ame p it fa l ls a s many d ist ing u ished a n thropo log ists. However , a rchaeo log is ts c an e xpect l i t t le h e lp f rom a n thropo log ists i n c arry ing o u t s uch s tud ies o f ma ter ia l c u l ture , s ince most a n thropo log ists , e ven o f t he s tructura l ist p ersuas ion , b el ieve t hat t hey n eed n o t c ons ider ma ter ia l c u l ture a s p art o f t he ir ' s oph ist ica ted ' a na lyses o f k ins h ip p at terns , p o l it ica l s tructure a nd r i tua l b ehav iour. I tc an o n ly b e h oped , t herefore , t hat t here may b e ag rea ter d egree o f c ross-fert il isat ion o fi deas b etween t hese t wo d isc ip l ines , wh ich e xp lo its t he b es t f rom b o th a pproaches, i n t he f u ture. N otw iths tand ing a ny r eserve i na ccep t ing t he c onc lus ion d rawn f rom t he Bar ingo ma ter ia l , t here c an b e l i t t le d oubt t ha t ' i n-dep th ' s tud ies s uch a s Hodder 's a re c ruc ia l t o t he f urther d eve lopmen t a nd r ef inemen t o f a rchaeo logy a s ad isc ip l ine , s ince t hey d e monstrate t he c omp lex ity o f h uman b ehav iour a nd t herefore t he n ecess ity o f i mprov ing b oth t he methods o f i nvest igat ing p as t b ehav iour p at terns a nd t he t heoret ica l b as is f or i n terpret ing t he m. O n ly i f t hey a ccep t t h is c omp lex ity , w i l l a rchaeo log ists e scape f rom t he s i mp l ist ic l eve l o f e xp lana t ion , w h ich t hey i nher ited f rom t he h istor ic is t p arad igm o f t he i n tra-war p er iod ( Clarke, 1 973 ). Ano ther c oncep t wh ich C larke d iscusses i nt he s a me a r t ic le , t hat d isc ip l ines a re r e lated t o ' t he s p ir i t o f t he t imes ' ( Clarke , 1 973:8 ) , i s amp ly i l lustrated b y A lexander , Anderson a nd N ewson 's p apers , w h ich d ea l w ith t he e f fects o f i n terac t ion b etween g roups a t d i f feren t ' l eve ls ' o f e conom ic d evelopmen t . I n t he c ase o fA lexander a nd Anderson , h un ter-ga therer-f isher/agr icu l tura l ist r e la t ions a re r ev iewed , w h i le N ewson d iscusses t hose b etween European c o lon ists a nd t he i nd igenous p eop les o f L a t in Amer ica. I nt he h eyday o f c o lon ia l c omp lacency , as tudy o f s uch r ela t ionsh ips wou ld h ave b een o fl i t t le i n terest , ow ing t o t he a ssumpt ion , b ased o n t he t hen c urren t p arad igm o f s oc ia l d evelopmen t ( e .g. Morgan , 1 877 ) , t hat h un ter-ga therers e tc. w ou ld n atura l ly l eap a t t he o pportun ity o f c on for m ing t o t he a gr icu l tura l w ay o f l i fe , o f fered t o t hem b y t he c o lon ia l a dm in ist ra t ion , b ecause i tw as c lear ly ' b et ter ' i .e. h igher u p t he e vo lut ionary s ca le , t han t he ir t rad it iona l w ays.
T he d e-
v elopmen t o f p ost-co lon ia l Th ird Wor ld ' Consc iousness ' h as p rov ided t he c on tex t f or a r e-exa m ina t ion o f t h is v iew . Book s s uch a s Man t he H un ter ( Lee a nd d e Vore, 1 968 ) p rov ided t he h ard d a ta a bou t t he c omparat ive e nergy i npu t o fh un ter-ga therer a nd a gr icu ltura l p a t tern s o f s ubs istence , w h ich e nab led s cho lars t o c ha l lenge t he t rad it iona l ' supremacy ' o f s eden tary o ver mob ile e conom ies. The a n t i-techno log ica l , e co log ica l ly a ware movemen ts o f t he s ix t ies a nd s even t ies h ave a lso p romp ted a r eassessmen t o f t he h ierarc h ica l mode l o f h uman d evelopmen t i n r e ject ing t he v a lues o f w estern c iv i l isat i on , i n f avour o f e co log ica l ly s en s it ive ' s el f-suf f ic iency '.
6
G iven t he o perat ion o f t hese f actors a nd i n f luences, i t i s a l l t he more i n tere st ing t hat N ewson c hooses t o a pp ly a model , u lt i mately b ased o n t hese s a me e vo lu t ionary p r inc ip les —the L aw o f Cu l tura l Dom inance.
Part ia l ly , t he g enera l
n eo-evo lu t ionary s choo ls ( Harr is , 1 968 :634 ) a re a l og ica l r eact ion a ga inst t he p reva i l ing p arac l ign , wh ich r e jected n ineteen th c en tury e vo lu t ion is m.
Part ia l ly ,
t hey a re a lso t he r esu lt o f t he i ncreas ing ' respectab il ity ' o f Marx is m a s a n a cademic o r ien tat ion , w ith i t s e vo lut ionary model o f t he d evelop men t o f h uman s oc ie ty .
N everthe less, t he b as ic a ssu mpt ion w h ich u nderl ies t he L aw o f Cu l-
t ura l D om inance i s o ne o f h ierarch ica l ' s upre macy ' , where ef ic iency o f e nergy e xp lo i ta t ion i s t he c r iter ion o f ' success ' i .e. e xpans ion i n to t he w idest r ange o f e nv iron men ts. S oc iet ies a re a rranged , t herefore, i n ar ank ing o rder b ased o n t he d egree o f c on tro l wh ich t hey e xert o ver t he ir e nv iron men t , u sua l ly t hrough t he u se o f t echno log ica l a ids.
Desp ite e xpanded a cade m ic h or izons a nd a n
a pprec iat ion t ha t t here i s n o a u to mat ic c orrelat ion b etween t echno log ical ' s i mp l ic ity ' a nd o ther f ace ts o f c u lture, t h is model i s a s r ooted i n t he p r inc ip les o f max im is ing ' ho mo e cono m icas ' , a s was n ineteen th c en tury e vo lut ion is m. Th is must b e r egarded a s a t l east a s l igh t ly r etrogress ive p os it ion s ince t he work o f many e cono m ic a n thropo log ists ( e .g. Da lton , 1 968; Da lton , 1 969 ) h as c ha l lenged t he a u to mat ic a pp licab il ity o f t h is ' max im is ing ' mode l t o ' smal l s ca le ' s oc iet ies a nd ' archa ic ' c iv i l isat ions. Ano ther t he me wh ich u n if ies t he p apers i n t h is s ect ion i s t he ir mu tua l i n tere st i nt he ' Econo my ' , a s t he most a ppropr iate u n it o f s tudy—whether e xp l ic it ly i n t he c ase o f Anderson o r a s r educed t o s ubs istence s trateg ies i n t he o ther p apers.
Even Ren frew 's p aper , wh ich t heoret ical ly r ev iews t he f u l l r ange o f
f ac tors r espons ible f or Cu lture Change, i s b as ica l ly e cono m ic i n i t s o r ien tat ion a nd a na log ies.
As f ar a s t he a rchaeo log ica l a u thors a re c oncerned , t h is i s a n
i n terest ing p os it ion a nd p erhaps r epresen ts a r etreat f ro m t he ' Opt im is m ' o f t he N ew Archaeo logy a s t o t he d egree o f i n ference wh ich i s p oss ible f ro m t he a rchaeo log ical r ecord ( B in ford , 1 968 ).
To a l arge e x ten t t h is a t t itude c an b e
c ompared w ith t ha t e xpressed i n t he Hawkes ian l adder o f i n ference ( Hawkes , 1 968 ).
I ti s p erhaps s ign i f ican t t hat t he o n ly p aper , wh ich p resen ts a n impres-
s ion o f e ven g uarded ' op t im is m ' i s N ewson 's.
An e xp lanat ion c ou ld b e t ha t
Geography h as p assed t hrough a nd l earn t f ro m t he h eart-search ing o f i t s p hase o f ' D isc ip l inary S elf-Consc iousness ' a nd
r ega ined c on f idence i n t he r el iab il ity
o f i t s t heory a nd methods, whereas a rchaeo log ists a re s t il l a t t he s tage o f : ' Look h ow l i t t le w e k now a nd h ow i nappropr ia te a re o ur mode ls a nd e xplanat ions ' ( Clarke 1 973 :7 ). I n s ome ways , t h is r etreat f rom t he e x tre mes o f t he B in ford ian p os it ion may b e s een a s ar a t iona l isat ion imposed b y t he a pp l icat ion o f t hese models a nd t h is me thodo logy t o aw ider r ange o f a rchaeo log ica l d a ta t han w as i n it ia l ly a t te mp ted. Further more , a s s evera l o f t he a u thors p o in t o u t , e cono m ic d ata a re w idely a va ilab le f ro m a rchaeo log ical c on tex ts a nd , p art icu larly t hrough t he work o f H iggs a nd h is c o l leagues ( H iggs , 1 975 ), a rchaeo log ists a re b eco m ing i ncreas ing ly aware o f t he ir v a lue.
Here a ga in t he i deas o f Marx is m may b e a n i nf luence
t hrough i t s c oncern w ith Means a nd Mode o f Product ion e tc. ( Gode l ier, 1 977 ). N ever theless , s uch a c oncen trat ion o f i n terest o n t he ' l owest c o m mon d eno m inat or ' d oes s ee m n arrow i n i t s o ut look a nd , s ince e thnograph ic d ata s uggest t hat ' econo m ic ' a ct iv it ies d o n o t f or m a s eparate s phere o f b ehav iour i n s oc iet ies ,
7
s uch a s t hose s tud ied b y a rchaeo log ists , may r epresen t a n u nreal s epara t ion o f i n terest.
However, a s t ime g oes o n a nd a rchaeo logy d eve lops b eyond
' Cr it ical S elf-Consc iousness ' , p erhaps g reater c on f idence may b e g a ined i n t he d a ta , s ince g reater r igour w il l h ave b een a pp l ied t o i t s c o l lect ion a nd i nt erpre tat ion , w ith t he c onsequen t i ncrease i n t he d egree o f i n ference p oss ib le. The g row ing i n teres t i ng roup i den t ity a nd i n teract ion , o f wh ich t h is s ec t ion i s s y mpto mat ic , n o t o n ly d isp lays t he c yc l ica l n ature o f a cade m ic i n terests , b ut a lso t he way i n wh ich t hese i n terests a re mod if ied b y d evelop men ts i n k nowl edge a nd methods.
I n a rchaeo logy , t he t w in p il lars o f t he Ku lturk re is Concep t
a nd h istor ic ist i n terpretat ion l ed t o t he f am il iar ' Beaker Fo lk ' , Mouster ian t r ibes a nd ' Corded Ware/Ba t t le Axe F o lk ' , where a rchaeo log ica l ly d e f ined t axa w ere g iven ' rea l ity ' b y t he ir i den t if ica t ion a s t he t oo l-k it o f ap art icu lar s oc ia l g roup.
S uch g roups c ou ld h ave n egat ive a t tr ibu tes , a s f or e xa mp le t he a bsence
o fb ur ia ls i n Hodson 's ' L it t le Woodbury Cu lture ' ( Hodson , 1 964 ).
Wi th in t he
t ex t-a ided p er iods , t he i den t if icat ion w ith e thn ic g roups was e ven more p opu lar —the Belgae , t he P icts a nd t he J u tes a l l h ad t he ir a rchaeo log ica l man ifesta t ions ( Leeds, 1 913;
Hawkes a nd Dunn ing , 1 930 ;
Wa inwr igh t , 1 955 ).
The s pat ial
d istr ibu t ion o f c haracter ist ic a rtefacts was i den t if ied w ith t he e x ten t o f t ha t p art icu lar n a med g roup o r p eop le.
D ifferences i n t he d istr ibu t ion o f t he a rte-
f act g roup w as i n terpreted i n t er ms o f h istor ica l ly a t tested p rocesses s uch a s M igra t ion , D if fus ion , I nvas ion , e tc. ( Dan iel , 1 962 ). Doub ts a bou t t he v a l id ity o f t he ' Cu l ture Concep t ' were e xpressed i nd irect ly i n Tho mson ( 1939 ), where h e o bserved t hat c on te mporary Abor ig ina l g roups i n Arnhe m land u sed d if feren t t oo l-k its a t t he ir S u mmer c oasta l s ites f rom t hose t hey u sed o n t he ir i n land Win ter s i tes, where t hey p ursued a d if feren t r ange o f s ubs istence a ct iv it ies.
Fo l low ing t he K u lturk re is p r inc ip le , t he c oas ta l a nd
i n land s ites wou ld h ave b een i den t if ied a s b elong ing t o d i fferen t c u l tures/groups , o n t he b as is o f t he d if feren t a rtefact p at terns.
By t he n ineteen s ixt ies , t he
f unct iona l ist i n terpretat ion ( borrowed f ro m a n thropo logy ) h ad i ncreas ing ly b ecome p opu lar , e spec ial ly i n r elat ion t o t he Pa laeo l ith ic , where Bordes ' t r iba l model h ad b egun t o c ome u nder a t tack ( Bin ford , 1 973;
Mellars , 1 973 ).
S tud ies o f microwear o nt oo ls a t te mpted more p rec ise i den t if icat ion o f t he u se o f f l in t Too ls ( Clarke, 1 976 ).
Many o f t he c u ltures were t aken a part a nd r e-
a na lysed , a s f or e xa mp le h appened f or t he Br it ish p re-Roman I ron Age ( Cun l if fe, 1 974 ).
The r ea l ity o f g roup ings o f a rtefact t ypes was c ha l lenged
a nd more o f ten e le men ts o f t he o ld Cu ltures w ere a nalysed b y t he ir s eparate c o mponen ts.
For e xa mp le , i n Cun l if fe 's a na lys is , p ot tery , meta lwork ,
s et t le men t a nd e cono my a nd h il lforts a re d iscussed i n s eparate s ec t ions a nd c hanges i n o ne e le men t a re n o t a uto mat ica l ly l inked w ith t hose i n o ther e le men ts , a s wou ld h ave h appened u nder t he o ld mode l.
I ndeed , t he f i ss ion o f t he o ld
C u l ture/group mode l was i nev i tab le f ro m t he a na ly tica l p o in t o f v iew a s a r esponse t o t he t re mendous i ncrease i n t he amoun t o f a rchaeo log ica l d a ta k nown , wh ich p reven ted s cho lars f rom g a in ing a g rasp o f t he f ul l r ange o f ma ter ial c u l ture, o ver a w ide a rea , a s was p oss ib le i n t he p ast. However , t he s cep t ic is m o f t he N ew Archaeo logy w ith i t s o r ien ta t ion t owards ' sc ien t i f ic ' r ather t han ' h istor ic ist ' methods o f a nalys is a nd t ypes o f e xp lanat ion ( Bin ford a nd B in ford , 1 968;
Watson , l e B lanc a nd Redman , 1 971)
f ina l ly s ounded t he d eath-knel l o f t he o ld mode l.
8
The a r tefact t axa w ere s t il l
t he c en tre o f i n terest b u t t he ir b ehav iour w as e nv isaged much more i n t er ms o f mathe mat ica l methodo logy a nd mode ls , t hrough wh ich t hey w ere i ncreas ingly a na lysed.
Desp ite a ssert ions t o t he c on trary , a na lys is h ad moved o n to a more
c onceptua l , a bstract p lane , f ar r e moved f rom t he h u man a ct iv ity o f wh ich t hey w ere t he mater ia l r e mnan ts ( Doran a nd Hodson , 1 975 ). The r eturn o f ' p eop le ' t o a rchaeo logy h as a r isen f rom t he r eturn t o r espect ab il ity o f t he u se o f e thnograph ic d a ta , wh ich h ad f a l len f ro m f avour b ecause o f i t s e arl ier u ncr it ica l m isuse ( Ucko a nd Rosen feld , 1 967 ).
' Ethno-archaeo logy '
a s at er m was f i rst c o ined i n t he f if t ies b u t , a s h as b een n oted a bove , s uch s tud ies h ave o n ly b eco me c om mon d ur ing t he l a t ter p art o f t he s even t ies. With t he i ncreas ing a va ilab i l ity o fj et t ravel , s cho lars f rom t he Th ird Wor ld , Amer ica a nd Austra las ia , w ith t he ir t rad it iona l i n terest i n c on te mporary , sma l l-sca le s oc iet ies , a re n ow p art ic ipa t ing i n world a rchaeo logy a nd h ave made a n i nc reas ing ly l arge c on tr ibu t ion ( W il ley a nd S ab lof f , 1 974 ). E thnograph ic a na log ies a nd models h ave f i l led t he g ap l ef tb y t he r e jec t ion o f h istor ical d a ta. Archaeo log ists h ave b een r em inded t hat p eop le make a rtefacts a nd s hown t ha t many o f t he ir i deas a bout h ow sma l l-scale s oc iet ies o perate a re wrong o r more o f ten n ot f u l ly t hough t t hrough , e spec ia l ly i n r elat ion t o h ow a rtefacts a re u sed , ow ing t o t he ir own o bsess ion w ith t he c onsumer s oc iety a nd ' b u i l tin o bso lesc ence '. Consequen t ly , i n terest h as swung b ack t o what d ist ingu ishes o ne g roup f rom a no ther a nd h ow p eop le b ehave a nd a f fect o ne a nother. However, i ti s n ot t he s a me a pproach t o t hese p rob le ms a s a pp l ied p rev iously , s ince methods h ave b ecome more r igorous , p erspect ives b roader t han t he l im ited r ange o f h istor ic a l ly-a t tested p rocesses a nd t heoret ica l i ssues e xp l ic it . Where d o w e g o f rom h ere ? I f ac ycl ical model o f d isc ip l inary d evelopmen t i s a ccepted , w ith e ach g enerat ion r e ject ing t he i n terests o f t he p rev ious o ne, s tud ies o f ' Fron t iers , Boundar ies a nd Group I n teract ion ' w il l e ven tua l ly b e r e jected a s u sefu l p ursu its;
a lthough i tw il l b e ap ity i ft h is r e ject ion c omes
t oo s oon . However, t here i s c urren t ly l i t t le s ign o f t h is. S tud ies i n u rban e thn ic ity w i l l s ure ly r e ma in p opu lar i n o ur i ncreas ing ly mu lt i-rac ia l s oc iet ies , e spec ial ly s ince t he t rad i t iona l f i elds o f a n thropo log ica l r esearch a re i nev i tably d im insh ing.
Geographers a re d evelop ing g reater i n terest i n smal l-scale
s oc iet ies ( c f . Bay l iss-S m ith a nd N ewson , t h is v o lume ) a nd t he ir a dap ta t ions a nd r eact ions t o t he modern wor ld. H istor ians a nd a rchaeo log ists i n Br ita in a nd Europe a re d evelop ing i n terests n ot o n ly i n t he a spects o f g roup i dent ity a nd i n teract ion o u t l ined a bove , b u t a lso i n t he e stab l ishmen t o f t he b oundar ies o f l and-ho ld ing u n its a nd t err itor ies ( Bonney , 1 976 ; J anssen , 1 976 ; J ones, 1 976 ). I ti s i ndeed e ncourag ing t hat c o mmon i n terests , s uch a s t hose a pparen t i n t hese p apers , c an b e d isp layed b etween d isc ip l ines , s ince i ti s o n ly b y b reak ing d own t he d isc ip l inary f ron t iers a nd b oundar ies t hat f ru itfu l g roupi n teract ion may b e p roduced t o f urther o ur c om mon s tudy o f man .
9
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1 0
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' Some Ma jor Aspec ts o f Frank ish a nd Med ieval S et t le men t
i n t he Rh ineland.'
I n P . H . S awyer ( ed.), Med ieval S et t le men t :
4 1-60.
London. J ones , G . R ., 1 976.
' Mu lt ip le Estates a nd Early S et t le men t.'
S awyer ( ed .), Med ieva l S et t le men t :
1 5-40.
L ee , R . B . a nd d e V ore , I . ( eds .) , Man t he Hun ter . L eeds , E . T ., 1 913. Me l lars , P ., 1 973.
C h icago .
The Archaeo logy o f t he Ang lo-Saxon S et t le men ts.
Ox ford.
' The Character o f t he Midd le-Upper Pa laeo l ith ic Trans it ion
i n S outh- West France.' Change :
I n P . H .
L ondon .
2 55-276.
Morgan , L . H ., 1 877.
I n C . Ren frew ( ed.), The Exp lanat ion o f Cu l ture
L ondon .
Anc ien t S oc iety.
Thomson , D . F ., 1 939.
N ew York .
' The S easona l Factor i n Hu man Cu l ture.'
P . P.S.
1 0 :209-221. Ucko , P . J . a nd Rosen feld , A ., 1 967. Wa inwr igh t , F . T ., 1 955.
Pa laeo l ith ic Cave Art .
The Prob le m o f t he P icts.
Ed inburgh.
Watson , P-J., Redman , C . L . a nd l e B lanc , S . A ., 1 971. Archaeo logy.
L ondon.
Exp lanat ion i n
N ew York .
Wil ley , G . R . a nd S ab lof f , J . A ., 1 974. L ondon.
1 1
A H istory o f Amer ican Archaeo logy.
FRONT IER S TUDIES AND THE EARL IEST FAR MERS I N EUROPE J ohn A lexander Abstract ' The Fron t ier ' , i n t he s ense i n wh ich i ti s u sed b y h istor ians o f N orth Amer ica , was t he r esu l t o f t he s pread o f im m igran t f ar mers p ract is ing a n ew k ind o f a gr iculture among h un t ing a nd g ather ing c o m mun it ies.
S im ilar s i tua-
t ion s s ee m t o h ave e x isted a t v ar ious t imes i n t he p ast i n o ther c on t inen ts. I n Europe ' f ron tier ' c ond it ions s ee m t o h ave e x isted f ro m t he 7 th-4th m i l lenn ia B .C. a nd e nough work h as b een d one i n t he c on t inen t f or t he p heno mena t o b e c ons idered i n g enera l t heoret ica l t er ms. O fp art icu lar i n terest i s t he ' end o f t he f ron t ier ' i n t he A t lan t ic Coasts, t he S cand inav ian Pen insu lar a nd i n Russ ia a nd t he v ar ia t ion o f r esponse v is ible i n t he f ar m ing c o mmun it ies.
We, who w ere o nce men , n ever, n ever w il l w e r ove f reely b etween t he t rees o f t he f orest.... Our d augh ters, a lready b eau t ifu l y oung g irls , a re n ow i n t he h ouse o f t he b ig masters Co mp le tely t a med f ro m b e ing s hou ted a t s o much.... Th is s ong i s f or t hose who w il l n ever a ga in b e h u man ... ( Trans la ted f ro m t he A che ) G enoc ide i n P araguay , R ichard Arens , L ondon , 1 977. Wh i lst t he c on ference a t wh ich t h is p aper w as f irst d el ivered w as we l l a t tended b y g eographers , a n thropo log ists a nd a rchaeo log ists , f ew , i fa ny h ist or ians, w ere p resen t a nd t he ir a bsence l e ft a n o bv ious v o id.
Th is p aper i s
a n a t te mpt t o a pp ly s o me o f t he g eneral isat ions made p oss ible b y h istor ica l s tud ies t o ap art icu lar p reh istor ic p roble m. The ' Fron t ier ' , d ef ined i n a magn if icen t ly 1 9th Cen tury p hrase b y Turner , a s " the t e mporary b oundary o f a n e xpand ing s oc iety a t t he e dge o f s ubstan t ia l ly f ree l ands" , h as b een t he s ub ject o f much s tudy i n North Amer ica i n t he l ast h undred y ears;
( Bil l ing ton , 1 967:6 ;
Webb , 1 952 ) a nd a who le l i terature o n
t he r ecen t r ela t ionsh ips b e tween h un ter-gatherer-f ishers a nd f ar mers o f many d i f feren t t rad it ions h as s prung u p f ro m i t ( Alexander, 1 947; Guelke , 1 976 ).
S harp , 1 955 ;
Th is h as b een e x tended t o i nclude s tud ies o f t he " end o f t he
f ront ier" a nd " post-fron t ier" r elat ionsh ips a nd d eve lop men ts ( Bohannan a nd P log , 1 967;
L ewes a nd McGann , 1 970;
Wyman a nd K roeber, 1 972 ).
I th as
b een s uggested e lsewhere t hat t h is l i terature , a l though l i t t le k nown b y p reh ist or ic a rchaeo log ists, c on ta ins c oncepts t hat a re l ike ly t o b e u sefu l i n t he s tudy
1 3
o f e arly a gr icu l tura l s oc iet ies a nd t he ir r ela t ionsh ips w ith meso l ith ic p eop les ( Alexander, 1 977 ), a nd h ere a t ten t ion w i l l b e c oncen trated o n o ne r elat ive ly w e l l-stud ied c on t inen t—preh istor ic Europe. As a p rel im inary , as er ies o f p red ict ive models may b e o f fered. B i l l ing ton ( 1967 ) h as d iscussed t he N orth Amer ican f ron t ier b o th a s a m igra tory z one o f v ary ing w id th a nd a s as oc ia l p rocess, a nd h as d ist ingu ished , o n t he s ide o f t he f ar mers , t hose who u sed t he w i lderness ( t rappers , t raders, p rospectors , e tc. ) a nd i n s o d o ing d iscovered r outes a nd l essened h un terg a therer s e lf-suf f ic iency , a nd t hose w ho s ubdued i t , a nd i n t he p rocess , c hanged o r d estroyed t he i nd igenes.
A lexander ( 1947 ) a nd o thers h ave a lso made a v ery
v a luab le d ist inct ion b etween " s tat ic" a nd "mov ing" f ron t iers.
A mov ing f ron t ier
e x ists u n t il e ither a l l c urren t ly u sable ( i n t er ms o f e x ist ing t echno logy ) l and i s t aken u p , o r u n t il t he l im its o f t he c l i mat ic t o lerance o f t he p lan ts a nd a n i ma ls c urren t ly d omest icated , ( or t he p hys ica l b oundar ies o f t he r eg ion ) a re r eached. Th is i s e xpressed d iagra m mat ica l ly i nF ig. I . I ti s t hen r ep laced , i fh un terg atherers h ave s urv ived , b y as tat ic f ron t ier i n w h ich f urther r elat ionsh ips d eve lop b etween t hem a nd t he f armers.
Th is r equ ires a v ar ie ty o f p ersona l
a nd c om muna l a d justmen ts among b o th f ar mers a nd h un ter-gatherers ( F ig. 4 ; Bohanna .n a nd P log , 1 967;
E lk in , 1 951;
L ingren , 1 938;
Red f ie ld e t a l ., 1 936 ).
I t may b e s uggested t ha t t hese v ar ious s ituat ions w il l l eave d if fer ing k inds o f a rchaeo log ica l e v idence a nd t hat t hey s hou ld b e l ooked f or i n t he p er iod o f e arly f ar m ing i n Europe , t he 6 th-5th m il lenn ia B .C. I ti s a ccepted h ere a s ap re m ise, t hat w ith t he d oubtfu l e xcep t ion o f t he Ba lkans , e xper ie mts i n , o r a ny i nc ip ien t d eve lopmen ts o f , t he d o mes t icat ion o f p lan ts a nd p robab ly a n i ma ls, h ad n o t b een s uccessfu l i n E urope b y t he 6 th m i l lenn iu m B .C., a nd t hat f ar m ing p ract ices, p lan ts a nd a n i ma ls w ere b rough t o ver f ro m Western As ia.
S ince h un ter-gatherer-f ishers a re w idely a ttested
i n Europe a t t hat t ime, a " fron t ier" , i n t he t er ms o f N orth Amer ican f ron t ier t heory , must h ave e x isted a nd s hou ld b e i den t if iable a nd a "mov ing f ron t ier" , t he p lace a nd t ime a t wh ich i tc a me t o a n e nd , a nd t he n ature o f t he " stat ic f ron t ier" wh ich r ep laced i t , s hou ld a l l b e r ecogn isab le. The Mov ing Fron t ier I n 6 th a nd 5 th m il lenn ium B .C. Europe , t wo r outes o f a gr icu l tural d i f fus ion h ave l ong b een a ccep ted , an orthern o ne t hrough t he Ba lkans a nd Cen tra l Europe a nd a s ou thern o ne t hrough t he Med iterranean c oast lands a nd i s lands , i n to France a nd I ber ia. For s ome t ime, t herefore, t wo q u ite s epara te "mov ing f ron t iers" may b e c onsidered t o h ave e x isted ( Map I ) . The e v idence f ro m t he n orthern " fron t ier" h as b een s u mmar ised b y S herrat t ( 1972 ) a nd b y Tr ingha m ( 1968 ), a nd a t heoret ica l s tudy o f i tb y Am merman a nd Caval l i-Sforza ( 1972, 1 973 ). The ir " wave o f a dvance" mode l , d eve loped f rom work o n t he s pread o f a dvan tageous g enes , f ocused i n terest o n t he p opu lat ion p rob le ms o f t he f ar mers r a ther t han o n t he s oc ia l a nd e cono m ic i mp l icat i ons f or t he m o r f or h un ter-ga therers. I ta lso s ee ms l ike ly t hat t he mode l , b y t he smoothness o f t he wave a ct ion , i s d isgu is ing c ons iderab le i rregu lar it ies i n t he a dvance a nd t hat a v ar ian t mode l—"select ive h or izon ta l s pread" ( Alexander , 1 977 ), b ased o n s o i ls , 1 4
F IG. I
' MOV ING ' FRONT IERS
FAR MERS
HUNTER-GATHERER-FISHERS ( H-G-F )
PHASE A
P IONEERS U S ING
L ITTLE CHANGE BUT
NATURE ( OFTEN US ING
REDUCT ION I N S ELF-
H-G-F TECHN IQUES )
SUFFICIENCY ARCHAEOLOG ICALLY DETECTABLE
PHASE
P IONEERS SUBDU ING
I NCREAS ING I NTERFERE NCE
NATURE
END ING I N S TATIC FRONT IER
( LAND ACQU IS ITION BY NEGOTIAT ION OR
ARCHAEOLOG ICA LLY DETECTABLE
CONQUEST )
water a va ilab il ity , n atura l p as ture e tc., i s more a ppropr iate i n Cen tral Europe. The " wave o f a dvance" mode l a lso f a iled t o c ons ider t he t wo p er iods o f f ron t ier a dvance.
A w ide s elect ion o f C 14 d ates ( Neustupny , 1 968;
Tauber , 1 972 )
s uggest t hat t hese t wo p er iods o f t he n orthern " fron t ier" w ere s eparated b y a t l east a mil lenn iu m.
C lear ly t h is was a v ery s low p rocess o vera l l , c o mpared
w ith t he f ew c en tur ies i nvo lved i n more r ecen t f ron t ier e xpans ion a nd b o th p er iods o f t he f ron t ier a dvance migh t b e v is ib le a rchaeo log ica l ly ( Edmonson , 1 961 Th is a dvance wou ld h ave b een c onstra ined b y t he n atura l b oundar ies o f t he c oo l t e mperate z ones i n Eastern a nd N orthern Europe.
These wou ld h ave h ad
ad irect r elat ionsh ip t o t he t o lerance o f t he war mte mperate s tra ins o f wheat a nd b arley b e ing u sed , s o t hat move men t o f b oth p eop les a nd i deas t o t he n orthe ast w ou ld b e r estr ic ted b eyond western Po land.
S im ilar ly t o t he w est ( in t he
Ba lkans ) a nd t o t he s outh ( i n Cen tra l Europe ) t he moun ta in c l i mates o f J ugos lav ia a nd Austr ia a cted a s ab oundary s o t hat move men t was f unnel led t o t he n orthwest , where i t s n atura l b oundary w as t he A t lan t ic Ocean . T he Phase A p ioneer b el t , o n r ecen t a na log ies, migh t w e l l b e s evera l h undred k ilo metres w ide a nd e v idence o f s pec ia l ised h un t ing a nd t rapp ing migh tb e s ough t ( see F ig. 2 ).
I t i s n ot e asy t o i den t ify t h is b u t t he ' B lade a nd
Trapeze i ndustr ies o f t he 6 th m il lenn iu m B .C., n oted b y C lark ( 1958 ) a nd Tr ingha m ( 1968 ), c ou ld b e e v idence f or t h is ( see Map I ) .
Var iat ions i n h un t ing
p a ttern s o f t he k ind d escr ibed b y Anderson ( 1976 ) a re a lso r e levan t . The westward s pread o f f ar m ing i n t he Cen tral European P la in a ppears t o e nd n o t a t t he A t lan t ic c oast b ut i n n orth-eastern France ( Map 2 ; Bender a nd Ph i l l ips, 1 972 ), a nd t here a re i n terest ing imp l icat ions wh ich c an b e d rawn 1 5
THE "MOVING FRONT IER"
E 1
c i D
c l
r z4 4
1 6
Bad i nnova t ions c d a . )
a ) C I
D isturbance o f s oc ia l s yste ms
D isturbances o f s easona l
c t i
PE PS E AF I S H I N G
S HORT D ISTANCE
A l terna t ive c loth ing
N ew w eapons o r o ther means o f k i l l ing
A lterna t ive f oods o bta ined q u ite e as ily
Good i nnova t ions
FROM THE HUNTER-GATHERER-FISHERS ' PO INT
V
I NC LUD ING S HELLF ISH
' BUSH ' PASTURE
LONG D ISTANCE
PHASE B ( SUBDU ING )
FROM THE FAR MERS ' PO INT OF V IE W
•••••. •••
MAP I
"MOVING FRONTIERS" I N EUROPE ( 6 th M ILLENN IU M B .C.)
M in i ma l e xten t o f Phase A p ioneer b e lt , a s i nd icated b y d istr ibu t ion o f B lade a nd T rapeze i ndustr ies ( af ter C lark , 1 958 :Fig. 2 ) M in i ma l e xten t o f Phase B e arly f ar m ing c o m mun it ies, a s i nd ica ted b y d istr ibu t ion o f S tarcevo/Kört is/Cr is c u ltures a nd Card ia l waves.
1 7
P IONEER
ACTIV ITY
MAP 2 FRA NCE 4 000-3000 B .C.
( Af ter Bender a nd Ph il l ips, 1 972, Map 2 , w ith a dd it ions )
" Pr i mary n eo l ith ic" i n t he Far West 1 11
N . Front ier L ate L inear Bandkera m ik Cu ltures
/ 7 / / i,
S . Front ier Chassey Cu lture
1 8
f ro m t h is.
The most w ester ly e xa mp le o f t he n orthern t rad it ion , t he e arly
L inear Band-Keram ik g roup h as l ong b een k nown t o h ave f avoured l oess-l ike s o ils ( Clark , 1 952 :6 , w ith map ) a nd t o h ave made a r e la t ively sw if t move a cross t he p la in i n a mat ter o f af ew c en tur ies. I tm igh t t herefore b e t hat a lthough t he Phase A p ioneers r eached t he A t lant ic s hores t hey w ere n o t im med iately f o ll owed b y t he s e lect ive, r ather s pec ia l ised Phase B l oess-accustomed f ar mers. The S ou thern F ron t ier Ev idence f rom t he Med iterranean c oast lands, I ber ia a nd France s uggests t hat move men ts o f p eop les a nd i deas w estwards f rom t he Aegean ( Papadopou los , 1 973; G u i la ine, 1 976 ) w ere c on te mporary w ith t he e ven ts i n Eastern Europe wh ich h ave j ust b een d escr ibed.
Th is c oasta l a nd i s land o ccupy ing- move men t
must h ave b een v ery d ifferen t f ro m t hat i n t he l and-locked Balkans ( Clarke 1 976 :478 ). Relevan t models f or t h is p rocess may b e p rov ided b y s tud ies o f t he s pread o f s ea-borne f ar mers t hrough t he Pac if ic , f or wh ich e thno-h istor ica l , a s w el l a s a rchaeo log ica l e v idence, i s a va ilab le ( Gatherco le, 1 972 ). The move men ts b y w a ter a ppear, a s i n t he Pac if ic, t o h ave b een r elat ive ly s peedy , f or f ar m ing i s a t tested i n s ou thern France a nd Portuga l i n t he 6 th m ill enn ium B .C. ( Gu ila ine , 1 976 :43-6 ). S o me s uggest ions o f i t s e f fect o n l oca l i nd igenes i n t he C en tra l Med iterranean h ave b een ofered b y Wh itehouse ( 1968: 1 88;
1 971:239 ), b u t t o t h is t hes is t he s pread n orthwards a cross F rance i s o f
g rea ter mo men t.
The w ork o f Bender a nd Ph il l ips ( 1972 , Maps 1 -3 ) h as s hown
t he p resence o f s uccess ive l and f ron t iers i n s ou thern F rance f rom t he 6 th t o t he 5 th m il lenn iu m B .C. a nd a meet ing ,in n orthern France , w ith t he p ioneer f ar mers f rom Cen tra l Europe. T he " Impressed ware" c om mun it ies o f s ou thern F rance, w ith t heir a gr ic u l tura l t echno logy , w ere mov ing n orthwards i n t he 5 th m il lenn ium B .0 C. I f t he P hase A p ioneers w ere a ct ive i n az one o f s evera l h undred k i lometres a head o ft he r egu larly f ar m ing c o mp lexes t hen t hey m igh t w e l l h ave b een meet ing , t rad ing a nd c ompet ing w ith t he ir c on te mporar ies o f t he Eastern Phase A f or t he p roducts o f t he L o ire, S abne a nd U pper S e ine b as ins a nd e ven Br it tany , b y t he 5 th m il lenn iu m B .C. Ev idence o f t h is a ppears i n i nd igenous h un ter-f isher s ett le men ts i n Br it tany ( t he F inal Tardeno is ian ), a nd i n t he s ubsequen t Breton " Pr i mary N eo l ith ic" ( Map 2 ). The End o f t he ' Mov ing F ron t ier ' I n t hree a reas o f Europe, t he w est , t he n orth a nd t he e ast , t he "mov ing f ron t ier" e nded b efore t he n atura l b oundar ies o f t he c on t inen t w ere r eached a nd h ere i tc an b e s tud ied i n t er ms o f t he r e lat ionsh ips b etween f ar mers a nd h un ter-ga therer-f ishers ( see F ig. 3 ). I n Western Europe t h is t ook p lace i n t he 4 th m il lenn ium B .C. when t he B Phases o f t he n orthern a nd s outhern f ron t ier t rad it ions met. On p resen t e v idence ( Bender a nd Ph i l l ips , 1 972 ) t he l ast f ew c en tur ies b efore 3 000 B .C. marked t he e nd o f " open l and" i n Turner 's u sage. Bo th a gr icu ltural c o mp lexes h ad a pparen t ly t he s a me b as ic r ange o fp lan ts , a n i ma ls a nd t echno log ica l s k i l ls a lthough a m il lenn ium o f a dvance t hrough d if fer ing e nv ironmen ts must h ave r esu l ted i n d i f feren t w ays o fu t il is ing t hese.
1 9
I tw ould a ppear t hat i n
F IG. 3 E f fect o f End o f t he ' Mov ing F ron t ier ' On Far mers
On Hun ter-Gatherer-Fishers
P art ia l m igrat ion t o n ew r eg ion
I so lat ion o r d eve lopmen t o f ' S tat ic
i fn ew d omest ic p lan ts a nd a n i ma ls a va ilab le
F ron t ier '
Vo lun tary r estr ict ion o f p opu lat ion . Estab l ishmen t o f
S ymb io t ic r elat ionsh ips p oss ib ly e stab l ished
' S tat ic F ron t ier ' L and s e ized f rom f ar m ing n eighbours b y w arfare Deve lop n ew f ar m ing t echno log ies e ither f or i n tens ive u se o f e x ist ing , o r f or p rev ious ly d isregarded l and
— no,
Fur ther d estruct ion o r a bsorp t ion
I ncreased a nd s pec ia l ised e xp lo itat ion o f w i ld r esources Developmen t o f s oc io log ica l d ev ices f or a bsorb ing t ime a nd e nergy
ALL ARCHAEOLOG ICALLY DETECTABLE ?
n orthern France t he c u l tura l man ifestat ions o f t he s outhern f ar mers , e spec ia l ly t he ir c era m ic s ty les, p roved t he most p opu lar, a nd t he Chassey r a ther t han t he L inear Band-Kera m ic t rad it ion , i s f ound t hroughou t n orthwest France. I n N orthern Europe t he f ar mers o f Phase B o f t he f ron t ier a lso s eem n ot t o h ave moved , f or many c en tur ies, f ar n orth o f t he l oess-l ike s o i ls o f c en tral G er many a nd w estern Po land ( Schwabed issen , 1 968:9 ). As i n e astern F rance t h is d oes n ot s ee m t o h ave b een d ue t o c l i mat ic b arr iers.
A l ong-stand ing
r elat ionsh ip must t herefore h ave e x isted b etween t he l ater L inear Band-Kera m ic c u ltures a nd t he h un ter-ga therer-f ishers o f t he Erteb9f i le a nd o ther t rad it ions ( Spang e t a l., 1 976 ). An a dd it iona l f actor h ere i s t ha t i n t he f ur-bear ing mammals o f S cand inav ia a n ew r esource w as a va ilab le t o Cen tral European f ar mers , s o t hat Phase A p ioneers may w el l h ave b een a c t ive n ot o n ly i n D enmark a nd Pomeran ia , b u t a lso s outh Norway a nd Swden f rom c . 4 ,000 B . C. o nwards. The s low a ccep tance o f f arm ing i n S cand inav ia i n t he l a te 4 th a nd e arly 3 rd 2 0
I V LAP 3
THE SPREAD OF FAR M ING I N THE NORTH ( 5 th-3rd MILLE NN IA B . 0 . )
N
L im it o f f ar m ing e cono my ( After S pang e t a l., 1 976;
Koo i j mans, 1 976 )
mil lenn ia s ee ms c on te mporary w ith , a nd p erhaps s im ilar t o , i t s a ccep tance i n w estern France ( Map 3 ;
K aelas , 1 976 ;
Gra msch , 1 973 ).
The e nd o f t he "mov ing f ron t ier" i n n orthern Sweden a nd Norway r esu lted i n ap er manen t r elat ionsh ip b e ing e stab l ished b e tween h un t ing a nd f i sh ing e conom ies a nd a gr icu lture-pastora l is m wh ich h as s urv ived i n to r ecen t t imes , a nd i s t he b est s tud ied i n Europe.
Here t he i mpact o f f armer-trapper e xp lo i-
t at ion o n w i ld r esources h as b een s hown t o b e q u ite d ifferen t a nd much more d es truct ive t han t hat o f c o m mun it ies who l ly d ependen t o n w ild r esources ( S i monsen , 1 972; Anderson , 1 976 :225-8 ).
Th is s ee ms v ery s im i lar t o
Canad ian e xper ience ( I nnes, 1 956 ). I n Eastern Europe, n orth o f t he s teppe z one, t he l im it ing f actor i n t he s pread o f f ar m ing w as , i t may b e s uggested w ith c onv ict ion , t he l im i t o f s u mmerr ipen ing i n wheat a nd b arley , a nd t he c on iferous f orest z one ( see ' Wheat ' map i n Bert in e t a l ., 1 971 ).
I ft h is l ay , i n t he L ate Borea l a nd Ear ly A t lan t ic p er iod ,
i n c en tra l Po land , t hen t h is w as t he l im it o f t he Phase B f ron t ier e xpans ion ( W ieckowska , 1 973 ).
East w ards f ro m i t , i t may b e p resumed , s tretched a z one
o f c ons iderab le w id th , p erhaps s evera l t housand k i lometres , where a s tab il ised r elat ionsh ip b etween t he f ar m ing p ioneers a nd t he i nd igenous h un ter-gathererf i shers i s t ob e e xpected. Th is may w el l h ave r ese mb led t he 1 5-17th Cen tury A .D. f ron t ier i n N orth-western As ia o r t he 1 7-19th Cen tury A .D. o ne i n Canada ( Ar mstrong , 1 965 :69 ;
F isher , 1 943 ).
" S tat ic f ron t iers" w ou ld a lso e x ist where p ockets o f h un ter-ga therer-f ishers s urv ived f ar b eh ind t he "mov ing f ron t ier". S tud ies i n N orth a nd S ou th I ta ly ( Barf ield , 1 971;
Wh itehouse , 1 971;
Barker, 1 975 ) a nd t he Balkans ( Tr ingha m ,
1 968 :49 ) d e monstrate t h is. The e nd o f a "mov ing f ron t ier" c an b e s hown , f rom t he e xper ience o f r ecen t c en tur ies, t o h ave b een a c rs is p o in t f or b o th f armers a nd h un ter-ga therersf i shers.
I t s efects h ave b een s tud ied r ecen t ly i n Amer ica ( Bohannan a nd P log ,
1 967 ) , Austral ia ( P il l ing a nd Water man , 1 970 ) a nd N orthern As ia ( Armstrong , 1 965 ) a nd t hey a re s et o u t d iagra m mat ica l ly i nF ig. 4 . There s ee ms l i t t le d oubt t hat t hese s ame g enera l ised p rob le ms w ere p resen t i n a l l c on t inen ts whenever t h is h appened a nd t hat e v idence o f t he l ocal s o lut ions t o t he m may b e s ough t i n4 th m il lenn ium B .C. Europe. Among f ar m ing c o m mun it ies a ccusto med t o s ome k ind o f r egu lar e xpans ion t wo a l ternat ive w ays o f ma in ta in ing mob i l ity wou ld o f fer t he l east d isturbance t o s oc ia l a nd e cono m ic p rac t ice. The f i rst o f t hese wou ld b e t o move i n to n e ighbour ing , b u t c l i mat ical ly d i f feren t , " e mpty" l ands b y d eve lop ing n ew p lan ts a nd a n i ma l c u l t igens f or t he c hanged c ond it ions. I n Western Europe t h is was n o t immed ia tely p oss ib le f or t he A t lan t ic o f fered a p hys ica l b arr ier , t o c ross wh ich e xper ience o f l ong o cean j ourneys was n ecessary .
Wh ilst t he l a ter s et t le men t
o f I ce land a nd G reen land may b e r egarded a s t he n earest European e qu ivalen t t o Pac if ic j ourneys ( Case , 1 969 ) t here i s n o e v idence o f s uch move men ts i n t he 5 th a nd 4 th mi l lenn ia B .C. I n Europe , e astwards b eyond t he l im its o f wheat a nd b arley r ipen ing , t h is w as p oss ib le ,and t he d evelopmen t o f r ye a nd o a ts c u l t iva t ion i n t he 3 rd a nd 2 nd mi l lenn ia B . C . e nabled t he s pread o f f ar mi ng t o c on t inue t hrough Po land a nd t he U .S .S.R. 2 1
2 1 . ,
1 971 ). 2 2
( 'Oats ' map , i n Bert in
F ro m t he h un ter-gatherer-f ishers
p o in t o f v iew
4
r 2 1
2 3
1 0 14 E 1 1 E1 1 W r z 4 1P 4
t 1 0
4
t
ei
'
ANN IH ILAT ION
i zi
The s econd w ay o f ma in ta in ing mob i l ity i s s e iz ing l and f rom w eaker n e ighb ours. A s er ies o f " ref lex move men ts" o f t h is k ind c ou ld h ave w idespread r epercuss ions s evera l h undred k i lo metres f rom t he a ctua l f ron t ier a nd m igh t l ead t o much f i gh t ing a nd maraud ing. Th is h as b een s tud ied f or s outhern A fr ica i n t he 1 8th a nd 1 9 th C en tur ies A .D.
Here a f ron t ier b etween t he B
Phases o f t wo a gr icu l tura l c omp lexes ( European a nd Ban tu ) d eveloped f rom 1 750 o nwards ( G ie , 1 963:148; Guelke, 1 976 :25 ). I n t he Cape a rea , i n t he p rev ious c en tury , w hat may b e d escr ibed a s t he A Phase o fA fr ican ( t rop ica l ) S avannah a gr icu l ture w as i n c on tact w ith b o th A a nd B Phases o f t he im m igran t ( t e mpera te ) European c omp lex. The e ffects o f t he e nd ing o f t he "mov ing f ron t ier" w ere most marked o nt he Ban tu c o mmun it ies o f t he c oasta l p la in a nd t he p lateau. M i l itary s tates , made p oss ib le b y t he p resence o f a ge-groups o f y oung men n o t e ssen t ia l t o t he k ind o f a gr icu lture b e ing p ract ised , a rose i n t he l a te 1 8th a nd e ar ly 1 9th c en tur ies. The Amazu lu , f or e xa mp le , d estroyed o r d isp laced many p eop les a nd f o lk move men ts i nvo lv ing many t housands t ook p lace o ver h undreds o f k i lo metres ( Fagan , 1 965 :169, F ig. 5 0 ).
There i s a s y et n o e v idence o f
mi l itary e ven ts o f t h is k ind i n4 th a nd 3 rd m i l lenn ium B .C. Europe u n less i tb e i nt he c a mps o f t he M ichelsburg c u l ture o r i n t he r ep lace men t o f t he L a te L inear Band-Kera m ic c om mun it ies b y t he Chassey c u lture i n t he S e ine Bas in .
Th is
l ater r ep lace men t may w el l r ef lect , i fi n f act t he c era m ic c hanges a re a t a l l s ign if ican t , ap eacefu l c hange t o t he more v ersa t ile a gr icu ltura l t rad it ion . A v ar iety o f o ther r esponses t o t he n ew p ost-fron t ier c ond it ions b y f ar mers , i nvo lve c hanges w ith in t he c om mun it ies. The l east d isturb ing , e conom ica l ly , wou ld b e t he r estr ict ion o f t he p opu lat ion s ize t o b e low t he o pt i mu m f or t he l and a nd t echno logy a va i lab le. Th is m igh t w e l l l ead t o c onserva t ive s oc ie t ies a nd b e r ecogn ised a rchaeo log ica l ly b y l ong c on t inued o ccupa t ion o f t he s a me s i tes a nd l i t t le c hange i n a gr icu l tura l o r p astora l p ract ice.
Another s o lu t ion would
a l low f or e xpans ion w ith in t hd a rea c on tro l led b y ac om mun ity u s ing p rev iously d isregarded l and. I n a l l p arts o f Europe t h is c ou ld mean moun ta inous , marshy a nd a r id a reas.
Co mmun it ies i n moun ta inous r eg ions m ight d evelop b o th
p er manen t h ab itat ion i n t he v a l leys a nd t he u se o f h igh p astures i n s ummer a nd t here s ee ms t o b e s o me e v idence o f t h is i n t he moun ta ins o f Bosn ia , a nd West C roa t ia . T here t he s pread o f V inca P locn ik a nd L engye l g roups i n to t he moun ta ins a nd t he d evelopmen t o f u p land c u l tures l ike t hat o f Butm ir i s s uggest ive ( Alexander , 1 971). The s pread o f Chassey c u ltura l t ra its i n to t he Mar it i me A lps m igh tb e a no ther e xa mp le o f t h is p rocess ( Bender a nd Ph il l ips , 1 972 ). I n an umber o f marshy a reas , t he a ppearance o f f ar m ing s ett le men ts d ur ing t he l ater 4 th a nd 3 rd mil lenn ia , B .C. may i nd icate more i n tens ive u se o f l oca l r esources. The s et t le men ts b es ide t he l akes o f Sw itzer land s ee m t o b e a n e xamp le o f t h i .s. A more s pec ia l ised u se o f l and c an a lso b e a ch ieved b y c hanges i n t he b a lance o f c rops o r a n i ma ls o r b y improved , o r more i n tens ively u sed , t echno logy. An i n terest ing Cent ra l A fr ica l e xamp le o f i n tens ive c u l t ivat ion t ak ing p lace u nder e arly 1 9th Cen tury p o l it ical p ressure i s q uo ted b y Gourou ( 1966 :106 ) f rom L ake V ictor ia. Ev idence o f t h is h as n ow b een r ecogn ised a s e arly a s t he 4 th mi l lenn ium B . 0 .i n Europe , ( Sherrat t , 1 972; H igha m , 1 967 :91) . S pec ia l ised h erd ing o f c a t t le , s heep , g oa ts o r p igs i n f orest , o r i n a r id o r s tony a reas, i s a lso p oss ib le a nd i t wou ld b e i n terest ing t o k now i ft he c o lon isat ion o f t he S pan ish Mese ta w as d ue t o i n-f il l ing o f t h is k ind ( Savory , 1 968:73 a nd F ig. 5 6 ). 2 4
One g roup o f s oc io log ica l p rob le ms f aced b y f ar m ing c om mun it ies a f ter t he e nd o ft he "mov ing f ron t ier" must h ave b een t he n ecess ity o f a bsorb ing t he ir s urp lus p opu lat ion , wh ich must h ave i ncluded t he r est less a nd amb it ious s p ir its who wou ld o therw ise h ave moved o n . S cope f or t he ir amb it ions a nd a lso f or t he a bsorp t ion o f e nergy p rev iously s pen t i n a gr icu ltural p ioneer ing m igh t w el l g o i n to t he e stab l ishmen t o f more e laborate s oc ia l h ierarch ies, a nd i n to c o mmun ity p ro jects. I n s o me w estern N orth Amer ican c om mun it ies t h is e nergy was a pparen t ly t ranslated , i n t he l a te 1 9th Century , i nto i mposing s epu lchra l monumen ts, a nd l oca l c en tres o f w orsh ip a nd g overnmen t.
I n Western Europe
a long t he A t lan t ic c oasts , as pec if ic c haracter ist ic o f t he p er iod when t he f ront i er c omes t o a n e nd , i s t he b u ild ing o f l arge b ur ial mounds o ften c on ta in ing megal ith ic c ha mbers. Do t hese r ef lect a s im ilar r eac t ion t o t he Amer ican o ne o r d e monstrate a g reater i n terest i n l oca l t err itor ia l ity , a s R en frew ( 1976 ) wou ld s uggest? The e nd o ft he "mov ing f ron t ier" i n ar eg ion a lso h as g reat s ign if icance f or i t s h un ter-ga therer-f ishers.
I ft hey h ave s urv ived t he i n it ia l p hases o f c on-
t act t hey may w e l l s et t le i n to n ew a nd more d eveloped r e lat ionsh ips w ith f ar mers, a lthough t hese m igh t b e e xpected t o v ary f rom " in tel l igen t p aras it is m" t o " stab i l ised p lura l is m" o r " react ive a dap tat ion" ( Fig. 4 ; Broom a nd K itsuse , 1 955 :44 ). Those l iv ing i n l ands u nexp lo ited b y f ar mers may n ow b e r e leased f rom t he t hreat o f o ther, d isp laced , h un ter-ga therer-f isher g roups c ompet ing f or t he ir t err itor ies.
D e l iberate r etreat i n to , o r a ma in tenance o f , c omp lete i so lat ion
i s a nother p oss ib i l ity ( Woodburn , 1 968).
For t hose n ear e nough t o d evelop
s pec ia l ised r elat ionsh ips w ith f ar mers, s em i-permanen t s ymb iot ic r elat ions h ips a re l ikely ;
c l ien tsh ip s ee ms o ne n a tural d eve lopmen t f rom t h is l ast
s ituat ion ( Turnbu l l , 1 961). The g reater t he p rox im ity o f t he h un ter-gatherer-f isher g roups t o f ar m ing z ones , t he more i n t i ma te i s t he r e lat ionsh ip a nd t he g reater t he p ressure, n ot o n ly f or t he l and b u t p erhaps f or t he l abour a s w el l. I n b ecom ing h erds men o r d omest ic workers , h un ter-ga therers h ave , i n r ecen t t imes , f aced a bsorpt ion , whether a s s laves o r f ree men .
The ir b est h ope o f i n tegrat ion h as l a in
i n a cqu ir ing s pec ia l ised c raf t s k il ls.
The r ecen t e v idence f rom s outhern
A fr ica a nd Austra l ia s ee ms p art icu larly r elevan t h ere ( e .g. Gue lke, 1 976 ; P eterson , 1 976 ). Ag enera l s tudy o f E uropean h un ter-gatherers a t te mpt ing t o a ssess t he ir r eac t ions t o p ost-fron t ier c ond it ions h as n o t y et b een made , b ut r ecen t work i n t hree a reas s hows i t s p oss ib il it ies.
The most i n terest ing i s i n S cand inav ia
where c on tact b etween E rteb0 1 1e h un ter-ga therer-f ishers a nd L inear BandK eram ic f ar mers b egan i nt he e arly 4 th m il lenn ium B .C. The u t il isat ion o f l and f or f ar m ing i n D enmark a ppears t o d a te f rom c . 3 200 B .C. ( Tauber, 1 972 :109 ), s o t hat a " stat ic f ron t ier" may w el l h ave e x isted i n n orthern Germany f or many h undreds o f y ears.
The e x istence o f s ymb io t ic r elat ionsh ips
b etween f ar mers a nd h un ter-gatherer-f ishers i s s uggested b y t he l ate Erteb 0 1 1e s i tes wh ich c on ta in p ot tery . Changes i n h un t ing t echn iques u nder ' neo l ith ic ' i n f luence a re a lso p oss ib le a t t h is t ime ( Anderson , 1 976 :225-8 ). A s econd a rea where a " stat ic f ron t ier" s ee ms t o h ave e x isted f or s o me c en tur ies i s i nt he L ow C oun tr ies a t t he mouth o f t he Rh ine. Here c on te mporary 2 5
f ar m ing a nd g a therer-f ish ing s et t le men ts e x isted i n c lose p rox i mi ty ( Koo i j mans, 1 976 ). The t h ird a nd l argest a rea t o b e c ons idered i s t he c on iferous f orest b elt o f Po land a nd w estern Russ ia. Here t he a bundan t s upp ly o f f ur-bear ing ma m ma ls , t he b est s ource i n Europe , s ee ms t o h ave l ed t o al ong-es tab l ished s ymb ios is wh ich l asted u n t il t he s pread o f o a t a nd r ye c u l t ivat ion ( Kozlowsk i, 1 973 ). I n c onclus ion i t may b e s a id t hat s tud ies o f r ecen t " fron t iers" b etween f ar mers a nd h un ter-ga therer-f ishers c an b e u sed t o s uggest t hat p ast " fron t iers" o f t h is t ype e x is ted when f ar m ing f i rst a ppeared i n ar eg ion , a nd t ha t t hey c an p ro f itab ly b e s tud ied i nt he l i gh t o f t he p atterns o fb ehav iour wh ich h ave b een o bserved o n modern " fron t iers". Archaeo log ica l e v idence i n Europe , b ecause o f r ef ined d at ing methods , s ee ms i n many a reas s u f f ic ien t t o d etect t he m a nd o ffer a n ew w ay o f l ook ing a t amb iguous e v idence.
With t he a dven t o f more
r ef ined d a t ing methods f or p reh istor ic s tud ies , f ron t ier t heory s ee ms t o o f fer u s an ew w ay o f l ook ing a t amb iguous a rchaeo log ica l e v idence. B ib l iography A lexander , F
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' The i n troduc t ion o f
t he N eo l ith ic S tone Age i n to t he Ba lt ic Area ' . I n D e L aet , 1 976 :235-50. Tauber, H ., 1 972. n eo l ith ic.
' Rad io-carbon c hrono logy o f t he Dan ish mesol ith ic a nd An t iqu ity 4 6 :106-110.
T r ingha m , R ., 1 968.
' A p re l im inary s tudy o f t he e arly n eo l ith ic a nd l a test
meso l ith ic b lade i ndustr ies '.
I n J . M. Co les a nd D . D . A . S i mpson
( eds.), S tud ies i n Anc ien t Europe : Turnbu l l , C . M., 1 961.
4 5-70.
The Forest Peop le.
L e icester.
N ew York .
Ucko , P . W., T r ingha m , R . a nd D i mb leby , G . W. ( eds.), 1 972. S et t le men t a nd U rban is m. Webb , W., 1 952.
The Great Fron t ier.
Wh itehouse , R . D ., 1 968.
Man ,
L ondon . Boston .
' Early N eo l ith ic i n S . I ta ly '.
An t iqu ity XL I I :188-193.
1 93. Wh itehouse , R . D ., 1 971.
' The l ast h un ter/gatherers i n S . I ta ly '.
Archaeo logy 2 (3 ) :239-254.
2 8
Wor ld
Wieckowska , H ., 1 973. Meso l ith ic '. Woodburn , J ., 1 968.
' Ou t l ine o f t he D iv is ion o f Cu l tures o f t he Po l ish
I n K ozlowsk i 1 973:595-612. The H adza.
Wyman , W. a nd K roeber , C
1 972.
L ondon . The Fron t ier i n Perspect ive.
N ew York .
Acknow ledge men ts Iam most g ra tefu l t o D rs. B . Bender, R . J acob i a nd G . Ba iley f or t he ir c o mmen ts o n t h is p aper.
2 9
THE ROLE OF A COMPETIT ION MODEL I N THE ARCHAEOLOG ICAL EXPLANAT ION OF ECONOMIC CHANGE A tho l l Anderson Abstract Recen t t heor ies o f e cono m ic c hange i n a rchaeo logy h ave r ested h eav ily u pon t he h ypothet ica l e f fects o f p opu lat ion p ressure a s a n a gen t o f c hange , y et b iol og ica l a nd e thnograph ic e v idence i nd icate t hat s uch p ressure i s n ot l ikely t o a r ise w ith in e conom ies o f t he h un ter-gatherer t ype. I ti s t hus s uggested t hat g reater c ons idera t ion b e g iven t o t he efects o f e conom ic i n teract ion , a nd t he c oncep t o f c o mpet it ion , d ef ined h ere a s t he e xpans ion o f o ne e conomy a t t he e xpense o f a nother, i s i nt roduced i n t h is c onnect ion . Co mpet it ion i s s een a s ap rocess wh ich c an o verr ide t he s tab il is ing mechan is ms o f h un ter-ga therer e conom ies a nd p roduce, f ro m t he o u ts ide, s uf f ic ien t p opu lat ion p ressure t o make e cono m ic c hange a l i kely o u tcome. •
•
•
•
There i s , t oday , ac ons iderab le g u lf i n a n thropo logy b etween what t he t wo ma jor b ranches o f t he d isc ip l ine, l et a lone t he o ther c u ltural s c iences, t reat a s t he n ature o f s ubs istence e cono m ics. Whereas , i n t he f unda men ta l work ing c lass i f icat ion o f most s oc ia l a n thropo log ists , i ti s t he r ules a nd a rrange men ts c oncern ing t he a cqu isit ion a nd d istr ibu t ion o f l i fe-susta in ing r esources wh ich p r inc ipa l ly c onst itute t h is c ategory ( even i n S ah l ins ' ( 1974 ) a t te mpt t o c over a b roader f i eld ), i ti s f requen t ly o n ly ' t echnoenv iromnen ta l t ransact ions ' ( Harr is, 1 975:157 ) o r a daptat ions t hat t he modern a rchaeo log is t h as i n mind . A l though C lark ( 1953 ) h ad i ns isted u pon t he i mpor tance o f s oc ia l c ho ices i n s ubs istence i ti s e v iden t t hat s uch c ons iderat ions, a long w ith o thers l ike r ed istr ibu t ion o r e xchange wh ich c o m mon ly e nter t he r ea lm o f e cono m ics e lsewhere, h ave n ow b een l argely a bandoned b y a rchaeo log ists i n t he f ace o f p roble ms w i th t he ir d a ta o n t he o ne h and a nd t he a dopt ion o f an ew t heoret ica l f ramework o n t he o ther. The f or mer o f t hese i s q u ite p la in ; t he a rchaeo log ica l means t o d ist ingu ish d iffus ion f ro m r ed istr ibu t ion , e ither o f t hese f rom e xchange
o r a ny
f or ma l s yste ms o f t rade , a re a va ilab le s o i n frequen t ly t hat i ti s o n ly i n e spec ia l ly f avoured a reas ( north S cand inav ia , North Amer ica , O cean ia ) t hat t h is mat ter c an b e h andled w ith a ny c on f idence a t a l l. Even t hen i ti s p robab ly more d if f icu lt a nd c o mp lex t han many a rchaeo log ists i mag ine , a s G r ierson 's ( 1959 ) e xa m inat ion o f e arly h istorica l ' exchange ' i n Europe s uggests.
The
mat ter o f an ew t heoret ica l f ra mework h as b een d iscussed a t l eng th i n n umerous p laces, a nd n eeds n o r ev iew h ere.
I ti s importan t t o p o in t o ut ,
h owever, t hat i ti s t he c u ltura l e co log ica l , e vo lut ionary , s yste m ic emphas is o f modern ' an thropo log ica l a rchaeo logy ' ( Leone, 1 972 :23 ) wh ich h as r e-focussed t he p resen t c oncep t ion o f p reh is tor ic e cono my i n to t he a l mos t e xc l us ive s tudy o f b io-cu l tura l a daptat ion w h ich n ow c haracter ises i ti nt he Western wor ld a s a who le , a nd i nt he u nderly ing p h i losophy o f t he Ca mbr idge s choo l i n p art icul ar ( H iggs , 1 972 ; 1 975 ).
The o b ject o f t h is p aper i s t o e xa m ine t he t heoret ica l 3 1
c ore o f t h is g enera l model—the p opu lat ion-resources r ela t ionsh ip—and t o s ugg est a mod if ied a pproach t o t he e xp lanat ion o f e cono m ic c hange; n evertheless r e ma ins w ith in t he s p ir it o f t he g eneral model.
b u t o ne wh ich
The p erenn ia l
p rob le m o f c hange f rom h un ter-gatherer t o a gr icu l tural e conom ies w i l l b e u sed t o i l lust ra te t he i ssues. Popu lat ion-Resources Relat ionsh ips The v i ta l p os it ion wh ich t h is r e lat ionsh ip o ccup ies w ith r espect t o e conom ic c hange l i es i n t he q uest ion o f whether t he p ressure o f p opu lat ion g row th u pon r esource s upp ly i s l ikely t o c ata lyse a p rocess o f a dap tat ion l ead ing t o t he f or mu lat ion o r a dop t ion o f an ew e cono m ic s trategy. C learly t here c an b e n o q uest ion t hat a ny p opu lat ion may s o met i mes b e i n t he p os it ion o f p ress ing h ard a ga inst t he c e il ing o f i t s r esource s upp ly.
The p rob le m f or a rchaeo lo-
g ists , h owever , i s n ot whe ther s uch s i tuat ions o ccur , b u t r a ther h ow o f ten , b ecause t he a rgumen t t hat p opu lat ion p ressure i s af undamen ta l c ause o f e cono m ic c hange i s b ased u pon t he a ssert ion t hat : t .. .
i n t he l ong t er m i s must b e v iewed a s ac onstan t ly r ecurren t
f ac tor" .
H iggs a nd J ar man ( 1975 :6 )
S o me p erspect ive o n t h is a rgumen t may b e g a ined f rom b io log ica l v iews a bou t t he r e lat ionsh ips o f p opu lat ions t o t he ir r esources. Two p rom inen t t heor ies h ave emerged. I n t he f i rst i ti s c la i med t hat most h igher a n i mals h ave t he a b il ity t o r egula te t he ir own p opu lat ions, p r i mar ily t hrough t he d evelopmen t o f s oc ia l s yste ms ( Wynne-Edwards, 1 962; 1 972 ).
The s econd , w ith w h ich
L ack ( 1954; 1 970 ) i s p art icu larly a ssoc iated , c on tends t ha t f ood s upp l ies a ct d irect ly , t hrough d ens ity-dependen t mechan is ms , t o l im it p opu la t ion g row th. Many b io log ists c ons ider t he f or mer p os it ion u n tenab le a ccord ing t o t he t heory o f n a tura l s elect ion ( W iens, 1 966 ;
Wi l l ia ms, 1 966 ) b ut n everthe less a re
c ompel led t o a dm it t hat much o f t he e v idence i s c onv inc ing , e ven i fi ti s n ot ' g roup s elect ion ' w h ich i s t he c on tro l l ing f actor. However , a s L ack 's a rgumen t i s a lso s upported b y emp ir ica l a rgumen ts, n o c lear s o lut ion t o t h is p rob le m h as y e t emerged. Yet t here d oes s ee m t ob e ac onsensus r egard ing t he p art icu lar r elat ions h ip o f p redators t o f l uctuat ions i n t he ir f ood s upp ly. P reda tory f ood w ebs a re c haracter ist ica l ly more c omp lex t han o thers a nd h ave mu lt ip le t roph ic l evels.
Whereas h erb ivore-vege tat ion s yste ms a re f requen t ly h igh ly u ns-
t ab le ( e .g. K le in , 1 970 ), p redator-herb ivore-vege tat ion s yste ms a re u sual ly r e markably s tab le w ith mu ted o sc il lat ions ( Maynard-Sm i th a nd S la tk in , 1 973 ; K lop fer , 1 973; May , 1 973 ). I n t he s hort t er m , p redators may s omet i mes t hreaten t o o vershoo t t he ir f ood s upp l ies , b u tb ecause t he e f fect i s n ot c umul at ive t he l onger-ter m f luctua t ions o f p redators r e ma in more o r l ess i n e qu i l ibr iu m w ith t hose o f t he ir r esources ( Em len , 1 973 ). Th is d if ference i n s tab il ity b etween h erb ivore-vegetat ion a nd p reda tor-prey s yste ms p resen ts a r eveal ing a nalogy f or t he e thnograph ic e v idence.
For
h un ter-f isher a nd h un ter-ga therer s oc iet ies t he w e igh t o f t he e v idence f a l ls s quare ly , t hough n ot e xc lus ively , o nt he s ide o f r egu la tory mechan is ms, b o th p hys io log ica l a nd b ehav ioura l ( S tot t , 1 962;
Hayden , 1 972;
D iva le, 1 972 )
ma in ta in ing t he p opu lat ions o f h un ter-gatherers a t 2 0-50% o f c arry ing c apac ity 3 2
( Lee a nd De Vore , 1 968a ; 1 968b ).
Popu lat ion i ncrease c an b e e x traord inar ily
r ap id ( Birdse l l , 1 957 ) b u t mechan is ms o f c on tro l c an b e e qua l ly a s e f fect ive. For e xa mp le, f o l low ing a c omprehens ive a na lys is o f f e ma le i n fan t ic ide i n Arct ic r eg ions , S chr ire a nd S te iger ( 1974:179 ) c oncluded t hat : " ...in sma l l h un ter-ga therer g roups , p opulat ion c on tro l mechan is ms u s ing f e ma le i n fan t ic ide h ave l ow t hresho ld v a lues ( abou t 8p er c en t ) a nd when t he a verage f e ma le i n fan t ic ide r a te i s a bove t h is t hresho ld , t he p o l icy i s g enoc ida l" . I n o ther w ords , t he c ond it ions a ppear t o e x ist f or l ong t er m s tab il ity o f p opu lat i on-resource r e la t ionsh ips i n e cono m ies o f t he h un ter-ga therer t ype. I n a gr icu ltura l s oc iet ies , o n t he o ther h and , t he e v idence s uggests a c ont inua l p ress ing o f p opu lat ion a ga inst c arry ing c apac ity , wh ich i s r e l ieved n ot b y s uppress ion o f p opu lat ion g row th , b u t r ather b y s egmen tat ion , m igrat ion , t echno log ica l a nd s oc ial c hange a nd e ventua l ly ma jor e cono m ic c hanges ( see f or e xa mp le , Boserup , 1 965; K unstadter, 1 972 ). I n t hese e conom ies l ong t erm i nstab i l ity i s c haracter ist ic a nd i s , i n f act , d e monstrated b y h istor ica l r ecords ( S l icher Van Bath , 1 963 ). Now t he p art icu lar d i fference b etween t he h unter-ga therer a nd t he a gr icu lt ura l e cono my wh ich h as t he d ec is ive e f fect u pon t he c on tro l o f p opu lat ion g row th , a nd t hus u pon l ong t er m s tab il ity , s ee ms t o b e i n t he mat ter o f mob il i ty , a nd t he l i gh t wh ich t he b io log ica l e v idence t hrows u pon t h is p rob le m i s t ha t i ts uggests t hat t he c ruc ia l p o in t i s n ot t he mob il ity o f t he p opu la t ion , b ut r a ther t he mob i l ity o f t he r esources.
Thus t he s tab i l ity o f ap redator-prey
s yste m d epends s ubstan t ia l ly o n whether t he p rey h as a r easonab le c hance t o e scape ( l Inf faker , 1 958 ).
Where t h is c ond it ion i s n ot met , f or i ns tance where
t he p rey i s s tr ict ly c on f ined , t he l ike ly r esu lt w ou ld b e a n u nstab le s yste m o f t he p redat ion-released g razer t ype.
Th is i s a mat ter wh ich o pens t o q uest ion
a t te mp ts b y a rchaeo log ists t o c once ive o f h u man-an i ma l r elat ionsh ips i n g enera l a s b e i l ig a na logous t o p redator-prey s yste ms , s uch a s W ilk inson ( 1972 ) a nd J ar man ( 1972 ) h ave d one. I n i n tens ive f ar m ing e cono m ies t he b as ic r esources a re efect ive ly immob ile whether t hey b e l and o r h usbanded a n i ma ls a nd whether t hey a re e xp lo ited i n t he s a me p lace o r n o t , w hereas i n h un ter-gatherer e cono m ies t he f reedo m o f mob il ity o f t he a n i ma ls , a nd t he c hances o f t he w i ld p lan ts e scap ing d etect ion a re c ons iderab ly g reater.
The p oss ible r e lat ionsh ip o f t h is d iffer-
e nce t o t he s tr ingency o f h u man p opu lat ion c on tro ls may b e i l lustrated i n t he f o l low ing s i mp l if ied e xa mp le.
An a rable f ar mer 's b as ic r esource i s l and ,
a nd what h e d oes o n t he p iece h e u ses g enera l ly d oes n o t a f fect t he r esource p o ten t ia l o f a ny o ther p iece s o t ha t t he c ost ( i n t er ms o f l abour, t ime, s eed e tc.) t o a no ther f ar mer t ak ing u p u noccup ied l and i s n o t a ffected b y what may b e h appen ing n earby .
Ah un ter who h as t o s earch o u t mob ile p rey , h owever,
r educes t he o vera l l q ua l ity o f t he c om mon r esource e nv ironmen t e ach t ime h e makes a k il l b ecause e ach r educt ion o f t he r esource s tock r educes i t s o vera l l d ens ity b u t i ncreases t he p robab le s earch t ime r equ ired t o f ind a nother a n i ma l. Thus i n t he f or mer c ase t he e x istence o f o ther c onsu mers d oes n o t , i n i t sel f , c onst itu te a d iscourage men t t o c ont inue t o e xp lo it t he r esource s upp ly : 3: 3
t owards i t s p o ten t ia l l im its , w hereas i n t he l a t ter c ase e ach a ct o f c onsump t ion , b y i ncreas ing t he e f fort r equ ired f or t he n ex t , c rea tes a p os it ive i nducemen t t owards p opu lat ion c on tro l. Popu lat ion P ressure a nd E conom icChange The c onsequence o f t hese a rgu men ts i s t hat w e h ave t wo l arge ly e xc lus ive mode ls o f a dap tat ion t o p opu lat ion p ressure; a s tab le e qu il ibr ium mode l f or h un ter-ga therer e conom ies i n wh ich p opu lat ion p ressure i s c ircu mven ted b y n ega t ive f eedback mechan isms o f d ens ity c on tro l a nd a d ynam ic e qu il ibr ium mode l f or a gr icu l tura l e conom ies i n w h ich p opu lat ion p ressure i s l owered b y d ens ity-dependen t mechan is ms i ncreas ing t he i nc idence o f morta l ity . Boserup ( 1 965 ) h as g one s ome w ay t o o ver turn t he Ma l thus ian d octr ine imp l ic it i n t he l a t ter mode l b y c onstruct ing a nd t est ing a t heory i n wh ich p opu la t ion g row th i s s een a s a n i ndependen t v ar iab le t o w h ich c u l tura l a dap ta t ions may b e a ccomp l ished t hrough g reater i nvestmen ts o f t ime o r l abour a nd b y i ncreas ing t echno log ica l s oph ist icat ion . Y e t much t he s ame d icho tomy r e ma ins. An thropo log ists a nd a rchaeo log ists w ho h ave c ons idered t he Boserup model ( see p art icu lar ly t he p apers i n S pooner , 1 972 ) h ave g enera l ly f ound i tp laus ib le i n t he s ubs is tence a gr icu l ture c on tex ts a tw h ich i tw as a i med , b u t much l ess s o i n t he c ase o f h un ter-ga therer e conom ies. E xpans ib i l i ty o f t he r esource s upp ly , w h ich i s t he k ey t o c hange i n a gr icu l tura l e conom ies , s ee ms , a ccordi ng t o D umond ( 1972a ; 1 972b ) , t o b e r e la ted t o t he o pportun i t ies f or t echno lo g ica l i nnovat ion aforded b y a n i ncreas ing ly s eden tary w ay o f l i fe.
Bu t s ince
t h is , i n t urn , g enera l ly a ppears t o b e af unct ion o f p opu lat ion g row th , t he Boserup t heory i s u nab le t o b r ing w ith in i t s c ompass s yste ms i n wh ich s uch g row th i s r ig id ly c ur ta i led . The u psho t i s t hat e conom ic c hange i s al ess d isr up t ive s o lut ion t o p opu lat ion p ressure i na gr icu ltura l e conom ies b u t n o t , e xcep t i n e x traord inary c ircumstances , i n h un ter-ga therer a nd s im i lar s ystems. Whether t h is a ppears a c ur ious c onc lus ion p robab ly d epends o n t he d egree t o wh ich o ne a ccep ts t he o nce c om mon v iew t ha t h un ter-ga therer e conom ies w ere t he e xc lus ive s ubs istence s trategy o f mank ind f or most o f p reh istory u n t i l s ome s pec ia l s e t o f c ond it ions t r iggered o f f ap rev ious ly u nknown f ood-produc ing r evo lut ion . H iggs a nd J ar man ( 1969 ; 1 972 ) h ave e xposed t he d ef ic ienc ies o f t he p art icu lar e conom ic t axonomy e ncapsu la ted b y t ha t v iew a nd c oup led t he ir r ep lacemen t s che me w ith a n a ssert ion t hat d isequ i l ibr ia b etween r esource a nd p opu la t ion f l uc tuat ions o ccur s u f f ic ien t ly f requen t ly i n a ny s ubs istence s trategy t o e ncourage s o lut ions t o p opu lat ion p ressure i nt he d irec t ion o f i ncreas ing ly p roduc t ive man-an i ma l/p lan t r elat ionsh ips. - A s a ne xp lana tory model o f e conom ic c hange i th as t he c ons iderab le a dvan tage o f n o t h av ing t o r esor t t o s pec ia l p lead ing. I ti s , h owever , b y n o means c lear i n i th ow f requen t , o r o f wha t o rder o f magn itude , e p isodes o f s tress v iewed a s c onstan t ly r ecurren t i nt he l ong t er m w ou ld n eed t o b e , a nd i t s p ostu lat ion o f as ing le p opu lat ion-resource r e lat ionsh ip r educes t o l i t t le more t hana t axonom ic f i gmen t w ha t s eem t ob e v ery r ea l a nd w idely e xe mp l if ied d i f ferences. An a lternat ive mode l , p roposed b y B in ford ( 1968 ) l arge ly r e ta ins t hese d i f ferences i na dap tat ion t o p opu lat ion p ressure b u t a rgues t hat s uch p ressure i n o therw ise s tab le s yste ms c ou ld h ave b een c aused b y em igrat ion f rom c lose ly j ux taposed s ystems i n wh ich a n i ncreas ing ly s eden tary w ay o f l i fe h ad e nab led 3 4
p opu la t ion g row th t o e vade c ont ro l mechan is ms.
There a re w eaknesses i n
t h is e xp lana t ion a s w e l l ; t he most i mpor tan t o f wh ich i s t ha t i th as t o h ypot hes ize a s pec ia l c ase o f e nv ironmen ta l c hange t o d er ive t he i n it ia l d i fferences i n e conomy wh ich s et t he p rocess i n mo t ion .
Bu t t h is a s ide , t he mode l r a ises
t he o n ly l ike ly s o lut ion t o t h e p rob lem w e b egan w ith o f h ow p opu lat ion p ressure c ou ld t hrust i t s i n f luence t hrough t he s tab i l ity b u f fer o f h un ter-ga therer e conom ies s uf f ic ien t ly f orcefu l ly o r of ten t o p rovoke a r esponse o f e conom ic c hange.
B in ford 's mode l s uggests t hat t he a nswer l i es i n e conom ic i n ter-
a ct ion . Econom ic I n teract ion a nd C ompet it ion W ith v ery f ew c once ivab le e xcep t ions n o e conomy , n or a ny s oc iety , h as e x is ted i n t ota l i so lat ion f rom o thers.
The u nw i l l ingness t o t ake t h is f ac t i n to
a ccoun t , o r a t l east t o g ive i ti t s d ue w e igh t , i s a ma jor f a il ing o f r ecen t a rchaeo log ica l h ypo theses o fe conom ic c hange. I th as n o tb een s o much t hat c on tac tb etween e n t it ies ( cu l tures , s oc iet ies e tc.) h as b een d isregarded , i ndeed a t t imes i tw as o veremphas ized ( c .f . Ren frew , 1 969 ), b ut r ather t hat h ypo theses o f c hange h ave b een c onstruc ted i n w h ich a s ing le e n t ity , o r a g roup o f e n t it ies c once ived a s as ing le u n it , h as b een mode l led a s u ndergo ing c hange i n a pparen t i so lat ion w ith a l l t he mechan is ms i nvo lved i n tegrated i n to t he c hang ing s ystem. T here a re r ich c lass ica l p receden ts f or t h is a pproach a nd t he i n terna l d ynam is m o f o rthogenet ic mode ls o f e vo lut ion ( Comte , 1 877 ; S pencer , 1 892; Ch iide , 1 951; B ra idwood , 1 960 ) o r o f c ycl ica l c hange ( Speng ler, 1 926 ) h as p ers is ted i n to t he s o-ca l led ' p rocessua l is t s choo l ' o f a rchaeo log is ts who s tress a dap tat ion w ith in t he b io-cu l tura l s yste m , s o t hat i ts ee ms : t im
we a re o f ten d ea l ing , i np rocessua l ist w r it ings , w ith l i t t le c o rnmun it ies w h ich a pparen t ly h ave t he p lanet t o t hemse lves ...." K ushner ( 1970 :127 )
I n C larke 's ( 1968 ) mode l o f s ystems o n togeny t he i n f luence o f o ther c u ltura l s ystems i s b are ly men t ioned , a nd i n t he h ypo thes is o f H iggs a nd J ar man ( 1975 ) n o t a t a l l. Y e t , i nb o th a n thropo logy a nd c u l tura l g eography , e cono m ic i n teract ion , a nd r esource c ompet it ion i np art icu lar , h as b ecome a w el l e stab l ished mode l i nt he e xp lanat ion o f c u l ture c hange.
With in smal l-sca le c om mun i t ies ( Young ,
1 971 ) , amongst t hem ( Barth , 1 956 ; Kuu tsson , 1 969 ) , i n p lura l s oc iet ies ( Depres , 1 975 ) , i n h istor ica l , i mper ia l ist ( Me in ig , 1 969 ) a nd i n modern , c o lon ia l ( How let t , 1 969 ) s i tuat ions , t he i n f luence o f c ompet i tive p rocesses h as b een c learly d iscerned .
I ti s , o f c ourse , n o t e n t ire ly n ove l t o a rchae-
o logy e i ther , f or , B in ford ( 1 968 ) e xc luded , t here h ave b een s evera l o ther h ypo theses o f p reh is tor ic c ompe t i t ion a nd c hange p u t f orward — H arner ( 1 970 ) c oup led c ompet it ion w ith p opu la t ion g row th i n h is a rgumen t a bou t t he s oc ia l e vo lu t ion o f a gr icu l tura l ists a nd Wh itehouse ( 1971) u sed a c ompe t it ion mode l t o e xp la in t he d isappearance o fh un ter-ga therers i nt he p reh istory o f s ou thern I ta ly .
N onethe less , t he c on cep t o f c ompe t it ion h as b een a l l b u t i gnored b y
a rchaeo log ists i ng enera l ( bu t s ee A lexander , t h is v o lume ) ;
p oss ib ly
t here i s w idespread a greemen t w ith D av id C larke 's ( 1968 :349 ) c on ten t ion t hat 3 5
s uch ' sys te m i n teract ions ' c an o n ly b e s tud ied a t t he b roades t , o r t echnoco mp lex l evel?
Whatever t he r eason t he a dopt ion o f a n e xp l ic it ly e co log ica l a nd e vo lu-
t i onary a pproach t o h uman b ehav iour i n e conom ic p reh istory c ompe ls u s t o c ons ider a new t he r o le o f c ompet it ion i n e conom ic c hange , b ecause c ompet it ion i s o ne o f t he p r inc ipa l d ynam ics o f c hange a cross t he e n t ire r ange o f e vo lu t ionary e co logy . Compe t it ion h as b een d ef ined b y b io log ists a s ap rocess w hereby p opu lat ions o r s pec ies e ndeavour t o g a in t he s a me t h ing , o r t he measure e ach w an ts f ro m i t , when t he s upp ly i s n ot s u f f ic ien t f or b o th.
More s i mp ly :
" . ..two s pec ies a re c ompet ing i fa n i ncrease i n e ither o ne h ar ms t he o ther" . MacArthur ( 1972 : 2 1 ) W ith in t h is b road d ef in it ion a n umber o f p ar t icu lar k inds o f c ompet it ion may b e r ecogn ised . N icho lson ( 1957 ) n o ted t ha t i t may o ccur b y s i mp le d ep let ion o f a mutua l r esource s upp ly ( ' scramb le ' c ompet it ion ) o r , a s i s more o f ten t he c ase amongst s oc ia l a n ima ls , b y t err itor ia l o r a ggress ive c on tro l o f r esources ( ' con test ' c ompet it ion ).
MacArthur ( 1972 ) a dds t hat b y e f fec t ive, t hough n o t
n ecessar i ly d e l ibera te , c ooperat ion t wo o r more c ompet itors may s uppress o r e l im ina te a nother. Th is ' d i ffuse ' c ompet it ion f requen t ly o ccurs w hen a p opu lat ion o r s pec ies o f g enera l ised a dap ta t ion f i nds i th as t o c ompete a ga inst s pec ia l ist c ompet itors i n s evera l r esource d oma ins a t o nce.
D ar l ing ton
( 1972 ) t akes t he b road v iew t hat a ny i n teract ion b e tween o rgan is ms , n o mat ter h ow c omp lex o r i nd irec t , t ha t i s o r may b e d isadvan tageous t o a ny o f t he m , i s ap ar t o f wha t h e c al ls ' ex tended c ompet it ion '. For e xamp le , t he t o lerance o f many A fr ican h erb ivores t o t he t setse f l y g ives t he m a c ompet it ive e dge o ver imm igran t u ngu la tes. Thus d isease , p aras it ism a nd p reda t ion may a lso b e c ons idered a s w eapons o f c ompe t it ion . The p art icu lar p red ic t ions t ha t may b e d rawn f ro m c ompet it ion t heory r e late t o f ood s upp ly a nd s pace. I ti s a l most s e l f e v iden t t hat t he i n tens ity o f c o mpet i on c ou ld b e i ncreased b y c on t inued s carc ity o f s hared r esources o r a l lev iated b y a n i ncrease i nt he ir a bundance. Th is may o ccur b y p rocesses w h ich a re i ndependen t o f t he c ompe t itors , s uch a s c l i mat ic c hange , o r i t may r esu lt f rom c hanges i n t he c ompet itors ' r esource r equ iremen ts.
Thus i ti s p red icted
t ha t t he more s im ilar t he r esource r equ ire men ts o f t he c ompet itors t he s t ronger t he t endency o f e ach t o b roaden i t s r ange o f r esources , o r g eneral ise , a nd t he l ess s im i lar t he r equ ire men ts t he s tronger t he t endency t o s pec ia l ise ( Em len , 1 973 ).
E qua l ly , a nd w ith r espec t t o s pace , t he more s im i lar t he
c ompet itors ' r equ iremen ts t he sma l ler w i l l b e t he ir z one o f h ab i ta t o ver lap a nd t he more v u lnerab le t he ir c oex istence i n t h is z one t o e nv ironmen ta l o r r esource v ar ia t ions. The c onverse p ropos it ion i s e qua l ly v a l id . Where t he r esource e nv ironmen t i s p roduct ive f or b o th ( o r more ) c ompet itors t hey w il l t end t ob e d istr ibu ted w ith a reas o f o ver lap , b u t w here i ti s u nproduct ive , w ith a v acan t z one b e tween t he m. When t err i tor ia l o r a ggress ive c ompet it ion i s a dded , t he c ompet itors ' r anges w i l l t end t o b e e xclus ive b ut w ith w el l d ef ined c on t iguous b oundar ies ( MacArthur , 1 972 ).
These p red ict ion s a re
b orne o u t i n s ome w e l l-documen ted h istor ica l s i tuat ions—Tegengren 's ( 1952 ) s tudy o f t he d em ise o f t he F inn ish h un t ing L apps , f or e xamp le ( see Anderson , 1 976 :23-24 ). 3 6
An Archaeo log ica l Model o f Compet it ion Adaptat ion o f t he b io log ica l t heory o f c o mpet it ion t o a n a rchaeo log ica l h ypot hes is f irst o f a l l r equ ires a c lear d ef in it ion o f who o r what may h ave b een i nvo lved i n t he p rocess.
A lthough b io log ists u sua l ly s peak o f c o mpet it ion o n
a n i n ter-spec ies l eve l t hey r ecogn ise t hat t he s a me p rocesses o ccur b etween p opu lat ions a nd b etween smal ler g roups s t il l.
S o f ar a s a rchaeo logy i s c on-
c erned t here c an h ave b een n o s i tuat ions, e xcept d ur ing t he P alaeo l ith ic , when c o mpet it ion c ou ld h ave o ccurred b etween h om in id s pec ies.
I t n o d oubt o ccur-
r ed b e tween p opu lat ions , b u t t he a rchaeo log ica l means t o a dequately d ef ine t he l im its o f t h is b io log ica l e n t ity s e ldo m e x ist .
We a re l e f t w ith t wo c ho ices:
t o l ook f or c o mpet it ion b etween g roups w h ich h ad c orpora te mean ing , s uch a s c lans o r t r ibes , o r t o e xa m ine c o mpet it ive r elat ions b etween r econstructed f unct iona l e n t it ies s uch a s e cono m ies , t echno log ies o r s oc ial s yste ms.
The
s econd c ourse i s p referred h ere b ecause t he u na mb iguous d ef in it ion o f a ctua l s oc ial g roups i s s eldom s a t isfactor ily p oss ib le i n a rchaeo logy ( see Hodder, t h is v o lume ) , a nd a lso b ecause c o mpe t i t ion b e tween f unc t iona l e n t i t ies may more a ccurately r ef lect t he n o t i n frequen t s ituat ion t hat e cono m ic b ounda r ies c an n o t b e d rawn i n t he s a me p lace a s t echno log ica l , s oc ia l , p o l it ica l , o r r el ig ious o nes . Fo l low ing t he b road c oncep t ions o f c o mpet it ion o ffered b y MacArthur ( 1972 ) a nd Darl ington ( 1972 ) p reh istor ic c ompet it ion b etween e cono m ies c an b e d ef ined a s f o l lows : Two o r more e conom ies w ere c ompet ing i ft he e xpans ion o f o ne o f t he m t ook p lace a t t he e xpen se o f a no ther. N o c er ta in g u ide c an b e g iven a s t o wh ich o f t he many p oss ib le i ndexes o f e xpansi on w il l p rove most s ens it ive t o r e lat ive c hanges.
Very p robab ly n o s ing le
measure , s uch a s e nergy ( as K ap lan ( 1960 ) h as s uggested ) o r b iomass a ccu mu lat ion , w ou ld a dequa tely e ncompass t he r ange o f p oten t ia l c ompet it ive p ressures b etween e cono m ies.
I n a ny e ven t t wo b road measures may b e s uggested.
They
a re c hanges i n : i ) i )
t he g ross o ccupat ion o f s pace, a nd r esource v ar iety , w h ich c an b e j udged a ccord ing t o a ctua l r esources, o r i n t er ms o f t he r ange o f e xp lo ited m icro-env ironmen ts.
I fc hanges t ake p lace i n ,e i ther o r b oth o f t hese i n a more o r l ess c o mp le ment ary manner —tha t i s t o s ay i fe xpans ion i n o ne e cono my i s a ccompan ied b y c ont ract ion i n a no ther —then a p r i ma f ac ie c ase o f c o mpet it ion w i l l h ave b een e stab l ished.
D evelop ing s uch a c ase i n to a more r igorous h ypo thes is d epends
o n s how ing t hat t he c hanges a ctual ly h ad a d e leter ious e f fect o n o ne o f t he e cono m ies , a nd t h is i s p r i mar ily a q uest ion o f d e monstrat ing t ha t t he e cono my wh ich a ppears t o h ave s uf fered i n t he c ourse o f t hose c hanges e i ther d isappeared e n t irely o r a dopted a n ew s trategy more r ap id ly t han w ou ld o therw ise h ave b een e xpected.
The s uggested measure o f c o mpet it ive h ar m , i n o ther w ords, i s
' t i me t o e x t inct ion ' r a ther t han b reed ing s uccess.
How , t hen , wou ld a c o mpe-
t i t ion model p rov ide a n e xp lanat ion f or c hange i n h un ter-ga therer e cono m ies ?
3 7
F IG. 1
POPULAT ION AND CARRY ING CAPACITY
Max i mum
c arry in
c apac ityj i
Op t i mu m c arry ing c apac ity
^
00 '
A ctua l
p opu lation d ens ity ' Econom ic f loor '
E x t inct ion
P opu lat ion p ressure
2 8
A C ompet it ion Mode l f or t h e Exp lana t ion o f E conom ic Change I th as b een a rgued t ha t h un ter-ga therer s oc ie t ies h ave e conom ies wh ich a re s tab le i n t he l ong t erm b ecau-s e t he ir r e l iance u pon e f fect ive ly mob i le r esources ( i n a dd i t ion t o d i f f icu l t ies o f s torage , r esource f l uctuat ions , t he n eed t o ma in ta in sma l l , f l ex ib le s oc ia l s tructures, a nd t he r eproduct ive c onseq uences ( Lee , 1 972a ) o f a mob i le w ay o f l i fe ) p rov ides a n i nducemen t t owards c on s tan t v ig ilance i n p opu la t ion c on tro l. S o , i fe conom ies o f t h is t ype ma int a in a r esource b u f fer a nd h ave b o th t he t echn iques a nd s oc ia l s anct ions n ecess ary t o i mpose s tr ingen t p opu lat ion c on tro l measures h ow d o t hey b ecome f orced i n to s i tua t ions o f p opu la t ion p ressure a t a l l? I n it ia l ly i t must b e r ecogn ized t hat a ny e conomy i s c onstra ined n o t o n ly b y t he max imu m a nd o p t i mum c arry ing c apac ity o f i t s r esources ( resource ' ce i li ngs ' ) b ut a lso b y am in i mum p opu lat ion d ens ity b e low w h ich i tc an n o l onger c on t inue t o b e o perated o n al ong t er m b as is. T h is e conom ic ' f loor ' c an b e s ub jec t t o l i t t le v ar ia t ion a nd w i l l b e a l most i ndependen t o f r esource f l uctuat i on s ( F ig. l a ). I ft here i s ad epress ion i n t he r esource c e i l ings o f ah un terg a therer e conomy man ipu la t ion o fp opu lat ion c on tro ls o ugh t t o c orrespond ing ly d epress t he p opu lat ion d ens ity .
B u t i ft ha t r esource d epress ion p roceeds f ar
e nough , t he s oc iety c oncerned w il l i ncreas ing ly b e f aced w ith e i ther t he d iss o lu t ion o f i t s e conomy a nd p robab le s tarva t ion o nt he o ne h and , o r t he o p t ion o f , l i tera l ly , e at ing i n to i t s r esource b uf fer o n t he o ther ( Fig. l b a nd c ). There i s r ea l ly l i t t le c ho ice.
A s L ee ( 1972b :180 ) h as p u t i t :
" I f f ood s upp ly d ecreases , h u mans d o n o t r espond b y d y ing o f f l ike f ru it f l ies , t hey r espond b y work ing h arder" . H owever , s ince h un ter-ga therer e conom ies a ppear t o b e o rgan ised t o w iths tand a w ide r ange o f e nv ironmen ta l v ic iss i tudes , i tf o l lows t hat s evere e p is odes o f p opu lat ion p ressure a r ising f rom c r ises o f r esource s upp ly o ught , a t l eas t o n s tat ist ica l g rounds , t o o ccur i n frequen t ly .
Moreover, b ecause s uch
c a lam i tous e ven ts w ou ld t end t o s tretch t he f l ex ib i l ity o f t he e cono m ic s t ructure b eyond i t s a dapt ive l im i ts , t he l ike ly r esu l t w ou ld n o t b e e conom ic c hange s o much a s e conom ic e x t inc t ion—e ither b y c onsump t ion o f t he r esource c ap ita l b eyond i t s p o in t o f r ecovery o r b y g enoc ida l ly s tr ict measures o f p opu lat ion c on tro l. I fe conom ic c hange i s t o o ccur i ts eems t o r equ ire more f requen t e p isodes o f p opu lat ion p ressure wh ich n e ither d ec ima te t he p opu lat ion n or w h ich c an b e r ead i ly a ccommoda ted w ith in t he e x ist ing e conom ic s truc ture. S ince i ti su n l ike ly t ha t c hanges a r is ing w ith in a h un t ing-ga ther ing e conomy wou ld p ers ist i ft hey h ad t he e f fect o f i ncreas ing t he f requency o r s ever ity o f i nc iden ts o f p opu lat ion p ressure , t he o r ig ins o f s uch s i tuat ions n eed t o b e s ough t e x terna l ly . N ow i th as b een s uggested t hat f ew , i fa ny , e conom ies c ou ld h ave b een t o ta l ly i so lated f rom i n terac t ion w ith o thers , a nd t hus mos t wou ld h ave b een f requen t ly u nder s ome d egree o f p opu lat ion p ressure. The r easons f or a n i ncreased f requency o f e p isodes o f p opu lat ion p ressure , i n t hese c ircums tances , a r ise o ut o f c erta in a spec ts o f t he n a ture o f e conom ic c ompet i t ion . F irst , s ince i ti s a pparen t t ha t e ach e conomy i s d e f ined b y ad i f feren t s et o f r esource , t echno logy a nd p opu lat ion c haracter ist ics , i tf o l lows t hat t he e ffec t o f a n a l tera t ion i n a ny o f t he f actors w h ich c ou ld c hange a p rev iously 3 9
e stab l ished c o mpet it ive e qu i l ibr iu m , w ou ld b e d if feren t f or e ach c o mpet ing e cono my.
S econd ly , a nd a r is ing o u t o f t h is, i ti s e v iden t t ha t where e cono m-
i es a re i n c o mpet it ion , t he c o mpet it ive e f fects o n e ach o f t he m d o n o t n ecess ar ily d epend u pon t he f requency o r magn itude o f t he c hanges wh ich l ed t o t he p er iod o f a d just men t i n t he c o mpet it ive e qu il ibr ium.
I n o ther words, b ecause
c o mpet it ion i s a ct ing a s a med iu m t hrough wh ich t he e f fects o f o ther c hanges a re e xpressed w ith in e ach e cono my , i t i s t he r elat ive a dvant age o r d isadvant age o bta ined b y e ach c ompet itor wh ich d e ter m ines t he f requency o r s ever ity o f t he e nsu ing a lterat ion i n p opu lat ion p ressure , r a ther t han t he f requency o r s ever ity o f t he e x ternal c hange i t sel f.
I n t h is w ay t he e cono m ic o rgan isa t ion
o f h un ter-gatherer s oc iet ies , wh ich o therw ise p rov ides a b uf fer a ga ins t a l l b ut v ery a bnor ma l e x terna l h azards, i s r endered p o ten t ia l ly v u lnerab le t o c hanges o f a l most a ny k ind.
N ow , w hen t wo ( or more ) s oc iet ies a re i n e con-
om ic c o mpet it ion t he o ne s uf fer ing t he r elat ively g reater p opu lat ion p ressure h as e ssen t ia l ly t wo c ourses o pen t o i t—put s i mp ly i t must e ither c on for m o r w ithdraw.
E ither w ay i ti s b ound t o e xper ience s ome e cono m ic c hanges , a nd
e xa mp les o f t h is a bound i n a n thropo logy.
Here, f or e xa mp le , i s o ne f rom
Knu tson 's ( 1969 ) s tudy o f i n terethn ic r elat ions i n s ou thern E th iop ia.
The R ift
Va l ley Ars i w ere t rad it ional ly t ranshuman t h erders , p astur ing t he ir a n i mals i n t he v a l ley d ur ing t he w et s eason a nd o n t he E th iop ian h igh lands d ur ing t he d ry s eason .
L ast c en tury Amhar ic c u lt ivators a ppropr iated t he h igh lands ,
f orc ing t he Ars i t o w ithdraw p er manen t ly t o l ower s lopes , r educe t he ir h erdi ng i n terests, a nd d evelop a r ud i men tary mil let a nd s orghum f ar m ing s idel ine. Barth ( 1956 ) a nd T egengren ( 1952 ) p rov ide s im ilar e xa mp les a nd t he u nderly ing p r inc ip le i s e ncapsu lated i n K ap lan 's ( 1960 ) ' Law o f Cu ltura l Do m inance ' ( see N ewson , t h is v o lu me ). Bu t t hese e xa mp les s uggest t oo f ac ile a n h ypo thes is f or a g enera l c ase , f or t hey r equ ire t he e x istence o f s u itab le a lterna t ives c lose a t h and.
When c o mpe-
t i t ion i s s evere a nd a r ises f rom a v ery d if feren t o r d istan t e cono my , a s h appened i n t he c ase o f t he I ha lm iu t E sk i moes w hen t hey n eg lected t he ir c ar ibou h un t ing t o t rap f oxes f or a d istan t a nd f luctuat ing c ash e cono my (Mowat , 1 954 ), t he more l ike ly r esu l t i s e xt inct ion r ather t han c hange.
Ev iden t ly t here must b e ,
i n a ny p art icu lar c ase, s ome t hresho ld marked b y t he s ever ity o f c o mpet it ion , t he s u itab il ity o f t he a lternat ive s trateg ies , a nd t he e ase o f t rans it ion , w h ich d eter m ines whether e cono m ic c hange o r c on t inuance o r e x t inct ion w il l b e t he l ikely r esu l t.
To p ut t he mat ter i n aw el l k nown n u tshel l , t he p robab il ity o f
c hange wou ld s ee m t o i ncrease t he c loser t he c ircu mstances c on for m t o a ' mean c ha l lenge ' ( Toynbee , 1 946 ).
N evertheless , b y t he c on t inual r earrange-
men t o f p oten t ia l e cono m ic e cono m ic n iches,and t he c on t inua l a nd u npred ictab le p ressures o f c o mpet it ion t o f i l l t he m , ac onstan tp re m iu m would b e p laced u pon t he f or mu lat ion o f n ew c o mb inat ions o f e cono m ic e le men ts t o p rov ide , e ven i f t e mporar ily , a n e cono m ic e dge.
By t h is a l mos t r andom b ut c on t inuous p rocess
n ew a nd l ong-last ing e cono m ies migh t b e o ccas iona l ly e vo lved. I tr e ma ins t o c C •ns ider what k inds o f p rocesses might u pset a n e stab l ished c o mpet it ive e qu il ibr iu m b etween a g roup o f e cono m ies a nd p rec ip itate a n ew r ound o f a d just men ts.
Here i ts ee ms u sefu l t o d ist ingu ish b etween t hose more
o r l ess u lt i mate c auses, s uch a s l arge-sca le e nv ironmen ta l c hange , l ong-ter m p opu lat ion g row th , o r s i mp ly r ando m c reat ion o f c u ltura l v ar iety a nd t hose more p rox i mate c auses t o wh ich t hey may g ive r ise, s uch a s migrat ion , t he 4 0
d evelop men t o f t rad ing s yste ms ,o r
t echno log ica l i nnovat ions.
I ti s i nequa l i-
t i es i n t he i nf luence o f s uch l a tter p rocesses ( f or e xa mp le , t he d i f feren t ia l a ccess t o mutua l ly i nsuf f ic ien t mar ine r esources b y as oc iety w h ich i nven ts o r a cqu ires t he a rt o f n et t ing o ver o ne wh ich d oes n o t ) wh ich b ecome t he a gen t o f c ompet it ion , a nd i ti s t he c o mpet it ion wh ich s uch d i f feren t ia l e f fects c reate wh ich c auses t he a lterat ions i np opu lat ion p ressure t ha t a re t he i mmed iate impetus t o e conom ic c hange. I n o ther words i ti s n o t b e ing s uggested t hat c ompet it ion mode ls o ugh t t o r ep lace t rad it iona l h ypo theses a bou t t he c auses o f e conom ic c hange b u t r a ther t ha t t hey c ou ld s erve a v a luable b r idg ing r o le b etween t he e ven ts o f e conom ic c hange a nd p rocesses w h ich a ppear t o b e s omehow i mp l icated b ut a re p resen t ly s een a s t oo l ong-ter m , o r i nd irect , o r t oo d i ff icu l t t o p rec ise ly d e f ine i n t he a rchaeo log ical r ecord. Conc lus ions I th as b een a rgued t hat b oth b io log ica l a nd e thnograph ic d ata i nd icate t ha t s ign if ican t d i f ferences i n s tab il ity o ugh t t o b e e xpected b etween t he p opulat ionr esource r ela t ionsh ips o f t rad it iona l ly b road ly d e marcated e conom ies s uch a s t hose o f t he a gr icu l tura l a nd h un ter-gatherer t ype. I ti s s uggested t hat t hese d if ferences may b e r e lated t o t he d i fferen t ia l f reedom o r mob il ity o f t he r es ources, r a ther t han o f t he c on sumers. I ti s c onsequen t ly c ons idered u n l ike ly t hat p opu lat ion p ressure i n e cono m ies o f t he l at ter t ype wou ld a r ise f rom d i ff i cu l t ies i n r estra in ing t he k ind o f p opu lat ion g r ow th wh ich s eems t o o ccur r epea ted ly i n t he c ase o f t he l at ter. I th as f urther b een a rgued t hat c urren t a rchaeo log ica l e xp lanat ions o f e conom ic c hange a ccord i nsuf f ic ien t d ue t o t he p oss ib le e ffects o f e conom ic i n teract ion ;
d esp ite t he i mportan t r o le t h is p heno menon p lays i n t he c u l tura l
c hange e xp lanat ions o f a n thropo log ists a nd c u ltura l g eographers.
However,
b ecause t he c urren t ly p reva il ing g enera l model o f h uman b ehav iour i n e cono m ic a rchaeo logy i s d er ived s quare ly , i fn o t y et s o c learly , f rom e vo lut ionary e co logy , i ts ee ms a ppropr iate t o e xp lore t he u t il ity o f a n h ypo thes is d rawn f rom t he b io log ica l , r ather t han t he a n thropo log ica l c oncep t ion o f c o mpet it ion . T he a rgu men t p u t t ogether i n t h is p aper, w ith r eference t o c hange i n a h un ter-gatherer e conomy , i s t hat t he p rocess o f c ompet it ion t rans lates a d justmen ts i n t he r esource, t echno logy o r p opulat ion v ar iab les o f a ny e conomy , i n to p opu lat ion p ressure w h ich i s u npred ictab le b o th i n t er ms o f t he f requency o r s ever ity o f i t s e ffec ts.
Consequen t ly , i tc an n u l l i fy t he p oten t ia l l ong-ter m
s tab il ity wh ich t he o rgan isa t ion o f h un t ing-ga ther ing e conom ies wou ld o therw ise c on fer.
As y et t here a re f ew a rchaeo log ica l c ase s tud ies wh ich c an b e u sed
t o t est t he v alue o f s uch a mode l ( Anderson , n .d.) b u t t ha t i t , o r s o me s im i lar i n teract ive e xp lanat ion , s ee ms t o b e r equ ired i n e conom ic a rchaeo logy i s p la in b oth f ro m t he n ature o f t he t heoret ica l f ramework w e n ow w ork w ith in a nd t he e xper iences o f a n thropo log ists a nd c u ltural g eographers g rapp l ing w ith s im ilar p rob le ms.
4 1
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4 2
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2 5-46.
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4 3
Ox ford.
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4 5
THE MAINTENANCE OF GROUP I DENT IT IES I N THE BARING( ) D ISTR ICT, W. KENYA I an Hodder Abs tract T he a im o f t h is p aper i s t o d iscuss s ome o f t he r ange o f f actors w h ich c ause v ar iab i l ity i n t he f or m a nd s tructure o f r eg iona l d istr ibu t ions o f s ty les a nd c ustoms. Borders b e tween t he t r ibes i n t he Bar ingo d istr ict , W. K enya a re c learly i den t if iab le i n t er ms o f mater ial i t e ms o f d ress a nd e veryday u se, e ven t hough t here i s c ons iderab le c on tact b etween t hese g roups.
The e xpress ion o f
t he c u l tural d if ferences i s s een a s b e ing r elated t o t he e cono m ic c o mpet it ion b etween t r ibes f or b as ic r esources.
The i dea t hat c on f l ict o ver r esources l eads
t o d ist inc t ive f or ms o f mater ial c u l ture p at tern ing i s s hown t o b e o f v alue i n e xp la in ing v ar ia t ion i n t he s harpness o f t he t r iba l b orders, c hanges i n t he n at ure o f t he b orders t hrough t ime , a nd o vert i den t ity d i fferences w ith in t he t r ibes. The p oten t ia l i s s tressed f or a rchaeo log ica l s tud ies o f t he s ymbo l ic n ature o f a rt ifacts. •
•
•
•
•
•
•
•
•
•
•
•
•
•
Al arge b ody o f a rchaeo log ical e v idence a nd a nalys is c oncerns p at tern ing i n t he s ty les a nd d istr ibu t ions o f a rt ifacts a nd s ett le men t f or ms.
Much o f o ur i n ter-
p re tat ion o f t he p ast i s b ased o n t h is t ype o f e v idence. Yet , u n t i l r ecen t ly , n o a dequa te e thnograph ic w ork h ad b een c arr ied o ut wh ich t r ied t o d eter m ine t he p oss ib le f actors w h ich c ou ld a f fect ma ter ia l c u l ture r eg iona l p at tern ing.
The
f ie ldwork i n t he Bar ingo d istr ict o f w estern K enya w h ich i s d iscussed i n t h is p aper a i ms t o f ind o ut s ome o f t he r ange o f f actors wh ich c ause v ar iab il ity i n t he f or m a nd s truc ture o f r eg iona l d istr ibut ions o f s ty les a nd c usto ms. The d iscuss ion p rov ided h ere f o l lows o n f rom a nd d eve lops t he a rgumen ts p ut f orward a f ter i n it ia l work i nt he s a me a rea ( Hodder, 1 977a , b ). The t r ibal g roups i nt he d ry , h eav ily o ver-grazed a nd e roded a rea a round L ake Bar ingo a re t he Tugen , N je mps a nd Pokot . s how v ary ing d egrees o f emphas is o n c a t t le. e conomy w ith f ew g ardens o r ma ize p lots.
The e cono m ies o f t hese g roups
The Pokot h ave a l argely p astora l
The N je mps t oday a lso h ave a n
emphas is o n c a t t le b ut t hey h ave ma ize a nd mil let f i elds a s w el l.
The Tugen
i n t he h i l ls t o t he w est o f L ake Bar ingo h ave a more b a lanced r e l iance o n c at t le , g oats a nd a rab le f ar m ing b u t t hose l iv ing o n t he p la in t o t he s ou th o f t he l ake p lace a g reater emphas is o n c at t le. e cono m ic d if ferences w ith in t r ibes.
I ndeed , t here a re many c lear
Many o f t he more impor tan t l inks b e-
t ween i nd iv idua ls c oncern c at t le g iv ing , l end ing a nd b orrow ing.
These c att le
f r iends a nd p artners a re s pread f a irly w idely ma in ly w ith in o ne 's own t r ibe , a l though a f a ir p roport ion a re i n o ther t r ibes ( see b elow ). The s et t le men t p at tern c ons ists o f d ispersed c ompounds. 4 7
These h ave a d egree o f p er manence
r elated t o h ow f ar a p art icu lar f am i ly i s d ependen t o n c at t le. For e xamp le , t he more p astoral Pokot c hange t he ir c ompounds more f requen t ly. There i s n o c en tral ised p o l it ica l c on tro l—there w ere n o t rad it iona l c h iefs , a nd t he s ett l ing o fd isputes was i n t he h ands o f t he o lder men .
Th is p at tern
i s , o f c ourse, c hang ing w ith t he i ncreas ing i n f luence a nd i mpor tance o f g overnmen t a ppo in ted r epresen tat ives i n t he a rea.
The l at ter p o in t l eads o n
t o t he g enera l p rob le m o f h ow much ' Western ' i n f luence t here i s i n t he a rea. Th is v ar ies v ery much w ith in t he r eg ion s tud ied , b u t i th as a f fected t he who le r eg ion t o s ome e x ten t . There a re mass-produced i mported g oods, b ut o n a smal l s ca le a nd o n ly i t e ms o f m inor i mportance. Chr ist ian ity i s g radua l ly s pread ing i n to t he a rea ( espec ia l ly t he w estern p art ), wh ile t he s end ing o f many o f t he c h i ldren t o s choo l i s af a ir ly r ecen t d eve lop men t . Bu t t he f actor wh ich h as p erhaps c aused t he g reatest c hange i n t he t rad it iona l way o f l i fe i s t he b r ing ing o f r e lat ive p eace a nd s tab il ity t o t he a rea.
Po l ic ing o f
t he d istr ict h as l arge ly s topped t he c at t le r a id ing a nd f i gh t ing i n most o f t he l ocal it ies s tud ied ( a lthough n ot c omp letely—see b e low ).
I ti s p oss ib le t hat
t he b r ing ing o f s ecur ity f ro m o u ts ide t he t rad it iona l s yste m h as g rea t ly a f fected t he n ature o f t he t r ibal g roup ings , a nd t h is p oss ib i l ity w il l b e d isc ussed l ater i n t h is p aper.
Bu t , g iven t hat c hanges i n t he t rad it iona l w ay o f
l i fe h ave o ccurred , i ti s n ecessary t ou nders tand t he s i tuat ion a s i ti s t oday a nd t hen t ry a nd e x trapo late b ack t o b efore t he p eace b rough t b y c o lon ia l r u le. The f i eldwork i nt he Bar ingo a rea c oncen tra ted o n t he b orders b etween t he d if feren t t r iba l g roups. Co mpounds w ere v is ited a nd d eta i ls r ecorded o f t he ma ter ia l i t e ms , t he c o mpounds a nd h uts t he mse lves, a nd t he i nhab itan ts. I n a l l , o ver 4 00 c ompounds h ave n ow b een v is ited , a nd p ersonal i n for ma t ion c o l lected f or o ver 1 000 i nd iv idua ls. I n t h is p aper , s ome g eneral c om men ts w il l f i rst b e made a bout t he t r iba l b orders i n t he B ar ing° a rea , a nd t hen t he d if ferences b e tween t he n atures o f t he b orders w i l l b e e xam ined i n s ome d e ta i l. An importan tp o in t t o make c lear a bou t t he b orders i s t ha t t here i s u sua l ly v ery l i tt le amb igu ity o r b lurr ing a bou t what t r iba l g roup a p erson b elongs t o. Each t r ibe i s c haracter ised b y d ist inct ive s ty les o f d ress ( Plates 1 -4 ).
The
p eop le t he mselves k now v ery c lear ly whether a t a ny o ne momen t t hey a re i den t ify ing w ith t he Pokot , N je mps o r Tugen , a nd t h is i dent i f icat ion i s s hown o vert ly i n i t e ms o f d ress, p art icu larly e ar d ecora t ion ( Fig. 1 ). I nd iv iduals c an move a cross t he b orders a nd c hange t he ir h omes.
When t hey d o t h is t hey
w i l l u sua l ly c hange t he ir d ress t o c on for m t o t he t r ibe i n w h ich t hey l i ve. Bu t i ft hey make a r eturn v is it t o t he ir o r ig ina l t r ibe f or a s hort p er iod , t hey migh t w e l l c hange t he ir d ress a ga in . S o , w hatever a woman may f ee l s he r ea l ly i s , s he c an o utward ly e xpress d if feren t i den t it ies, a nd t here i s r arely a ny amb igu ity a bou t wha t i den t ity s he i s o vert ly e xpress ing a t a ny o ne t ime. The i nd iv idua l h ersel f a nd a n o u ts ide o bserver w ou ld a lways c o me t o t he s ame c onclus ion a bou t wh ich t r ibe a p art icu lar p erson w as i den t ify ing w ith . Hav ing made t h is g enera l s tate men t i tw il l b e s hown b e low t hat s ome o f t he b order a reas d o s how s ome b etween-tr ibe b lurr ing.
But e ven t hese
b orders must b e c ons idered a brup t r elat ive t o t he g reat s tretches o f c u l tura l h o mogene ity w ith in t he t r iba l a reas b eh ind t he b orders.
Var ious a spec ts
o f d ress, t hen , a s w el l a s o ther i t e ms o f mater ia l c u lture s how f a ir ly c lear b reaks a t t he t r iba l b oundar ies ( Fig. 1 t o 4 ). 4 8
D istr ibu t ion s s uch a s t he e ar
d ecora t ion ( Fig. 1 ) a l low l i nes t o b e d rawn b etween t he Tugen a nd N je mps t o t he s outh a nd w est o f t he l ake.
The s a me b oundary i s s een i n t he sma l ler
s amp les o f b asket d r ink ing c ups ( t oke i —Fig. 2 ) , w ooden e at ing b ow ls ( t ube— F ig. 3 ) , a nd s h ield t ypes ( F ig. 4 ). Bu t w hat h appens t o t he r elat ionsh ips b etween p eop le a t t hese b oundar ies? Why d o t he b oundar ies e x ist a nd what d oes i t mean t o b e a Tugen a s o pposed t o a n N je mps ? And why h ave t he d i f ferences i n mater ia l c u l ture b een ma in ta ined o ver a t l east t he l ast 8 0 y ears ? The i nadequacy o f many o f t he a nswers f avoured b y a rchaeo log ists f or t hese t ypes o f q uest ion h as b een d iscussed e lsewhere ( Hodder, 1 977a , b ) b u t w ha t i s p art icu larly c lear i s t hat t he c u l tural d i f ferences a re n o t t he r esu lt o f al ack o f b etween-group c on tact .
I n f act t here h as b een a l ong h istory o f
i n teract ion a nd move men tb etween t he t r iba l g roups.
For e xa mp le , a lthough
t hose l v i ing n ear t he t r iba lb orders s how a p reference f or marr iage w ith in t he ir own t r ibe ( Hodder , 1 977b :Fig. 7 ) , c ross-border marr iages a re f a irly c om mon , s o t hat most p eop le n ear t he b orders h ave s ome i n-laws i n t he n e ighbour ing t r ibes.
The a verage n umbers o f i m med iate i n-laws ( brother,
s is ter, p aren ts, a nd c h i ldren-in-law-the Tugen word i s k abiko i , t he N je mps w ord l au tan ) p er i n for man t a re s hown i n F ig. 5 . A lso , most p eop le h ave c at t le f r iends a nd p artners i n o ther t r ibes. I ti s ac om mon p ract ice t o l eave s ome o f o ne 's c att le a nd g oats w ith p artners d ot ted a round t he c oun trys ide a t c ons iderab le d istances f rom where o ne l i ves. These p ar tners l ook a f ter o ne 's a n i ma ls a nd u se t he m ilk f rom t he m ( i n Tugen s uch p artners a re i ngor , i n N je mps n g i taa t a nd i n Pokot s irah ). I n t h is w ay o ne 's s tock i s s a feguarded a ga inst l ocal ised d isease a nd r a id ing . S uch a n ima ls c an a lways b e r eca l led. A r ather d if feren t p ract ice o ccurs w hen o ne man g ives c at t le a nd g oats t o a nother man .
I n t hese c ases a man g ives u p h is r igh ts
t o t he a n i mals, b ut h e e xpec ts a s im ilar g if t i n r eturn a t s o me u nspec if ied t ime ( t he Tugen w ords f or s uch e xchange f r iends a re t inye i b esen tenya , i n N jemps t hey a re s ir e " a nd i n P okot g hos ia ). Any o ne man may h ave f rom 5 t o 5 0 o f t hese c at t le p artners a nd e xchange f r iends. F ig. 6 s hows t hat i n for man ts n ear t he b orders g enera l ly h ad s uch p artners i n n e ighbour ing t r ibes. S o t he p at tern o f t he i nd iv idua l 's f i elds o f c on tacts a nd r e la t ions c anno t b e u sed t o e xp la in t he mater ia l c ul ture d i f ferences.
Even i fo ne h as many f r iends a nd
r e la t ions i n o ther t r ibes , t h is d oes n ot mean t hat o ne t herefore d resses l ike t he o ther t r ibe. I ft he b orders h ave n o tb een e roded b y c ross-border marr iage a nd i n tera ct ion , n e ither h ave t hey b een e roded b y migrat ion a nd t he move men t o f who le f am il ies f rom o ne t r ibe t o a nother. When a f am ily w ishes t o move i n to a nother t r ibe t he h usband must b eg in d iscuss ions w ith t he e lders i n t he a rea h e w ishes t o move t o , a nd h e w il l u sua l ly h ave t o g ive a b u l l t o b e e aten b y t he y oung men o r w arr iors o f t he a rea.
When t he me mbers o f af am ily move, t hey
w i l l o f ten c omp letely c hange t he ir d ress a nd ma ter ia l c u lture s o t ha t t hey b ecome a l most i nd ist ingu ishab le f rom t he l oca l c om mun ity. I n t he p ast i t s eems t hat t here h as b een much move men t a nd a bsorp t ion o f t h is s ort t hroughou t t he Bar ingo a nd T urkana a reas, w ithout a ny w ater ing d own o r e ros ion o f t he c u ltura l d i fferences. Factors o f t he t ype a lready d iscussed d o n o t e xp la in w hy i ti s t hat t o b e a Tugen , N je mps o r Pokot i nvo lves d e marcat ing c lear a nd d ist inct i den t it ies 4 9
i n t er ms o f d ress a nd ma ter ia l c u l ture.
Why i s i tt hat t he ' u s ' a nd t he ' no t-us '
c a tegor ies a re s o c learly d isp layed? One f urther s uggest ion t hat m igh t b e made i s t ha t t he d i f ferences a re i n s ome w ay f unct iona l a nd r e lated t o d if feren t e conom ies a nd w ays o f l i fe. I ti s t rue t hat t here a re s l igh t d i f ferences i n e conom ic emphas is b e tween t he t hree g roups ( Tugen , N je mps, Pokot ) a s a lready men t ioned.
Bu t t h is a rgumen t
s eems o n ly r elevan t t o p art o f t he c u ltura l a sse mb lage.
C erta in t ra its s uch
a s m ilk ing j ugs , h u t c onstruct ion a nd c ompound p lan d o s ee m t o b e r elated t o e cono m ic v ar iat ion .
For e xa mp le , t here a re s ome p urely p astora l N je mps i n
t he Muku tan a rea w ho h ave t e mporary h ouses b u i l t l ike t hose o f t he p astora l Pokot . t ory .
Bu t t h is t ype o fa rgu men t c anno t b e u sed f or t he w ho le c u l tura l i nvenThere i s c lear h o mogene ity i n mater ia l c u lture w ith in t r ibes a nd f a irly
c lear b reaks a t t he b orders.
The e cono m ic v ar ia t ion i s much more g radua l ,
l oca l ised a nd c omp lex s o t hat i ti s d i f f icu l t t o s ee i ta s t he c ause o f t he ma ter ia l c u lture v ar ia t ion . S o f ar i nt h is p aper n o a dequate e xp lanat ion f or t he c lear d if ferences i n t he i den t it ies e xpressed b y d if feren t g roups i n t he B ar ing° a rea h as b een ofered. Perhaps i ts hou ld b e a dded t hat t o b e a Tugen r a ther t han a n N je mps d oes mean t hat o ne h as s l igh t ly d if feren t s oc ia l c usto ms —for e xa mp le , ad if feren t b r idep r ice a nd d if fere n t p ena lt ies f or w rong-do ing. Bu t t hese d if ferences a re v ery s l igh t a nd t hose i nd iv idua ls c ross ing t he b orders e as ily a dopt a nd f i t i n to t he n ew i nst itu t ions.
I ti s d iff icu l t t o s ee t hese m inor f eatures a s c aus ing t he
mater ia l c u lture d if ferences. The p referred e xp lanat ion t o b e o f fered h ere h as t wo a spects. These c oncern ( a ) f orces a t work w ith in e ach s oc ie ty , a nd ( b ) t he r elat ionsh ip b etween g roups.
S pencer ( 1965 ) h as d iscussed f orces a t work w ith in S a mburu s oc iety
wh ich may h ave l ed t o t he marked c on for m ity s hown b y t h is g roup.
Th is i s
r elevan t t o t he Bar ing° a rea b ecause t he N je mps a re i n p art a n o f fshoo t o f t he S amburu.
The S a mburu a nd t he N je mps h ave c omparat ively h igh r a tes o f
p o lygamy a nd a n a ge-set s yste m wh ich r ig id ly p reven ts men f rom marry ing b efore t hey a re f a ir ly o ld-30 amongst t he S a mburu.
A s yste m l ike t h is
n ecess itates s t rong s oc ial p ressures a nd c on tro ls o n i nd iv iduals.
For e xa mp le ,
t he a dverse efects o f p ub l ic o p in ion d iscourage a man f rom marry ing a t a n e arly a ge a nd s o d epr iv ing o lder men o f a dd it iona l w ives.
There i s ag reat
d ea l o fp ressure o n t he y oung men t o c on for m a nd a ccep t t h is s i tuat ion. Even s tronger p ressures a re d irected t owards t he y oung wo man w ho must marry men a t l east 1 0 t o 1 5 y ears o lder t hen t he m , men who m t hey p robably d o n ot k now a nd w ho l i ve i n ad if feren t a rea.
Because t here a re g reater
s oc ia l p ressures o n wo men , t hey s how g reater c on form ity i n d ress a nd mater ia l ' c u l ture. S pencer ( 1965 ) s uggests t hat s oc iet ies l ike t he S a mburu n eed t o p lace a p re m ium o n c on for m ity b ecause o f s uch s tra ins b e tween g roups a nd i nd iv idua ls.
I tm igh tb e s uggested t hat o vert mater ia l c u lture c on for m ity
w as p art a nd p arce l o f t h is s yste m. Wh i le f actors l ike t h is may h elp t o e xp la in c u ltura l h omogene ity w ith in a n a rea , t hey a re l ess a b le t o e xp la in t he s harp b oundar ies i n mater ia l c u lture b etween g roups.
S o t here a re o ther f actors c oncern ing b etween-group r e la-
t i ons wh ich must b e c ons idered.
There i s , a nd h as b een f or s ome c onsider-
a b le t ime a s f ar a s o ne c an s ee, a g reat d ea l o f e conom ic c ompet it ion
5 0
b etween t he Bar ingo t r ibes.
Th is c o mpet it ion ma in ly t akes t he f or m o f c att le
a nd g oa t r a id ing a nd d isputes o ver g raz ing l ands. Even t oday t he Pokot a nd T urkana a re f i gh t ing o ver c at t le a nd l and. S o t he e conom ic c ompet it ion h as g eneral ly l ed t o a ggress ion , f i gh t ing a nd p et ty w ars.
I n much o f t he a rea
s tud ied a y oung man i s s t il l r arely s een w ithou t h is s pear. The y oung c ircumc ised b ut u nmarr ied men ( t he moran ) h ave a s pec ia l r o le t o p lay i n t he c ompe t it ion o ver r esources. The moran a re t he w arr iors w ho d o t he r a id ing t o o bta in c at t le f ro m o ther t r ibes.
But , p erhaps more
i mportan t ly , t hey a re t he p eop le who w il l g o a nd r etr ieve o ne 's c at t le i ft hey a re s to len b y a no ther t r ibe. S o , b y b e ing a me mber o f at r ibe o ne q ua l if ies f or t he p rotect ion o f t he moran o f t hat t r ibe.
Wh i le w ork ing amongst t he
P okot i n 1 977 , t he c at t le o f o ne f am ily n orth o f Mukutan w ere s to len a t n igh t b y t he Turkana. The n ex t d ay 1 50 Poko t moran s et of t o r etr ieve t he m. A lthough t h is p art icu lar e xped it ion w as u nsuccessfu l , t he e xa mp le i l lustra tes t he v ery r ea l e x ten t t o w h ich me mbersh ip o f at r ibe b r ings w ith i t ac ons ide rab le d egree o f s uppor t a nd a id. I n more g enera l t er ms , S ah l ins ( 1968 ) h as s uggested t hat c erta in t ypes o f r ec iproca l e xchange o ccur w i th in t r ibal a reas.
S uch e xchange i nvo lves
b a lanced a nd g eneral ised r ec iproc ity. But t he ' t he m ' c ategory may b e t reated d i f feren t ly f rom t he ' u s ' c a tegory . Across t he t r ibal b order t here may b e n ega t ive r ec iproc ity i nvo lv ing b arter a nd h agg l ing a nd t hef t—the d es ire t o g et s ometh ing f or n o th ing. B etween-group c on tact may i nvo lve a d ist inct ive t ype o f r e lat ionsh ip b etween p eop le b ecause i ti s b ased o n t he d i f ferences b etween t hem.
For e xamp le , i t may b e t he v ery d i fferences b etween g roups w h ich
a l low e ach g roup t o g a in r esources ( i n t he Bar ing ( ) c ase, c at t le a nd g oats ) f rom t he o ther t r ibe w ithout g iv ing a ny th ing i n r eturn .
Iwou ld s uggest g enera l ly
t ha t , a s c o mpet it ion o ver r esources a nd c on f l ict b etween
g roups i ncrease,
t here a re g reater a dvan tages i ng roups o vert ly s tress ing t he ir d i fferences. I ti s t he d i fferences wh ich a l low o ne t o t ake a nd n o t t o g ive i n r eturn , wh ich a l low ' t he m ' t o b e t reated d i fferen t ly f ro m ' u s ' , a nd w h ich a l low t he r esources o f g roups t o b e i ncreased . A t t he s a me t ime , i den t it ies may b e s tressed i n a w arr ing , c o mpet it ive s ituat ion f or a no ther r eason . I f ap erson i s d ependen t f or h is s ecur ity o n t he v o lun tary a nd s pon taneous s upport o f h is own c om mun it y , s e l fiden t if ica t ion a s a me mber o f t h is c ommun i ty may n eed t o b e e xp l ic i t ly e xpressed a nd c on f ir med. S o , i n p er iods o f i nstab i l ity a nd i ns ecur ity , o ne m igh t e xpect g reater mater ia l c u l ture c on for m ity w ith in r eg iona l c ommun it ies , a nd g rea ter c u l tura l d ifferences b e tween c om mun it ies. P erhaps i tw ou ld b e u sefu l t o e xp la in h ere i n more d eta il t he importance t o a n i nd iv idual o fb elong ing t o o ne Bar i n go t r ibe a s o pposed t o a nother. As h as b een s uggested , t he f actor wh ich most c losely c orrelates w ith b e ing a Tugen , N je mps o r Pokot i s t hat o ne 's s ecur ity a nd l i vel ihood a re g uaran teed b y t he e x istence o f t he w ider g roup t o wh ich o ne b e longs.
Hav ing b een b orn
o r b ecome a me mber o f at r ibe, i n for man ts w ere a lways c lear t h at r eparat ion f or t he t hef t o f o ne 's b elong ings ( ma in ly c att le ) w as t he r espons ib i l ity o f t he g roup a s a who le. S o t he l og ica l r e lat ionsh ip b etween t he e conom ic b ase o f s oc iety a nd mater ia l c u lture i s a pparen t. U l t i mately , t he v ery l i vel ihood a nd s ecur ity o f af am ily d epend o n s upport f rom t he w ider g roup t o wh ich i t b elongs . I n t he B ar ingo c on tex t o ne 's r e l iance o n t he w ider g roup i s s o f unda men ta l t ha t i ti s e xpressed i m med ia te ly a nd o ver t ly i n t he o u tward s igns w ith wh ich o ne i s a ssoc ia ted— i.e. i n mater ial c u lture. 5 1
The w ay i n wh ich mater ia l c u l ture i s u sed t o c ommun icate i n for mat ion a bou t g roup me mbersh ip i s b rough t o u tb y t he r esponses o bta ined when wo men w ere a sked why t hey d id n o t wear d i f feren t d ecora t ion , s ay t ha t o f o ther t r ibes . T he most c om mon t ype o f a nswer w as t ha t w omen d id n o t w ear u ncharacter ist ic d ress b ecause " they d id n o t w an t t o b e as tranger" i n t he ir own t r ibe.
One
woman s a id t hat i tm igh t b e t hough t s he w ou ld b e a t tacked a s af ore igner i n N je mps l and i fs he d ressed l ike a Pokot , a lthough i n p ract ice t here i s al ot o f t ravel l ing i n d i fferen t t r ibes. A Tugen w oman s a id t hat t he w omen i n h er a rea h ad b een t o ld b y t he ir l oca l ' ch ie f ' t o w ear t he ir d ist inct ive d ress " so t hat t hey c ou ld b e r ecogn ised a s f r iends , a nd n o t e ne m ies i n t imes o f f i gh t ing". These c ommen ts s upport t he i dea t hat i t e ms s uch a s e ar d ecorat ion e xpress i den t ity w ith a g roup a nd c on for m ity w ith i t s r u les. The s ame i s e v iden t amongst t hose w omen c hang ing t r ibe o n marr iage. A Pokot w oman marr ied t o aN je mps man s a id s he wore f u l l N je mps d ress b ecause, when h er p aren ts g ave h er o ut t o a no ther t r ibe , s he h ad p rom ised t o a gree t o f o l low t he N jemps c ustoms. The mater ia l c u l ture a ssoc iated w ith h er e xpressed h er c on form ity a nd i den t ity. Extended o r e ven s hort v is its b ack t o o ne 's o r ig ina l t r ibe o f ten r esu lt i n c hanges b ack t o t he f i rst t r ibe 's s ty le o f d ress. I n f act , o ne 's g u ise may b e t rans ien t a nd t e mporary , d epend ing o n c on tex t. Another P okot w oman marr ied t o a n N je mps man s a id t ha t when s he w an ted t o b e l ike t he N je mps s he wore N je mps t h ings. Th is a t t itude s tressed t he i mportance o f mater ial c u l ture a s a med ium f or c o m mun icat ion . The s uggest ion made a bove, t hat s evera l a spects o f t he mater ial c u l ture p at tern ing i nt he Bar ingo d istr ict a re l argely t he r esu lt o f c ompet it ion a nd c on f l ict o ver r esources, may s t il l s ee m a l i t t le w eak , e spec ia l ly s ince t he c o lon ial a nd p resen t K enyan g overnmen tb rough t ac erta in amoun t o f p eace a nd s tab i l ity t o t he a rea.
S o i ti s n ecessary t o e xam ine h ow u sefu l t he e xplana-
t ion i s i na ccoun t ing f or ( a ) v ar iat ion i n t he s harpness o f t he b orders, ( b ) c hanges i n t he n ature o f t he b orders t hrough t ime , a nd ( c ) o vert i den t ity d iff erences w ith in t he t r ibes. F irst , t hen , v ar iat ion i n t he s harpness o f t he d i fferen t b orders w i l l b e e xam ined.
A t t he n orthwestern e dge o f t he l ake t he Pokot b order t he Tugen .
But t h is b order i s b y n o means c lear-cut.
Tugen a nd Pokot h ouses a re f ound
i n ter m ing led , a nd o ne woman may w ear b o th P oko t a nd Tugen i t e ms o f d ecorat i on.
When a w o man marr ies a man f rom a no ther t r ibe l iv ing i n t h is b order
a rea s he d oes n ot n ecessar ily c hange h er s ty le o f d ress. C erta in o ther mater ia l c u l ture t ra its , s uch a s w ooden m ilk j ugs , s pread f rom t he Pokot w el l i nto t he Tugen a rea. An i n it ia l i n terpre tat ion o f t he r ela t ive b lurr ing o f t h is b order w as t hat Pokot a nd Tugen a re b o th K a len jin . s ame w ider l anguage
That i s , t hey a re b oth me mbers o f t he
a nd h istor ical g roup ing.
Bu t more r ecen t w ork o n t he
n ortheastern s ide o f t he l ake h as i den t if ied t he s a me b lurr ing b etween t he Pokot a nd a n on-Ka len ji n g roup , t he N je mps. Once a ga in t he Pokot a nd N je mps c ompounds a re i n ter m ing led , a nd l arge n umbers o f women w ear b oth N je mps a nd Pokot t ra its. What i s t he s oc ia l s ituat ion r espons ible f or t he ma ter ia l c u l ture b lurr ing a t t hese t wo b orders ? I n t he f i rst p lace t here i s n o more n or l ess c rossb order marr iage a nd e xchange o f c at t le ( as f ar a s ab order c an b e i den t i f ied ) 5 2
t han a cross o ther b orders i n t he r eg ion a s a who le ( Figs. 5 a nd 6 ) .
I n t hese
a reas t he Pokot a re mov ing s ou thwards t owards t he Tugen a nd N je mps b ecause o f p ressure f rom t he T urkana t o t he ir n orth. But many o f t he Pokot i n t he t wo b order a reas h ad b een t here f or s ome t ime , o f ten l i v ing i n f a irly p er mane n t c o mpounds.
Any t endency t owards e conom ic s tress a nd c ompet it ion i n
t hese a reas i s , t o ac er ta in e xten t , r el ieved b y t wo f actors. ( i ) Those l iv ing i nt he t wo b order a reas make u p q u ite a l arge p art o f t he ir d ie t b y f i sh ing i n t he l ake.
( i i ) The N je mps a nd Tugen c u lt ivate ma ize a nd o ther c rops wh ile
t he Pokot d o n o t d o t h is.
These f actors r el ieve a ny s tress w h ich m igh t o ther-
w ise h ave o ccurred t hrough d irect c on f l ict b etween i den t ica l n eeds f or g raz ing l ands. There i s , i n a ny c ase , f a ir ly r ich g raz ing l and a round t he e dge o f t he l ake w h i le t he d ens ity o f o ccupat ion i n t hese a reas r e ma ins r e la t ive ly l ow . S o t he mater ia l c u l ture m ix ing , a nd t he r elat ive l ack o f c lear s tressed i dent it ies i n t he a reas t o t he n or th o f t he l ake c an b e s een t o r elate t o al ow l eve l o f e cono m ic c ompet it ion a nd s tra in . H owever , mov ing e as twards a nd u pwards a way f ro m t he l ake t o t he Muku tan a rea , t he Pokot a re a ga in f ound b order ing t he N je mps. Y et h ere t he s ituat ion i s s l igh t ly d if feren t. The Pokot h ave moved i n to t h is a rea f a irly r ecen t ly ( i n t he l ast 5 y ears ) b ecause o f Turkana r a id ing , a nd t o al esser e x ten t b ecause o f c a t t le d isease a nd d rough t i n Pokot a reas. The Pokot c o mpounds i n t h is Mukat an a rea a re more t e mporary t han t hose n ear t he l ake. The p opu lat ion d ens ity i s a ga in l ow . These f actors mean t hat t he Pokot d o n ot r epresen t ah uge t hreat t o t he N je mps a nd t he ir g raz ing l ands. I n a dd it ion , t he N je mps i n t he a rea t end t o g row more ma ize t han t he Pokot .
O ther d ifferences i n t he e cono m ies
o f t he t wo g roups a re t hat t he N je mps h ave n o c a me ls a nd f ewer g oa ts a nd s heep. Perhaps a s ar esu l t o f a l l t h is , t here h as b een n o r ecen t f i gh t ing b etween t he t wo t r ibes i n t h is a rea.
I ndeed , t he Poko t o bta in a l l t he ir d r ink ing w ater i n
t he d ry s eason f rom a r iver r unn ing t hrough N je mps t err itory. N evertheless, t here i s g reater e conom ic s tress i n t h is a rea t han a t t he n orth o f t he l ake. A t Muku tan , b oth t he N je mps a nd t he Pokot h ave a h eavy r el iance o n c at t le , a nd t h is f ar f rom t he l ake t here i s n o p oss ib il ity o f f i sh ing r el iev ing t he e conom ic c ompet it ion . There i s as carc ity o f g raz ing l and , a nd t h is i s s een q u i te c learly i n t he f act t hat s ome o f t he N je mps i n t h is a rea h ave a dopted a more mob ile a nd p astora l way o f l i fe.
They h ave c hanged t o t h is b ecause t he l ack
o f g rass i n t he Muku tan a rea makes p er manen t h ab i tat ion a nd g raz ing t here d iff icu l t.
The N je mps w ere c erta in ly aware o f t he t hreat p osed b y t he a rr iva l
o f t he Pokot i n t he a rea , a nd t hey h ad b egun mov ing i n to a nd c onso l idat ing t he ir b order w ith t he Pokot . Related t o t he f act t hat t he Pokot a re r ecen t a rr iva ls i n t he a rea , a nd r el ated t o t he i ncreas ing e conom ic s tra in a nd c ompet it ion , t here i s l ess b lurr ing o f i den t it ies a nd mater ia l c u lture i n t h is a rea. The i den t it ies e xpressed i n t erms o f d ress a nd mater ia l c u l ture w ere k ept r ig id ly d ist inct s o t hat t here w ere n o p eop le f ound wear ing i t e ms o f b oth N je mps a nd Poko t d ress.
How-
e ver , t here was a c erta in amoun t o f b lurr ing i n s o me o ther a spects o f ma ter ia l c u lture, N je mps a nd Pokot c ompounds w ere i n ter m ing led ( Fig. 1 ) , a nd i no ne c ase N je mps a nd Pokot f am il ies i nhab ited t wo h a lves o f t he s ame c o mpound. U p t o t h is p o in t t he r elat ionsh ip b etween t he Pokot a nd o ther t r ibes h as b een c ons idered.
I ng enera l , i tm igh tb e e xpected t hat a ny b order w ith t he 5 3
Pokot wou ld t end n ot t o b e s trong ly marked s ince t he P oko t h ave a more n omad ic w ay o f l i fe t han t he Tugen a nd N je mps. The p resence o f t he Pokot i s t emp orary a nd may , t herefore , p ose l ess o f at hreat. To t he s ou th a nd w est o f t he l ake , t he b order b etween t he Tugen a nd N je mps p resen ts a d if feren t s i tua t ion . The f l at p la in i n t h is a rea was i nhab ited e ar l iest b y t he N je mps b ut o ver t he l ast 3 0 t o 5 0 y ears , t he T ugen h ave b een mov ing d own o n to t he p la in f ro m t he h i l ls t o t he w est , i n s earch o f b et ter g raz ing l and. There i s n ow a n e x tre mely h igh d ens ity o f o ccupat ion o n t he p la in , a nd b oth Tugen a nd N je mps a re mov ing i n to a nd c onso l ida t ing t he ir b orders. The T ugen a lso moved r ound t o t he e ast o f t he N je mps a nd t ook o ver t he u p land Araba l a rea wh ich w as t rad it iona l ly a s easona l g razing a rea o f t he N je mps. The N je mps a re t herefore s urrounded b y , a nd b e ing e ncroached u pon b y t he Tugen .
A lso , u n l ike t he a reas d iscussed a bove , t he e conom ies o f t hese t wo
g roups a re v ery s im ilar.
There i s l i t t le o r n o f i sh ing h ere b ecause o f t he d is-
t ance o f t he b order i t self f rom t he l ake.
Bo th g roups c o l lect h oney , g row
ma ize , a nd h ave a s trong emphas is o n c at t le.
As a r esu lt o f t h is, a nd u n l ike
t he o ther a reas , t here h as r ecen t ly b een r a id ing a nd sma l l-scale f i gh t ing i n t h is l oca l ity. Most p eop le i n t he N je mps-Tugen b order a reas s outh a nd w est o f t he l ake d o n o t t ake t he ir c at t le t o g raze i n e ach o thers l ands ( Fig. 7 ) a nd s a id t hey w ou ld b e s cared t o t o t h is w ithout p er m iss ion a nd w ithout r elat ives i n t he o ther t r ibe.
S o me N je mps s a id t hey w ou ld n ever b e a ble t o t ake c a tt le
i n to t he Tugen a rea , e ven i n av ery b ad y ear. S o t here i s c lear e v idence h ere o f e conom ic c on f l ict o ver r esources. Yet t he amoun t o f i n ter marr iage b etween t r ibes i s a bou t t he s a me a s i n t he o ther b order a reas ( Fig. 5 ). Many p eop le l i v ing u p t o 3m i les f rom t he b order h ave s ome i nlaws i n t he o ther t r ibe; a s t hey d o c at t le p artners ( Fig. 6 ) .
A lso t he
d i fferen t t r ibes c ooperate i n t he g row ing o f ma ize. There i s al arge c om muna l ma ize f i e ld j ust i ns ide t he Tugen a rea s ou th o f t he l ake. I nd iv idua l Tugen a l low N je mps p eop le t o p lan t ma ize i n t he ir p ar t o f t he f i eld i n r eturn f or s o me o f t he ma ize , o r f or b eer.
A l ternat ively t here i s a n o bl igat ion t o r eturn h elp
l a ter i fn eeded. I n s p ite o f t h is b etween-tr ibe c on tact , t here i s n o d oubt t hat t here i s a h igher p opu lat ion d ens ity a nd g rea ter e cono m ic s tra in a nd c ompet it ion i n t h is a rea t han e lsewhere. Correspond ing t o t h is t here i s a marked b oundary b et ween t he t wo g roups i n s evera l a spects o f mater ia l c u lture, e spec ia l ly i n t he e ar d ecorat ion worn b y wo men ( Fig. 1 ) .
But t he b oundary i s a lso s een v ery
c learly i nt he d istr ibut ion o f t oke i ( Fig. 2 ) , t ube - ( Fig. 3 ) , s h ield t ypes ( Fig. 4 ) a nd c ere mon ia l d resses. N o women w ere f ound w ear ing a mixture o f Tugen a nd N je mps e ar d ecora t ion .
Actua l ly o n t he b order i t se l f t here a re o n ly t wo
c ompounds i n wh ich t here i s a ny i nd ica t ion o f am ix ture o f c haracter ist ica l ly N je mps a nd Tugen t ra its. N o c ase w as f ound o f a Tugen o r N je mps l iv ing i n t he o ther t r ibe a nd r e ta in ing d if ferences o f ma ter ia l c u lture, s o t hat a l ine c an e as ily b e d rawn b e tween t he Tugen a nd N je mps a reas ( Figs. 1 t o 4 ). Marr iage moves a cross t he b order r esu l t i n q u ick a nd c o mplete a ss im ilat ion i n t er ms o f ma ter ial c u lture a nd d ress ( a t l east t h is i s t rue f or marr iages w h ich h ave t aken p lace i n t he l ast 2 0 y ears. c ussed f ur ther b elow.).
5 4
The e arl ier s i tuat ion i s d is-
Apart from marriage moves, two families were found who had moved as units from the Tugen area into the Njemps area 30 to 40 years ago. They had achieved this by talking to the older Njemps men, paying a bull, and by be coming involved in the Njemps way of life. For example, their children were circumcised with Njemps children in the same ceremonies. Also, they changed their dress and material culture completely. However, in both families the children had later married Tugen in preference to Njemps and had retained a large number of Tugen cattle partners. This suggests that, although families might become fully incorporated into another culture and way of life and express their incorporation overtly, they might still think of themselves as different and prefer to marry back into their own tribe. Some of the evidence from Baringo has been mentioned which shows that dis tinct identities are overtly stressed most clearly at those boundaries where there is greater economic competition between groups. It is suggested here that this is because one's rights to land, and protection from raiding, depend on one's being a member of a particular group. Where there is greater compe tition over land, and more fighting and raiding for resources, identities are most clearly displayed. The cultural differences are maintained because it is the differences that ensure one's security and access to resources. So far the situation in the Baringo area at the present day has been consid ered. But, as already suggested, the present situation differs markedly from that in the past, in that policing of the area has had some degree of success in maintaining peaceful conditions and preventing cattle raiding. Is it possible to discover what border relations were like before this relative peace? Prob ably border conditions varied considerably through time and from place to place. But some fairly clear pictures emerged for a few areas by talking to older men about the situation just before colonial impact. In several areas it is quite apparent that there was a considerable amount of raiding and warring across the borders before the colonial peace. Related to this there was no grazing of cattle in different tribal areas and cultural boundaries were fairly distinct. For example, older men in the Mukutan area talked of a long period of conflict with the Tugen over the Arabal area to the south of Mukutan. However, there is plenty of oral evidence that at the same time fairly large numbers of Tugen opted to 'become' Njemps. They settled in the Njemps area, com pletely changed their dress and material culture, and became incorporated in Njemps society. These adopted Tugen were and are indistinguishable from the Njemps. So, as has already been shown, distinct borders and economic competition do not relate t.o a lack of interaction and migration. But, about 20 years ago, central government control extended up into this area and the tribal fighting ceased. As a result, the Tugen who have moved into the Njemps part of the area near Mukutan in the last 20 years have not become fully incorporated into Njemps culture. Because of the relative lack of conflict there is nowadays less need to .display clear identities with the tribal group within which one Iives. However, in some areas, such as to the south and west of the lake, the material culture shows a clearer bo�mdary now than it did in the recent past, and there was some suggestion from informants that at the time there was 55
Table i
The f requenc ies o f w omen o f d i f feren t a ges w ear ing A a nd B t ypes o f e ar s trap d ecora t ion . Age o f women
E ar s trap t ype A B
1 5-25
2 6-35
1 4
1 2
1
3 6-45
3
f a ir ly f lu id n o mad ic move men t.
4 6-55
5 6-65
6 6-75
5
1
2
0
6
7
4
2
The A t ype o f e ar s trap d ecorat ion ( Plate 3
a nd F ig. 1 ) i s ar elat ive ly n ew f ash ion , h av ing c ome i n i n t he l ast 1 0 y ears. The t ab le s hows t hat i ti s p referred b y t he y ounger w omen. O lder women s t i l l p refer t o w ear t he o lder B s ty le ( Tab le a nd P late 4 ). The t wo t ypes h ave d ifferen t d istr ibu t ions ( Figure 1 ) t o t he s ou th a nd w est o f t he l ake i n t hat t he B t ype i s worn b y Tugen w o men l iv ing n ear t he N jemps. I ti s a lso o f i n terest t o e xa m ine t he d istr ibut ion o f t he k erebe - ,a s imp le b asketwork b ow l ( Plate 5 ). These a re s eldom made n ow , b ut i n t he p ast t hey w ere f requen t ly u sed t o c ont a in mil let .
I n f act , t he Tugen u sed t o t ake t he ir m il let i n t he m when e xchang-
i ng f or N je mps g oa ts a t t he g rea t manya t tas.
These w ere t he v i l lages i n wh ich
t he N je mps l ived b efore t he ir d ispersa l a nd a dopt ion o f c at t le.
The k ereb3 ( Fig.
8 ) s how a c ons iderab le d egree o f o verlap i n to t he N jemps a rea. What f actors c an b e p u t f orward t o e xp la in t he f act t hat t hese, a nd v ar ious o ther t ra its ( Hodder, 1 977a;b ), i nd icate a s harper N je mps-Tugen b order s ou th a nd west o f t he l ake n ow t han i n t he r ecen t p ast?
One s uggest ion m igh t b e t hat
e arly c o lon ial o f f icers t ended t o c lass ify p eop le i n to g roups s uch a s t he T ugen o r N je mps f or a dm in istrat ive c onven ience. The s ense o f s eparate i den t it ies may h ave r esu l ted f rom c a tegor isat ion f rom o uts ide ( c f. Fr ied , 1 968 ). Th is t ype o f e xp lanat ion s ee ms i nadequate f or t he f u l l c omp lex ity a nd v ar iab il ity o f b order s i tuat ions i nt he Bar ing° a rea.
I n a ny c ase , t here i s ac hrono log ica l
p rob le m , a s t he c hange i n e ar s trap s ty les a nd d is tr ibu t ions o ccurred i n t he l ast 1 0 y ears. Co lon ia l a dm in istrat ion a nd t axat ion t o t he s outh a nd w est o f t he l ake b egan s evera l d ecades e arl ier ( Henn ings , 1 951). An a lternat ive e xp lanat ion a ga in c oncerns c ompet it ion o ver r esources.
U p
u n t i l t he 1 920s , t he N je mps l i ved i n v i l lages a nd p rac t ised i rr iga t ion a gr ic u lture.
A fter a bout 1 926 t hey g radual ly d ispersed a nd b egan t o c hange t he ir
e conom ic emphas is t o c att le.
On ly v ery r ecen t ly , h owever , h as a h eavy r e l i-
a nce o n c at t le b een a ch ieved.
There i s p len ty o f o ra l e v idence t ha t , wh i le t he
N jemps ma in ta ined i rr igated f i e lds, t hey e xchanged g oats f or Tugen m il let a nd c onducted o ther t ransact ions w ith t he T ugen . A t t hat t ime t here w ere c lear d if ferences i n t he e cono m ies o f t he t wo t r ibes, a nd a n on-co mpet it ive, s y mbio t ic r e la t ionsh ip e x is ted . There was l ess n eed , t hen , f or t ra i ts o f mat er ia l c u l ture t o b e r e ta ined w i th in d is t inc t i den t i ty c a tegor ies , a nd t ra i ts w ere c op ied a cross t he b orders.
But a s t he e conom ies o f t he t wo g roups h ave b e-
c o me more a nd more s im i lar , a nd a s t he t r ibes n ow l ive
n earer t o e ach
o ther a nd p opu lat ion d ens it ies h ave i ncreased , c ompet it ion o ver g razing l and h as b ecome a s ign if ican t a spec t o f l i fe ( c f. Anderson , t h is v o lu me ). I th as , t herefore , r ecen t ly b eco me n ecessary t o d isp lay c lear a nd d ist inct i den t it ies 5 6
i n t er ms o f mater ia l c u l ture.
I n f act , t h is t ype o f e xp lanat ion may s how why
t here w as a ny c hange o f e ar f l ap f ash ion . S ince t he e ar f l ap B s ty le h ad a lready d i ffused a cross t he b order , t he o n ly w ay i n wh ich t he N je mps c ou ld a dequate ly a ssert t he ir d ist inct iveness w as t o a dopt a n ew s ty le o f what i s p erhaps t he most c harac ter ist ic a nd e as ily d ist ingu ishab le c u ltura l i t e m. A c o mparab le s equence o f e ven ts i s f ound f or t he d evelopmen t o f r e lat ions b etween t he Pokot a nd Turkana. A t t he t ime o f w r it ing , t hese t wo g roups a re f i gh t ing o ver l and a nd c a t t le ( a lthough t here a re Pokot w ith c at t le p artners a nd marr iage r e lat ions amongst t he Turkana ), a nd t he Pokot i n terv iewed w ere v ery much aware o ft he c u ltura l a nd d ress d i f ferences b etween t he m a nd t he T urkana. However, t hey d o h ave many t ra its o f ma ter ia l c u lture i n c o m mon . When a sked a bout t h is, P okot men s a id i tw as t he r esu l t o f e ar l ier f r iend ly r e lat ions b etween t he m a nd t he Turkana.
Certa in ly t here i s s ome o ra l e v i-
d ence t ha t u n t i l f a irly r ecen t ly , t he Pokot a nd Turkana h ad f a irly p eacefu l r e la t ions.
Thus i ts ee ms t ha t much o f t he t e mpora l v ar ia t ion i n mater ia l
c u lture p a t tern ing , a s w el l a s t he s pat ia l v ar iat ion , c an b e r elated t o c onf l ict a nd c ompet it ion o ver r esources a nd t he r esu lt ing n eed t o s tress o vert ly c lear , u na mb iguous i den t it ies. A s im i lar e xp lanat ion c an b e u sed f or c erta in i den t ity d ist inct ions wh ich a re ma in ta ined w ith in t he Bar ingo t r ibes. I n t h is r eg ion t here w as, a nd s t i l l i s t o ac erta in e x ten t , av ery c lear d if ference b etween t he c lo thes a nd d ecorat i on w orn b y y oung u nmarr ied men ( moran ), a nd t he o lder a ge-sets who a re a b le t o marry. Amongst t he S amburu a nd N je mps , a t l east , t here s ee ms t o h ave b een c ons iderab le t ens ion b etween t he y ounger a nd o lder men o ver a ccess t o w o men a s w ives ( see a bove , p age 5 0 ) . S pencer ( 1965 ) h as s uggested t ha t t he who le p o lyga mous s truc t ure o f t hese s oc iet ies d epends o n p reven t ing t he y oung men f rom marry ing a nd t herefore u s ing u p t he a va i lab le s upp ly o f w omen.
Here i s ac lear e xa mp le o f ac ompet it ive a nd u nba lanced a ccess t o
r esources ( i n t h is c ase w omen a nd t he c at t le w ea l th t hat t he marr iage o f t he ir d aughters w il l u lt i mate ly p rov ide ), a nd i ti s s uggested h ere t hat i tw as b ecause o f t h is c o mpet it ive r e lat ionsh ip t hat t he c u ltural d i fferences b etween t he y oung a nd o ld men w ere s o v ery c lear.
The o lder man 's p referen t ia l
a ccess t o w omen d epended o n t he d if ferences b e ing c learly ma in ta ined.
N ow-
a days t he s truc ture o f t hese p o lyga mous s oc ie t ies i s g radual ly b e ing b roken d own i n p arts o f t he r eg ion .
As i ti s , t he c ategor ica l d ist inct ions b etween
moran a nd o lder men b ecome w eaker. I nt h is e ssay i th as b een p oss ib le t o p resen t o n ly a sma l l a spect o f t he r esu lts o f t he Bar ingo work .
I n t he p ast , e thnograph ic e v idence h as b een
u sed b y a rchaeo log ists t o p rov ide c aut ionary t a les a nd t o p rov ide a nalog ies. I tc ou ld b e s a id t hat t he work d iscussed a bove s imp ly p rov ides more c au t iona ry t a les a nd more a na log ies o f r estr icted v alue a nd r e levance.
Why s hould
t he i n terpre tat ions made f or t he Bar ingo mater ia l c u lture p a t tern ing b e a t a l l r e levan t f or p reh istory? I tc ou ld b e a rgued t hat t here i s n o r eason , a nd I s hou ld n ot l ike t he w ork t o b e u sed a s as tra ight forward a na logy , s ay f or t he I ron A ge i n Br ita in . Bu t i tm igh t b e s uggested t hat t he work h as f i rst o f a l l b roadened i deas a bou t t he r ange o fp oss ib le f actors t hat may h ave a f fected p ast materia l c u lture p at tern ing.
I th as a lso p o in ted o ut s ome l og ica l i ncons istenc ies i n 5 7
s ome o f t he a ccepted a nd w ide ly u sed i n terpretat ions.
These i ncons istenc ies
h ave b een p o in ted o u t b y t he e thnograph ic d a ta b u t d o n ot d epend o n i t .
For
e xamp le, w hether t he Bar ingo w ork h ad b een d one o r n o t , i ti s c lear t hat c erta in p lateaus , d iscon t inu it ies a nd marked b reaks i n mater ial c ulture p a tterni ng c anno tb e s o le ly t he r esu l t o f i n teract ion p atterns. Hu man g roups a re n o t s uch c losed s yste ms t hat l ack o f i n teract ion w ou ld r ig id ly p reven t t he c opy ing o f s ty les b etween n e ighbour ing g roups.
I n t he s a me w ay , Amer ican a rchae-
o log ists , s uch a s D eetz ( 1967 ) a nd L ongacre ( 1970 ) h ave i n terpreted l oca l ised s ty les o f p ot tery w ith in s et t le men ts a s i nd ica t ing ma tr i loca l r es idence r u les. The mo ther i s s een a s t each ing p ott ing t echn iques t o h er d augh ter w ith in a ma tr iloca l g roup.
Bu t a ga in , e ven w i thout t he Bar ingo work , i ti s c lear t ha t
i fo ne i s t augh t b y , a nd l i ves n ear o ne 's mother when mak ing p o ttery , t here i s n o r eason why o ne s hou ld n o t a dop t s ty les a nd t echn iques f rom o thers. I fo ther s ty les a re n ot c op ied , a nd i fl oca l ised a nd f am ily g roup d ist inct ions i n s ty les a re ma in ta ined , i ti s t he c onservat is m a nd u nw i l l ingness t o a dop t n ew t ra its wh ich h ave t o b e e xp la ined.
Matr i loca l r es idence i s a n i nsu f f ic ien t a nswer.
I tt hus b ecomes c lear t hat s evera l i n terpretat ions f avoured b y a rchaeo log is ts l ack a r igorous l og ical s tructure.
The a l ternat ive e xp lanat ions p ut f or-
w ard i nt h is e ssay c oncern t he o vert e xpress ion o f i den t it ies where ma ter ia l c ul ture i s u sed a s an ecessary p art o f t he l og ica l s tructure o f t he s i tuat ion o r t he e ven ts.
S uch e xp lanat ions s tand o n t he ir own .
o n t he Bar ingo e thnograph ic w ork .
They d o n o t d epend s o le ly
The ma in tenance o f d ist inct o vert i den t i-
t i es i s an ecessary p art o fa ny b etween-group r e la t ionsh ip wh ich i nvo lves n egat ive r ec iproc ity.
These t ypes o f c ompet it ive r e lat ionsh ips a re o n ly p oss ib le
b ecause t he d if ferences e x ist. Much a rchaeo log ica l ma ter ia l may h ave b een p art a nd p arce l o f t he s ymbo l is ing o r s igna l l ing o f i den t it ies, a nd may h ave p layed a l og ical p art i n t he e xpress ion o f t hose i den t it ies.
W ith t h is b as is ,
t he a rchaeo log ist c an t hen g o o n t o s uggest h ypotheses, p erhaps d er ived f ro m e thnograph ic work , a bou t w hy d ist inct i den t it ies a re e vert ly s tressed t o d i ffere n t d egrees i n d i fferen t s i tuat ions. He c an t hen t est t hese t heor ies a ga in st t he a rchaeo log ica l d a ta. S uch p rob le ms a nd q uest ions d irect ly c oncern a rchaeo log ica l d a ta.
Because t hey d o , t he a rchaeo log ist h as s ome h ope t ha t , i n t h is
s phere a t l east , h e w il l b e a b le s a t isfactor ily t o t est h is t heor ies. I ng enera l t er ms , t he l ine o f a rgu men t p referred i nt h is p aper l inks t he s ubs istence e cono my w ith ma ter ia l c u lture. Th is c onnect ion i s p o ten t ia l ly o f g rea t i n terest f or t he a rchaeo log ist , b ecause i ti s e xact ly i n t hese t wo s pheres t hat t he most a bundan t a nd r e l iab le a rchaeo log ica l d a ta h ave b een a ssumed t o l i e.
An a t te mpt h as b een made a bove t o s uggest a l og ica l c onnect ion b etween
p at tern ing i n t hese t wo a spects o f t he d a ta. The ' po ts ' a rchaeo log ist a nd t he ' bones a nd s eeds ' a rchaeo log ist h ave g one a l ong w ay o n t he ir own , s tudy ing l arge q uan t it ies o f p ot tery a nd i t s s ty l ist ic v ar iab i l ity o r r etr iev ing a nd i n terpret ing e cono m ic e v idence , b u t b y r e lat ing t he e v idence f rom t he t wo f i e lds , aw ider a nd d eeper u nders tand ing o f p as t s oc iet ies c an b e g a ined. L est t hese c onclus ions b e t hough t t oo o pt imist ic, a d i fferen t p oss ib i l ity s hou ld b e men t ioned. I ti s p oss ib le t hat t he s i tuat ion i n t he Bar ingo d istr ict i s v ery s pec ia l , a nd t ha t i n o ther p resen t-day s oc ie t ies, a s w el l a s i n p ast s oc iet ies , a rt i facts d id n ot p lay a p art i n c ommun ica t ing i n for mat ion .
Y et
f rom a s f ar a part a s N ew Gu inea ( S trathern , 1 971 )a nd A fghan istan ( Barth , 1 969 ), Eastern I ndones ia ( Spr iggs , 1 978 ), a nd N orway ( Blo m , 1 969 ) , t he 5 8
f unda men ta l i mportance o f a rt ifacts f or t he e xpress ion o f av ar ie ty o f s en t imen ts h as b een n o ted , wh i le p rel im inary work o n I ron Age c ommun it ies i n Br ita in h as s uggested t ha t v ar iat ion i n t he w ay t hat a rt ifacts a re u sed r e lates t o v ar iat ion i n t he i n terna l o rgan isat ion o f s oc iety ( Hodder , 1 977c ). As L each ( 1976 :10 ) a ssu mes , " a ll t he v ar ious n on-verba l d i mens ions o f c u lture , s uch a s s ty les i n c lo th ing , v i l lage l ay-ou t , a rch itecture , f urn iture , f ood , c ook ing , mus ic , p hys ica l g estures , p ostura l a tt itudes a nd s o o n a re o rgan ised i n p at terne d s ets s o a s t o i ncorporate c oded i n for ma t ion i n a manner a na logous t o t he s ounds a nd words a nd s en tences o f an a tura l l anguage.
Ia ssu me t herefore
i ti s j ust a s mean ing fu l t o t a lk a bou t t he g ra mma t ica l r u les wh ich g overn t he w ear ing o f c lothes a s i ti s t o t a lk a bout t he g ram ma t ica l r u les wh ich g overn s peech u tterances".
Th is v iew wou ld s ee m t o b e ag ood s tart ing p o in t f rom
wh ich t echn iques a nd t heor ies f ro m a n thropo logy , g eography a nd a rchaeo logy c ou ld b e u sed t o t ack le a c o m mon p rob le m o f w idespread r e levance —iden t i ty g roups , t he ir g row th a nd i n terrela t ionsh ips . B ib l iography Barth , F ., ( ed . ), 1 969. B lom , J -P., 1 969. Dee tz, J ., 1 967.
' Ethn ic a nd c u l tura l d i fferen t iat ion .'
I nv itat ion t o Archaeo logy.
Fr ied , M., 1 968. 3 -22.
E thn ic g roups a nd b oundar ies.
L ondon . I nF . B arth :
7 4-85.
N ew York .
' On t he c oncept o f " tr ibe".
I n Essays o n t he p rob le m o f t r ibe.
Amer ican E thno log ica l S oc iety.
Henn ings , R . 0 ., 1 951. Hodder , I . , 1 977a.
A fr ican morn ing.
L ondon .
' The d istr ibut ion o f mater ia l c u l ture i t e ms i n t he Bar ing ( )
d istr ict , w estern K enya.' Hodder, I ., 1 977 1 D.
Man
August 1 977.
' A s tudy i n e thnoarchaeo logy i n w estern K enya.'
I n M.
S pr iggs , ( ed.) Archaeo logy a nd a n thropo logy : a reas o f mutua l i n terest , 1 17-141. B .A.R. S upp le men tary S er ies 1 9 , Ox ford. Hodder , I . , 1 977c.
' How a re w e t o s tudy d istr ibu t ions o f I ron Age mater ia l?
I n J . Co l l is, ( ed. ) The I ron Age i n Br ita in : L each , E ., 1 976.
Cu lture a nd c om mun icat ion.
L ongacre , W., 1 970.
S ah l ins , M., 1 968.
Tr ibes men .
S pencer , P ., 1 965.
The S a mburu.
8 -16. S hef f ield.
Ca mbr idge.
Archaeo logy a s An thropo logy.
t he Un ivers ity o f A r izona , 1 7.
ar ev iew :
An thropo log ica l Papers o f
Tucson .
Eng lewood C l iffs , N .J . L ondon .
S pr iggs, M., 1 978. ' A mbon-Lease : as tudy o f c on te mporary p ot tery- mak ing a nd i t s a rchaeo log ica l r e levance.' I n M. M il let t , ( ed.) Po t tery a nd t he a rchaeo log ist. •I nst itu te o f Archaeo logy , L ondon , ( f orthcom ing ). S trathern , A . a nd 1 V I ., 1 971.
S e lf d ecora t ion i n Mt . Hagen .
5 9
L ondon.
9
x i re Muku tan
' 77 0
I hr •4 , 4"
0
0 0
a r
J O ' e QD
0
0 +
00
F ig. 1
The d istr ibu t ion o f t ypes o f f e ma le e ar d ecorat ion . F i l led t r iang les: A t ype o f e ar f l ap ( N je mps ) Crosses :
Bt ype o f e ar f l ap ( N je mps )
O pen c ircles : Ct ype o f e ar f l ap ( Tugen ) Open t r iang les : P okot t ype o f meta l c o il e ar d ecorat ion F il led c ircles :
N je mps t ype o f d ecora t ion worn i n t he u pper p art
o f t he e ar The d i f ference i n t he d istr ibu t ion o f t he A t ype o f e ar f l ap a nd t he u pper e ar d ecorat ion o n t he o ne h and , a nd t he C t ype o n t he o ther w ou ld a l low a l ine t o b e d rawn b e tween t he Tugen a nd N je mps t o t he s outh a nd w est o f t he l ake.
6 0
Th is l ine i s s hown i n f igures 2 t o 8 .
F ig. 2
The d istr ibu t ion o f b aske t d r ink ing c ups ( t oke i ).
Hor izon ta l b ars
i nd icate c ompounds w here t h is i t em w as n o t f ound.
D ashed l ines
i nd icate t he more d ist inc t b orders b etween t he Tugen a nd N je mps ( see f igure 1 ).
6 1
9
7
0
F ig. 3
T he d istr ibu t ion o f t ypes o f w ooden e at ing b ow l ( t ub). F i l led c irc les : r ectangu lar b ow lsw ith h and les. C rosses : c ircu lar b ow ls w i th s hort h and les. O pen c irc les : o b long b ow ls w i thou t h and les. T r iang les : v ery s ha l low o b long b ow ls w ithou t h and les. For d ashed l i ne s ee f i gure 2 .
6 2
00 0
•
0
F ig. 4
The d istr ibu t ion o f s h ield t ypes u sed b y t he N je mps ( f i l led c ircles ), Tugen ( open c irc les ) a nd Pokot ( t r iang les ). f igure 2 .
63
For d ashed l ine s ee
5M
9 •
. 9
F ig. 5
Th is f i gure i nd icates t he a verage n umbers o f i nlaws i n o ther t r ibes o f i n forman ts i n v ar ious s e t t le men t c lusters v is ited.
Tugen , N je mps
a nd P okot s et t le men t c lusters a re s hown , a s w h ite , b lack a nd s haded r espect ive ly . T he s ize o f c irc le i n e ach c luster i nd ica tes t he a verage n umber o f Tugen ( open c ircles ), N jemps ( f i l led c irc les ) a nd P okot ( shaded c irc les ) i n-laws o f i n for man ts. Ow ing t o t he u sua l d i f f icu l t ies met b y a n thropo log ists i n o b ta in ing s uch i n for ma t ion , t hese d a ta a nd t hose f or f i gure 6 c an o n ly b e c ons idered t o b e a pproxi ma te ly c orrec t .
6 4
F ig. 6
Th is f igure i nd ica tes t he a verage n umbers o f c a t t le e xchange f r iends ( see t ext ) i n o ther t r ibes f or i n for man ts i n v ar ious s et t le men t c lusters v is ited.
The s ymbo ls a re a s i n f igure 5 , w ith t he s ize o f c ircle i nd ica-
t ing t he a verage n u mber o f T ugen ( open c ircles ), N je mps ( f i l led c irc les ) a nd P okot ( shaded c irc les ) c at t le f r iends o f i n for man ts.
6 5
F ig. 7
Cat t le g raz ing move men ts i n t he Bar ingo a rea.
I n s o me c ases
i n for mat ion w as o bta ined o n c at t le g raz ing p at terns. o f s et t le men t a re s hown i n t h is f i gure a s i n f i gure 5 .
The c lusters D ry s eason
move men ts o f c at t le a re i nd icated b y s o l id l ines, a nd w e t s eason move men ts b y d ashed l ines.
L and o ver 4 000 a nd 7 000 f eet i s s hown
a nd swa mp a reas a re d ot ted.
The b oundary b etween t he T ugen a nd
N je mps t o t he s ou th o f t he l ake i s s hown .
6 6
.e t a s
9
( 5.
e t» • •( e )
0 - 4 , 04
11 ,
( i n
F ig. 8
The d istr ibu t ion o f t he b asketwork b ow l c a l led t he k erebe. Hor izon ta l b ars i nd ica te c o mpounds where t he i t e m was n ot f ound.
6 7
P l. 1
A Poko t w o man .
P l. 2 A Tugen w o man .
P l. 3 A y oung N je mps woman w ear ing t he A-type o f e ar s trap d ecorat ion .
P l. 4
An o lder N je mps w oman w ear ing t he B -type o f e ar s trap d ecorat ion .
P l. 5 S o me o b jec ts f rom a Tugen c ompound. Fron t r ow , f rom r igh t t o l e f t : t oke i , k erebe , t ube , ( w ith a nd w ithou t h and le ) , c rude s too l , h oney p o t . Back r ows : p ots f rom Cheb loch a nd Mar iga t ( m idd le b ack ).
Acknow ledge men ts The work i nt he Bar ing° d istr ict w as p oss ib le t hanks t o ar esearch p er m it ( Ref : OP.13/001/C 1 977/16 ) g ran ted b y t he O f f ice o f t he P res iden t , N a irob i, a nd t hanks t o f unds p rov ided b y L eeds Un ivers ity , t he S ir E rnest Cassel Educa t iona l Trust , a nd t he Br it ish Academy.
Much i nva luab le s upport i n
K enya w as p rov ided b y R ichard L eakey , Nat iona l Museu m , N a irob i, a nd t he B r it ish I nst itu te i n E astern A fr ica. I n t he 1 976-7 s eason t he ma jor p art o f t he f i e ldwork w as c arr ied o u t b y Mary Bra ithwa ite, Dav id Mcleod , Mat thew S pr iggs a nd L uc ia Wa lker, t o whom my d eb t i s im mense.
We w ere g u ided i n t he f i e ld b y Ben , F rances a nd J oel.
Is hou ld a lso l ike t o t hank R ichard O t t , S am i K arkab i a nd Franc o ise H ivernel • f or t he ir h elp a nd a dv ice.
7 3
THE LA W OF CULTURAL DOM INANCE A ND THE COLON IAL EXPERIENCE L inda N ewson
Abstract European c o lon ia l is m p rofound ly a l tered t he n ature a nd d istr ibut ion o f c u l tures, w ith wh ich t here h ad p rev iously b een n o , o r v ery l i tt le , c on tact , b u t i t s i mpact was n ot u n ifor m. The L aw o f Cu ltural Dom inance a i ms t o p red ict t he o u tco me o f ac u l ture-con tact s i tuat ion , a nd h ence a ttemp ts t o e xp la in w hy c erta in c u ltures h ave b een a b le t o p ers ist u nchanged i n t he ir e nv ironmen ts , w h i lst o thers h ave s urv ived i n a mod if ied f or m , a nd o thers h ave b ecome e x t inct . The f act t ha t c u ltura l s urv iva l may c on trad ict b io log ica l s urv iva l s hou ld b e made c lear. A l though t he L aw o f Cu ltura l Do m inance p rov ides a u sefu l e xp lana t ion o f t he s pat ial d ist r ibut ion o f c u ltures a t a ny o ne p o in t i n t ime , i ts ays v ery l i t t le a bout v ar iat ions i nt he n ature o f t he c u l ture-con tact p rocess a nd i td oes n o t e xp la in why c erta in c u ltures h ave b een a b le t o s urv ive l onger t han o thers e xcep t i n v ery g enera l t er ms. The a b i l ity o f ac u l ture t o s urv ive i n i t s e nv ir onmen t a ppears t o b e r e la ted t o f our v ar iab les :
t he a bso lute a nd r e la t ive
l eve ls o f g enera l e vo lut ionary d eve lopmen t o f t he c on tact ing c u l tures; t he a dap ta t ion o f t he c u ltures t o t he e nv ironmen t i n wh ich c on tact i s o ccurr ing ; t he d egree o f e nv ironmen ta l s pec ia l isa t ion o r g enera l isat ion o f t he c u ltures ; a nd t he d egree o f p ressure e xerted o n t he s ubord ina te c u lture t o c hange. D iff icu lt ies i n t he v er if ica t ion o f t he L aw a re r elated t o t he f rag men tary n ature o f a rchaeo log ica l a nd h istor ica l d a ta s ources a nd t o t he methodo log ica l p rob le m o f d ef in ing a dap ta t ion a nd l eve ls o f g enera l e vo lut ionary d eve lopmen t i n o b ject ive t er ms.
The n ature a nd d eve lopmen t o f c u ltures i n t ime a nd s pace h ave b een t he f oc i o f i n terest o f a n thropo logy , a rchaeo logy , h istory a nd g eography , a l though t he p rec ise o b jects o f s tudy a nd t he a pproaches a dop ted i n t he ir a na lys is h ave t ended t o b e d i fferen t i n e ach d isc ip l ine. e sted i n t wo a spects o f c u l ture :
Trad it iona l ly g eographers h ave b een i n ter-
f i rst , t he r elat ionsh ip b e tween c u ltures a nd
t he ir e nv iron men ts, wh ich f or ms t he b as is o f s tud ies i n c u ltura l e co logy a nd t he c u ltura l l andscape ( Bay l iss-S m ith , t h is v o lume );
s econd , t he p resen t a nd
p ast d ist r ibut ion o f c u ltures a nd c u l tura l t ra its, i nc lud ing t he d e l im i tat ion o f c u lture a reas ( Brown 1 962, Brook f ield 1 962, Wagner a nd M ikese l l 1 962, M ikese l l 1 967 ).
I ti s w ith t he l a t ter t he me t hat t h is p aper i s c oncerned.
The s pa t ia l d is tr ibut ion o f c u l tures a t a ny o ne p o in t i n t ime c an b e e xp la ined o n ly b y r eference t o t he ir h istor ica l d eve lopmen t. The h istory o f i nd iv idua l 7 5
c u l tures may b e c haracter ized b y c hanges e ngendered b y t he c u l tures t hems elves i nt he f or m o f i nnova t ions o r b y c hanges s t imu la ted o r e n forced d ur ing t he p rocess o f d i f fus ion o r c u lture c on tac t. An e xam ina t ion o f c u l tura l c ase h istor ies w ou ld r evea l t hat i n most i nstances b o th p rocesses h ad b een o perat ive , b u t i ti s t he o b ject o f t h is p aper t o d iscuss v ar ia t ions i n c u ltura l c hange r esu l t ing f rom c u l ture c on tac t . The European e xpans ion f rom t he f i f teen th c en tury p ro found ly a l tered t he n ature a nd d istr ibu t ion o f c u l tures, w ith w h ich t here h ad p rev ious ly b een n o , o r v ery l i t t le , c on t act . T he i mpac t o f c o lon ia li sm w as n o t u n ifor m h owever. There w ere s ubstan t ia l d i f ferences b e tween t he f or ms o f c o lon ia l is m i n troduced b y d i f feren t E uropean p owers ( Mason 1 971) , a nd e ven u nder o ne c o lon ia l s yste m t he c u l tura l e xper ience o f i nd igenous p eop les v ar ied f rom a l most c omp lete s urv iva l t o e xt inct ion . I n L at in Amer ica , wh ich w i l l p rov ide t he b as ic e xamp le f or t h is p aper , a t t he e nd o f t hree h undred y ears o f S pan ish r u le I nd ians e x isted i n l arge n umbers i nt he Andes a nd t he h igh lands o f Mex ico a nd Gua tema la , w hereas i n t he t rop ica l c oasta l l ow lands t hey h ad d isappeared a nd h ad b een r ep laced t o al arge e x ten t b y n egro s laves ‚ S ma l l n u mbers o fI nd ians s t i l l r ema ined o u ts ide E uropean c on tro l i nt he Amazon b as in a nd o ther t rop ica l f orested l ow lands a nd i n r e mo te p ar ts o f t he Emp ire , s uch a s Ch i le a nd Argen t ina , b u t t he r est o f L at in Amer ica w as c haracter ised b y am ix ture o f I nd ians a nd mest izos.
S uch v ar iat ions i n
t he s urv iva l o f I nd ian g roups c anno t b e e xp la ined a dequa te ly w ith r e ference e ither t o t he d i f feren t ia l i mpac t o f d isease o r t o t he i mp lemen tat ion o f d i f feren t g overnmen tp o l ic ies i n d i fferen t a reas ( Newson 1 976b ). The l a tter i s p art icul ar ly t rue f or L a t in Amer ica , w here c o lon ia l p o l ic ies f or mu la ted i n S pa in w ere t o b e a pp l ied u n i formly t o a l l p arts o f t he Emp ire ( Serv ice 1 955 ). K ap lan h as s uggested t hat t he a b i l ity o f ac u l ture t o d om ina te o r s urv ive i n a n a rea i s a f unc t ion o f h ow e f fect ive ly i tc an e xp lo it t he e nv ironmen t c ompared t o o ther c u ltures. I n t he L aw o f Cu l tura l Dom inance h e s ta tes t ha t , " that c u ltura l s yst em w h ich more e f fec t ive ly e xp lo i ts t he e nergy r esources o f ag iven e nv ironmen t w il l t end t o s pread i nt hat e nv ironmen t a t t he e xpense o f l ess e f fec t ive s yste ms" ( Sah l ins a nd S erv ice 1 960 :75-76 ). T h is p ropos it ion i mp l ies t hat t he e x istence o f ap ar t icu lar c u lture i n ap art i cu lar a rea a t ap ar t icu lar t ime i s af unc t ion o f t wo f ac tors : t he r e la t ive l eve ls o f e vo lut ionary d eve lopmen t o f t he c ompet ing c u l tures a nd t he d egree o f t he ir a dap tat ion t o t he e nv ironmen t i n w h ich c on tac t i s o ccurr ing.
I ti s t hus b ased
o nt he t wo p erspect ives o n c u l tura l e vo lu t ion o ut l ined b y S ah l ins a nd S erv ice ( 1960 ), w ho c ons ider t hat c u l tura l e vo lu t ion i s a na logous t o b io log ica l e vo lu t ion ( a ) i nvo lv ing t he d ivers if ica t ion o f c u ltura l f or ms t hrough a dap t ive mod if icat ion a nd ( b ) t he p rogress o f c u l tures t hrough s uccess ive l eve ls o f d eve lopmen t , w h ich h ave b een d ef ined o nt he b as is o f t he amoun t o f e nergy h arnessed b y a s oc iety , a nd t he d egree o f i t s o rgan isa t iona l c omp lex ity a nd a dap tab i l ity .1 These t wo p erspect ives o n c u l tura l e vo lut ion t hey h ave c a l led s pec if ic e vo lu tt i on a nd g enera l e vo lu t ion r espec t ive ly .
C u ltura l d om inance h as t he s ame
t wo p erspect ives. T a k ing t he g enera l p erspec t ive f i rst , i ti s a pparen t t hat more h igh ly d eve loped c u l tures a re more w idespread a nd a re t o b e f ound i n ag reater v ar iety o f e nv ironmen ts t han l ess d eve loped c u l tures ; t hey e xh ib i t w ha t i s r eferred t o a s g enera l d om inance.
A lthough more a dvanced c u ltures
may d om ina te o ver w ide a reas t hey d o n o t d om ina te i n a l l e nv ironmen ts; c u l ture wh ich i s h igh ly a dap ted t o ap art icu lar e nv ironmen t may b e a b le t o 7 6
a
r es ist f or a t ime t he s pread o f a more w ide ly d om inan t c u l ture.
I n t h is c ase
b ecause t he d om inance i s r e lated t o as pec if ic e nv ironmen t , t he d om inance r ange o f s uch a c u l ture i s sma l l a nd t he t ype o fd om inance e xh ib ited i s c a l led s pec if ic d om inance. I ti s t h is t ype o f d om inance t o w h ich t he L aw o f Cu l tura l Dom inance r efers. A t t h is s tage i ti s i mportan t t o s tress t ha t t he a im h ere i s t o e xp la in v ar iat i ons i n t he s urv iva l o f c u l tures r a ther t han b io log ica l p opu lat ions, s ince t he t wo t ypes o f s urv iva l a re n o t a lways c ompat ib le. Cu ltura l s urv iva l c an b e d e f ined a s t he p ers istence o f at echno logy , s oc io-po l it ica l o rgan isa t ion a nd i deo logy w ithou t c hange w h ich w ou ld l ead t o c u ltura l t ransfor ma t ion t o ah igher o r l ower l eve l o fg enera l e vo lut ionary d eve lopmen t. Cu l tura l s urv iva l , p art i cu lar ly i n t he f ace o f c hanged c ircums tances , may h owever , c on f l ic t w ith t he a im o fb io log ica l s urv iva l . Wag ley , f or e xamp le , i n h is s tudy o f t wo Tup i t r ibes o f B raz i l o bserved t hat t he T enetehara r eached n ear e x t inc t ion t hrough t he s tr ic t a dherence t o r u les g overn ing marr iage a nd i n fan t ic ide , w h ich w ere u nw orkab le w ith a d ec l in ing p opu lat ion , w hereas t he Tap irap6 w hose s oc ia l o rgan isa t ion w as more f l ex ib le w ere a b le t o s urv ive ( Wag ley 1 951). B io log ica l s urv iva l may t hus i nvo lve c u l tura l t ransfor ma t ion , i n c erta in c ases t o ah igher o r l ower l eve l o f e vo lut ionary d eve lopmen t .
I t may n ecess itate t he d is in tegra-
t i on o f ac u l ture a nd t he i ncorpora t ion o f i t s p ract ioners i n to a n ew s oc iety ; u nder c o lon ia l r u le many i nd igenous c u l tures d isappeared a nd t he s urv ivors w ere i ncorpora ted i n to n at ion s ta tes. Th is d oes n o t mean t ha t i n a l l c ases t he ir c u lture w as c omp lete ly d estroyed ; a s w i l l b e s hown , t he c u lture o f i nd iv idua ls a nd sma l l g roups s urv ived w ith t hem b u t t he o rgan isa t iona l s tructure o f t he ir c u lture w as t ransfor med. s urv iva l.
S uch t ransfor ma t ions may e nsure b io log ica l
A s Cook h as n o ted , t he d e mograph ic h istory o f i nd igenous p eop les who c a me i n to c on tact w i th European s was o ne o f d ec l ine f o l lowed b y i ncrease a nd h e r e la tes t he i ncrease t o c u ltura l c hanges made i n o rder t o e stab l ish a n ew e qu il i br ium i n c hanged c ircumstances ( Cook 1 945 ). A l terna t ive ly , t he b io log ica l s urv iva l o f ac erta in p roport ion o f t he members o f s oc iety may b e a ch ieved t hrough r evers ion t o al ow er l eve l o f e vo lut ionary d eve lopmen t.
I n P araguay
t he G uaya ld h ort icu ltura l ists w ere o n ly a b le t o s urv ive c on tac t w ith t he S pan ish b y r e treat ing i n to t he i n ter ior f ores t a reas , where t hey b ecame h un ters a nd g a therers ( S teward a nd Faron 1 959 :429-30 ). Thus t he a i ms o f b io log ica l a nd c u l tura l s urv iva l may o f ten c on f l ict a nd Rapparor t h as s uggested t ha t t he d ispar ity b etween t hem w idens w ith more c omp lex s oc iet ies , s ince i tb ecomes more d i f f icu l t t o a ssess t he l ong-ter m e f fec ts o f a ny c u ltural s trategy o n t he s ize o f t he p opu lat ion ( Rappaport 1 974 :9 , 1, Moreno N avarro 1 973 :71-2 ). A l though t he L aw o f Cu l tura l Dom inance may b e a ccep ted a s g enera l ly t rue a nd p rov ides a u sefu l e xp lana t ion o f t he s pat ia l d istr ibu t ion o f c u ltures a t a ny o ne p o in t i n t ime , i ts ays v ery l i t t le a bou t v ar ia t ions i n t he n ature o f t he c u l turec on tac t p rocess a nd i td oes n o t e xp la in w hy c er ta in c u ltures h ave s urv ived l onger t han o thers e xcep t i n v ery g enera l t er ms. The a b i l ity o f ac u l ture t o s urv ive i n i t s e nv ironmen t a ppears t o b e r e la ted t o f our v ar iab les :a )
t he a bso lute a nd r e lat ive l eve ls o f g enera l e vo lut ionary d eve lopmen t o f
b )
t he c on tac t ing c u ltures; t he a dap tat ion o f t he c u ltures t o t he e nv ironmen t i n w h ich c on tact i s o curr ing ; 7 7
C )
t he d egree o f e nv ironmen ta l s pec ia l isat ion o r g eneral isat ion o f t he c u ltures;
d )
t he d egree o f p ressure e xerted o n t he s ubord ina te c u lt ure t o c hange.
S evera l o f t hese v ar iab les a re i ncluded i n t he L aw o f Cu ltura l Do m inance a nd o thers a re i mp l ic it b u t h ave n o t b een s pel t o ut i n d e ta il.
They a re i n terre lated
t o ad egree a nd t he r e lat ive importance o f e ach o f t he m p robab ly v ar ies f ro m c ase t o c ase. a )
They w il l n ow b e d iscussed i nd iv idua l ly.
The a bso lu te a nd r elat ive l eve ls o f g eneral e vo lut ionary d eve lop men t o f t he t wo c on tact ing c u l tures Both t he a bso lu te a nd r ela t ive l eve ls o f g enera l e vo lut ionary d eve lop men t o f
t he t wo c u ltures a re s ign if ican t i n u nderstand ing v ar iat ions i n t he p rocess b y wh ich d om inance i s a ch ieved.
More a dvanced c u l tures s pread more r ap id ly
a nd more w idely t han l ess a dvanced c u l tures.
Because o f i t s h igher l eve l o f
t echno log ica l a ch ieve men t a nd i t s g reater o rgan isa t iona l a b i l ity a more a dvanced c u lture i s more p roduct ive i n ag reater v ar iety o f e nv ironmen ts a nd t he s uccess o f i t s s tra tegy means t ha t i ti s l ikely t o b e c op ied a t t he e xpense o f t hose wh ich a re l ess e f fect ive.
Th is i s g iven f urther w e igh t b y t he f act t hat a more p roduct-
i ve s yste m c an s upport a l arger p opu lat ion a nd h ence p ract it ioners o f t hat s trat egy .
The s uper ior w eapons a nd s ources o f manpower o f a more a dvanced
c u l ture a lso means t hat i th as g reater mi l itary p ower a nd h ence t he a b il ity t o e xer t p ressure o n l ess a dvanced c u ltures t o c hange ( Go ldsch m id t , 1 959 :119-121; Ca mpbel l , 1 965 :31;
L ensk i , 1 970 :87 ,94;
P log , 1 973:658-60 ).
Thus i n L at in
Amer ica t he i n troduct ion o f c at t le a nd s heep a nd S pan ish t echn iques o f r anch ing r esu l ted i n t he r ap id e xpans ion o f l ivestock r a is ing i n t he g rassland a reas wh ich h ad f or merly o n ly b een e xp lo itab le b y s parse h un ter-gatherer p opu lat ions. The l at ter w ere e ither i ncorporated i n to t he l abour f orce o f t he r anches o r were d r iven f ro m t he ir l ands o r e x ter m ina ted b y f orce o f a r ms. The s pread o f more a dvanced c u ltures a nd t he ir d om inance i n ag reater v ar iety o f e nv ironment s may a lso b e e xp la ined b y t he ir g reater a dap tab il ity o r v iewed a d if feren t w ay , i ns tab il ity.
More a dvanced c u l tures p ossess g reater
r anges o f s trateg ies t hat c an b e p u t i n to o perat ion i n d if feren t c ircumstances a nd t he ir g reater i n ternal i nstab il ity means t hat t hey h ave a g reater p ropens ity t o c hange ( Flannery 1 972 :411, S egraves 1 974:541-2 ). 2
Th is mean s t hat a
c o lon ia l c u lture mov ing i n to a n ew a rea c an d ivers ify r ap id ly a ccord ing t o t he d if feren t c u l tures a nd e nv ironmen ts i te ncoun ters , a nd i n most c ases c o me t o d om inate.
I n L at in Amer ica t he S pan ish s oon r ea l ised t hat t he e nco m ienda
a nd r epar t im ien to wh ich w ere u sed t o c on tro l a nd e xp lo it t he I nd ians i n t he h igh land s tates o f Midd le Amer ica a nd t he Andes , w ere n o t s u itab le f or a pp ly ing t o t he t r ibes a nd b ands o f t he l ow lands. The e ncom ienda was a s emi-feudal p aterna l ist ic i nst itut ion , whereby g ran ts o f I nd ians w ere g iven t o em inen t c o lon ists a s p ersona l r ewards f or t he ir s erv ices o r mer its.
I n r eturn f or p rov id ing p rotect ion a nd i nstruc t ion i n t he
Catho l ic f a ith , t he I nd ians w ere o b l iged t o p ay t he e nco mendero t r ibute i n t he f or m o f money o r g oods.
The r epart i men ien to was a l abour s yste m wh ich
r equ ired e ach I nd ian v i l lage t o make a va i lab le a q uo ta o f i t s male p opulat ion f or w ork i n p ub l ic s erv ice f or f ixed wages.
I n p re-Co lu mb ian t imes i n t he more
a dvanced c u ltures , n o tab ly t he Aztec a nd I nca s tates, I nd ians h ad p a id t r ibu te a nd b een s ub ject t o l abour d raf ts , s o t hat a lthough t he s yste ms b y wh ich t hey w ere e xacted w ere mod if ied b y t he S pan ish , s uch d e mands were n o t c ons idered 7 8
e x traord inary .
A lso , t he h ierarch ica l s oc ia l s tructure o f t he more a dvanced
c u l tures p er m itted t he S pan ish t o c on tro l a nd e xp lo it l arge I nd ian p opu lat ions t hrough a r elat ively sma l l n u mber o f n a t ive l eaders.
The c on tro l a nd e xp lo i-
t a t ion o f t he I nd ian t r ibes a nd b ands c ou ld n o t b e e f fec ted s o e as ily b y means o f t he s a me i nst itut ions. These I nd ians h ad n o t p a id t r ibute i n p re-Co lumb ian t imes, n or h ad t hey p rov ided l abour o n a ny o ther t han a n a ge a nd s ex b as is o r f or e x tra-com muna l p urposes. There w as t hus n o o rgan isat iona l s tructure e x ist ing f or t he e xact ion o f t r ibute a nd l abour a nd t he t ask w as made e ven more d i f f icu lt b y t he l ack o f efect ive l eadersh ip i n t he ir c ommun it ies. Thus t o i mpose t he e nco m ienda a nd r epart im ien to wou ld h ave r equ ired c on s iderab le manager ia l i nputs.
S ince t he s urp luses wh ich t hese c om mun it ies p roduced
w ere sma l l c o mpared t o t he h igh land s tates a nd c ons isted p r i mar i ly o f a gr ic u l tura l p roduce r a ther t han m inera ls , a nd s ince t he c om mun it ies o n ly a veraged af ew h undred I nd ians c o mpared t o t he t ens o f t housands t o b e f ound i n t he t owns o f M iddle Amer ica a nd t he Andes, t he S pan ish d id n o t c ons ider t he t ask w orthw h i le. The c on tro l a nd e xp lo itat ion o f t he t r ibes a nd b ands w as i n most c ases t herefore e n trusted t o t he m iss ionary o rders who , w ith t he h e lp o f s o ld iers , p rov ided t he c loser f or m o f s uperv is ion r equ ired ( Serv ice 1 955 ). 3 The s a me f l ex ib i l ity w as n o t d e monstra ted b y a l l t he i nd igenous c u ltures t hat t he S pan ish e ncoun tered. Fo l low ing p rev ious a rguments , i tc an b e s a id t hat , a l l o ther t h ings b e ing e qua l , t he more h igh ly d eve loped a bor ig ina l s tates more r ead ily a ccepted t he p resence o f t he S pan ish i n t he ir a reas, whereas o ther l ess d eve loped g roups , a nd p art icu larly t hose d ependen t o n h un t ing a nd g a ther ing , r efused t o s ub m it t o S pan ish a uthor ity a nd w aged a c onstan t w ar a ga inst t he S pan ish t hroughou t t he c o lon ia l p er iod.
Th is i s a n a l ternat ive w ay
o f i n terpret ing t he d ist inct ion , wh ich Bened ict h as made b etween t he ' sub m is s iveness ' o f t he ' h igh c u ltures ' a nd t he ' f reedomlov ing ' t r ibes, who r es isted S pan ish d om ina t ion ( Bened ict 1 943 ). The r elat ive l evels o f e vo lut ionary d eve lopmen t o f t he t wo c on tact ing c ult ures a re n o t o n ly s ign if ican t i n a ssess ing wh ich c u l ture w il l c ome t o d om inate i n ap art icular a rea , b ut a lso i n i nd icat ing t he d egree o f c hange l ike ly t o b e e xper ienced b y t he s ubord inate c u lture.
C learly t he g reater t he d ispar ity
b e tween t he l evels o f d evelopmen t o f t he t wo c u l tures, t he g reater t he d egree o f c u l tura l c hange r equ ired , p art icu larly o nb eha lf o f t he s ubord inate c u lture , t o r each a ccom modat ion .4 A n u mber o f a uthors h ave o bserved t ha t c on tact i s l ess d isrupt ive a nd t he c onquered g roup more l ikely t o s urv ive , where t he t wo c on tact ing c u l tures a re s im i lar ( Tannenbaum 1 943:204, S erv ice 1 955:416-7 ). I n s uch c ases t he d om inance o f o ne g roup o ver a no ther may b e a ch ieved b y t he t ransference o f p ower a t t he h ighest l eve l o f o rgan isa t ion , w h i lst a t l ower l eve ls o f o rgan isat ion t here may b e r elat ively l i t t le c u ltural c hange ( S teward 1 955 ).
For e xa mp le , G ibson i n h is s tudy o f t he A ztecs u nder S pan ish
r u le c onc luded " conquest e l im inated a l l t he more c omprehens ive s tructures wh ilst i tp er m it ted t he l oca l a nd l ess c omprehens ive o nes t o s urv ive" ( G ibson 1 964 :403 ). Where t he d ispar ity b etween t he t wo c u l tures i s g reat , t he d egree o f c hange o f ten d e manded b y t he d om inan t c u lture a nd t he l ower c apac i ty o f t he s ubord inate c ulture t o c hange, s ince i ti s n ear ly a lways l ess a dvanced , mean t hat c on tact may r esu l t i nb o th t he c u ltura l a nd b io log ica l e x t inct ion o f t he
7 9
g roup.
I n L at in Amer ica t he c on tro l o f l ess d eve loped c u ltures b y t he m iss ion-
a r ies o f ten i nvo lved t he impos it ion o f r ad ica l c hanges i n I nd ian c u ltures;
i n
t he C en tra l D eser t o f B a ja C a l i forn ia I nd ians , d ependen t o f w i ld f ood r esources , were g rouped i n to s eden tary c o mmun i t ies o f b e tween 5 00 a nd 2 ,000 I nd ians , where t hey w ere i nstructed i n a gr icu ltura l t echn iques. A t t he s a me t ime t he ir s oc ial o rgan isat ion w as b roken d own b oth i nd irec t ly a s ar esu l t o f t he p rocess o f c ongrega t ing t he m i n t he miss ions, a nd d irect ly a s ar esu l t o f t he s tr ict impos it ion o f monoga my. As a c onsequence o f t hese c hanges a nd t he f act t hat t he d if icu lt e co log ica l c ond it ions o f t he d esert e nv ironmen t w ere n o t s u itable f or s upport ing s uch l arge s eden tary c o m mun it ies , t he I nd ian p opu lat ion d ecl ined v ery r ap id ly ( Asch mann 1 949 :209 ). b )
The a dap tat ion o fb oth c u ltures t o t he e nv ironmen t i n w h ich c on tact i s o ccurr ing
As Hard ing s ays , " the a dapt ive p rocess h as t wo c haracter ist ic a spec ts : c rea t ive a nd c onserva t ive" ( Sah l ins a nd S erv ice , 1 960 :45 ). By a dapt ing t o i t s e nv ironmen t ac u l ture wh ich i s l ess a dvanced i n g enera l e vo lut ionary t er ms may b e a b le t o ma inta in s pec if ic d om inance i n t ha t e nv ironmen t d esp ite t he e f forts o f a more w idely d om inan t a nd more a dvanced c u l ture t o d om inate i t ; Western man h as y et t o f ind e qua l ly e ffec t ive w ays o f e xp lo it ing t he r esources o f t he d eserts a nd a rct ic a s s uch g roups a s t he Bedou in a nd Esk i mo. t he p rocess o f a dap tat ion , h owever , a dap tab il ity i s s acr if iced ;
Dur ing
h igh ly a dap ted
c u ltures a re l ess l ikely t o e ngender i n terna l c hanges i n t he f or m o f i nnovat ions w ith p o ten t ia l f or a dvance men t a nd t hey a re l ess l ikely t o a dopt t hose i n troduced t o t he c u lture b y d iffus ion o r c u lt ure c on tact. 5
I th as b een s hown t ha t t he l ack
o f t he c apac ity t o a dap t t o c hanged c ircu mstances may r esu l t i n b io log ica l , a nd h ence c u l tura l , e x t inct ion o f t he g roup.
The s urv iva l o f h igh ly a dapted g roups ,
s uch a s t he Esk i mo , t o t he p resen t d ay may a ppear t o c on trad ict t h is s tate men t . However, t he s urv iva l o f t he Esk i mo d epends n ot o n ly o n t he ir d egree o f a dapt at ion t o t he ir e nv ironmen t , b u t a lso o n t here b e ing l i t t le o r n o c hange i n t hat e nv ironmen t.
S hou ld d rast ic e nv ironmen ta l d estab il isat ion o ccur, e ither i n t he
f or m o f e co log ica l c hange o r i n tense c on tact , t he c hances o f t he ir s urv ival , g iven t he ir l ow a dapt ive c apac ity , wou ld b e v ery l ow .
Wh ilst s uccessfu l a dap-
t at ion may e nsure t he s hor t-ter m s urv iva l o f ac u lture , i ta lso c on ta ins t he s eeds o f i t s d estruct ion . c )
The d egree o f e nv iron men ta l s pec ia l isat ion o r g enera l isat ion o f b o th c u ltures The d ivers ity o r u n ifor m ity o f ac u l ture 's e nv ironmen t a nd i t s r e lat ionsh ip
t o i ta lso a f fects i t s s urv iva l o r d om inance p o ten t ia l.
Exa m in ing a c u l ture 's
n atura l e nv iron men t f i rst , i th as b een n o ted t hat g roups wh ich p ossess a s trat egy o f e co log ica l g enera l isa t ion o r t he e xp lo itat ion o f av ar iety o f r esources a re more l ike ly t o s urv ive a p er iod o f e nv ironmen ta l c hange t han t hose who a re d ependen t o n o ne o r af ew r esources d ue t o t he r edundancy i n t he r esource b ase ( P log 1 973:660, S egraves 1 974:538-40 ).
Equal ly a n i nco m ing c u lture
wh ich i s e co log ica l ly g enera l ised w il l b e a b le t o d om inate i n ag reater v ar ie ty o f e nv ironmen ts t han o ne wh ich i s s pec ia l ised.
Converse ly , i t may b e s a id
t hat s pec ia l ised e cosyste ms b y t he ir n ature a re b ound t o f oster t he d evelopmen t o f s pec ia l ised c u l tures ( Harr is 1 969 :8-9 ), wh ich a re v u lnarab le i n t he f ace o f e nv ironmen ta l c hange.
Wh ilst e co log ical ly s pec ia l ised c u ltures may 8 0
n o t s urv ive b ecause o f t he ir l ack o f a dap tab il ity , e co log ica l ly g eneral ised c u lt ures may n o t s urv ive a s t hey w ere t ransfor med t o ah igher l eve l o f e vo lut ionary d eve lopmen t ;
t he i dea t hat t he o r ig ins o f a gr icu l ture , u rban is m , a nd t he s tate
a re l ikely t o b e f ound i n a reas o f e co log ica l d ivers ity i s n o t n ew ( Sauer 1 952: 2 1 , C a mpbe l l 1 965 :28 , F lannery 1 965 :1247-56 , A da ms , 1 966 :47-57 , H arr is 1 969 , S anders a nd P r ice 1 968 :170-193 ).
P aral lel o bserva t ions may b e made w ith
r espect t o ac u lture 's c u l tura l e nv ironmen t.
The d egree o f d ependency o f o ne
g roup o r a nother f or t rade o r s upport i n warfare may make i te x tre mely v u lnera b le s hou ld r ela t ions b e tween t he t wo c u ltures c hange, whereas am icab le r elat ions w ith a n u mber o f g roups r educes s uch v u lnerab il ity. t h is v o lu me.)
( See a lso Anderson ,
I t may a ppear f ro m w hat h as b een s a id t hat a c u lture 's d egree
o f a dap tat ion a nd d egree o f e co log ica l s pec ia l isa t ion-genera l isat ion a re r elated a nd i np ract ice t hey p robab ly a re , b u t t heoret ica l ly a c u lture may b e a s h igh ly a dap ted f or t he e xp lo i tat ion o f av ar ie ty o f r esources a s f or o ne ( Segraves 1 974: 5 38 ). d )
The d egree o f p ressure e xerted o n t he s ubord inate c u lture t o c hange
Cu ltures c ons tan t ly e xper ience minor c hanges made i n r esponse t o n ew i deas e ngendered b y t he c u lture i t sel f o r t o t e mporary o r p er manen t , b u t minor c hanges i n i t s e nv ironmen t , b u t ma jor c hanges i n t he e nv ironmen t may a lso o ccur wh ich r equ ire t he c o mp lete r estructur ing o f t he c u l ture.
I n c er ta in c ases, s uch a s i n
mi l itary c onquest , t he c u lture may b e c o mp letely d estroyed b efore r estructur ing t akes p lace.
I n most i nstances s o me f or m o f p ressure h as t o b e b rough t o n t he
s ubord inate c u l ture t o c hange a nd i t may t ake t he f or m o f i deo log ica l p ressure , mi l itary c onquest o r c o lon isat ion .
The d egree o f c o mpu ls ion t o c hange i s a n
impor tan t f actor i n a t te m tp ing t o u nderstand d if ferences i n t he p at tern o f d om ina nce t hroughou t t he c o lon ia l wor ld a nd i ti s i n p art r elated t o t he f i rst t wo v ar iab les d iscussed.
F irs t , t he more h igh ly a dap ted a c u lture t he more r eluctan t
i ti s t o c hange a nd t he g reater t he p ressure t ha t h as t o b e e xerted b y t he d om inan t c u l ture, w ith t he r esul t t ha t o f ten t he s ubord ina te c u lture i s u l t i ma te ly d estroyed. S econd , t he d egree o f p ressure t o c hange i s a lso r e lated t o t he a ttract iveness o f t he i nd igenous g roup o r t he ir l ands f or e xp lo itat ion b y t he d om inan t c ul ture. Th is i s r e lated i n p art t o t he l evel o f e vo lut ionary d evelopmen t o f t he s ubord ina te c u lture. I n L at in Amer ica many g roups d ependen t o n h un t ing , f i sh ing , g a thering a nd/ o r h ort icu lture w ere a b le t o s urv ive f our h undred y ears o f c o lon ial r u le , n ot b ecause t hey w ere h igh ly a dap ted t o t he e nv iron men ts i n wh ich t hey e x isted , t hough t hey may h ave b een , b ut b ecause t hey h ad l i t t le o r n o c on tact w ith Europeans.
Th is w as p ar t ly d ue t o t he ir r e mo te l ocat ion a nd p art ly d ue t o t he
f act t ha t t he I nd ians o f fered l i t t le a t tract ion t o c o lon ists f or m ing o n ly sma l l c oncen trat ions o f p opu lat ion f or u se a s s ources o f l abour a nd p roduc ing o n ly sma l l s urp luses wh ich c ou ld b e e xpropr iated i n t he f or m o f t r ibute.
Th is
s it uat ion may b e c o mpared w ith t he sw if t e x ter m inat ion o f t he P a mpa I nd ians o f Argen t ina i n t he n ineteen th c en tury when u nder t he s t i mu lus o f d e mands f or f ood a nd r aw mater ia ls i n Europe, t he ir l ands w ere r ap id ly c o lon ised b y Europ ean s e tt lers, a nd more r ecen t ly
w ith t he i nstan taneous d ec l ine o f t he I nd ian
t r ibes i n t he Amazon b as in d ur ing t he p ast f ew d ecades o f i n tense c on tact r esu lt ing f ro m t he d es ire o f t he Braz il ian g overnmen t t o i n tegrate t he ir t err itory i n to t hat o f t he n at ion , .
I t may b e s upposed t ha t u nder c o lon ia l s yste ms
8 1
wh ich w ere more c oncerned w ith t he e xp lo ita t ion o f l ands a nd minera l r es ources a nd wh ich c ou ld r e ly o n e x terna l s ources o f l abour , t he n a ture o f I nd ian g roups i nhab it ing a n a rea w as l ess i mportan t i n d eter m in ing s pat ia l v ar iat ions i n t he i n tens ity o f c on tact. P rob le ms a nd p rospec ts The L aw o f Cultura l Do m inance , a nd i ndeed t he c oncept o f c u l tural e vo lut ion i t sel f , p oses s evere p rob le ms o f v er if icat ion . a ny s tate men t must h ave p red ict ive v a lue.
To j ust ify i t s s tatus a s al aw
Un fortunately i n a pp ly ing t he L aw
t o a ny p art icu lar c u l ture-con tac t s ituat ion i ti s d iff icu l t t o p red ict w h ich c u lture w il l c o me t o d om inate i ndependen t o f t he f act t hat o ne c u lture i s s een t o s pread a t t he e xpense o f a no ther.
Th is s i tuat ion s te ms f rom s evera l methodo log ica l
p rob le ms , wh ich a re made more a cu te b y t he i nadequac ies o f t he d ata a va ilab le. I n most c ases t he c u lture-con tact p rocess i s e xa m ined a f ter i th as o ccurred s o t hat a ny s tudy h as t o r ely o n s o me k ind o f h istor ical d ata , wh ich i s v ery of ten f rag men tary a nd i ncapab le o f a nswer ing t he q uest ions t hat s uch a n a pproach p oses. The me thodo log ica l p rob le ms c ons ist o f c lassi fy ing c u ltures o b ject ive ly i n t er ms o f t he f our v ar iab les d iscussed a nd o f a ssess ing t he ir r elat ive import ance. C learly a n o b ject ive means o f c lassi fy ing c u ltures a ccord ing t o t he ir l eve l o f e vo lut ionary d evelop men tb y measur ing e nergy f lows t hrough a s oc iety , s uch a s a tte mpted b y Cook , K e mp a nd Rappaport ( Cook 1 971, K e mp 1 971, Rappaport 1 971 ) f or c on te mporary g roups , i s imposs ib le i n a n h istorical c ont ex t.
On t he o ther h and , t he t ype o f t echno logy p ossessed b y as oc ie ty g ives
o n ly a v ery g eneral i nd icat ion o f t he amoun t o f e nergy i s c an h arness.
There
i s a lso n o t ru ly o b ject ive means o f a ssess ing a c u lture 's d egree o f c omp lex ity. S ca le a na lys is a t te mpts t o d ef ine l eve ls o f c u ltura l c o mp lex ity b u t , s ince i t i s b ased o n t he p resence o r a bsence o f t ra i ts wh ich h ave b een c hosen s ub jec ti ve ly , i to f fers n o t ru ly o b ject ive means o f measur ing a c u lture 's s tructura l o r f unct iona l c o mp lex ity ( Carne iro 1 962, 1 967 , 1 968;
Carne iro a nd Tob ias 1 963 ).
S im ilar ly t here i s n o o b ject ive means o f measur ing a c u l ture 's a dap tat ion t o i t s e nv ironmen t.
The most w idely s tated c r iter ion o f s uccessfu l a dap tat ion i s
p opu lat ion ma in tenance a nd t hat o f ma ladap tat ion , p opu lat ion d ec l ine ( Cook 1 945 :107 ;
S i mpson , 1 953 :161;
Dobzhansky 1 962 :128;
A l land 1 966:46 ;
S anders
a nd P r ice 1 967 :73 ). The ma in tenance o r d ecl ine o f ap opu la t ion c an b e d er ived f ro m t he a rchaeo log ica l o r d ocu men tary r ecord , b u t i ti s o f ten d iff icu lt , p art icu larly w ith c o mp lex s oc iet ies , t o i so late c on tr ibu tory f actors a nd a ssess t he ir r e lat ive i mportance.
H istor ica l a nd a rchaeo log ica l d ata , o f ten c ons ists p redom inan t ly
o f c u l tura l t ra its a nd c o mp lexes w h ich c anno t b e r ead ily r ela ted t o p ast p rocess es.
C learly i i t hese c ircu mstances t here i s ad anger o f a scr ib ing t o t hese ,
a dapt ive r o les wh ich t hey d id n ot p erform. t he a na lys is o f d e mograph ic c hange.
As s uch , i ti s b et ter t o r e ly o n
Th is i s n o t s uch a d rawback a s m igh t b e
s upposed , s ince t he s uccess o f a ny a dap t ive s trategy must b e j udged b y i t s a b i l ity t o ma in ta in i t s p opu lat ion. ( Ca mpbel l 1 965 :31-5 ;
A c u lture c anno t e x ist i ndependen t o f man
Rappaport 1 974 :9 ).
S uccessfu l a dap tat ion s hou ld a lso
ma in ta in t he e nv ironmen t i n e qu il ibr ium , s ince e nv ironmen ta l c hanges p rod uced b y ac u lture a t te mp t ing t o s upport i t s p opu lat ion may h ave r epercuss ive e ffects o n t he c u l ture t o t he e xten t t ha t i t s b as ic a dap tat ion may b e u nder m ined. 8 2
An e xa m inat ion o f d ata r elat ing t o t he e nv iron men t may t hus t hrow l i gh t o n a c ul ture 's d egree o f a dap tat ion .
Ma ladap tat ion w ou ld b e man ifest i n t he e nv i-
r onmen tb y s uch p heno mena a s s o il f er t il ity d ecl ine , s o i l e ros ion , v ege tat ion d egrada t ion , d ec l in ing a n i ma l p opu lat ions a nd c hang ing a tt itudes o f o ther c u lt ures p rovoked b y t he c u lture i t sel f ; s uccessfu l a dap tat ion w ou ld m in im ise t hese f eatures. S im ilar p rob le ms o f h istor ica l r econstruct ion a nd o b ject iv ity e x ist i n a t te mpt ing t o d escr ibe a c u l ture 's r e lat ionsh ip w ith i t s e nv ironmen t i n t er ms o f e col og ica l s pec ia l isat ion o r g enera l isa t ion a nd a lso i n a t te mpt ing t o a ssess t he d egree o f p ressure e xerted o n t he s ubord inate c u lture t o c hange.
With r espec t
t o t he l at ter, t he d om inan t c u l ture 's l eve l o f g eneral e vo lut ionary d evelopmen t a nd t he s ize o f i t s p opu lat ion c an g ive a n i nd icat ion o f t he d egree o f p ressure i t c an e xert , a lthough t he a ctua l p ressure e xerted w il l b e d ependen t o n t he a i ms o f t he c o lon ia l p ower a nd , a s a lready i nd icated , t he n ature o f t he s ubord inate g roup. I n a dd it ion t o t he p rob le ms o ut l ined a bove, i ti s d i ff icu l t t o a ssess t he p rec ise r elat ive i mportance o f t he f our v ar iables o ut l ined , p art icu larly s ince t hey a re h igh ly i nterrelated. My own work o n T r in idad ( 1976c ) wh ich e xa m ined t he impact o f S pan ish c o lon ia l is m o n t rop ica l r a in-forest t r ibes, s uggested t hat i n t he s hort t er m l ess a dvanced c u ltures may s urv ive b y b e ing h igh ly a dapted t o t he e nv ironmen t i n wh ich c on tact i s o ccurr ing.
However, t he g reater a dap tab il ity
a nd r esources o f a more a dvanced c u lture e nab les i ti n t he l ong t er m t o a dap t t o l oca l c ond it ions a nd t o e xert p ressure o n t he s ubord ina te c ulture t o c hange s o t hat i t s a dap tat ion i s u nder m ined. The d egree o f p ressure t o c hange s eems t o b e s ign if ican t i n d e ter m in ing t he s peed w ith w h ich t he s ubord ina te c u lture c hanges a nd i t may b e i mpor tan t i n d eter m in ing t he n ature o f t hose c hanges. P erhaps o ne v ar iab le may b e more i mportan t t han t he o ther t hree , t hough i t s ee ms more l ikely t hat t he ir s ign i f icance v ar ies o ver t ime, b ut more r esearch n eeds t o b e u ndertaken b efore a ny j udge men t c an b e made o n t h is p o in t .
Th is
s ituat ion p lus t he l ack o f o b ject ive means t o e va luate t he s ign if icance o f t he f our v ar iab les s evere ly l im its t he p red ictab il ity o f t he model. A l though t here a re s evere p rob le ms o f v er if ica t ion a nd h ence l im itat ions o n t he p red ic tab il ity o f t he L aw o f Cu ltura l Dom inance a nd t he c u lture-con tact model o ut l ined , t hey s hou ld n o t b e d iscarded f or t hey h ave n o t b een d isproved. The t echn iques a nd d a ta a va ilab le w i l l p robab ly n ever b e a dequa te f or t he p urp ose o ut l ined b u t p rogress w i l l n ot b e made u n less c u lture-con tact s tud ies v iew t he p rocess i n t er ms o f t he v ar iab les d iscussed.
Certa in l ines o f r e-
s earch w h ich w ou ld a id s uch s tud ies c an b e s uggested. F irst , t he t echn iques u sed f or c lass ify ing c u ltures a nd e nv ironmen ts i n t er ms o f t he c r iter ia o utl ined a bove n eed t o b e r ef ined ; a l though a t te mpts h ave b een made t o d ef ine l evels o f g enera l e vo lut ionary d eve lopmen t o n a n o b ject ive b as is , v ery l i t t le h as b een d one o n i nd ica t ing t he s a l ien t c haracter ist ics o f a dap tat ion a nd ma la dap ta t ion .
S econd , a va i lable s ources s hou ld b e u sed t o t he f u l l.
I ti s p ara-
d ox ica l t ha t r esearchers o nt he p rocess o f c u lture-con tact , a n e ssent ia l ly h istor ica l p rocess , h ave b een r e luctan t t o u se a rch iva l mater ia l a nd h ave r el ied o n s econdary s ources.
A lso u nt il r ecen t ly t he e xpert ise o f n atura l
s c ien t ists h as n o tb een d rawn o n f u l ly i n a t te mp t ing t o a na lyse t he r elat ionsh ip o f c u l tures t o t he ir n atura l e nv ironmen ts.
8 3
I ti s t o b e h oped t hat c urren t
i n terest i n t h is f ie ld w il l c on t inue a nd p rov ide r esu l ts wh ich c an b e u se fu lly i ncorporated i n t he c ulture-con tact mode l.
Th ird , a lthough t he t echn iques a nd
d a ta a va ilab le a re f ar f rom a dequa te, i nvest iga t ions i n to t he c u lture-con tact p rocess i n t er ms o f t he f our v ar iab les o u t l ined s hou ld b e made, s ince t hey wou ld a t l east i nd icate a ny ma jor s hortco m ings i n t he model , wh ich m igh t i nv o lve t he d elet ion o r i nc lus ion o f v ar iab les.
Fourth , a dd i t iona l i ns igh t m igh t
b e g a ined b y s tudy ing c on te mporary c u lture-con tact p rocesses a l though , d ue t o t he f act t hat t here a re n ow h ard ly a ny s i mp le s oc iet ies wh ich h ave n ot c o me i n to c on tact w ith more w idely d om inan t c u ltures , t here a re c erta in p rob le ms i nvo lved.
I ti s d if f icu l t t o e stab l ish a b ase l ine p r ior t o c on tact a nd a lso , t he
c ulture-con tact p rocess s tud ied w il l g eneral ly b e b etween more c omp lex s oc iet ies, s o t hat t he a na lys is w il l b e more d if f icu l t. Wh ichever c ourse i s c hosen i ti s c lear t hat i n terd isc ip l inary r esearch w i l l h ave t o b e u ndertaken ;
t he c oncept o f c u ltura l e vo lut ion , f ro m wh ich t he L aw
o f Cu ltura l Dom inance a nd t he c u l ture-con tact mode l a re d eveloped , a t te mp ts t o e xp la in s pat ia l a nd t e mpora l v ar ia t ions i n c u ltura l d eve lop men t t hroughou t t he world f or t he who le t ime s pan o f man 's e x istence, s o t hat i t s v er if ica t ion must d epend o n t he c ooperat ive eforts o f al arge n u mber o f d isc ip l ines.
Footnotes 1 .
Var ious c lassi f icat ions b ased o n t hese c r iter ia a re d iscussed b y N ewson ( 1976a ).
2 .
More h igh ly d eve loped c u ltures t end t o b e c harac ter ised b y g reater i n tern a l i nstab i l ity b ecause o f t he d if f icu lt y t hey h ave i n a ch iev ing c oord inat ion b etween t he mu l t ip l ic ity o f c o mponen t p arts.
3 .
The e ncom ienda w as i n troduced i n to t he t r ibal a reas o f Paraguay , Ch i le a nd Venezuela , b u t i n t hose a reas i to perated r ather d ifferen t ly t han t he Crown i n tended.
Due t o t he ir r e moteness f rom o ff ic ia l s urve il lance a nd
b ecause I nd ian e cono m ic p roduct ion w as i nsu f f ic ien t t o p rov ide a r easona ble s urp lus f or t r ibute p ay men t , t he I nd ians worked i n t he p ersona l s erv ice o f t he e nco menderos.
I tw as i l lega l , h owever, i n o ther p arts o f
t he Emp ire.
Arc ila Far ias , 1 957:287-90 ;
1 70 , 2 08 ; 4 .
( Serv ice , 1 951;
Korth , 1 968:
V i l la mar in a nd V il la mar in 1 975 :85.)
Th is i s n o t t o d eny t he r ec iproca l n ature o f t he c u ltura l-con tact p rocess. S erv ice h as s hown h ow i n Paraguay t he S pan ish r e mo te f rom t he c en tres o f c o lon ia l a u thor ity a dop ted I nd ian c usto ms ( Serv ice 1 951 ).
N everthe-
l ess i tw as g enera l ly t he I nd ian g roups who made t he g rea test c u ltura l s acr if ices. 5 .
Many h igh ly a dapted c u ltures a re t o b e f ound i n d iff icul t e nv ironmen ts , where s urv iva l i s d ependen t o n g roup c oord inat ion .
I n s uch c ases a ny
i nd iv idua l v ar iat ions i nb ehav iour, i n o ther words i nnovat ions, may b e r egarded a s at hreat t o s urv iva l a nd t hus n o t a dop ted ( Campbe l l 1 965 :33 ).
8 4
B ib l iography Ada ms , R . Mc., 1 966. A l land , A ., 1 966.
The e vo lut ion o f u rban s oc iety.
Ch icago.
' Med ica l a n thropo logy a nd b io-cu l tura l a dap tat ion '.
Amer-
i can An thropo log ist 6 8: 40- 5 1 . Arena Far ias, E ., 1 957. As chmann , H ., 1 959.
E l r eg i men d e l a e nco m ienda e n Venezuela.
' The Cen tra l D esert o f Ba ja Ca l iforn ia '.
Caracas.
r bero-
Americana 4 2. Bened ic t , R ., 1 943.
' T wo p at terns o f I nd ian a ccu l tura t ion '.
Amer ican An throp-
o log ist 4 5 :207-212. Brook f ie ld , H . C ., 1 962.
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8 5
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o f t he Assoc iat ion o f Amer ican Geographers 5 7 :617-34. Moreno N avarro , I ., 1 973.
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8 6
S i mpson , G . G ., 1 953.
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Wagner, P . a nd M ikesel l , M. W., 1 962. Ch icago.
8 7
Read ings i n c u ltural g eography .
THE ANATO MY OF I NNOVAT ION C o lin R en frew Abs trac t The impor tan t d is t inc t ion i s f irs t d rawn b e tween i nven t ion , t he d iscovery o r a ch ieve men t o f an ew p rocess o r f or m , a nd i nnova t ion , t he w idespread a dopt ion o f an ew p rocess o r f or m . I ti s a rgued t ha t wha t g enera l ly g overns t he i nnova t ion i n s oc ie ty , t he w idespread a dop t ion , i s n o t s imp ly t he a va i lab i l i ty o f i n for ma t ion o n t he n ew p rocess , b u t t he e x is tence o f c ond i t ions mak ing i t s a ccep tance b ene f ic ia l , a nd s een t o b e b ene f icia l . S pa tia l d i f fus ion mode ls , s uch a s t hose o f H ägers trand , wh i le e f fec t ive i n s o me i ns tances , d o n o t a dequa te ly a l low f or t h is d is t inc t ion a nd i ti s a rgued t ha t t heir a pp l ica t ion i na rchaeo logy h as s o me t i mes b een mis lead ing , t ending t o p erpe tua te a d i f fus ion is t o u t look . As a n a l terna t ive a mode l f or b i -moda l c hoice u s ing c a tas trophe t heory i s p resen ted , wh ich c an a ccoun t f or s udden s h i f ts i nb ehav iour w i thou t d i ffus ion is t p reconcep t ions . App l ica t ions t o t ranspor t f ac i l i t ies i n t he modern wor ld a re g iven a s e xa mple , a nd t he mode l i s a pp l ied t o t he a dop t ion o f me ta l lurgy i n t he European c ha lco l i th ic . A s im i lar a pproach i s s ugges ted f or t he a na lys is o f r e la t ively s udden s h i f ts f ro m f ood-ga ther ing t o f ood-producing s ubs is tence s tra teg ies , t he s o-ca l led ' Neo l i th ic R evo lu t ion '.
H ow d o ma jor t echno log ica l c hanges o ccur i n h uman s oc ie t ies?
I n wha t
c ircu ms tances a re e x is t ing p roduc ts a nd p rac t ices s e t a s ide i n f avour of r ad ica l ly n ew o nes? J us t wha t i s i tt ha t makes a p ar t icu lar n ew f ash ion a t as pec i f ic t ime d isplace a no ld o ne? I nnova t ion , t he d eve lop men t o r i n troduc tion o f wha t i s n ew , i s e v iden t ly ap rocess whose u nders tand ing i s f unda men ta l t o t he s tudy o f s oc ie ty a nd e spec ia l ly o f c hange . I ti s o ne wh ich a rchaeo logy h as y e t t o d ea l w i th s uccessf u l ly . The p urpose o f t h is p aper i s t wo fo ld . F irs t t o a rgue t ha t t he r ecen t p opu lar i ty o f " d i f fus ion is t" e xp lana t ions i n a rchaeo logy , a nd t he u ndoubted s uccess o f modern g eographers i n s tudy ing i nnova t ion d i f fus ion a s as pa t ia l p rocess , h ave o bscured a n i mpor tan t c en tra l p o in t : t ha t i n many c ases a s pa t ia l f ra mework i s n o t t he mos t a ppropr ia te f or t he s tudy o f i nnova t ion . S econd ly , t o o f fer a n a l terna t ive mode l where t he c ruc ia l mechan is m i s h u man c ho ice — t he c onsc ious d ec is ion b y t he i nd iv idua l t o a dop t o ne mode o f u ndert ak ing a p ar t icu lar a c tiv i ty r a ther t han a no ther .
I n many c ases h uman c hoice
i s b i moda l — ay es/no d ec is ion b e tween t wo a l terna t ives . C a tas trophe t heory may b e u sed t o i nves t iga te t he p roper t ies o f d iscon t inu i ty , h ys teres is a nd d ivergence wh ich a cco mpany b i moda l c hange . The r ap id a nd w idespread a ppearance o f a n i nnova t ion i nt he a rchaeo log ica l r ecord n eed n o t i nd ica te t he o pera t ion o f s o me e x terna l a gency u pon t he c u l ture s ys te m .
8 9
These p rob le ms o f i nven t ion a nd a dop t ion a re i nex tr icably l inked i n much a rchaeo log ica l l i tera ture o nt he s ub jec t , y e t Ib e l ieve t ha t t hey c an p ro f i tab ly b e s epara ted , s ince i n s o me c ases v ery d i f feren t p rocesses a re a t work . Ag ood e xa mp le i s o f fered b y c opper me ta l lurgy , f i rs t s een i n t he O ld Wor ld a t av ery e ar ly d a te i n t he N ear E as t . Y e t ap roduc t ive c opper t echno logy w i th a l arge o u tpu t d eve loped o n ly mi l lenn ia l a ter i nt ha t a rea , b y wh ich t ime i nd ica t ions o f t he n ecessary t echn ica l s k i l l t o sme l t a nd c as t c opper a re e v iden t i n s ou th-eas t Europe a nd p erhaps i n I ber ia . T ha t t h is c ircums tance s hou ld n o t a u to ma t ica l ly b e s een a s t he w ork ing o f " d i f fus ion" h as b een a rgued i n an umber o f p laces ( Ren frew , 1 969 , T r ingham , 1 971:198 ) a nd r e fu ted i n o thers ( Wer t i me , 1 964 :1257 ).
S o me r a ther more c are fu l a na lys is i s d es ireab le .
C hange i n S oc ie ty I nnova t ion i s t o b e d is t ingu ished f ro m i nven t ion . I nven t ion i s t he d iscovery o r a ch ieve men t b y a n i nd iv idua l o f an ew p rocess o r f orm , whe ther d e l ibera te ly o r b y c hance .
I nnova tion a s i tw i l l b e u nders tood h ere impl ies t he w idespread
a dopt ion o f an ew p rocess o r f or m , a nd c lear ly i t mus t b e p receded b y t he r e levan t i nven t ions whe ther b y as hor t o r b y al ong p er iod . " In t he u sua l t ermino logy t he i nven t ions , sma l l a nd l arge , n eeded f or p rogress b eco me ' i nnova t ions ' when e n trepreneurs a dop t t he m i n i ndus try . The i nnova t iona l p rocess r equ ires o f c ourse n o t o n ly t he p roduc t ion b u t t he d is tr ibu t ion o f a dd i t iona l k now ledge , a nd i tr equ ires e n trepreneur ia l d ec is ions" ( Fe l liner 1 971:2 ) . Whe ther we a re s peak ing o f i ndus tr ia l o r d o mes t ic a c t iv i ty i ti s e ssen t ia l t o d is t ingu ish b etween i nven t ion a nd a dop t ion . The i n i t ia l k now ledge r equ ired t o c arry o u t t he p rocess i n q ues t ion may h ave b een g a ined l oca l ly b y i nven t ion o r may h ave b een i n troduced i n to t he a rea i nq ues t ion a s ar esu l t o f c on tac ts w i th a no ther a rea where t he i nven t ion was e ar l ier made .
T h is p rocess i s f requen t ly t er med " d i f fus ion" b y a rchaeolo-
g is ts a l though t he mechan is m o f t rans m iss ion o f t he k nowledge i s o f ten n o t d e f ined . S o me t i mes t he k now ledge t rans m i t ted may b e o n ly p ar t ia l : c on tac t may i mpar t s o me g enera l k now ledge o f t he o u t l ines o f ap rocess o r f or m w i thou t i t s p rec ise d e ta i ls , wh ich a re r e-inven ted a new u nder t he s t imu lus o f t he c on tac t . T h is i s wha t Kroeber ( 1 940 ) c a l ls " s t i mu lus d i f fus ion" , a nd h e g ives a s e xa mp les t he d eve lop men t o f f ine c era m ics i n wes tern E urope u nder t he i n f luence o f C h inese p orce la in , a nd t he i nven t ion o f a wr i t ten s yl labary f or t he C herokee l anguage a f ter c on tac t w i th t he E uropean wr i t ing s ys te m . Bu t Kroeber d oes n o t make t he d is t inc t ion emphas ised h ere : o n ly t he f irs t o f h is e xa mp les r anks a s a n i nnova t ion . T he s econd i s mere ly a n i nven t ion , s ince t he C herokee wr i t ing d ev ised b y S equoya d id n o t b eco me w ide ly u sed . I nt he s a me way t he c ircums tances f avourable t o t he a dop t ion o f an ew p rocess may d eve lop e n t ire ly l oca l ly , o r t hey may c o me a bou t t hrough c ont inu ing c on tac ts w i th a no ther s oc ie ty , whe ther o r n o t t he i n i tia l i nven t ion w as l earn t f ro m t ha t s ource . C h i lde 's mode l f or t he d eve lop men t o f b ronze a ge s oc iety i n c en tra l Europe u nder t he i n f luence o f ad eve loping t rade w i th t he Mycenaean wor ld ( Ch i lde , 1 958 ) i s a n e xa mp le o f t he l a t ter k ind .
Ana logous
mechan is ms a re impl ied i n F r ied 's d is t inc t ion b e tween ' pr is t ine ' a nd ' secondary ' c iv i l isa t ions ( Fr ied , 1 967 ) , t he e ssen t ia l i nnova t ions o f t he l a t ter b eing a ssu med t o d er ive f ro m t he f or mer .
9 0
Archaeolog is ts i n r ecen t y ears h ave r igh t ly s tressed t he impor tance o f t he a dop t ion p rocess , a nd t he c ircums tances i n t he s ocia l c on tex t wh ich f avour i t . As F lannery ( 1968 :80 ) p u ts i t , " The u se o f ac yberne t ics model t o e xp la in p reh is tor ic c u l tura l c hange , wh i le t er m ino log ica l ly c umberso me , h as c er ta in a dvan tages . F or o ne t h ing i td oes n o t a t tr ibu te c u l tura l e vo lu t ion t o " disc repancies" , " inven t ions" , " exper i men ts" o r " gen ius" , b u t i ns tead e nab les u s t o t rea t p reh is tor ic c u l tures a s s ys te ms .. i ta l lows u s t o v iew c hange n o t a s s o me th ing a r is ing d e n ovo , b u t i n t er ms o f q u i te minor d ev ia t ions i n o ne o vera l l p art o f ap rev ious ly e x is t ing s ys te m , t ha t o nce s e t i n mo t ion c an e xpand g rea t ly b ecause o f p os i t ive f eedback" . T he s ys te ms a pproach d oes i ndeed o f fer a f ra mework whereby t he a doption o f a n i nven t ion c an b e e xa m ined . P os i t ive f eedbacks l i nked t o g ive a ' mu l t ip l ier e f fec t ' ( Ren frew 1 972 :27-44 ) may b e u sed t o e xp la in g radua l c hanges . Bu t t hey d o n o t s o r eadi ly e xp la in t he s udden i nnova t ion , t he r ap id a dopt ion , wh ich i s o f ten t aken a s a n i nd ica t ion o f e x terna l i n terven t ion a nd t ha t i s where c a tas trophe t heory c an h e lp . D i f fus ion a s aS pa t ia l P rocess R ad ica l c hanges i nt he p roduc t ive t echno logy a nd t he o rgan isa t ion o f h uman s oc ie ty a re o f ten d escr ibed a nd i nves t iga ted i n t er ms o f " di f fus ion" — t ha t i s t o s ay w i th in a n e xp lana tory f ra mework where s pa t ia l c o-ord ina tes h ave a s pec ia l s igni f icance .
I ti s impor tan t t o r ea l ise , h owever , t ha t t he u nder lying
a ssump t ions , r are ly s ta ted b y a rchaeo log is ts , d o n o t a lways h o ld . Moreover t here a re a rgumen ts f or s ugges t ing t ha t t hese a ssumpt ions a re v a l id l ess o f ten f or p reh is tor ic t imes t han f or t he t wen t ie th c en tury A .D . I ts hou ld b e n o ted a lso t ha t t he t er m " di ffus ion" i s u sed i n s o me c on tex ts i nt he s ense o f "m igra t ion" . a membrane , f or i ns tance .
C he m is ts s peak o f d i f fus ion o f mo lecu les a cross And s o me g eograph ica l a na lyses h ave f ound t ha t
s im i lar models a re e f fec t ive whe ther o ne i s s peak ing o f t he i n troduc t ion o f a n ew p opu la t ion i n to a n emp ty a rea o r t he s pread o f a n i nven t ion i n a n a lready e x is t ing h u man p opu la t ion . B y d i f fus ion we mean a p rocess i n wh ich v ery f ew h u man i nd iv idua ls a re d isplaced b y more t han a f ew k i lo metres . One o f t he mos t s uccess fu l d i f fus ion models f or t he mechan is m o f c u l ture c hange i s t he ' i n fec t ious ' o r ' gene t ic ' e xp lana t ion . H ere t he p rogress ive a dop tion o f an ew p rocess i n ah uman c o m mun i ty i s a na lysed s pa tia l ly .
The u nder lying
p os tu la te o r a ssumpt ion i s t ha t t he n ew p rocess c an o n ly s pread b y c on tac t w i th ac arr ier — s o meone h i mse l f a lready ' i n fec ted ' w i th t he i nnova t ion , s o meone a lready c arrying t he c rucia l g ene . T he l aw o f t rans ference b y p ersona l c on tac t u sua l ly b r ings a s ac onsequence a s pa tia l c on t inu i ty i n t he d ispersa l o f t he o bserved i nnova t ion ( un less a n i n fec ted i nd iv idua l t ravels r apid ly t o an ew l oca t ion a nd s tar ts f er men t ing i n fec t ion t here ). The b as ic mechan is m o f t he c u l ture p rocess i s i n fec t ion t hrough c on tac t ( a l though i tn eed n ot b e a ssumed t ha t 1 00% o f t hose e xposed t o i n fec t ion i n f ac t c a tch t he i nnova t ion ). T he r ole o f t he r ece iv ing i ndiv idua l ( Jr c u l ture ) i s e n t irely p ass ive — h e may h ave a h igh o r l ow r es is tance t o i n fec t ion , b e a n ' ear ly a dop tor ' o r a' l a te a ccep tor ' — b u t h is p ersona l c on tr ibu t ion i s a bou t a s s ign i f ican t a s t ha t o f ag u inea p ig e xposed t o av irus .
9 1
I ng eography t he s i mu la tions o f H ägers tr and a nd h is c o l leagues h ave i ndeed i l lum ina ted s ign i f ican t ly t he p rocesses o f s pa t ia l d i f fus ion o f t echno log ica l improve men ts i n r ecen t Europe a s we l l a s t he move men ts o f s e t t lemen t . Hägers trand 's I nnova t ion D i f fus ion a s aS pa t ia l P rocess ( 1 967) i s o ne o f t he mos t impor tan t works o f t he p as t d ecade , f or t he a rchaeo log is t a s we l l a s t he g eographer , a nd i n troduces s evera l r ef ine men ts i n t erms o f d i f fer ing r ecept iveness a nd e f fect iveness o f c o m mun ica t ion wh ich make i ts tr ik ing ly a ppos i te f or t he c ases s tud ied . I ti s n ot my p urpose t o d oub t t he v a lue o f s uch mode ls h ere , b u t s imp ly t o p resen t a n a l terna t ive p erspec t ive wh ich may , i n c er ta in c ases , b e p re ferable . I ts hou ld b e s tressed , moreover , t ha t t hese models a re f or ma l isa t ions o f a g enera l o u t look wh ich h as b een w idespread a nd t oo l i t t le q ues t ioned w i th in a rchaeo logy f or more t han a c en tury . Mos t d i f fus ion mode ls c arry w i th t he m , o r r a ther w i th t heir a pp l ica t ion , t wo f unda men ta l a ssump t ions wh ich , i fa pp l ied v ery g enera l ly , wou ld b e tween t he m e xc lude mos t o f t he f unda men ta l work ings o f c u l ture p rocess : 1 .
C hange i s e xogenous t o t he l oca t ion i n q ues t ion .
2 .
Widespread a dop t ion o f an ew p rocess f o l lows r apid ly i n ar egu lar manner a f ter e xposure t o ' i n fec t ion ' ( i .e . k now ledge o f t he i nv en t ion ) , a l lowing f or d i f feren t d egrees o f r ecep t iveness among t hose i n fec ted , a nd f or v ar ious d e lays r ela ted t o e f f ic iency o fc o m mun ica t ion .
The f irs t a ssumpt ion i fa pp l ied o ver v ery w ide a reas c arr ied w i th i tt he l og ic o f C h i lde 's s plend id ly " use fu l h eur is t ic h ypo thes is t ha t e ach i nnova t ion h as b een made b u t o nce ." ( Ch i lde , 1 956: 1 54 ) . T he v iew t ha t t he f unda men ta l i nven t ions o n ly o ccur o nce i n h uman h is tory i s ab as ic t ene t o f d oc tr ine among s o me s tuden ts o f t he h is tory o f t echno logy , f or i ns tance among many me ta l lurg is ts :
" One mus t d oubt t ha t t he t ang led web o f d iscovery , c o mprehend ing t he
a r t o f r educ ing o x ide a nd t he s u l f ide o res , t he r ecogn i t ion o f s i lver , l ead , i ron , t in a nd p oss ibly a rsen ic a nd a n t i mony a s d is t inc t ive n ew me ta l l ic s ubs tances , a nd t he t echnique o f a l loying t in w i th b ronze , c ou ld h ave b een s pun t w ice i n h u ma n h is tory." ( Wer t i me , 1 964 :1257) . The s econd a ssu mp t ion f a i ls t o t ake i n to a ccoun t t ha t t he b as ic t echno log y r equ ired f or t he a dop t ion o f many n ew p rocesses i s o f ten a va i lable , whether t hrough l oca l d eve lop men t o r a s ar esu l t o f c on tac t w i th n eighbour ing s ocie t ies , d ecades o r c en tur ies b e fore i ti s i nf ac t u t i l ised o n al arge s ca le . These c o m men ts a re n o t i n tended a s a dverse c r i t ic is m o f H ägers trand 's work , a nd Id o n o t s uppose t ha t h e wou ld d isagree w i th t he m . I n h is d iscuss ion o f t he c harac ter is t ics o f i nnova t ion d i f fus ions ( 1 967:133-4 ) h e n o tes wha t c an b e r egarded a s t he s pa t ia l r egu lar i t ies o f t he c ases u nder s tudy : S tage 1 . S tage 1 L oca l c oncen tra t ions o f i n i t ia l a ccep tances . S tage 2 R ad ia l d isse m ina t ion o u tward f ro m t he i n i tia l a gg lo mera t ions i s a cco mpan ied b y t he r ise o f s econdary a gg lo mera t ions , wh i le t hose o r ig ina l c en tres s i mu l taneous ly c on t inue t o c ondense .
9 2
S tage 3 The g row th c eases . H e e xp l ici t ly s ta tes t ha t " the mode l p opu la t ion i s i mag ined t o b e i n t he p rocess o f a dop t ing a c u lt ura l i nnova t ion o f e xogenous o r ig in" b id . : 138 ) . I nt he f irs t o f h is p roposed mode ls , wh ich d oes n o t p rove e f fec t ive , i ti s a ssumed ( a ) F ro m t he b eg inn ing t he e n t ire p opu la t ion i s i n for med a bou t t he n ew p rocess , a nd ( b ) Accep tances o ccur i ndependen t ly o f o ne a no ther i n r ando m o rder o f p recedence. I n h is s econd mode l ( a ) I n t he b eg inn ing o n ly o ne p erson i n t he p opu la tion i s i n formed a bou t t he n ew p rocess a nd ( b ) A ccep tance o ccurs immed ia tely u pon t he r ece ipt o f i n for ma t ion . I n h is t h ird mode l : ( a ) On ly o ne p erson i n t he p opu la t ion h as a ccep ted t he f i c t iona l n ew p rocess f ro m t he b eg inn ing , a nd ( b ) Accep tance d oes n o t o ccur u n t i l r es is tance ( accord ing t o t he g iven s ca le ) h as b een o verco me t hrough r epea ted r eceip t o f p r iva te i n for ma t ion f ro m p ersons who p rev ious ly a dopted t he i nven tion . I n t he s econd a nd t h ird mode ls , t here fore , wh ich a re t hose wh ich H ägers trand d eve lops , t he c rucia l p rocess i s t ha t o f e xposure t o i n for ma t ion a bou t t he n ew p rocess . The t wo b as ic a ssu mp t ions i nd ica ted a bove d o i n f ac t h old f or s o me import an t c ases , a nd t he ir s uccess w i th t hese h as o bscured t heir u nsu i tabi l i ty i n o thers .
I n t he f irs t p lace t hey a re h igh ly r e levan t when o ne i s d eal ing w i th
a n i n troduced s pec ies n ew t o t he a rea . Y ou c anno t h ave c erea l f ar m ing w i thou t c erea ls , o r s i lk w i thou t s i lkwor ms , a ny more t han b ubon ic p lague w i thou t a b ac i l lus . Un ti l g ene t ic e ng ineer ing d eve lops f ur ther , a ssum t ion ( 1 ) i s i n f ac t t rue f or a l l a reas b u t t he h o me land o f t he e xot ic s pec ies i n q ues tion . Assumpt ion ( 2 ) may we l l h o ld a lso where t he n ew s pec ies o r v ar ie ty f i ts e as i ly i n to t he e x is ting a gr icu l tura l s ys tem . ( The mode l o f Am mer man a nd C ava l l i-S forza ( 1 973 ) , a l though b ased o n i deas o f e p ide m io logy , works b ecause o f t he i ncrease i np opu la t ion d ens i ty wh ich t hey s ee a s a ssocia ted w i th t he i ncept ion o f a gr ic u l ture , a nd i td oes n o t r es t o n a ssump t ion ( 2 ) ) . The a ssu mp t ions a re a ppropr ia te a lso f or c er tain t echno log ica l a dvances i nt he modern wor ld , s uch a s t hose wh ich H ägers trand d iscusses , where t he p os i t ive b ene f i ts o f t he i nnova t ion a re u nques tionably v ery s ubs tan t ia l .
The
c ase i s n o t c ons idered ( e xcep t b r ie f ly , i n ar eg iona l c on tex t ) t ha t t he i nven t ion may b e o f b ene f i t t o s o me i nd iv idua ls b u t n o t t o o thers a ccording t o c ircu ms tance , n or t ha t t he b ene f i ts t he mse lves may v ary t hrough t ime . The s uccess o f Hägers trand 's mode ls i n s i mu la ting t he o bserved p a t terns c ons idered i s a rguably a s u ff ic ien t d ocumen ta t ion o f t he a ppropr ia teness o f h is a ssu mpt ions f or Mode ls I a nd H I f or t he c ases u nder s tudy . a ppropr ia te f or e ar l ier p er iods .
They a re l ess
P r ior t o t he I ndus tr ia l R evolu t ion , i nven t ion d id n o t t ake p lace p r i mar i ly i n R esearch I ns ti tu tes o r i n R esearch a nd D eve lop men t L abora tor ies w i th in a f ramework o f p ure s cience , b u t r a ther was t he r esu l t o f p rac t ica l men d isc over ing improve men ts i nt he c ourse o f t heir c ra f t a c t iv i t ies .
D iscovery a nd
i nven t ion were t he work o f c ra f t s pec ia l is ts r a ther t han p ure s cien t is ts . The o ppor tun i ty f or i nven t ion w as t hus p resen t wherever s pecia l is t c ra f ts were p ract ised :
t here were more p o ten t ia l p r i mary c en tres .
I t may b e r easonable
f or H ä .gers trand ( 1 967 ) t o a ssume t ha t t ubercu l in t es t ing was e xogenous t o r ura l S weden , b u t t he p r inc ip le o f e xogenous o r ig in c anno t b e r ead i ly a ssumed b y p reh is tor ians .
9 3
Iwou ld a rgue moreover t ha t many e ar ly i nven t ions o r d iscover ies , f or e xa mp le t he e xp loi ta t ion o f d o mes t icable p lan ts o r t he w idespread manu fac ture o f c opper t oo ls , o n ly b eca me p rof i tab le a nd h ence v iable a s i nnova t ions w i th g radua l c hange i n an u mber o f c ircu ms tances .
Assump t ion ( 2 ) , a ppropr ia te
e nough a s u sed b y Hägers trand , c anno t r easonab ly b e a ccep ted p r ior t o t he I ndus tr ia l R evo lua t ion , e xcep t f or a l im i ted n umber o f i nven t ions .
I ndeed i t
a pp l ies d irec t ly o n ly t o t hose i nven t ions wh ich a l low a n e x is t ing p rocess t o b e c arr ied o u t more c heap ly a nd e f f ic ien t ly w i thou t a ny c o mpensa t ing d isadvant ages , a nd w i thou t s ubs tan t ia l c ap t ia l c os t . I n o rder t o c ons truc t ac lear , a l terna t ive mode l , l e t u s r everse t hese t wo d i f fus ion is t a ssu mpt ions , r ep lac ing t he m b y t wo o thers : A
Any f unc t iona l i nven t ion o r i nnova t ion i n h uman t echno logy o r c u l ture w i l l i nt i ma te ly o ccur a ga in , a nd r ecurren t ly , • i rrespec t ive o f t ime , s pace o r e thn ic g roup , g iven t he a ppr opr ia te c ond i t ions . Widespread a dop t ion o f an ew p rocess d oes n ot f o l low a u toma t ica l ly u pon t he i ncep t ion ( whether l oca l ly o r b y o u ts ide c on tact ) o f t he n ew p rocess o r f or m b u t d epends i n ac o mp l ic a ted way u pon i nd iv idua l c ho ice g overned b y s oc ia l a nd o ther f ac tors .
Ava i labi l i ty o f t he t echn ica l means i s an ecessary
b u t n o t as u f f icien t c ond i t ion f or t he a dopt ion o f n ew i nven t ions o r d iscover ies . I tw i l l b e a rgued b elow t ha t t he e ar ly o r ig in o f c opper meta l lurgy i n Europe o ffers a n e xce l len t e xa mple f or t he d ep loy men t o f t hese a l terna t ive a ssump t ions . The t echn ica l p rocesses o f sme l ting a nd c as t ing o f c opper a re c rucia l ly d epend en t o n ( a ) t he l oca l a va i lab i l i ty o f r aw ma ter ia l a nd f ue l , a nd ( b ) t he p yro techn ica l s k i l ls t o h and le t hese ma ter ia ls . B o th t hese c ond i tions were f u l f i l led i n t he Ba lkans a t t he i ncep t ion o f t he C opper A ge a nd i n t he I ber ian p en insu la a t t he o nse t o f t he C ha lcol i th ic , c opper t echno logy f o l low ing i nb o th c ases u pon c era m ic t echno logy.
We s ee , t here fore , t he e ar ly h and l ing o f c opper a nd o ther
me ta ls , i n s evera l a reas w i th s et t led , f arming p opu la t ion a nd d eve loped c eramic t echno logy .
S o me times , a s i n t he f our th mi l lenn ium i n t he A egean a rea ,
t he t echn ica l s k i l ls were a va i lab le f or u p L o am i l lenn ium b efore t he i nven ted p rocess was w ide ly a dop ted , w i th a d eve loped me ta l a ge a s c onsequence . I t i s n ecessary t here fore t o c on tras t t he r a ther n a ive ( a l though o f ten s tr ik ing ly e f fec t ive ) s i mp lic i ty o f t he " in fec t ion" model ( F ig . 1 ) w i th t he more c arefu l c ons idera t ion o f t he " innova t ion c ho ice" model ( F ig . 2 ) . Under d i f feren t c ond i tions e ach w i l l b e a ppropr ia te , a nd i ti s n o t my p urpose t o q ues t ion t he u se fu lness o f t he f or mer , s imp ly i ts u n iversa l i ty . as pecia l c ase o f t he l a t ter .
I ti s i n f ac t
The f ocus o f o ur i n teres t w i l l more o f ten b e u pon
t he mechan isms g overn ing c hoice i n t he s oc ie ty , a nd n o t u pon t hose o f s pa t ia l c on tac t . C a tas trophe T heory a nd B i moda l C ho ice C hange i n h u man s oc ie ty o f ten o ccurs s udden ly .
S e t t le men t p a t terns a l ter
r apid ly , c en tra l ised o rgan isa tions u ndergo r ap id c ol lapse , a nd n ew p rocesses a re w ide ly a dopted w i th in a s hor t s pace o f t ime .
I n t hese c ircu ms tances , n o t
s urpr is ing ly , t he a rchaeolog is t a nd t he h is tor ian h ave f requen t ly s ough t s ome 9 4
Adopt ion o f
Con tact b y r ecep tor w ith
i nven t ion b y
i nven t ion
r ecep tor
F ig. 1
I nnova t ion b y i n fect ion/d iffus ion.
L oca l i nven t ion/
Persona l
d iscovery
c ho ice :
\
L oca l
S oc ia l
i ncep t ion --> mat r ix
— I nnovat ion ;
Adopt ion
w idespread
Adopt ion
Mom
Re ject ion
Acqu is it ion o f p rocess b y
i nven t ion . •••••
o u ts ide c on tact
F ig. 2
I nnovat ion t hrough c on textua l c ho ice.
9 5
a dopt ion o f
e qua l ly s tr ik ing c ause - s o me th ing n ew a nd i n f luen t ia l t o e xp la in t he r ap id c hange , s o me t i mes s een a s a n a pparen t d iscon t inu i ty i nt he a rchaeo log ica l r ecord .
The o bv ious f irs t c ho ice a s a n e xp lana t ion f or t he o bserved d iscon-
t inu i ty h as o f ten b een a d iscon t inu i ty i n t he c ircu ms tances r esu l t ing f ro m a n i nvas ion o r migra t ion . I nt he a bsence o f e v idence f or t hese , t he o bv ious s econd c ho ice h as b een d ecis ive i n f luence f ro m o u ts ide t he s oc ie ty i n q ues t ion t o a cc oun t f or t he r ad ical c hange . One o f t he i ns igh ts o f fered b y c a tas trophe t heory i s t ha t s tr ik ing d iscon t inu i t ies i n t he b ehav iour o f s ys te ms a re t o b e e xpec ted , u nder c er ta in c ircums tances , f ro m t he smoo th a nd p er fec t ly c on tinuous c hange i n t he c ond i t ions wh ich g overn b ehav iour .
T hus t he c o l lapse o f e ar ly s ta te s oc ie t ies , a nd i n
s o me c ircu ms tances t he ir s udden f or ma t ion , c an b e d escr ibed w i thou t t he i n terven tion o f e xogenous f orces . S udden s h i f t i n s e t t le men t p a t tern i s t o b e p red ic ted , g iven c er ta in g radua l c hanges o pera t ing e n t ire ly w i th in t he c u l ture s ys te m .
As we s ha l l s ee , i nnova tion , t he w idespread a ccep tance o f an ew
p rocess i n s oc iety , c an t ake p lace q u i te s udden t ly , t hrough t he l oca l o pera t ion o f r e levan t f ac tors , c hang ing q u i te smoo th ly .
Whether t he t echn ica l p rocess
u nder lying t he i nnova t ion was u l tima te ly o f l oca l o r o u ts ide i ncep t ion c an b e q u i te im ma ter ia l t o t he a na lys is . A l though t he a rgumen t h ere was p ro mp ted b y r ecen t a ppl ica t ions o f c a tast rophe t heory i nvar ious f ie lds ( Tho m , 1 975 ;
Z ee man , 1 976) , t he d iscuss ion
d oes n o t r equ ire u s t o u se a ny v ery a dvanced ma the ma t ics .
Moreover t he
c usp c a tas trophe , t he o n ly o ne o f Tho m 's "magn i f icen t s even" e le men tary c a tas trophes w i th wh ich we h ave t o d ea l , h as a lready b een d escr ibed i n an u mb er o f a ccess ib le p apers ( Amson , 1 975 ; 1 978 ;
I snard a nd Z ee man , 1 976 ;
R en frew ,
Wags ta f f , 1 976 ) .and t he d escr ip t ion h ere c an b e b r ief .
We imag ine a s ys te m whose b ehav iour may b e d escr ibed b y as ing le v ar ia b le , wh ich we s ha l l c a l l t he b ehav iour o r s ta te v ar iable x . I n t he c ase we a re t o d iscuss , b i moda l c hoice , xr epresen ts t he b ehav iour o f t he i nd iv idua l who i s d o ing t he c hoos ing .
H e i s c hoos ing b e tween t wo a l terna t ives , o ne r epresen-
t ed b y p os i t ive v a lues o f x , t he o ther b y n ega t ive v a lues .
Th is i sn o t , h owever ,
s i mp ly a y es/no d ecis ion b u t as tra tegy mix -f or i ns tance t he p ercen tage o f t wo c rops g rown , o r t he h ouseho lder w ish ing t o d ecide h ow many g as a nd h ow many e lec tr ica l a ppl iances t o u se i n h is h ouse , o r t he t rave l ler d ecid ing h ow many mi les t o t rave l b y b us a nd h ow many b e r a i l . The b ehav iour i s i n f luenced b y v ar ia t ion i n t wo c on tro l v ar iables , aa nd b , F or i ns tance a c ou ld r epresen t r e la t ive s peed o f t rave l , a nd b c o mfor t o f t he b us v ersus r a i l e xa mp le - o r i n c ross ing t he A t lan tic b y s h ip o r a ircra f t ;
o r
ac ou ld r epresen t t he c rop y ie ld o f ap ar t icu lar mix o f c rops , a nd b t he l abour i npu t r equ ired t o c u l t iva te t ha t mix . We f ur ther imag ine a p o ten tia l f unc t ion o r u t i l i ty f unc t ion f
b ,
whose
v a lue r epresen ts t he p erceived o vera l l b ene f i ts o r a t trac tiveness o f t he s trat egy x f or d i f feren t v a lues o f aa nd b . =
b ,
We a ssu me t ha t t he i nd iv idua l a c ts i n s uch a way a s t o c hoose t he v a lue o f x t ha t i s l oca l ly o pt i ma l ( i n t er ms o f p erceived b enef i ts o r a t trac t iveness ) . Then f or g iven v a lues o f aa nd b t he p oss ible e qu i l ibr ium v a lues o f xa re t he max i ma o f v f , a nd h ence ; i l l b e s o lu t ions o f 9 6
e x
=
0
As t he c on tro l v ar iab les a a nd b v ar y , t he v a lues o f x wh ich a re t he max i ma
o ft he a bove e qua t ion d e ter m ine a s ur face i n t he s pace b , 9 . I n mos t c ases s uch s ur faces a re s ing le s hee ts , t here b eing a s ing le max imum ( o pt i mum ) v a lue o f xf or e ach p o in t ( e.,1 2 ) i n t he c on tro l s pace d e f ined b y t he c on tro l v ar iab les . Bu t t here may a lso b e v a lues o f ( ., 1 2 ) f or wh ich t here e x is ts more t han o ne max i mum o f . ) 9 i n wh ich c ase t he s ur face i s f o lded . When t here i s more t han o ne max i mum v a lue o f x , t he s ta te v ar iab le , f or g iven v a lues o f aa nd b , t he c on tro l v ar iab les , as udden c hange o f s ta te o f t he s ys te m may o ccur a s x moves d iscon t inuous ly f ro m o ne max i mum t o t he o ther . S uch a s udden c hange i s t er med b y T ho m ( 1 975 ) a' ca tas trophe '.
T ho m 's T heore m
o f E le men tary C a tas trophes , c rude ly p araphrased , a ssum ing s truc tura l s tab i l i ty , s ta tes t ha t i ft he n umber o f c on tro l v ar iables o f s uch a s ys te m i s n o t more t han 5 , a ny s ingu lar i ty ( or s pecia l ly t wis ted r eg ion o f t he map wh ich u nder l ies t he d iscon t inu i t ies i n o bserved b ehav iour ) i s e quiva len t t o o ne o f a f i n i te n umber o f t ypes c a l led e le men tary c a tas trophes , s even i n n umber . When t here a re o n ly t wo c on tro l v ar iab les t he s ingu lar i t ies c an b e o f o n ly t wo s peci f ic k inds , wh ich T ho m c a l ls t he f o ld c a tas trophe a nd t he c usp c a tas trophe . T he c usp c a tas trophe i s i l lus tra ted i n F ig . 3 . I tr epresen ts t he mos t c o mpl ica ted l oca l b ehav iour p oss ible when we h ave t wo c on tro l v ar iables , a nd a t t he s a me t ime t he s imples t when we k now t ha t t here i s i ndeed a d isc on t inu i ty wh ich we w ish t o e xa m ine i n wh ich t he s ta te v ar iab le s udden ly c hanges f ro m o ne v a lue t o a no ther . The s ur face i s g iven b y t he e qua t ion :
x3 + a x +b = 0 — — On t h is s ur face t he v a lues o f x , aa nd b a re s uch t ha t t he u t i l i ty f unc t ion f e _ . ,b ,29 i s a max i mum ( or min i mum , s add lepoin t e tc .). The u t i l i ty f unc t ion i t se l f i s g iven b y t he e qua t ion : f
= x4 /4 + a x 2/2 + b x
Ye t t he b eau ty o f t he a pproach i s t ha t t h is f orm n eed n o t i n f ac t b e k nown f or a p ar t icu lar a ppl ica t ion . Tho m 's t heore m s ta tes t ha t , g iven h is i n i t ia l a ssu mpt ions , t here a re o n ly a f ew ways t ha t d iscon t inuous c hange c an o ccur , c orresponding t o h is s even e le men tary c a tas trophes . I n t h is c ase w i th t wo c on tro l v ariab les t here a re o n ly t wo . T he c usp c a tas trophe i s a ppropr ia te f or t he c ons idera t ion o f b i moda l c ho ice . L e t u s n ow c ons ider a s pec i f ic h ypo thet ica l c ase . xi s t he s ta te v ar iab le r epresen t ing t he e x ten t t o wh ich t he s tra tegy mix o f t he i nd iv idua l t rave l ler u nder c ons idera t ion f avours r a i l r a ther t han c ar t rave l ( runn ing f or i ns tance f ro m 50% t o + 50% f or a l l c ar t o a l l r ai l r espec t ively ).
9 7
The c on tro l v ar iab le
O c
F ig. 3
The c usp c a tastrophe , i l lustrat ing b i moda l c ho ice.
9 8
4 )
L ow
p
H igh q
OC
4 )
H igh
p
L ow
q
3 C
4 ) . . . . .
Med iu m p . .
a m l
. . .
Med iu m q
0 . X
4 )
H igh
p
H igh q 3 C F ig. 4
The v a lue o f t he u t il ity f unct ion ( § ) a ga inst t he measure f or s tra tegy c ho ice ( x ) f or d if feren t f ixed v a lues o f t he c on tro l f actors ( p ,q ).
9 9
nr epresen ts t he s peed f or a g iven j ourney f or r a i l a s o pposed t o c ar , a nd a
t he c os t f or a g iven j ourney f or r a i l a s o pposed t o c ar . T he o vera l l b ene f i ts
o f ag iven s tra tegy mix x a re s een i n F ig . 4f or
d i f feren t v a lues o f 2a nd u . F ig . 4 .1 i nd ica tes t he s i tua t ion when n, t he r e la t ive s peed o f r a i l t rave l , i s h igh , a nd q , i t s r e la t ive c os t , i s l ow . T he b enef i ts a re g rea tes t ( o pt i ma l ) f or a h igh v a lue o f x .
Ah igh p ercen tage o f t he t o ta l mi les t rave l led b y t he
i nd iv idua l w i l l b e b y r a i l ( a l though n o t , o f c ourse , a l l , s ince n o t a l l h is i t inerary w i l l b e s erved b y r a i lways ) . F ig . 4 .2 s hows t he c ase where t he r e la t ive s peed o f r a i l t o c ar 2 , i s l ow a nd t he r e la t ive c os t ai s h igh . The b enef i ts a re g rea tes t f or l ow x , w i th mos t o f t he t rave l b y c ar . F ig . 4 .3 s hows t he c ase when b o th E a nd a a re i n ter media te — c os ts o f b o th r a i l a nd c ar a re a bou t t he s a me , a nd s o i s s peed . I n s uch a c ase t he o pt imum o f xw i l l t ake a n i n ter med ia te v alue r epresen t ing a b a lanced s tra tegy b e tween c ar a nd r a i l . F ig . 4 .4 s hows t he c ase when 2.a nd 3.a re b o th h igh .
There a re n ow t wo
o pt i mu m v a lues f or x — o ne h igh ( r epresen t ing t he r apid i ty o f r a i l t ravel , d espi te i t s g rea ter c os t ) a nd o ne l ow ( represen t ing t he r e la t ive c heapness o f c ar t rave l , d espi te t he g rea ter t ime r equ ired ) . A t t h is p oin t we c an a ppea l t o Tho m 's t heore m a nd s ta te t ha t i ft here a re s ingu lar i t ies , a nd g iven c er ta in f ur ther a ssump t ions o f a ma the ma t ica l n a ture , t hen t he mos t c o mp l ica ted f or m t he c on f igura t ion c an t ake i s t ha t o ft he c usp c a tas trophe ( Fig . 3 ) . We a re n ow i n ap os i t ion t o g rasp t he c o mp le te a na to my o f t he s i tua t ion . The s ur face s een i n F ig . 3r epresen ts t he v a lues o f xf or wh ich t he f unct ion
i s a max i mum — i ts hows t he v a lue o f x( f or t he g iven v a lues o f Ea nd a) r epresen t ing a n o p t im is ing s tra tegy i nt er ms o f b oth t he v ar iab les . I tt here-
f ore r epresen ts t he v a lues o f xf or wh ich t he s ys te m i s i n e qu i l ibr iu m .
S o
a s 2a nd a c hange , ( f or i ns tance a long t he t ra jec tory t imes t 1 t o t3 r epresen ted b y p o in ts 1 t o 3 ) s o d oes t he o p t i ma l v a lue o f xa nd h ence t he b ehav iour o f t he i nd iv idua l c oncerned . I f , f or e xa mple , a.i s i n i tia l ly h igh a nd n l ow , c ar t rave l b eing c heaper a nd f as ter t han r a i l , t hen t he i nd iv idua l w i l l wherever p oss ib le t rave l b y c ar , a nd x i s l ow ( po in t I ) . I fp e tro l c os ts r ise , r educ ing h e may b a lance h is s tra tegy ( p oin t 2 ) . B u t t hen r a i l t ravel i s improved a nd b eco mes f as ter ( p oin t 3 ) .
A t t 4 ,h owever t he c os t o f r a i l t rave l i s i ncreased a nd t he s ur face i s
t wo-va lued i n xf or t he g iven v a lues o f a nd a. Probab ly , b eing a ccus to med t o r a i l t rave l , o ur i nd iv idua l w i l l c on t inue t o p re fer t h is , u n t i l a n i ncrease i n c ar s peeds ( decrease o f 2 )b r ings h im t o p oin t 5 a . By n ow t he a t trac t iveness o f r ai l h as c o mple te ly waned — i ti s d earer a nd i ti s n ow n o f as ter — s o a t t h is p oin t h e makes t he c onsc ious a nd f i rm d ecis ion t o t ravel b y c ar . The s w i tch a t t h is p o in t i s ad iscon t inuous o ne , a nd t he p oin t o nt he s ur face moves f rom 5 a ( h igh .2) t o 5 b ( l ow a) . The i nd iv idua l h as n ow s w i tched h is s tra tegy , p erceiv ing t ha t t he b ene f i ts a re n ow i n f avour o f c ar t rave l .
1 00
I fr a i l s peed r e la t ive t o c ar s hou ld a ga in r ise ( 2.r is ing ) h e w i l l t end t o s t ick t o h is e x is t ing s tra tegy u n t i l p o in t 6 a i s r eached , when t he p ropos i t ion o f t rave l l ing b y c ar i s n o l onger a t trac t ive :
h e t hen s w i tches t o r ai l ( 6 b ).
We s ha l l r e turn b elow t o t he q ues t ion o f t ranspor t c ho ice ( see a lso F erguson , 1 976 , Wi lson , 1 976) , b u t f irs t i ts hou ld b e s tressed t ha t t he a bove d escr ip t ion o f b i moda l c ho ice i s o f v ery g rea t g enera l i ty .
I n g enera l , i fxr epresen ts t he
c hoice o r mix b e tween t wo p oss ible c ourses o f a c t ion , a nd 2.a nd a a re c on f lic ting c on tro l v ar iab les , e ach a c t ing t o c oun ter t he e f fec ts o f t he o ther , t he c onf igura t ion w i l l b e p recise ly a s d escr ibed h ere . Af ur ther e xa mp le i s o f fered b y Z ee man 's d og ( Zee man , 1 976 ) whose b ehav iour modes a re a t tack a nd f l igh t , a l though t he c on tro l v ar iables , f ear a nd a nger wou ld s ee m d i f f icu l t t o o bserve i ndependen t ly . I ts hou ld b e n o ted t ha t t he t wo c on tro l v ar iab les s hou ld b e i ndependen t , i n o rder t o p roduce t he c usp . I fo ne v ar iab le s imp ly r epresen ted c os ts o f a l tern a t ive A a nd t he o ther c os ts o f a l terna t ive B , t ha t wou ld amoun t t o as ing le c on tro l v ar iable , f or i ns tance ( A-B ) o r A/B , a nd o ne c ou ld s i mply s ta te t hat xv ary p ropor t iona te ly w i th ( A-B ) , o r f or c o mp le te b i moda l i ty t ha t x 1 when A>B , a nd x = 1 when A < B , y ie ld ing a s tep f unc t ion . An a l terna t ive way o f d e fin ing t he c on tro l v ar iab les i s t o d e f ine a n or ma l f ac tor ( L Io n F ig . 3 ) a nd a s pl it ting f ac tor ( s _o n F ig . 3 ) wh ich i n t h is c ase c ou ld b e r egarded a s e qu iva len t t o t he v ec tor s ums ( 9. 2 ) a nd ( a+2 ) r espec t ive ly. g enera l t he n or ma l f ac tor r epresen ts t he f orces t end ing t o p ush t he s ta te
I n
v ar iab le t o o ne e x tre me o r t he o ther , wh i le t he s p l i t t ing f ac tor d e ter m ines whe ther t he c hange i s smoo th , o n t he s ing le s hee ted p ar t o f t he s ur face ( l ow 2 ) o r d iscon t inuous , o n t he d oub le s hee ted p ar t o f t he s ur face ( h igh
) .
Ag ood e xa mp le o f ac usp s ur face r epresen t ing b i moda l b ehav iour i s a f forded b y E u ler b uck l ing ( Zee man , 1 976 ) , a nd h ere t he f orce a c ting t ransverse t o t he b eam i s t he n or ma l f ac tor , t end ing t o make i tg o e i ther u p o r d own , wh i le t he c o mpress ion o n t he b ea m i s t he s pl i t t ing f ac tor , e nhanc ing t he s tabi l i ty o f e qu i l ibr ium wh ichever p os i t ion i ti s i n a nd r es is t ing c hange . We c an t ake a d i f feren t a nd i n for ma t ive p a ir o f c on tro l v ar iables g overn ing ab imoda l c ho ice t o i l lus tra te n or ma l a nd s p l i t t ing f ac tors r a ther t han c onf l ic t ing f ac tors . We t ake x o nce a ga in a s t he s ta te v ar iable r epresen t ing a t woway s tra tegy mix , f or i ns tance t he n umber o f g as a nd e lec tr ica l a ppl iances i n u se i nt he h ouse o f t he i nd iv idua l . C hange t o an ew v a lue o f xi s i nduced b y c hange i nt he n or ma l f ac tor n wh ich measures t he e cono m ic b ene f i ts a r is ing f ro m t he i nnova t ion . T he s p l i t t ing f actor s r epresen ts t he i ns ta l la t ion c os ts o f t he i nnova t ion , o r t he l ack o f c api ta l f or i nve s t men t . T he a rgumen t f ol lows much a s b efore . I f si s l ow , c hange i n nw i l l b e a cco mpan ied smoo th ly b y c hange i nx , a nd t he h ouseho lder w i l l s h i f t f ro m e lec tr ici ty t o g as a nd b ack w i th n o d i f f icu l ty o r d e lay . B u t i f si s h igh , r ep resen t ing t he h igh c os t f or c hang ing t he c en tra l h ea t ing ( f or e xa mple ) f ro m g as t o e lectr ic , o r v ice v ersa , t hen we s ha l l b e o ver t he t wo-shee ted p ar t o f t he c usp ( s ee R en frew , 1 978 ) . As t he r unn ing c os ts o f e lec tr ic i ns ta l la t ions b eco me p rogress ive ly l ower , t here w i l l b e as udden d iscon t inuous s wi tch a s t he i nd iv idua l p rev ious ly u s ing g as p redo m inan t ly s w i tches t o e lec tr ic i ty f or a l l b u t av ery f ew a pp liances .
1 01
The c usp ( Fig . 3 ) s hows a n umber o f v ery i n teres ting p roper ties . Tha t o f d iscon t inu i ty h as a lready b een d iscussed . H ys teres is ( F ig . 5 ) i s t he p heno menon whereby t he ' j ump ' d oes n o t t ake p lace f or t he s a me v a lue o f n , t he n or ma l f ac tor , when t he j ump i s f ro m t he u pper t o t he l ower s hee t o f t he s ur face a s when i ti s i nt he o ther d irec t ion .
F o l low ing t he P er fec t D e lay
Ru le ( s ee Amson , 1 975 :182 , I snard a nd Z ee man , 1 976:49 ) , t he s ys te m a c ts s o a s l oca l ly t o o p t im ise u t i l i ty : s o l ong a s t here i s a max i mu m v a lue f or x , t he s ta te w i l l n o t j u mp d iscon t inuous ly . I n o ther words , a l though t here i s a no ther , more d is tan t v a lue o f xw i th a max i mum wh ich wou ld a c tua l ly g ive ag rea ter v a lue o f j , t he u t i l i ty f unc t ion , n o j ump w i l l o ccur u n ti l t he f o ld i n t he s hee t i s r eached , a nd t he l oca l max i mum f or t he p resen t v a lue o f xe n t ire ly d isappears . An a l terna t ive b ehav iour i s d escr ibed a s Maxwel l 's C onven t ion ( Amson , i b id ., I snard a nd Z ee man , i b id .) , whereby t he v a lue o f x moves a t o nce o nce t o g ive t he g loba l max i mum ( t he d ot ted l i ne i n F ig . 5 ) r a ther t han o p tim is ing l oca l ly u n t i l t he l oca l max i mum d isappears . O ther f ea tures h ave b een wel l d escr ibed b y Z ee man ( 1 976 ) a nd b y Amson ( 1 975 , F ig . 8 ) . B imoda l C ho ice a nd Group B ehav iour S o f ar we h ave c ons idered t he f or m wh ich i nd iv idua l c ho ice f o l lows , i n t he f ace o f t wo a l terna t ives .
I td oes i ndeed a ppear t o b e t he c ase t ha t i ndiv idua ls
g enera l ly s how h ys teres is i nt he e xercise o f b imoda l c ho ice , s t ick ing t o wha t i s k nown r a ther t han f o l low ing Maxwel l 's C onven t ion a nd mov ing a t o nce t o a n ew g loba l o p t i mum .
One r eason , o f c ourse , i s t ha t t he i ndividua l c an r are ly
b e s ure t ha t h e h as a n u nobs truc ted a nd u nd is tor ted v iew o f t he c ompet ing max ima . I np rac t ice embark ing o n an ew c ourse o f a c t ion ( wi th d iscon t inuous c hange i nx , t he s ta te v ar iab le ) may we l l e n ta i l t ak ing r isks . Iwou ld a rgue t ha t t he n ot ion o f ' r isk ' i s e qu iva len t , i n t he f ra mework o f t he p resen t mode l , t o ' imper fec t v iew o f c o mpe t ing u ti li ty max i ma '.
The l onger t er m ino logy may
n o t a t f irs t s igh t s ee m a n improve men t — b u t i ti s b ecause i tb r ings t he e n t ire d iscuss ion i n to r e la t ion w i th t he u n i fying c oncep t , t he c usp . A s econd r eason i s s i mp ly t he d i f f icu l ty o f t each ing a n o ld d og n ew t r icks . We h ave s poken o f i ns ta l la t ion c os ts a s as pl i t t ing f actor , d e laying i nnova t ion a nd i nduc ing d iscon t inuous b ehav iour . T here i s ad irec t p sycho log ica l a na logy h ere , where t he t ime a nd men ta l e nergy i nvo lved i n mas ter ing a n ew p rocess i s t he d irec t a na logue o f i ns ta l la t ion c os t .
I ti s e as ier n o t t o c hange " un less
y ou h ave t o" — i .e. t o f o l low a s tra tegy o f l oca l o p tim isa t ion . B ecke t t p u ts i t" L 'hab i tude e s t u ne g rande s ourdine" .
As S a mue l
I ti s my c on ten t ion t ha t mos t i nnova t ions i nvo lve , a t l eas t i n i t ia l ly , l i t t le more t han n ew ways o f d oing o ld t h ings . E ven me ta l lurgy s ee ms t o h ave s tar ted i n mos t a reas w i th t echn iques more s u i ted t o t he work ing o f s tone ( dr i l l ing a nd c o ld-work ing b e fore a nnea l ing ) , a nd w i th p roduc ts ( t h ick c opper a xes r ese mb l ing s tone o nes , a nd sma l l d ecora t ive o b jec ts ) s i mp ly r ep lacing e x is t ing g oods . morphs .
T he f irs t p roduc ts o f a ny n ew ma ter ia l a re g enera l ly s keu-
I tf o l lows t hen t ha t t he i n i t ia l d ec is ions i nvo lved i n t he a cceptance
o f i nven t ion were whe ther o r n o t t o c arry o u t ap ar ticu lar p rocess o r p roduce ap ar t icu lar o b jec t , i n t he n ew way ( w i th n ew ma ter ia l ) o r i n t he o ld way. A l l i nnova t ion t herefore i nvo lves b i moda l c ho ice i n t he f irs t i ns tance .
On ly
l a ter d o t echn ica l d eve lop men ts amp l i fy t he e x is t ing d ivergence s o t ha t imp or tan t i nnova t ions a re s een a s n ew p roduc ts a nd n ew t echno log ies i n t heir own r igh t . S even ty y ears a go a n a u to mobi le was s i mp ly a ' horse less c arr iage ' , 1 02
J c
1
ni
F ig. 5
n2
n3
The h ysteres is e f fect. Change i n t he b ehav iour v ar iable x a ga inst t hat o f t he n or ma l f actor n ( f or a c onstan tp os it ive v a lue o f t he s p l itt ing f actor s ) .
The P erfect De lay Ru le g ives a h ysteres is
e ffect , wh ile Maxwel l 's Conven t ion ( represen ted b y t he b roken l ine i n t he c entre ) d oes n ot .
1 03
a nd a r ad io a ' w ire less ' t e legraph ;
t he ' t a lk ie ' emerged f ro m t he ' mov ie ' ,
a nd t he mov ing p ic ture f ro m t he k ine toscope . An i nd iv idua l c an c hange b ehav iour mode e i ther a s s oon a s t he n ew max imum i s g loba l ly more a t trac t ive t han t he o ld ( Maxwe l l 's C onven t ion ) , o r a t t he l as t mo men t , when t he o ld max i mum d isappears ( Per fec t D e lay Ru le ) , o r s o mewhere i nb e tween ( Imper fec t D e lay ). T here i s n o way h e c an c hange e ar l ier t han t he f irs t o f t hese , o r l a ter t han t he s econd , w i thou t f a i l ing t o max im ise u t i l i ty e ven l oca l ly .
T he Imper fec t De lay c onven t ion i s d iscussed b y Amson ( 1 975:197 ) ,
a nd s evera l p rocedures a re i nf ac t p oss ib le . One i s t ha t t here s hou ld b e a c er ta in t hresho ld v a lue , a nd o nce t he g loba l max i mum e xceeds t he l oca l max imum b y more t han t ha t v a lue , c hange w i l l o ccur e ven t hough t he l oca l max imu m h as n o t y e t d isappeared . N ow l e t u s c onsider a g roup o f i nd iv idua ls whose p as t h is tory h as b een much t he s a me , a nd who a re s ta t ioned a t a pprox i ma tely t he s a me p oin t o n t he c usp s ur face . F or t he mo men t l e t u s i mag ine t he m a l l f o l low ing t he P erf ec t D e lay Ru le .
F irs t i ft hey a re p er fec t ly h o mogeneous — i den t ica l t o o ne
a no ther — a nd s ub jec t t o t he s a me i n f luences , t hey w i l l a l l c hange a t o nce , e ven t hough t he b ehav iour o f o ne d oes n o t a f fec t t he b ehav iour o f a no ther . S econd ly , i ft here i s n ow s o me v ar ia t ion i n t he ir b ehav iour , s o me d ispersa l i nt he ir p os i t ion , t hey w i l l n o t c o me t oge ther t o t he e dge o f t he f o ld o f t he c usp , a nd t hey w i l l n o t a l l c hange t oge ther . T he o vera l l e f fec t w i l l t hen b e af uzzing o u t o f t he d iscon t inu i ty . Bu t i nt he t h ird c ase , i ft he ir b ehav iour i s n ow i n s o me way c oup led , w i th p os i t ive f eedback b etween i nd iv idua ls , s o t ha t t he a c t ion o f o ne a f fec ts t ha t o f o thers , t hey may w e l l move t oge ther a l though n o t t he mse lves p er fec t ly h o mogeneous . 1 .
H o mogeneous I nd iv idua ls ( No C oupl ing ) An e legan t e xa mp le o f s uch b ehav iour i s a f forded b y t he g row th a nd d ec l ine
o f t he r a i lroad s ys te m i nt he Un i ted S ta tes . I ti s o ne o f t he c leares t e xa mples Ih ave f ound o f c a tas troph ic b ehav iour i nvo lv ing b i moda l c ho ice . I nt he ir d iscuss ion o f e xponen t ia l g row th a nd e xponen t ia l d ec l ine , Ha mb l in , J acobsen a nd M i l ler ( 1 973:92 ) g raph ica l ly i l lus tra te t he r ise a nd d ec l ine i n t he u se o f t he h orse i n t he U .S . ( F ig . 6 ) . A l though t hey l ink t he p oin ts w i th s tra igh t l ine s egmen ts , s upposed ly d escr ib ing ' exponen t ia l e pochs ' ( s ince t he v er t ica l s ca le i s l ogar i th m ic ) , a smoo th c urve migh t d o a s wel l . We may i mag ine t h is a s d escr ibed b y t he e qua t ion N = et , where k i s a lso a v ar iab le a nd c hanges smoo th ly a nd g radua l ly f ro m a p os i t ive v a lue i n 1 870 t o z ero a round 1 920 t o as ubsequen t n ega t ive v a lue . I f we f i t t h is o n to o ur p ic ture o f t he c usp c a tas trophe , w i th t he e xponen t ka s t he s ta te v ar iab le ( represen ted b y xi nf ig . 3 ) t hen s o me n orma l f actor i s d ec l in ing wh i le t he s p l i t t ing f ac tor i s c ons tan t a t z ero . I n e f fec t we a re s ay ing t ha t t he e xponen t ki s af unc t ion o f t : k =f e j I ndeed a pprox i ma tely k = 1 - m.t ( where 1 a nd m a re c ons tan ts n o t v arying w i th t ime ) . S o f ar t h is h as n o th ing t o d o w i th t he b imoda l b ehav iour o f t he c usp c a tas trophe : o f t he c usp .
i tc an a dequa te ly b e s hown o n t he s ing le-shee ted s ur face
1 04
N umbe r o f h o rses a nd m u les
Y ear
F ig. 6
Gradua l c hange i nt ract ion s trategy ( m i les o n al ogar ith m ic s ca le ). A f ter Ha mb l in , J acobsen a nd Mi l ler ( 1973 ).
The c urve i s e ssen-
t i a l ly a smoo th o ne , a rt if ic ia l ly a nd n eed lessly r epresen ted i n s tra igh t l ine s egmen ts.
1 05
But turning now to Fig. 7 we see very different behaviour. Hamblin et al. (1973:94) have drawn straight lines as shown, indicating that the ex ponent!,, which is equivalent to the slope of the lines, when the ordinate is plotted on a logarithmic scale, is switching from a high positive value (18901920) to a high negative value (1920-1932), to a high positive again (1932;1942) further increasing from 1942 to 1947, with a catastrophic switch to a strong negative value from 1947 to the present. Very reasonably they relate these changes to competition between rail and car: "The 1917-1925 period also ushered in a new epoch in automobile use, an epoch in which the automobile became the dominant mode of transportation, apparently because of its improved reliability and lasting qualities and its differential convenience and privacy" (ibid., 95). Reversal from 1930 to 1942, with increase in railroad miles ''probably occured because many people simply could not afford the luxury of automobiles during the depression" (loc. cit.). That trend was accentuated during World War II, and reversed in 1947, with increase in automobile mileage an� decrease in rail mileage. We can now use the cusp with� as the state variable to give behaviour closely analogous to that described in the last section, and for precisely the same reasons, with the same control variables. Sudden switches in the value of� (the slope of the lines in Fig. 7) arise with gradual change in the control variables. We are seeing here, therefore, the operation of bimodal choice en masse. The constraints are acting equally upon the great bulk of the population, and are reflected in mass decisions. Many further examples could no doubt be found of such behaviour, not only in the field of transportation choice, but in advertising and commercial marketing, where sudden switches in consumer shopping behaviour can follow relatively modest changes in pricing. It should be noted tp.at in this example only the switch in 1942, soon after the American entry into the War, was subjected to direct external constraint through ration ing of petrol and tyres. We c;1nnot document any prehistoric strategy switches as clearly as this example, but effects of this kind, of purely local origin, may well underlie the sudden expansion of metallurgy in several regions in the early bronze age, or indeed the emergence of farming over a fairly wide area of the Near East after more than a million years of hunting and gathering. 2.
Inhomogeneous Individuals (No Coupling)
If we now consider a group of individuals who are not perfectly homogeneous, although they have been subject to the same constraints (the same control vari ables) each will have his own utility function close but not identical with that seen in Fig. 3. For a given point (£, g) in the control plane there will be a whole series of values of_!, perhaps normally distributed with a mean value � on the surface seen in Fig. 3. We are dealing now with a congeries of sur faces lying close to that seen in Fig. 3, but not identical to it. If each individual follows the Perfect Delay convention, he will stay on the upper surface of his particular sheet as the control variables alter in such a way as to bring him to the fold and he will then switch to the lower surface. The effect, I assert, which will be similar to the case where the entire 106
1 00 9 0 8 0
c 0
6 0
E
5 0
p assenger
a )
40
3 0
1 0 1 890
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F ig. 7
Catastroph ic j umps i n t rave l s trategy , r esu l t ing f rom b i moda l c ho ice b etween r oad a nd r a il t ravel u nder v ary ing c ond it ions o f c ost a nd c onven ience.
( Ra i lroad mi les o n al ogar ith m ic s ca le.)
S udden c hanges o f s lope r epresen t s udden c hanges o f t he e xponen t. A f ter Ha mb l in , J acobsen a nd M i l ler ( 1973 ).
1 07
p opu la t ion o f p o in ts l i es o nt he s hee t s een i n F ig . 3 , b u t s hows a s l igh t f luct ua t ion i nt he e f fec t ive o pera t ion u pon e ach o f t he c on tro l v ar iables ( 2 ,a ) , d is tr ibu ted n or ma l ly a bou t t he mean i nd iv idua l w i th v a lues ( 2 ' ,a ? ). The p a t tern o f c hange w i l l n o t t hen b e t he s udden s w i tch ( seen d o t ted i n F ig . 8 ) , wh ich a s ing le i nd iv idua l w i l l s t i l l s how , b u t ac umu la t ive e f fec t wh ich c orresp onds c lose ly w i th t he ' adop t ion c urves ' s hown i n works d ea l ing w i th i nnova t ion ( Rogers , 1 962 :109 ). I f we s how t h is i ns tead , i n F ig . 9w i th r a te o f c hange o n t he o rd ina te , we s ha l l s imp ly o bta in a n a pprox i ma t ion t o t he n orma l d is tr ibu t ion . Th is c an b e a rb i trar i ly d iv ided i n to t he " innova tors" , " ear ly a dopters" , " ear ly ma jor i ty" , " la te ma jor i ty" , " laggards" a nd " non-adop ters" , o f t he c onven t iona l t rea t ises o n i nnova t ion ( Rogers , 1 962 :110 ) . We c an s how , t here fore , t ha t s uch a p a t tern i s p red ic ted o n t he b as is s i mp ly o f a measure o f i nho mogene i ty i n t he p opu la t ion .
The e f fec t wou ld b e
a ccen tua ted i ft he i nho mogenei ty e x tended t o t he d e lay c onven t ion f o l lowed : i n s uch c ases t hose f o l low ing Maxwe l l 's C onven t ion wou ld b e t er med " innova tors" , a nd t hose f o l low ing t he P er fec t D e lay Ru le " laggards" . I ts hou ld b e n o ted h owever , t ha t i nd iv idua ls d o n ot make d ecis ions a bou t i nnova t ion i n i so la t ion , b u t a re s trong ly a f fec ted b y t he ir n e ighbours a nd p eers , s o t ha t t here i s a measure o f c oherence .
T he e f fec t o f t h is i s t o r educe t he
s pread a nd p ro mo te b unch ing . 3 .
C oherence :
C oup ling B e tween I nd iv idua ls
H uman o rgan isa t ions — g overnmen ts , b us iness f ir ms , s ocie t ies — b ehave i n c er ta in ways l i ke i nd iv idua ls . T he a na logy c an b e a mis lead ing o ne , f or i ns tance when t a lk ing a bou t t he ' b ir th ' a nd ' dea th ' o f ac iv i l isa t ion . Yet a s c oncerns d ec is ion mak ing i th as a c er ta in u se fu lness .
F or i ti s ( or u sed t o b e )
t he b as is o f g ood g overnmen t , e nshr ined i nt he p r incip le o f c abine t r espons ib i l i ty , t ha t t he p ros a nd c ons o f ad ec is ion a re d eba ted a t l eng th , a f ter wh ich ad ec is ion i s t aken , o f ten b y ma jor i ty v o te . T he d ec is ion i s t hen a dop ted a s ' po l icy ' , a nd a l l p ar ty o r g overne m t me mbers , i nclud ing t hose who o pposed i t war m ly a t ap rev ious s tage , a re n ow e xpec ted t o s uppor t i t , o r a t l eas t r efra in f ro m o ppos i t ion . The o bserved b ehav iour i s t hus p er fec t ly b i moda l , a nd t he f uzzing s een i nt he b ehav iour o f i nho mogeneous i nd iv idua ls w i thou t c oupl ing d oes n ot a ppear .
I ti s t he f eedbacks w i th in t he o rgan isa t ion wh ich g ive i t
t h is p roper ty o f c oherence , o f b ehav ing " as o f o ne v o ice" l ike a n i nd iv idua l , a l though i nf ac t c o mposed o f many . The b ehav iour o f s uch o rgan isa t ions c an b e mode l led b y t he c usp c atas trophe , a nd i ndeed more c o mp l ica ted b ehav iour , i nc lud ing c o mpro m ise , h as b een a pproached b y I snard a nd Z ee man ( 1 976 ) i nt erms o f t he b ut ter f ly c a tas trophe . The s a me s ta te v ar iable a nd c on tro l v ar iab les , s een i n F ig . 3 , a re a ppropr ia te . The s tra tegy mix imp l ied b y xw i l l n ow r epresen t c o mpany p o l icy f or t he t rave l o f i t s emp loyees r a ther t han t he d ec is ion o f as ing le i nd iv idua l . When we a re s peak ing o f i nnova t ion , t he a rgumen t i s a ga in much a s s et o u t a bove , w i th n , t he n or ma l f ac tor , r epresen t ing t he a dvan tages o f c hange , f or i ns tance i n r educed r unn ing c os t , a nd s , t he s p l i t t ing f ac tor , t he c api ta l ( i ns ta l la t ion ) c os ts o f c hangeover . T he b eh av iour o f l arge o rgan isa t ions d oes i ndeed s how d iscon t inu i ty a nd h ys teres is , a s ac ons idera t ion o f t he C oncorde 1 08
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p ro jec t w i l l amply d ocumen t .
A t t he t ime o f wr i t ing t he Br i t ish a nd French
g overnmen ts , f ol lowing t he P er fec t D elay r u le ( l oca l o p t im isa t ion ) mus t n ow b e a pproach ing t he f o ld o f t he c usp , a t wh ich f ur ther p roduct ion o f t he u nf or tuna te a ircra f t w i l l b e s topped .
H ad t hey f o l lowed Maxwel l 's C onven t ion
( g loba l o p t im isa t ion ) , t he p ro jec t wou ld h ave b een s crapped a s s oon a s i t b eca me c lear t ha t i t was c er ta in t o l ose money . I n t h is c ase we a re s peak ing o f ad ecis ion o r ' i nnova t ion ' t o s top p roduc ing a p roduc t , b u t t he a na to my o f t he s i tua t ion i s n o d i f feren t when we a re c ons ider ing a p os i t ive d ecis ion t o s h i f t f ro m h ydrocarbon t o a to m ic-powered e lec tr ici ty g enera t ion , o r t o c o mp u ter ise a ccoun t ing . C oheren t g roup b ehav iour i s mode l led a s e f fec t ive ly b y t he c usp c a tas trophe a s i s t ha t o f t he i nd iv idua l .
T he a na logy i s i mportan t , y e t i ti s e qua l ly im-
p or tan t t o s ee t ha t i ti s s imply a n a na logy .
G roup b ehav iour i s n o t t he s ame
a s i nd iv idua l b ehav iour : b y u s ing t he s a me mode l t o d escr ibe i tw e a re f ocus ing o n t hose a spec ts wh ich a re a na logous . Why t he s a me mode l i s a pp ropr ia te t o e ach i s a more s ubt le a nd l ess o bv ious p rob le m t han i t may a t f irs t s ee m . An E xamp le :
t he I ncep t ion o f Me ta l lurgy i n E urope
T he f orego ing d iscuss ion o f fers u s af ramework w i th in which t o a pproach s evera l s peci f ic a nd ma jor i nnova t ions i n t he p reh is tor ic p er iod , o f wh ich t he i ncep t ion o f me tal lurgy i n s ou th-eas t E urope w i l l b e c ons idered h ere . Th is h as t radi t iona l ly b een a dvanced a s ac lass ic c ase o f t he d i ffus ion o f c u l ture ( Ch i lde 1 957 ) .
The r ecogn i t ion o f an umber o f r ela t ive ly c o mp lex f ea tures
i nc lud ing t erracot ta s cu lp tures a nd c opper o b jec ts a t s i tes s uch a s V in a l ed t o c o mpar ison w i th c o mparab ly c o mp lex t ra i ts a t s i tes t o t he s ou th a nd e as t s uch a s Troy .
The c hrono log ica l a rgumen ts f or b e l iev ing t he B a lkan f inds ,
s uch a s t hose o f V inda , t o b e i ndependen t o f t he A egean e ar ly b ronze a ge h ave b een a dvanced e lsewhere ( Ren frew , 1 969 ). S o f ar t he d iscussion h as b een p o lar ised b e tween t hose who f o l low t he v iew o f Wer th : f ie ( 1964 ) , q uo ted a bove o np . 9 2 ,
t ha t me ta l lurgy was i nven ted o n ly o nce , a nd t hose who a rgue f or
an umber o f i ndependen t me ta l lurg ica l c en tres , i n t he N ear E as t , i n t he B a lkans , p erhaps i n I ber ia ( Ren frew 1 967) a nd o f c ourse i n s ou th-eas t As ia a s we l l a s i n t he Amer icas .
I ns tead , h owever , we c an b eg in t o d iscern t ha t
i t was n o t t he i nven t ion o f t he r e levan t t echn iques n or t heir d isse m ina t ion i n s pace , b u t t heir a dop t ion i n t he c u l tura l c on tex t i n q ues t ion wh ich was t he f unda men ta l c ore o f t he i nnova t ion p rocess .
Moreover i tb eco mes c lear t ha t
ar e la t ive ly s udden a dop t ion i s i n s o me c ircums tances t o b e e xpec ted . I n s evera l a reas o f t he O ld Wor ld a n i n teres t ing p at tern may b e d iscerned , where many o f t he e ssen t ia l meta l lurg ica l p rocesses were k nown a t a n e ar ly d a te , a s o ccas iona l f inds o f c opper o b jec ts t es ti fy . Y e t t he k now ledge , t he i nven t ion , was n o t w ide ly e xp lo i ted a t t h is t ime : i n t he B a lkans , i n Ana to l ia , i n Mesopo ta m ia , i n I ran a nd i n Egyp t we h ave , a t d i f feren t d a tes , t he s a me p a t tern o f a n e ar ly k now ledge o f c opper ( t he i nven tion ) a nd o n ly l a ter a r a ther s udden e xpans ion o f a meta l lurg ica l i ndus try ( t he a dop t ion ) . I nt he B a lkans , f or i ns tance , ac opper a wl 1 4.3 cms i n l eng th a nd made o f n a t ive c opper h as b een f ound a t B a lo m ir i n T ransylvan ia b elong ing t o t he e nd o f t he Kdrt is c u l ture a nd h ence e ar l ier t han 5 000 B . C . o n ac a l ibra ted c hronol ogy ( Bognär-Ku tziln , 1 976 ).
I nt he s ucceeding midd le n eol i th ic , a round 1 10
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5 000 B .C ., c opper b eads a re f ound i n t he C ern ica c e me tery o f t he R o man ian B oian c u l ture ( Can tacuzino a nd Mor in tz , 1 963 ) , a nd a who le s er ies o f b eads , awls , c h ise ls a nd f ish-hooks a re f ound i n t he l a te n eo l i th ic o f t he B a lkans p r ior t o 4 500 B .C . Bu t i ti s o n ly w i th t he b eg inn ing o f t he s o-ca l led c opper a ge o f t he B a lkans t ha t me ta l o b jec ts a ppear i n g rea t a bundance , i nc luding s o l id h a m mer a xes w i th t he ir c ase-in s ha f t h o les ( Char les , 1 967 ). One o f t hese was f ound a t C ho tn i tsa i n Bu lgar ia i n aG ume ln i tsa c u l ture c on tex t ( Ange lov , 1 958 :403 ) . I ti s a t t h is t ime t ha t t he K arbuna h oard w i th i t s 4 44 c opper o b jec ts may b e p laced ( Sergeev , 1 963 ) . The f ind o f sma l l g old o rnamen ts a t C ho tn i tsa s hou ld a lso b e n o ted . T he r e la t ive c hrono logy o f t hese f inds h as b een we l l d iscussed b y B ognär-Ku tz gn ( 1972 :210-11) . I ft he e ar ly c opper a ge s ees a v ery marked d eve lop men t i n t he me ta l lurg ica l i ndus try , t he l a te c opper a ge , c . 4 300 t o 3 700 B .C . s ees i t s f loru i t . By t h is t ime c opper mines were work ing a t Rudna G lava i n J ugos lav ia ( J ovanov i6 , 1 971) a nd a t A ibunar i n Bu lgar ia . S evera l h oards o f a xe-ha mmers a nd c h isels h ave b een f ound a t P lodn ik i n J ugos lav ia .
Mos t i n teres ting o f a l l a re t he c e me ter ies
a t D evn ja , G o l ja mo D e l tchevo a nd V arna i n Bu lgar ia . A t Varna a r e markab le s er ies o f g o ld o b jects h as b een f ound ( c f . G imbu tas , 1 977 ) , a nd t he s i te r iva ls Troy i n impor tance , t he f inds b eing p erhaps a mi l lenn iu m e ar l ier t han t he t reasures o f Troy I . The p oin t h ere , t hen , i s t ha t me ta l lurgy b egan i n a modes t way a t a n e ar ly d a te i nt he B a lkans , w i th t he c o ld work ing a nd l a ter t he a nnea l ing o f n a t ive c opper .
On ly s o meth ing l i ke a mi l lenn ium l a ter was c as ting u nder taken , b u t
e ven t he i nven t ion o f c as t ing d id n o t a t o nce p roduce a g rea t u psurge i n me ta ll ug ica l p roduc t ion . Tha t u psurge c a me , h owever , a nd i t was a ssoc ia ted b o th w i th n ew f or ms o f u se fu l t ools ( t he h a m mer-axes a nd a xe-adzes ) a nd w i th a s er ies o f n ew p res tige i t e ms . S ign i f ican t ly more t han o ne meta l was i nvo lved ; f or g o ld a lso p layed a n impor tan t p ar t . A l l o f t h is s ugges ts t ha t wha t n eeds a na lys ing i n e ach a rea i s t he r ole wh ich me ta l o b jec ts p layed i n t he s oc ie ty b e fore , d ur ing a nd a f ter t he p hase o f w ides pread a dopt ion . I ff or h eur is t ic p urposes , t he c usp c a tas trophe b e s elec ted a s a mode l s u i tab le f or c ases where b i moda l c ho ice may b e i nvo lved , t hen t he n orma l f ac tor w i l l b e s o me measure o f a dvan tage i nt he u se o f me ta l o b jec ts . Advan tage h ere imp l ies e f f ic iency i n u se , a nd t akes i n to a ccoun t b o th r unn ing c os t a nd e f fec t iveness .
The s pl i t ting f ac tor i s s o me measure o f t he i nves t-
men t c os t i nvo lved i np roduc ing o r u s ing me ta l o b jec ts . T he v a lue o f t he c usp c on f igura t ion i s t ha t i ts hows u s h ow g radua l c hanges i n t hese f ac tors c an b r ing a bou t as udden s h i f t i nt he b ehav iour x o f t he i nd iv idua l o r t he g roup i n r ela t ion t o t he u se o r n on-use o f me ta l o b jec ts . I ta l lows u s t o f ocus o na dopt ion , t he b as ic t echn iques ( t he i nven t ion ) b eing a va i lab le much e ar l ier w i thou t p ro mo t ing a ny l arge-sca le i ndus try . The w ides pread a dopt ion o f me ta lwork ing was r e la t ive ly s udden when i tc a me , a l though F ig . 9r em inds u s t ha t i t was n o t i ns tan taneous .
C once ivably i t may a lso h ave
b een r evers ible , l i ke t he c hanges i nt ranspor t b ehav iour i l lus tra ted a bove ( F ig . 7 ) , a l though i n mos t c ases , a s d iscussed b e low , t he a dopt ion o f meta ll urgy r anks a s a n i rrevers ib le " revo lu t ionary" c hange . Bu t i n f ac t b y 3 000 B .C . me ta l lurgy h ad b eco me v ery much r arer o r e ven e x t inc t i n t he B a lkans , a nd d id n o t f lour ish a ga in u n t i l t he d eve loped e ar ly Bronze Age o f t he a rea s o me c en tur ies l a ter . 1 12
N o i nvoca t ion o f t he c usp c a tas trophe w i l l , i n i tsel f , r esu l t i n as u i table a na lys is o f t he s oc ia l a nd e cono m ic c on tex t o f e ar ly me ta l lurgy , b u t i td oes o f fer a f ra mework . C lear ly n ew i nven t ions c an h ave t he e f fec t o f r educing t he c ap i ta l c os ts o f e x is t ing p roduc t ion , s o t ha t i nf avourable c ases n ewly i nven ted t echn iques , whe ther o r ig ina t ing i ns ide o r o u ts ide t he s oc ie ty , c an h ave i ns tan t e f fec ts : i ti s n o t n ecessary t o t hink o f t he c usp i n s uch c ases . Bu t more s ign i f ican t w i l l b e c hanges i n ' advan tage ' i n u sing meta l o b jec ts . And a dvan tage i nc ludes n o t o n ly p rac t ica l e rgono m ic b ene f i ts , b u t a ny p erc eived a dvan tage , h owever n on- ma ter ia l .
I ti s h ere t ha t If ee l t he s ocia l
a spec ts c an mos t c lear ly b e r ecogn ised . I n s ou th-eas t E urope t he marked i ncrease i n me ta l p roduc t ion i n t he c opper a ge , wh ich e f fec t ive ly d e ter m ined t he mo men t o f a dop t ion a nd h ence o f s igni f ican t i nnova t ion , c o inc ided w i th t he w idespread u se o f me ta l o b jec ts a s r e markable p res t e g oods . Dur ing t he n eo l i th ic t here were a lready s porad ic o ccurrences o f me ta l o b jec ts a s c h ise ls , a xes e tc . — t ha t i s a s t oo ls o f l i t t le impor tance , a dd ing l i t t le t o t he r ange o f f unc tions a lready o ffered b y s tone t oo ls .
A t t he s a me t ime we s ee c opper b eads i n c e me ter ies l ike
C ern ica , b u t i n c on tex ts where s he l lb eads a lso o ccur
o r i ns tance S pondylus
a t C ern ica ) . I ti s n o t u n t i l t he n ex t p hase t ha t g o ld p endan ts a re s een ( f or i ns tance a t Cho tn i tsa ) a nd t he s p lend id g o ld p laques a nd o ther o b jec ts o f t he Varna c e metery .
A t t h is t ime a lso we b eg in t o s ee t he a xe-ham mers wh ich
a re i nf ac t t he e ar l ies t me ta l s haf t-ho le t oo ls , a nd a re f o l lowed b y t he l arge a xe-adzes o f t he l a ter c opper a ge . Ib el ieve t ha t we c an b eg in t o d iscern h ere t he o u t l ines o f a n e xp lana t ion f or t he i nnova t ion . T o a rgue i tp roper ly wou ld r equ ire a c arefu l a na lys is o f t he c on tex ts o f d iscovery o f a l l me ta l o b jec ts o f t he p er iod , a nd p ar ticu lar ly o f t hose c on tex ts , s uch a s b ur ia ls , where t he v a lue o r p res t ige-ra ting a ss igned t o t he o b jec ts migh t b e e s t i ma ted ( c f . S herman , 1 975 ) . My p red ic tion i s t ha t i m med ia te ly p r ior t o , a nd d ur ing , t he r ea l b oo m p er iod — t he c a tas trophe j u mp f ro m l i t t le u se t o w idespread u se — meta l o b jec ts w i l l h ave t aken o n , f or t he f irs t t ime , ah igh p res t ige v a lue . Th is w i l l t hen h ave s h i f ted t he v a lue o f t he a dvan tage f ac tor s uf f ic ien t ly ( and t he s h i f t n eed n ot h ave b een a v ery l arge o ne ) t o b r ing t he p oin t o nt he e qui l ibr iu m s ur face t o t he e dge o f t he c usp . I nt he Aegean , t o t ake a no ther r eg ion , a n e qu iva len t c a tas trophe j ump i s s een i nt he me ta l i ndus try a t t he b eg inning o f t he E ar ly B ronze 2p er iod a round 2 700 B . C . Be fore t ha t t ime c opper was l i t t le u sed , a l though o nce a gain i ti s s porad ica l ly f ound i nv ery much e ar l ier c on tex ts , ( e .g . t he c opper a xes f ro m n eol i th ic Knossos , f ro m S esk lo a nd f ro m t he A lepo trypa c ave ) . R a ther s udden ly t he me ta l i ndus try c hanges c harac ter a l toge ther , a nd t h is c hange c oincides w i th t he f irs t a ppearance o f meta l o b jec ts i n c e meter ies , w i th t he f irs t ' t reasures ' ( a t T roy , P o l iochn i e tc .) a nd w i th t he w idespread u se o f t he b ronze d agger . The a l loying o f c opper w i th t in t o make b ronze may h ave a n impor tan t r ole h ere , b u t t he b oo m a ppears t o h ave h appened b e fore a l loying b eca me u n iversa l , s o t ha t t he u se o f t in ( or a rsen ic ) may b e ac onsequence r a ther t han a c ause o f t he s tr ik ing d eve lop men ts o f t he t ime . T h is impor tan t q ues t ion o f t echno log ica l d evelop men t a nd i mprove men t i s men t ioned a ga in i n t he n ex t s ec t ion .
1 13
The a rgu men t d eveloped h ere , f or t he Ba lkans , i n t he s ketch ies t o u t line , may t hus h ave a w ider a pp l icab i l i ty . F or , a l though t he s peci f ic c on tro l f act ors wou ld d i f fer s o mewha t i n e ach c ase , t he b as ic c usp c a tas trophe c on f igura t ion , r e la t ing t o b imoda l c ho ice , c ou ld s t i l l h o ld . I n e ach c ase , i n terna l d evelopmen ts w i th in t he s oc iety wou ld h ave s h i f ted t he ' advan tage ' f ac tor , a nd t hese c hanges w i l l h ave b een a s much s ocia l a s t echn ica l . S im i lar a rgumen ts may a pp ly f or t he n or th E uropean b ronze a ge .
F or t here a ga in , i n s o me a reas ,
c opper o b jec ts h ad l ong b een k nown , y e t n o ma jor d eve lop men t o ccurred u n t i l t he mo men t when me ta l a dop ted a s tr ik ing p res t ige r o le , o f ten i n a" Beaker C u l ture" c on tex t . Once a ga in t echn ica l d eve lop men t ( i nvo lv ing t he u se o f b ronze ) f o l lowed r a ther t han p receded t he w idespread a ccep tance o f t he meta l lurgy . A s im i lar s equence o f e ven ts may
h ave a cco mpan ied t he w idespread u se
o f me ta l lurgy i n o ther p ar ts o f t he wor ld .
C er ta in ly t he " treasure h or izon"
i n t he N ear E as t h as o f ten b een t he s ub jec t o f c om men t :
r ich h oards a nd f inds
l ike t hose o f A laca H y i Ik , H orortepe , Troy , P o l iochn i a nd Ur s ee m s urpr is ing t o u s p rec ise ly b ecause t hey c o me s o e ar ly i n t he d eve lop men t o f me ta l lurgy i n e ach a rea . The f ind o f r ich p res t ige g oods a t t he b eg inn ing r a ther t han t he c l i max o f t he w idespread u se o f me ta l i n ar eg ion may b e more t han f or tu i tous . The Grea t R evo lu t ions I t was C h i lde who c oined t he t er ms ' Neo l i th ic R evo lu t ion ' a nd ' Urban R evo lu t ion ' , n o d oub t w i th t he I ndus tr ia l R evo lu t ion i n m ind , a nd i n The Bronze Age ( 1 930 ) g ave r easons f or t h ink ing t ha t i n E urope , a t l eas t , t he i ncep t ion o f me ta l lurgy was o f c o mparable s ign i f icance . T hey were t ermed ' r evolu t ions ' b ecause o f t he f unda men ta l s ign i f icance o f t he c hanges wh ich t ook p lace , a nd C h i lde d id n o t c la im t ha t t hey o ccurred r apid ly i nt he o r ig ina l h o me land . Bu t h e d id s tress i n e ach c ase t he r apid i ty o f t he a dop tion o f t he n ew p rocess o u ts ide t he a rea o f i t s i n i t ia l i ncep t ion . I n h is v iew , t he c en tra l o rgan is ing p rocess o f European p reh is tory was d i f fus ion , " the i rradia t ion o f European b arbar is m b y Or ien ta l c iv i l isa t ion" ( 9586:70 ) . The i dea t ha t me ta llurgy was d i f fused i s s t i l l w ide ly a ccep ted , a nd t he s ame v iew i s w ide ly a rgued f or a gr icu l ture ( e .g . Am merman a nd C ava l l i-S forza , 1 973 ) . C o mparab le a rgumen ts f or t he s pread o f t he u rban way o f l i fe t o t he I ndus a nd e lswhere were s e t o u t af ew y ears a go b y Whee ler ( 1 96 :248 ) , a nd a re s t i l l a ccep ted b y many . Iwou ld a rgue t ha t , i n av ery g enera l s ense , t he s a me u nder ly ing p a t tern o f c hange i s o pera t ing i n e ach c ase g iv ing r ise t o a na log ies i n t he e xplana t ions o f fered . O f c ourse e ach d evelop men t i n e ach a rea , t o b e p roper ly u nders tood , h as t o b e s tud ied i n i t s own t er ms . Bu t t o t he e x ten t t ha t t he t er ms ' Me ta l lurg ica l R evolu t ion ' o r ' Neo l i th ic R evo lu t ion ' h ave a ny mean ing , i t may b e v al id t o a na lyse t heir s uper f ic ia l s im i lar i ty . o f t he a na lys is .
D i f fus ion n eed n o l onger b e t he r esu l t
B arker ( 1977) h as s ta ted t he p os i t ion we l l , " The s tudy o f e ar ly me ta l lurgy i s d eve lop ing a long t he s a me l ines a s t he s tudy o f e ar ly a gr icu l ture ;
ac ho ice
b e tween t wo a pparen t ly o ppos ing mode ls , d i f fus ion o r i ndependen t i nven t ion , i s n ow s een t o b e ah ope less ly i nadequa te t heoret ica l b as is f or u nders tand ing when , h ow a nd why e ar ly a gr icu l ture d eve loped i n s o me p ar ts o f t he wor ld a nd n o t i n o thers , a nd Iwou ld a rgue t ha t t he s ame i s t rue f or e ar ly meta l lurgy ." The k ey t o a n e f fec t ive u nders tand ing i n e ach c ase , Ib el ieve , i s t o s epara te t he i nven t ion -t he t echn ica l d iscovery , o r t he a va i labi l i ty o f as peci f ic p lan t 1 14
o r a n ima l s pec ies - f ro m i t s w idespread a dop t ion . I n t he c ase o f a gr icu l ture , s porad ic f inds o f whea t o rb ar ley i n u pper p a laeo l i th ic d epos i ts , n o t y e t v ery we l l d ocumen ted , s ugges t t he p oss ibi l i ty t ha t t hese s pec ies may h ave b een e xplo i ted i nt he N ear E as t a nd p erhaps i n s ou th-eas t Europe we l l b e fore t he n eo ther ma l p er iod . T he s ign i f ican t s tep w ou ld n o t t hen b e t he f irs t u se o f t he p o ten t ia l d o mes t ica te , b u t t he s h i f t t o ap a t tern o f e xp lo i ta t ion w i th a v ery h igh d ependence o n an arrow r ange o f s pec ies a nd a much l ess b road s pec trum o f e xp lo i ta t ion i n g enera l . I f we n ow t h ink o f F ig . 3a s r ela ting t o t he s ubs is tence s tra tegy o f h un terg a therers , w i th x r epresen t ing t he d egree o f d ependence o n c erea l f oods , t hen s o me i ns igh t c an b e o b ta ined .
The n orma l f ac tor n r epresen ts t he b enef i ts o f
u s ing c erea ls i n tens ively , a nd s t he c api ta l c os ts o f a l ter ing t he s ubs is tence s tra tegy . I n c er ta in e nv ironmen ta l o r d e mograph ic c ircums tances a s udden s h i f t o f s tra tegy mus t o ccur , a nd o f c ourse much t hough t h as b een d evoted i n r ecen t y ears t o a na lys ing j us t w ha t t hose c ircums tances migh t b e . T here i s o ne f urther i ngred ien t i nt h is c ase wh ich makes t he s w i tch d ecis ive , a nd i n c er ta in c ircums tances i rrevers ib le . I ti s t ha t a f ter s o me y ears o r d ecades , i ft he n ew s tra tegy i s ma in ta ined , n ew t echno log ica l d evelop men ts a r ise . I nt he c ase o f t he c erea l c rops o ne o f t hese i s t he f or ma t ion o f at ough r ach is , wh ich g rea t ly i ncreases t he e f fec t ive c rop y ield .
There a re o f c ourse
f ur ther c hanges a ssoc ia ted w i th 'do mes t ica t ion ' wh ich make t he d o mes t ica te a more s a t is fac tory c rop t han i t s w i ld p ro to type . Much t he s a me i s t rue o f me ta l lurgy : a f ter a f ew d ecades o f i n tens ive e xp loi ta t ion ( sme l t ing a nd c as ting ) o f o x ide o res i n f avourable a reas , t he u se o f a l loys i s l i ke ly t o b e d iscovered . Ana logous c onsequences f l ow f ro m t he d eve lop men ts i n c ra f t s pec ia l isa t ion a ssoc ia ted w i th u rban l i fe .
These a re ' mu l t ip l ier e f fec t ' p heno mena ( Ren frew
1 972 :27-44 ) a nd i n g enera l t hey a re n o t t he p roduc t s i mply o f h u man b ehav iour b u t a lso o f t he n a ture o f t he p hys ica l wor ld . On ly i n s uch c ases where a n ew s tra tegy h as u n forseen c onsequences o f at echn ica l n a ture d o g row th a nd c hange c on t inue , i n t h is way mak ing t he i nnova t ion i rrevers ible . I ti s p recise ly t o t hese c ases t ha t t he t er m ' revolu t ion ' i s s o met i mes a ppl ied .
B ib liography Ammer man , A .J . a nd C ava l l i-S forza , L .L ., 1 973 :
' Ap opu la t ion mode l f or
t he d i f fus ion o f e ar ly f arming i n E urope .' I n C . R en frew ( ed .) , The E xplana t ion o f C u l ture C hange : Amson , J .C ., 1 975 :
3 43-358 .
' Ca tas trophe t heory :
L ondon .
ac on tr ibu t ion t o t he s tudy o f u rban
s ys te ms?' Env ironmen t a nd P lann ing B 2 :
1 77-221.
Angelov , N ., 1 958 : ' Der S ide lungsh i tge l b e i H otn ica . I n V . B eshev l iev a nd V .L. G eorg iev ( eds .) . S tud ia i n H onore m Acad . D . De6ev : 3 89-403 . S of ia , Bu lgarska A cade miya n a N auk i te . Barker , G ., 1 977:
' Ear ly me ta l lurgy i n t he Troad :
t he European a nd As ian
c on tex t ' . Unpub l ished p aper p resen ted a t t he c on ference o n T roy , S he f f ie ld , Apr i l 1 977. B ognär-Ku tzign , I . , 1 972 : C arpa th ian B as in .
The E ar ly C opper Age T iszapo lgar C u l ture i n t he Budapes t , Akade m ia i K iado . 1 15
B ognär-Hu tzign , I . , 1 976 :
' The o r ig ins o f e ar ly c opper p rocess ing i n Europe '.
I n J .V .S . Megaw ( ed .) , T o I l lus tra te t he Monu men ts : o f S tuar t P iggo t t :
7 0-76.
L ondon .
C an tacuzino , G . a nd Mor in tz , S ., 1 963 : Dacia 7 :
Essays i n H onour
' D ie j ungs teinzei t l iche F unde i n C ern ica t .
2 7-89 .
C har les , J .A ., 1 967 :
' Ear ly a rsen ica l b ronzes - a me ta l lurg ica l v iew '.
Amer ican J ourna l o f Archaeo logy 7 1: V .G ., 1 930 :
The B ronze Age .
2 126 .
C a mbr idge .
C h i lde , V .G ., 1 956:
P iec ing T oge ther t he P as t .
L ondon .
C h i lde , V .G ., 1 957:
The Dawn o f European C iv i l isa t ion ( 6 th E dn .) .
C h i lde , V .G ., 1 958a :
The Preh is tory o f European S ocie ty .
C h i lde , V .G ., 1 958b :
' Re trospec t ' .
C larke , D .L ., 1 968 :
An t iqu i ty 3 2 :
Ana lyt ica l Archaeology .
F el l iner , W., 1 971:
H ar mondswor th .
7 5-79 .
L ondon .
The E cono m ics o f T echno log ica l Advance .
F erguson , JA ., 1 976:
L ondon .
N ew Y ork .
' I nves t men t d ec is ions a nd s udden c hanges i n t ransport ' .
S urveyor 9 th J u ly , 1 976 : F lannery , K .V ., 1 968 :
1 0-11.
' Archaeo log ica l s ys te ms t heory a nd e ar ly Mesoa mer ica '.
I n B .J . Meggers ( ed .) , An thropo log ica l Archaeo logy i nt he Amer icas : 6 7-87.
Wash ing ton D . C.
F r ied , M ., 1 967:
The E vo lu t ion o f P o l i t ica l S oc ie ty .
G i mbu tas , M ., 1 977 :
' Go ld Treasure a t Varna ' .
N ew York .
Archaeo logy 3 0 :
Ha mb l in , R .L., J acobsen , B .R . a nd Mi l ler , J . L. L., 1 973 :
4 4-51.
A Ma the ma t ica l
Theory o f S oc ia l C hange 2 N ew Y ork . Hägers trand , T ., 1 967: H agget t , P ., 1 965 :
I nnova t ion D i f fus ion a s aS pa t ia l Process .
L oca t iona l Ana lys is i n Human G eography.
I snard , C .A. a nd Z ee man , E .C ., 1 976 : t heory i nt he s ocia l s ciences '. i nt he S ocia l S ciences : J ovanov i6 , B ., 1 971:
L ondon .
' So me mode ls f ro m c a tas trophe
i n L . C o l l ins ( ed .) , The Uses o f Mode ls
4 4-100 .
L ondon .
Me ta lurg i ja Eneol i tskog P er ioda J ugos la .v je .
Kroeber , A .L ., 1 940 :
C h icago .
' S t i mu lus d i f fus ion ' .
B e lgrade .
A rner ican An thropo log is t 4 2 :
Ren frew , C ., 1 967 :
' Co lon ia l is m a nd mega l i th is mus '.
R enfrew , C ., 1 969 :
' The a u tono my o f t he s ou th-eas t European c opper a ge '.
Proceed ings o f t he Preh is tor ic S ocie ty 3 5 : R en frew , C ., 1 972 :
2 76-288 .
1 2-47.
The Emergence o f C iv i l isa t ion , t he C yclades a nd t he
Aegean i n t he Th ird Mi l lenn iu m B .C . R en frew , C ., 1 978 :
An t iqu i ty 4 1 :
1 .20 .
L ondon .
' Tra jec tory d iscon t inu i ty a nd morphogenes is , t he a ppl ica t ion
o f c a tas trophe t heory i n a rchaeo logy '.
1 16
Amer ican An tiqu i ty 4 3 , f or thco m ing .
R ogers , E . M., 1 962 :
D i f fus ion o f I nnova t ions .
S ergeev , G .P
' Ranne tr ipolsk i j k lad u s . Karbuna ' , S ov ie tskaya
1 963 :
Arkheo log iya 1 963 ( 1 ) : S he rman , S ., 1 975 : Tho m , R ., 1 975 :
1 31-151.
' Soc ia l Organ isa t ion a t Branc ‚. An t iqu i ty XL IX : S truc tura l S tab l i l i ty a nd Morphogenes is .
T r ingha m , R ., 1 971 :
R ead ing , Mass .
L ondon .
Wags ta f f , J . M., 1 976 :
' So me t hough ts a bou t g eography a nd C a tas trophe
Area 8 ( 4 ) :
Wer ti me , T ., 1 964 :
2 79-88 .
Hun ters , f ishers a nd f ar mers o f E as tern Europe
6 000-3000 B . C.
Theory ' .
N ew Y ork .
3 16-20 .
' Man 's f irs t e ncoun ters w i th me ta l lurgy '.
S cience 1 46 :
1 257. Whee ler , R .E. M., 1 961:
' The c iv i l iza t ion o f as ub-con t inen t .'
( ed .) The Dawn o f c iv i l iza t ion : W i lson , A .G ., 1 976:
I n S . P iggo t t
L ondon .
' Ca tas trophe t heory a nd u rban mode l l ing , a n a pp l ica t ion
t o moda l c hoice '. Z ee man , E .C ., 1 976:
2 43-252 .
Env iron men t a nd P lann ing A 8 :
' Ca tas trophe t heory '.
1 17
3 51-356.
S c ien ti f ic Amer ican 2 34 :
6 5-83 .
S ECT ION 2 ECOLOG ICAL PERSPECTIVES ON S OCIAL BEHAVIOUR
The s tudy o f manland r e la t ionsh ips h as i narguab ly s h i f ted f ro m o ne i n wh ich t he l and h as b een s een t o d om ina te man t o o ne i n wh ich man i s s een t o d om ina te t he l and , a nd i ti s n o t u nreasonab le t o a sk why t h is h as c o me a bou t . A t as uper f icia l l eve l , t he g enera l c on tex t f or t h is t rans for ma t ion may b e l a id a t t he d oor o f t wo i n terre la ted f ac tors : f irs t ly , t he g loba l means o f d es truc t ion n ow a t man 's d isposa l a nd s econd ly , t he r ecogn i t ion t ha t wha t c an b e d escr ibed a s ad e l ica te b a lance b e tween p opu la t ion , e nv ironmen t a nd r esources may b e o nt he p oin t o f b eing i rrevocably d is turbed . A l though i t wou ld b e n a ive t o s uppose t ha t we c an c ircu mven t t he s econd l aw o f t her mod ynam ics e n t ire ly , i ti s p erhaps f a ir t o c harac ter ise much e co log ica l ly o r ien ted r esearch a s imp l ic i t ly o r e xp l ic i t ly a im ing t o d iscover means o f a t tenua t ing t he e f fects o f t h is l aw . Moreover , i n t h is r espect t here i s much t o b e l earn t f ro m s tud ies o f t he p as t a s we l l a s f ro m t hose o f t he p resen t . A t a n a cade m ic l eve l i ti s e v iden t t ha t e nv ironmen ta l d e ter m in is m h as b een a n impor tan t f ac tor i n t he d eve lop men t o f a n thropo logy , a rchaeo logy a nd g eography .
S ince t he l a t ter d iscip l ine h as r eac ted a ga ins t s uch v iews f ro m
a t l eas t a s e ar ly a s t he 1 950s , i ti s i n teres t ing t o n o te t ha t me mbers o f t he more r ecen t ly e s tabl ished C u l tura l Ma ter ia l is t S choo l h ave a l lowed t heir c onc ern w i th e nv ironmen t a nd e co logy t o d egenera te i n to a " techno — e nv iron men ta l" d e ter m in is m . T h is i n i t s t urn h as d om ina ted much o f t he t h ink ing o f t he " new a rchaeo logy" a s i td eve loped i n t he 1 960s , wh i le i n B r i t ish a rchaeo logy H iggs a nd h is c o l leagues , a dap t ing a b ehav iour is t s tance t aken f ro m s tudies o f a n ima l e co logy a nd e x trapo la t ing f ro m r egu lar i t ies i n r ura l s et t le men t a nd l and u se f irs t n o ted b y h uman g eographers , d eve loped t he ir own f or m o f e nv ironmen ta l d e ter m in is m . The s i tua t ion i s n ow improv ing o f ten a s a r esu l t o f t he a dop t ion o f a n e cosys te ms p erspec t ive wh ich a l lows a g rea ter a wareness o f t he t rue c o mp lex i t ies o f man — e nv ironmen t r e la t ions . T he p apers i nt h is s ec t ion s hare a c o m mon c oncern i n e xa m in ing man 's p lace i n t he e cosys te m , b o th i np resen t d ay s ocie t ies a nd i n t hose o f t he p as t . D espi te t he o bv ious a t trac t ions o f ab road ly d efined e cosys te m ic a pproach a n umber o f p rob le ms r e ma in , p ar t icu lar ly t ha t o f a na lyt ica l c losure , d iscussed b y H arr is a nd E l len . As Ga mble 's c arefu l a na lys is s hows , t h is p rob le m — o ne o f many — r eaches a p ar t icu lar ly a cu te f or m i n t he s tudy o f
1 19
t he p as t .
I n s tud ies o f p resen t d ay s oc ie t ies t wo c on tras t ing r esponses a re
t hose o f B ay l iss-Sm i th , who c hooses t o c on f ine h is a t ten t ion t o ac ons idera t ion o f ap hys ica l ly b ounded t err i tory i nt he f orm o f a n i s land , a nd MacCormack who r es tr ic ts h er a na lys is t o ap ar t icu lar c u l tura l g roup . H owever , s uch s o lu t ions c anno t a lways c ope a dequa te ly w i th t he i n terre la t ions o f t he s tudy u n i t w i th t he w ider s ys te m . J us t a s e nv ironmen ta l d e ter m in is m h as b een a ma jor p rob le m i n s o me q uar ters , i tr e ma ins t rue t ha t many s ocia l a n thropo log is ts h ave t ended i n t he p as t t o g o t he o ppos i te e x tre me o f i gnor ing e co log ica l a spec ts a l toge ther i n f avour o f men ta l is t o r i dea l is t p h i losoph ies . T hus , ap os i t ive c on tr ibu t ion o f C u l tura l Ma ter ia l is m h as b een t o b r ing a n a wareness o f e co logy a nd e cono my b ack i n to t hese b ranches o f a n thropo logy . A more i n tegra ted a pproach t o man 's r ela t ionsh ips w i th b o th h is s ocia l a nd h is ma ter ia l e nv ironmen t , a s d isp layed b y t he p apers i n t h is s ec t ion , h as u ndoub ted ly much t o a dd t o o ur u nders tand ing o f t he p ar t p layed b y s oc ia l a nd a n t i-socia l b ehav iour i nt he c ourse o f h uman d eve lop men t — p as t , p resen t a nd f u ture .
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ECOLOG ICAL PERSPECT IVES ON S OCIAL BEHAVIOUR R oy F . E l len A bs trac t Th is i n troduc tory p aper r ev iews c hang ing f ormu la t ions o f t he mane nv ironmen t p rob le ma t ic i n t he c on tex t o f e co log ica l a nd e cosys te m ic a pproaches . P oss ib i lis m i s r ev iewed i nt he l i gh t o f i t s c on tr ibu t ion t o e co log ica l s tud ies . C u l tura l e co logy , n o tab ly t ha t o f S teward , i s c r i t ic ised a s i s t he c oncern o f g eographers a nd p reh is tor ians w i th h uman e co logy wh ich a rose i n r eac t ion t o i t , d espi te t he more u n i f ied a pproach t o e co logy a nd s oc ia l b ehav iour a l lowed b y t h is s econd a pproach . P rob le ms a r is ing f ro m t he s ys te ms v iewpoin t — a na ly t ica l c losure , c u l tura l a dap ta t ion a nd c arry ing c apaci ty — a re e xa m ined i nt urn . I ti s a rgued t ha t wh i le t he n o t ion o f as ys te m i s f unda men ta l a nd h as l ed t o c oncep tua l a nd empir ica l a dvances , i ti s i nsu f f icien t i n i t sel f a s s uch p rob le ms a s t hose o u t l ined a re i nvar iab ly a pproached a ccord ing t o a p ar t icu lar t heore t ica l o r ien ta t ion . S oc ia l o rgan isa t ion mus t b e v iewed a s a n o pen s ys te m t ha t c anno t b e r educed t o ma ter ia l f l ows — i t s s tudy mus t t ake a ccoun t o f t he s oc ia l p ercep t ion o f t hose f l ows a s we l l . Th is r epresen ts a c en tra l a na ly t ica l p rob le m . •
P hrases s uch a s ' an e co log ica l a pproach ' s o me times g ive t he f a lse imp ress ion t ha t wha t i s b e ing r e ferred t o i s as ing le =d iv ided me thodo log ica l t rad i t ion worked-ou t f or a c lear ly d e f ined s ubs tan t ive a rea .
I n f ac t , t he
p as t o ne h undred y ears h ave s een s uccess ive r e for mu la tions o f t he mane nv ironmen t p rob le ma t ic , e ach o f wh ich h as b een a dvanced w i th g rea t f ervour a nd t hen c as t a s ide i nf avour o f an ew improved v ers ion .
Bu t h owever much
we m igh t l i ke t o t h ink t ha t t he h is tory o f i deas p roceeds b y s uch a n ea t d ia lect i ca l s uccess ion , t he r ea l i ty i s u sua l ly much more messy . And s o i n 1 978 ' an e co log ica l a pproach ' may mean : av ery s peci f ic k ind o f s ys te ms-ana lys is , a n i n terac t ion is t model d er ived f ro m t he c oncep t o f e cosys te m , c ausa l h ypot heses o f a' cu l tura l ma ter ia l is t ' t ype , o r s i mp ly a ny s tudy wh ich a ddresses i t se l f t o t he i n terrela t ionsh ips b e tween s ocia l a nd e nv ironmen ta l v ar iables w i th a mod icum o f s oph is t ica t ion . A t t he s a me t ime , b ecause e ar l ier v ers ions o f t he p roble ma t ic h ave b een d iscredi ted t hrough t he d iscovery o f s o me c r i t ica l t heore t ica l weakness , t h is d oes n o t mean t ha t i deas a nd empir ica l r esearch i nspired b y t he m h ave n o th ing l e f t o f v a lue . F or a l l i t s c rudeness , n ine teen th c en tury e nv ironmen ta l is m i n troduced t he v ery n o t ion o f d e ter m inan t r e la t ions b e tween e nv ironmen t a nd s oc ia l b ehav iour , t ypes o f c orre la t ion a nd t he c u l ture a rea c oncep t . P oss ibi l is m , a l though wedded t o s ocio log ica l f unc t iona l is m a nd e thnograph ic p ar t icu lar is m , h as c on tr ibu ted t o t he d eve lop men t o f h uman e co log ica l s tud ies i n s evera l impor tan t ways .
I th as f os tered e xp lora t ion o f t he n o t ion o f
1 21
' l im i t ing f ac tor ' , s tressed v ar ia t ion i n t he ways , a nd e x ten t t o wh ich , man mod i f ies h is h abi ta t , warned a gains t s i mp le g eograph ica l c on tro ls a nd emphas ised t he i n tr icacy o f r e la t ionsh ips b e tween s ocie ty a nd e nv ironmen t . Wh i le i n s o me r espec ts Ia gree w i th Dav id H arr is 's e s t i ma te o f e co log ica l work i n B r i t ish s ocia l a n thropo logy , i th as e ncouraged wha t i s p erhaps t he mos t impor tan t l egacy o f t he p oss ibi lis t v iewpo in t — t he f ocus o n d e ta i led empir ica l f ie ldwork .
Among s uch s tudies mus t b e i nc luded t hose o f Audrey
R ichards o nt he Z a mb ian B e mba ( 1 939 ) , E vans-Pr i tchard o n t he Nuer ( 1 940 ) a nd a s er ies o f p os t-war e th .nograph ies o n e as t A fr ican p as tora l is t s oc ie t ies ( Forde , 1 970 ). I n h is a t te mpts t o g rasp t he n e t t le o f man-env ironmen t c orre la t ions , S teward ( 1 955 ) h as b een j us t ly c r i t icised . H is a pproach embod ies a n u ns a t is fac tory t rea t men t o f h is tory , a n i nsens i t iv i ty t owards t he d egree o f e co log ica l c o mp lex i ty , an a ive l inear d e term in is m a nd c oncep t o f a dap ta tion . H is d e f in i t ion o f ' cu l tura l c ores ' a nd s elec t ion o f s ign i f ican t c orre la t ions i s c on fus ing .
N ever the less , h e was r espons ib le f or r e-in troducing t he i dea
t ha t e nv ironmen ta l v ar iab les c an h ave a p os i t ive f or ma t ive i n f luence o n s ubs is tence a nd o ther a spec ts o f s ocia l o rgan iza t ion . H e a t te mpted t o s peci fy e xac t ly t he mechan is ms i nvo lved i n a dapta t ion a nd t o s o lve c oncre te e thnog raph ic p rob le ms . D esp i te i t s t echn icis t i n terpreta t ion o f Marx a nd c on fus ion o f f unc t iona l w i th i ns t i tu t iona l h ierarch ies ( Gode l ier , 1 977:2 ) , Marv in H arr is 's r e for mu la t ion o f S teward 's p os i t ion ( 1 968 ) i s i mpor tan t p recise ly b ecause o f i t s r ecogn i t ion o f t he impor tance o f Marx is t t hough t t o e co log ica l e xp lana t ion . S teward h as i nsp ired a g rea t d ea l o f work g enera l ly d escr ibed a s ' cu l tura l e co logy ' , p erhaps mos t n o tab ly t ha t o f S ah l ins ( 1 964 ) . The t er m ' cu l tura l e co logy ' h as b een u sed b y s o me wr i ters ( i nc lud ing c on tr ibu tors t o t h is v o lu me ) t o r e fer t o as ubs tan t ive f ie ld , au sage wh ich i s s o me t imes c on fus ing s ince S teward h ad r e jec ted t he i dea t ha t h uman e co logy s hou ld b e ak ind o f a n ima l e co logy a nd u phe ld t he s tr ic t a na ly t ica l i ndependence o f t he ' superorgan ic '. H owever , an ew g enera t ion o f s cho lars n o t s har ing t h is v iew h ave i n troduced a n a rray o f b iolog ica l c oncep ts l inked t o t he n o t ion o f e cosys te m ( Vayda a nd Rappapor t , 1 968 ) . G eographers a nd p reh is tor ians who h ave n ever s hared t h is S teward ian b ias t o t he s a me e x ten t h ave s im i lar ly l a tched o n t o t he n ew f or mu la t ion o f t he p rob le ma t ic ( C lark , 1 954 , S toddar t , 1 965 ).
Even t hose
who d id n o t s hare i t , o r h ad y e t t o a pprecia te i t s r elevance , s howed a n ew awareness o f t he s ubt le ty o f man-env ironmen t i n terac t ion , t hrough c ross ing d isc ipl inary f ron t iers ( Conk l in , 1 954 , B rook f ie ld a nd B rown , 1 963 ) . T he s ys te ms-approach h as i ns t i l led n ew l i fe i n to s tud ies o f e co logy a nd s ocia l b ehav iour . B ehav ioura l a nd e nv ironmen ta l t ra i ts a re v iewed a s p ar ts o f as ing le s ys te m , t he t wo-way n a ture o f c ausa l i ty i s a cknow ledged ; t he a na ly t ica l f ra mework h as p er m i t ted t he o bserva t ion o f n ew k inds o f r ela t ionsh ips , l ed t o t he f or mu la t ion o f f resh h ypo theses , p osed o ld p roble ms i n n ew ways , d rawn a t ten t ion t o t he w ide r ange o f e co log ica l v ar ia t ion ; e cosys te ms h ave b eco me t he n ew a na ly t ica l a nd c o mpara t ive s pa tia l u n i ts . G a mb le 's d is t inc t ion b e tween g enera l ized a nd s pecia l ized e cosys te ms , w i th i t s i mp l ica t ions f or p a t terns o f h un ter-ga therer r esource a ppropr ia t ion , d e mography , s e t t le men t f or m a nd s tra tegy o u tco me , p rov ides a g ood i l lus trat ion o f t h is .
Moreover , e cosys te ms a re s een a s e xa mp les o f g enera l s ys te ms ,
a nd t here fore p ossess a r a t iona l s truc ture a nd r egu la tory p roper ties ; 1 22
t hey a re
c once ived o f a s f lows o f e nergy , ma ter ia ls a nd i n for ma t ion ( El len , 1 978 ) . Bu t s o me wr i ters h ave b eco me s o e na moured o f t he n ew e co logy t ha t t hey o ccas iona l ly g ive t he impress ion t ha t we h ave n ow r eached a n e p is te mo log ica l n irvana , t ha t i fo n ly t he r u les a re a ppl ied c orrec t ly a n e cosys te m a pproach w i l l e xp la in e very th ing ( Anderson , 1 973 ) . A lready t he n ew f a i th h as i t s h ere t ics .
Three r ela ted p roble ms wh ich
as ys te ms a pproach h as f a i led t o s olve r e la te t o ma t ters d ea l t w i th i n t h is s ec t ion : a na lyt ica l c losure , c u l tura l a dapta t ion a nd c arrying-capac i ty . A l though a na ly t ica l c losure p oses a p ar t icu lar ly a cu te p rob le m f or s ys te ms a na lys is , i ti s b y n o means u n ique t o i t . T he s earch f or " sys te mness" r a ther t han a rbi trary d ef in i t ions s t i l l r e ma ins a n impor tan t i ssue i n t he i n terpre ta tion o f h uman b ehav iour p a t terns i n g enera l ( Buck ley , 1 967:42 ). I ti s p rac t ica l ly a nd i n tu i t ive ly r ela tively e asy t o i so la te ' sys te ms ' wh ich make s ense o f d ata a nd wh ich may b e u sed f or t he i nves t iga t ion o f aw ide r ange o f d i f feren t r esearch p roble ms . H owever , i ti s empir ica l ly c o mp l ica ted t o s peci fy t he m i n t erms o f n umbers o f c onnec t ions o r i n tens i ty a nd n a ture o f f l ow .
The b oundar ies
o f s ys te ms may o f ten b e mod i f ied f ro m a n o r ig ina l ap r ior i d el inea t ion , s o a s t o t o c on for m w i th emerg ing d a ta , o r t o make d a ta c on form w i th a model . F or e xa mp le , b ecause t he s pa t ia l p a t tern ing o f S wabian A lb Mägda len ian s i tes d oes n o t f i t t ha t p red ic ted b y t he H arpend ing a nd Dav is mode l ( 1977) , G amble e x tends h is a rea o f a na lys is t o i nc lude o ther l oca t ions i n t he a nnua l r ange o f g roups u s ing t he A lb . There i s n o thing i n tr ins ica l ly wrong w i th d o ing t h is , b u t i ti s a p ract ice o bv ious ly o pen t o t heore tica l o b jec t ions . H arr is i s c oncerned w i th a n a spec t o f t he s a me p rob le m i n h is p aper . Unhapp i ly , b o th h e a nd G amb le employ t he t erm ' t err i tory ' f or wha t migh t more a ccura te ly a nd l ess ambiguous ly b e c a l led a n e xploi ta t ive a rea . T err i tor ies a re s oc ia l ly-de ter m ined e n t i t ies implying r igh ts o f j ur isdic t ion a nd u se . They may o r may n o t c orrespond t o t he a rea f ro m wh ich f ood i s a ppropr ia ted b y ag roup . T err i tor ia l b oundar ies may d e ter m ine t he s pa t ia l l im i ts o f a ppropr ia t ion , b u t n o t a lways . They f requen t ly r ef lec t c o mplex h is tor ies a nd i n ter-group r el a t ions .
The u se o f t he t erm i n ar es tr ic ted s ubs is tence s ense i nv i tes s pur ious
e tho log ica l c o mpar isons a nd mis lead ing a ssump t ions a bou t t he r e la t ion o f r esource u se t o b oundar ies o f s ocia l s pace . Th is u sage , l i ke t he e ar l ier a rchaeo log ica l e qua t ion o f ' ac u l ture ' w i th a t echn ica l a sse mb lage , i s u nnecessary a nd mudd l ing . The p rob le m o f c losure l eads d irec t ly o n t o t ha t o f a dap ta t ion , s ince a ny c laim t ha t s ocia l b ehaviour i s a dap tive i s a cco mpan ied b y s uppos i t ions a bou t t he l eve l a t wh ich i ti s s o : t he s oc ie ty , p o l i ty , l oca l c o m mun i ty , s ocia l c lass , k in g roup o r i nd iv idua l . I t may we l l b e , a s MacCor mack s ugges ts , t ha t t he c ere mon ia l s urp luses o f S ierra L eon ian S herbros a nd o ther a gr icu l tura l p eoples a re a dap t ive i n t he s ense t ha t t hey e nab le t he ma in tenance o f e x is t ing s ocia l s truc tures i n t he f ace o f e nv iron men ta l f luc tua t ion ( A l land a nd McCay , 1 973 ) . Bu t t he s ys te m t ha t i s b e ing ma in ta ined may b e t o t he im media te d isadvan tage o f c er ta in g roups a nd i nd iv idua ls w i th in i t . I t may a lso b e t o t he l ong t er m d isadvan tage o f t hose who b ene f i t f ro m t he r eproduc t ion o f t he s ocia l s truc ture a s a who le , b ecause o f i n terna l c on trad ic t ions wh ich o n ly work t he mselves o u t o ver t ime .
1 23
The p apers o f Harr is , G a mble a nd MacCormack a re b ased o n t he a ssumpt ion t ha t e n tire c o m mun i t ies o r s oc ie t ies may b e a dapt ive u n i ts . H arr is d oes c ons ider t ha t a dap ta t ion migh t o pera te a t o ther l evels , a nd t he a ssumpt ion d oes n o t ma ter ia l ly a f fec t G a mb le 's a rgumen t .
I n f ac t , h is
a na lys is d e mons tra tes t he r easons why e co log ica l mode ls a ppear much more s uccess fu l i n e xpla in ing h un ter-ga therer b ehav iour . S uch s ocie t ies a re o f ten sma l l , d ispersed , s e lf-su f f ic ien t , mod i fy t heir e nv ironmen t t o al im i ted e x ten t o n ly , b u t p erhaps mos t impor tan t ly , e xh ib i t min i ma l s ocia l d i fferen t iat ion , s uch t ha t g roup b ehav iour t ends t o e xpress t he c umu la t ive a nd c onsensus a dap ta t ions o f i nd iv idua ls . I ti s n ow b eco m ing c lear i nb o th b io logy a nd a n thropo logy t ha t g roup s e lect i on a nd a dap ta t ion a re t heore t ica l ly d i f f icu l t t o a ccoun t f or a nd emp ir ica l ly awkward t o d escr ibe .
R a ther , i ti s o n ly i nd iv idua ls who a dap t t o c hang ing
e nv ironmen ta l c ircu ms tances , t hough t hey may d o s o t hrough t he man ipu la t ion o f s ocia l r e la t ions , t hrough c o-opera t ion , e xp lo i ta t ion o r c on f l ic t ( Ruyle , 1 975 ) . S o we c an p erhaps o n ly s peak o f t he a dap ta t ion o f g roups i n t he s ense t ha t i t i s e i ther t he c u mu la t ive a dap ta tion o f i nd iv idua ls o r t he man ipu la t ive a dap ta t ion o f p ower fu l i nd iv idua ls o r c o l lec t iv i t ies w i th in a g roup . One c oncre te p rob le m wh ich h as p roved p ar t icu lar ly r es is tan t t o c hang ing f ash ions i n e co log ica l mode ls i s c arry ing-capac i ty.
B o th MacCormack a nd
B ayl iss-Sm i th r igh t ly r ecogn ize t he d e f ic iencies o f e x is ting means o f c a lcu la ting t h is i ndex . Tha t t h is i s s o me th ing more t han a t echn ica l q ues t ion i s e v iden t f ro m t he s oph is t ica ted e cono m ic s ubs tan t iv is t a pproach a rgued b y B ayl issSm i th . Th is i s n o t a n i ssue a pprec iab ly c lar i f ied t hrough a s ys te ms mode l , a nd h e i s a ble t o u se i tt o i l lus tra te o nce a ga in t he u n tenable a ssumpt ion o f s o me e qu i l ibr iu m a pproaches , t ha t p roduc t ion i s o p t i ma l w i th r espec t t o r es ource a va i labi l i ty ( Sah l ins , 1 974 ) .
H is r eco mmenda t ion o f c are fu l ly c a lcu la t ing
' s tandard ' p opu la t ions i ns tead o f ' max i mum ' o nes i s s ens ible. H owever , t he me thod p rescr ibed i dea l ly d e mands a w ide r ange o f a ccura te f i e ld d a ta , t he c o l lec t ion a nd c o mpu ta t ion o f wh ich i s t ime c onsum ing , a nd where e rrors i n s ub-ca lcu la t ions migh t we l l d is tor t t he f ina l f igure . I t wou ld b e u se fu l t o k now t he d egrees o f e rror p er m iss ible f or t he v ar iables i nvolved , a l though B ay l iss-S m i th h i msel f i s c lear ly aware o f t he p rac t ica l p i tfa l ls i nvolved . Ih ave n o t t ouched o n a l l t he p rob le ms r a ised b y c losure , a dapta t ion a nd c arry ing-capac i ty , a nd n ei ther d o t hese s ub jec ts e xhaus t t hose wh ich r e ma in u nresolved b y e cosys te ms a pproaches .
I th as b een a rgued b y s ome t ha t
s ys te ms t heory i s s ay ing l i t t le t ha t i s n ew . O thers c ons ider wha t i th as t o o f fer t o b e n ove l b u t r e mo te a nd o f l im i ted r e levance f or empir ica l i nves t igat ions .
I ti s c harged t ha t n on-ho meos ta t ic p rocesses a re i gnored a nd t ha t t he
i den t i f ica t ion o f h o meos ta t ic p rocesses t he mse lves i s o f ten e rroneous . S uch c r i t iques a r ise i nb io log ica l a s we l l a s s oc ia l t heory ( Hon ing , 1 973 , Fr iedman , 1 974 ) .
I ti s s ugges ted t ha t s uch a na lyses u nderes t i ma te t he a bi l i ty o f o ther
s oc ia l f ac tors t o s hor t-c ircui t n ega t ive f eedback l oops , t ha t t hey a re o f ten n o more t han ' weak f unc t iona l is m ' ( Sah l ins , 1 969 ) . A l though s uch c r i t icis ms b y n o means a pp ly e qua l ly t o a l l a na lyses emp loy ing a s ys te ms a pproach , i ti s n ow e v iden t t ha t t he f a i th p laced i n i ti s a t t imes misgu ided . Wh i le t he n o t ion o f s ys te m i s af unda men ta l o ne a nd h as l ed t o s ign i f ican t c oncep tua l a nd empir ica l a dvances , i ti s i nsu f f ic ien t .
1 24
The s e lec tion o f v ar iab les , t he d egree t o wh ich t hey mus t b e d iv ided , c onv en ien t ly g rouped o r i gnored a nd t he l eve l o f c losure f or a ny a na lys is , a re a l l ma t ters wh ich mus t b e d e ter m ined b y ap ar t icu lar t heore t ica l o r ien ta t ion . MacCor ma ,ck makes c lear i n h er p aper t ha t t he n o t ion o f ' a s ys te m ' i s i nc apab le o f a ss ign ing r e la t ive impor tance t o v ar iab les a nd r e la t ionsh ips , a nd when t h is i s d one i t mus t b e b ased o n a ssumpt ions o f c ausa l i ty e x tr ins ic t o t he i dea o f s ys te m . Moreover , a s H arr is p oin ts o u t , as ys te ms a pproach i s n ot i t se l f a means o f r e mov ing d isc ip l inary p re jud ice . Wha t v ar iables a nd r ela t ionsh ips h o ld s ign i f icance g enera l ly d epends o n t he d iscipl inary o r ig in o f t he r esearcher . S oc ia l o rgan iza t ion i s n o t s o me k ind o f r ei f ied who le t hrough wh ich a l l e nv ironmen ta l i n terrac t ions a re c hanne led . T he e nv ironmen t a f fec ts i nd iv idua ls a nd s epara te s oc ia l r e la t ions .
S ocia l s ys te ms a re t o al arge d egree
o pen a nd i n terac t t hrough n u merous l i nks w i th e nv ironmen ta l v ar iab les . Bu t t h is d oes n o t mean t ha t t hey d o n o t a lso h ave a n i n terna l " sys te mness" wh ich mus t b e u nders tood o n i t s own t er ms .
T hey a re n ot s i mp ly r educ ible
t o e nergy f lows ; p roduc t ion i s n o t r es tr ic ted t o c a lor ies , o r e ven o ther ma ter ia ls , b u t c oncerns v a lue a s we l l ( Cook , 1 973 ) . B ayl iss-Sm i th n o tes t ha t s uch a n u tr i t iona l r educ t ion is t v iew h as a f fec ted o ur a t te mpts t o c o mpu te c arry ing-capac i t ies : wh i le f ood-ga in ing a c t iv i t ies may d om ina te t he e cono my i n t he s ense o f t ime a l loca t ion a nd o u tpu t , t here a re f or ms o f p roduc t ion f or e xchange ( socia l a nd t rade s t i mu l i ) i n wh ich t he p r i me mo t iva t ion i s n o t s ubs is tence . H is a rgu men t i s t ha t s ince s uch a c t iv i t ies o ccupy t ime , l and a nd ma ter ia ls wh ich c ou ld b e u sed f or s ubs is tence , t hey mus t b e a l lowed f or i n t he f or mu lae .
H e r ecogn izes t ha t t he u se o f e nergy u n i ts o f o u tpu t r aises
p rob le ms i n s oc ie t ies where monetary v a lues p redo mina te , a nd where p rod uc t ion o f h igh-va lue l ow-energy p roduc ts b eg in t o r ep lace t he s i mp le s urp lus o f f ood s tap les t ha t e ven h is mode l a ssumes .
The i n terac t ion b e tween t he
o b jec t ive ma ter ia l f lows i n as ys te m a nd t heir s ocia l p ercep t ion a nd e xpress ion s t i l l r epresen ts a c en tra l a na ly t ica l p rob le m . Moreover , i n d ea l ing w i th s e t t lemen t p a t terns , t he ir c o mponen ts ( such a s ' t err i tor ia l ' b oundar ies ) o r a na ly t ica l a na logues ( archaeo log ica l s i tes a nd c o mplexes o f c u l ture t ra i ts ) , we a re c oncerned w i th a r t i fac ts o f as ys te m . They d o n o t t he mselves p ossess o rgan iza t ion , b u t r ef lec t t he a r t icu la t ion o f ma ter ia l f lows a nd t he ir s ocia l t rans for ma tions i n t he o rgan iza t ion o f t he g roups r espons ible f or c rea t ing t he m , a s H arr is r em inds u s . S e t t le men t p a t terns may we l l b e s een a s e nds ta tes o f s ys te ms p rocesses , b u t i nt h is c ase t heir a na lys is may r equ ire mod i f ied t echn iques ( E l len , 1 978 , 1 978a ) . E colog ica l a nd e cosys te ms a pproaches w i l l c on t inue t o b e a t trac t ive b ecause i n many c ases t hey a re a u sefu l f irs t s tep i n a na lys is . Bu t , a s h as b een n o ted , s ys te ms s e ldo m a l low f or p rob le m f or mu la t ion , l e t a lone p roble m s o lv ing , i n t he mse lves . S cience i s v ery much a n i ncre men ta l p rocess , a s o pposed t o i deo logy ( and t here fore much s oc ia l t heory ) , wh ich i s r ecurren t . T o r e jec t t he p as t f or p o le m ica l r easons , o r t hrough a f ond b e l ie f i n t he i nev i table s uper ior i ty o f c urren t t heory , o r t o c la im a n e nd t o e xplana t ion , i s n o t o n ly s cien t i f ica l ly u nsound , b u t p rac t ica l ly s hor ts igh ted .
1 25
B ib l iography A l land , A . a nd B . McCay , 1 973 . a nd c u l tura l e vo lu t ion" .
" The c oncep t o f a dap ta t ion i n b io log ica l I n J . J . H on igman ( ed .) Handbook o f S ocia l
gn d C u l tura l An thropo logy :
1 79-237
C h icago .
Anderson , J . N ., 1 973. " Eco log ica l a n thropo logy a nd a n thropo log ica l e co logy" . I n J . J . H on ig mann ( ed .) , H andbook o f S ocia l a nd C u l tura l An thropo logy :
1 43-178 .
C h icago .
Brook f ie ld , H . C . a nd P . B rown , 1 963 .
S trugg le f or L and :
Agr icu l ture a nd
G roup T err i tor ies among t he C h imbu o f t he N ew Gu inea H igh lands . Me lbourne . Buck ley , W ., 1 967 . C l i f fs .
S ocio logy a nd Modern S ys te ms Theory.
C lark , J . G . D ., 1 954. C onk l in , H . C ., 1 954 .
T he S tudy o f P reh is tory .
Eng lewood
L ondon .
" An e thnoeco log ica l a pproach t o s h i f ting a gr icu l ture" .
Trans . N .Y . Acad . S c i . 1 7 :133-42 . E l len , R . F ., 1 978 . " Proble ms a nd p rogress i n t he e thnograph ic a na lys is o f sma l l s ca le h uman e cosys te ms" . Man ( N . S .) , i np ress . E l len , R . F ., 1 978a .
N uau lu S e t t le men t a nd E co logy :
An Approach t o t he
Env iron men ta l R ela t ions o f a n E as tern I ndones ian C o m mun i ty . Verhandel ingen t e K on ink l i jk I ns t i tuu t v oor Taa l, Land- e n V o lkenk unde , i np ress . C ook , S ., 1 973. " Produc t ion , e co logy a nd e cono m ic a n thropo logy : n o tes t owards a n i n tegra ted f ra me o f r eference" . S oc . S ci . I n form . 1 2 : 2 5-52 . E vans-Pr i tchard , E ., 1 940 . F orde , C . D ., 1 970 .
The N uer .
Ox ford .
" Eco logy a nd s ocia l s truc ture" .
Proceed ings o f t he
R oya l An thropo log ica l I ns t i tu te o f Grea t B r i ta in a nd I re land f or 1 970 : 1 5-29 . F r ied man , J ., 1 974. "Marx is m , s truc tura l is m a nd v u lgar ma ter ia l is m" . Man ( N . S .) 9 :444-69 . G odel ier , M ., 1 977.
P erspec t ives i n Marx is t An thropo logy .
Harpend ing , H . a nd H . Dav is , 1 977.
C ambr idge .
" So me i mpl ica t ions f or h un ter-gatherer
e cology d er ived f ro m t he s pa t ia l s truc ture o f r esources" . Archaeo logy 8 :275-286. Harr is , M ., 1 968 .
The R ise o f An thropo log ica l Theory .
Wor ld
L ondon .
H a i l ing , C . S ., 1 973 . " Res i l ience a nd s tabi l i ty o f e colog ica l s ys te ms" . Annua l R ev iew o f E cology a nd S ys te ma t ics 4 :1-25 . R ichards , A . I . , 1 939 . L ondon .
L and , Labour a nd D ie t i n N or thern Rhodes ia .
Ruy le , E . E ., 1 973. " Gene t ic a nd c u l tura l p oo ls : s o me s ugges t ions f or a u n i f ied t heory o f b iocu l tura l e vo lu t ion" . Human E co logy 1 :201-16.
1 26
Sahlins, M. D., 1964. "Culture and environment: the study of cultural ecology". In S. Tax (ed.) Horizons of Anthropology: 132-147. Chic�go. Sahlins, M. D., 1969. "E9onomic anthropology and anthropological economics". Soc. Sci. Inform. 8: 13-33. Sahlins, M. D., 1974. Stone Age Economics. London. Steward, J. H., 1955. Theory of Culture Change. Urbana. Stoddart, D. R., 1965. "Geography and the ecological approach: the ecosystem as a geographic principle and method. Geography 50:242-51. Vayda, A. P. and R. Rappaport, 1968. "Ecology, cultural and non-cultural". In J. Clifton (ed.), Introduction to Cultural Anthropology: 477-497. Boston.
127
MAX I MU M POPULATIONS AND S TA NDARD POPULAT IONS : THE CARRY ING CAPAC ITY QUEST ION T im B ay l iss-Sm i th
A bs tract I n c ases where t he e thnograph ic o r a rchaeolog ica l e v idence makes a n a cc ura te c o mpar ison p oss ible , i th as b een— s -h own t ha t a c tua l p opu la t ions i np rei ndus tr ia l s ocie t ies ( pas t o r p resen t ) s e ldo m r each e ven 7 0% o f t he p red ic ted c arrying c apac i ty o f t heir e nv ironmen t a nd t echnology . N ever the less , s uch s ociet ies a re o f ten d e mograph ica l ly s tab le a s ar esu l t o f v ar ious r esponses t o p opu la t ion p ressure . I nt h is p aper , i ti s a rgued t ha t t he r eason f or t h is f a i lure o f e x is t ing me thods t o p red ic t t he o nse t o f ' popu la t ion p ressure ' l i es i nt he f a i lure o f c arrying c apaci ty f or mu lae t o i ncorpora te , i np ar t icu lar : ( a ) v ary ing l eve ls o f o u tpu t , r esu l t ing e spec ia l ly f ro m t he p erceived n eed t ha t o f ten e x is ts f or s urp lus p roduc t ion o ver a nd a bove s ubs is tence ; a nd ( b ) v arying l eve ls o f l abour i npu t , wh ich a lso d i f fer a ccord ing t o l oca l p ercep t ions a nd n on-subs is tence n eeds . A mode l i s p roposed wh ich r equ ires d a ta o n h ow o u tp u t p er manhour c hanges a s o u tpu t p er h ec tare i ncreases w i th a gr icu l tura l i nt ens i f ica t ion . D i f feren t " s tandard p opu la t ions" c an b e d e f ined w i th t h is mode l b y a ssu m ing d i f feren t l eve ls o f we l fare ( d i f feren t p er-capi ta work i npu ts a nd/ o r p er-capi ta o u tpu ts ) . T he k nown o r p resumed s oc ia l a nd p o l i t ica l c ons tra in ts i n ag iven s ocie ty w i l l d e ter m ine a t wha t p o in t p opu la t ion p ressure w i l l b e e xper ienced , o r , i n o ther w ords , wh ich s tandard p opu la t ion c orresponds t o t he p erce ived c arrying c apaci ty l eve l . •
1 .
The P rob le m
"Popu la t ion p ressure" i s a n impor tan t c oncep t f or a rchaeology , a n thropo logy a nd h u man g eography , b u t i th as p roved t o b e as trik ing ly e lus ive o ne . Aw ide r ange o f s ocia l p heno mena h ave b een e xp la ined a s t he r esu l t o f e xcess ive n umb ers p ress ing u pon i nadequa te r esources : f or e xa mp le , i n mode ls o f i nnova t ion a dop tion , migra t ion a nd c hanges i n s e t t le men t p at tern , p opu la t ion p ressure p lays a p ro m inen t r o le .
I n o rder t o d e f ine p opu la t ion p ressure , h owever , we
mus t h ave s o me i dea o f t he p o in t a t wh ich a g iven s ocie ty w i l l r each , o r a t l eas t a pproach , t he l im i ts o f i t s a va i lab le r esources . T o d e f ine r esource l eve ls we mus t c ons ider t he p roduc t iv i ty o f t he e cosys te m t ha t ag iven s ocie ty e xp loi ts , i n r e la t ion t o t he t echno logy , a spira t ions , a nd s oc ia l o rgan isa t ion o f t he s ocie ty i n q ues t ion . On ly i f we c an f u l f i l t hese d a ta r equ ire men ts s ha l l we b e ap os i t ion t o a nswer t he r e levan t q ues tions , wh ich a re : How many p eop le w ou ld t he t echno logy o f ag iven s ocie ty s uppor t i n a p ar ticu lar e nv ironmen t a t ac er ta in wel fare l eve l? 1 29
A t wha t s tage , t here fore , wou ld p opu la t ion g row th b e l ike ly t o r esu l t i n ad e ter iora t ion i n wel fare? We c an a ssu me t ha t i ti s t h is l a t ter s y mp to m , t he d e ter iora t ion i n we l fare , wh ich i s l i ke ly t o b e p erce ived a s " popu la t ion p ressure" , a nd wh ich w i l l t heref ore t r igger o f f v ar ious s oc ia l r esponses i n a n a t te mp t t o improve t he s i tua t ion . S ince a t l eas t t he t ime o f Ma l thus , t here h as b een i n for med d iscuss ion o f t h is s ub jec t .
I n r ecen t y ears many wr i ters h ave f ocused o nt he q uan t i ta t ive
d e f in i t ion o f " carrying c apaci ty" , where t he q ues t ion b eco mes : Wha t i s t he c arry ing c apaci ty o f ag iven a rea o f l and f or a h uman p opu la t ion? Th is p aper e xplores ways o f p rov id ing s o me n umer ica l a nswer t o t h is q ues t ion . An a nswer i s n eeded wh ich w i l lb e l ess s i mp l is t ic t ha t t ha t p rovided b y t he u sua l manland r a t ios o f c arrying c apaci ty f ormu lae ( S tree t 1 969 ; P or ter 1 970 ; F eache m 1 973 ).
T o b e o f p rac t ica l u se , h owever , t he a nswer mus t b e more
p recise t han t he v ague c ond i t iona l s ta te men ts a bou t t he d i f ficu l ty o f d e f in ing p ara me ters wh ich a s tr ict ly h ones t a nswer t o t he q ues t ion p erhaps d e mands . The f ac t i s , o f c ourse , t ha t " overpopu la t ion" , o r t he s ta te wh ich p reva i ls when t he c arry ing c apaci ty o f a n a rea h as b een e xceeded , i s ac ond i t ion s o met imes r ecogn isable t hrough v ar ious o b jec t ive s ympto ms ( ma lnu tr i t ion , em ig ra t ion , s ocia l d isorder ) , b u t u sua l ly o n ly d e f inab le b y r e ference t o s ub jec t ive s ta tes o f mind ( overcrowd ing , u np leasan t d ie t , e xcess ive workload , u naccept ab le d is tr ibu t ion o f s e t t le men t , e tc .) . S uch p ercep t ions a re d i f f icu l t e nough t o a ssess i n a n e thnograph ic c on tex t : i n ap reh is tor ic o ne , p roper a ssess men t w i l lb e imposs ib le . Quan ti fy ing t he u nquan ti f iable i s s o me ti mes a n ecessary a cade m ic p rac t ice , b u t i ti s j us t i f iable o n ly i ft he e ssen t ia lly a r ti f icia l n a ture o f t he e xerc ise i s n o t f orgo t ten . 2 .
Ma in Var iab les
F or a n a grar ian s oc iety u s ing a p re-indus tr ia l t echno logy , t he p opu la t ion c apac i ty o f ag iven a rea o f l and d epends o n s ix p r incipa l v ar iables ( C lark a nd H aswe l l , 1 966:
6 9-80 ) :
i The mode o f s ubs is tence ( hun ter-ga therer , s h i f ting c u l tiva tor , p erenn ia l c u l t iva tor ) a nd t ype o f a gr icu l tura l e n terpr ise ; i
The q uan t i ty o f s urp lus p roduc t ion , a nd h ence e x tra l and , t ha t i s wan ted f or p urposes o f s ocia l s ta tus , p res ta tion , e xchange o r marke t ing ( Brook f ie ld , 1 972 ) ;
i i
The q uan t i ty o f s urp lus t ime t ha t i s wan ted o r n eeded , b o th f or n on-produc t ive w ork ( e .g . h ouse-bu i ld ing , war fare ) a nd f or l e isure ;
i v
The e x ten t t o wh ich f ac tors i, i a nd i i a re c hang ing ;
v The e x ten t t o wh ich v ar iab i l i ty i n s easona l c ond i tions ( e .g . t he monsoon ) may l ead t o p eak ing i n l abour r equire men ts , a nd h ence al abour s hor tage u n less t he t o ta l r ura l p opu la t ion e xceeds t ha t n eeded t o f u l f i l t he a verage r equ ire men t ; v i
Whe ther o r n o t v ar iabi l i ty i n t he h arves t b e tween d i fferen t s easons means t ha t as urplus i n o u tpu t i s p erceived a s p rov id ing a n ecessary i nsurance a gains t o ccas iona l f am ines . 1 30
I nt h is p aper , Iw ish t o f ocus a t ten t ion o nf ac tors i a nd i i , v ar iab i l i ty i n o u tpu t r equire men ts a nd i n l e isure t ime r equ ire men ts , a nd t o e xam ine t he ir e f fec t o nt he l eve ls o f c arry ing c apac i ty t ha t c an b e d e f ined . F or t h is p urpose , w e a ssume t ha t t he t ype o f e cono my ( f ac tor i )c an b e s pec i f ied , a nd t ha t t he r a te o f c hange ( f ac tor i v ) i s n o t s o r ap id a s t o v i t ia te a l l o ur e f for ts a t d e f in ing o ther v ar iab les . S uch a ssump t ions a re n ecessary ( a l though n o t j us t i fiab le i n a l l c ases ) i fa ny p rogress a t a l l i s t o b e made t owards mak ing q uan t i ta t ive s ta te men ts a bou t p opu la t ion l eve ls . S im i lar ly , w e d isregard t he e f fec ts o f s easona l a nd h arves t v ar iab i l i ty ( f ac tors v a nd v i ) , wh ich c an d om ina te d ec is ionmak ing i n e nv ironmen ts s ub jec t t o s ubs tan t ia l f luc tua t ion . 3 .
T owards a n I mproved C arry ing C apac i ty Mode l
Two ma in v ar iab les mus t t here fore b e i ncorpora ted i n a n i mproved mode l o f c arry ing c apac i ty . T hey a re : iV ar iab le l eve ls o f o u tpu t . E ven i n s o-ca l led s ubs is tence s oc ie t ies man d oes n o t l i ve b y s ubs is tence a lone . F ood-ga in ing a c t iv i t ies may d om ina te t he e cono my , b u t i n a dd i t ion t here a re f or ms o f s oc ia l p roduc t ion a nd t rade p roduc t ion f or wh ich t he p r i me mo t iva t ion i s n o t s ubs is tence , b u t i ns tead t he a ch ieve men t o f s oc ia l s ta tus o r t he g a in ing o f g oods o b ta inab le o n ly t hrough s o me e xchange mechan ism . I nasmuch a s t hese c a tegor ies o f o u tpu t o ccupy t ime a nd l and t ha t c ou ld b e u sed f or s ubs is tence , t hey mus t b e i nc luded i n a ny c arry ing c apac i ty f ormu la . Where c ash c rops a re p roduced f or t he marke t , t he u n favourab le t erms o f t rade u sua l ly a va i lab le t o ap er iphera l a grar ian s oc ie ty may mean t ha t t he marke ted s urp lus a c tua l ly r educes t he p opu la t ion l eve l t ha t t he r eg ion c an s uppor t . i V ar iab le l eve ls o f l abour i npu t . T he t ime a va i lab le f or p roduc t ive a c t iv i t ies d epends p ar t ly o n h ow much t ime i fl e f t o ver when o ther l abour n eeds h ave b een f u l f i l led , b u t p ar t ly t oo o n wha t i s p erceived a s at o lerable l eve l o f a gr icu l tura l work i npu t . S h i f t ing c u l t iva tors p r i mar i ly i nvo lved i n s ubs is tence p roduc t ion a re g enera l ly a ccus to med t o wha t wou ld a ppear i n o ther s oc ie t ies ( e .g . p easan ts p rac t is ing p addy r ice c u l t iva t ion , o rgan ised l abour i n i ndus tr ia l ised c oun tr ies ) t o b e e xcess ive amoun ts o f l e isure . T he d ura t ion o f t he work ing week wou ld a ppear t o b e a s v a l id a measure o f p erce ived w e l fare a s t he q uan t i ty o fp roduc t ion a ch ieved , a nd b o th s hou ld b e made e xpl ic i t i n s ta te men ts a bou t p opu la t ion l eve ls . I n t he p re-indus tr ia l w or ld , i ncreas ing o u tpu t p er p erson i s i nco mpa t ib le w i th r educing work i npu ts p er p erson . U sua l ly , t he p roducer e i ther w orks h arder f or a more s ubs tan t ia l ma ter ia l r ecord , o r h e a ch ieves a f f luence b y wan t ing a nd p roduc ing l ess a nd i n s o d o ing i ncreas ing h is l e isure t ime . I n o ther words , t he i n tens i ty o fp roduc t ion c an v ary . As a r esu l t , t here c an b e n o a bso lu te l eve l o f o u tpu t f or a g iven s oi l a nd c rop t ype : o u tpu t i s r e la t ive t o t he i n tens i ty o f i npu t , wh ich i t ese l f i s c u l tura l ly c ons tra ined . Mos t a pproaches t o c arry ing c apac i ty f a i l t o a cco m modate t h is f ac t : imp l ic i t i n a ny c a lcu la t ion i s s o me a verage l eve l o f y ie ld p er u n i t a rea , wh ich i s t aken i np rac t ice f ro m t he a c tua l y ie ld a ch ieved b y ap ar t icu lar a grar ian s oc ie ty e xp lo i t ing i t s l and a t ap ar t icu lar l eve l o f i n tens i ty . I tw ou ld b e b e t ter , c lear ly , t o r es tr ic t t he t erm " carry ing c apac i ty" t o t he p opu la t ion s uppor tab le b y t he max imum l eve l o f y ield 1 31
3 0
-X-.
I n s
•
1 1 % •
0 0
1
3
2
O u tpu t p e r manhour ( Ene rgy u n i ts )
F ig. 1
Typ ica l r e la t ionsh ip b e tween l and a nd l abour p roduc t iv it ies o f a ma jor p reindustr ia l l and u se. X
Eco log ica l Capac ity , where f urther a t te mp ts t o r a ise y ie lds p er h ectare l ead t o e nv ironmen ta l d eter iorat ion a nd f a l l ing r eturns.
Y
Carry ing Capac ity , o r K L eve l , where t he max i mum l evel o f c u lt ivat ion i n tens ity t hat i s f eas ible i s b e ing p ract ised , b u t where Energy Outpu t p er Hectare L abour Energy I npu t p er Hectare
1 0
S yste m Ma in tenance Thresho ld , b e low wh ich l abour i npu ts a re i nsu f f ic ien t f or t he a gr icu l tura l s yste m t o b e ma in ta ined.
1 32
c o mpa t ib le w i th a n a ccep table min i mum l eve l o f r e turn t o l abour b e ing a ch ieved . Wha t i s " acceptab le" w i l l o bv ious ly v ary b etween d i f feren t c u l tures , b u t c rossc u l tura l c o mpar isons i nd ica te t ha t f or s tap le p roduc ts a r a t io o f f ood e nergy o u tpu t t o l abour e nergy i npu t o f 1 0 :1 i s g enera l ly c lose t o o r b eyond t he min imum a ccep table ( Rappapor t , 1 968 : 1 1 ;
B ay l iss-S m i th , 1 977 :
2 62 ;
H arr is , 1 971:
2 17;
L each , 1 976:
3 41 ).
I f we a ccep t s uch a d e f in i t ion o f c arrying c apaci ty ( hence forward t er med t he " K" p opu la t ion l eve l , f o l low ing McAr thur a nd Wi lson , 1 967 ) , t hen t he i n teres t ing q ues t ion b eco mes t h is : wha t improve men ts i n wel fare ( more l e is ure o r more o u tpu t p er p erson ) wou ld b e p oss ib le a t l ower l eve ls o f p opu la t ion t han t he K - o r c apac i tylevel?
F or e xa mp le , w i th a p opu la t ion i n ag iven
a rea (e .g . a n i s land ) t ha t was h al f t he max i mu m l eve l , h ow much l ess h ard wou ld t he p eop le n eed t o w ork i n o rder t o a ch ieve a s ubs is tence l i ve l ihood? A l terna t ively , h ow s ubs tan t ia l wou ld b e t he p roduc t ion s urplus t ha t t h is p opu la t ion c ou ld a ch ieve a t ah igher l eve l o f i nd iv idua l l abour i npu t? I f s uch q ues t ions c an b e a nswered i n as peci f ic r ea l-wor ld c on tex t , t hen we c an b eg in t o make s ta te men ts a bou t p opu la t ion l eve ls t ha t migh t b e o f v a lue t o t he s oc ia l s ciences , where t he s oc ia l , p sycho log ica l a nd p o l i t ica l l im i ts t o p opul a t ion g row th ( i .e . p opu la t ion r e la t ive t o p erceived we l fare ) a re a s o r more impor tan t t han t he s tr ic t ly e co log ica l d e ter m inan ts o f c arry ing c apac i ty . 4 .
N ecessary P rocedure B efore d iscuss ing p oss ible a pp l ica t ions o f t h is " we lfare" a pproach t o p opu-
l a t ion l eve ls , t he p rocedure r equ ired f or t he c a lcu la t ion o f t hese p opu la t ion l eve ls s hou ld b e s peci f ied : S tep 1 .
D ef in i t ion o f t he t err i tory a va i lab le t o t he p opu la t ion , a nd i ts
c lass i f ica t ion i n t er ms o f t he a reas s u i tab le f or d i f feren t l and u ses . S tep 2 .
D e f in i t ion o f af eas ib le e cono my , i n t er ms o f t he t ypes o f
e nv ironmen ta l e xp lo i ta t ion ( e .g . c rops ) a nd t he p ropor t ion o f t he t o ta l e nergy ( E ) n eeds o f t he p opu la t ion t ha t e ach p roduc t s hou ld p rov ide .
The p roduc t ion o f c er ta in f oods may , f or e xa mp le , b e
r es tr ic ted o r e ncouraged b y n u tr i t iona l f ac tors o r b y c u l tura l p ref erences , a nd i fs o t he l im i ts o f t hese c ons tra in ts s hou ld b e s pec if ied . S tep 3 .
S peci f ica t ion o f wha t i s t he min i mum p roduc t iv i ty l eve l . ( E
u n i ts p er manhour ) wh ich w i l l b e c u l tura l ly a cceptab le . Empir ica l ly , 1 750 k i loca lor ies ( 7330 mega jou les ) p er h our a ppears t o b e a t o r b e low t he min i mum a c tua l y ield o f ma jor e cono m ic a c t iv i t ies i n s ubs is tence o r p ar t-subs is tence c o m mun i t ies . S tep 4 .
S peci f ica t ion o f t he e nergy y ields f or e ach ma jor l and u se
( E u n i ts p er h ec tare ) a t v ar ious l eve ls o f l abour i n tens i ty a bove t he max i mum i n tens i ty l eve l d e f ined i n S tep 3 .
S uch d a ta ,
s howing
y ie lds p er h ec tare i n r e la t ion t o d i f feren t y ie lds p er manhour ( Figure 1 ) , w i l l o f ten b e u nava i lab le , e spec ia l ly f or s ubs is tence c rops . S o me t i mes s uch d a ta c an b e d e ter m ined b y f i eld work , o r t hrough e thnograph ic c o mpar isons .
1 33
S tep 5 . C a lcu la t ion o f K , o r t he c arry ing c apac i ty p opu la t ion . Th is i s t he p opu la t ion t ha t w i l l b e s us tained a t s ubs is tence l evel b y t he p roduc t ion o f a l l a va i lable l and , e xp lo i ted t o t he max i mum e x ten t c o mpa t ible w i th t he c ons tra in t i mposed b y S tep 3 a bove . F or i t s c a lcu la t ion , t he l and a reas s peci f ied i n S teps 1 a nd 2 a re c o mbined w i th t he max i mum y ie lds f ro m t he r elevan t l and u ses s peci f ied i n S tep 4 . T h is g enera tes a t ota l e nergy o u tpu t (Eu n i ts p er y ear ). The max i mu m n umber o f p eop le t ha t t h is o u tpu t c an s uppor t c an b e c a lcu la ted b y a ssu m ing t ha t s ubs is tence w i l l n o t r equ ire , o n a verage , o ver 8 00 ,000 k ca l ( 3 .35 mi l l ion MJ ) p er p erson p er y ear . S tep 6 . C a lcu la t ion o f t he a verage l abour i npu t p er p roduc t ive p erson t ha t w i l l b e r equ ired f or t he K p opu la t ion t o b e s uppor ted . " Prod uc t ive p erson" w i l l i t se l f r equ ire d e f in i t ion , a ccord ing t o t he p opu la t ion 's a ssumed a ge a nd s ex s truc ture a nd t he d iv is ion o f l abour w i th in i t .
The mean l abour i npu t ( manhours p er p roduc t ive p erson
p er y ear ) i s d er ived f ro m t he t o ta l e nergy o u tpu t a nd t he mean e nergy o u tpu t p er manhour ( assu med a s b e ing 1 750 k ca l a t K ) : ( Tota l Energy Ou tpu t a t K/Mean Energy Ou tpu t p er Manhour ) • N umber o f P roducers i n KP opu la t ion = Mean L abour I npu t p er P roducer p er Y ear S tep 7 .
C a lcu la t ion o f mean l abour i npu ts a t l ower p opu la t ion d ens it ies
t han K ( e .g . 0 .9K , 0 .5K , 0 .25K ) . T h is e xerc ise w i l l a ga in r equ ire t he p roduc t iv i ty c urves f or e ach ma jor l and u se d iscussed i n S tep 4 . A sma l ler p opu la t ion t han K w i l l c lear ly n o t n eed t o a ch ieve max i mum y ie lds p er h ec tare , a nd i n mos t a c t iv i t ies t h is i n t urn p erm i ts h igher r e turns p er manhour .
S ince t he p ropor t ion t ha t e ach a c t iv i ty c on tr i-
b u tes t o t he t o ta l o u tpu t i s k nown ( d e f ined i n S tep 2 ) , t he t o ta l l abour i npu t t ha t t he v ar ious l abour p roduc t iv i t ies imp ly c an b e c a lcu la ted f or e ach p opu la t ion d ens i ty . S tep 8 .
Graph ica l p or traya l o f t he a ggrega te e nergy y ield o f t he i s land
e cono my ( E u n i ts p er h ec tare ) a s af unc tion o f t he a ggrega te l abour p roduc t iv i ty ( E u n i ts p er h our ) . Th is c urve w i l l r equ ire i n terpola t ion b e tween t he v a lues e s tab lished ( f or K , 0 .9K , 0 .5K , e tc .) i n S teps 5 -7, Th is a ggrega te c urve w i l l a ga in r esemble F igure 1 . S tep 9 .
E s t i ma t ion , u s ing t h is c urve , o f t he impac t o n l abour i npu ts
o f i ncreas ing o u tpu t p er p erson a bove t he l eve l n eeded f or s ubs is tence . I f S= e nergy o u tpu t p er p erson a t s ubs is tence = 8 00 ,000 k ca l , t hen we mus t c a lcu la te l abour p roduc t iv i t ies a nd h ence t o ta l a nd mean l abour i npu ts a t S+1 0% , S+ 2 0% , S+ 1 00% , e tc . By d e f in i t ion , s uch a n o pera t ion w i l l o n ly b e p oss ible f or p opu la t ions sma l ler t han K , s ince a t Ka l l r esources a re b e ing f u l ly u t i l ised f or s ubs is tence a nd s o n o s urp lus i s f eas ib le . S tep 1 0 . F or mu la tion o f a ma tr ix , wh ich g ives f or d i f feren t l evels o f l e isure ( var iable E p er manhour ) a nd d i fferen t l eve ls o f s urp lus ( var iab le E p er h ec tare ) t he p opu la t ions t ha t c an b e s uppor ted b y t he s peci f ied " is land" a nd i s land e cono my . These p opu la t ion l eve ls c an b e t er med " s tandard p opu la t ions" , a nd r epresen t t he max imum n umb ers t ha t c ou ld b e s uppor ted g iven t he l eve ls o f wel fare ( l e isure o r s urplus ) s pec i f ied b y t he ma tr ix . 1 34
5 .
A Worked E xa mp le :
C h iyun ig I s land
F or t he p urpose o f i l lus tra t ion , d a ta a re p resen ted h ere f or a n imag inary p opu la t ion o n t he imag inary i s land o f C h iyun ig . The a gr icu l tura l s ys te m o f C h iyun ig i s a n ama lga m o f e le men ts c on ta ined i n t hree r ea l-wor ld s ocie t ies , a l l p re-indus tr ia l i n t echno logy :
r ice f ar m ing i n p re-co mmun is t C h ina ( Buck ,
1 938 ) , sma l l-ho ld ings g row ing whea t i n Yugos lav ia i n t he e ar ly 1 950s ( C lark a nd H aswe l l , 1 966 ) , a nd ma ize a nd r oo t c rop f arms i n N iger ia i n t he s a me p er iod ( Ga l le t t i e t a l ., 1 956 ) . As C lark a nd H aswe l l ( 1 966 : 8 3 ) h ave s hown , t hese t hree a gr icu l tura l s ys te ms n ea t ly s pan v ir tua l ly t he who le r ange o f f eas ib le l and a nd l abour i n tens i t ies i np re-indus tr ia l f arm ing ( Tab le 1 ) . On t he sma l les t f ar ms i n C h ina l abour i npu ts a pproach 5 000 manhours p er h ec tare , a nd f ood o u tpu ts p er manhour f a l l a s l ow a s 1 300 k ca l .
A t t he o ther e nd o f
t he s ca le , t he l arges t f ood f ar ms i n N iger ia r ece ive o n ly 2 50 manhours o f l abour , b u t y ie ld 7 800 k ca l p er manhour .
Sma l l-ho ld ings i n Yugos lav ia a re
i nt he middle o f t h is e x tre me r ange ( see T ab le 1 ) . I ti s t herefore h oped t ha t C h iyun ig I s land w i l l r epresen t ar ea l is t ic , a lbei t h ypo the t ica l , i l lus tra t ion o f l ow p red ic t ions a bou t max i mum p opu la t ion l eve ls d epend s o h eav i ly o n wha t i n tens i ty o f c u l t iva t ion i s b eing a ssu med b y t he i nv es t iga tor . I ti s o bv ious ly u nrea l is t ic t o e xpec t t ha t t he a c tua l d a ta u sed t o c a l ibra te t he C h iyun ig mode l w i l l a pply p rec ise ly t o a ny p ar t icu lar r ea l i s land : i nf ew g eograph ica l s i tua t ions c an o ne e nv isage i s landers p rac t is ing r oo t c rop a nd ma ize c u l t iva t ion a t l ow i n tens i t ies , t hen s w i tch ing t o whea t a t i n ter media te i n tens i t ies , a nd f ina l ly t o r ice a t h igh l eve ls o f i n tens i ty . N ever the less , i t wou ld b e s urpr is ing i ft he r ange o f e nergy y ie lds p er h ec tare a nd p er manhour a ssumed f or C h iyun ig a re g rea t ly d i f feren t f ro m t hose t ha t p reva i l f or a ny p re-indus tr ia l s oc iety . 6 .
C a lcu la t ion P rocedure f or C h iyun ig I tw i l l b e h e lp fu l t o p resen t d a ta a nd c a lcu la t ions f or t h is i l lus tra tive e x-
ample i nt he s a me s tep-by-s tep f or m u sed a bove ( sect ion 4 ) S tep 1 .
T err i tory a nd L and U se C lassi f ica t ion .
We a ssume t ha t
C h iyun ig I s land i s 1 50 h ec tares i n e x ten t , o f wh ich 1 00 h ec tares i s s u i tab le f or c u l t iva t ion o f t he main s tap le c rop ( ma ize/whea t/r ice ) . The r e ma in ing 5 0 h ec tares c ons is ts o f n on-arab le l and , a nd i s u sed f or a l l o ther u ses . S tep 2 . E cono my . We a lso a ssume t ha t t he C h iyun ig p opu la t ion o bt a ins 8 0% o f i t s d ie t f ro m t he s tap le , a nd t ha t t he work o f p roducing t h is s tap le i s r es tr ic ted t o t he a du l t ma le p opu la tion ( t he " prod ucers" ) .
The r e ma in ing 2 0% o f t he d ie t i s d er ived f ro m f ish ing ,
c o l lec t ing , a n ima l h usbandry , e tc . We a ssume t ha t i tr equ ires n eg l ig ible p erce ived l abour , i s t he r espons ibi l i ty o f wo men a nd c h i ldren , a nd c an t here fore b e d isregarded i n c a lcu la t ions c oncern ing t he i n tens i ty o f c u l t iva t ion b y t he p roducers .
F or s i mpl ici ty ,
we f ur ther a ssu me t ha t a t a l l l eve ls o f p opu la t ion d ens i ty a nd c u lt iva t ion i n tens i ty t he p ropor t ion o f t he d ie t d er iv ing f ro m t he s taple c rop r e ma ins c ons tan t a t 8 0% . S tep 3 .
Max i mum A ccep table I n tens i ty L eve l .
We a ssume , a s s ug-
g es ted a bove , t ha t when t he a verage e nergy r e turns f ro m a manhour
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T h is max i mu m r epresen ts a pprox i ma te ly a 1 0 :1 r a t io
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The d a ta i n Tab le 1 e nab les
u s t o c ons truc t t he p roduc t iv i ty r e la t ionsh ips f or l and a nd l abour ( E u n i ts p er h ec tare , Eu n i ts p er manhour ) s hown i n F igure 2 . I n ag eneral ised a nd i n terpo la ted f orm , t h is c urve p rov ides u s w i th t he n ecessary d a ta f or c a lcu la t ing s tandard p opu la t ions f or C h iyun ig The max i mum i n tens i ty l eve l f or C h iyun ig c an b e s een f ro m F igure 2t o b e a round 6 .45 mi l l ion k ca l p er h ectare , r epresen t ing t he y ie ld p oss ib le a t 1 750 k ca l p er manhour . S tep 5 .
C a lcu la t ion o f Ko r c arry ing c apaci ty p opu la t ion .
A t t he
e x tre me l eve l o f i n tens i ty , t he 1 00 h ectares o f a rab le l and o n C h iyun ig I s land w i l l y ie ld 6 45 mi l l ion k ca l o f f ood e nergy .
Know ing t ha t
t h is t o ta l r epresen ts o n ly 8 0% o f t he t o ta l d ie t , a nd a ssum ing a n a verage e nergy r equ ire men t p er p erson ( "S" ) o f 8 00 , 0 00 k ca l p er y ear , we c an c a lcu la te t he K p opu la t ion a s f o l lows : K =( 645 ,0 00 ,0 00/0 . 8 ) 8 00 , 0 00 =1 007.8 =1 088 p ersons Th is p opu la t ion r epresen ts t he max i mum t ha t C h iyun ig c an s uppor t a t t he u l tima te l eve l o f i n tens i ty t ha t i s a ccep table , a nd i ti s t he p opu la t ion o f C h iyun ig f or wh ich w e r es tr ic t t he t er m " carry ing c apac i ty." S tep 6 .
C a lcu la t ion o f Average L abour I npu t p er P roducer a t K L eve l .
F or t h is p urpose we r equ ire a ssump t ions c oncern ing t he d e mog raph ic s truc ture o f t he Ch iyun ig p opu la t ion . We h ave a lready s ta ted ( S tep 2 a bove ) t ha t a du l t ma les a lone a re r espons ib le f or t he p roduc t ion o f t he s tap le c rop . F or s i mp l ici ty , we n ow f ur ther a ssu me t ha t ma les c on tr ibu te 5 0% o f t he t o ta l p opu la t ion , a nd t ha t p roducers ( i .e . a c t ive a du l ts ) make u p 5 0% o f a l l ma les . A t K , t herefore , C h iyun ig p roducers n umber o ne-quar ter o f 1 008 , o r 2 52 p ersons .
The mean l abour i npu t p er p roducer i s t hus :
( Tota l Energy Ou tpu t a t K/Mean Energy Ou tpu t p er Manhour ) N u mber o f P roducers i n K P opu la t ion =( 6 45 ,0 00 ,0 00/1750 ) 2 52 =1 463 h ours p er p roducer p er y ear =2 8 .1 h ours p er week .
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This work input if of course restricted to that involved in producing the Chiyunig staple, In addition, the producers would no doubt have other, non-productive work commitments, such as building houses, etc. Step 7. Calculation of Average Labour Inputs at lower Population Densities than K. In our example this step requires simply the use of the productivity curve for the staple crop, around which we assume the entire economy revolves. To take one example, the mean labour input at 0. 9K is found as follows: Population at 0. 9K = 0. 9 · 1008 = 907 persons (227 producers). 907 persons@ 800,000 kcal per year = 725,600, 000 kcal, total diet. Staple food portion = 0. 8 total diet =: 580,480,000 kcal. 580,480,000 from 100 hectares (we assume the entire arable area remains in cultivation) = 5,804,800 kcal per hectare or = 2900 kcal per manhour worked (from Figure 2). 580,480,000 kcal produced by 227 men@ 2900 kcal per manhour requires: (580' 480' 000/2900) manhours per producer per year 227 = 882 or 17. 0 hours per week.
, In this way, we can see that having a population on Chiyunig 10% smaller than at carrying capacity enables the working population to enjoy 11.1 more hours per week of leisure. Similar calculations for even smaller populations (Table 2) indicate that the smallest population that Chiyunig agricultural system will permit is 0. 25K, or one quarter of the carrying capacity population, and at this low density a mere 6. 5 hours per week of agricultural labour will support the population at subsistence. (Step 8. Graphic portrayal of aggregate energy yields per manhour and per hectare: this step is unnecessary in out example since Figure 2 serves the same purpose). Step 9. Calculation of Labour Inputs for Populations requiring a Surplus above Subsistence (S) Level. In Table 2 the results of such calculation are shown when energy outputs are required from the island in excess of the subsistence needs (S), to the extent of 10%, 20%, 30%, 50%, 100% and 150% of S. Such surpluses are usually required so that exchange needs can be fulfilled. For example, for the 0. 5K population wishing to produce S+l 00%, the calculations for finding out the mean work input are as follows:
140
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1 41
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1 42
We a lready k now , p opu la t ion a t 0 .5K = 5 04 ( 1 26 p roducers ) , a nd S a t 0 .5K .•.S + 1 00%
=4 03 ,200 ,000 k ca l . =8 06,400 ,000 k ca l ,
o f wh ich 8 0% d er ives f ro m s taple c rop . .•.S tap le mus t p rov ide 6 45 ,120 ,000 k ca l . Th is e nergy o u tpu t r equ ires i n tens i ty l eve l o f 1 750 k ca l p er manhour ( f ro m F igure 2 ) , Average w ork i npu t
=( 6 45 ,120 ,000/1750 ) 1 26 =2 926 h ours o r 5 6.3 h ours p er week .
We c an s how , i nf ac t , t ha t w i thou t t ransgress ing o ur min i muma ccep tab le-re turn c ons tra in t o f 1 750 k ca l p er manhour , i ti s n o t p oss ible f or C h iyun ig I s land t o s uppor t ab igger p opu la t ion t han a round 5 00 a t awel fare l eve l o f S+1 00% o r a bove ( i n o ther words , a t more t han d oub le t he e nergy o u tpu t t han t ha t n eeded f or s ubs ist ence ) . An umber o f s uch c a lcu la ted l abour i npu ts a re s hown f or f eas ible p opu la t ion l eve ls i n T ab le 2 . S tep 1 0 . F or mu la t ion o f a Ma tr ix . T he d ata i n T ab le 2 c an b e d isp layed i n g raph ica l f or m ( F igure 3 ) . I n terpo la t ing f ro m t hese g raphs f or d i f feren t l eng ths o f t he work ing week ( 15 h ours , 2 0 h ours 2 5 h ours e tc .) p rov ides u s w i th d a ta f or c ons truc t ing a ma tr ix a t d i f feren t " s tandard p opu la t ions" , e ach r epresen t ing t he e qu i l ibr ium n u mber o f p eop le t ha t C h iyun ig I s land c an s uppor t i fa l l l and i s u t i l ised a t t he s peci f ied l eve l o f l abour i n tens i ty , a nd p roducing t he s peci f ied amoun ts o f s urp lus o ver a nd a bove s ubs is tence. An umber o f s uch s tandard p opu la t ions a re s hown i n T able 3 . T hey r ange f ro m a l mos t 1 000 p eop le w ork ing 2 5 h ours p er p roducer p er week a nd l i v ing a t s ubs is tence , t o 3 90 work ing 5 0 h ours a week a nd g enera ting S + 1 50% i n p roduc t ion . E x tre me sma l l p opu la t ions l i ve d uc t ion o f s urp lus f or t ion , a nd o f ten b o th .
amoun ts o f l e isure a re o n ly a ch ievable o n C h iyun ig i f a t o r c lose t o s ubs is tence l eve l . Any s ubs tan t ia l p roe xpor t i nvo lves e i ther h arder w ork o r a sma l ler p opu laB o th o f t hese p heno mena a re c o m mon ly-observed r espon-
s es t o e cono m ic d eve lop men t i n s ubs is tence s oc ie t ies . I tw ou ld s ee m , t heref ore , t ha t a l though t he r ange o f a l terna t ive p opu la tions t ha t C h iyun ig I s land c ou ld s uppor t i s a r ti f icia l ly l arge ( f or p urposes o f i l lus tra t ion ) , i ti s a n e xa mple s ubs tan t ia l ly f a i th fu l t o t he b as ic n a ture o f t he p opu la t ion-env ironmen t r e lat ionsh ip i np re- modern a grar ian s oc ie t ies . 7 .
E va lua t ion o f The C h iyun ig Mode l B e fore c ons ider ing t he p rac t ica l d i f f icu l t ies o f a pplying t he " s tandard
p opu la t ion" a pproach t o r ea l i s lands i nt he P aci f ic , i ti s wor th s um mar is ing t he l i ke ly s treng ths a nd weaknesses o f t he model i n g enera l t er ms . T he f irs t d i f f icu l ty i s t he n eed t o s pec i fy f or a g iven p opu la t ion n o t o n ly i t s e x is t ing l and u se a nd e cono my b u t a lso l i kely v ar ia t ions i n p roduc t iv i ty a t h igher o r l ower p opu la t ion d ens i t ies . S uch d a ta a re s e ldo m r ead i ly a va i lable , a nd e ven i ft hese p roduc t iv i ty v ar ia t ions c an b e s pec i f ied t he i mpac t o f n ew t echno log ies may s oon r ender t he d a ta o bso lete .
1 43
A s econd p rob le m s te ms f ro m t he a ssump ton t ha t t he p r incipa l i npu t i n to c u l t iva t ion i s h uman l abour , a nd t ha t o u tpu t p er manhour i s t here fore a g ood measure o f p erce ived p roduc t iv i ty . C lear ly , t h is a ssump t ion b ecomes l ess v a l id where h uman e nergy i s s upp le men ted b y t rac t ion f ro m d raf t a n ima ls o r mach ines . Th is d e f iciency r es tr ic ts t he mode l 's d o ma in t o t he e ar l ier s tages o f e cono m ic d evelop men t . T he u se o f e nergy u n i ts o f o u tpu t may a lso r a ise d i f f icu l t ies i n s oc iet ies where mone tary v a lues p redo m ina te , a nd where p roduc t ion o f h igh-va lue l owe nergy p roduc ts b eg ins t o r ep lace t he s imp le s urp lus o f f ood s tap les t ha t t he mode l a ssu mes . I n s peci f ic a pp l ica t ions o f t he C h iyun ig mode l , o u tpu ts p er h ec tare a nd p er manhour i n mone tary r a ther t han e nergy u n i ts may w el l p rove t o b e more r e levan t . On t he o ther h and , t he mode l d oes i den t i fy t wo o f t he p r incipa l d i mens ions o f h uman wel fare t ha t a re p erceived a s b eing i mpor tan t i n a l mos t a l l s ociet ies — c onsumpt ion a nd l e isure . The n eed t o t rade o f f t hese t wo d es irab le b u t c onf l ic t ing a i ms i s a l mos t au n iversa l d i le m ma .
I n a ny a t te mp t t o d e f ine t he
p opu la t ion p o ten t ia l o f ag iven a rea , t he d e f in i t ion o f t hese t wo p arameters s hou ld b e t he s tar t ing p o in t , r a ther t han t he c onclus ion , o f t he a na lys is . The f irs t p ara me ter , t he a cceptable l abour i npu t p er p roduc t ive p erson , d epends u pon : T he e x ten t t o wh ich me mbers o f t he s oc ie ty mus t a l loca te t ime t o o ther , n on-product ive f or ms o f l abour , s uch a s t he b u i ld ing a nd ma in tenance o f h ouses , b oa ts , t oo ls a nd o ther e qu ip men t , d o mes t ic work , a nd p ubl ic works . i
T he e x is tence o f o bl iga tory l abour s erv ices , l ev ied f or e xa mp le b y c h ie fs , c o m mun i ty l eaders o r l oca l g overnmen t a genc ies .
i i
H ow much t ime mus t b e a l loca ted f or p urposes o f r i tua l a nd c eremon ia l : wedd ing f eas ts , r e l ig ious f es t iva ls , mi l i tary s erv ice , e tc .
i v
T he amoun t o f d ebi l i ta t ing o r d isab l ing i l lness , a nd t o wha t e x ten t d isease r educes t he e f fec t iveness o f p roduc t ive work , a s f or e xample i n r eg ions where ma lar ia o r t rypanoso m ias is a re e nde m ic . T he amoun t o f l e isure t ime , a dd i t iona l t o t he n on-produc t ive a c t iv i t ies o u t lined a bove , t o w hich me mbers o f t he s ocie ty a re a ccus to med .
An e va lua t ion o f t hese f ac tors f or a p ar t icu lar c u l ture w i l l d e term ine wha t l eve l o f max i mum work i npu t i n to a gr icu l ture i ti s r easonable t o a dop t i n c a lcu la t ing p roduc t iv i ty l evels . T he s econd p ara me ter , t he r equ ired l eve l o f s urp lus o u tpu t p er p erson , may w e l l b e a more d yna m ic o ne , a s e conom ic a spira t ions a re r a ised a nd a s d evelop men t p roceeds . T he mos t i mpor tan t c on tro l l ing f ac tors a re : The c us to mary l eve l o f ma ter ia l c onsu mp t ion t o wh ich me mbers o f t he s ocie ty a sp ire . i
T he e x ten t t o wh ich a s urp lus i s p erceived a s b eing a w ise p rec au t ion i n c ase o f d isas ter .
1 44
i i
H ow much s urplus i s n eeded f or t ax o r t r ibu te t o g overnmen t , c h iefs o r p r ies ts .
i v
The p robab le t er ms o f t rade o r e xchange , t hrough wh ich t he s urp lus i s c onver ted i n to t he d es ired f orm , u sua l ly money a nd t he impor ted p roduc ts wh ich money w i l l b uy .
T aken t oge ther , t he d e f in i t ion o f max i mum w ork l eve ls a nd d es ired s urplus l eve ls w i l l e nab le t he i nves t iga tor , f aced w i th a ma tr ix s uch a s T able 3 , t o d ec ide wh ich s tandard p opu la t ion i s r e levan t f or a p ar t icu lar r eg ion a nd s oc ie ty . I n t h is way , a n i n for med d ecis ion c an b e made a s t o whe ther o r n o t t he r eg ion i s c urren t ly " overpopu la ted" r e la t ive t o t he s ta ted s tandards o f welf are . 8 .
S tandard P opu la t ion L eve ls i n P reh is tory I np ract ice , i th as p roved d i f f icu l t e ven a t t he p resen t d ay f or i nves t iga tors
t o d e f ine s tandard p opu la t ions i n t he r igorous f ash ion t ha t t he c o mplex i ty o f t he p rob le m r ea l ly d e mands ( Gr igg , 1 976 ).
The mos t amb i t ious a t te mp ts i n ap re-
h is tor ic c on tex t h ave g enera l ly r es tr ic ted a t ten t ion t o c arrying c apac i ty — f or e xa mp le , K irkby 's e s t ima tes f or t he Oaxaca V a l ley i n Mex ico a nd Z ubrow 's s imu la tion mode l o f p opu la t ions i n H ay H o l low V a l ley , Ar izona ( K irkby , 1 973 , Z ubrow , 1 975 ) . G reen ( 1 973 ) i s t he f irs t a rchaeo log is t t o move t owards a s tandard p opu la t ion a pproach i n h is work o n T onga tapu I s land i n t he s ou th P ac i f ic . I n a l l t hese t hree c ases t he e v idence f or a c tua l p reh is tor ic p opu la t ions , e s t ima ted f ro m t he n umber o f h abi ta t ion s i tes ( us ing p ersons-per-roo m r a t ios ) o r f ro m d ocumen tary a ccoun ts , s ugges t t ha t f ar f ewer p eop le l i ved i n t hese a reas t han wou ld b e p red ic ted p ure ly f ro m c ons idera t ions o f c arrying c apaci ty ( Table 4 ) . C are fu l a ccoun t was t aken i n t hese s tud ies o f t he p robab le f ood y ie ld f ro m p reva i l ing s ubs is tence s ta teg ies a nd t echno log ies , a nd e ven s o t he a c tua l n u mbers s e ldo m a pproached e ven 5 0% o f t he p o ten tia l . I n many o ther c ases , p ar t icu lar ly i n t he P aci f ic , a n thropo log is ts a nd g eographers h ave d e mons tra ted t he s a me p heno menon ( s ee T ab le 4 ) . I ti s c lear t ha t p re-indus tr ia l s oc ie t ies d o n o t e xp lo i t t heir p erceived r esources o f l and a nd l abour t o t he f u l les t e x ten t ; a nd t ha t p opu la t ions a re v ery o f ten r egu la ted we l l b e low a ny p red ic ted K l eve l . S ah l ins ( 1 974 ) h as a rgued t ha t t here i s n o th ing s urpr is ing i n t h is s ta te o f a f fa irs . I n h is v iew , u nderu t i l isa t ion i s i nheren t i n a ny s ys te m o f p roduc t ion f or u se r a ther t han f or e xchange , a nd e spec ia l ly i n o ne t ha t i s o rgan ised a round d o mes t ic u n i ts : " The d o mes t ic mode o f p roduc t ion i s d iscon t inuous i n t ime .. I ti s a lso d iscon t inuous i n s pace . And a s t he f or mer d iscon tinu i ty a ccoun ts f or a c er ta in u nderuse o f l abour , t he l a t ter i mp l ies a p ers is ten t u nderexp loi ta tion o f r esources ..
C ons t i tu ted o n a n u ncer tain
h ouseho ld b ase , wh ich i s i n a ny c ase r es tra ined i n ma ter ia l o b jec t ives , s t in ted i n i t s u se o f l abour p ower a nd c lo is tered i n r e la t ion t o o ther g roups , t he d o mes t ic mode o f p roduc t ion i s n o t o rgan ised t o g ive a b r i l lian t p er for mance" ( Sah l ins , 1 974 :98-99 ) . I n s uch c ircums tances t he d ef in i t ion o f s tandard p opu la t ions w ou ld a ppear t o b e« a much more u sefu l a pproach , r a ther t han f ocus ing a t ten t ion o n s o me h ypo thet ica l max i mum wh ich t he h is tor ica l a nd e thnograph ic e v idence s ugges ts i s s e ldo m r eached . G reen 's ( 1 973 ) s tudy o f T onga tapu I s land i s as tep i n t h is 1 45
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a l ter r apid ly a nd e ach i nd iv idua l v i l lage w i l l e xper ience a measure o f e xpans ion , c on tract ion , o r s i te move men t wh i le p reserv ing c er ta in e le men ts w i th in t he p lan ; t he l oca t ion o f t he c hurch , we l l-es tab l ished s tree t a xes , t he fw ,damen ta l c on tras t b e tween t he p ub l ic s pace o f r ou teways a nd g reen a nd t he p f iva te e nc losures o f t he t o f ts o r g ardens .
Wi th in t he t o f ts t he f oss i l is ing f orce o f
l andownersh ip w i l l t end t o c onserve e ven t he i nd iv idua l b oundar ies b e tween a d jacen t t enur ia l p lo ts , a l though i n terna l d iv is ions may c hange a s r ap id ly a s b u i ld ing p lans . More n eeds t o b e d iscovered c oncern ing t he p ace o f c hange a nd i ti s p robab le t ha t t h is d ece lera ted o nce s tone s truc tures were b u i l t , t o a cce lera te a ga in d ur ing t he l as t h undred y ears o f p rosper i ty .
3
Wi th t hese p oin ts i n mind i ti s p oss ib le t o e va lua te t he med ieva l e v idence f ro m C oun ty Durha m c oncern ing p lan-s tab i l i ty ; mos t i mpor tan t i s ar en ta l wr i t ten i n t he e ar ly f i f teen th c en tury , b u t b eing a c opy o f a n e ar l ier d ocu men t d a t ing f ro m a t l eas t 1 200 , o r p oss ib ly f ro m a s e ar ly a s 1 130 . T h is , r e la ting t o ag roup o f Durha m v i l lages , u ses d escr ip t ive t er m ino logy wh ich c orresponds t o t he p resen t r ow o r ien ta t ions f ound w i th in t he s e t t le men ts t oday , a nd i ndica tes t ha t t he e ssen t ia l l ay-ou t o f an umber o f t wo-row p lans a nd , s ign i f ican t ly , t wo mu l t ip le-row p lans , h as r e ma ined s tab le s ince t he r en ta l was c o mpi led . Thus i n Wo lv is ton t he d ocumen t r e fers t o N or throw , S ou throw , Wes trow a nd i nd ica tes t he p resence o f sma l l l anes , o r k evy les ( Sou thkevy le a nd Wes tkevyle ) e x tend ing f ro m t he c ore o f t he p lan . T h is s ugges ts t ha t t he e ssen t ia l l ayou t , b u t n o t n ecessar i ly t he p lan-de ta i l , i n c erta in v i l lages w as a lready p resen t b e fore 1 200 , ac onc lus ion s uppor ted b y o ther e v idence , g enera l ly o f t h ir teen th c en tury p rovenance , f ro m Durha m , N or thu mber land a nd n or th Y orksh ire .
4
A l l
v i l lages s o d ocumen ted r evea l a n e xac t c orrespondence b e tween t he med ieva l r ow-descr ip t ions a nd t he p lans a ppear ing o n n ine teen th c en tury maps . E lsewhere t he a u thor h as s ugges ted ( Rober ts , 1 972 :51-55 ) t ha t t hese p lans o r ig ina ted i n t he c en tury f o l lowing t he H arry ing o f t he N or th i n 1 069-70 , b u t i ts hou ld b e emphas ised t ha t ar e la t ive ly b road p er iod o f t ime may b e i nvo lved ; i n a dd i t ion t o r e-set t le men t a f ter d evas ta t ion t he l ess c a tas troph ic p rocesses o f e s ta te d eve lop men t a nd i n terna l c o lon isa t ion a re l i ke ly p ar t-causes o f p lan-regu lar i ty ( Sca m mel l , 1 956 :209 ) . T hese p lans s urv ive i n C oun ty D urha m i n s uch q uan t i t ies f or t hree r easons , t hey p roved t heir v a lue a nd e ven r e-organ isa t ions t ended t o o ccur w i th in t he t igh t f ra mework t hey p rov ided ;
t he c oun ty , b ecause o f t he
c onserva t is m a nd r e lat ive i ne f f ic iency o f t he c hurch a u thor i t ies , e scaped r ad ica l ' improve men t ' i n t he e igh teen th a nd n ine teen th c en tur ies ( t he e ar lys even teen th c en tury e nc losures o f t he t own f ields b eing i np ar t i nd ica t ive o f t he r e la t ive f reedo m o f t he t enan ts ) , a nd f ina l ly n ine teen th c en tury min ing c o lon is a t ion n or ma l ly l ed t o t he e s tab l ishmen t o f e n t ire ly n ew p i thead v i l lages , i n e ssence ' af i e ld g one mad ' b ear ing a c rop o f h ouses i ns tead o f g ra in o r g rass , a nd r are ly a d jacen t t o t he o ld c ore .5 T here i s a n a dded d i mens ion , n o t t o b e f u l ly e xp lored h ere ; t hese d ocumen ted p lans p ossess g eo me tr ic r egu lar i ty , a nd c er tain medieva l d ocumen ts i nd ica te t he p resence o f o rgan isa t iona l r egu lar i ty , i nvo lv ing s ys te ma t ic , a nd i n d e ta i l o f ten v ery c o mp lex , l i nkages b e tween t he v i l lage p lan , t he l ayo u t o f t he f i e ld s ys te m a nd t he f isca l t ene men ts p resen t ( Roberts 1 972 :pass im ; H o mans , 1 960 :83-106 ).
Th is a rrange men t i s f ound e lsewhere i n n or thern
Eng land ( Sheppard , 1 974a , 1 974b ) a nd i np ar ts o f Denmark a nd S weden i n b o th med ieva l a nd p os t- medieva l c on tex ts ( Göransson , 1 958 , 1 961, 1 969 , 1 971;
2 96
H as trup , 1 964 ; H annerberg , 1 976) a nd i s v ery f u l ly d ocu men ted i n e ar ly s even teen th c en tury N or thumber land . 6 Where i te x is ted i t was , o f c ourse , a p ower fu l p lan-preserva t ive a nd r epresen ts a v i ta l f unc t iona l l ink b e tween p lan- morpho logy a nd f i e ld-s truc ture w i th t he v i l lage b eing a p arad igm o f t he e n t ire p a t tern o f r esource u se w i th in t he t ownsh ip . Meadow a nd g razing r igh ts were c lose ly a ssocia ted w i th t he e x ten t o f a n i nd iv idua l 's a rab le s tr ips , a nd t he d ispos i t ion a nd e x ten t o f t hese a rab le r igh ts r e la ted c losely t o t he p ossess ion o f at o f t .
T he o r ig ins o f t hese a rrange men ts h ave y e t t o b e
s a t is fac tor i ly e xp la ined , b u t i np ass ing i t may b e n o ted t ha t t he g reen c an b e v iewed a s n o more t han a b roaden ing o f t he d r i f tway l ead ing f ro m t he v i l lage t o t he g razing l ands a nd t he v ery r egu lar g reens o f Durha m a re s ure ly c losely l i nked w i th v i l lage r egu la t ion a nd t he e s tab l ish men t o f c are fu l ly measured p lans .
The s ca le o f t h is p lann ing a c t iv i ty may b e j udged f ro m f igures c i ted
e ar l ier . These b road c onclus ions c oncern ing p lan-surv iva l h ave b een t es ted a rchaeo log ica l ly a t T hr is l ing ton , C o . Durha m , where e x tens ive e xcava t ions b y A us t in h ave t raced t he h is tory o f a sma l l r egu lar t wo-row b e tween a bou t 1 200 a nd 1 500 , d e mons tra t ing e ssen t ia l s tabi l i ty ( Rober ts , i n S awyer , 1 976: 3 10-11) , wh i le w ork a t Wes t H ar tburn p o in ts t o t he s a me c onc lus ion ( S t i l l a nd P a l l is ter , 1 964 ) . I ndeed work e lsewhere a t s i tes s uch a s Wharra m P ercy ( Yorks ) , G o l tho ( L incs .) a nd B ar ton B loun t ( Derby ) ( Hurs t , i n U cko e t a l 1 972 : 5 33-535 ;
B eres ford , 1 975 :13 ) s hows c lear e v idence f or t he c on t inu i ty o f t o f t
d iv is ions b e tween t he l a te t we l f th o r e ar ly t h ir teen th c en tury a nd t he p er iod o f d eser t ion , a l though a l l t hree s e t t le men ts a ccre ted n ew p lan-e le men ts t o t heir o r ig ina l f oc i . Durha m s ee ms t o h ave h ad a v ery d i f feren t p os t-conques t h ist ory o f v i l lage p lans t o t ha t f ound i n E as t Ang l ia b y Wade- Mar t ins ( i n F ow ler , 1 975 :135-157 ) ;
i ndeed , i n a n a rea l ack ing e x tens ive a rable a nd p ossess ing
d ense p o t tery s ca t ters r esu l t ing f ro m n ine teen th c en tury manur ing , o ur k now ledge o f p re-12th c en tury a reas o f s e t t le men t i s a s y e t v ery i mper fect , a nd Thorpe 's c onclus ion c oncern ing s i te s tabi l i ty may we l l p rove t o b e q u i wrong . T h is s ec t ion i s u l t i ma te ly b ased u pon n umerous c ase-s tud ies , c omp le te i n t he mse lves , b u t e ach c on tr ibu t ing t o t he t o ta l p ic ture .
r
1 y
T hree o f
t hese may b e b r ie f ly e xa m ined ; t he c ase o f K irk Merr ing ton h as a lready b een p ub l ished a nd s ugges ts a r e markable d egree o f p lan-surv iva l ( Rober ts , 1 972 : 4 4-48 ) .
I n 1 972 t he c lose s tudy o f o ther p lans f a i led t o r evea l s uch c lar i ty
a nd i n r e trospec t o ne s ees t ha t K irk Merr ing ton i s a n e xcep t iona l c ase . D ocumen ts e x is t wh ich s how t ha t t he v i l lage e scaped t he s ubs tan t ia l r eo rgan isa t ion o f t he C a thedra l P r iory f arms i n t he e ar ly s ix teen th c en tury , a nd e ven more r e markab ly , p erhaps b y v ir tue o f i t s h ea l thy w indswep t r idget op s i te , a voided t he wors t r avages o f t he B lack D ea th .
7
I n t h is c ase t he
c ompos i te n a ture o f t he p lan , w i th t wo d iscre te p lan-types r e f lec t ing s ocia l d is t inc t ions , h as c ons iderable imp l ica t ions a nd t here a re g rounds f or a rguing t ha t S he lo m ( whose n a me mere ly imp l ies ' a t t he h u ts ' ) , wh ich p ays t he o lder r en t f or ms , may r epresen t t he o lder s e t t le men t s i te . H eigh ing ton ( F ig . 3 ) c anno t b e t raced i n s uch d e ta i l b u t e ven a s uper f icia l e xam ina t ion o f t he p lan s ugges ts t wo p hases o f g row th w i th t he N or man c hurch
2 97
S TONE WALL 1 975
A
S TONE WALL 1 975— OPEN B OUNDARY 1 8 1 1 — 'PARTNERSH IP C ROFTS ' I N 1 837 -
H EDGE 1 9 75
N O T RACES O F C ONT INUAT ION V IS IBLE, " '
D ESTROYED B OUNDARY 1 975 B ANK 1 975 •
, D EGRADED B ANK 1 975
E Z
/ A
" _ _ • '\ " "\
M IN ING D ISTURBANCE r
I NTAKES P RE 1 8 1 1
E NCLOSURES ? P RE 1 8 1 1
L ORD D ARL INGTON 'S LAND 1 8 1 1
ONE
A CRE
• G LEBE LAN D
f e e t
1 8 1 11975 1 837
• ••
, COCKF IELD 1 8 1 1
i n fo ld
H E IGH INGTON 1 8 38 E VEN WOOD 1 8 23
/ 2 F ERRYH ILL 1 8 38 F IG.3
H EADLÄ M 1 7 3 1
o ccupying t he j unc t ion l i ne b e tween t he t wo h a lves o f t he g reen .
Ac lose
e xa m ina t ion o f t he n umber o f t enan ts l i s ted i n B o ldon B ook i n 1 183 a nd c o mp ar ison w i th t he n u mber o f t enan ts p resen t i n 1 380 , t he H a t f ie ld S ur vey , s ugges ts t ha t t he v i l lage d oub led i n s ize b e tween t hese t wo d a tes .
E as ing ton
s hows c o mparab le g row th , a nd s e t t le men ts o n t he P r iory e s ta tes ( Wo lvis ton a nd B i l l ingha m ) c an b e s een t o p ossess mu l t ip le-rows b e fore 1 200 , wh i le S edge f ie ld , N or ton a nd Wes t Auck land o n t he B ishop 's e s ta tes e xper ienced s im i lar e xpans ion b efore 1 183 a nd B ishop Auck land a nd Dar l ing ton s ee m t o h ave u ndergone r e-organ isa t ion i n t he s a me p er iod . I ti s p robab le t ha t t he e xpans ion i n H e igh ing ton h ad o ccurred b e fore t he midth ir teen th c en tury a nd w e a re s eeing e v idence f or a g enera l e xpans ion o f ' ch ie f v i l lages ' d ur ing t he s econd h a l f o f t he t we l f th a nd t he e ar ly t h ir teen th c en tury ( Rober ts , 1 977b :11 , 3 3-4 , 4 3 ) . Once a ga in t hese c hanges h ave o rgan isa t iona l imp l ica t ions a nd r epresen t ag enera l q u icken ing o f e cono m ic a c t iv i ty . Tha t s evera l o f t hese ' ch ief v i l lages ' e ven tua l ly a ch ieved u rban s ta tus was o n ly t o b e e xpec ted . C ock f ield i s a t f irs t s igh t av ery d i f feren t t ype o f v i l lage :
t he ' gardens '
o n o ne s ide , l ong t o f ts , a re o ver 3 00 i n i n l eng th ( b e low 1 50 m b eing more u sual ) a nd t he v i l lage a ppears t o b e a n i rregu lar s tragg le a long a s tree t g reen . C lose s tudy , h owever , r evea ls t ha t i n takes h ave b een a dded t o e ach e nd o f t he n or th r ow ; i t was o nce s hor ter a nd more g eo me tr ica l ly r egu lar , wh i le b enea th t he p resen t s tone-wa l led e nc losures l i es a b ank a nd d i tch p hase , w i th e ven l onger t of ts . T he T i the map s ugges ts t ha t t he s tr ips o nce l ay o pen t o e ach o ther , p erhaps w i th a sma l l e nc losed t of t a t t he ir h ead , w i th a t e mporary o r p er manen t b ank a nd f ence f or m ing a c o l lec t ive b oundary b e tween t he s tr ips a nd t he s urround ing r ough p as ture .
T he d a ting o f t h is t ype o f v i l lage i s d i f f i-
c u l t , a nd t here a re p rob le ms o f morpho log ica l a na lys is . A t C ock f ie ld t he l oca t ion o f t he g lebe , whose s hor ter t of t i s p laced w i th in t he r ow a nd may a n ted a te t he l onger t o f ts t o t he w es t , i s n o tewor thy .
The c hurch c on tains e ar ly
E ng lish work a nd t he e ar l ies t r e ference i s i n 1 291. T here d oes a ppear t o b e ar ea l d is t inc t ion b e tween a l ong-to f ted v i l lage l i ke C ock f ield , where t he t enur ia l p lo t a nd i t s b oundar ies p ro jec t d ir'o t ly a nd c on for mably f ro m t he sma l l e nc losure , at rue t of t , a t i t s h ead , a nd
, her
e xamp les , f ound i n N or thumber land , where t he f ur long a bu t t ing t he v i l lage r ow i s t ermed ' t he c rof ts ' b u t wh ich c on ta ins s ca t tered ' se l ions ' n o t d irec t ly a nd p hys ica l ly r e la ted t o t he t o f t .
I n s uch c ircu ms tances e nc losure n or ma l ly r esu l ts
i n c onso l ida t ion a nd t he a dd i t ion o f ' garrends ' t o t he s hor t t o f t , o f ten d e tectab le b y as l igh t b oundary d iscon t inu i ty , a nd t h is p roduces a p lan f or m v ery s im i lar t o t ha t a t C ock f ie ld .
I t may b e , o f c ourse , t ha t a t C ock f ie ld t h is c onso l ida t ion
a nd a dd i t ion t o t he t o f t p receded t he s tone-wa l led e nc losures we n ow s ee , a nd i s t here fore n o t d e tec tab le . B e t h is a s i t may , we a re s t i l l l e f t w i th t he p rob le m o f t he u l t i ma te o r ig in o f t h is t ype .
8
D ocumen tary e v idence c oncern ing t h is p lan-type f a l ls i n to t wo g roups : ma ter ia l r e la t ing t o t he g enera l c on tex t , t he g rea t s urveys , s hows t ha t i n Durh am t he p lace-na mes o f s uch s e t t le men ts s o me times a ppear i n as ource o f 1 183 , wh i le o thers d o n o t , a nd t he mos t r easonab le i n terpre ta t ion w ou ld b e t ha t we a re d ea l ing w i th s e t t le men ts o n ly s o me o f wh ich were i mpor tan t e nough t o w arran t ar e ference a t t ha t d a te :
o thers d eve loped l a ter .
I ti s p robab ly
n o a cc iden t t ha t w i th o ne p oss ib le e xcep t ion , n o l ong-to f ted Durha m v i l lage i s l i s ted i n ak ey s ource o f 1 050 , a ccoun t ing f or t he p roper t ies a cqu ired b y 2 99
S t . Cu thber t u p t o t ha t d a te ( H inde , 1 868 :138-152 ) . De ta i led , s pec i f ic r ef erences a re r are : i n N or thumber land a s urvey o f K i l l ingwor th i n 1 373 i s c as t i n af or m wh ich s ugges ts l ong-to f ts were a t tached t o t he s ou th s ide :
t hese
a ppear i n n ine teen th c en tury map s ources ; more p ar t icu lar ly c har ter r ef erences o f t h ir teen th c en tury p rovenance i ndica te t he p resence o f l ong-to f ts ; i n B ocken f ie ld a t o f t f ive p erches i nb read th a nd f or ty p erches i n l eng th , a nd e lsewhere u narn s i l l ione m c rof t i a nd u nu m t o f tum .. e t .. u na m a cra m e t d im id ia m a d c apud p raed ic t i t o f t i v ersus a us trum .
( Page , 1 893 :58 , 7 3 , 8 0 ).
9
On b a lance t here a ppear t o b e g rounds f or a rgu ing t ha t t h is p lan-type f a l ls w i th in t he s a me t e mpora l c on tex t a s d o t he s hor tto f ted v i l lages . T h is t ype o f p lan i s o f c ourse o ne w el l-known i n E urope ( Uh l ig , 1 961 ) , a nd i n Durham c an r easonab ly b e i n terpre ted a s af or m o f s e t t lemen t u sed when c o lon is ing n ew l and , t he l ong-to f ts r epresen t ing a ' f oo tho ld ' f ur long .
T he f ac t t ha t
many o f t hese v i l lages b ear n a mes o f O ld Eng l ish o r ig in , h owever , warns t ha t s uch r ows may n o t n ecessar i ly r epresen t t he e ar l ies t s e t t le men t o n o r n ear t he s i te . I n s um mary , t he p lantype f am i ly i nvo lv ing r egu lar t wo-row g reen p lans , mu l t ip le r ow p lans w i th a r ec tangu lar g reen , a nd r egu lar s ing le r ow p lans , a l l w i th s hor t t o f ts , b elow 1 50 me tres i n l eng th , a ppear t o h ave a t erm inus a n te q ue m o f a bou t 1 200 , a l though s o me r econs truc t ions a s l a te a s 1 250 c anno t b e e xc luded . At er m inus p os t q ue m h as y e t t o b e e s tab l ished , b u t o n Durha m e v idence t here a ppears t o b e g rounds f or s ugges t ing t ha t p os t-1070 i s l i ke ly , ad a te i na ccord w i th S heppard 's c onc lus ions a t Whe ldrake , where s he h in ts a t t he p resence o f ar egu lar r ow b y 1 086 ( Sheppard , 1 966 :73 ). C ockf ield , a t f irs t s igh t l ess r egu lar , mus t n ever the less b e s een a s ar e la ted t ype , w i th e x tended f i eld p lo ts ( crof ts ) a t tached t o t he d we l l ings a nd s e t w i th in a r egu lar r ow , a nd wh i le a t er m inus a n te q ue m o f 1 250 a ppears p robab le , i ti s t e mp t ing t o wonder i fi nt h is d is t inc t ive p lan-type we s ee a f or m t ha t c ou ld r epresen t at ype o f v i l lage a t o nce c on te mporary w i th , b u t a lso t he a n teceden t o f , t he s hor t-to f ted t ypes , s urv iv ing i n ad is t inc t ive p er iphera l m i l ieu a nd n o t b e ing u sed i nt he c on tex t o f r e-deve lop men t f o l low ing d evas ta t ion o r r e-organ isa t ion . H ow f ar t hese d is t inc t ive l ongto f ted f or ms a re e n t ire ly p os t-Conques t mus t r e ma in a n o pen q ues t ion a nd we a re s t i l l f ac ing t he impasse r eached b y T horpe . Pa t tern The s tudy o f s e t t le men t p a t terns h as h e ld a n i mportan t p lace i n g eograph ica l s tud ies a nd much o f Thorpe 's o r ig ina l a na lys is w as c oncerned w i th t he l i nks b e tween t he g enera l d is tr ibu t ion o f v i l lages a nd t he v ar ied c harac ter o f t he t erra in b enea th . I n o rder t o s tudy a p a t tern i ti s n ecessary t o s eek a nswers t o t wo f unda men ta l q ues t ions :
1 .
I s t he e v idence s uf f icien t t o i ndica te t ha t ar easonab ly c o mp le te d is tr ibu t ion c an b e r econs truc ted? I nt he med ieva l c en tur ies t h is i s r are ly a p rob le m , s ince t he e v idence o f b o th l andscape a nd d ocumen ts , a l though t hese a re e asy t o a ssocia te s i mpl is t ica l ly , w i l l n or ma l ly e nsure t ha t t he c lus tered s e t t le men ts , v i l lages a nd h am le ts c an a l l b e l oca ted .
H owever , e ven i n wel l-s tud ied
a reas om iss ions c an b e e xpec ted ( Taylor , i n U cko e t a l ., 1 972 : 1 09-113 ) . There i s a n i nev i tab le g rey z one b e tween h am le ts a nd s ing le-far ms , p ar t icu lar ly when a c hange i n s ta tus h as o ccurred 3 00
a t a n e ar ly d a te a nd , f or e xa mple , many Durham ' ha l ls ' a nd ' granges ' may h ave o r ig ina ted a s s n ia l l c lus ters whose l ands were e ven tua l ly e ngrossed b y o ne d om inan t f ar m . F ig . 2i s a map s how ing a l l k nown v i l lages a nd h am le ts o f med ieva l o r ig in b u t r epresen ts mere ly o ne s tage i n t he d rawn-ou t p rocess o f i den t if ica t ion a nd c orrec t ion . " 2 .
I s i tp oss ib le t o p lace t he i nd iv idua l s e t t le men ts i n t h is d is tr ib u t ion w i th in a t e mpora l c on tex t?
T o p u t i ta no ther way , wha t
t ime-per iod i s c o mpressed i n to F ig . 2 , wh ich may i nc lude , b y d e fau l t o f e v idence , b o th p os t- med ieva l f or ms a s we l l a s f or ms e vo lved d ur ing t he e n t ire p er iod b e tween t he N or man C onques t a nd 1 500? T h is i s ad i f f icu l t p rob le m t o s o lve , a s t he e v idence i s i nev i tab ly v ar iable i nb o th q uan t i ty a nd q ua li ty a nd i n s pace a nd t ime . T he a u thor c an o n ly a dm i t t ha t n o t o n ly i s h e l ess r eady t han h e o nce was t o i den ti fy ' se t t le men t g enera t ions '. I ndeed , h e i s i ncreas ing ly d oub t fu l a bou t i n ferr ing g enera l t rends f ro m t he v ery sma l l s a mple o f i nd iv idua l s e t t le men ts i ti s p oss ible t o s tudy i n d ep th , ap rob le m c o m mon t o a rchaeo logy , g eography a nd a n thropo logy .
E xper ience i s s howing t ha t i n-dep th s tud ies ,
a nd Wharra m P ercy i s ap r i me e xa mple o f t h is , c on t inue t o r evea l t he u nexpec ted e ven a f ter e x tens ive s a mpl ing t echn iques h ave b een b rough t t o b ear , i .e . a f ter l arge a reas ( re la t ive t o o ther e xcava t ions o f s im i lar s i tes ) h ave b een e xcava ted .
The
p oss ibi l i t ies o f mean ing fu l g enera l isa t ion c oncern ing s e t t le men t b eco me i ncreas ing ly e lus ive a s o ur k nowledge , d a ta , t echn iques a nd h or izons e xpand . I np rac tica l t er ms , when d ea l ing w i th t he d is tr ibu t ion mapped i n F ig . 2i t may b e h e lpfu l t o t h ink i n t er ms o f f our s epara te c hrono log ica l p rob le ms : 1 .
An a bso lu te c hrono logy , o n ly d iscoverab le t hrough t o ta l e xcava t ion o f a l l t he s et t le men ts , i s t heore t ica l ly p oss ib le b u t i mposs ib le i n p rac t ice .
Wha t i s d ocu men ted i n F ig . 2i s , a s i t were , t he u pper
v is ib le s ur face o fp a t terns o f a c t iv i ty n ow k nown t o e x tend b ack t o t he B ronze Age .
As y e t , h owever , o ur k now ledge o f t hese
e ar l ier p a t terns i s v ery f ragmen tary a nd i n ferred f ro m i ncreas ing d iscover ies o f n ew s i tes a nd f ro m t he e v idence f or e x tens ive c learance v is ible i np o l len d iagra ms ( Bar t ley , 1 976 ) .
Th is c o m-
p le te r ea l c hrono logy i s a n u na t ta inable g oa l , ar em inder o f s cho lar ly l im i ta t ions a nd o ur t e mpora l e ncha inmen t w i th in t he p resen t . 2 .
The d ocu men tary r ecord , a s S awyer h as c ogen t ly a rgued ( 1 976: 1 -7) , r evea ls wha t may b e t er med a h ierarch ica l c hrono logy , l inked w i th t he r e la t ive impor tance o f p laces a t t he t ime when e ach d ocu men t was c o mpi led , o r i ndeed s evera l d ecades o r e ven c en tur ies e ar l ier . The mos t impor tan t p laces a re men t ioned , t he l ess impor tan t a re n o t , a s t he we l l-known f or mu la ' x ' c um s u is a ppend i t i is a t tes ts ( Barrow , 1 973 :24f f ). I nev i tably imp or tan t p laces t end t o b e men t ioned e ar l ier t han t he o ther , l ess impor tan t l oca t ions , b u t t h is i s n o g uaran tee t ha t i n t er ms o f a n
3 01
a bso lu te c hrono logy t hey e xper ienced e ar l ier o ccupa t ion : t he u n i mpor tan t p laces o f o ne p er iod may b eco me impor tan t i n t he n ex t p er iod a nd v ice v ersa , a nd when d ea l ing w i th d i f f icu l t , d isc on t inuous a nd e ar ly d ocu men ta t ion a t at ime o f c hang ing s et t lemen t c ond i t ions , i .e . b e fore t he l a te-twe l f th c en tury i n D urha m ( t o s ugges t ag enerous ly e ar ly t erm inus a n te q uern ) t hen i n terpret a t ions a re f raugh t w i th p rob lems . P lace-na mes b ear a c o mp lex a nd a t t ime amb iguous r e la t ionsh ip t o t h is h ierarch ica l c hrono logy : t hus i n F ig . 2t he c oncen tra t ion o f v i l lages t o t he e as t o f t he B arnard C as t le - Durha m - G a teshead l i ne i s s tr ik ing , a nd i s p ara l le led b y as im i lar c oncen tra t ion o f Ang lo-Saxon h . ab i ta t ive n a mes . I n v iew o f t he a ssoc ia t ion b e tween t he p resen t v i l lages ( w i th t he ir med ieva l p lans ) a nd p lace-na mes o f O ld Eng l ish o r ig in i ti s r easonab le t o i n fer t ha t t he v is ib le p a t terns o f n uc leat i on o we s o me c o mponen ts t o t he p er iod b e fore t he N or man C onques t , e ven i ft he v is ible p lans a re l arge ly o r e n t ire ly o f p os t-Conques t d eve lop men t . H owever , t he p resence o f s evera l v i l lages where s i te c hanges c an b e s ugges ted , t he e v idence f ro m t he mid land c oun t ies a nd E as t Ang l ia o f s ubs tan tia l p reC onques t s e t t le men t s i te c hanges w i th in a s ing le t ownsh ip t err i tory , mus t warn a ga ins t a ny s imp l is t ic i n terpre ta t ion o f t he p a t tern r evea led i n F ig . 2o r i ndeed s eeing t he who le s e t t le men t p a t tern o f Durha m i n t er ms o f e as t t o wes t c o lon isa t ion ( Wa t ts , i n S awyer , 1 976 :212-222 ) : a f ter a l l t o t he wes t o f t he B arnard C as t le - Durha m - G a teshead l i ne Ang lo-Saxon woodland n a mes p redo mina te . N ever the less , t he w es t a s we l l a s t he e as t i s p roducing i ncreas ing e v idence f or a s ubs tan t ia l amoun t o f R o manoB r i t ish s e t t le men t ( Bar t ley , 1 976 ; R ober ts , 1 977a :30-31 ) . 3 .
" And t hey work a nd r ender a s t hey o f B o ldon ."
T h is s ta te men t
g ives r ise t o t he t i t le o f B o ldon B ook , as urvey o f t he l ands o f t he B ishop o f Durha m c o mp i led i n 1 183 , ad escr ipt ion o f t he ' ass ised r en ts a nd c us to ms a s t hey t hen w ere , a nd f ormer ly h ad b een ' ( Greenwe l l , 1 852 :43 , 4 6 ) . Ap ara l le l migh t b e s ough t i n b orough c har ters , where t he f reedo ms a nd l i ber t ies o f o ne b orough were u sed a s a n e xe mp lar , o f ten e xp l ic i t ly
s ta ted , when
f ound ing a no ther b orough ( Beres ford , 1 967:198201) . I n t h is c ase ac hrono log ica l r e la t ionsh ip e x is ts , b u t c an we i n fer t he s a me w i th t he v i l ls wh ich r ender ' as t hey o f B o ldon ' , o r H eigh ing ton , o r Auck land?
Th is p rob le m w i l l b e e xa m ined b e low , b u t ag en-
e ra l p oin t c an b e made;
i ti s g enera l ly r ecogn ised t ha t c er ta in
r en ts a nd r enders a re o f a nc ien t o r ig in , t hus c ornage , ap ay men t a ssoc ia ted w i th h orned b eas ts i s f ound i ncumben t u pon s e t t le men ts i n Wa les , L ancash ire , C umber land , Durha m , Nor thumber land a nd p ar ts o f S co t land . I ti s c ons idered t o b e as urv iv ing p reS axon r en t f or m ( J ol l i f fe , 1 926 :41 ; B arrow , 1 969 :14-15 ) , b u t wha t d oes i tt e l l u s a bou t s e t t le men t? I ti s r easonable t o i n fer , a s t he a u thor h as d one , t ha t p ay men t imp l ies t he p resence o f ' ear ly ' s e t t le men ts? The d is tr ibu t ion i s c er ta in ly s tr ik ing ( Fig . 2i n se t ) . H ow a re we t o i n terpre t t he f ac t t ha t a n ' ear ly ' p lacen a me o ccurs a t tached t o an on-cornage p ay ing s et t le men t a t
Wo ls ingha m , wh i le ' New ton ' C ap p ays c ornage ?1 1
T he c hrono-
l ogy , b oth a bso lu te a nd r e la t ive , o f r en ts , r enders , d ues a nd s erv ices
i s p erhaps t he mos t d i f f icu l t a nd mos t u nexp lored
a spec t o f s e t t le men t g eography . 4 .
F ina l ly , t here i s t he p rob le m o f t he c hrono logy o f t he v is ib le e le men ts i n t he l andscape , t he a ge o f t he p lans , v is ib le t oday , a nd ' mapped i n F ig . 2 .
'
A t t he s ca le o f t he i nd iv idua l v i l lage
t here may b e c lear e v idence f or a c o mp lex r e la t ionsh ip : t hus t he v is ib le p lan o f K irk Merr ing ton p robab ly d eve loped w i th in t he p er iod 1 070-1200 ; t he f ac t t ha t S he lo m , o ne h a ll o f t he v i l lage , p ays t he c ornage emphas ises t he i mpos i t ion o f s uch d ues u pon t he s erv i le p easan try , b u t t he s e t t le men t u pon wh ich t h is t ax was l a id may n o t e ven l i e b enea th t he s i te o f t he p resen t S he lo m :
i t may h ave l a in t here , o r a d jacen t , o r b enea th K irk
Merr ing ton h a l l-gar th , o r , i ndeed , a long t he r idge where a r ec tangu lar e nc losure i s v is ible o n a n a ir p ho tograph . I n a n e ar l ier p aper t he a u thor a rgued t ha t t here a ppears t o b e n o d et ec tab le g enera l r e la t ionsh ip b e tween t he p resence o f p ar ticu lar p lan-types a nd ' se t t le men t g enera t ions ' , t he l a t ter b eing c rude ly measured u s ing d a te o f a ppearance i n d ocumen ts a nd t he p ay men t o f a n ' ear ly ' r en t f or m , c ornage . T he e xcep t ions a re t hose l ongt o f ted v i l lages l i ke C ock f ie ld wh ich c lear ly c oncen tra te i n t he P enn ine f oo th i l ls a nd wh ich h ave b een d iscussed a bove . T he c rud i ty o f t h is t echn ique w i l l n ow b e a pparen t . H owever , wh i le a n i n i t ia l a na lys is s ugges ted t ha t d is t inc t ive t ypes o f v i l lage p lans were n o t a ssoc ia ted w i th p ar t icu lar e s ta tes - t he p ropor t ions o f e ach p lantype b e ing e ssen t ia l ly t he s a me o n e ach g rea t e s ta te a s i nt he who le c oun ty - c loser s tudy s ugges ts t ha t t h is g enera lis a t ion n eeds q ua l i f ica t ion ( Tab le I ) . On ly t he b ishop 's e s ta tes a re l arge e nough t o p roduce f igures u pon wh ich f i rm c onc lus ions c an b e b ased , a nd i n Tab le Ia d is t inc t ion h as b een made b e tween t hose v i l lages i n d e mesne , w i th b ondage l and p resen t , a nd t he r e ma inder , s e t t le men ts s ub-in feuda ted t o l esser t enan ts o r where o n ly f reeho ld o r e xchequer r en ts a ppear . T he f igures s ugges t t ha t r egu lar p lans a re s igni f ican t ly more i mpor tan t i n t hose v i l lages h e ld i n d e mesne , wh i le t he p ropor t ions d ecl ine n o t iceably i n v i l lages o f t he s econd g roup . E ven more r evea l ing a re t he f igu res i nd ica t ing t he p resence o f d eser ted v i l lages , o r t ownsh ips where t he p resence o f ac lus ter c anno t b e v eri f ied . As t hese t o ta ls a re more o pen-ended t hey a re e xpressed a s p ercen tages o f t he more c er ta in r ota l o f s urv iv ing c lus ters . I tw i l l b e n o ted , h owever , t ha t p lan-regu lar i ty i s n ot c lose ly l inked w i th t he g rea t e s ta tes a lone ; t hese t hree a ccoun t f or n o more t han 5 4% o f a l l r egu lar t wo-row p lans w i th g reens , a nd 6 2% o f a l l p lans wh ich h ave b een s pec i f ica l ly c a tegor ised a s r egu lar ( i .e . c o lumns 1 , 2 , 4a nd 5 ) . N ever the less , t he c onc lus ion t ha t r egu lar p lans a re u nder-represen ted i n s ubin feuda ted v i l lages i s i n a ccord w i th t ha t r eached o n t he b as is o f af ar l arger s amp le b y S heppard ( 1 976 :15 ).
T he p resumpt ion mus t b e t ha t t hose v i l lages c lose ly
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t enures h ave a g rea ter l i ke l ihood o f p ossess ing r egu lar p lans t han t hose wh ich h ave b een s ubin feuda ted , ag enera l isa t ion which may r e ma in t rue a t s evera l s ca les . S ys t em The p rob le ms o u t l ined i n t he p rev ious s ec t ion b eco me more f ocussed when af ra mework i s p rov ided b y af ur ther q ues t ion ; a t wha t s ca le o f s tudy c an mean ing fu l a ssocia t ions o f f or ms b e i den ti f ied , s e ts o f v i l lages wh ich a re i n terre la ted , p erhaps f unc t iona l ly , p erhaps g ene t ica l ly? I n Durha m s uch g roups a ppear i n B o ldon B ook where a dm in is tra t ive c lusters a re d escr ibed , c lus ters t raceab le i n b o th p re- a nd p os t-twel f th c en tury s ources . T hese a ppear t o c orrespond t o t he s h ires d e f ined a nd e xa m ined b y J o l l if fe ( 1 926 ) , J ones ( 1 971) a nd B arrow ( 1 973 ) , t err i tor ia l u n i ts c on ta in ing h am le ts o r v i l lages wh ich r ender d ues a nd s erv ices . These e s ta tes may b e v ery a ncien t i ndeed , They o r ig ina te i n g roup ings o f h am le ts , sma l l c lus ters o f f ar ms , o f v ary ing s ta tus , b u t b ound t oge ther b y s hared d u t ies , r en ts a nd s erv ices , a nswerable t o ac en tra l p lace , ac h ie f v i i i , o ccup ied b y ar eeve o f b a i li f f , a nd u sua l ly p ossess ing a d e mesne .
S pec ia l is t f unc t ions , t he p resence o f t he l ord 's c our t ,
o f ac hurch , a nd t he p resence o f ar eeve , g ave e nhanced s ta tus t o c er ta in h am le ts a nd a g rea ter p o ten tia l f or g row th . S uch a rrange men ts a re d ocu men ted i n We lsh l ega l c odes , D o mesday B ook a nd c har ters a nd s urveys o f t he t wel f th a nd t h ir teen th c en tur ies a nd , J o l l i ffe , J ones a nd B arrow h ave a l l s ugges ted t ha t mu l t ip le e s ta tes o f t h is t ype , o r ig ina l ly h av ing a p ropr ie tary a nd e cono m ic u n i ty , u nder lie t he t err i tor ia l a rrangemen ts v is ible i n many p ar ts o f B r i ta in . I dea l ly a mu l t ip le e s ta te c overed a s uf f ic ien t ly l arge a rea t o embrace b o th c orn p roduc ing l ow lands a nd p as tora l u p lands . E cono m ic d eve lop men t , c o lon isa t ion , a nd t he e xpans ion o f p opu la t ion a nd t he g ran t ing o f e s ta tes a nd f i e fs b y t he c h ie f l ord l ed t o ap rocess o f f i ss ion , t he o r ig ina l h am le ts l a ter b eco m ing i ndependen t t ownsh ips w i th in t he w ider t err i tory wh ich may , a l though modi f ied , p ers is t a s as ecu lar o r e cc lesas t ica l a dm in is trat ive u n i t , h onor , h undred o r r ura l d eanery . The a nc ien t c ohes ion i s p reserved i n as er ies o f r e la t ionsh ips , b e tween manor a nd s oke o r b erewick , b e tween p ar ish a nd o u t lying c hapelry o r d ependency , b e tween e s ta te c ore a nd t he p lace-na mes o f p er iphera l s e t t le men ts ( J ones , 1 976 ) . S uch a b r ie f s u mmary h ard ly d oes j us t ice t o J ones ' h ypo thes is w i th in wh ich i ti s p oss ible t o make s ense o f many t ypes o f e v idence . One ma jor d i f f icu l ty , h owever , c oncerns t he e x ten t t o wh ich t he t err i tor ia l a rrange men ts d o i ndeed s urv ive a nd t here i s t he a dded c o mp l ica tion t ha t a mu l t ip le e s ta te c an e i ther b e ac o mpac t b lock o r made u p o f d iscre te p ar ts , a nd i n t he p rocesses o pera t ing t o s t imu la te c on t inu i ty o f d es truc t ion . I ndeed t he w ord ' con t inu i ty ' mus t a lways b e c aref u l ly q ua l if ied a s i tc an i mply many d i f feren t c oncep ts ; t hus t here may b e c on t inu i ty o f b oundar ies , o f s i te o ccupa t ion , o f t err i tor ia l o rgan isa t ion o r o f p opu la t ion .
C onversely , t here may b e c hange .
N ever the less , t here s ee m t o
b e g rounds f or s ugges ting t ha t t he mu l t ip le e s ta te mode l i s au se fu l way o f v iew ing t he s e t t le men t p rocess w i th in t he B r i t ish I s les ( J ones , i n S awyer , 1 976 ;13-40 ) . I f , a s s ee ms v ery p robab le , c er ta in o f t he v i l lage g roups d escr ibed i n Bo ldon B ook i n 1 183 r epresen t s im i lar a nc ien t e s ta tes , a nd i fa s L aps ley p oin ts o u t ( 1 905 :164 ) , t he s a me g roups d o r epresen t ' ap aren t c o m mun i ty a nd i t s
3 05
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o f fshoo ts ' , a nd i ft he p resen t v i l lage p lans o f Durha m d id i ndeed d eve lop d ur ing t he t we l f th c en tury , t hen i ti s r easonab le t o c onc lude t ha t t he mu l t ip le e s ta te mode l c ons t i tu tes a f ra mework w i th in wh ich a anean ing fu l p a t tern o f v i l lage p lans may b e e xpected t o emerge , ap a t tern d iscern ible w i th in a k nown s pa t ia l a nd t e mpora l c on tex t . T h is h ypo thes is w i l l b e t es ted w i th in o ne s uch e s ta te , t he t err i tory o f Auck landsh ire ( F ig . 4 ) . Auck landsh ire , i .e . t he t err i tory o f A lc l i t , an a me o f C e l t ic o r ig in ,
is
a
t er m a ppl ied i n 1 183 t o f our v i l ls , N or th ( B ishop ) Auck land , Wes t Auck land , E sco mb a nd N ew ton C ap ( Greenwe l l , 1 852 :62 , 6 4 ) . H owever , a s t he b ond men o f t he s h ire owed t he d u ty o f c ons truc t ing a h un t ing l odge f or t he B ishop ( or more c orrec t ly o ne-hal f o f ah un t ing l odge , t he b ond men o f S tanhope i n Wearda le c ons truc t ing t he o ther h a l f ) , t here i s as trong p resu mpt ion t ha t t he s h ire o r ig ina lly e x tended w es twards f ro m t he f our ' core ' v i l ls i n to Wearda le . I n p assing i t may b e n o ted t ha t t he b u i ld ings o f t h is l odge , ah a l l , b u t tery , c hape l , c ha mber , l arder , d og-kenne l a nd p r ivy a re e xact ly t hose c ons truc ted b y b ond men f or We lsh K ings , e xcep t ing o n ly a k i ln a nd a b arn wh ich w ere u nnec essary i n ar ura l l odge ( Owen , 1 840 :376 , 3 94 ) .
B y t he n ineteen th c en tury
Wearda le embraced t hree p ar ishes , S t . Andrew 's Auck land i n t he l ow lands , a nd Wo ls ingha m a nd S tanhope i n t he u p lands . I ti s imposs ib le t o d e mons tra te t he a n t iqu i ty o f as ing le b oundary i n F ig . 4 , b u t i ti s p oss ib le f ro m t he H is tor ia d e S ancto C u thber t° t o s how t ha t Auck landsh ire was e x tend ing i t s c on tro l t o t he s ou th o f t he G aun less i n t he t en th a nd e leven th c en tur ies , a nd p oss ib ly a lso t o t he n or th o f t he Wear , i mp ly ing p erhaps a h ear t land b e tween t he t wo r ivers ( Rober ts , 1 977b :13-15 ) . S h ires mus t n ever b e s een a s u na l ter ing r ig id b locks . N ever theless , t hese t hree p ar ishes f or med a c lear ly r ecogn isab le u n i t i n l a ter med ieva l c en tur ies a nd i ts ee ms p robab le t ha t t he t err i tory o u t l ined i n F ig . 4 i s e ssen t ia l ly t ha t wh ich c on ta ined t he p laces a ppended t o Auck landsh ire i n t he l a te e leven th a nd t wel f th c en tur ies . F ig . 5i s ac o mp lex map , s u m mar is ing t he n a ture o f t he t enur ia l a rrangemen ts w i th in t he s h ire wh ich a re d ocumen ted i n t he s urveys o f 1 183 a nd 1 380 . T he a rgu men t c oncern ing t h is p a t tern i s f u l ly d ocumen ted i n R ober ts ( 1 977b ) , b u t t wo s a l ien t p o in ts mus t b e made h ere : 1 .
The e vo lu t ion o f s e t t le men t a nd t enure a f ter 1 183 r esu l ted i n t he c rea t ion o f n ew l ands a nswer ing o n ly f or c ash r en ts . T hese a re t he f ree a nd e xchequer l ands o f F ig . 5 .
T hese w ere , h owever ,
p a id w i th in a n a dm in is tra t ive f ra mework i nher i ted f ro m t ha t p resen t i n 1 183 . 2 .
The s et t le men ts p resen t i n 1 183 w ere f ar f ro m h o mogeneous i n c haracter , c o mpr is ing v arying p ropor t ions o f d e mesne , b ondage , c o t tage a nd d rengage l and , b u t t he f unc t iona l u n i ty o f t he e s ta te was a ssoc ia ted w i th r enders a nd s erv ices d es igned t o s a t is fy t hree o b jec t ives , t he c u l t iva t ion o f t he t wo d e mesne f ar ms , t he o rgan isa t ion o f t he ' grea t h un t ' i n Wearda le , t o t he w es t , a nd t he main tenance o f t ranspor t l i nks t hroughou t t he t err i tory , t o move s urp luses t o c en tra l p o in ts f or s e ign ior ia l c onsump t ion . T hese a rrange men ts were a lready , b y 1 183 , o f c ons iderab le a n t iq u i ty a nd a ssocia ted w i th a l ong a nd c o mp lex h is tory o f s e t t le men t e vo lu t ion b e fore t ha t d a te .
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T h is t err i tory p rov ides a c on tex t w i th in wh ich t o e xa m ine t he g enera l d is tr ib u tion o f v i l lage p lantypes mapped i n F ig . 6 . T h is g enera l map , b ased u pon l a te s ources , d oes s erve t o emphas ise t he t erra in c on tras ts b y s how ing t he d is tr ibu t ion o f moor land i nt he l a te e igh teen th c en tury , b e fore e nc losure , a nd t o d e mons tra te t he e cono m ic impor tance o f t he e as tern s ec t ion o f t he s h ire . The d is tr ibu t ion o f p lantypes i nc ludes mos t t ypes f ound w i th in t he c oun ty a nd as tudy o f t he map s hows t he p resence o f t hree d is t inc t z ones : 1 .
The c ore o f t he e s ta te i n t he t r iang le b e tween t he Wear a nd G aun less h as a g roup o f r egu lar p lans .
2 .
P er iphera l t o t he l ow land a rea o f t he e s ta te a nd e x tend ing u p t he d a le a re a g roup o f p ar t-regu lar a nd v ery r egu lar , ma in ly t wor ow p lans .
3 .
B e tween t hese t wo z ones i s a n a rea c harac ter ised b y i rregu lar a gg lo mera t ions , d eser t ions , a nd h a l l-gar th c o mplexes ( i .e . a l arge h a l l , w i th a t tached c ot tages a nd s o met imes e ar thworks ) .
Th is d is tr ibu t ion , s hown i n ag enera l ised way i n F ig . 7 wh ich p rov ides b o th a f ra mework f or d iscuss ion a nd i n troduces q ues t ions c oncern ing t he s pa t ia l c hrono logy o f v is ib le p lan-types . Z one A c ons t i tu tes t he c ore o f t he e s ta te a nd c o mpr ises t he c h ie f s e t t le men t , B ishop Auck land , a nd t hree o thers ( F ig . 4 ) .
A r ecen t c lose s tudy o f B ishop Auck land b y G i l l ( 1 976:12-35 ) i n
o rder t o c o mpi le a n a rchaeo log ica l s urvey h as emphas ised t ha t t he s e t t le men t c o mpr ises f our d is t inc t s ec t ions ; ( i ) t he B ishop 's p a lace s i te , d e mons trably o ccupied s ince t he t wel f th c en tury a nd p oss ibly o ccupying t he l oca t ion k nown a s Weardsea t le ( t he ' h igh o r g uarded s ea t ' ) i n ad ocumen t o f c . 1 050 ( H inde , 1 868 :151 ) ;
( i ) t he marke t a rea , l y ing b e tween t he p a lace a nd ( ii ) t he t wo-row
g reen v i l lage o f B ondga te , t he a gr icu l tura l c o mponen t o f t he p lan . Th is l a t ter may o ccupy t he s i te o f t he o r ig ina l v i l lage o f N or th Auck land a l though G i l l h as p os tu la ted a s i te s o mewha t f ur ther s ou th where t he p lo t-ta i ls o f t he marke t a rea jo in t t he f ina l s ec t ion , ( i v ) at wo-row s treet p lan , a long t he l i ne o f t he D ere s treet , p oss ibly r epresen t ing t h ir teen th c en tury e xpans ion . B ishop Auck land was a b orough b y 1 380 , b u t i n t h is c o mp lex p lan , i ncorpora t ing measure men ts wh ich i nd ica te t he u se o f a2 1 f oo t r od , i s t o b e s een t he f ina l o u tco me o f ag enera l p rocess o r ig ina t ing d ur ing t he p er iod b o th b e fore a nd a f ter B o ldon B ook , t he e xpans ion o f t he c h ie f v i l lage o f t he e s ta te . Auck lands h ire i s e xcept iona l i n h av ing o ther v ery r egu lar p lans a dd i t iona l t o t h is c h ie f v i i i .
Wes t Auck land i s a no ma lous ;
i t s l arge s ize , i t s t enur ia l d ivers i ty , a nd
t he r ecen t e xpans ion d ocumen ted i n 1 183 a l l h in t a t a n i mpor tance wh ich i s d i f f icu l t t o e xp la in . The f ac t t ha t i ti s t he v i l lage wh ich was a cqu ired f ro m S ta indropsh ire i n t he t en th c en tury a nd b y t he t we l f th c en tury l ay c lose t o a s ec t ion o f t he P r iory e s ta tes i n l ay h ands - t he F i tz Me ldred f am i ly , may h in t t ha t p o l i t ica l f ac tors were i nvo lved . S t . H e len 's Auck land c on ta ins a t wel f th c en tury c hurch , ac hape lry o f S t . Andrew 's , b u t t he d ocumen ts r evea l n o th ing o f t he e ar lier h is tory o f t h is v i l lage , o ne o f t he mos t r egu lar p lans i n t he c oun ty .
There a re n o i nd ica t ions t ha t i t was i n f act i n t he B ishop 's h ands
t hroughou t t he t we l f th a nd t h ir teen th c en tur ies . The d ed ica t ion i s i n teres t ing a nd a s J ones ( 1 971) h as n o ted i s o ne o f ten l inked w i th t he c ore o f a mu l t iple e s ta te .
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There i s , c ur ious ly e nough , n o v i l lage n a me a t tached t o t he s e t t le men t b y t he mo ther c hurch o f t he g rea t p ar ish o f Auck land , t he p lace s i mply b e ing c a l led ' S ou th C hurch ' t oday , b u t t he n a me S t . Andrew 's Auck land i s a ppropr ia te a nd w i l l b e u sed h ere . The s i te may we l l b e t he l os t C u thber tes tun o f a n e lev en th c en tury s ource ( H inde , 1 868 :151) . T he e igh th c en tury c ross s peaks o f a n e ar l ier impor tance f or t h is s i te , b u t t he f ac t t ha t t he s even th c en tury c hurch o f Esco mb i s ac hape lry o f t h is mo ther c hurch h as y e t t o b e s a t is fac tor i ly e xpla ined . S u f f ice t o s ay , a s J ones s tresses , t ha t t he a dm in is tra t ive c en tre o f as h ire was n o t n ecessar i ly a s ing le s e t t le men t . P a lace , c hurch , b a i l i f f 's r es idence a nd f or ti f ied s trongpo in t c ou ld a l l b e d iscre te a nd t h is may b e t he s i mples t e xp lana t ion o f t he c o mp lex i ty o f t he s h ire c ore v i l lages . I ti s t e mp t ing t o s ee S t . H e len 's Auck land o r ig ina t ing i n E ls tan 's d renage o f 1 183 , b u t t h is c anno t b e p roven , f or t he p roper t ies d evo lv ing f ro m t h is c anno t b e t raced w i th c er ta in ty . Z ones C a nd D r epresen t t hose p or t ions o f t he s h ire wh ich were p er iphera l a nd were u ndergo ing d eve lop men t i nt he t wel f th c en tury ( i gnor ing Z one E - a n a rea o f s ing lefar ms a nd h am le ts c rea ted d ur ing t he t h ir teen th c en tury a nd l a ter ) . These p er iphera l a reas a re c harac ter ised b y p ar t-regu lar a nd v ery r egu lar p lans , o f ten w i th l ongto f ts . T he u l t i ma te r oo ts o f s e t t le men t a re u ndoub ted ly v ery much o lder , b u t t he v is ib le p lans o f p laces l i ke B yers Green , H unwick , Wi t ton l e Wear , H a ms ter ley , Wo ls ingha m , F ros ter ley a nd S tanhope r epresen t c rea t ions f a l l ing i nt he p er iod 1 100 t o 1 250 , a l though a d a te a s e ar ly a s 1 050 c anno t b e e n t ire ly e xc luded . S o me o f t hese p lans c ou ld b e t he r esu l t o f r ep lann ing f o l low ing d evas ta t ion o r r e-organ isa t ion a nd s o me w i l l r epresen t n ew f ounda t ions . As was n o ted e ar l ier t he C ock f ie ld t ype o f v i llage i s ac o lon is ing f or m , a nd i ti s s ure ly n o t p ure a cciden t t ha t o n ly t hose v i l lages n o t p ossess ing l ong t of ts , i .e . Hunw ick , E venwood , Wi t ton l e Wear a nd E ldon , a ppear i n t he r ecords b e fore 1 050 . Ac ase c an b e made f or t he l a te f ounda t ion o f t he p resen t v i l lages o f Wo ls ingha m , S tanhope a nd B yers G reen ( Rober ts , 1 977b :42-44 ) . F ros ter ley was a pparen t ly p resen t i n 1 183 , b u t t he N or man-French e le men t i nt he n a me h in ts a t r ecen t f ounda t ion . A t H a ms ter ley t he E ar ly Eng l ish c hurch l i es a q uar ter o f am i le f ro m t he p resen t v i l lage , a nd we may b e s ee ing h ere a c o mbina t ion o f r e-organ isa t ion a nd c o lon isa t ion . T h is i n troduces a d i f f icu l t p rob le m : t he n on-appearance o f ap lace i n t he d ocu men tary r ecord d oes n o t i mp ly t ha t i t was n o t p resen t a t av ery e ar ly d a te , o n ly t ha t i s was p robab ly r e la t ively u n i mpor tan t .
The c ase o f Wo ls ing-
h am , av i l lage w i th b ondage t enan ts i n 1 183 , b u t s ign i f ican tly h o ld ing f ar ms d escr ibed i n a cres n o t b ova tes a nd mere ly d escr ibed a s al anda o r f ores t c lear ing i n 1 146 s hows t he p rob le m ( O f f ler , 1 9 8 :155-6 ) : t he v i l lages mus t h ave o f ten g rown f ro m p re-ex is t ing f ar ms o r h am le ts a s ar esu l t o f n a tura l i ncrease o r d e l ibera te c o lon isa t ion . T o r e turn t o C ock f ie ld ( F ig . 3 ) , i ti s n o t imposs ib le t ha t t he h a l l-gar th r epresen ts a s i te o ccupied l ong b e fore t he v i l lage r ow was a ppended .
T o p u t i ta no ther way i ti s p oss ib le t ha t s o me o f t he r a ther
c ur ious s e t t le men t f ea tures o f Z one B r e f lec t as i tua t ion p reced ing t he f oundat i on o f t he r egu lar p lans .
Th is i s ap oin t t o b e r e turned t o i n af ina l s ec t ion .
The h ypo thes is i s s hown d iagra m ma t ica l ly i n c ross-sec t ion . T he r egu lar r ow p lans o f t he t wel f th a nd t h ir teen th c en tur ies may b e t hough o f a s al ayer , s uper i mposed u pon a nd p ar t ia l ly d es troy ing i t s a n teceden ts . I n t he b ody o f t he e s ta te , h owever Z one B i s a mix ture o f i rregu lar s e t t le men ts , o n l and 3 12
c o lon ised l ong b e fore 1 183 , i ndeed b e fore 1 050 , a nd a lready i n t he h ands o f d rengs , v i l lage c o m mun i t ies a nd o thers .
Two p oss ib i l i t ies e x is t ;
( 4 i ft h is
a rea e xper ienced e x tensv ie d evas ta t ion t hen i t was r e-se t t led i n a way n o t e ncourag ing t he emergence o f g roup-se t t le men ts s table e nough t o a cqu ire a nd p reserve r egu lar p lans a nd ( i ) i fi t was n o t d evas ta ted , t hen t he f unc t ion ing s ys te m r equ ired n o n ew r e-organ isa t ion - t ha t a t t he e s ta te c ore b eing e xcept iona l a nd r e f lec t ing e nhanced s ta tus a s e cono m ic l i fe q u ickened . C er ta in ly Esco mb i n i t s d eep v a l ley a nd E venwood , w e l l away f ro m r ou tes c ou ld we l l h ave e scaped d evas ta t ion , wh i le L u t ter ing ton , Wes t Auck land a nd N or th ( B ishop ) Auck land may h ave b een more p rone , l y ing a s t hey d o a d jacen t t o t he R o man Dere S treet . On b alance , o ne c an c onc lude t ha t i fa ny s e t t le men ts i n Durha m d o c on ta in p lan s truc tures d a t ing f ro m b e fore t he t wel f th c en tury t hey s hou ld b e s ough t w i th in Z one B . Th is a rgu men t o u t l ines wha t t o t he a u thor a ppear t o b e r easonab le g rounds f or c onc lud ing t ha t t he s h ire i s i ndeed t he r igh t c on tex t w i th in wh ich t o e xplore t he e vo lu t ion o f s e t t le men t f or ms , i ndeed t he e vo lu t ion o f t he e n t ire s ys te m o f s et tle men t .
T h is h ypo thes is n ow r equ ires t es t ing i n t wo ways , f irs t , b y
e xa m in ing t he s i tua t ion w i th in o ther mu l t ip le e s ta tes . Un for tuna te ly t h is i s f ar f ro m e asy . T he s h ires t o t he s ou th a re p oor ly d ocu men ted , t o t he e as t v ery much sma l ler a nd l ack t he s harp t erra in c on tras ts . S econd ly , a nd p oss ibly more impor tan t ly , t h is h ypo thes is c an , a nd i ndeed w i l l , b e t es ted b y e xcava t ion . The s i te o f N or th Auck land i s c urren t ly b e ing s ough t i n a n e xcav a t ion , wh i le w ork a t H ar t ( Aus t in , 1 976 ) , d e mons tra tes t he l inks wh ich c an b e f orged b e tween t he g eograph ica l s tudy o f s e t t le men t a nd t he a rchaeo log ica l t echn iques o f f i e ld-wa lk ing a nd e xcava t ion w i th in t he c on tex t o f s uch a n a nc ien t e s ta te . D iscuss ion a nd Ques t ions There a re g rounds f or s ugges t ing t ha t we a re d ea l ing w i th a s i tua t ion i n wh ich g enera l t endenc ies , s t i l l l ess r u les o r l aws , a re n o t d iscern ib le w i th in o ur p resen t s ta te o f k now ledge , i ndeed i ti s improbable t ha t t he s tudy o f v i l lage p lans w i l l e ver p roduce u n iversa l ly a pp l icab le g enera l isa t ions , v a l id o ver l arge a reas o f s pace a nd t ime .
F or t h is r eason t he d raw ing o f p ara l le ls b etween
C oun ty Durha m a nd S cand inav ia ( Göransson , 1 958 ; H an .nerberg , 1 959 ; H as trup , 1 964 ) , where r e markab ly s im i lar p lans o ccur , a nd s t i l l l ess w i th E as tern Europe ( Aub in , i n P os tan , 1 966:449-86 ; Mayhew , 1 973 :50-8 , 7 7-84 ) , where a pparen t ly s im i lar p lans a ppear , h as b een a vo ided . I n t he s tudy o f p lans , b ecause e ach r epresen ts a s epara te a nd o f ten i nd iv idua l r esponse t o p ressures , h abi ts a nd f orces wh ich h ave v ar ied b o th s pa t ia l ly a nd t e mpora l ly , d iscon t inu i t ies , e xcep t ions , s pa tia l a nd t e mpora l a ssy me tr ies a nd p la in c on trad ic t ions a bound . N ever the less , a s p lanned s e t t le men ts i n I srae l a nd n or th-eas tern S co t land a t tes t , c ircums tances d o a r ise i n wh ich r ela t ive u n i for m i ty o f s et t lemen t p lans c an b e imposed t hroughou t l arge r eg ions . ( B lake , 1 969 ; Wa l ton , 1 963 ) . There i s c lear e v idence t hroughou t C oun ty Durha m , a nd i ndeed n or thern Eng land , o f t he impos i t ion o f a' v i l lage i dea ' , a nd t here a re g rounds f or a rgui ng t ha t t h is o ccurred b e tween t he c los ing y ears o f t he e leven th c en tury a nd t he o pen ing d ecades o f t he t h ir teen th c en tury . T o s ay t he l eas t , t h is r a ises q ues t ions . The p ressures g enera t ing t hese r e la t ive ly l arge n uc lea ted v i l lages h ave y e t t o b e s a t is factor i ly d e f ined , b u t t here i s i ncreas ing e v idence f ro m e lsewhere , n o tab ly f ro m t he E as t M id lands ( Tay lor , i n R ow ley , 1 974 :8-9 ) 3 13
a nd E as t Ang l ia ( Wade- Mar t ins , i n F ow ler , 1 975 :135-157 ) , t o s ugges t t ha t t he l arge c lus ters p resen t i nt he M idd le Ages a nd l a ter a re , r e la t ive ly s peak ing , l a te-co mers t o t he r ura l s r cene , a nd t ha t Ang lo-Saxon s e t t le men ts w ere o f ten more n umerous , more d ispersed a nd more f lu id t han h as h i ther to b een a pprec ia ted .
I ndeed , i ti s imposs ib le t o d ivorce a ny d iscuss ions o f t he o r ig ins o f
t he med ieva l s e t t le men t p a t tern f ro m t he p ro l i f ic e v idence b eco m ing a va i lab le f or g rea t d ens i t ies o f R o mano-Br i t ish s e t t le men t , wha t T ay lor h as , w i th j us t ice , t er med t he t rue q uan t i ta t ive r evo lu t ion i n a rchaeo logy ( I n F ow ler , 1 975 :119 ) . F ig . 8h as b een c o mpi led i n o rder t o p erm i t s o me measure o f g enera l isat ion a nd s um mary , a nd t o l ead t owards f ur ther q ues t ions . I ti den ti f ies a n umber o f p lantypes r ecogn isab le i n t he n or thern c oun t ies o f Eng land , a l l b u t o ne b e ing me mbers o f t he f am i ly o f r ow v i l lages i ncorpora t ing a marked meas ure o f g eo metr ic r egu lar i ty . I n C oun ty Durham t here a re o n ly a v ery l im i ted n umber o f t he mos t r egu lar p lans ( F ig . 8 a ) , w i th s trong ly r ectangu lar l ines , s hor t t o f ts , t win p ara l le l b ack-lanes a nd a s tree t a x is r a ther t han a g reen . The s a mp le i s t oo sma l l t o p er m i t f ir m c onclus ions , b u t E ast B o ldon may b e al a te t h ir teen th c en tury o r e ven a f our teen th c en tury c rea t ion ( Rober ts , 1 977b : 3 4-35 ) . I ti s t h is t ype wh ich p ara l lels mos t c lose ly t he more r egu lar c on t ine n ta l f or ms . The s tandard Durha m v i l lage ( F ig . 8 b a nd c ) i s l ess r ig id ly g eo me tr ic , u susa l ly p ossess ing a r ow o f s hor t t o f ts f ron t ing o n to a g reen , t he who le s e t t le men t f a l l ing b e tween 3 00 a nd 7 00 me tres i n l eng th , 3 -400 me tres b e ing mos t u sua l . Ap roduc t o f e s ta te r e-organ isa t ion a nd p robably r egu la t ion t h is t ype n or ma l ly h as t he manor-house , h a l lgar th o r c h ie f f ar m i ncorpora ted i n to t he s truc ture o f t he r ow ,
a nd i n t he c ase o f i mpor tan t v i l lages t he g reen
i s e xpanded t o f or m a l arge r ec tangu lar a rea s urrounded b y mu l t iple r ows , l i ke H e igh ing ton ( F ig . 3 ) . F ig . 8 d s hows a t ype o f a rrange men t wh ich maybe more c o mmon t han h as h i ther to b een a pprec ia ted , c o mpr is ing a s hor t to f ted v i l lage s e t w i th in a n a rea o f s peci f ica l ly d el im i ted f i e ld l and :
c oncern ing We ldrake ( Yorks .) S heppard
( 1 966 ) a rgued t ha t i t was a t ur f-dyke wh ich r epresen ted t he l im it o f t he e leven th c en tury a rab le . I ft h is i s i ndeed s o , t hen i ti s a n impor tan t o bserv a tion a s t h is p hys ica l b oundary may r epresen t o ne s pa t ia l a nd t e mpora l l im i t o f a ssessed l and , i .e . l and d iv ided i n to r egu lar f isca l t ene men ts , b ova tes v irga tes e tc . As D odgshon ( 1 975 ) h as c ogen t ly a rgued t he d is t inc t ion b e tween a ssessed a nd n on-assessed l and , a nd t he d a te b eyond wh ich n ew i ncre men ts o f l and were n o l onger i ncorpora ted i n to t he y ard lands a nd b ova tes o f t he f or mer i s c r i t ica l i n u nders tand ing t he e vo lu t ion o f at ownsh ip 's l and u n i t f ra mework:
t ha t t h is i s o f c rucia l impor tance i n u nrave l l ing v i l lage-f ie ld
s ys te m l inks i s e v iden t . I t may b e s ign i f ican t t ha t a t b o th C ar l ton ( Co. Durha m ) , ( t he b as is f or t he g enera l isa tion i n F ig . 8 d ) a nd Whe ldrake ( Yorks .) t he f ac tor o f r e-se t t le men t f o l low ing d evas ta t ion may h ave b een i nvo lved . V i l lages o f t he C ock f ie ld t ype ( F ig . 8 e ) r a ise many q ues tions . They i ncorp ora te a v i l lage-f ie ld s tr ip i n t i macy a bsen t i nt ypes a -c , b u t p erhaps p resen t i n t ype d ; a rgumen ts p resen ted a bove p os tu la te a l i nk w i th t he t we lf th c en tury p ioneer f r inge , a nd i nt hese c ases t he h a l lgar th , o r c h ief f ar m , d oes n o t l i e w i th in t he r ow , b u t i s p er iphera l t o i to r s o me d is tance r e moved . Th is h in ts t ha t t he r ow-co mponan t may h ave b een g raf ted o n to a p re-ex is t ing s e t t le men t , p erhaps t o t ake more t enan ts d ur ing a ( t we l f th-cen tury ) p hase o f e xpans ion , 3 14
V ILLAGE P LAN T YPES 9
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f or t he c onc lus ion c oncern ing t he g enera l c o lon is ing c on tex t i n n o way e xc ludes t he p resence o f p retwel f th c en tury s e t t le men t o n o r n ear t he s i te o ft he l a ter v i l lage . I ft h is i s i ndeed t he c ase , a nd r ows w ere a ccre ted t o e x is t ing n uc le i ( and Wharra m P ercy warns t ha t t h is may n o t a lways h ave b een a s imp le p rocess ) t hen t he l ong t o f ts may r epresen t af oo tho ld f ur long .
I ti s t e mpt ing t o s pecu-
l a te t ha t , i ft he a rgu men ts p u t f orward c oncern ing i rregu lar a gg lo mera t ions l ike E venwood ( Fig . 8 g ) a nd F ig . 3 ) a re i ndeed c orrect , a nd i ft h is d oes r epr esen t a n " ear l ier" p lan-type ( and t h is v i l lage d id s igni f ican t ly p ossess b ova ted l and ) t hen i n ac ase l i ke C ock f ie ld , t he r ow a dd i t ions may h ave b een g ra f ted o n t o a n e x is t ing i rregu lar c lus ter . A l l o f t he r egu lar r ow p lans c ou ld i ndeed r epresen t l a te a rr iva ls o n t he s e t t le men t s cene , s o me d es troying a nd r ep lac ing i rregu lar c lus ters , o thers p laced a d jacen t t o t he m , wh i le t he r es t were p laced u ponf resh s i tes . There a re n o r easons f or a ssu m ing t ha t t he e vo lu tion o f t he i rregu lar a gg lomera t ions h as a h is tory a ny l ess c o mp lex t han t ha t o f t he r egu lar r ows . F ig . 8 h , d raw ing u pon o bserva t ions i n Durham a nd i t mus t b e a dm i t ted , s o me i nsp irr a t ion f ro m S cand inav ian ( Rönnese th , 1 975 ) s ources , d epic ts d iagra m ma t ica l ly o ne p oss ib le r e la t ionsh ip b e tween t he d we l ling a rea , f i e ld l and a nd o u t-pas tures d iscussed i nt he b eg inn ing o f t h is p aper . T h is l ayou t , a t tenua ted b ecause o f p hys ica l c ons tra in ts , e vo lved i n Wearda le d ur ing t he p er iod b etween 1 400 a nd 1 800 , w i th s ing le f arms b eco m ing sma l l h am le ts ( Rober ts , 1 977a :177-183 ). I n wes t Durha m s uch c lus ters h ave s urv ived , b u t i ti s n o t h ard t o e nv isage s ocia l a nd e cono m ic c ircu ms tances , n o tab ly t he d e l ibera te e s tabl ish men t o f a n earby r ow a nd t he r e mova l o f t enan ts t o t h is , wh ich c ou ld l eave o ne f arm t he u nd ispu ted mas ter o f t he o ld s e t t led a rea , w i th t he more i n tens ive ly h usbanded ( bu t n o t n ecessar i ly ' be t ter ' ) s o i ls .
I ft h is s pecu la t ion c on ta ins e ven a g ra in
o f t ru th t hen manor h ouse s i tes a d jacen t t o , b u t n o t p ar t o f , r egu lar r ows may b e wor thy o f v ery c are fu l a rchaeo log ica l a t ten t ion , wh i le t he d e l ibera te j ux tap os i t ion o f F ig . 8 h a nd 8 i t he e xcava ted p lan o f T h ir l ings , N or thumber land , a n Ang lo-Saxon s e t tle men t , emphas ises t he n eed f or t he a rchaeo log ica l e xp lor a tion o f s e t t le men t/ land l inks .
1 2
N ever the less , F ig . 8 h r epresen ts o n ly o ne
p oss ib le c o mbina t ion o f r e la t ionsh ips a nd , t o g ive b u t o ne i ns tance o f s o me v ar ia t ions , p r iva te d we l l ings c ou ld b e p laced u pon t he i nner p as ture , p er iphera l t o i nner p as ture a nd f i e ld l and , o r w i th in t he f i e ld l and .
S uch d i f ferences may
b e e n t ire ly r ando m o r f unc t ion a l ly s ign i f ican t , b u t we mus t p rove t he ir e x is tence i nt he r e mo te p as t b e fore we c an s pecu la te c oncern ing t he ir impor tance . F ig . 8 f i s ar em inder o f work t o b e d one :
C umber land v i l lages a re n o t
i den t ica l t o t hose o f Durha m . C lose s truc tura l f ar m-f ie ld r e la t ionsh ips a re c o m mon , i .e . w i th t he f arm p laced u pon a f i e ld p lo t , a nd p lans a re q u i te d ist inc t .
F ac i le c orre la t ions a re d angerous , e ven more s o when i n p r in t , b u t
n o o ne c oncerned w i th s e t t le men t s tud ies c ou ld r ead t he e n try i n t he Ang loS axon C hron ic le f or t he y ear 1 092 w i thou t a sk ing f ur ther q ues t ions : " in t h is y ear K ing Wi l l ia m ( I ) wen t n or th t o C ar l is le w i th g rea t l ev ies , a nd r es tored t he t own , a nd b u i l t t he c as t le T hereaf ter h e r e turned h i ther s ou thwards , s end ing v ery many p easan ts t h i ther w i th t he ir w ives a nd l i ves tock t o s e t t le t here a nd t i l l t he s o i l . "13
3 16
F oo tno tes 1 .
A l l t he maps u sed i n F igure 0 1 a re b ased u pon t he Ordnance S urvey 1 : 1 0 ,560 f irs t e d i t ion maps , w i th t he e xcep t ion o f S ou th C har l ton ( A lnw ick C as t le ms . 0 . 1X , 3 ) a nd Wa lbo t t le ( A lnw ick C as t le ms . 0 . XV I I , 3 ) c onsu l ted b y k ind p er m iss ion o f H is G race t he Duke o f N or thumber land .
2 .
F igure 0 2 d raws u pon a v ar ie ty o f s ources , n otab ly t he Durham T i the maps ( Dep t . o f P a leography a nd D ip lo ma t ic , Un ivers i ty o f Durham , h erea f ter D .P .D.) , Ordnance S urvey 1 :10 ,560 a nd 1 :2500 maps , 1 854-7, a nd f i e ld-work . T he s ources f or F igure 0 3 were a s f o l lows ; C ock f ie ld , T i the map , 1 837 ( D .P.D.) , a n e s ta te map o f 1 811 ( Raby E s ta te O f f ice ) , p r in ted i n R ober ts , 1 972 :
F ig . 5 6, a nd f i e ld work ;
H e igh ing ton , T i the map , 1 838
( D.P. D .) ; F erry h i l l , i b id ; H ead la m , e s ta te map o f 1 731 ( Baby E s ta te O f f ice ) a nd E venwood , a n e s ta te map o f 1 823 ( Durha m C .R .O. ) . T he B aby e s ta te ma ter ia l was c onsu l ted b y k ind p er m iss ion o f L ord B arnard . F ie ld work was u nder taken w i th t he a ss is tance o f ag ran t f ro m t he Un iv ers i ty o f Durha m . The p ropor t ions o f r egu lar r ow p lans i n Durham i s 6 6 .0% , Cumber land 3 6.0% a nd i n f i f ty N or thumber land v i l lages w i th e ar ly s even teen th c en tury maps , 6 4.0% ; i fi rregu lar p lans a re i nc luded , many o f wh ich a re s tr ic t ly p ar t-regu lar , t hen t he f igures a re 8 2.5% , 6 5% a nd 8 6% . S heppard ( 1 976 ) g ives a r e markab le a na lys is o f p lan r egu lar i ty i n Yorksh ire . T he map e v idence , o n ly d er ived f ro m t he g rea t e s ta tes , i s u ndoub ted ly b iased , s o t ha t t he N or thu mbr ian f igures s ugges t ag rea ter d egree o f r egu lar i ty was p resen t t han wou ld a l arger s a mp le d raw ing u pon a g rea ter r ange o f ma ter ia l . 3 .
G ard a nd S hr i mp ton ( 1 972 ) , i n troduc tion a nd i t e ms 2 4-7, e xp la in t he e xt ens ive r ebu i lding i n N or thumber land ; w i th t he p oss ib le e xcep t ion o f t he B aby e s ta tes , t h is l arge-sca le r ebu i ld ing was a bsen t f ro m Durha m . S even teen th c en tury s urveys f ro m b o th C u mber land a nd N or thumber land s ugges t t ha t s tone b u i ld ings were s t i l l c o mpara t ive ly r are a nd t he ' s tone h ouse ' was u sed a s as peci f ic d es igna t ion .
4 .
S even teen th c en tury s urveys a nd t err iers f ro m Cumber land a nd N or thu mberl and n or ma l ly c as t t heir v i l lage d escr ip t ions i n t er ms o f t he n umber o f r ows p resen t ; s ee A lnw ick C as t le mss ., n otably I Vayson 's s urvey ( 1 6122 0 ).
A .I V , 1 -15 , a nd t he ' f a ir c opy ' The E xe mp li f ica t ion o f Mayson 's
S urvey , ( 1 622 ) , A . V ., 1 -9 . The s a me t echn ique i s u sed b y G . C larkson , A Descr ip t iön a nd S urvey o f D ivers o f t he P ossess ions o f t he R igh t H onourab le t he E ar l o f N or thumber land : ... 1 566 ( 1567 ) , A .I , 1 . The s e t t le men ts o f G i ls land , C umber land , t rea ted i n L ord Wi l l iam H oward 's s urvey t aken i n 1 603 , ' The B arony o f G i ls land ' , Cumber land a nd Wes t mor land An tiquar ian a nd Archaeo log ica l S oc ie ty , E x tra S er ies , XV I ( e d . T . H . B . Graha m , 1 934 ) d escr ibes a g rea ter v ar ie ty o f f or ms a nd r ow s truc tures a re l ess c o m mon .
F or med ieva l s ources s ee R ober ts ( 1 972 a nd 1 977b ) a nd
S heppard ( 1 966 , 1 974 , 1 976 ) . 3 17
' The i mpor tan t Durha m r en ta l was p ubl ished b y C . M . F raser , 1 955 . " Archaeo log ia Ae l ieina , X )OC E I ( 4 th S er ies ) :35-60 . 5 .
There i s ac er ta in p aradox h ere ;
t he o pen-f ie ld l andscapes o f C oun ty
Durha m were e nc losed i nt he s even teen th c en tury ( Leonard , 1 905 , H odgson , i n B aker a nd H ar ley , 1 973 :140-152 , a nd B aker a nd Bu t l in , 1 973 :93-144 ) , e nc losures a ssoc ia ted w i th a s w ing t owards p as tora l p roduc ts .
N ever the less , Durha m c lear ly e scaped t he a t ten t ion o f i m-
p rov ing l and lords o n as ca le t o t ha t f ound i n N or thu mber land .
Th is
i s o ne impor tan t r eason why a n o lder g enera t ion o f v i l lage p lans a re s t i l l v is ible .
T o p u t t h is a no ther way , i n N or thu mber land t he v i l lage
p lans v is ib le o n s even teen th c en tury maps c an o n ly b e r e la ted t o p resen t p lans w i th d i f f icu l ty b ecause o f t he f i l ter o f e igh teen th a nd n ine teen th c en tury improve men ts . 6 .
Th is c an b e f ound i n t he N or thumber land v i l lage o f Ack l ing ton : C as t le mss . A .V , 6 ;
A .I , 1 p .
A lnw ick
S ee a lso N or thumber land C oun ty H is-
t ory C om m i t tee , H is tory o f N or thu mber land e d . E . B a teson , e t a l ., 1 893-1940 , V , 3 62-376 ;
B aker a nd B u t l in ( 1 973 ) :93-144 , e specia l ly
1 17-8 . 7 .
R ober ts ( 1972 , n o te 2 0 a nd W. P age , V ic tor ia C oun ty H is tory o f D urha m I ( 1 907) , where t he l i s ts o f d ea ths w i th in t he v i l ls o f t he C a thedra l P r iory e s ta tes a re l i s ted .
8 .
T o f ts c harac ter is t ica l ly t ake t he f or m o f ar ec tang le o f t he p ropor t ions 1 :2 o r 1 :5 , w i th a s hor t s ide f ron t ing o n to t he s tree t a long t he t of t h ead • l ine ( wh ich may n o t b e t he s a me a s t he b u i ld ing l ine ) , a nd t er m ina t ing i n t he t o f t t a i l l ine ( t he ' back fron t ' , A ln . C as . ms . A .I , 1 p ) where t he f ie ld l and b eg ins .
I n p rac t ice i ti s h e lp fu l t o d is t ingu ish b e tween n or ma l
o r ' shor t ' t of ts , l ess t han 1 50 m i n l eng th ( e .g . F erryh i l l , F ig . 0 3 ) , ' l ong t o f ts ' , o r more p roper ly ' l ong c ro f ts ' ( f or t hey r epresen t s pec ia l f ie ld l ands ) n or ma l ly b e tween 2 00-250 m ( e .g . C ock f ie ld , F ig . 0 3 ) a nd s tr ip c ro f ts , n or ma l ly i n e xcess o f 3 50 m i n l eng th ( e .g . H ayton , C u mb ., s hown d iagra ma t ica lly i n F ig . 0 8 f ) . c on tras ts i nvo lved .
F igure 0 8 emphas ises t he s ca le
Measure men ts a re made f ro m t he t o f t h ead t o t he
t o f t t a i l . C larkson i n 1 567 r e fers t o ' cro f t l ands ' a nd a ppears t o mean t hose f i eld s tr ips wh ich a bu t t he s hor t t o f ts o f av i l lage , wh i le i n Ack ling ton h e n o tes , i n a marg ina l a dd i t ion , t ha t t he ' crof ts were i nclosed a nd d yked s evera l ly ' ( A ln . C as . ms . A . I , 1 p ) .
I n C ar l ton , C o . Durha m , ' g arrends '
i .e . g ar th-ends , were a dded t o t he t o f ts i n 1 658 ( see S ladden 's i ndex o f H a l mo te c our t b ook e n tr ies , D . P . D ., C ar l ton , S tock ton manor , c ards 1 4 , 3 5 , 4 2 , 5 9 , 6 4 , 8 3 a nd 1 25 , a nd H a l mote C our t B ook f or S tock ton Manor , I , 1 655-59 , 8 2 f . 9 .
K i l l ingwor th S urvey , N ewcas t le C en tra l L ibrary , Ph i l lips mss . n o . 1 7242 , 3 -4 a nd 1 5 .
1 0 .
Two e xa mp les may b e c i ted :
Wadswor th , n ear B ishop Auck land ( NZ
1 82314 ) b ears a n u ndoub ted Ang lo-Saxon n ame , y e t i s n o t al oca l i ty d escr ibed i n e ar ly s urveys ;
A lwen t ( NZ 1 43186 ) s hows s igns o n t he 3 18
Ordnance S urvey f irs t e d i t ion 1 :10 ,560 maps o f h av ing o nce p ossessed t hree f ie lds , a l though i ti s n o t at ownsh ip i n t he n ine teen th c en tury . 1 1.
Wo ls ingha m (Wa t ts , i n D ewdney , 1 970 :254 ) i s n o ted a s ap rob le m b ecause o f t he ' ear ly ' t ype o f p lace-na me a ssoc ia ted w i th a n i so la ted l oca t ion ( Wa t ts , i n S awyer , 1 976 :
F ig . 2 0-4 ) , b u t i tp ays n o c ornage a nd t he
a u thor wou ld s ugges t t ha t t h is may b e ac ase o f ar e la t ive ly e ar ly s e t t lemen t b u t al a te v i l lage .
N ew ton C ap p ays c ornage , an eowa t un , b u t i s
s peci f ica l ly men t ioned a s e ar ly a s t he e piscopa te o f A ldhun , 9 90-1019 ( Cras ter , 1 954 :194-5 , H inde , 1 868 :151) . 1 2.
The Th ir l ing 's p lan i s r eproduced b y k ind p er m iss ion o f t he e xcava tor , B oger Mike t .
1 3 .
Ang lo-Saxon C hron ic le , s ub a nno 1 092 .
B ib l iography Aus t in , D ., 1 976.
" F ie ldwork a nd E xcava t ion a t H ar t , C o . Durha m" .
Archaeo l e ia A el iana , 5 th S er . I V :69-132 . Baker , A . R . H ., ( ed .) , 1 972 .
P rogress i n H is tor ica l G eography , N ew ton
Abbo t . Baker , A . R . H . a nd Bu t l in , R . A ., 1 973 .
S tud ies o f F ie ld S ys te ms i n t he
Br i t ish I s les , C a mbr idge . Baker , A . R . H . a nd H ar ley , J . B ., ( eds .) , 1 973 .
Man Made t he L and ,
N ew ton A bbo t . Barrow , G . W. S ., 1 969 . t een th C en tur ies" . Barrow , G . W. S ., 1 973 .
"Nor thern Eng l ish S oc ie ty i n t he Twel f th a nd Th irN or thern H is tory I V :1-28 . The K ingdo m o f t he S co ts .
Bar tley , D . D . e t . a l ., 1 976 . E as t Durha m" . Beres ford , G ., 1 975 .
" The V ege ta t iona l H is tory o f P ar ts o f S ou th a nd
N ew P hy to log is t , 7 7:437-468 . The Med ieva l C lay-Land V i l lage :
G o l tho a nd B ar ton B loun t . S er ies :
L ondon .
E xcava t ions a t
S ocie ty f or Med ieva l Archaeology , Monograph
N o . 6 .
B eres ford , M. W., 1 967 .
N ew T owns o f t he M idd le Ages .
B eres ford , M. W . a nd H urs t , J . G ., 1 971.
L ondon .
D eser ted Medieva l V i l lages .
L ondon . Beres ford , M . W . a nd S t . J oseph , J . K . S ., 1 958 . Aer ia l S urvey.
Med ieva l Eng land :
a n
C a mbr idge .
Brunsk i l l , R . W., 1 971.
I l lus tra ted H andbook o f Vernacu lar Arch i tec ture .
L ondon . C lack , P . A . G . a nd G os l ing , P . F ., 1 976.
Archaeology i n t he N or th
N or thern Archaeo log ica l S urvey f or H .M. S . O . C ras ter , E ., 1 954 .
" The P a tr i mony o f S t . C u thber t '.
R ev iew CCLXX I :177-199 .
3 19
Eng l ish H is tor ica l
Den man , D .R ., 1 967.
C o m mon L ands a nd V i l lage G reens .
Dewdney , J .C . ( ed .) , 1 970 . Assoc ia t ion )
Durha m C oun ty a nd C i ty w i th T eess ide ( Br i t ish
Durha m .
D ick inson , P ., 1 957 .
An H is tor ica l G eography o f C oun ty Durha m Dur ing
The M idd le Ages . Dodgshan , R .A ., 1 975 .
Unpub l ished P h .D . Thes is , U n ivers i ty o f Durha m . " In f ie ld-ou t f ie ld a nd t he T err i tor ia l Expans ion o f
t he Eng l ish T ownsh ip" . Ekwa l l , E ., 1 970 .
L ondon .
J ourna l o f H is tor ica l G eography 1 (4 ) :327-345 .
The C onc ise Ox ford D ic t ionary o f Eng l ish P lace-Na mes .
Ox ford . F ow ler , P .J ., 1 975 . Fraser , D ., 1 969 .
R ecen t Work i n Rura l Archaeo logy .
B rad ford-on-Avon .
V i l lage P lann ing i n t he P r im i t ive Wor ld .
Gard , R . a nd S hr i mp ton , C ., 1 972 .
L ondon .
A R evo lu t ion i n Agr icu l ture , Un ivers i ty
o f N ewcas t le u pon Tyne , Arch ive T each ing Un i t , 8 . G i l l , B ., 1 976 .
B ishop Auck land :
An Archaeo log ica l S urvey
Un ivers i ty o f
Durha m . G öransson , S ., 1 958 .
" F ie ld a nd V i l lage o n t he I s land o f O land :
aS tudy o f
t he G ene t ic C o mpound o f a n E as t S wed ish R ura l Landscape" , G eogra f iska Anna ler XL :101-158 . Greenwe l l , W., 1 852 .
B o ldon Buke .
S ur tees S ocie ty .
XXV .
Greenwe l l , W., 1 857.
B ishop Ha t f ie ld 's S urvey .
Greenwe l l , W ., 1 872 .
F eodar iu m P r iora tus Dune l mens is .
S ur tees S ocie ty. 2 0 CX EL. S ur tees S oc ie ty .
LV I I I . H annerberg , D ., 1 959.
" So lsk i f te a nd O lder Me thods o f P ar ti t ion ing A rable
L and i n C en tra l S weden d ur ing t he M idd le Ages" .
G eograph ie e t
H is to ire Agra ires , N ancy . Has trup , R ., 1 964 .
Danske L andsby typer
Aarhus .
H inde , J .H ., 1 868 .
S y meon is Dune l mens is Opera e t C ol lec tanea
S ur tees
S oc ie ty . H o mans , G .C ., 1 960 .
Eng l ish V i l lagers o f t he T h ir teen th C en tury
Hosk ins , W. G., 1 955 . 1 970 .
The Mak ing o f t he Eng l ish L andscape
Hu tch ingson , W., 1 785 .
N ew York •
P el ican R epr in t ,
The H is tory a nd An t iqu i t ies o f t he C oun ty P a la tine
o f Durha m 3 v o ls . I ng leson , S ., 1 972 .
S e t t le men t , Agrar ian S ys te ms a nd F ie ld P a t terns i n
C en tra l Durha m 1 600-1850 , Unpub l ished M .A . Thes is , Un ivers i ty o f Durha m . J o l li f fe , J .E. A ., 1 926 . " Nor thu mbr ian I ns t i tu t ions" , Eng l ish H is tor ica l R ev iew CLX I :1-42 .
3 20
J ones , G . R.J., 1 971.
" The Mu l tiple Es ta te a s a Model Fra mework f or
Tracing t he Ear ly S tages i n t he Evo lu t ion o f Rura l S et t le men t" , F . Dusser t ( ed .) , L 'I labi ta t e t l es Paysages Ruraux d 'Europe :251-267. L iege . J ones , G . R.J ., 1 972 .
" Dark Age Wa les" I n H . P. R . F inberg ( ed .) .
Agrarian H is tory o f Eng land a nd Wa le-i -: 340-491. J ones , G .R .J., 1 976.
The
C a mbr idge .
" H is tor ica l G eography a nd o ur Landed Her i tage" .
The Un ivers i ty o f L eeds R ev iew 1 9 :53-78 . L aps ley , G . T., 1 905 . •
2 59-422.
" Bo ldon B ook" .
V ic tor ia C oun ty H is tory o f Durha m :
L ondon .
L eonard , E . M ., 1 905 . C en tury" .
" The L nclosure o f C o m mon F ields i n t he S even teen th
Trans ; R oya l H is tor ica l S ociety , N ew S er . XD C .
R epr in ted
i n E . M . C arus- W i lson , E ssays i n E cono mic H is tory 1 :227-256. ( London , 1 962 ). Mar tin , M. T., 1 909.
P ercy C ar tu lary
S ur tees S ociety , 1 17.
Mayhew , A ., 1 973.
Rura l S e t t le men t a nd F ar ming i n Ger many
O f f ler , H .S ., 1 968 .
Durha m E piscopa l C har ters
Owen A ., 1 840.
L ondon .
S ur tees S ociety , 1 79 .
Ancien t L aws a nd I ns ti tu t ions o f Wa les .
Record C o mm iss ion ,
1 840 . P age , W., 1 893.
The C ar tu lary o f Br in ld )urn Pr iory .
S ur i ;ees S ociety , 9 0 :
1 , P os tan , M. M., 1 966.
The Agrar ian L i fe o f t he Middle Ages .
E cono m ic H is tory f of Europe , 1 . P os tan , M. M. 1 972.
Ca mbr idge ( 2nd e dn .)
The Medieva l E cono my a nd S ociety .
R ober ts , B . K., 1 972 .
The C a mbr idge
" V i l lage P lans i n C oun ty Durha m :
L ondon . ap re li minary
s ta te men t" , Medieva l Archaeo logy XV I :33-56. R ober ts , B .K ., 1 977a . Br i tain
An H is tor ica l G eography o f Rura l S e t t le men t i n
Fo lkes tone .
R ober ts , B . K., 1 977b.
The Green V i l lages o f C oun ty Durha m
Durha m C oun ty
C ounci l , Local H is tory Publ ica t ion , N o. 1 2. R ober ts , B . K. a nd Aus tin , D . A., 1 975.
A Prel im inary Check L is t o f Rura l
C lus ters i n C oun ty Durha m , ( Depar t men t o f Geography , Un ivers ity o f Durha m.) Rjnneseth , O ., 1 975 .
"" Gard" u nd E in fr iedigung" G eogra f iska Anna ler ,
S er ies B , S pecia l I ssue , N o . 2 . R ow ley , T . ( ed .) , 1 974.
Ang lo S axon S et t le men t a nd Landscape .
S awyer , P . ( ed .) , 1 976.
Medieva l S e tt le men t .
S ca mwe ll , C . V., 1 956. S heppard , J . A., 1 966. Eng lish Townsh ip :
Hugh Pu ise t .
Ox ford .
L ondon .
C a mbrdige.
" Pre-Enc losure F ield a nd S et t le men t Pat tern i n a n Whe ldrake , n ear York" .
B . 4 8 :59-77. 3 21
G eogra fiska . Anna ler , S er .
S heppard , J . A., 1 974.
"Metro log ica l Ana lys is o f R egu lar V i l lage P lans i n
Yorksh ire" , _ Agr icu l tural H is tory Review . S heppard , J .A., 1 976 .
2 2 :118-135 .
"Medieva l V i l lage P lann ing i n N or thern Eng land :
S o me Ev idence f ro m Yorksh ire" .
J ourna l o f H is tor ica l Geography , 2 ,
( 1 ) :3-20. S l icher v an Ba th , B . H., 1 963. A .D. 5 00-1850 . Sm i th , C .T., 1 967.
The Agrarian H is tory o f Wes tern Europe ,
L ondon . An H is tor ica l Geography o f Wes tern Europe b e fore 1 800
Ca mbr idge . S t il l , L . a nd P a ll is ter , A ., 1 964.
" The Excava t ion o f One H ouse S i te i n t he
Deser ted V i l lage o f Wes t Har tburn , C o . Durham".
Archaeolog ia
Ael iana KLI I :187-206. Thorpe , H ., 1 951.
" The Green V i l lages o f C oun ty Durha m" .
Trans . I ns t i tu te
o f Br i t ish Geographers 1 5 :155-180. Thorpe , H ., 1 961.
" The Green V i llage a s aD is t inc t ive F or m o f S et tle men t
o n t he N or th European P la in" .
I n Bu l le t in d e l a S ocie te Be lge d 'Etudes
G eograph iques XY0 C (1):5-134.
Repr in ted i n A . Sma ll ( ed .) , The Four th
V ik ing C ongress , Aberdeen Un ivers i ty S tud ies , No . 1 49 :85-111.
E dinburgh
E dinburgh , 1 965. Ucko , P .J., Tr ingha m , R ., a nd D i mbleby , G .W ., 1 972 .
Man , S e t t le men t
a nd U rban is m , London . Uh lig , H ., 1 961.
" O ld Ha m le ts w i th I n f ield a nd Ou t f ie ld S ys te ms i n Wes tern
a nd C en tra l Europe" . Uh lig , H . ( ed .) , 1 972 .
G eogra f iska Anna ler XLI I I :285-312.
D ie S ied lungen d es Länd l ichen Ra t l ines , Ma ter ial ien
z ur T er m ino log ie d er Agrar landscha f t , G iessen :
Eng l ish t rans la tion ,
"Rura l S e t t le men t" :56-91, 9 8-180 .
Addendu m Be tween wr i t ing a nd p roof r eading a s econd f i e ld a rea , a pprox i mately 8 h a i n a rea , b u t d iv ided i n to s tr ips h as b een d iscovered a d jacen t t o t he manor h ouse a t G ork f ield :
o ccupying a b et ter s i te , s ou th f acing , w i th d eeper s oi ls ,
t h is may h ave b een t he o r ig ina l f ield . I t s uppor ts t he a rgu men t t ha t t he p resen t r ow i s as econdary f eature o n t he s i te , a nd t ha t t he manor h ouse may o ccupy t he o r ig ina l f ocus o f s et t le men t .
3 22
THE PEASANTRY I N ENGLAND BEFORE THE I NDUSTR IAL REVOLUT ION . A MYTH ICAL MODEL? A lan Macfar lane
Abs trac t T here i s ag enera l c onsensus among h is tor ians a nd s ocio log is ts t ha t E ng land b e tween t he t h ir teen th a nd e igh teen th c en tury was a ' peasan t ' n a t ion . Th is p aper e xa m ines r ecen t s tud ies o f p easan try a nd t akes a s t he c en tra l d e f in i t ion a p ar t icu lar r e la t ionsh ip b e tween f am i ly a nd l and .
I ti s s hown t ha t
E ng land i n g enera l i n t he s ix teen th a nd s even teen th c en tur ies a ppeared t o d epar t i n a l mos t e very f ea ture f ro m o ther ' peasan t ' s oc ie t ies wh ich h is torians s oc io log is ts a nd a n thropo log is ts h ave d escr ibed .
There i s t here fore a c ase
f or a d e ta i led e xa m ina t ion i n o rder t o s ee h ow f ar t he s tereo type f i ts .
A
s even teen th-cen tury v i l lager , Ra lph J ossel in , who l e f t ad eta i led d iary i s s tud ied a nd i s s hown t o d epar t i n e very r espec t f ro m t he f ea tures o f at ypica l p easan t .
T he v i l lage i n wh ich J osse l in l i ved , E ar ls C olne , i s t hen s urveyed
a nd i tb eco mes c lear t ha t t he p a t tern o f l andownersh ip a nd p roduc t ion f or t he marke t r e moves i tv ery f ar f ro m a p easan t s i tua t ion .
Ag enera l d iscuss ion
o f t he n a ture o f p roper ty r igh ts i n t he e ar ly modern p er iod , p ar t icu lar ly i n r ela t ion t o t he r igh ts o f wo men a nd c h i ldren , s hows t ha t t he b as ic a nd i n t i ma te t ies c haracter is t ic o f p easan try a re a bsen t i n t he s ys te m o f i nd iv idua l is t ic E ng l ish o wnersh ip .
Fur ther e xa m ina t ion o f t he p a t terns o f g eograph ica l a nd
s oc ia l mobi li ty i n E ar ls C o lne c on f ir m t ha t i tw i l l n o t f i t i n to t he model o f a r ela t ive ly s ta tic p easan t s ocie ty .
F ina l ly i ti s s hown f ro m s tud ies c onduc ted
b y o ther h is tor ians t ha t E ssex i s n o t e xcep t iona l ;
many a reas o f Eng land b y
t he s tar t o f t he s ix teen th c en tury were n o l onger i nhabi ted b y p easan ts .
S ince
t h is p laces Eng land i n ac a tegory d i f feren t f ro m a l mos t e very o ther n oni ndus tr ia l s ocie ty o f wh ich we k now , i tp oses t he f ur ther p rob le m o f when t h is u nusua l p a t tern b egan .
I ti s g enera l ly a greed b y h is tor ians a nd s oc io log is ts a l ike t ha t Eng land was a 'peasan t ' n a t ion b e tween t he e leven th a nd e igh teen th c en tur ies .
I n t h is
r espec t i ti s b road ly c o mparab le t o o ther ' peasan t ' c iv i l iza t ions b o th i n t he p as t a nd i n t he p resen t .
T hus g eographers , a n thropo log is ts , a rchaeo log is ts
o r h is tor ians e xa m in ing Eng land d ur ing a ny p ar t o f t h is p er iod w i l l b r ing t o t he ir a na lys is imp l ic i t o r e xp l ic i t a na log ies t o o ther ' peasan t ' s ocie t ies , whe ther i n t he Med i terranean , C h ina , I ndia , Russ ia o r L a t in Amer ica . F ur ther more , t hose i n teres ted i n c on te mporary c hange i n t he Th ird Wor ld w i l l l ook t o Eng land a s p erhaps t he b es t d ocu men ted c ase s tudy o f ap rogress ion f ro m a ' peasan t ' t o a n i ndus tr ia l s oc ie ty ( Da l ton , 1 971:385 ) .
3 23
I tw i l l b e a rgued
h ere t ha t t h is i s ap ower fu l , y e t i ncorrec t a nd h ence my th ica l , c har ter o f s ocia l d eve lop men t , wh ich d is tor ts t he a na lys is u nder taken i n t he d isc ip l ines l is ted a bove . Among h is tor ians o f b o th t he med ieva l a nd e ar ly modern p er iod t here i s ac onsensus o f o p in ion t ha t we a re d ea l ing w i th a ' peasan t ' s oc ie ty .
One o r
t wo b ooks o r a r t ic les may b e c i ted a s e xa mp les o f t he v iew , b u t s ince i ti s i nv id ious t o men t ion n a mes , i t s hou ld b e s a id t ha t a l mos t e very h is tor ica l work o n t he p er iod a ssu mes t he p resence o f p easan try.
Fur ther more , i ti s
av iew wh ich Imyse l f h ave a ccep ted f or a n umber o f y ears .
F or t he med ieva l
p er iod , w e may n o te t ha t t he ma jor works b y P os tan d o n o t q ues t ion t he ' peasan tness ' o f Eng l ish s oc ie ty .
Thus i n T he Med ieva l E cono my a nd S ocie ty ,
( 1 972 ) a s b o th i ndex a nd t ex t s hows , ' peasan t ' i s u sed i n terchangeab ly w i th o ther t er ms f or o rd inary v i llagers a nd sma l lho lders .
Or a ga in , ar ecen t
a r t ic le b y B r i t ton ( 1976 ) , n owhere q ues t ions H o mans ' i mp l ic i t a ssumpt ion ( 1941 ) t ha t a med ieva l p easan try e x is ted .
The f ur thes t medieva l is ts g o i s t o a sk
whe ther a ny l essons c an b e l earn t f ro m ' Med ieva l P easan ts" ( H i l ton , 1 974 ) . We migh t h ave e xpec ted h is tor ians t o h ave b eco me u neasy a bou t t he c oncept b y t he t ime we r each t he s even teen th c en tury , f or t here h ad b een a v ery c ons iderab le i ncrease i n i n terna t iona l t rade , marke ts , t he u se o f money , g eog raphica l mobi l i ty a nd l i teracy .
Ye t t hose who a re mos t k now ledgeab le a bou t
r ura l dwel lers c on tinue t o b e l ieve t ha t t hey a re d ea l ing w i th ' peasan try ! . They t i t le t he ir b ooks The M id land P easan t ( Hosk ins , 1 957 ) o r Eng l ish P easan t Far m ing ( Th irsk , 1 957).
They c on tinue t o a ssu me , a long w i th T awney ( 1912 )
t ha t c oun try men were ' peasan ts '.
F ew wou ld d isagree w i th Th irsk 's g enera l i-
z a t ion t ha t ' Eng l ish s oc ie ty u n t i l t he mid-e igh teen th c en tury was a p redo m inan t ly r ura l a nd a p easan t s oc ie ty ' ( Th irsk , 1 957:1 ). I ft he e xper ts a re a greed , i ti s n o t s urpr is ing t ha t n a tiona l h is tor ians ( Las le t t , 1 971:12-13 ) o r s oc io log is ts who r e ly o n t he ir w orks s hou ld b e e qua l ly u nan i mous .
C as t i n to a r ecep t ive f ra me o f mind b y t he we l l d ocumen ted
s tud ies o f F rench p easan ts ( Le R oy L adur ie , 1 974 ) o r e as t E uropean p easan tr ies ( Tho mas a nd Z nan ieck i , 1 958 ) , c o mpara t ive s ocio log is ts r ead i ly b e l ieve i n t he E ng l ish p easan try .
Moore a ssu mes t he p resence o f a n Eng l ish p easan try
( 1966:20-9 ) a s d o R ed f ie ld ( 1 960 :66-7) a nd D a l ton , who l umps t oge ther t he who le o f ' Europe ' , i nc lud ing Eng land , a s a' peasan t ' s oc ie ty u p t o t he n ine teen th c en tury ( Da l ton , 1 972 ) .
The map o f ' t he ma jor p easan t r eg ions o f t he wor ld
i n Wo lf 's a u thor i ta t ive t ex t-book s hows Eng land a s ' peasan t ' ( Wol f , 1 966 :2 ) a nd Thorner i nc ludes t he f euda l monarch ies o f t h ir teen th c en tury E urope a s ' peasan t ' ( i n S han in , 1 971:204 , 2 17 ).
S han in a vo ids a ny d irec t c o mmen t o n t he
E ng l ish s i tua tion , b u t a ccep ts t he g enera l d eve lop men ta l mode l wh ich s ta tes t ha t ' s ma l l p roducers ' s oc iety f a l ls h is tor ica l ly i n t he i n ter med ia te p er iod b e tween t r iba l-no mad ic a nd i ndus tr ia l izing s oc ie t ies ' ( Shan in , 1 971 :247) .
T h is
wou ld e nco mpass Eng land b e tween t he Ang lo-Saxons a nd t he e igh teen th c en tury a nd mean t ha t t he ' pa t terntrans for ma t ion o f t he p easan try ' wh ich i s ' c lear ly s een i n mos t p ar ts o f N or th- Wes tern Europe ' ( i b id :250 ) a lso o ccurred i n Eng land . I th as b eco me i ncreas ing ly c lear o ver t he l as t f i f teen y ears t ha t Eng land a nd p ar ts o f n or th-wes tern Europe e xh ib i ted c er ta in f ea tures i n t he s ix teen th c en tury wh ich s ets t h is a rea o f f f ro m t he o ther ' c lass ica l ' p easan tr ies o f wh ich we k now .
Among t hese f ea tures were a ' non-cr is is ' d e mograph ic p a t tern
( Wr ig ley , 1 969 :ch . 3 ;
Macfar lane , 1 976a :ch . 1 6 ) ,a c ur ious ly l a te a ge a t
3 24
marr iage a nd h igh p ropor t ion o f n ever- marr ied p ersons ( Ha jna l , 1 965 ) v ery sma l l a nd s i mp le h ouseho lds ( Las le t t , 1 972 :ch . 4 ) a nd h igh g eograph ica l mobi l it yAR ich , 1 950 ;
L as le t t a nd H arr ison , 1 963 ) .
I ti s t here fore t ime t o
r e-assess t he c onven t iona l w isdo m w i th in t he f ra mework o f r ecen t a na ly t ic d iscuss ions o f p easan try a nd i t s c harac ter is t ics . One ma jor d i f f icu l ty i nt h is t ask l i es i n t he c on t inued d ispu te o ver t he d e f in i t ion a nd mean ing o f ' p easan t ' .
I ti sp robab le t ha t an umber o f t hose who
emp loy t he t er m mere ly u se i ti nt he c o m mon-sense o r d ic t ionary mean ing o f ' coun try man , r us tic , w orker o n t he l and ' ( Concise Ox ford D ic t ionary ). U sed i n t h is way , t he t er m i s p rac t ica l ly s ynony mous w i th ' nonindus tr ia l ' ; h ence t he g rea t c on tras t i s b e tween ' i ndus tr ia l ' a nd ' peasan t ' n a t ions . d icho to my c an b e e labora ted a nd q uan t i f ied .
Th is
Thorner s ugges ts t ha t t wo o f t he
f ive c r i ter ia wh ich a s oc ie ty mus t f u l f i l t o b e c a l led ' peasan t ' a re t ha t ' ha l f t he p opu la t ion mus t b e a gr icu l tura l ' a nd ' more t han h al f o f t he work ing p opul a t ion mus t b e e ngaged i n a gr icu l ture ' ( i n S han in , 1 971:203 ) .
B y t hese c r i ter ia ,
E ng land was c lear ly a ' peasan t ' s ociety u n t i l t he midd le o f t he n ineteen th c en tury .
I tf i ts we l l i n to t he d e f in i t ion o f p easan try g iven b y F ir th :
' by a
p easan t e cono my o ne means a s ys te m o f sma l l-sca le p roducers , w i th a s i mple t echno logy a nd e qu ip men t o f ten r e lying p r i mar i ly f or t heir s ubs is tence o n wha t t hey t he mse lves p roduce .
The p r i mary means o f l i vel ihood o f t he p easan t
i s c u l t iva t ion o f t he s oi l ' ( F ir th q uo ted i n Da l ton , 1 972 :386 ) .
Bu t a n thropo lo-
g is ts , who h ave t o d if feren t ia te t he ir o b jec ts o f s tudy n o t o n ly f ro m i ndus tria l n a t ions , b u t a lso f ro m s oc ie t ies a t t he o ther e nd o f t he c on tinuum o f c o mp lex i ty c anno t b e s a t is f ied w i th s uch a c rude d icho to my wh ich wou ld , a s Da l ton s ta tes , e nco mpass N ew G u inea , A fr ica , I ndia , L a t in Amer ica , a s we l l a s p re-indus tr ia l E ng land . I n o rder t o s epara te o f f wha t a re o f ten l u mped a s ' t r iba l ' s oc ie t ies , an ew s e t o f c r i ter ia were a dded t o t he o ld o nes , p r incipa l ly b y Kroeber ( 1948 :284 ) a nd R ed f ield .
They s ta ted t ha t p easan ts f or med a ' par t s oc ie ty ' :
o f ap easan t c o m mun i ty , o n t he o ther h and , i s n o t a u tono mous , o f d i mens ion o f t he c iv i l iza t ion o f wh ich i ti s ap ar t .
" the c u l ture I ti s a n a spec t
As t he p easan t s ocie ty
i s ah al f-soc ie ty , s o t he p easan t c u l ture i s ah a lf-cu l ture" ( Red f ie ld 1 960 :40 ). Th is i s e labora ted b y Thorner i n t he f or m o f t wo f ur ther c r i ter ia .
One i s t ha t
ap easan try c an o n ly e x is t where t here i s aS ta te , i n o ther words a r u l ing h ierarchy , a n e x terna l p o l i t ica l p ower s overe ign o ver t he p ar ticu lar c o m mun i ty o f ' peasan ts ' . T he s econd i s t ha t t here a re a l mos t i nev i tab ly t owns w i th mark e ts , t he c u l ture o f wh ich i s s ubs tan t ia l ly d i f feren t f ro m t ha t o f t he c oun trys ide ( i n S han in , 1 971:203-4 ) .
Wol f s u m mar izes t he p os i t ion when h e s ta tes t ha t
" the S ta te i s t he d ecis ive c r i ter ion o f c iv i l iza t ion .... which marks t he t hresho ld o f t rans i t ion b e tween f ood g a therers i n g enera l a nd p easan ts" ( Wol f , 1 966 :11). Y e t h ere a ga in , e ven t ak ing t hese more p rec ise d e f in i t ions , i t wou ld s ee m t ha t Eng land w ou ld f a l l i n to t he c a tegory ' peasan t ' f ro m t he t wel f th c en tury o nwards , f or i t was n oted f or i t s p ower fu l c en tra l ised S ta te a nd t he g row th o f i mpor tan t t owns . Bu i ld ing o n e ar lier w ork , e cono m is ts a nd s oc iolog is ts h ave r ecen t ly t r ied t o p rov ide a s harper d e f in i t ion o f p easan try .
Wh i le a ccep ting t he p reced ing
c r i ter ia a s n ecessary p rerequ is i tes f or t he p resence o f ap easan t s oc iety , a n umber o f wr i ters a rgue t ha t t hey a re n o t s u f f ic ien t i n t he mse lves . One a dded c r i ter ion makes i tp oss : ibi . " f „ d is tingu ish b e tween r ura l n a t ion s ta tes w hich 3 75
b e fore wou ld a l l h ave h ad t o b e l umped t oge ther a s ' p easan try ' b u t wh ich c lear ly e xh ibi t v ery d ivergen t d e mograph ic , e cono m ic a nd s ocia l p a t terns . T h is c r i ter ion h as b een e labora ted b y C ha ianov a nd t hose i n f luenced b y h im , among t he m S han in , Thorner a nd S ah l ins .
The f ea ture i s d escr ibed b y T horner a s
f o l lows : " Our f i f th a nd f i na l c r i ter ion , t he mos t f unda men ta l , i s t ha t o f t he u n i t o f p roduc t ion . I n o ur c oncep t o f p easan t e cono my t he t ypica l a nd mos t r epresen ta t ive u n i ts o f p roduc t ion a re t he p easan t f am i ly h ouseholds . We d e f ine a p easan t f am i ly h ouseho ld a s as ocio-econo m ic u n i t wh ich g rows c rops p r i mar i ly b y t he p hys ica l e f for ts o f t he me mbers o f t he f am i ly . T he p r inc ipa l a c t iv i ty o f t he p easan t h ouseho lds i s t he c u l t ivat i on o f t he ir own l ands , s tr ips o r a l lo t men ts ...In a p easan t e conc my h a l f o r more o f a l l c rops g rown w i l l b e p roduced b y s uch p easan t h ouseh o lds , r e lying ma in ly o nt heir own f am i ly l abour ..." ( I n S han in , 1 971, 2 05 ) Above a l l , t he s tress i s o nt he n a ture o f t he p ar t icu lar u n i t o f c onsumpt ion , p roduc t ion a nd o wnersh ip :
" The f am i ly f arm i s t he b as ic u n i t o f p easan t
ownersh ip , p roduc t ion , c onsump t ion a nd s ocia l l i fe . The i nd iv idua l , t he f am i ly a nd t he f ar m , a ppear a s a n i nd iv is ib le who le .... T he p rof i t a nd a ccumu la t ion mo t ives r are ly a ppear i nt he ir p ure a nd s i mp le f or m ..." ( Shan in , 1 971:241 ) .
Among t he c onsequences o f t h is s i tua t ion i s t he f ac t t ha t ' t he h ead
o f t he f am i ly a ppears a s t he manager r a ther t han p ropr ie tor o f f am i ly l and ' , t ha t marr iage o f c h i ldren i s e ssen t ia l t o i ncrease l abour p ower , t ha t p easan t v i l lages o r c o m mun i t ies a re u sua l ly more o r l ess s e l f-su f f icien t ( Shan in , 1 971: 2 42-4 ). These wr i ters a re d eve loping a nd e xpand ing C ha ianov 's e ar l ier d isc uss ions where , f or e xa mp le , a s q uo ted b y Wo l f , h e s ta tes t ha t " The f i rs t f unda men ta l c harac ter is t ic o f t he f ar m e cono my o f t he p easan t i s t ha t i ti s af am i ly e cono my . I t s who le o rgan iza t ion i s d e ter m ined b y t he s ize a nd c o mpos i t ion o f t he p easan t f am i ly a nd b y t he c oord ina t ion o f i t s c onsump t ive d e mands w i th t he n umber o f i t s w ork ing h ands . T h is e xp la ins why t he c oncep t ion o f p ro f i t i n p easan t e cono my d i f fers f ro m t ha t i n c api ta lis t e cono my a nd why t he c ap i ta l is t c oncep t ion o f p ro f i t c anno t b e a ppl ied t o p easan t e cono my ..."
( Wol f , 1 966:14 ) .
Th is c en tra l f ea ture , n a mely t ha t w e a re n o t j us t t a lk ing a bou t r ura l ' par ts oc ie t ies ' , b u t t hose wh ich h ave a s peci f ic b as ic u n i t o f p roduc t ion a nd c onsump t ion , h as e arned t he c a tegory t he t i t le o f t he " Do mes t ic Mode o f P roduc t ion" ( S ah l ins , 1 974 c hs . 2 , 3 ) . Th is p ro mp ts a f ur ther q ues t ion a s t o whe ther t here i s at ype o f s oc ie ty wh ich we c an n ega t ively d e f ine a s n ontr iba l , n on-peasan t a nd n on-indus tr ia l? T o my k now ledge , n o v ery c onv inc ing e xa mples o f t h is a no ma lous c lass h ave y e t b een d ocu men ted . We may t herefore t urn t o t he Eng l ish e v idence t o s ee whe ther i nt he s ix teen th a nd s even teen th c en tur ies Eng land f i ts i n to a p rev ious c a tegory , o r b e longs t o t h is n ew ly i so la ted t ype . I ti s imposs ib le h ere t o g ive more t han a p re l im inary a nswer t o t he q ues t ions t ha t h ave b een r a ised .
I f we a re a t te mp t ing t o d iscover whe ther E ng land c an
b e l umped w i th t rad i t iona l C h ina , I nd ia , E as tern a nd S ou thern E urope , a nd L a t in Amer ica , t wo ma in s tra teg ies a re o pen t o u s . One i s t o e xa m ine t he s i tua t ion i n E ng land i n t he s ix teen th a nd s even teen th c en tur ies a t av ery g enera l l eve l .
P easan t c iv i l iza t ions t end t o h ave a ssoc ia ted w i th t he m a s e t o f f ea tures
3 26
wh ich a ppear t o b e i n t i ma tely l inked t o t heir p ar t icu lar s ocia l s truc ture . These may b e s um mar ized i n Tab le 1 . We may t hen o bserve whe ther , g ene ra l izing f ro m t he d a ta , a nd s peak ing ma in ly o f t he s ix teen th a nd s even teen th c en tur ies , Eng land man i fes ted t hese s y mp to ms o f ' peasan tness ' . n o t d o s o , we h ave a p r i ma f ac ie c ase f or d e lv ing d eeper .
I fi td id
These ' pa t tern
v ar iab les ' h ave b een e labora ted f ro m g enera l works a lready c i ted , a s we l l a s f ro m monographs p r imar i ly c oncerned w i th I nd ia . F or t he p resen t , t he g enera l isa t ions w i l l h ave t o r e ma in u nsubs tan t ia ted . F ur ther v ar iab les i n t he r ea lm o f c u l ture , t hough t a nd r el ig ion c ou ld b e e labora ted . B u t t here i s p robab ly e nough h ere t o e nab le u s t o d ec ide whether Eng land was s im i lar t o a mode l ' peasan t ' s ocie ty , w i thou t p o in t ing o u t d i ff erences i n t he a t t i tudes t owards a nces tors , t owards t he r i tua l iza t ion o f r el ig ion a nd s oc ia l l i fe , t owards t ime a nd a ccumu la t ion a nd many o ther t op ics . I tw ou ld a lso b e f oo l ish t o c on t inue s ince t here i s p robab ly e nough i n t he t ab le t o r ouse many p eoples ' i re . D e mands f or p roo f o f s o me o f t he c harac ter iz a t ions a re i nev i tab le , s ince s o me d o n o t c on form t o t he g enera l ly a ccep ted w isdo m .
F or e xa mp le , s o me may s t i l l b e l ieve i n t he s trong ' co m mun i t ies '
o f p re-indus tr ia l Eng land , t hough Ih ave e lsewhere t r ied t o s how t ha t t hese a re a lso a my th ( Macfar lane , 1 977) . O thers may s t i l l s ubscr ibe t o t he i dea t ha t t h is was a ' pa tr iarcha l ' s ocie ty ( Las le t t , 1 971:3 , 4 , 1 7-9 a nd p ass im ) , a v iew wh ich i t wou ld t ake a s epara te a r t ic le t o r e fu te. Bu t e ven i fs o me o f t he a ssess men ts l i s ted i n t he t ab le a re c ha l lenged a nd t urn o u t t o b e m is taken , we d o k now t ha t e nough o f t he m a re r igh t t o g ive u s g rounds f or b el iev ing t ha t E ng land was a lready f ar f ro m b eing a mode l ' p easan t ' s ociety . T he o n ly way i n wh ich t he c ase w i l l b e p roved , h owever , i s t o u nder take d e ta i led s tud ies o f p art icu lar a reas o f t he c oun try , t o s ee whe ther t he e x tens ive d ocumen ts s uppor t t he mode l o f p easan try . We may l ook a t t he s i tua t ion i n t wo v ery d i f feren t p ar ishes , t ha t o f E ar ls C o lne , n ear C o lches ter , i n E ssex , a nd t he p ar ish o f K irkby L onsda le i n C umbr ia .1 F ro m t he v ery e ar l ies t t imes i ti s k nown t ha t Eng land s howed e nor mous r eg iona l v ar ia t ions i n a gr icu l ture a nd s ocia l s truc ture , r ef lec t ing i t s h is tory a nd s e t t le men t , a s we l l a s p hys ica l d i f ferences .
I ti s t here fore
n ecessary t o p ick t wo a reas wh ich a re a s d i f feren t a s p oss ib le . I n t h is a r t ic le we w i l l d escr ibe t he p ar ish o f E ar ls C o lne , w i th a p opu la t ion o f a bou t at housand p ersons i n t he m idd le o f t he s even teen th c en tury , ap ar ish t ha t was r e la t ive ly n ear t o L ondon , i n t he e cono m ica l ly p recoc ious a nd r e l ig ious ly r ad ica l a rea o f E as t Ang l ia .
Enc losed b e fore t he p er iod w i th wh ich we a re
c oncerned , i ts ee ms t o h ave c o mb ined a rab le c orn p roduc t ion , c a t t le f ar m ing , a nd a c ons iderab le p roduc t ion o f h ops a nd f ru i t . I n e very r espect i tc an b e c on tras ted w i th t he u p land p ar ish o f K irkby L onsda le o n t he e dge o f t he Y orks h ire moors wh ich w i l l b e e xa m ined i n ac o mpan ion e ssay t o t h is o ne .2 T he t wo p ar ishes w ere o r ig ina l ly c hosen n o t o n ly f or t he c on tras t , b u t b ecause
3 27
Table 1 Features usually associated with peasantry Variable Basic unit of production
Situation in .'.model' peasant society extended household
England, C16-17 manor, estate
Basic unit of consumption extended household
man, wife & small chil dren
Link between land and family
very strong indeed
weak (except gentry)
Village self-sufficiency
almost entirely
far from
Production mainly for
immediate use
exchange
Ownership of resources
by village, household
by individual
Degree of market rationality
little
great
Individual inheritance of land
no
yes
Children remain at home
in most eases
most children leave home
General household structure
ideal of multi generation household
ideal of nuclear household
Fertility rate
high
controlled
Social mobility pattern
'cyclical'
spiralling, families split
Long-term economic differentiation
little
a great deal
Female age at first marriage
soon after puberty
delayed for ten or more years
Mortality pattern
periodic 'cris�s'
relative absence of 'crises'
Growth rate of population rapid, then crash
moderate or no growth
Children regarded as economic asset
yes
no
Adoption widely favoured yes
no
Degree of geographical mobility
little
great
Stength of 'community' bonds
great
little
Method of tracing descent
unilineal
cognatic
Kinship terminology
does not separate off nuclear family
separates off individual and nuclear family
Marriages
arranged by kin
individual choice
Patriarchal authority
great
little
they are each covered by at least one particularly useful and unusual his torical source. In the case of Earls Colne, this is the recently published diary of one of the villagers, the farmer and vicar Ralph Josselin (Mapfarlane, 1976b). This allows us to see into the mind of one of the inhabitants over a period of forty years in a way that is unique in England. From his Diary and the very rich set of manorial documents, we may see whether this area ex hibits 'peasant' characteristics in any sense. Kirkby Lonsdale, a pari�h with over twice the population, was chosen because a listing of the inhabitants in 1695 has recently been discovered. It is difficult to envisage anyone further from the ideal-type 'peasant' than Ralph Josselin. On almost every one of the criteria listed in Table 1 above he departed from the normal peasant. Only in the fact that he was engaged in agriculture to a considerable extent, and hence subject to the un certainties of weather and prices, does he come near to the stereotype. His extremely detailed Diary makes it clear that the basic unit of production in his case was not the extended family; he did not co-operate in economic affairs with his parents, and his siblings and children did not work the farm with him. It was Josselin, his wife, servants and labourers who constituted the unit of production. Nor was the basic unit of consumption the household. His children left home in their early teens and henceforward fended for them selves, eating and earning elsewhere (Macfarlane, 1970: appdx B, chs. 3,4). Nor was the link between his family and a particular landholding strong. His. paternal grandfather was a wealthy yeoman who farmed in Roxwell, but Josselin's father sold off the patrimony in 1618 and went to farm in Bishop's Stortford, where he lost most of his estate. Josselin then settled in Earls Colne and built up a farm there. As for the purpose of Josselin's farming, it appears to have been mainly in order to sell produce for cash, rather than for use and home consumption. Other parts of his estate he let out for rent. Thus he estimated that in the years 1659-1683 his landholdings brought in a total of approximately £80 p.a. Given the cost of foodstuffs in the period, less than one quarter of this could have been consumed directly as food. Turning to the crucial question of who 'owned' the land in Josselin's family, the Diary leaves no doubt whatsoever that this was a situation of complete, absolute, and exclusive private ownership. Josselin was not, as he "Would have been in a traditional peasant society, merely the head of a small corporate group who jointly owned the land. The land held in his name in deeds and court rolls was not family land, but his land. It seems unlikely that he would have been able to comprehend, and certainly would not have agreed with, the idea central to Russian peasantry, that lands "are regarded as the property not of the person legally registered as the proprietor, but of all the members of the family, the heads of the household being only the household representa tive" (Shanin, 1972:220, quoting the Court of Appeal). The difference can best be illustrated by taking the two extreme situations which can occur. In Russia the head of a household could be removed from his headship for mis management or misbehaviour (Shanin, 1972:221). In Josselin's case, on the contrary, he threatened on several occasions to disinherit his only surviving son. He was finally driven to such distraction that he wrote: "John declared for his disobedience no son; I should allow him nothing except he tooke himselfe to bee a servant, yet if he would depart and 329
live in service orderly I would allow him 10 li. yearly: if he so walkt as to become gods son. I should yett own him for mine". (Macfarlane, 1976b:582) In a peasant society, birth or adoption, plus participation in the basic tasks of production, give people an inalienable right to belong to the small property-owning corporation. Disinheritance for misbehaviour is in conceivable. In Josselin's case, his children's rights in his property were non-existent. Since this is such a crucial matter, and it might be thought that Josselin was exceptional, we will return to it when considering the pattern of landholding in the parish as a whole. We will also expand on the question of inheritance, closely linked to ownership. We are told that in Russia, "Inheritance, as defined in the Civil Code, was unknown in peasant customary law, which knew only the partitioning of family ptoperty among newly emerging households" (Shanin 1972:222). There were no written wills, since it was clear that all males should receive an equal share of what was in nature theirs. It was a matter of splitting up temporarily a communal asset, the shares re turning to the common pool when the demographic situation had changed. In contrast, Josselin's own will and the provision for his children recorded in the Diary and court rolls shows that we have a fully developed system of post-mortem and pre-mortem inheritance, in which each child was given a part largely at the discretion of the parents (Macfarlane, 1970:64-7). Again, as we shall see, Josselin was by no means exceptional in this respect. It would be possible to continue in this fashion through all the major indices of peasantry; noting that Josselin's economic behaviour was highly 'rational' and market-oriented, that he did not suffer from the 'Image of Limited Good', at least in relation to his neighbours (Foster, 1969), that his own marriage and those of his children were not arranged by kin, that his family life was far from the patriarchal stereotype both in relation to his wife and his children, and that his children were not an economic asset to him. For those who seek proof, it would be instructive to read some of the classic accounts of peasantry cited above, and then to read Josselin's own Diary. Yet even if we accepted un equivocally that Josselin was not a 'peasant', though he farmed, it would be possible to dismiss him as exceptional on several grounds. Firstly, he kept a Diary, which suggests that he was an unusual man. Secondly, he was Uni versity educated and hence moved in a broader intellectual world than most of his neighbours. Thirdly, he was a devout Puritan and a vicar. He thus be longed to the 'intelligentsia' rather than to the 'peasantry' if there was one. Some counter-arguments can be brought forward from the Diary. Although his Diary shows strong divisions between the wealthy and the poor, it now here gives an impression nearly as strong as that obtained in India or Russia of a great split between the 'Great' and 'Little' traditions, between the 'intelligentsia' and the 'mere peasants'. Secondly, it is clear that Josselin's horizons and mentality were very different from the ideal-type peasantry long before he had been to University or thought of being a minister. One early account of his youthful musings describes a mind that hardly fits the peasant stereotype, although he was at that time merely the son of a failing Essex farmer. "I made it my aime to learne and lent my minde continually to reade historyes: and to shew my spirit lett mee remember with griefe that which I yett feele: when I was exceeding yang would I project the 330
conquering of kingdoms and write historyes of such exploits. I was much delighted with Cosmography taking it from my Father. I would project wayes of receiving vast est(ates) and then lay it out in stately building, castles. Libraryes: colledges and such like". (Macfarlane, 1976b:2) He wrote this describing the time when he was aged twelve. Yet, even with these counter-arguments, the case cannot be proved from the life of a single individual. The records describing Josselin's neighbours and parishioners help to fill this gap. We may select four of the central characteristics of peasantry in order to test them against the evidence for Earls Colne; the patterns of land owner ship, transmission of wealth, geographical and finally social mobility. We have seen that peasantry is basically an economic and social order founded on household and for village ownership. Thorner states that, as a result, "In a peasant economy half or more of all crops grown will be produced by such peasant households, relying mainly on their own family labour. Alongside of the peasant producers there may exist larger units: the landlord's demesne or home farm tilled by labour extracted from the peasants, the hacienda or estate on which the peasants may be employed for part of the year, the capitalist farm in which the bulk of the work is done by free hired labourers. But if any of these is the characteristic economic unit dominating the countryside, and accounting for the greater share of the crop output, then we are not dealing with a peasant economy. " (In Shanin, 1971:205) If we look at Earls Colne at any point from the time the records start, in 1400, onwards, it was not a peasant economy. It was dominated by large landlords, in the early period by the Priory and the Earl of Oxford, later by the Harlakendens. In 1598 a detailed set of maps and a survey were made of the parish, showing the ownership of land. 3 From these the area of demesne land farmed and owned directly by the lord of the manor can be estimated and it is evident that approximately two - thirds of the parish was demesne. It can be seen that approximately two-thirds of the parish was held by one person. Most of the rest was copyhold land which, in practice, was held by about twenty individuals. In effect this means that about three-quarters of the people in the parish held nothing beyond a house and garden. By the definition quoted above, this was clearly far from a peasant economy, not composed of self-sufficient small farming households. The fact that the large manorial estate was a rational, modern, capitalist enterprise, run for economic profit, is shown by the detailed account books of the family which survive for the late sixteenth and early seventeenth centuries. 4 A certain number of the landless were employed as casual labour on other's land, but numerous docu ments show that there was a very great deal of non-agricultural activity in the town. As well as baking, brewing, butchering and tailoring, there was con siderable employment in the East Anglian cloth industry. The lord's Account Book and Josselin's Diary both show that the bulk of food production, particularly the growing of fruit and hops, was not for the local consumption, but for cash sale in nearby markets at Colchester and 331
Braintree, from where it found its way to London and other parts of the country. This is not an area of subsistence agriculture, but cash cropping.. Thus what at a preliminary glance looks like a rural village filled with small yeomen families, turns out on closer inspection to be one dominated by a few large landowners, with a multitude of small producers, agricultural and otherwise. The parish was fully involved in a capitalist and cash marketing system and differed as much from a traditional peasant society as do modern Kent, Somerset or Essex. One central feature of peasantry is the absence of absolute ownership of land, vested in a specific individual. The property-holding unit is a 'corporation', to use Maine's term, which never dies. Into this an individual is born or adopted, and to it he gives his labour. I n such a situation, as described, for example, for Russia (Shanin, 1972), women have no individual and exclusive property rights and individuals cannot sell off their share of the family property. It would be unthinkable that a man should sell off land if he had sons, except in dire necessity and by common consent. There is unlikely to be a highly-developed land market. As we have already seen in the case of Josselin's threatened disinheritance of his only son, the inhabitants of Earls Colne lived in a different world. The transfers in the manor court rolls, the deeds concerning freehold property, the lengthy cases from the village in Chancery, and all other sources bearing on economic life in the parish suggest that by the later sixteenth century ownership was highly individualized. Land was held in their own right by women, men appearing to do suit of court 'in the right of their wife'. Land was bought and sold without consideration for any wider group than husband and wife. I t was, in fact, treated as a commodity which belonged to individuals and not to the household. There is no hint, for example in the statements concerning transfers in the court rolls, that a plot was passed to a family rather than an individual. Examination of the manor court rolls back to their origin in 1400 does not suggest that family or household ownership had ever been practised from that date. Since this appears to be the crucial foundation of the difference between a peasant and non-peasant social and economic structure it is worth digressing briefly to consider whether the situation in Earls Colne was abnormal. In discussing the question of family and individual ownership in this period three distinctions need to be made; between 'chattels' and 'real estate', between freehold tenure and other kinds of tenure, and between the rights of wives and the rights of children. The legal and practical situation concerning goods or chattels was very different from that concerning real estate. By common law, the wife had rights to one third of her husband's estate, including goods, but the �hildren had no rights in their parent's goods (Pollock and Maitland, y
1968:ii, 348-355). B ecclesiastical law, during the sixteenth and seventeenth centuries "by a Custom observed, not only throughout the Province of York, but in many other Places besides" (Swinburne, 1728:204-5), if there was only a wife, the husband could only dipose of one half of his goods by will, if there were children, only one third. Thus, assuming that he had not sold his goods and bought land, or given the goods away during his lifetime, within certain parts of England up to the repeal of the custom by an Act of 1692, wives and children had a certain stake in the man's goods. The heart of the matter lies in the question of real estate, principally land, for it is here that we will see whether the family and the landholding were identified. 332
A s i mp l i f ied s u mmary o f t he p os i t ion o f w o men i n r e la t ion t o r ea l e s ta te s hows t ha t u n l ike t he s i tua t ion i np easan t s oc ie t ies , w o men c ou ld b e t rue l andh o lders . I nt he c ase o f f reeho ld l and , a wo man c ou ld h o ld a nd own s uch p roper ty . Dur ing h er marriage o r ' couver ture y , t he h usband " ga ins a t i t le t o t he r en ts a nd p rof i ts" , b u t h e may n o t s e l l o r a l iena te i t ( B lacks tone , 1 829 :i i , 4 33 ) . I ft he man h o lds t he t i t le a nd marr ies , t he w o man h as a n i na l ienab le r igh t t o a t l eas t o ne t h ird o f h is e s ta te f or h er l i fe b y c o mmon l aw .
S he h ad
ar igh t t o t h is ' dower ' e ven i fs he r e- marr ied o r t he c oup le w ere d ivorced ( a mensa e t t horo ) f or a du l tery ( B lacks tone , 1 829 : i i , 1 30 ; P o l lock a nd Ma i t land , 1 968 : i i , 4 19 ) .
T here was n o way o f e xc lud ing a wo man f ro m h er c o m mon-law
d ower , t hough i t migh t b e i ncreased , o r t he p ar t icu lar s hare o f t he e s ta te s pec i f ied , b y a' j oin ture ' wh ich s e t u p f or ma l ly a j o in t e s ta te f or h usband a nd w i fe f or l i fe . T he s i tua t ion w i th r egard t o n on-freeho ld l and , a nd p ar t icu lar ly c opyho ld l and , was v er y d i f feren t . E xcep t when a n h eir was u nder f our teen y ears o f a ge , a nd o n ly u n t i l h e o r s he r eached t ha t a ge , a marr ied wo man d id n o t a u to ma t ica l ly o b ta in a ny r igh ts o ver t he r ea l e s ta te o f h er h usband ( Order , 1 650 :36) .
C opyho ld e s ta tes were n o t l i able t o ' f reebench ' a s i t was k nown ,
u n less b y t he s pec ia l c us to ms o f t he manor i t was s ta ted t o e x is t ( B lacks tone , 1 829 : i i , 1 32 ) . A l though i t wou ld a ppear t ha t mos t manors i n E ng land d id h ave s uch a c us to m u p t o t he e igh teen th c en tury , a s Tho mpson h as p o in ted o u t ( i n G oody e t a l ., 1 976 :354 ) , t here were a minor i ty o f c ases where n o f reebench was a l lowed . E ar ls C o lne was o ne o f t hese , f or i n t he c our t r o l l f or J une 1 595 i t was s ta ted :5 " A t t h is c our t t he s teward o f t he manor b y v ir tue o f h is o f f ice c o mmanded a n i nqu is i t ion t o b e made whe ther wo men a re i ndowerab le o f t he t h ird p ar t o f t he c us to mary l ands o f t heir h usbands a t a ny t ime d ur ing t he marr iage b e tween t he m . And n ow t he h o mage p resen t t ha t t hey h ave n o t k nown i nt he ir me mory n or b y t he s earch o f t he r o l ls t ha t wo men o ugh t t o h ave a ny d owry i nt he c us to mary t ene men t o f t heir h usbands b u t t hey s ay t ha t i n t imes p as t d iverse wo men h ave p re tended t heir d owr ies b u t h ave a lways b een d en ied a nd t here fore t hey t h ink t here i s n o s uch c us to m" . I n s uch a s i tua t ion , aw o man c ou ld b e made a j o in t o wner w i th h er h usband b y as urrender t o t he ir j o in t u se i n t he manor c our t , o r t he e s ta te c ou ld b e b eq uea thed t o h er b y w i l l . B oth t hese d ev ices were u sed . I n o ther a reas o f E ng land h er p os i t ion was much s tronger ; b y t he c us to m o f ' t enan t r igh t ' o r ' b order t enure ' wh ich e nco mpassed o ur o ther p ar ish o f K irkby L onsda le , a w idow h ad t he who le e s ta te f or h er w idowhood ( Bago t , 1 962 :238 ) .
B u t h ere ,
a s e lsewhere , t he r igh t w as f ar l ess t han t ha t i n f reeho ld e s ta tes , f or t he w idow u sua l ly l os t h er f reebench i fs he r e- marr ied o r ' m iscarr ied ' , i n o ther w ords h ad s exua l i n tercourse . Wo men c ou ld a lso h o ld c opyhold p roper ty i n t he ir own p erson , e i ther b y g i f t , p urchase , o r t hrough i nher i tance f or e xa mp le when t here were n o ma le h e irs . T o av ery l im i ted e x ten t , t here fore , we c an v iew h usband a nd w i fe a s a sma l l c o-own ing g roup . We may wonder whe ther we c an a dd a ny f ur ther me mbers o f t he f am i ly t o t h is c orpora t ion . T he s i tua t ion w i th r egard t o f reeho ld p roper ty s ee ms a bundan t ly c lear . Ma i t land s ta ted t ha t , " In t he t h ir teen th c en tury t he t enan t i nf ee s i mple h as ap er fec t r igh t t o d isappo in t h is e xpec tan t h eirs b y c onveying away t he who le o f h is l and b y a c t i n ter v ivos .
Our l aw i s g rasping t he max im N e mo e s t 3 33
h eres v iven t is" ( Po l lock a nd Ma i t land , 1 968 :i i , 3 08 ) .
A l though G lanv i l l p ro-
d uced s o me r a ther v ague s afeguards f or t he h e ir , B rac ton i n t he t h ir teen th c en tury om i t ted t hese a nd t he k ing 's C our ts d id n o t s uppor t ac h i ld 's c la im t o a ny p ar t o f h is p aren t 's e s ta tes . The o n ly ma jor c hange b e tween t he t h ir teen th a nd s ix teen th c en tur ies was t ha t b y t he S ta tu te o f Wi l ls i n 1 540 a p aren t c ou ld t o ta l ly d is inher i t h is h e irs n o t o n ly b y s a le o r g i f t d ur ing h is l i fe ti me , b u t a lso b y l eav ing a w i l l d ev is ing t he t woth irds o f h is f reehold e s ta te wh ich d id n ot g o t o h is w idow ( Sw inburne , 1 728 :119 ) . S w inburne , al ead ing a u thor i ty o n t es ta men tary l aw , n owhere men t ions t he c h i ldren 's r igh t t o a ny p ar t o f t he r ea l e s ta te o f t he ir p aren t 's . T h is h ad b een f orma l ized i n t he S ta tu te Q u ia Emp tores o f 1 290 wh ich s ta ted t ha t ' f ro m h encefor th i t s ha l l b e l aw fu l f or e very f ree man t o s e l l a t h is o wn p leasure h is l and a nd t ene men ts , o r p ar t o f t he m .. ‚ ,w i th t he e xcep t ion o f s a les t o t he c hurch o r o ther p erpec tua l f ounda t ions ( S i mpson , 1 961:51) . I nt h is c rucia l r espec t , E ng l ish c o mmon l aw t ook a t o ta l ly d i f feren t d irec t ion f ro m c on t inen ta l l aw . As Ma i t land p u t i t , " Free a l iena tion w i thou t t he h e ir 's c onsen t w i l l c o me i n t he wake o f p r i mogen i ture . T hese t wo c harac ter is t ics wh ich d is t ingu ish o ur Eng l ish l aw f ro m h er n eares t o f k in , t he F rench c us to ms , a re c lose ly c onnec ted . . . .A broad , a s ag enera l r u le , t he r igh t o f t he e xpectan t h e ir g radua l ly a ssu med t he s hape o f t he r es tra i t l ignager . Al andowner mus t n o t a liena te h is l and w i thou t t he c onsen t o f h is e xpec tan t h e irs u n less i tb e ac ase o f n ecess i ty , a nd e ven i n ac ase o f n ecess i ty t he h e irs mus t h ave a n o pportun i ty o f p urchas ing ."
( Po l lock a nd Ma i t land , 1 968 :i i , 3 09 , 3 13 )
Thus c h i ldren h ave n o b ir th-r igh t f ro m t he t h ir teen th c en tury o nwards , t hey c an b e l e f t p enn i less . S tr ict ly s peak ing i ti s n o t e ven a ma t ter o f ' d is inher it ance ' ; al i v ing man h as n o h e irs , h e h as c o mp le te s eis in o r p roper ty . As Brac ton p u t i t , ' t he h e ir a cqu ires n o th ing f ro m t he g i f t made t o h is a nces tor b ecause h e w as n o t e n feo f fed w i th t he d onee ' ( S impson , 1 961:49 ) , i n e f fec t h e h as n o r igh ts wh i le h is f a ther l i ves , t hey a re n o t c o-owners i n a ny s ense . Th is i s i l lus tra ted b y t he f ac t t ha t i nt he t h ir teen th c en tury , a nd t o ac er tain e x ten t l a ter , t he h e ir h as n o a u to ma t ic ' seis in ' i n h is d ead a nces tor 's p roper ty . We a re t o ld t ha t as tranger " aba tes" o r " in trudes" u pon l and whose o wner h as j us t d ied s eized , h e h as c omm i t ted n o d isseis in .
T he l aw fu l h e ir c anno t
s ay t ha t h e was d isse ised u n less h e h ad i n f ac t b een p rev ious ly s eised .
I n
o ther words , t he h e ir d oes n o t i nher i t h is a nces tor 's s e is in . L ike e veryone e lse , a n h eir c anno t a cqu ire t he p r iv i leges o f s eis in u n less h e e n ters , s tays i n , a nd c onduc ts h i msel f l i ke t he p eace fu l h o lder o f af ree t ene men t .' ( P luckne t t , 1 956:722-3 ;
P o l lock a nd Ma i t land , 1 968 : i i , 5 9-61) .
Aga in t here
was n o th ing c o mparab le t o t he F rench c us to m , e qu iva len t t o t he p r inc iple o f l e r o i e s t mor t :v ive l e r oi , whereby l e mor t s a is i t l e v i f ( P luckne t te , 1 956: 7 23 ) .
I nt he c ase o f f reeho ld r ea l e s ta te f ro m t he t h ir teen th c en tury , t he
c h i ldren h ad n o a u to ma t ic r igh ts . T he c us to m o f p r i mogen i ture migh t g ive t he e ldes t c h i ld g rea ter r igh ts , where t he e s ta te was n o t d isposed o f , t han o ther c h i ldren .
B u t u l t ima te ly e ven t he e ldes t s on h ad n o th ing e xcep t a t t he
w ish o f h is f a ther o r mo ther , e xcep t where t he i nher i tance h ad b een f or ma l ly s pec i f ied b y t he a r ti f icia l d ev ice o f a n e n ta i l . E ven s uch e n ta i ls c ou ld b e b roken . As a r esu l t , a s C ha mber layne p u t i ti n t he s even teen th c en tury , " Fa thers may g ive a l l t he ir E s ta tes u n-in ta i led f ro m t heir own c h i ldren , a nd t o a ny o ne c h i ld" ( Cha mber layne , 1 700 :337 ) . 3 34
Ch i ldren h ad n o s tronger r igh ts i n t he n on-freeho ld p roper ty o f t heir p aren ts . Or ig ina l ly mos t o f t h is l and was h eld ' a t t he w i l l o f t he l ord ' , wh ich mean t t ha t a t ap erson 's d ea th h is h e irs h ad n o s ecur i ty .
B u t g radua l ly o ver
t ime i n many a reas o f E ng land c opyho ld e s ta tes b eca me h ered i tab le . I n p rac t ice , a s we s ee i n E ar ls C o lne b y t he l a ter s ix teen th c en tury , ac opyho lder c ou ld s e l l o r g ran t away h is l and , o r h e c ou ld s urrender i tt o t he l ord ' t o t he u se o f h is w i l l ' . I nt h is w i l l h e c ou ld s peci fy h is h eirs . Thus u p t o t he s ixt een th c en tury a man c ou ld a l iena te h is l and f ro m h is c h i ldren wh i le a l ive . A f ter t he S ta tu te o f Wi l ls o f 1 540 , a l l s ocage t enures , i nc lud ing c opyho ld , b eca me f ree ly d ev isab le b y w i l l , ( Swinburne , 1 728 :119 ) .
We h ave s een t ha t
aw idow migh t h ave a f ree-bench , b u t c h i ldren h ad n o i na l ienable r igh ts , n o b ir th r igh ts . C h i ldren h ad n o l ega l c la im a ga ins t ap erson t o who m t heir p aren t 's l and h ad b een g ran ted o r g iven . I n s um , n e i ther i nt he c ase o f f reeho ld o r n on-freeho ld , e xcep t where a n e n ta i l was d rawn u p , d id a c hi ld h ave a ny r igh ts . E ven e n ta i ls were c on trary t o t he i dea o f ' f am i ly e s ta tes ' , s ince t hey c ou ld t ake t he l and away f ro m c h i ldren , a s e as i ly a s e nsur ing t he m ap or t ion . I th as b een n ecessary t o s pend s o me t ime o n t h is t opic i n o rder t o s how t ha t wha t we f ind i n J osse l in 's D iary a nd i n E ar ls C o lne was o n ly a p ar t icu lar i ns tance o f ac en tra l c harac ter is t ic o f E ng l ish l aw a nd s ocie ty . T he f am i ly a s t he b as ic r esource-own ing u n i t wh ich c harac ter izes p easan t s ocie t ies d oes n ot s ee m , i n l aw a t l eas t , t o h ave e x is ted i n Eng land f ro m a bou t 1 200 o nwards . E ng land was h ere n o t o n ly v ery d i f feren t f ro m t he Th ird Wor ld s ocie t ies where t he i n troduc t ion o f Eng l ish c o m mon l aw i n t he n ine teen th a nd t wen t ie th c en tur ies c aused s uch d is loca t ion ( Boserup , 1 965 :90 ; Myrda l , 1 968 :i i , 1 036-7 ) , b u t a lso f ro m Europe a t t ha t t ime .
I ft he e ssence o f p easan try i s t he i den t i f ica t ion o f
t he f am i ly w i th t he o wnersh ip o f t he means o f p roduc tion , i ti s d i f f icu l t t o s ee h ow E ng land c an h ave b een a p easan t s oc ie ty i n t he s ix teen th c en tury , o r l ong b efore .
The c onsequences o f t h is s i tua t ion a re a pparen t i n t he r ecords f or
E ar ls C olne. Fro m 1 540-1750 t here s urv ive o ver t hree h undred wr i t ten w i l ls f or i nh abi tan ts i n E ar ls C o lne , i nd ica t ing a f u l ly d eve loped s ys te m o f i nd iv idua l i nher i tance . T hey i nc luded l and , h ouses a nd g oods . Th is i s i n d irec t c ont ras t t o t he s i tua t ion i n at rad i t iona l p easan t s ocie ty , where t he a gr icu l tura l a sse ts a re n o t b eing b equea thed , b u t p ar t i t ioned , u sua l ly b e fore d ea th , a nd where , c onsequen t ly , aw i l l w ou ld b e av io la t ion o f c h i ldren 's r igh ts . F or e xa mple , i n r e la t ion t o Russ ian p easan try we a re t o ld t ha t ' Inher i tance b y w i l l d id n o t e x is t a s f ar a s l and a nd a gr icu l tura l e qu ip men t were c oncerned , a nd , i n o ther c ases , was e x tre me ly l im i ted a nd o pen t o c ha l lenge a s u n jus t b efore t he p easan t c our ts" ( Shan in , 1 972 :223 ) .
Fur ther more , i f we l ook a t
t he p r incipa l l and r eg is tra t ion r ecord , t he manor c our t r o l l , we f ind a f u l ly d eve loped l and marke t w i th t he s a le a nd mor tgag ing o f l and t o n on-k in .
A t
l eas t h a l f o f t he t rans fers o f l and r eg is tered d ur ing t he s ix teen th a nd s event een th c en tur ies were b e tween n on-k in . F or e xa mp le , d ur ing t he f i ve-year p er iod 1 589-1593 o nt he manor c f E ar ls C o lne , f i f ty-one p arce ls o f c opyho ld l and were t rans ferred .
A t l eas t t wen ty-one o f t hese were s a les o f c opyhold
l and t o n on-k in f or c ash , wh i le a n umber o f o thers were s urrenders a t t he e nd o f mor tgages o r l eases . J us t u nder h a l f t he t rans fers were b y ' i nher i tance ' b e tween k in . 6 De ta i led e xa m ina t ion o f t h is p er iod s hows t ha t t h is c an n o t b e
3 35
e xp la ined b y s ugges t ing t ha t t he v endors were h e ir less i nd iv idua ls , o r v ery p oor i nd iv idua ls ' f a l l ing o f f ' t he b o t to m o f t he e cono m ic l adder . Wha t w e a re w i tness ing i s ac on t inua l p rocess o f ama lgama t ion , e xchange a nd a ccumu la t ion , i n wh ich e s ta tes w ere c ons tan t ly c hang ing s hape , o wnersh ip a nd v a lue . were n o t t i ed t o s peci f ic f am i l ies .
T hey
A l though a man c ou ld g ive a way , s e l l o r d ev ise a ny o r a l l o f h is r ea l e s ta te , e xcep t ing t he w idow 's s hare , e i ther i n h is l i fe o r b y w i l l , i fh e d id n o t d o s o , t hen t he e s ta te wou ld b y c us to m d escend t o ap ar t icu lar c h i ld . I n E ar ls C o lne , a s i n mos t o f Eng land , t he f i rs t-born ma le wou ld i nher i t t he e s ta te b y l aw . A l though n o wr i t ten s ta te men t t o t h is e f fec t h as b een d iscovered f or E ar ls C o lne , d e ta i led s tudy o f w i l ls a nd c our t r o l ls s hows t h is t o b e t he c ase . I ta lso s hows t ha t t he s ever i ty o f ma le p r i mogen i ture was modi f ied b y t he g iv ing o f ' por t ions ' t o y ounger s ons a nd t o t he d augh ters . I n g enera l , h owever , f ro m t he s tar t o f t he c our t r o l ls i n 1 400 , t he ma jor s hare o f t he l andho ld ing wen t t o o ne c h i ld .
Ma ine h as p oin ted o u t t ha t t h is " Feuda l L aw o f l and
p ract ica l ly d is inher i ted a l l t he c h i ldren i n f avour o f o ne" ( Ma ine , 1 890 :225 ). I n e ssence , p r i mogen i ture a nd a p easan t j o in t o wnersh ip u n i t a re d ia me tr ica l ly o pposed . The f am i ly i s n o t a t tached t o t he l and , o ne f avoured i nd iv idua l i s c hosen a t t he wh im o f t he p aren t , o r b y t he c us to m o f t he manor . I th as a lready b een s ugges ted t ha t p r i mogen i ture a nd c o mp le te i nd iv idua l p roper ty i n r ea l e s ta te a re i n t i ma te ly i n ter l inked , b o th a pparen t ly f ir m ly e s tabl ished i n Eng land b y t he t h irteen th c en tury ( Po l lock a nd Ma i t land , 1 968 : i i , 2 74 ) . I fp easan try a nd p r i mogen i ture a re i n p r inc ipa l o pposed , we wou ld e xpec t t he r u le t o b e l im i ted t o p ar ts o f w es tern E urope . T h is s ee ms t o h ave b een t he c ase . L ow ie l ong a go n oted t ha t ' t he w idespread European d om inance o f p r i mogen i ture ' marked i to f f f ro m A fr ica a nd A s ia ( Low ie , 1 950 :150 ) a nd a r ecen t s weep ing s urvey o f p roper ty r igh ts s ta tes t ha t p r i mogen i ture among t he u pper c lasses " has b een a g rea t r ar i ty i n t he w or ld" ( K iernan , i n G oody
2 1 ., 1 976:376) . Y e t e ven w i th in E urope , E ng land s ee ms t o h ave b een b y f ar t he mos t e x tre me i n i t s a pp l ica t ion o f t h is p r inc ip le , a s c on te mporary c o mmen ta tors q uoted b y Th irsk s how ( i n G oody e t a l . ,1 976:185 ) .
I ndeed ,
wh i le p r i mogen i ture among t he g en try a nd a r is tocracy was f a ir ly w idespread i n E urope , f urther r esearch may s how t ha t E ng land was t he o n ly n a t ion where p r i mogen i ture was w idespread among t hose a t t he l ower l eve ls i n s oc ie ty , i n o ther words amongs t t hose who m igh t h ave c ons t i tu ted a ' peasan try ' . A l though t here were c ons iderable r eg ions where p ar t ib le i nher i tance was c o mmon , a nd y ounger c h i ldren c ou ld b e p rov ided w i th c ash o r g oods , i ti s c lear t ha t a c us to m s uch a s t h is w ou ld h ave p ro found c onsequences . One o f t hese c onsequences was t ha t E ng land d ur ing t he s ix teen th a nd s even teen th c en tur ies w i tnessed v ery h igh r a tes o f g eograph ica l mobi l i ty . T ak ing E ar ls C olne , t h is wou ld mean t ha t t he f am i l ies p resen t i n , f or e xa mp le , 1 560 , were d i f feren t f ro m t hose p resen t i n t he s a me p ar ish i n 1 700 . E ven i n ap easan t s oc ie ty w i th l i t t le d isrup t ion b y war o r f am ine , t here i s l i ke ly t o b e c ons iderab le c hange i nf am i l ies a s t hey d ie o u t i n t he ma le l i ne . B u t t he s i tua t ion i s more d ra ma t ic i n E ar ls C o lne . F or e xamp le , o f 2 74 p ieces o f p roper ty l i s ted i n ar en ta l f or t he t wo E ar ls C o lne manors i n 1 677, o n ly t wen ty-three h ad b een h e ld b y t he s a me f am i ly , e ven i f we i nc lude l inks t hrough f e ma les , s o me t wo g enera t ions e ar l ier i n 1 598 . A mass ive s h i f t c an b e s een i n e ven s hor ter p er iods . C o mpar ing t wo s ix teen th c en tury r en ta ls 3 36
f or E ar ls C olne manor w e f ind t ha t o f 1 11 p ieces l i s ted i n 1 549 , o n ly t h ir tyo ne were owned b y t he s a me f am i ly s o me f or ty y ears l a ter i n ar en ta l o f 1 589 , a ga in i nclud ing t he l i nks t hrough wo men .7 T he r esu l t i s t ha t i nd iv idua ls a ppear , b u i ld u p ah o ld ing , a nd t hen t he f am i ly d isappears , a l l i n ag enera t ion o r t wo .
I ta lso s ee ms t o h ave b een t he c ase t ha t mos t p eop le , e spec ia l ly
y ounger s ons , a nd d augh ters , wou ld e nd u p i n ap ar ish o ther t han t he o ne i n wh ich t hey were b orn . Ap ar ish o r v i l lage , f ar f ro m b e ing a b ounded c o mmun i ty wh ich c on ta ined p eople f ro m b ir th t o d ea th , was a g eograph ica l a rea t hrough wh ich v ery l arge n umbers o f p eop le f l owed , s taying a f ew y ears , o r al i fe t i me , b u t n o t s e t t l ing w i th t he ir f am i l ies f or g enera t ions . Another e f fect o f t he p ar t icu lar l and-ho ld ing s i tua t ion was o n s ocia l mob i l i ty . I th as b een d e mons tra ted b y S han in t ha t t he R uss ian p easan try were c harac ter ized b y t wo ma jor f ea tures i n t he ir s ys te m o f mobi l i ty .
A t t he
l eve l o f t he i nd iv idua l p easan t f am i ly , t he f am i ly a s a who le u nderwen t wha t h e c a l ls ' cyc l ica l mob i l i ty ' , ap a t tern wh ich h e p or trays a s a n u ndu la t ing wavel i ke mo t ion o ver t ime ( Shan in , 1 972 :118 ) . T here were c er ta in n ega t ive a nd p os i t ive f eedback mechan is ms wh ich k ep t i to sci l la t ing a bou t a mean . F or e xa mp le , a s i tg e ts r icher , t he n umber o f c h i ldren i ncreases a nd t he e s ta te h as t o b e p art i t ioned among more h ouseho lds , s o t ha t e ach i s i nd iv idua l ly p oorer , wh i le p oorer h ouseho lds ama lga ma te t heir h o ld ings a nd s o b eco me r icher .
One c orol lary o f t h is i s t ha t o ver l ong p er iods n o p er manen t ' c lasses '
a ppear ; t he ' m idd l ing ' p easan ts p redo m ina te , a nd t here i s n o s p ira l l ing a ccu mu la t ion whereby t he r ich c on t inue t o g e t r icher a nd t he p oor t o g e t p oorer . The c on tras t b e tween t he t wo s ys te ms a nd t he r easons f or t he t wo p a t terns h ave b een d iscussed a t s o me l eng th w i th a n i ndependen t , b u t c ur ious ly p ara l le l , mode l t o t ha t o f S han in ( Macfar lane , 1 976a :191-200 ) , where i t was s ugges ted t ha t T udor a nd S tuar t Eng land was a lready w i tness ing a d i f feren t p heno menon , w i th s p ira l l ing a ccumu la t ion . The r ecords f ro m E ar ls C o lne a nd e lsewhere s ugges t t ha t c er ta in i nd iv idua ls r ose , a nd t hen o ne o f t heir c h i ldren l i kew ise d id s o . F am i l ies d id n o t move i n ab lock , b u t s hed s o me o f t he ir y ounger o r l ess t a len ted c h i ldren . As a r esu l t , a f ter s evera l g enera t ions , a s f or e xa mp le n o ted b y S pu f ford , 8g randch i ldren o f t he s a me p erson c ou ld b e a t e x tre me e nds o f t he h ierarchy o f wea l th .
One l ong-ter m e f fec t o f t h is
p a t tern i s t he w e l l-known g enera l p heno menon b y wh ich Eng land i s c harac ter ized b etween t he f i f teen th a nd e igh teen th c en tur ies , ag row ing s p l i t b e tween a wea l thy m inor i ty o f l andowners a nd a n i mpover ished l abour ing f orce . One o f t he c en tra l t he mes o f much o f t he s oc ia l h is tory wr i t ten s ince T awney ( 1 912 ) h as b een t he way i n wh ich a bso lu te d iv is ions g rew s o t ha t b y t he e igh teen th c en tury i ti s p oss ib le t o s peak o f ' c lasses ' r a ther t han e s ta tes .
T he p rocess o f d i f feren t ia-
t ion wh ich f a i led t o ma ter ia l ize i n R uss ia i n t he f irs t y ears o f t h is c en tury h ad o ccurred .
I n E ar ls C o lne , c o mpar isons o f t he d is tr ibu t ion o f l and a t t he s tar t
o f t he s ix teen th a nd e nd o f t he e igh teen th c en tury s uppor t t h is i dea o f i ncreas ing d i f feren t ia t ion . Th is c on tras ts w i th t he s i tua t ion i np ar ts o f As ia where t e mp orary i ncreases i np roduc t ion a re i nves ted i n d e mograph ic o r s oc ia l e xpans ion , r a ther t han b eing a ccu mu la ted a nd h oarded b y o ne h e ir . I ts ee ms a bundan t ly p la in t ha t we a re n o t d ea l ing w i th a ' peasan t ' v i l lage i n E ar ls C o lne i nt he s ix teen th t o e igh teen th c en tur ies . C o mpar ison w i th t he r ecords o f o ther E ssex v i l lages , p art icu lar ly t he n e ighbour ing p ar ish o f G rea t T ey a nd t hose o f H a t f ie ld P eve l , B oreha m a nd L i t tle B addow , s ugges ts t ha t
3 37
E ar ls C olne was n o t e xcep t iona l w i th in E ssex .
Y e t i tc ou ld b e a rgued t ha t
E ssex was e xcep t iona l ly a dvanced . We may b r ie f ly l ook a t s o me p ub l ished s tud ies o f o ther p ar ishes i n e co log ica l ly d i f feren t a reas i n E ng land . The o pen-f ie ld p ar ish o f Wigs ton Magna i n L e ices tersh ire h as b een d escr ibed b y H osk ins ( 1 957) .
A l though t he t urnover o f f am i ly n a mes was n o t q u i te a s
g rea t a s t ha t i n E ar ls C o lne , o f 8 2 f am i ly n a mes i n 1 670 , 4 4% h ad b een p resen t o ne h undred y ears b e fore , 2 0% t wo h undred y ears b e fore ( i bid ., 1 96) , i n o ther r espec ts t he p a t tern o f s oc ia l mob i l i ty a nd t he l and marke t s ee m t o h ave b een o f t he s a me o rder a s i n E ssex . We a re t o ld t ha t t here ' a lways h ad b een , a s f ar b ack a s t he r ecords g o , ag ood d ea l o f b uying a nd s e l l ing o f l and b e tween t he p easan t-far mers o f Wigs ton , ( i b id ., 1 15 ) , b u t b y t he l a ter s even teen th c en tury ' t he f ines , c onveyances , mor tgages , l eases a nd marr iage s e t t le men ts a lone f or t h is p er iod , i n s uch a n i ncessan t ly a c t ive l and- marke t a s Wigs ton a re b ew i lder ing ' ( i b id ., 1 94-5 ). I ti s a lso c lear f ro m t he i nven tor ies t ha t t he f ar mers were p roduc ing f or t he marke t . T he p a t tern o f s oc ia l mob i l i ty was o ne wh ich l ed t o t he o ppos i te s i tua t ion t o t ha t d escr ibed f or Russ ia .
There
was a g rowing c leavage b e tween r ich a nd p oor . Wigs ton w i tnessed , a s d id t he who le o f t he M id lands , t he emergence o f ag roup o f f armers i n t he l a te f i f teen th c en tury who were a bove t he a verage i n w ea l th , a s c an b e s een i n t he L ay S ubs idy o f 1 524 ( i bid ., 1 41-3 ) . Dur ing t he l a ter s ix teen th c en tury a nd s even teen th c en tury t here was a g row ing p rob le m o f p over ty , wh i le a f ew f am i l ies a ccu mu la ted a l mos t a l l t he l and i n t he v i l lage . B y t he t ime o f a s urvey o f 1 766 t he v i l lage h ad b eco me c o mp le te ly p o lar ized b etween a r ich f ew a nd n u merous l and less l abourers ( i b id ., 2 17-9 ) .
T he c ycl ica l mobi l i ty
o f t he Russ ian p easan try h ad n o t b een p resen t . The s a me s p l i t t ing a par t o f t he v i l lage c o mb ined w i th a n a c t ive l and marke t i s d ocumen ted f or t he C a mbr idgesh ire v i l lage o f C h ippenha m s tud ied b y S pu f ford ( 1 974 ) .
Th is p ar ish i n t he s heep a nd c orn a rea o f C a mbr idgesh ire
w i tnessed a b u i ld u p o f l arger t han a verage h o ld ings e ven i n t he f ourteen th a nd f i f teen th c en tur ies ( i b id ., 6 5 ) . B u t t he a u thor a rgues t ha t t he c rucia l p er iod i n wh ich t he sma l l f ar mers were p ushed o u t was b e tween 1 560-1636. E cono m ic p o lar iza t ion mean t t ha t ar ough ly e ga l i tar ian d is tr ibu t ion o f 1 544 , a s s hown i n as urvey o f t ha t y ear ( i b id ., 6 7) , w as r ep laced b y o ne where a bsen tee l arge l andowners h e ld a l mos t a l l t he l and i n t he map o f 1 712 ( i bid ., 7 1 ).
Dur ing t he c ruc ia l p er iod o f d iv is ion , o ver h a l f t he t ransac t ions i n t he
manor c our t were s a les o f p roper ty — p resumab ly t o n on-k in . T he a u thor a lso b e l ieved t ha t t here was a g ood d ea l o f em igra t ion ( i b id ., 9 0 ) , wh ich h e lped t o k eep t he p opu la t ion f ro m g row ing d ur ing mos t o f t he p er iod . A more e x tens ive s urvey o f v i l lage monographs wou ld s how t ha t t here were s o me a reas where g eograph ica l a nd s oc ia l mob i l i ty were l ess p ronounced i nt he s even teen th c en tury o r e ar l ier ( Hey , 1 974 ; H owe l l , i n G oody e t a l ., 1 976 ) . Y et i n n o s tudy o f T udor a nd S tuar t E ng land h ave Ic o me a cross t he t races o f a ny th ing a pproach ing a r ea l ' peasan try ' .
The a rea where o ne wou ld
mos t e xpec t t o f ind o ne wou ld b e t he ' up land ' a rea o n t he n orthern a nd wes tern f r inges . I ti s g enera l ly a ccep ted b y t hose f am i l iar w i th s uch r eg ions t ha t k insh ip a nd f am i ly were more impor tan t t here t han e lsewhere a nd t ha t t here , i fa nywhere , w e w i l l b e d ea l ing w i th a d o mes t ic e cono my , b ased o n f am i ly l abour .
O f a l l t he a reas w i th in t h is g enera l r eg iona l t ype , t he a rchetypa l
f am i ly f ar m a ppears t o b e i n t he h i l ls o f s ou thern Cumbr ia where i ti s k nown t ha t as pec ia l f or m o f s oc ia l s truc ture , b ased o n sma l l f am i ly ' es ta tes ' , was 3 38
p resen t , where manor ia l is m was weak , a nd where , we a re o f ten t o ld , t he e cono m ica l ly b ackward a nd s oc ia l ly c losed c o m mun i t ies o f t he n or thern h i l ls were w ere i nhabi ted b y ar ea l p easan try . Ih ave e xa m ined t h is c la im i n r e la t ion t o t he p ar ish o f K irkby L onsda le i n ac o mp le men tary p aper t o t h is o ne ( i n Sm i th , 1 978 ) a nd i ta ppears t o b e a s my th ica l a s t he c la im f or p easan try i n E ssex . T he h igh ly i nd iv idua l ized , g eograph ica l ly a nd s oc ia l ly mob i le , s i tua t ion we f ound i n E ssex meets u s i nt he Lune v a l ley a lso . P roper ty i s h e ld b y i nd iv idua ls , c h i ldren l eave h o me a t a n e ar ly a ge , t he b as ic u n i t o f p roduc t ion , c onsumpt ion a nd ownersh ip i s n ot t he f am i ly . We s t i l l a wa i t a n e xa mple o f ap easan t c o mmun i ty . T he d iscovery t ha t E ng land was n o t , i n t he t erms o f t he more p recise d e f in i t ion a dvanced a t t he s tar t o f t h is p aper , ap easan t s ocie ty i n t he s ix teen th t o e igh teen th c en tur ies r a ises a s many q ues t ions a s i ts o lves .
A minor o ne i s
t erm ino log ica l ; we d o n o t h ave a w ord t o c harac ter ize t h is s oc ia l s tructure , e xcep t n ega t ive ly o r i n r e la t ion t o e ar l ier o r l a ter ' s ta tes ' . T hus t o c a l l i t ' n on-peasan t ' , ' pos tfeuda l ' , ' ear ly modern ' a nd s o o n i s h ard ly s a t is factory . Ano ther p rob le m i s t he e x ten t t o wh ich Eng land was d i f feren t f ro m o ther a reas o f E urope i nt ha t p er iod ; were t here a ny o ther n on-peasan t r ura l s oc ie t ies? We a lso n eed t o k now more a bou t when t he p a t tern emerged . I ft here was n o p easan try i n s ix teen th c en tury Eng land , when h ad i td isappeared?
One r ecen t
s ugges t ion i s t ha t wh i le t here was c lear ly a p easan t s oc ia l s truc ture i n t he l a ter f ou rteen th c en tury , a s a rgued b y H i l ton ( 1 975 ) , t here i s e v idence t o s ugges t t ha t i td isappeared b y t he m idd le o f t he f i f teen th c en tury ( B lanchard , 1 977) . S ince t here was n o o bv ious a nd t rauma t ic b reak b e tween 1 380 a nd 1 450 , t h is l eaves B lanchard a nd u s p uzzled . I ti s c lear ly t ime t ha t s o meone c ons idered t he p ropos i t ion t ha t t here n ever h ad b een a p easan try i n 'Eng land . F ina l ly , we r e turn t o t he q ues t ion o f h ow t o c harac ter ize t h is h igh ly i d ios yncra t ic s oc ie ty ;
r ura l a nd a grar ian , y e t d i f feren t i n a l mos t e very r espec t
f ro m t he o ther l arge a gr icu l tura l c iv i l iza t ions wh ich we k now o f t hrough a n throp o log ica l , a rchaeolog ica l o r h is tor ica l i nves t iga t ion . Th is e ssay h as b een d evoted t o s ugges t ing t ha t Eng land c anno t b e d escr ibed a s ' peasan t ' .
U pon
t h is d e mo l ished s i te i ti s n ecessary t o e rec t a n a l terna t ive mode l o f t he s oc iety .
I fi t was n o t p easan t , o r i ndus tr ia l o r f euda l , wha t was i t?
F oo tnotes 1 .
The r esearch o nt hese p ar ishes h as b een f unded b y t he S ocia l S c ience R esearch C ounc i l a nd K ing 's C o l lege R esearch C en tre , C a mbr idge , t o who m Iam mos t g ra te fu l . S arah H arr ison .
Much o f t he w ork h as b een c arr ied o u t b y
Iw ou ld a lso l i ke t o t hank C herry B ryan t , C har les
J ard ine , I r is Mac far lane a nd J ess ica S ty les f or t he ir h e lp . Ia lso a cknowl edge t he h e lp o f t he C oun ty Arch ives o f f ices a t C he l ms ford , K enda l , P res ton a nd t he P ub l ic R ecord O f f ice i n L ondon . 2 .
S ee Sm i th , 1 978 .
3 .
E (ssex ) R (ecord ) O ( f f ice ) , C he l ms ford :
4 .
E . R . 0 . T e mp . A ce . 8 97/8 .
5 .
E . R . 0 . D/DPr/76 .
3 39
D/DS m/P1;
T e mp . A ce . 8 97.
6 .
E . R . 0 . D/DPr/76.
7 .
E . R . 0 . D/DPr/99 , 1 10 .
8 .
I n at a lk g iven t o K ing 's C o l lege S ocia l H is tory S em inar , F ebruary 1 974.
B ibl iography P lace o f p ub l ica t ion o f b ooks i s L ondon , u n less o therw ise s peci f ied . B ago t , A ., 1 961. "Mr G i lpin a nd manor ia l c us to ms" , Transact ions o f t he Cumber land a nd Wes t mor land An t iquar ian a nd Archaeo log ica l S oc ie ty , n ew s er ies , l x i i :224-245 . B lacks tone , S ir W., 1 829 .
C o m men tar ies o n t he L aws o f Eng land .
1 8 th
e d i t ion . B lanchard , I . , 1 977.
R ev iew o f R . H . H i l ton , " The Eng l ish p easan try i n t he
L a ter M idd le Ages" . B oserup , E ., 1 965 . Br i t ton , E ., 1 976 .
S oc ia l H is tory , 5 :661-664.
The C ond i t ions o f Agr icu l tura l Grow th .
" The P easan t F am i ly i n F our teen th-Cen tury Eng land" .
P easan t S tud ies v :
( 2 ) :2-7.
Cha mber layne , E ., 1 700 . Da l ton , G ., 1 972 .
C h icago .
The P resen t S ta te o f Eng land , 1 9th Impress ion .
" Peasan tr ies i n An thropo logy a nd H is tory" .
C urren t
An thropo logy , 1 3(3-4 ) :385-415 . F os ter , G ., 1 965 .
" Peasan t S oc ie ty a nd t he Image o f L im i ted G ood" .
Amer . An throp., 6 7( 2 ) :293-315 . G oody , J ., Th irsk , J . a nd Tho mpson , E . P ., ( eds .) , 1 976. I nher i tance . Ha jna l , J ., 1 965 .
Fa m i ly a nd
C a mbr idge . ' European marr iage p a t terns i np erspec t ive '.
I n D . V .
G lass a nd D . E . C . E vers ley , ( eds .) , P opu la t ion i n H is tory:101-143 . H ey , D . G ., 1 974 .
An Eng l ish Rura l C o m mun i ty ;
Mydd le u nder t he T udors
a nd S tuar ts , L e ices ter . H i l ton , R ., 1 974 . "Med ieva l P easan ts - Any L essons?" , J orna l o f P easan t S tud ies , i ,( 2 ) :207-219 . H i lton , R ., 1 975 .
T he Eng l ish p easan try i n t he l a ter M idd le Ages .
H o mans , G . C ., 1 941 .
Eng l ish V i l lagers o f t he 1 3th C en tury .
Hosk ins , W. G ., 1 957.
The M id land P easan t ;
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t he E cono m ic a nd S ocia l H is-
L e ices ter .
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O x ford .
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I n H . E .
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3 40
L as le t t , P ., 1 971.
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2 nd e dn .
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C a mbr idge .
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S oc ia l Organ iza t ion .
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T he F am i ly L i fe o f R a lph J ossel in .
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C a mbr idge .
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Anc ien t L aw .
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1 3th e dn .
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H ar mondswor th . Myrda l , G ., 1 968 . Order , 1 650 .
As ian Dra ma .
T he Order o f K eep ing a C our t L ee t & C our t Baron .
F acs im i le
r epr in t . P luckne t t , T ., 1 956.
A C onc ise H is tory o f t he C o mmon Law .
P o l lock S ir F . a nd Ma i t land , F . W., 1 968 . B e fore t he T i me o f E dward I . P os tan , M. M., 1 972 .
5 th e dn .
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P easan t S oc ie ty a nd C u l ture .
C h icago .
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" The P opu la t ion o f E l izabe than Eng land" , E cono m ic
H is tory R ev iew , 2 nd s er ies , 2 (3 ) :247-265 . S ah l ins , M ., 1 974 .
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F or thco m ing .
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C a mbr idge .
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5 th e dn .
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Eng l ish P easan t F ar m ing .
T ho mas , W. I . a nd . Znan ieck i , F ., 1 958 . a nd Amer ica .
Ox ford .
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N ew Y ork . P easan ts .
Wr ig ley , E . A ., 1 969 .
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P opu la t ion a nd H is tory. 3 41
* Space s yntax
BH i l l ie r , AL eaman , PS tansa l l , M B edford U n i t f o r A rch i te c tu r a l S t ud ie s , S c hoo l o f E nv i ronmen t a l S t ud ie s , U n ive r s i ty C o l le ge L ondon , L ondon , E ng land R e ce ived 1 0 A ugu s t 1 976
A b s t r ac t . T h i s p ap e r a dd r e s s e s i t s e lf t ot h e q ue s t ion o fh ow a nd w hy d i f f e r en t s o c i e t i e s p r odu ce d i f f e r en t s p a t i a l o r d e r s t h rough b u i ld ing f o rm s a nd s e t t lemen t p a t te rn s . I tc on s i s t s o ft h r ee p a r t s . F i r s t ly , a t am e t a th eo r e t i ca l l e v e l , i ti ss u g g e s ted t h a t s p a t ia l o r g an iza t ion s h ou ld b e s e en a sa m embe r o f af am i ly o f` mo rph i c l a ngua g e s ' w h i ch a r e u n l ike b o th n a tu r a l a nd m a th ema t i ca l l a nguag e s b u t w h i ch b o r row p r op e r t i e s f r om e a ch . I ng e n e r a l , m o rph i c l a nguag e s a r e u s ed t o c o n s t i tu t e r a the r t h an r e p re s en t t h e s o c i a l t h roug h t h e i r s y n tax ( t h a t i st h e s y s tema t ic p r oduc t ion o f p a t te rn ) . S e cond ly , ag e n e r a l s y n t a c t i c t h eo ry o fs p a c e o r gan iz a t ion i sp r opo s ed . I ti sa r gued t h a t s p a t i a l p a t t e rn s i nb o th c omp lex b u i ld ing s a nd s e t t l emen t s f a l l i n to e i gh t m a jo r t y p e s , w h i ch a r e i n t e r r e la ted i ns t ruc tu r a l w ay s . F i na l ly , t h e s y n ta c t i c t h eo ry i su s ed t oi n teg r a te an umbe r o fr e cen t g e ne ra l p r opo s i t ion s m ad e i na n th ropo logy r e g a rd ing h um an s p ace o r gan i za t ion . 1 P re l im ina r ie s :
m athema t ic s a nd t he ' s c ience s o f t he a r t if ic ia l '
"We c anno t u nde r s tand t he f l ux wh ich c ons t i tu te s o ur h uman e xper ience u n le s s w e r e a l i se t ha t i ti sr a i sed a bove t he f u t i l i ty o f i n f in i tude b y v a r iou s s ucces s ive t ypes o f modes o f e mpha s is wh ich g enera te t he a c t ive e ne rgy o f af i n i te a s semb lage . T he s upe r s t i t ious a we o f i n f in i tude h as b een t he b ane o f p h i losophy . T he i n f in i te h as n o p roper t ies . A l l v a lue i st he g i f t o f f i n i tude wh ich i st he n ece s sa ry c ond i t ion f or a c t iv i ty . A l so , a c t iv i ty m ean s t he o r ig ina t ion o f p a t terns o f a s semb lage , a nd ma thema t ic s i st he s t udy o f p a t tern" ( A N Wh i tehead , 1 961) . B e l ief i n a ma thema t ica l o rde r i nheren t i n n a tu re h a s a lway s b een a f undamenta l p o s tu la te o f t heo re t ica l s c ience . F i r s t p u t f o rward b y t he s choo l o f P y thago ras , w h ich d eve loped an umer ica l t heo ry o f n a tura l o rde r f r om s uch d i scover ie s a s t he r e la t ion b e tween mus ica l h armon ies a nd n umer ica l p ropo r t ion s , i tw a s l i nked b y G a l i leo t o t he e xper imen ta l m e thod , a nd t ogether t h ey f o rm t he d ua l f ounda t ion o f t h e modern c oncep t ion o f s c ience . Ana ly t ica l g eome try , c a lcu lu s , g roup t heory , n on -Euc l idean g eome t r ies a nd p erhap s c a tas t rophe t heory w ere a l s ubsequen t s t eps i n l i nk ing o ur c oncep t ion s o f n a tura l o rde r w i th ma thema t ics . H owever u nreasonab le a b e l ief ma thema t ica l o rder i n n a ture may a ppea r i n p r inc ip le , t he ' unrea sonab le e f f ec t ivenes s ' o f ma thema t ic s i n t he n a tura l s c iences l e aves n o d oub t t ha t i th a s b een a mp ly j u s t if ied b y e ven t s . B u t t he s c iences o f man -made e n t i t ie s l i ke s e t t lemen t p a t terns , s oc ie t ies , a nd l a nguage s , h ave n o s uch r e cord o fs ucces s t o c onfound t he s c ep t ic . Mo reover , t he c l a ims o ft he se s c ience s t o b e e xcused f o r t he ir p oor m a thema t ica l d eve lopmen t o n a ccoun t o f t h e ir e x t reme y ou th s ound s mo re a nd mo re u nea sy a s d ecade s p as s . However , t he r oo t r e a son f o r t he l a ck o f ma thema t ica l t heo r ie s i nt he ' s c iences o f t he a r t if ic ia l ' may b e t ha t t hey a r e n o t s ough t a f ter , s i nce t he f undamen ta l p o s tu la te j u s t ify ing t he i n ter ven t ion o fm a thema t ic s i nt he se s c iences i sn o t ab e l ief i h ama thema t ica l o rder i n heren t i nt he o b jec ts o fs t udy , b u t s imp ly ab e l ief i nt he p ower o f ma thema t ics a sa n i n s trumen t . I n p r inc ip le s uch a r educed c l a im a ppea r s j u s t if ied . E ven i fn a ture d oe s w ork ma thema t ica l ly , t h i s d oe s n o t i mp ly t ha t m an t he a r t if icer a l so d oes .
*M inor r ev is ions t o d iagra ms a nd t ext made 3 1st May 1 978. Repr in ted f ro m Env iron men t a nd P lann ing B , 1 976 , v o lu me 3 , p ages 1 47-185 , b y k ind p er m iss ion o f t he p ubl ishers, P ion L im ited , L ondon .
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T o b e l ieve i n a ma thema t ica l o rder i nheren t i n c omp lex a r t if ic ia l e n t i t ie s r equ ires u s t o b e l ieve t ha t m an c r ea tes mo re m a thema t ica l ly t han h e k nows . T h i s a r gumen t s t rong ly r e semb les t he o ne t ha t e ven tua l ly l e d t o G a l i leo 's c ondemna t ion . H e w as r equ i red b y t he c hurch t o b e l ieve t ha t m a thema t ica l mode ls w ere o n ly c onven ient i n s trumen ts f o r d esc r ib ing a nd p red ic t ing n a tu re , n o t e xpres s ions o f a n o rder p resen t i n n a ture h er se lf . O ne s u spec ts t ha t t oday a s im i la r ly modes t i n s trumen ta l i sm wou ld b e mo re a ccep tab le t o t he h i gh p r ie s ts o f t h e u nna tura l s c ience s t han a G a l i lean b e l ief i n i nheren t m a thema t ica l o rder . T here i s , h oweve r , o ne s c ient if ic p rob lem a r ea wh ich s ugges t s t ha t t he s c iences o f t h e a r t if ic ia l may b e f o rced i n to t horoughgo ing G a l i lean i sm . A l l b ranches o f a r t if ic ia l i n te l l igence r e sea rch h ave e ncoun tered a m a jor c oncep tua l b ar r ier — the p rob lem o f r epresen t ing f i e lds o f k now ledge . "Mach ine i n te l l igence i sf a s t a t ta in ing s e lf -def in i t ion , a nd w e n ow h ave a s at ouchs tone t he r e a l isa t ion t ha t t he c en t ra l o pera t ions o f i n te l l igence a r e ( l og ica l a nd p rocedura l) t r ansac t ions o n ak now ledge -base" ( M ich ie , 1 974 , p age 17) . T h i s p rob lem , a cco rd ing t o M ich ie , i sn ow t he c ommon d enom ina to r o f r e search i n to a r t if ic ia l p a t tern r e cogn i t ion , m ach ine t r an s la t ion , a nd e ven c hes s p l ay ing , o f w h ich M ich ie w ro te : "A s w i th o ther s e c to r s o f m ach ine i n te l l igence , r i ch r ewa rd s a wa i t e ven p a r t ia l s o lu t ion s t o t he r ep resen ta t ion p rob lem . T o c ap ture i n a f o rma l d e sc r ip t ive s cheme t he g ame 's d e l ica te s t ruc ture : i ti sh ere t ha t f u ture p rog res s l i e s , r a ther t han i n n ano second a cces s t imes , p a ra l le l p roces s ing , o r m ega -mega -b i t m emo r ies" ( M ich ie , 1 974 , p age 1 4 1) . I ti sh a rd t o s e e h ow s uch p rob lem s w i l l b e r e so lved e xcep t b y n ove l t heor ie s o f c omb ina tor ia l p a ttern f o rma t ion . I f ma thema t ics i st o j u s t ify i t s c l a im t o b e t he g ene ra l a b s t rac t s t udy o f p a t tern s uch t h eor ies w i l l b e a s s im i la ted t o ma thema t ic s , i f t h ey a r e n o t a l ready p ar t o f i t . W e c anno t k now i n a dvance whe ther t he n ew c omb ina tor ia l i d eas w e n eed w i l l c ome f r om m a thema t ic s , o r whe ther t hey w i l l c ome f r om o u t s ide a nd c ha l lenge m a thema t ic s . a s p hys ics h a s d one s o o f ten . I t may , f o r e xamp le , b e t he c a se t ha t modern ma thema t ic s i n p ur su i t o f i t s mo s t a bs trac t a nd i n tang ib le f ounda t ion s h a s n eg lec ted c e r ta in s imp ler , p erhap s mo re i mperf ec t . t ypes o f o rder t han may p reva i l l o ca l ly i n o rd ina ry s pace-t ime . I ft h i s w ere s o , i t wou ld a t l e a s t a low u s t o a dop t aG a l i lean p o s it ion i n t he s c ience s o f t he a r t if ic ia l w i thou t a n e x travagant b e l ief i n ar e la t ion b e tween t he mo s t u nwor ld ly d oma ins o f a bs trac t m a thema t ic s a nd t he e veryday wo r ld o f p rac t ica l p a t tern r e cogn i t ion , l a nguage a na ly s i s , a nd s o o n . Wha tever t he s o lu t ion , t he e x is tence o f t he k now ledge p rob lem i n a r t if ic ia l i n te l l igence r e sea rch a l ready s t rong ly s ugges t s t ha t s ome f o rma l o rder , o f a mo re o r l e s s ma thema t ica l k ind , mu s t i nhere i n t he c omp lex e n t i t ie s wh ich w e ' r ecogn ise ' s o e a s i ly i n e veryday l i fe . W i th o n ly a m ino r e x tens ion o f t h e a r gumen t . i t may b e s ugges ted t ha t t h i s c ou ld b e ak ey t o t h e s c ien t if ic s t udy o f t hose a r t if ic ia l s y s tem s w h ich a r e d ef ined o n ac o l lec t iv i ty , l i ke c i t ie s , s oc ie t ies , a nd l a nguage s , a nd d epend o n c on t inuou s , l a rge ly u nconsc ious p a t tern r e cogn i t ion b y m ember s o f t ha t c o l lec t iv i ty . I n t h i s p er spec t ive ak ey r e la t ionsh ip c omes t o t he f o re : t h e r e la t ionsh ip b e tween t h e f o rma l s t ruc tu re o f wha t t her e i st o b e k nown ( f or e xamp le , t he p a t terns o f s pace o rgan i sa t ion , p at terns o f s oc ia l n e two rk s , a nd s o o n ) ; a nd t he f o rma l men ta l s t ruc ture s b y wh ich t he se a r e k nown o r r e cogn ised . I ti st hen a n o bv ious h ypo thes i s t h a t t he s ame f o rma l s t ruc ture c ou ld a ccoun t f o r b o th . T h i s e x tens ion o f c ur ren t d eba te s i n a r t if ic ia l i n te l l igence a l so s ugges t s a n a l terna t ive s t ra tegy f o rr e search t o b e c onduc ted i np a ra l le l t o t he p rob lem o ff o rma l r epresen ta t ion o f k now ledge f i e lds o n t he c ompu ter :
t ha t o f t he a na ly s i s o f a r t if ic ia l s ys tems l i ke
s pace p at terns a nd s oc ia l p a t terns f o r i nheren t f o rma l s t ruc tures wh ich m igh t c ont r ibu te t o t he ir k nowab i l i ty .
3 44
T he se a r e t he t heore t ica l c on s idera t ion s t ha t u nder l ie t he ' s pace s yn tax ' r e sea rch p rog ramme . T hey a r e i n tended b o th t o a po log ise f o r a dop t ing a f o rma l is t ic a pp roach t o p henomena n o t c ommon ly t hough t t o b e r e spon s ive t o s uch a n a na ly s i s , a nd a l so t o a po log ise f o r t he a dop t ion o f ap rac t ica l a nd e mp ir ica l r a ther t han p ure ly m a thema t ica l a pp roach . O u r a im h a s b een t o wo rk t oward s ma thema t i sa t ion f r om i n tu it ive f o rma l p r inc ip le s , r a ther t han t o a dop t ab ranch o f m a thema t ic s s uch a s t opo logy o r g r aph t heory a nd w ork t owa rds t he p henomena .
E xper iment s h ave b een
m ade i n mov ing more f i rm ly i n t he d i rec t ion o f o ne o r o ther b ranch o f m a thema t ic s , b u t e ach t ime i th a s b ecome c l ear t ha t t h is wou ld i mpose s e vere l im i ta t ion s o n o ur a b i l i ty t o s t ay c l ose t o t h e r e a l e v idence , a nd t o t r y t o d raw i t s f orma l s t ruc ture f r om i t . P erhap s af i rmer a r gumen t f o r a' s yn tac t ic ' r a ther t han p roper ly m athema t ica l s t ra tegy i st ha t , e ven w i th in t he s cope o f ag enera l b e l ief i n a n i nheren t f o rma l o rder g i v ing r i se t o k nowab i l i ty i ns pace p a ttern s , w e c anno t k now i n a dvance wh ich o f t he a r ray o f c ur ren t b ranche s o f m a thema t ic s w i l l b e a ppropr ia te , o r e ven i fa ny b ranch w i l l o f f er mode l s f o r t he l e ve l a nd t ype o f a pp rox ima t ion w e r equ ire . T he p roper s c ien t if ic s t ra tegy t herefore s e ems t o b e t o b u i ld a t heory o f p a t terns , w i th a c l ose r e spec t f o r t he e v idence b u t w i thou t t oo much r e ga rd f o r e a r ly j us t if ica t ion i n m a thema t ica l t e rms .
A l though w e r e a l i se t ha t w e a r e b ound t o b e s t rong ly c r i t ic i sed
f o r o ur n eg lec t o f ma thema t ic s , w e h ope w e may b e e xcused o n t h e g rounds t ha t o ur r e su l t ing mode l o f t he f o rma l s yn tax o f h uman s pace o rgan i sa t ion i sa t l e a s t ' u nreasonab ly e f f ec t ive ' i n c harac ter i s ing t he s pace p a t terns made b y h uman s oc ie t ies , i ns how ing h ow t hey w e re g enera ted , h ow t hey r e la te t o s oc ia l p a t te r n s , a nd p erhap s a bove a l l , i n s how ing h ow e v en t h e mo s t c omp lex p a t te r n s a r e ' knowab le ' t h rough k now ledge o f af ew e l emen tary c oncep t s a nd o pera t ions . I n b r ief , o ur h ope i st o h ave made a n e f f ec t ive mode l o f t he ' know ledge -f ie ld ' c ons t i tu ted b y a r ch i tec tura l a nd u rban s pace p a t terns . B u t w e h ave d one s o a t t he p r ice o f ma thema t ica l a ccep tab i l i ty . We t herefore a sk t he r e ader t o c ons ider t h ree t h ing s . F i r s t , t he ma tch b e tween t he mode l a nd t h e e mp ir ica l e v idence ; s e cond , t he i n terna l c on s i s tency o f t h e mode l w i th in i t s own l im i ted s yn tac t ic t e rms , r a ther t han i nt e rms o f i t s a g reemen t w i th b as ic ma themat ica l i d ea s ; a nd t h ird , t he p os s ib i l i ty t h a t man -made s y s tem s i n vo lv ing p a t terns o f r e la t ions , e spec ia l ly t ho se d ef ined a s c o l lec t iv i t ie s s uch a s h uman p opu la t ions , o r c o l lec t ions o f s pa t ia l d oma ins , may r e qu i re t h i s s yn tac t ic l e ve l o f f o rma l a na lys i s t o m ir ro r t he ir r e a l i n te rna l p a t terns , r a ther t han t he mo re s e a rch ing a na lys is o f ma thema t ic s p roper . I t may e ven b e v en tured t ha t p rog res s i n d eve lop ing f o rma l t heor ies o f c omp lex a r t i f ic ia l s y s tems i s h and icapped b y n o t h av ing s uch a l e ve l o f f o rma l a na lys i s . I n v i ew o f t he c en t ra l i ty o f a' s yn tac t ic f o rma l ism ' t o o ur who le r e search e n terpr ise , w e h ave d eve loped i ti n to a n e xp l ic i t t heo ry , t he t heo ry o f morph ic l a nguage s , wh ich a ppear s t o u s t o f a l l b e tween m a thema t ic s a nd n a tu ra l l a nguages , a nd t o o f f e r t he a ppropr ia te g enera l c oncep t f o r t he a na ly s is o f c omp lex a r t if ic ia l s y s tem s i nvo lv ing p a t te rn s d ef ined o n c o l lec t iv i t ie s . A s s uch t he t heo ry o f morph ic l a nguage s , a nd t he w o rked e xamp le g i ven—the morph ic l a nguage o f s pace p a t terns —a re o f f ered a l so a s a c on tr ibu t ion t o t he s t udy o f ' c o l lec t ive p henomena ' . 2 T he t heo ry o f mo rph ic l a nguages I ft he p rob lem o f k nowab i l i ty i sd ef ined a s t ha t o f u nde r s tand ing h ow c ha rac ter i s t ic p a t tern s i n as e t o f p henomena c an b e r e cogn i sed b y r e f erence t o a bs trac t p r inc ip les o f a r rangemen t o r r e la t ion sh ip , a nd t he p rob lem o f morpho logy i sd ef ined a s t ha t o f u nder s tand ing t he o b jec t ive s im i la r i t ies a nd d i f f erence s t ha t as e t o f p henomena c harac ter is t ica l ly e xh ib i t t o o rd ina ry e xpe r ience , t hen t he a im o f t he t heory o f mo rph ic l a nguages i s , f o r c e r ta in c l a s ses o f r ea l , s oc ia l ly d ef ined c o l lect ive p henomena l i ke s pa t ia l p at terns , t o u n i te t he t wo p rob lems i n to t he s i ng le p rob lem o fu nder s tand ing
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h ow t he mo rpho logy may b e g enera ted f r om ap ar s imon iou s s e t o f e l emen tary o b jec t s , r e la t ions , a nd o pera t ion s . I n e f f ec t t he r educ t ion o f morpho logy t o t he e l emen tary s t ruc ture o f ac omb inato r ia l s y s tem i sa r gued t o b e i t s r educ t ion t o i t s p r inc ip le s o f k nowab i l i ty . T he s e t o f c omb ina tor ia l p r inc ip les w e c a l l s yn tax . S yn tax i st he mo s t i mpe r tant p roper ty o f amorph ic l a nguage . Wha t i sk nowab le a bout t h e morpho log ica l c t u tput o f amorph ic l a nguage i si t s s yn tax . C onver se ly , s yn tax p erm i t s t h e mo rpho logy t o e xh ib i t r e gu lar i ty i n i t s s im i la r i t ies a nd d i f f erence s . S yntax i n amorph ic l a nguage i sd ef ined a s as e t o f r e la ted r u le s t ruc tures f o rmed o u t o f e l emen tary c omb ina t ions o f t he e l emen tary o b jec ts , r e la t ion s , a nd o pera t ion s . T he se c an b e i n t roduced , i ndependen t ly o r c on jo in t ly , i n am in imum s e tup f o r t he morph ic l a nguage t o p roduce r e cogn i sab le p a t tern s . Am in imum s e tup i s a morph ic l a nguage w i thou t i t s s yn tax , t ha t i st o s ay , a morph ic l a nguage o pera t ing r andom ly . More e xac t ly , am in imum s e tup c ons is ts o f as pace (' )w i th in wh ich t he morph ic l a nguage c an o pe ra te ( t ha t i s , g enera te p a t terns ) c a l led t h e c a r r ier s pace ; am in ima l r u le o f o pera t ion , t ha t o f s imp le r epe t i t ion a t r andom i n terva l s ; am in ima l o b jec t , t h e l e a s t c omp lex p e rm i t ted b y t he s y s tem ; w i th m in ima l r e la t ions , where e ach o b jec t h a s o n ly t he r e la t ion o f b e long ing t o t he c a r r ier s pace . I ti sr e a sonab le t o c a l l s uch a s e tup ' r andom ' s i nce e ach e vent ( t ha t i st he p l ac ing o f a n o b jec t ) t ha t t akes p l ace i n t h e c ar r ier s pace i si ndependen t o f e very o ther e ven t e xcep t i n t ha t a l l b e long t o t h e s ame s e tup . T h i s f o l low s t he d ef in i t ion o f a' c hance s e tup ' b y H ack ing ( 1965) . A morph ic l a nguage t h e refore c on s is t s o f : am in imum s e tup , made u p o f ac ar r ier s pace a nd ar andom ised o ngo ing p roces s ; as yntax , t ha t i s as e t o f e l emen tary o b jec ts , r e la t ions , a nd o pera t ion s c apab le o f b e ing c omb ined t o f o rm r u le s t ruc tures t o r e s t r ic t t h e r andomne s s o f t he m in imum s e tup ; a nd as yntax -ru le —a r u le f o r t he f o rma t ion o f r u les—wh ich i d ea l ly s hou ld e xhaus t i t se lf a ga in s t s ome n a tura l o r l o g ica l l im i t . F or e xamp le , i n s pace s yn tax , t he r u le e xhau s t s i t se lf a ga ins t t he b ar r ier o f n o t b e ing a b le t o d eve lop b eyond t h ree -d imens iona l s pace ( i n f a c t s l igh t ly e ar l ie r : a ga ins t t he f a c t t ha t p eop le c anno t f l y . M an -made s pace i s e f f ec t ive ly t wo -d imens iona l b ecau se movement i st wo -d imens iona l . S ta ir s a r e at wo d imens iona l r educ t ion o f at h ree -d imen s iona l r e a l i ty ) . A morph ic l a nguage l i nk s t he f ounda t ion o f p robab i l i ty ( t he ' c hance s e tup ') w i th t h e f undamen ta l i d ea o f ama thema t ica l s t ruc ture ( ob jec t s , r e la t ion s , a nd o pera t ion s ) f r om t he o u t se t . T he a dvan tages o f t he morph ic l a nguage c oncep t a r e s evera l . F i r s t , b y l i nk ing ap robab i l i s t ic a pp roach w i th as t ruc tu ra l a pp roach f r om t he s t ar t i n t h e mode l l ing o f p henomena , o rder a nd p a t te rn a r e s e en a s i mp robab le , b e ing t he r e su l t o f t he i n troduc t ion o f s yn tax i n to t he m in imum s e tup . S econd , i to f fer s , i np r inc ip le , ame thod o f k eep ing ar e cord o f a l l t he o rder t ha t h a s b een b u i l t i n to a s ys tem . A morph ic l a nguage i sn o t d ecomposab le i n to ' s ubsys tem s ' , b u t o n ly i n to t he s yn tac t ic r u les r e spon s ib le f o r t he p roduc t ion o f t h is o r t ha t k ind o f p a t tern . E ven w i th a l l s yn tac t ic r u les r emoved , t he m in imum s e tup i ss t i l l , a s w i l l b e s hown , ar e la t ive ly r i ch s y s tem , i n s p i te o f b e ing m in ima l ly o rdered .
T h ird , r andom i sa t ion p l ays a k ey p a r t i n
t h e f o rma t ion o f c e r ta in ma jor p a t tern t ype s t ha t a ppea r i n t he r ea l wor ld o f s pace p a t tern s . C er ta in p a t terns a r e o n ly p roduced b y ag enera t ive p roces s i ft he p roce s s i s r andom ised a par t f r om i t s s yn tac t ic r u le ( f or a n e xamp le , s e e t he g l oba l p a t tern t h a t e merge s i ng enera t ing a 3 syn tac t ic s urf ace o n p age 1 66 ) . F our th , amorph ic l anguage d ea l s w i th t he many m in ima l ly o rdered s i tua t ions t ha t e x i s t , i n t e rms o f at heory o f p a t te rn s , t ha t i s , w e may t r ea t r andomnes s a s as pec ia l c a se o f p a t tern . T h is t urn s o u t t o b e c r i t ica l t o t he p rob lem o f r e la t ing s pa t ia l t o s oc ia l p a t te r n s ( s ee s ec t ion 4— ( 1 ) P e rhap s s p a c e-t ime w ou ld b em o r e a c cu ra te , i nw h i ch c a s e t h e e x p r e s s ion ' c a r r i e r s p a cet im e ' w ou ld f o l low .
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s p ace a nd s oc ie ty ) . F if th , amorph ic l a nguage g i ves n a tura l , r a ther t han a rb i trary , l i m i t s : a t t he l ower l i m i t i sr andomnes s , a t t he u pper l im i t a r e t he l im i ts o f r e a l i s ing n ew c omb ina t ion s i n r e a l s pace . I n e s sence , s pace s yn tax i sa n e xp lo ra t ion o f t he c omb inab i l i ty o f o pen a nd c l osed d i sks , a nd o pen a nd c l osed r i ng s ( a s sum ing t hese t o b e p ro jec t ions o n to t he p l ane o f o pen a nd c l o sed b a l ls , a nd o pen a nd c l osed t or i) . S i xth , a mo rph ic l a nguage m ake s t he mode l s e lf -con ta ined i n t ha t i tc an b e s hown , i n t h e c a se o f s pace s yn tax a t l e as t , t ha t a l l t he o b jec t s , r e la t ion s , a nd o pera t ions t ha t f o rm t he s yn tax , a nd e ven t h e s yn tax r u le i t se lf , c an b e f ound b y a n a na lys i s o f t he m in imum s e tup . I n tu i t ive ly , t he p os tu la t ion o f am in imum s e tup a s t he b a s i s f o r a mo rph ic l a nguage m ean s t ha t i ti sa s sumed t h a t p eop le a nd s oc ie t ie s d ep loy t hemse lves i n s pace , a nd t h a t t hese d ep loymen t s a r e c apab le , u nder c e r ta in c ond i t ion s , o f a dop t ing c er ta in p a t te rns . T he r e sea rch t a sk i s , t h erefore , n ot t o s ay w hy p eop le d ep loy t hem se lves i n s p ace , b u t t o o f f er a t heory o f t he p a t terns . C oncep tua l ly t h is i sc ompa rab le t o t he i n troduc t ion o f t he i n er t ia p o s tu la te i n to p hys ics . I tl i bera tes u s f r om t h e A r is to te lean ' e s sences ' o f u n iver sa l b ehav ioura l p r inc ip les , w h ich p l ague c ur rent t heo r is ing a bou t s p ace , a nd a l low s u s t o b u i ld a t heory o f t h e c ha rac ter is t ic s pace p a t tern s t ha t d i f f e ren t t ype s o f s oc ie ty a nd o rgan i sa t ion c r ea te . I n t he t heo ry o f morph ic l a nguages , t herefore , t h e N ew ton ian p o s tu la te o f a n o ngo ing s ys tem i sa dded t o t he G a l i lean h ypo the s is o f af o rma l s t ruc ture i nheren t i n t h e p a t tern s o f o rde r e xh ib i ted b y t h e s t a tes o f t he s y s tem . H oweve r , t h i s f o rma l o rde r i sn ot i n t he p roper s en se ama thema t ica l o rder , b u t as yntac t ic o rder . B u t t he w o rd s yn tax i sn ot u sed w i th t he s ame t e chn ica l s pec if ica t ion o r t heo re t ica l s t a tus u sua l ly a s s igned t o i ti nl i ngu i s t ic s . I ti st herefore n eces sa ry , t o a vo id m isunder s tand ing , t o b e c l ear a bou t t he r e la t ion b e tween a mo rph ic l a nguage a nd ma thema t ics o n t he o ne h and , a nd n a tu ra l l a nguage o n t he o ther . T he p r ima ry p urpo se o f an a tura l l a nguag e ( i r re spec t ive o f p ar t icu lar l i ngu i s t ic ' f unc t ion s ') i st o r epre sent t he w o r ld a s i ta ppear s , t ha t i st o c onvey a mean ing w h ich i nn o w ay r e semb le s t he l a nguage i t se lf . T o a ccomp l i sh t he t a sk o f r ep resen ta t ion i n a n i n f in i te ly r i ch u n ive r se , an a tura l l a nguage p os ses ses t wo d ef in ing c ha rac ter i s t ic s . F i r s t , as e t o fp r imary morph ic u n i t s wh ich a r e s t rong ly i nd iv iduated , t ha t i se ach w ord i sd if f erent f r om a l o ther w ords a nd r epre sent s d if f erent t h ing s : a nd s e cond , a f orma l o r s yntac t ic s t ruc ture wh ich i sp ar s imon ious a nd p e rm i s s ive , i n t ha t i tp erm i t s i n f in i te ly many s en tence s t o b e s yntact ica l ly w e l l -fo rmed wh ich a r e s eman t ica l ly n on sen se ( t ha t i s , e f f ec t ive ly n onsen se f r om t h e p o in t o f v i ew o f l i ngu is t ic f o rm a s a w ho le ) . C onver se ly , m ean ing c an b e t r an sm i t ted ( t ha t i sr epresen ted) w i thou t w e l l f o rmed s yn tac t ic s t ruc ture i n c e r ta in c a se s . T he d ef in ing c harac ter is t ics o f an a tura l l a nguage a r e ar e la t ive ly s hor t , p o s s ib ly c onven t iona l , g ramma r , a nd a l a rge l e x icon . B y c on tra s t , m a thema t ica l l a nguages h ave v ery s ma l l l e x icons ( a s s ma l l a s p o s s ib le ) a nd v ery l a rge ' s yntaxe s ' i n t he s en se o f a l t h e s t ruc tu re t ha t may b e e l abora ted f r om t h e i n i t ia l , m in ima l l e x icon . S uch l a nguages a r e v i r tua l ly u se les s f o r r ep re sen t ing t he w or ld a s i ta ppea r s b ecause t h e p r imary morph ic u n i ts a r e n o t i nd iv idua ted a t a l , b u t r e ndered a sh omogeneou s a s p o s s ib le —the m ember s o f as e t , u n i ts o f m ea sur emen t . a nd s o o n . M a thema t ica l s ymbo ls s t r ip t h e morph ic u n i t o f a l l i t s p ar t icu la r p roper t ies -1 o f b e ing am ember o f as e t , o f e x i s t ing , a nd s o o n . T o b e i n tere s ted i n t h e p a r t icu la r p roper t ies o f p ar t icu lar n umbe r s i s , f o r am a thema t ic ian , t he e qu iva len t o f av oyage i n to mys t ic i sm . Ma thema t ica l l a nguages d o n o t r epre sent o r m ean a ny th ing e xcep t t he ir own s t ruc ture . I ft hey a r e u sefu l f o r r epresen t ing t he mo s t a bs t rac t f o rms o f o rder i n t he r e a l wor ld i ti sb ecause , i n i t s p reoccupa t ion w ith i t s o wn s t ruc tu re , ma thema t ic s a r r ive s a tg enera l p r inc ip le s o fs t ruc ture , wh ich , b ecau se t h ey a r e d eep a nd g enera l , h o ld a l so a t s ome l e ve l i n t he r e a l wo r ld . *
I nsert :
' and l eave o n ly t he most a bstract a nd u n iversal p ropert ies
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Morph ic l a nguage s d i f fer f r om b o th , y e t b or row c e r ta in p rope r t ies f r om e ach . F rom ma thema t ica l l a nguage s , morph ic l a nguages t ake t he s ma l l l e x icon ( t ha t i st he h omogene i ty o f i t s p r ima ry morph ic u n i t s ) , t he p r imacy o fs yntac t ic s t ruc ture o ver s eman t ic r epre sen ta t ion , t h e p roper ty o f b e ing b u i l t u p f r om a m in ima l i n i t ia l s y stem , a nd t he p rope r ty o f n ot mean ing a nyth ing e xcept i t s own s t ruc ture ( t ha t i st o s ay , i td oes n o t e x i s t t o r epre sent o ther t h ing s , b u t t o c ons t i tu te p a t terns wh ich a r e t he i r own m ean ing ) .
F rom n a tura l l a nguage s , mo rph ic l a nguages t ake t he p roper ty o f
b e ing r e a l i sed i n t he e xper ient ia l w or ld , o f b e ing c r ea t ive ly u sed f or s oc ia l p urpose s ( o r p erm i t t ing a ' r u le -governed c r ea t iv i ty ' ) , a nd o f b e ing c ons t i tut ive , r a ther t han r epr esenta t ive , o f t he s oc ia l . T hu s i n a morph ic l a nguage , s yn tax h a s af a r mo re i mpo r tan t r o le t han i n n a tura l l a nguage . I n n a tura l l a nguage , t he e x i s tence o f as yn tac t ica l ly w e l l -formed s en tence p erm i t s amean ing t o e x i s t , b ut n e i ther s pec if ie s i tn o r g ua ran tee s i t . I n a morph ic l a nguage , t he e x i s tence o f as yn tac t ica l ly w e l l -formed p a t tern i t se lf g uaran tees a nd i ndeed s pec if ie s am ean ing , b ecause t he ' mean ing ' i so n ly t h e a b s trac t s t ruc ture o f t he p a t tern . Morph ic l a nguage s a r e t he r e a l isa t ion o f a bs t rac t s t ruc ture i n t h e r e a l wo r ld . T hey c onvey ' mean ing ' , n o t i n t he s ense o f r epre sen t ing s ome th ing e l se , b u t o n ly i n t he s en se o f c on s t i tut ing ap a t tern . T hus i f , a s w e b e l ieve , b o th s pace o rgan i sa t ion a nd s oc ia l s t ruc ture s a r e morph ic l a nguages , t he c on s truc t ion o f as oc ia l t heo ry o f s pace o rgan i sa t ion b ecome s aq ues t ion o f u nde r s tand ing t he r e la t ions b e tween t he p r inc ip les o f p a t tern g enera t ion i n b o th . T h i s d oes n o t mean t ha t a r ch i tec tura l a nd u rban f o rms a r e n o t u sed t o r ep re sen t p a r t icu la r m ean ing s , b u t i td oes a rgue t ha t s uch r ep resen ta t ion i ss e condary . T o a ch ieve r epresen ta t ion o f ' mean ing ' t he mo rph ic l a nguage o fs pace d oe s s o b y b ehav ing a s an a tura l l a nguage . I ti nd iv idua tes i t s morph ic u n i t s , mak ing t hem a s d i f f eren t a s p o s s ib le f r om o ther morph ic u n i ts . H ence b u i ld ing s wh ich a r e i n tended t o c onvey p a r t icu lar ' mean ing s ' d o s o b y t he a dd i t ion o f i d iosyncra t ic e l abora t ion a nd d e ta i l— d ecora t ion , b e l l tower s , a nd s o o n .
I n s o d o ing , t he morph ic u n i ts c ome t o b ehave
more l i ke p a r t icu la r words i n n a tura l l a nguage . C onve r se ly , w hen n a tura l l a nguage i s u sefu l t o c onvey a b s t rac t s t ruc ture—a s , f o r e xamp le , i n a cadem ic monog raphs — i t d oe s s o b y i n crea s ing t he i mpor tance o f s yn tax o ver t he w o rd [ s ee B ern s te in 's c oncep t o f a n e l abora ted c ode , a nd i t s s yn tac t ic e f f ec t s ( Berns te in , 1 973) ] . T h i s i s why s c ien t if ic i n teres t i su sua l ly b ough t a t t he p r ice o f b o redom . W e c anno t , a l a s , b e p oe ts a nd w r i te s c ient if ic p aper s i n e x tended m e taphor s . Morph ic l a nguages a r e a l so l i ke ma thema t ic s , a nd u n l ike n a tura l l a nguage , i n t ha t t hey p ose t he p rob lem o f t he d e sc r ipt ion , i n a dd i t ion t o t ha t o f t he g enerat ion . o f s t ruc tu re . C ur ren t l i ngu is t ic t heory wou ld a s sume t ha t at h eo re t ica l d escr ip t ion o f a s en tence wou ld b e g i ven b y af o rmu la e xpres s ing g ene ra t ive a nd t r ansforma t iona l r u le s . T h i s w ou ld h o ld e ven i fc ur ren t e f for ts t o b u i ld s eman t ica l ly ( a s o ppo sed t o s yntac t ica l ly ) b a sed t heor ie s w ere s ucce s sfu l . I n ma thema t ics , h owever , s t ruc ture i s o n ly r educ ib le t o g enera t ion i fo ne t akes as t rong p h i losoph ica l l i ne o ppos ing t he ' r e if ica t ion ' o r ' P la ton i sa t ion ' o f s t ruc ture , a nd a r gu ing t ha t a l ma thema t ica l s t ruc ture i ss e lf -ev iden t ly r educ ib le t o a n o rder ly a c t iv i ty b y ma thema t ic ians , n o t t o b e t hough t o f a s e x i s t ing i n i t s own r i gh t . Wha tever t he s o lu t ion t o t h i s p rob lem i n ma thema t ics , i n morph ic l a nguages i tc an b e c l ea r ly s hown t ha t c a ses e x i s t whe re t he p rob lem o f d escr ib ing a s t ruc ture wh ich e x i s ts o b jec t ive ly i n t he r ea l wo r ld i so ver a nd a bove t ha t o f u nder s tand ing h ow i ti s g enera ted . T o t ake as imp le e xamp le , i mag ine t ha t as e r ies o f i nd iv idua l s b u i ld s qua re , s i ng le c e l l , s i ng le e n t rance dwe l l ing s b y e ach j o in ing h i s c e l l f a cew i se o n to a n e x i s t ing w a l l i n t he c o l lec t ion , k eep ing t he g row ing c o l lec t ive o b jec t a s c ompac t a s p o s s ib le ( t ha t i s , e n sur ing t ha t t he l a rge s t s quar e o b ta inab le b y p ro jec t ing t he l i ne s o f c e l l w a l ls i sa s s ma l l a s p os s ib le) . G iven t ha t e ach i nd iv idua l f o l low s n o o ther r u le s ,
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t ha t i s , e nsur ing t he p roce s s o f g enera t ion i sr andom ised a s ide f r om i t s r u le , t hen t he r e su l t w i l l b e a s f o l low s :
C I ]
T he a gg rega te o b jec t t akes t h e f orm o f as e t o f c e l l s g rouped a round c our tya rds . i n mo s t c a ses o f u n i t o r t w ice u n i t s i ze .
I n o ther w ords , a l though e ach i nd iv idua l o n ly
f o l low s al o ca l r u le , r e la t ing o n ly t o h i s c e l l a nd t he c e l l t o w h ich h e j o ins f a cew i se , t h e g loba l o b jec t h as a r i cher , e mergen t s t ruc tu re n o t t hough t o f b y a ny i nd iv idua l . T hu s t he a gg rega te o b jec t i sn o t s a t isfac to r i ly d escr ibed b y k now ledge o f h ow i tw a s g ene ra ted . T he p rob lem o f d esc r ib ing s t ruc tures , e spec ia l ly c o l lec t ive s t ruc tures , t hu s e x is t s o ver a nd a bove t he p rob lem o f g enera t ing t hem . I n f a c t , t he d i a lec t ic o fg enera t ion a nd d e scr ipt ion a ppea r s t o b e o f f undamen ta l i mpo r tance i n t he r e a l w o r ld b ehav iour o f morph ic l a nguages . A ny o rdered c o l lec t ive a c t iv i ty wh ich i sn o t f u l ly p r eprog rammed g i ves r i se t o t h e p rob lem o f r e tr iev ing a d e sc r ip t ion o f t he c o l lec t ive p a t tern . ' Mean ing ' c an b e s e en a s as t ab ly r e tr ievab le d escr ip t ion .
T he p rob lem o f u nder s tand ing t he g row th o f c i t ies t oday i ss uch a
p rob lem . I ndeed , i tm igh t b e a r gued t ha t t he r o le o f i n te l lec tua l s i n s oc ie ty i st he r e tr ieva l o f d escr ip t ions . A n a na logy c an b e made w i th A rb ib 's c oncep t o f a b io log ica l s e lf rep roduc ing m ach ine ( Arb ib , 1 969) wh ich d oes n o t c on ta in ap ermanen t d e sc r ip t ion o f i t se lf , b u t w h ich h a s af a c i l i ty f o r r e t r iev ing , a t a ny t ime , ad e scr ip t ion o f i t s g eno type . I n s ummary , mo rph ic l a nguages : a r e b u i l t u p f r om as ma l l e l emen tary l e x icon ; r e a l i se s yntac t ic s t ruc tu re i n t he r e a l wor ld ; d o n o t ' mean ' a ny th ing e xcep t t he ir own s yntac t ic s t ruc ture ( i n w h ich t he ir s oc ia l p u rpo se r e s ides ) ; h ave b o th ag enera t ive a nd ad escr ip t ive mode . ,T h is p aper i sc oncerned w i th t he p rob lem o f g enera t ion o n ly . 3 T he morph ic l a nguage :
' s pace s yn tax '
I n t h e morph ic l a nguage ' s pace s yn tax ' t he m in imum s e tup c ons is ts o f : ( a ) ac a r r ier s pace wh ich i st he s urf ace o f as phere ( t he s ur face o f t he e ar th o r e qua l ly s ome l a ndma s s o n t he s u rface o f t he g lobe) ; a nd ( b ) a n o ngo ing p roces s o f p roduc t ion c on s i s t ing o f : s ome w ay o f m ark ing s uf f ic ien t ly s ma l l p a r ts o f t h e s u rf ace s o t ha t t hey a r e r e cogn i sab ly d i f f eren t f r om n e ighbour ing p ar t s ( i f , f o r e xamp le , t he s urface w a s u n iform ly wh i te , i tw ou ld b e s uf f ic ien t t o p a in t t he s ma l l p a r t s b l ack ; o r t o p l ace s t ones wou ld b e a n a l terna t ive) : t h e o cca s iona l r epe t i t ion o f s uch ma rk ing s ; b u t w i thou t r e la t ion b e tween o ne mark ing a nd t he n ex t ( t ha t i s , r andom ly , t he o n ly r e la t ion b e ing t ha t e ach ma rk b e longs t o t he c a r r ier s pace ) . T h i s s e tup i ss uf f ic ien t ly r i ch t o d er ive b y a na lys is a l l t he o b jec t s , r e la t ion s , a nd o pera t ion s t ha t c on s t i tu te ' s pace s yn tax ' . T he ' s urf ace ' , s e en e xper ien t ia l ly , c on s is ts o f t wo k inds o f e n t i ty : as o l id e n t i ty — the e a r th i t se lf ; a nd av acan t e n t i ty —the s p ace w e c an move a bou t i no n t he s o l id e n t i ty . T h is c or responds t o o ur g enera l e xpe r ience o f s pace . T he s u rface c ons i s ts o f c on t inuous o r v acan t p ar ts , t h rough w h ich movemen t i sp o s s ib le , a nd p ar ts o ccup ied b y o b jec ts , w h ich i mpede movemen t
3 49
a nd wh ich w e t herefo re c a l l d i scon t inu i t ies . T he se a r e t h e t wo e l emen tary o b jec t s o f ' s pace s yn tax ' . T he c oncep t o f ac on t inuous s pace w e r e f er t o b y t h e l e t ter ' c ' , a nd a d i scon t inuous s pace b y t h e l e t ter ' c r . I n t he m in imum s e tup , af o rm o f d ema rca t ion t ha t c on s i s ted o n ly o f m ark ing t he s u rf ace s s o t ha t i ti sd i f f eren t f r om i t s n e ighbourhood ( f o r e xamp le , p a in t ing i t ) w ou ld n o t a f f ec t t h e c on t inu ity o n t he s u rf ace , whereas t he p l ac ing o f as t one i n troduces a l o ca l d i scon t inu i ty . D ema rca t ions c an t herefo re b e i n ac on t inuous o r d i scon t inuous mode .
Wh ichever o f t he se i sa dop ted , h owever , i ti sa l ready i mp l ied i n
t h e m in imum s e tup t ha t e ach d e marca t ion i sf i n i te a nd i ndependen t . F in i tenes s c an b e e xpre s sed a s t he r e la t ion o f b e ing c omp le te ly c on ta ined b y an e ighbourhood . whe ther t h i s n e ighbourhood i si t se lf a c on t inu ity o r ad i scon t inu i ty .
T he r e la t ion o f
c on ta in ing w e w r i te D , s uch t ha t wha teve r i so n t h e l e f t o f t h e s i gn c on ta ins w ha tever i so n t he r i gh t . T hus t h e e xp res s ion D c e xpre s se s t he f i n i tenes s o f as e gmen t o f c ont inuous s pace , i tn o t b e ing n eces sary t o k now w ha t c on ta ins t h e s pace , o n ly t ha t i ti sc on ta ined . L ikew i se , D d mean s af i n i te s o l id o b jec t , o r d i scon t inu i ty . I th a s a l ready b een o bser ved t ha t i ti s an a tura l p roper ty o f c on t inuous s pace t o b e p e rmeab le , whereas ad i scon t inuou s s pace i si mpermeab le . T he r e la t ion o fp ermeab i l i ty w e w r i te > , m ean ing t ha t wha tever i so n t he l e f t o f t he s i gn h a s ad i rec t p a th t o w ha tever i so n t he r i gh t . T he e xp res s ion > ct herefo re m ean s t ha t t h e s pace i s p ermeab le t o wha teve r i so n t he l e f t o f t h e s i gn , a nd *dm ean s t ha t t h ere i s i mpermeab i l i ty . T he d emarca t ion o f ac a r r ier s pace b y m eans o ff i n i te c ob jec ts w e c a l l d if f erent ia t ion , a nd t ha t b y f i n i te d -ob jec t s w e c a l l d i s t inc t ion . E ach c an h ave t he p roper ty o f b e ing c l ear o r u nc lear . B y t h i s w e mean t ha t i ti sp o s s ib le t o k now t ha t ad i f f erent ia t ion , Dc ,i s af i n i te d i f f eren t ia t ion w i thou t k now ing e xac t ly w here t he l im i t s o f t he d i f f eren t iat ion a r e . F or e xamp le , i f a wh i te s urface i sd ema rca ted b y c l us ter ing b l ack d o t s , s o t ha t t here i s az one a round t he d ense s t b l ack d o ts w here b l ack d o ts a nd wh i te a r ea s a r e m ixed , b u t e ven tua l ly , s uf f ic ien t ly f a r f r om t h e c en tr e o f t he c l us ter , t here a r e n o more b l ack d o ts , t hen t he c oncep t o f f i n i te c on ta inmen t i sa s a dequa te ly e xpre s sed b y D ca s i ft h e l im i t s w ere a t a l l p o in ts p erf ec t ly c l ear . T here i s , h owever , aw ay o f e xpre s s ing t he c oncep t o f c l ea rnes s ( a s a dequate ly a s t he s imp le e xpres s ion D ce xpres ses u nc learne s s ) w i th t he c oncept s a nd s ymbo l s s o f a r e s tab l i shed , n ame ly t o a low a n o b jec t t o r e f er t he i d ea o f c on ta inmen t t o i t se lf . T h i s i sa l ready p re sen t i n n a tu ra l l a nguage i n t he t e rm ' s e lf -con ta ined ' —on r ef lec t ion ar a ther o dd e xpres s ion — b u t mean ing t ha t as pace -ob jec t i sw i th in i t s own l im i t s . T he r e la t ion o f s e lf c on ta inmen t , wh ich i sa r gued a s e qu iva len t t o c l earnes s , c an b e w r i t ten a r gumen t a pp l ies n a tu ra l ly t o t he >r e la t ion . i n i t s n a tura l s t a te , b u t i th a s n o c l ear p a th s .
Z ?
2 . The
s ame
As pace , c ,i sk nown t o b e p ermeab le P a th s a r e , a s i tw ere , n on spec if ic a nd
u n iver sa l i n t he s pace . T he e xpre s s ion . mean s t ha t ac l ea r p a th i si n troduced i n to t h e s pace — tha t i s , t here i ss ome s e t o f ma rk s wh ich d i f f eren t ia te a p a th c l ear ly f r om t he r e s t o f t he s pace . L ikew i se , i ft he s e lf -ref er r ing a r row i si n troduced t o t he i d ea o f ad -ob jec t , d , t hen i te xpre s ses t he i d ea o f ap ermeab le d i scon t inu i ty , wh ich i mp l ies ap a th t ha t p a s ses t h rough ad -ob jec t , n o t t h rough a s pace , o r c ob jec t . T h is c oncep t i sc a l led t he n on t raver s ing p a th . T he t wo o b jec ts , ca nd d , a nd t he t wo r e lat ions D a nd > , p erm i t t he c ons truc t ion o f a n e l emen tary l e x icon , c on s i s t ing o f a l l p os s ib le e l ementa ry p ermu ta t ion s o f t he t e rm s . T h i s i sg i ven i n f i gu re I . I ts hou ld b e n o ted t ha t n one o f t hese c oncep ts a r e v i ab le a s i ndependent e n t i t ie s . T he p urpo se o f t he l e x icon i st o e xh ib i t t he mean ing t ha t w i l l b e g i ven t o t he se t e rms when t hey o ccur i n mo re c omp lex c omb ina t ions i n s yn tac t ic f o rmu lae . I n t he s yn tac t ic f o rmu lae t here i sa lways a D s i gn a nd a>s i gn t o t he l e f t o f t he f o rmu la , m ean ing t ha t t here i sa lway s as ur round ing c a r r ier s pace
3 50
a nd a ' c ar r ier p a th ' ( u sua l ly i mp l ied b y t he c ar r ie r s pace ) , s i nce wha teve r i st o b e c r ea ted i n t he c a r r ier s pace mus t b e f i n i te a nd a cces s ib le . S o f a r , t wo o b jec t s a nd t wo r e la t ions , t oge ther w i th a l t he ir e l ementary p ermu ta t ions , h ave b een d er ived f r om a n a na ly s i s o f t he m in imum s e tup . C loser i n spec t ion , t ak ing i n to a ccoun t t he e l emen tary l e x icon , r e vea l s amo re c omp lex p henomenon .
T here a r e
t wo f o rms o f c on t inuou s o b jec t i n t he s e tup , t ho se w i thou t ah o le a nd t hose w i th a t l e a s t o ne h o le . T he o b jec t w i thou t ah o le i st he s imp le c -o r d -ob jec t a s d escr ibed . T he o b jec t w i th a t l e a s t o ne h o le i si t s n e ighbourhood . T he i n ser t ion o f af i n i te o b jec t i n t he c a r r ier s pace h a s t he e f f ec t o f c r ea t ing al o ca l s ubspace o f t he c ar r ie r s pace , p o s se ss ing ah o le , n ame ly t he p l ace w here t he o b jec t i s . T he n e ighbourhood s p ace , w i th i t s c harac ter i s t ic f orm , i s ac on sequence o f t he p lac ing o f t he o b jec t . T he n e ighbourhood s pace i sa n e mergen t s t ruc ture .
Mo reover , s i nce n o t t he who le o f t he
r ema inder o f t he c a r r ier s pace ( r eca l l ing t he ' s uf f ic ient ly s ma l l ' c ond i t ion f or t he c -o r d -ob jec t i n t he m in imum s e tup) i st he n e ighbourhood , t hen t he n e ighbourhood mus t b e f i n i te . W e n eed n o t b e d i scouraged f r om ab e l ief i n i t s f i n i tene s s b y o ur i g norance o f where i t s l i m i t s a r e . T h i s o n ly make s i tu nc lear , a nd w e k now a l ready t ha t u nc learne s s d oes n o t i n terf er e w i th f i n i tenes s .
S ince t he n e ighbourhood b o th h a s a
h o le a nd i sf i n i te , t hen w e k now t ha t i t mus t a pprox ima te t he f o rm o f ar i ng , o r a nnu lu s . T hu s c on t inuou s o b jec ts i n t he f o rm o f d i sk s , a nd c on t inuous o b jec t s i n t he f o rm o f r i ng s b o th e x is t i n t h e m in imum s e tup :
d i sk
r i ng
I fw e c on s ider e ach a s a n i ndependen t f o rm , t hen i tc an b e s e en t ha t n o t o n ly i s t h e r i ng a n e mergen t s t ruc tur e o f t he d i sk , b u t a l so t ha t t he d i sk i sa n emergen t s t ruc ture o f t h e r i ng . F ur thermore , i fd i ss ub s t i tu ted f o r ci n t he c a se o f t he r i ng ( t ha t i s , i ft he r i ng i s ad -ob jec t ) , t hen t he o b jec t i s ac l o sed b oundary , o r e nc lo su re . c
c on t inu i ty ;
t he p ermeab le
d
d i scon tinu i ty ;
p a r ts o f t he u n ive r se D
c
ac l ea r ly b ounded ,
•
d i f f e ren t ia ted s pace
D C
af i n i te d i f f e ren t ia ted s pace
CD
.• •• •
c
c
ä
D
w i thou t c l ea r b ound s
' 4? 4 ; ' • ? ; :
t he i mpermeab le
p a r ts o f t he u n ive r se ac l ea r ly d i s t ingu ished s o l id o b ject
d
10
as egmen t o f s pace i n am in ima l
af i n i te s o l id o b jec t w i thout c l ear b ound s
dD
as o l id o b jec t i n ar e la t ion o f
r e lat ion o f c on ta in ing a no the r s pace
c on ta in ing , t ha t i s , ab ounda ry
ac l ea r p a th t h rough a s pace ( a s o ppos ed t o cw h ich h a s n o c l ear p a th s )
an on t raver s ing p ath
ad i rec t ly a cce s s ib le o r ' t o -permeab le ' s pace
I
a' t hrough -pe rmeab le ' s pace
>d
al im i t ; a' d ead e nd '
a n e n t rance
1 F i gu re 1 . E l emen ta ry l e x icon . T he d i ag rams a r e i l u s t ra t ive r a the r t h an r i go rou s a nd a r e i n c luded a sa n a i d t o u nde r s tand ing t h e a r gumen t .
3 51
T he e nc lo sure t oge ther w i th i t s e mergen t i n ter ior d i sk i s amore c omp lex s t ruc tur e t han w e h ave s o f a r d ea l t w i th . I tc on s i s t s o f ad i scon t inuous c omponen t a nd a c on t inuous c omponen t i n ar e la t ion i n w h ich t he d i scon t inu i ty c on ta ins t he c on t inu i ty . I ti s ad i sk w i th a b oundary . T h i s i s af undamen ta l r e la t ion , a nd p erm i ts u s ( a t t he r i sk o f o f f end ing t opo log is ts , who w i l l r e cogn i se t he d ef in i t ion , b u t n o t e xcuse t he a dap ta t ion made o f i tf o r t h i s p urpo se) t o i n troduce a d ef in i t ion : a n o b jec t i sc l osed i fi th a s i t s own b oundary ; o therw ise i ti so pen . We c an t h erefore c a l l
0
ac l o sed d i sk , a nd
a n o pen d i sk .
T he d i s t inc t ion b e tween o pen a nd c l osed s pace o b jec t s , t oge ther w i th t he s yntac t ic r u le s f o r c ons t ruc t ing o pen a nd c l o sed o b jec ts , i sp e rhaps t h e mos t f undamen ta l i n s pace s yn tax .
T he p roper ty o f b e ing c l o sed i sn ot t he s ame a s t ha t o f b e ing e nc losed .
F or e xamp le , c ons ider ag roup o f c on t iguous c l o sed d i sks g rouped a round a c en tra l s pace ( a ' c our tya rd ' f orm) ,
t i O n t he g i ven d ef in i t ion , t he c en tra l s pace i sa n o pen d i sk , i n s p i te o f b e ing c omp le te ly e nc lo sed , s i nce a l l t he b ounda r ie s b e long t o t he s u r round ing d i sks n o t t o t he c en tra l s pace . I n c on t ras t , w e h ave t he ' house a nd s u r round ing g a rden ' f orm ,
T he g a rden i s ac l o sed d i sk ( a l though ' open ' w i th r e spec t t o t he ' hou se ' ) s i nce i t h a s i t s own b ounda ry . B y t he s ame a r gumen t , s t ree ts a r e ' open ' s paces , wherea s t he a leged ly ' open ' s pace s o f t he a verage ' e s ta te ' a r e i n f a c t c l o sed . T he p urpose o f t h i s p re l im ina ry a na ly s i s o f t he m in imum s e tup h a s b een , f i r s t , t o s how t ha t c er ta in b as ic f orms a r e s yn tac t ica l ly i n ev i tab le o nce t he p l ane i sd emarca ted b y a ny s pa t ia l p roces s , a pa r t f r om s imp ly mov ing a bou t o n i t . T here i st herefore n o n eed t o s pecu la te a bout b a s ic h uman ' d r ives ' o r ' p ref erence s ' f o r c er ta in s pace f orms . S econd , t ö s how t ha t e ven t he mo s t r andom s t ruc tures a r e s yntac t ica l ly r i ch i fw e a r e p repared t o a na lyse t hem , a nd w e mus t c ons ider t ha t t h i s may b e af undamen ta l a spec t o f h uman s pa t ia l e xpe r ience — to m ake s pace y i e ld i t s s yn tac t ic r i ches b y c ogn i t ive ly a nd e xper ien t ia l ly r e tr iev ing i t s s t ruc ture —and t h i rd , a nd mo s t i mpo r tan t , b ecause , a s w e h ope t he e xamp les o fo pen a nd c l osed f o rm s s how , i ti st he f undamen ta l d i s t inc t ions a nd t he mo s t e l emen tary p roper t ies o f s pace o b jec t s , t ha t e nab le u s t o a na lyse f a r mo re c omp lex s yn tac t ic s e tup s . W e f i nd , w i th H e rman Wey l t ha t : "Wha t i sd ec i s ive i st h is : t he f a r ther t he a na ly s is p rog re s se s , t he more d eta i led t he o b serva t ion s b ecome a nd t he f i ner t he e l emen ts i n to wh ich w e d i s sec t t he p henomena , t he s imp ler—and n o t t he more c omp l ica ted , a s m igh t b e e xpec ted —become t he b a s ic l aw s , a nd t he more c omp le te ly a nd a ccura te ly d o t h ey e xp la in t he f a c tua l c our se o f e ven ts" ( Wey l , 1 963 , p age 1 47) . W e h ope t o s how t ha t t h is i st he c a se i n t he p resen ta t ion o f t he s yntax p roper . N o d escr ip t ion i n t he i d eog raphy h a s y e t b een o f f ered o f t he r i ng a nd t he c l osed b oundary . No r h ave a ny o pera t ion s b een d e scr ibed , a pa r t f r om t he mo s t e l emen tary o pe ra t ion o f r epe t i t ion i n t he m in imum s e tup . T he t wo q ues t ions a r e r e la ted s i nce , a l though t he e x i s tence o f an e ighbourhood r i ng may b e i n f er red f r om t he m in imum s e tup , i tc an o n ly a r i se a s a n i ndependen t e n t i ty i fa n o pe ra t ion o the r t han r epe t i t ion i sp erformed .
T h is i sp a r t icu lar ly c l ear i n t he c a se o f t he c l o sed b ounda ry ( a s sum ing
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w e a r e o n t he s u rface o f t h e e a r th , r a the r t han c ave dwe l ler s ) .
I n t e rms o f t he
m in imum s e tup , t he e x i s tence o f ac l o sed b oundary i s mos t i mprobab le . G iven t he o ngo ing p roce s s o f p roduc t ion i n t he m in imum s e tup , a n o perat ion a s s igns o ne o r more o f t h r ee n umber s t o ac onf igura t ion o fo b jec t s a nd r e lat ions , t he n umber s b e ing : o ne , t wo , a nd many . T he n umber s ' one ' a nd ' many ' a r e a l ready i mp l ic i t i n t he m in imum s e tup i n t ha t e ach m in ima l o pera t ion a dds o ne n ew o b jec t t o t h e c ar r ier s pace , a nd t he r e su l t o f s uch ap roces s o f r epe t i t ion w i l l b e ' many ' o b jec t s i n t he c a r r ier s pace . T he c oncep ts o f ' onene s s ' a nd ` manyne s s ' , b o th f undamen ta l t o t he s yn tax , may t herefore b e s a id t o b e d er ivab le . T he c oncep t o f ` twone s s ' i s more d i f f icu l t , s i nce i ta ppea r s t o b e e xc luded b y t he d ef in i t ion o ft he m in imum s e tup i t se lf , wh ich d ef ined t he r andomnes s o f t he s e tup i n t e rms o f l a ck o f ar e la t ion b e tween t wo d emarca t ions i n t he c a r r ier s pace . T he c oncep t o f ` twones s ' i sp resen t i n t he r i ng b u t , s i nce t h i s i sn o t o bv ious , w e mu s t t a ke t he a r gumen t al i t t le f a r ther , t hen r e turn t o l ook a t t he p rob lem o f d escr ib ing t he r i ng i n t he i d eog raphy . S ince , a s h a s b een s hown , a n o b jec t p l aced i n t he c a rr ier s pace h a s a n u nc lea r n e ighbourhood , i ti se v iden t t ha t a f ter a s uf f ic ien t p er iod o f r andom o pera t ion o f t he m in imum s e tup , ac a se w i l l a r i se i n wh ich o ne o b jec t i sp l aced s uf f ic ien t ly n ea r t o , o r e ven w i th in t he n e ighbourhood o f , a no the r . S uppo se t he t wo o b jec t s t o b e c -ob jec ts , t ha t i s , o pen d i sks . I n s uch a c a se , b y f o l low ing t he f o rm o f r ea son ing wh ich l e d t o t he i d en t if ica t ion o f t he n e ighbourhood r i ng o f a n o b jec t , t he re w i l l b e as ub space o f t he n e ighbourhood r i ng s o fe ach wh ich w i l l c o inc ide . A word e x i s ts i n n a tura l l a nguage t o d e sc r ibe s uch ar e la t ion —be tween . ' Be tweenne s s ' i s ar e la t ion d ependen t o n t wo o b jec t s h av ing as pa t ia l r e la t ion t o e ach o ther . T he s pace ' b e tween ' emerges f r om t he r e la t ion o f t he t wo o b jec ts . F ur ther , i ft he c oncep t o f ' n e ighbourhood ' wa s e me rgent f r om t he p l ac ing o f a n o b jec t i n t he c a r r ier s pace , t he c oncep t o f' n e ighbour ' i sp roduced f r om t he j ux tapo s i t ion o f t wo o b jec t s . I ft wo o b jec t s a r e p l aced i n t he c a r r ie r s pace , s uf f ic ien t ly c l ose f or t he i r n e ighbourhoods t o o ver lap , t hen t here w i l l b e as ubspace o f t he c ar r ier s pace wh ich i sc ommon t o n e ighbou rhoods o f b o th . T here i sa l so an a tura l e xp re s s ion i n t he s yn tac t ic i d eography f o r t he r e la t ion o f b e tweennes s a nd , t herefo re , o f ` twones s ' , v i z t he e xpre s s ion wh ich s ays t ha t t he r e la t ion o f c on ta in ing b e long s t o ap a ir o f o b jec t s , r a ther t han t o as i ng le o b jec t . We m igh t p rov i s iona l ly w r ite t h i s i n t he f orm : el,c2 D c3 ,mean ing t ha t e ach o b jec t t o t h e l e f t o f t he D s i gn t akes p ar t e qua l ly i n t he r e la t ion . T hus i tc an b e s e en t ha t i f t here i se xac t ly o ne t e rm t o t he l e f t o f t h e Ds i gn , i tg i ves r i se t o t he c oncep t o f I n s idene s s ' , a nd i ft here a r e e xac t ly t wo , t o t he c oncep t o f ' b e tweennes s ' . We may n ow i n t roduce i n to t he i d eog raphy an o ta t ion f o r ' onenes s ' , ` twones s ' , a nd ` manynes s ' . R ound b racke t s , () ,w i l l mean o ne ; b roken b racke ts , () ,t wo ; a nd b race b racke t s , {} , many . I n e f fec t t h i s mean s t ha t t wo i s ( )() , a nd many m igh t b e w r i t ten { ( )() () } . More c omp lex s yn taxe s may n ow b e c ons t ruc ted , a nd w e b eg in b y t r y ing t o s o lve t he p rob lem o f d escr ib ing ar i ng . T he f i r s t o b serva t ion made a bou t t he r i ng w a s t ha t , i n c on t ra s t t o t he d i sk , i t p os se s sed ah o le . A t opo log i s t wou ld s ay t ha t t he t wo f orms w ere t herefo re t opo log ica l ly n onequ iva len t , d escr ib ing t he d i sk a s a n o b jec t o f g enus -0 , whe rea s t he r i ng w a s a n o b jec t o f g enu s 1 . T he q ue s t ion b ecomes : h ow c an t h i s t opo log ica l d i f f erence b e r ep resen ted s yn tac t ica l ly , a nd i n t he s yn tac t ic i d eog raphy? T he a n swer l i e s i n t he a pp l icat ion o f t he i deas o ft wones s a nd b etweennes s t o a s i ng le o b ject . As i ng le c -o r d -ob jec t may b e ' s tre tched ' i n s uch aw ay t ha t i t r e cogn i sab ly h a s t wo e nd s , s a y ,
wh ich wou ld b e r epre sen ted i n t he i d eography b y t he e xpres s ion :
3 53
( c ) .
T o a r r ive a t
t he r i ng f orm w e a dd t he ` b e tweenne s s ' c ommon p roduc t o f t h i s p a i rne s s i ns uch a w ay a s t o e nsure t h at t he r e su l tant o b jec t d oe s n ot d egene r a te t opo log ica l ly t o ad i sk a ga in , t ha t i s , i t mu s t h ave a h o le . T h i s c omp lete t r ansforma t ion may t hus b e w r i tten ( c1)D c2 ( mean ing : ac on t inuous s pace b i furca tes a nd i sj o ined t o i t se lf b y af u r ther s im i lar s pace , t hu s f o rm ing as i ng le c on t inuou s r i ng ) , n o t ing t h a t i ti s af i n i te c on t inuous s i ng le o b jec t , a nd t h erefore ( c 1)D c2) ,a nd a l so t ha t i tc on ta ins ad i sk a si t s emergen t p roduc t :
( (c 1)D c2)J ( c3) ( mean ing :
t he c on t inuous r i ng c onta ins ad i sk) .
B y
t r ea t ing t he r i ng i t se lf a s t he o b jec t ( t ha t i s , r e ga rd ing t he i n ter ior d i sk a s emergen t b u t n o t ap ar t ic ipan t i n t r ansforma t ion ) w e may t h en p erfo rm t he s ame t r ansforma t ion a ga in : ( c 4)D c5)D c6 [ mean ing : ac on t inuous r i ng b i furca te s a ga in ( no te n ot t he i n terna l d i sk) a nd i sj o ined t o i t se lf b y as im i la r s pace t hus f o rm ing a d oub le r i ng ] w i th t h e r e su l t t ha t w e h ave a c on t inuous o b jec t w i th t wo h o les . T h is p roces s m ay b e c on t inued t o c r ea te a s many h o le s a s w e p l ease , a nd t hu s r a ise t he g enu s o f a c on t inuou s o b jec t a s h igh a s w e p l ease . B eg inn ing w i th ad -ob jec t , a nd p erform ing t h e s ame t r ansforma t ion , w e a r r ive a t t he c oncep t o f ac l o sed b ounda ry , o r e nc losure : ( d i)D d2)a nd ( d 3)J d4)D d6( 2 ) . I n s pace s yn tax t he d v e r s ion i st he n orma l f o rm f o r t h i s o b jec t , whe rea s t he n orma l f o rm f o r t he u n transfo rmed o b jec t i st he cv er s ion . T he se t wo o b jec t s a r e ' boundar ies ' a nd ' s paces ' r e spec t ive ly , o r , t ak ing i n to a ccount t he s pace i n s ide t he b oundary , c l o sed a nd o pen d i sks . T he h omo logous >f o rmu la , ()> () ,i n terp re t s t h is c oncep t f o r ap a th , n ame ly t h e p a th t ha t b i furca tes a nd m ee t s i t se lf , t hu s f o rm ing ar i ng . W i th t h is l a nguage o f t wo e l emen tary o b jec t s , ca nd d , t wo e l emen ta ry r e la t ion s , Da nd > , a nd t h ree b racke t ing c onvent ion s , () , () ,a nd { } ,t he p o s s ib le t ypes o f o pera t ion ( 3 ) t ha t may b e i n troduced i n to t he m in imum s e tup c an b e e xp lored . T he p re sen t h ypo thes is i st ha t t here a r e e i ght ma jor t ype s o f o pera t ion , a nd t herefore e i gh t m a jo r t ypes o f ' s yn tax ' , a l l o f wh ich g i ve r i se t o ap r inc ipa l t ype o f s e t t lemen t p a t tern a nd /or a r ch i tec tura l c omp lex , a nd who se u se s i ng ly o r i n c omb ina t ion p rov ides a m e thod f o r t he a na lys is o f a r ch i tec tu ra l a nd s e t t lemen t p a t te rns , a nd t h e mo rpho logy o f b u i ld ing c omp lexes . E ach o f t hese e i gh t m a jor s yn taxes w i l l b e d e sc r ibed i nw ords , a nd e xpre ssed i n t he i d eog raphy i n t he s imp les t p os s ib le w ay ( s o a s t o make a s c l ea r a s p o s s ib le t he r e la t ions b e tween t he s yn taxes ) , t hen e xam ined i n more d e ta i l . A t t h i s s t age , i ti sh oped t ha t t he i n t roduc t ion o f t he i d eog raphy w i l l b e j us t if ied , s i nce i t e nab le s u s b o th t o k eep a n e xac t r e cord o f a l t ha t h a s b een s a id a bou t ap a t tern , b u t a l so a l low s u s t o e xp re s s c omp lexes o f s pa t ia l r e la t ionsh ip s t ha t i n v e rba l f orm wou ld b e h a rd t o f o l low , a nd e ven h a rder t o f o rmu la te . T he e i ght ma jor s yntac t ic o pera t ions O perat ion 1 . T he f i r s t s yn tac t ic o pe ra t ion i st he o ne a l r eady p resen t i n t he m in imum s e tup ( i t w i l l b e s hown s hor t ly t ha t t h i s i sa l ready ' r i cher t han h a s b een d escr ibed) , w h ich s ay s , i n r e spec t o f t he o ngo ing p roces s : f rom e ach t o t he n ex t : n o r e la t ion . A s sum ing t he c a r r ier s pace i st o t he l e f t o f t he l e f tmo s t r e la t ion s i gn ( a s i sa lways t he c a se ) , t here i s an a tura l e xp re s s ion f o r t h i s o pe ra t ion i n t h e i d eog raphy : D
) ) )• •
)•
T h is s ays t ha t t he c ar r ier s pace c onta in s a n o b jec t , a nd a no the r o b jec t , a nd a no ther , a nd s o o n . T he s imp les t p o s s ib le e xpre s s ion f o r t h i s o pe ra t ion wou ld e xp res s t h is r e la t ion f o r t he f i r s t t wo o b jec t s , D ()() .
( 2 )
A t t h i s p o in t i nt h e t e x t s u b s c r ip t s a r e d i s con t inued .
T h e t e rm ' o p e ra t ion ' w i l l b e u s ed w h en r e l a t ion s a nd ' n umbe r s ' o fo b je c t s a r e s p ec if ied i na g e n e r a lw ay . W h en s p e c if i c o b je c t sa r e a dd ed ,s u ch t h a tt h e f o rmu l ae xp r e s s e s ad e f in i te m o rpho logy , t h e t e rm ' r u le s t ruc tu r e ' o rs i mp ly ' r u l e ' i sa pp rop r i a te . ( 3)
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O pera t ion 2 . T he s econd s yn tac t ic o pe ra t ion i sb ased o n t he t r ansfo rma t ion t ha t p roduces t he r i ng o r c l o sed b oundary , a nd i ts ay s , i n r e spec t o f t he o ngo ing p roce s s : f rom e ach t o t he n ext : t he s ame u n i ta ry o b jec t— th i s b e ing t he e f f ec t o f r epea t ing t he t r an sforma t ion , p roduc ing a mu l t ice l lu la r u n i tary o b jec t( 4 ) .T he e xpre s s ion f o r t h i s i s , D( ( (( ) D () ) D () o r t ak ing i n to a ccoun t o n ly t he u n i t b racke t ing s t ruc ture s , D (0 ) , s i nce a t e ach s t ep t he n ew o b jec t i s made p a r t o f t he o ld , w i th t he a bove b racke t ing e f fec t . O pe ra t ion 3 . T h i s o pera t ion c omb ines t hese t wo i d ea s i n to t ha t o f ar andom ly g row ing b ut c on t inuous a ggr ega te , who se f o rma l o pera t ion s ay s i n r e spec t o f t he o ngo ing p roce s s : f rom e ach t o t he n ext : t he n ext i sa dded a s an e ighbour t o t he a gg rega te f ormed b y a l l p rev ious o b jec t s . T h is m igh t b e t e rmed t he ` p a irw i se g row th o f a n a gg rega te ' , s i nce a t e ach s t ep t he a gg rega te t hus f a r ( e ven i fi ti so n ly o ne o b jec t ) b ecome s t he f i r s t m ember o f ap a ir , a nd t he n ex t o b jec t b ecome s t he s e cond m embe r o f t he p a i r , t hese b e ing j o ined i n an e ighbour r e la t ion o n to e ach o ther . T h i s r e ta ins t he i d ea o f r andomne s s , wh i le i n troduc ing t he c oncep t o f a n a gg rega te o b jec t , a nd p a irw ise c ou ld b e e xpre s sed ,
•
) () () ( ),
b u t mo re s imp ly , t he c oncep t o f ar andom ly g row ing b u t c on t inuous a gg rega te i s g i ven b y
O perat ion 4 . T he f ou r th s yn tac t ic o pe ra t ion ma in ta in s t he c oncep t o f ac on t inuous a gg rega te o b jec t , b u t i n s tead o f p l ac ing e ach n ew o b jec t i n an e ighbour r e la t ion t o t he a gg rega te o f p rev ious o b jec t s , i tp l ace s i ti n an e ighbourhood r e la t ion —tha t i si t r equ ire s e ach n ew o b jec t t o s ur round t he p r ev iou s . T he o pera t ion t herefore s ays i n r e spec t o f t he o ngo ing p roce s s : f rom e ach t o t he n ext ; t he n ext i s an e ighbourhood o ft he a gg rega te f ormed b y a l l p rev ious o b ject s . T he e f f ec t o f t h is i sa n e xpand ing c oncen tr ic s t ruc ture , wh ich c an b e f o rma l ly e xpr es sed a s •( ((
()
3
( (
() )
o r , a s s imp ly a s p os s ib le , • ( )3( ). I ti si mpo r tan t t o n o te a tt h i s s t age t ha t t he s e cond a nd f our th o pera t ions a r e u n l ike t he f i r s t a nd t h ird i n t ha t t hey u se t he c oncep t o f s ur round ing , wh ich r equ ires t hem t o b e c ompo sed o f a n o b jec t o f t he f o rm , ( ( ) 3 () , r a ther t han o b jec t s o f t he f o rm , () , wh ich w i l l s e r ve f o r t he o the r t wo wh ich d o n o t i n voke t he i d ea o f s u r round ing . T h i s a ccoun t s f o r t he r e la t ive ly g r ea te r c omp lex i ty o f t he f o rmu lae f o r t h e s e cond a nd f ou r th o pera t ion s . T h i s w i l l s hor t ly b e s e en t o b e o ne o f t he f undamen ta l d imen s ions o f v ar iab i l i ty f o r s yntaxe s . T he f our o pera t ion s s o f a r d e sc r ibed a r e a l l l o ca l r u les wh ich , when a pp l ied t o t he o ngo ing p roce s s o f a gg rega t ion i n t he m in imum s e tup , h ave c e r ta in g loba l r e su l t s T h i s i s ,i ft h e h i s to r ica l e v id en ce a nd o u r s y n ta c t i c i n t e rp r e ta t ion o fi ta r e t ob e b e l i ev ed , t h e o r ig in o ft h e c on c ep t o f ac omp l ex b u i ld ing— th e a n a ly s i s o fc omp l ex b u i ld ing b e ing t h e a n a ly s i s o f t h e s p a c e a nd p a th s t r uc tu r e s t h a t c a n b e d ef ined o n s u ch as t r uc tu r e . ( 4 )
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( wh ich w i l l b e d i scus sed s hor t ly ) . B y l o ca l w e m ean t ha t t he o pera t ion work s i n a ' s tep -by s tep ' w ay , a s embod ied i n t h e e xp res s ion ' f rom e ach t o t he n ex t ' . T he n ex t f our o pera t ion s p re scr ibe n o t al o ca l r u le , l e ad ing , u nder r epe t i t ion , t o ag l oba l o u tcome , b u t t he g l oba l o u tcome i t se lf , i n s uch a w ay a s t o i mpose l o ca l , s t ep -by s tep o rder . I n o ther w ord s , t he f i r s tf our o pera t ions c ontro l t he p roce s s i n l oca l to -g loba l f a sh ion , w hereas t i l e n ext f our i n t roduce g loba l to loca l c ontro l . No te t ha t t here i sa r e la t ion sh ip b e tween o pera t ions 1a nd 5 . 2a nd 6 , 3a nd 7 ,a nd 4 a nd 8 , a l though t h i s d oes n o t e xhaus t t he i n ter re la t ion s . O pera t ion 5 . T he f i f th o pera t ion i n t roduce s t he g loba l i d ea t ha t e ach o b jec t p roduced b y t he o ngo ing p roces s t akes p a r t i n t he c onta inmen t o f as i ng le o b jec t . T he o per at ion t herefore s ays : e ach n ext o b jec t b ecome s p ar t o fa n a gg regate w h ich c onta ins a nother o b jec t .
N o te t ha t t h i s s pec if ies n o o the r r e la t ion b e tween i nd iv idua l
a gg rega te m ember s , a nd t hese c an t herefore b e r andom . o r e mergen t . A gg rega te c on t inu i ty i sg ua ranteed o n ly b y t he r u le t ha t r e la tes a l o b jec ts t o as i ng le o b jec t i n a n a gg rega te n e ighbourhood r e la t ion . P erhap s u nexpec ted ly t he i n t roduc t ion o f ag l oba l r u le h as t he e f f ec t o f mak ing t he o b jec t f i n i te ( i n a l l b u t af ew v a r ian ts ) , s i nce t he o vera l l s hape i s , a s i tw ere , d ec ided i n a dvanC e . a nd t he p l ac ing o f t he i n d iv idua l o b jec t s b ecome s a ma t ter o f f i l l ing a va i lab le s pace s f r om w h ich t he r u le c an b e o beyed . T o e xp re s s t h i s f u l ly . w e mu s t s ay t ha t t he a gg rega te o f o b jec ts t a kes t he ( ( ) 3 () f o rm , t ha t i s . i tb ehaves l i ke ar i ng o r c l o sed b oundary , ( ({()( )
) )
3
()
3
() •
b u t a t i t s s imp les t t he g l oba l o b jec t i sd escr ibed b y D ( )( )3 ( ) •
O per at ion 6 . T he s i x th s yn tac t ic o pera t ion i n troduces t h e g loba l i d ea t ha t as i ng le o b jec t c on ta ins t he a gg rega te , t ha t i s as i ng le o b jec t i st he n e ighbourhood o f a n a gg rega te . A s an e ighbourhood o b jec t , t h e s i ng le o b jec t mus t h ave t he f o rm ( ( ) 3 () . T he o pera t ion t herefore s ay s i n r e spec t o f t he o ngo ing p roces s : e ach n ext o b jec t b ecome s p ar t o fa n a gg rega te w h ich i sc onta ined b y a nother o b jec t . T h i s c an b e e xpres sed a s 3
( (( )
3
() D { ( )( )
o r more s imp ly a s 3
( )
( )( ) •
N o te t ha t t h ere i sn o r e la t ion among m ember s o f t he a gg rega te o ther t han b e ing c on ta ined b y t he s ame g l oba l o b jec t . O pe rat ion 7 . T he s e ven th o pera t ion , l i ke t he f i f th , d ef ines ag loba l o b jec t i n wh ich a s i ng le o b jec t i st o b e c on ta ined b y a n a gg rega te , b u t i ta dds t ha t o ne p ar t o f t he a gg rega te i sc on ta in ing a no ther p ar t , a nd t h e s i ng le o b jec t c on ta ined i sb e tween t hem , t ha t i s , c on ta ined b y b o th . T h i sh a s t he e f f ec t o f mak ing t he s i ng le o b jec t i n to a n e nc losed r i ng ( i ft he f i f th o pera t ion g ene ra tes ' p lazas ' , t he s e ven th i n i t ia l ly g enera tes ` r ing s tree ts ' , a n e qua l ly p erva s ive f o rm) . T he o pera t idn t herefore s ays : e ach n ex t o b jec tb ecome sp ar to fo ne o ft wo s ubagg rega te s , o ne o fw h ich c onta in s t he o ther , a nd w h ich b e tween t hem c onta in as i ng l e o b jec t . T h is may b e e xpres sed a s D ( {( )()• (
D
)( )• ( ) )
()
o r more s imp ly a s D ( ( ) ( )D ( )( ) D ( ) •
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O perat ion 8 . T he e i gh th o pera t ion r e ver ses t he s e ven th i n much t he s ame w ay a s t he s i x th r e ver ses t he f i f th : t wo s i ng le o b jec t s o ne i n s ide t he o ther h ave b e tween t hem a n a gg rega te . T h is mean s t ha t t he a gg rega te u nfo lds i t se lf w i th in t wo o b ject s o f t he f o rm ( ( ) D () , o ne o f w h ich i si n s ide t he o ther . T he o pera t ion t herefore r e ads : e a ch n ext o b jec t b ecome s p ar t o fa n a ggrega te w h ich i sc onta ined b e tween t wo o b ject s o ne o fw h ich c onta ins t he o ther .
T h is may b e w r i t ten
o r more s imp ly a s D ( ( )D ( ) D ( ) () •
F rom o pera t ion 1t o o per a t ion 8 t he i n crea s ing c omp lex i ty o f s yn tax f o rmu lae e xp re s ses t he i n c rea s ing d eg ree t o wh ich t he ' g loba l ' s t ruc ture p reva i l s o ver t he ' l oca l ' , w i th t he h ighe s t n umber s h av ing t he mos t g l oba l s t ruc tu re . T herefo re i ti sr e a sonab le t o s ay t ha t p a t tern s b u i l t f r om s t rong g l oba l o pera t ion s h ave ' mo re ' o rder i n t hem t h an ' l oca l ly d om ina ted ' s yn taxes . T h i s d oe s n o t m ean t ha t ' l oca l ' s yn taxes d o n o t h ave g l oba l s t ruc ture ; t hey h ave v e ry s t rong g l oba l s t ruc tu re , b u t i ti s ag l oba l s t ruc ture t ha t e merge s f r om t he o ngo ing p roce ss , u nder t he i nf luence o f i t s r u le . T hese emergen t p a t terns w i l l s hor t ly b e e xam ined i n more d e ta i l . I n spec t ion o f t he e i gh t f o rmu lae r e vea ls a no ther p r inc ipa l d imens ion o f v ar iab i l i ty w h ich o ccur s b e tween t h e o dd a nd e ven n umbered s yn taxes . I fw e b eg in w i th a n i n i t ia l o b jec t a nd c ons ider t h e w ay ap a r t icu la r s yn tac t ic o pera t ion b u i lds o n i t , i tc an b e s e en t ha t e ven -numbered s yn taxes , a f ter 2 , b u i ld c on t ro l t o t he l e f t o f t he i n i t ia l o b jec t ( a s t hough t he i n i t ia l o b jec t w e re t he l i ngu i s t ic ' ob jec t ' o f t he f o rma l ' s en tence ' , a nd t he l e f t -added s t ruc ture w ere t he ' s ub jec t ' o f t he ` s en tence ' ) , wh ich a lways h a s t h e ' s ur round ing ' f o rm ( ( ) D () . t a k ing t he f o rm o f as i ng le o b jec t . I n c ont ras t . o dd -numbered s yn taxe s b u i ld t o t he r i gh t o f t he i n i t ia l o b jec t , a ccumu la te , a nd a low t h e a ccumu la t ion t o c on tro l wha teve r i sb u i l t t o t he r i gh t ( a s t hough t he i n i t ia l o b jec t s w ere t h e ' s ub jec t s ' o f t he ' s en tence ' . a nd t he a dded s t ruc tu re w a s t he ' o b jec t ') . T h is i st he f orma l d i f f er ence b e tween d i s t r ibuted a nd n ond i st r ibuted s yn taxe s . I n d i s tr ibu ted s yn taxe s , t he o dd -numbered s yn taxes , e very p r ima ry o b jec t p l ays a n e qua l p a r t i n c ons truc t ing t he g l oba l p a t tern ( whe the r t h i s i sg l oba l ly d ef ined o r emerge s f r om al oca l o pe rat ion ) , a nd t he a gg rega te t herefore p redom ina tes . I n n ond i s tr ibu ted s yn taxes , t he e ven -numbered s yn taxe s , t here a r e a lway s o ne o r mo re u n i ta ry l o c i o f c on t ro l e xterna l ly p l aced o n t he a gg rega te , wh ich i mpose as upero rd ina te c on tro l o n i t , a nd t herefo re t he u n i ta ry o b jec t p redom ina tes . T o u se a c on tempora ry i lu s t ra t ion o f t h i s f undamen ta l d i s t inc t ion , as t ree t -pa t tern i s ag l oba l d i s tr ibu ted s yn tax . w herea s ah i gh r ise e s ta te i s ag loba l n ond i s tr ibu ted s yn tax . T he s h if t f r om d i s tr ibu ted t o n ond i s tr ibu ted s yntaxes i so ne o f t he f undamen ta l d imen s ions o f t he s h if t t o u rban s p ace p a t terns i n t he p a s t c en tury o r s o . I ti sh ypo thes ised t ha t t h ese g ene ra l d imens ion s o f v a r iab i l i ty o f s yn taxe s ( l oca l to g l oba l a nd g l oba l to loca l , d i s tr ibu ted a nd n ond is t r ibu ted ) c an b e w e l l o rdered i n t e rm s o f t he mode l p r esen ted i n f i gu re 2 , wh ich s how s t he i n ter re la t ion sh ips o f a l t he s yn taxe s b y s how ing h ow t hey a r e d er ived f r om o ne a no ther . T he mode l i n i t ia l ly p os tu la tes t ha t o pera t ion 2 , ( ( ) D () , i st he ' p r ime ' o f o pera t ion 1 ,a nd f r om t h ere o pera t ion 1i sc omb ined w i th o pera t ion 2 t o make s yntax 3 , t hen 3 i sp r imed t o make s yn tax 4 , t hen 4 i sc omb ined w i th 1 t o make o pera t ion 5 a nd w i th 2 t o m ake o pera t ion 6 , t hen w i th 3 t o make o pera t ion 7 , a nd t hen o pera t ion 7 i sp r imed t o make o pera t ion 8 .
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A l terna t ive ly t he e i gh t s yn taxes may b e s e en a s t he u nfo ld ing o f t h e f o l low ing r u le f o r f o rm ing s yntax r u les ( o r ` r u le ru le ') , i mposed o n t h e m in imum s e tup : ( a ) i f ()()t hen a dd a s many a s y ou l i ke ( t ha t i s , i ft wo o b jec t s a r e j uxtaposed i n a f o rmu la w i thou t ar e la t ion b e tween t hem , t hen t h e t wo c an b ecome many) ; ( b ) i f ()D t hen ()r ema in s o ne ( t ha t i s , i f ar e la t ion s i gn f o l low s o ne o b jec t i n a f o rmu la , t hen i tr ema in s a s o ne ) ; ( c ) i f ()D t hen ()i s( ( ) D () ( t ha t i s , i fa n o b jec t c on ta ins , t hen i ti s ar i ng ) . I n o the r wo rd s , g i ven t h e g ener ic d i f f erence b e tween s yn taxes 1a nd 2 , w e h ave s imp ly e xp lored t he p os s ib i l i ty o f s h if t ing b racke t s r e la t ive t o r e la t ion s i gns , u n t i l a l more c omp lex v e rs ion s t ha t c an b e u nfo lded o n t he c a r r ier s pace mus t b e c omb ina t ion s o f t he se . T he e i gh t a r e t he f undamen ta l ly d i f f eren t t ype s o f s yn tax . I n o rder t o e mbody t h e se a b s trac t ly s t a ted o pera t ion s i n r u le s t ruc tures i n t he f u l l s e n se , s o t ha t t h ey c an b e i mpo sed o n t he m in imum s e tup t o g i ve r e a l s pace p a tte rn s , w h ich may t hen b e c ompa red t o r e a l i ty a nd made t he s ub jec t o f as oc io spa t ia l t heo ry , w e n eed t o b u i ld o b jec t s i n to t h e o pera t ion f o rmu lae . T h i s c an b e d one b y mean s o f t wo s imp le a dd i t iona l r u les . T he f i r s t i sj u s t if ied b y t he o b ser va t ion t ha t t he n orma l f o rm o f a n i ndependen t s t ruc tu re o f t he f o rm ( ( )D( . ) ) i s( d ) Dd ) , t ha t i s , t he e nc lo sure t ha t makes t he c l osed d i sk . S ince w e h ave a l r eady d ef ined t h is f o rm a s t h e ' p r ime ' o f t he o pen d i sk a nd a s s igned i tt o t he f am i ly o f n ond is t r ibu ted s yntaxes , w e m ay a l so r e gard ( d ) D d ) a s t he e l emen ta ry n ond is t r ibu ted , o r ' p r imed ' , o b jec t . C onve r se ly a n o pen d i sk i st he e l ementa ry d i s t r ibuted , o r ` u npr imed ' , o b jec t .
F i gu r e 2 . E vo lu t iona ry r e la t ion s o fs y n ta c t ic r u l e s .
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T he s e cond f o l low s f r om t he d ef in i t ion o f ' open ' a nd ' c losed ' o b jec t s g i ven e ar l ier ; n ame ly , t ha t a n o b jec t i sc l osed i fi th a s i t s own b oundary . F rom t h i s w e s ay t ha t a n o b jec t w i l l b e c l osed i fi tt a ke s p a r t i n c onta in ing . No te t ha t t he se a r e n o t s t r ic t r u les b u t c onven t ion s wh ich g i ve r i se t o t he n o rma l , r e a l s pace f o rms o f t he s yn tax . I n f a c t t h e e xcep t ion s t o t he se c onven t ion s a r e o f ten i n tere s t ing a nd i n forma t ive . S yntact ica l a na lys i s a pp l ied t o s o me e x i st ing f orms W e may n ow l ook more c a refu l ly a t t he s yn taxe s( 5 ) ,a nd o f f er an ew w ay o f a pproach ing an umber o f c l a s s ic p rob lems i n t he morpho log ica l s t udy o f s e t t lemen t p a t tern s , a nd t he e vo lut ion o f a r ch i tec tura l a nd u rban f o rm . I n t h is d i scu s s ion , r e f erence w i l l n o t b e made t o s oc ia l a nd o rgan i sa t iona l v ar iab les , s i nce t he se a re d ea l t w i th a s a who le i n s e c t ion 4 wh ich o ut l ines ag enera l t heory o f t he s oc ia l f o rma t ion o f s pace p a t te rns . E ach o ft he e i gh t s yn taxe sg i ves r i se t o a n e l ementa ry o b jec t , n ame ly t ha t c ons t i tu ted b y t he l e a s t p os s ib le i n terp re ta t ion o f i t s o pera t ion , w i th r e ga rd f o r t he r e la t ion s b e tween o pen a nd c l o sed o b jec t s , a nd d i s tr ibu ted a nd n ond is t r ibu ted s yn taxe s . T hese a r e g i ven i n f i gure 3 . I t may o r may n o t b e n o tewor thy t ha t i fe ach s pace a nd e ach b oundary a r e c oun ted a s a n o b jec t t hen e ach ' l ea s t o b jec t ' h a s e xac t ly t he n umber o f o b jec t s o f i t s s yn tax n umbe r . T h is m ay b e f o r tu i tous , o r e ven c ont r ived , o r i t may b e s imp ly t he g enera l r e su l t o f a2 -ob jec t b e ing mo re c omp lex t han a 1 ob jec t , a4 -ob jec t b e ing more c omp lex t han a 3 -ob jec t , a nd s o o n . T he ' l eas t ' o b jec t i st he n a tura l s t a r t ing p o in t o f as yn tac t ic p roce s s , a nd g i ve s i t s d om inan t morpho log ica l r e a l i sa t ions i n mo s t c a se s . On t he o the r h and , i ti sn o t an ece s sa ry s t ar t ing p o in t .
Much o f t he v a r iab i l i ty o f s yn tac t ic f orms c omes f r om
v a r ia t ion i n t he ' l ea s t o b jec t s ' o f wh ich t he g loba l p a t tern i sc ons t i tu ted . F or e xamp le , ag l oba l 5 form may h ave 4 -ob jec t s a s i t s c ons t i tuen ts , a nd s o o n . I n p ar t icu la r , mo s t e xamp les o f 1 syntac t ic s e t t lemen t p a t terns h ave f a ir ly c omp lex o b jec ts f ed i n to t he 1 syn tac t ic p roce s s . T he a r gumen t s s e t o u t i n s e c t ion 4 o f t h is p aper s ugges t why t h i s s hou ld b e s o . T he mo s t i mpor tan t p roduc t o f e ach s yn tax i st he g loba l p a t tern p roduced when t h e s yn tax i sd ef ined o n t h e m in imum s e tup f o r as uf f ic ien t p er iod f o r eme rgen t
1
2
3
4
6
7
F i gu r e 3 . E lemen ta ry s yn tac t i c o b jec ts . ( 5 )
I n t h e f o l low ing d i scu s s ion t h e r e ade r i sa dv i sed t o r e f er t o f i gure 1 9 , p age s 1 76-177 .
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.
p a t tern s t o a ppea r . T h i s i sp ar t icu la r ly i mpo r tan t f o r t he d i s t r ibuted s yn taxes , b eg inn ing w i th t h e 1 syn tax , wh ich h as n o t q u i te y e t e x trac ted a l l t he r i ches f r om t he m in imum s e tup . When t he m in imum s e tup w a s f i r s t d ef ined , i tw a s n o t s pec if ied whe ther o r n o t t he c a r r ie r s pace s hou ld b e r egarded a s b e ing b ounded . I n t ak ing t he s u rface o ft he g lobe , t h i s p rob lem w as a vo ided . B ut t h i s i s al i t t le u nrea l i s t ic . T he 1 syntax d ef ines i t s o wn c a r r ier s pace i n t he f o l low ing w ay . T he f i r s t o b jec t i sp l aced a t r andom , a nd t hen a no the r a n a rb i trary d i s tance a way , i n a n a rb i t rary d i rec t ion , p o s s ib ly f o l low ing t opog raph ica l o r r e source c ons tra int s . B y t h is t ime i ti sp o s s ib le f o r t he t h ird o b jec t t o t r ea t t he z one w i th in wh ich t he f i r s t p a ir c an b e t hough t t o l i e a s t he c a r r ier s pace t o wh ich i tw i l l r e la te . A s t he p roces s d eve lops , e ach o b jec t a s i ti sp l aced w i l l e i ther b e s ur rounded a t s ome d i s tance b y o ther o b jec t s , i n w h ich c a se i tw i l l n o t b e n ea r t h e e dge o f t he e vo lv ing c a r r ier s pace , o r i tw i l l b e o n ly p a r t ly s ur rounded b y o ther o b jec t s , i n wh ich c a se i tw i l l b e n ear t he e dge . o r e ven o u ts ide . I ft h is l a t ter c a se a r i se s , t hen t he n ex t o b jec t w i l l b e p l aced b ack i nt he r e g ion o ft he o ther o b jec t s i n o rder t o f o l low t he r u le o f b e long ing t o t he c a r r ier s pace . T hus t he 1 syn tax a dds a s ma l l m easure o f s t ruc ture t o t he m in imum s e tup , i n t h e f o rm o f al o ca l r u le c ompa rab le t o t ha t wh ich R ené T hom ( 1975) a r gued ma in ta ins t he s pa t ia l c oherence o f ac l oud o f mo squ i toe s— tha t i fe ach mo squ i to , wh i le mov ing r andom ly w i th r e spec t t o e ach o ther mo squ i to , s e es h a lf h i s f i e ld o f v i s ion f r ee o f mosqu i toes , h e moves i n t h e d i rec t ion o f mo squ i toe s . T h i s i s , w e b e l ieve , t h e m in imum s yn tac t ic r u le f or a s pa t ia l ly c oheren t a gg rega te , a nd i t s g loba l r e su l t i st ha t , t h rough t he d i s tr ibuted r epe t i t ion o fi t s l o ca l r u le i td ef ine s t he c ar r ier s pace . T hu s t here i s am eans o f p roduc ing g l oba l d i f f eren t ia t ion i n t he man -made l a ndscape w i thou t t he i n voca t ion o f b oundar ies , a nd e ven w i thout a c l ear i d ea o f t he l im i t s o f t he c a rr ier s pace o f a p a r t icu lar c o l lec t ion ( t ha t i s , m ember s o f as oc ie ty who p l ace o b jec ts o n t he l a nd ) . T hu s i n a1 syntax , t he ' sma l les t o b jec t ' i s wha t w a s e a r l ier d ef ined a s ad if f erent iated s pace —an o pen d i sk wh ich i sr e cogn i sab le b y v i r tue o f b e ing d i f f eren t ia ted r a ther t han d i s t ingu i shed b y ab oundary—and t he g l oba l s t ruc ture t ha t r e su l ts i sa l so ad i ff eren t ia ted s pace — the l a rge o pen d i sk t hat n ow c ons t i tute s t he c a r r ier s pace . T he re i sa l so a 1 syntac t ic p a th s truc ture ( a l l s yn taxes h ave s pace f o rms a nd p a th f o rm s ) wh ich a r i ses b y a n e xac t ly a na logous p roces s . A s e ach o b jec t i sa dded i t c a r r ies ap a th f r om t he l a s t , t hu s g enera t ing ac ar r ier -path a na logou s t o t he c ar r ier s pace . A s t h e s u rf ace b ecome s d ense t he p a ths i n ev i tab ly f orm n e ts , a nd t he n e t i s t he g l oba l p a th -syn tax a s soc ia ted w i th t he 1 syn tax . I t s s imp les t i n te rpreta t ion i s ' b e ing s t rung a l ong a p a th ' , wh ich i so ne o f t he mo s t i mpo r tan t , a l be it m in ima l , d e term inan t s o f s e t t lemen t p a t terns . T he c apab i l i ty o f t h e mode l t o d escr ibe s uch m in ima l ly o rdered s pace a nd p a th s e tup s i n au n if ied t heory i s , w e h ope , o ne o f t he j u s t if ica t ion s f o rt he r a ther e l abora te c on s t ruc t ion o ft he c oncep t o f amo rph ic l a nguage . As e t t lemen t p a t tern , wh ich w e w ou ld n ow c a l l 1 syn tac t ic , h as b een d e scr ibed b y t he a n th ropo log i s t F or te s ( 1945) . W r i t ing o f t he T a l lens i , at r iba l s oc ie ty o f c ons iderab le i n tr icacy , w i th h i gh ly s t ruc tured h ou seho ld s , F or tes o bserved t ha t t he l a nd scape o f T a le land ( t he g l oba l , o pen d i sk , b oundary le s s c ar r ier s pace ) h ad t he f o l low ing a ppearance : " From t he t op o f t he T ong h i l ls , l ook ing n o r thwa rds , o ne h a s av i ew o f wha t s e ems t o b e a n e nd les s p l a in , d o tted meag re ly w i th t r ees a nd s t udded c l ose ly , a s f a r a s t he e ye c an r e ach , w i th h omes tead s . T hey a r e i d en t ica l i n a ppearance , s qua t , c i rcu la r , d rab -g rey o r r ed , l i ke t he s o i l i t se lf , mo s t ly t ha tch r oof ed , a nd s e em t o b e s c a t tered i nd i sc r im ina te ly , s ome c l ose t oge ther , o ther s f u r ther a par t . T her e i s n o th ing t o i nd ica te where o ne s e t t lemen t b eg in s a nd a no ther e nds" ( For tes , 1 945 , p age 1 55) .
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F igu re 4 s how s as e gmen t o f t he p a t te r n .
T he s e t t lemen t s t ruc ture o f t he T a l lens i
a l so i n c ludes o ther r andom ly p laced s pace s , n o t s hown o n t he i lus tra t ion , wh ich a r e t h e ir ' s acred p l aces ' o r ' e a r th sh r ines ' . T hese a r e n o t e nc lo sures b u t " g roves o f t r ee s , ap oo l o r s t ream , ap i le o f b ou lder s , as i ng le p rom inen t t r ee , o r s imp ly a b are p a tch i nt he f i e lds" . T h i s i s af a i r s amp le o f t he p os s ib le m e thod s f o r d ema rca t ing t he l a ndscape w ithou t b oundar ies . I ts how s t he T a l lens i a r e b e ing c on s i s ten t . F or t he i r s a cred s pace s t hey u se 1 ob jec t s ; f or t he i r s e t t lemen t p a t te rn s t he 1 syn tax . F or o ther e xamp le s o f t h i s , o r s im i la r p a t terns , s e e f o r e xamp le Vog t ( 1968) o n Z incan tan i nM esoamer ica , a nd a l so t h e o b se rva t ions o f S ah l in s ( 1974 ) . T he 2 syn tax a l so f e a ture s p rom inen t ly i n t he r e cord o f t he e vo lut ion o f s e t t lemen t p a t tern s . Av e ry p ure e xamp le i st he mu l t ice l lu lar ` k iva -b lock ' a t K ia tu th lanna ( Rober ts , n o d a te) wh ich a ppea r s a s a n a n teceden t t o t h e c l a s s ic r u ined p ueb lo s o f t h e Amer ican S ou thwes t . F igure 5 s how s t he c harac te r is t ic f o rm , l a ck ing i n terna l c onnec t ion b e tween t he s epa ra te c e l ls ( t he se a r ise l a te r ) . T he l a rge c e l l i st he k i va , w h ich w a s p robab ly t he o r ig ina l b u i l t f o rm ; t he mu l t ice l lu lar s t ruc ture i s , a s i tw ere , ' u nfo lded ' f r om t he k i va o u twa rds . A ga in t here i ss yn tac t ic c ons is tency b e tween t he u s e o f t he s imp le 2 -ob jec t f o r t he s a cred s pace , a nd t he 2 syn tax f o r t he s e t t lemen t mode l . T he e thnog rapher f r om who se wo rk t h is i lus t ra t ion i st aken , h av ing t aken f or g r an ted t ha t t h e s t ruc tur es mu s t b e ' d ef en s ive ' , c ommen ted t h a t t h is c ou ld h ard ly b e t h e c a se s i nce t h ey c ou ld e a s i ly b e a t tacked f r om a bove , t here b e ing a n o verhang ing c l i f f a va i lab le . T h i s i s at yp ica l e xamp le o f t he f a i lure o f s imp le ' c au sa l ' e xp lana t ion o f b u i l t f orms a nd s e t t lemen t p a t tern s , a nd t he ir r e jec t ion b y many e thnog rapher s . T he 2 -pa th s yn tax a s soc ia ted w i th t he 2 space s yn tax i s as e r ies o f p a th s egmen ts l e av ing t he c ar r ier p a th a t i n terva ls , a nd e ach a r r iv ing a t al im i t , o r d ead e nd . B ack to -back h ou s ing i st h e n ea res t modern v er s ion o f t h is mo rpho logy , a l though e a r ly e xamp le s i n c lud ing p o s s ib ly C a ta l Huyuk ( Me l la r t , 1 967 ) , t hough t t o b e t he w or ld 's e a r l ies t t own , a ppea r t o h ave a n a na logous f o rm .
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F i gu r e 4 . T ongo—a T a l len s i s e t t l emen t ( a f t e r P r u s s in , 1 969 , p ag e s 5 6 , 5 9 ) .
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T he 3 syn tax i so ne o f t he mos t w ide ly u sed f o rms o f s e t t lemen t o rgan i sa t ion , a nd e xamp les , v a ry ing i n d ens i ty a nd s ma l l o b jec t c ompo s i t ion , h ave b een f ound i n t h e e thnog raph ic r e cord s o f many p ar ts o f t he wor ld . I ti ss t i l l ad om inan t u rban p a t tern i nc e r ta in p ar ts o ft he wo r ld a nd , f o r e xamp le , s urv ives i np ar t s o f t he C i ty o f L ondon . T he mo s t i n i t ia l ly s urpr i s ing a spec t o f t he 3 syn tax i si t s g l oba l f o rm , o r r a ther i t s f am i ly o f g l oba l f o rms .
T hese c an b e d i scovered b y m eans o f s imp le e xpe r imen t s ,
e i ther w i th p i ece s o f b l ack a nd wh i te c a rd , o r e ven w i th p en a nd p aper . I ft he s e tup h a s f o r i t s o b jec t t he 3 -ob jec t ,
a nd a 3 syn tac t ic r u le ( con t inuous r andom a gg rega t ion ) i sa pp l ied , r equ i r ing o b jec t s t o b e j o ined f a cew i se ( t here i s au n iver sa l s yn tac t ic r u le f o rb idd ing t he j o in ing o f r e c t i l inea r f o rms b y v er t ices ) b y t he o pen d i sks ( i f w e r e qu ire b o th c omponen ts o f t h e 3 -ob jec t t o b e f a cew ise j o ined , t hen t he o n ly r e su l t w i l l b e al i nea r s t r ing — th i s o ccur s f r equen t ly , b u t i sn o t o ur i mmed ia te o b jec t) , t h en p rov ided t he p roces s i s p roper ly r andom i sed t he f o l low ing t ype o f g l oba l p a t te rn w i l l b eg in t o emerge :
T h i s i sa n o ver symme t r ica l v er s ion o f t he g loba l s yn tax , s i nce t he p roce s s w a s c ar r ied o u t a s t hough o n ag r id t o s how t he r u le work ing . T he d ef in ing p roper t ie s o f t h e g l oba l p a t te rn a r e t ha t ( a ) ac on t inuous s t ruc tu re o f a symme tr ica l o pen s pace i su nfo lded , v a ry ing i n w id th , a nd c on ta in ing a t o dd i n terva ls wha t may b e c a l led ` b ead s '— in f a c t , t h is f orm i s k nown t o u s a s t he ' s tr ing o f o pen b eads ' ; ( b ) t h i s o pen s pace s t ruc tu re e ven tua l ly f orms r i ng s , s o t ha t t here a r e a lways ' two w ay s r ound ' f r om a ny p o in t t o a ny o ther p o in ti t b ecome s ' r ing s o fo pen b eads ' ( un les s t here a r e a dd i t iona l c ons tra in t s t ha t f o rce i tt o u nfo ld l i near ly a nd r ema in ` s tr ing s ' ) ;
/ 4
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F i gu r e 5 . P ueb lo r u in a tK i a tu th lann a ( Rober t s , n o d a t e , p a g e s 9 1-92 ) .
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( c ) t he c l osed d i sks o f t he 3 ob jec t a r e d i v ided i n to i s lands o r c l ump s b y t he f o rma t ion o f t he r i ng s ; w i th t he r e su l t t ha t ( d ) e very c l osed d i sk ( i n e f f ec t t he d we l l ing ) i sd i rec t ly a t tached t o ap o tent ia l ly i n f in i te , a nd i n tr ica te , o pen s pace s t ruc ture , a nd w i l l a lmo s t c er ta in ly b e n ea r a' b ead ' o f s ome k ind , t ha t i s , al a rge r p i ece o f o pen s pace ; ( e ) t he ' r ing s ' t hu s f ormed a r e b o th o pen a nd e nc losed i n t he s enses a l ready d ef ined . I ts hou ld b e n o ted t ha t a par t f r om t he se s t rong s t ruc tura l p roper t ie s , t he a symme try o f t he p a t tern i s as yn tac t ic p roduc t , ar e su l t o f t he i nheren t i mprobab i l i ty o f g eome tr ica l o rder i n t h e m in imum s e tup . T h is s e t t lemen t f o rm , w h ich w i l l b e t he s ub jec t o f as epara te monog raph , h a s o f ten b een n o ted b y w r i ter s o n s e t t lement morpho logy , b u t u sua l ly c l as s if ied e i ther a s ' d isordered ' , o r s imp ly a s ' n uc lea ted ' , ' c lu s te red ' , ' o rgan ic ' , o r s ome o ther s omewha t u nhe lpfu l t e rm . T he s yn tac t ic a na lys is r e vea ls t h e p rofound s pa t ia l o rder ing o f s uch s e t t lemen ts , af a c t e a s i ly a pp rec ia ted b y t he a verage t our i s t , i fn o t b y t he a verage morpho log i s t . F igures 6 a nd 7 , Muker a nd H awe s , b o th i n t he Yo rksh i re d a les , s how av ery s ma l l s e t t lemen t a nd as ma l l E ng l ish t own a t d i f f eren t l e ve l s i n t he u nfo ld ing o f a3 syn tax . A s f r equen t ly h appens , i nH awe s t he b ack a r ea s o f t he ' i s land ' a gg rega tes b ecome c l os ed o f f , b u t t he g enera l s yn tac t ic f o rm r ema in s . H ere t here i sb o th a ' s tr ing o f o pen b eads ' ( t he n a rrow p a r t ) a nd ' r ing s o f o pen b eads ' ( t he b roader s e c t ion g row ing r andom ly , a nd t herefo re i n a l d i rec t ions ) . T he p a th s yn tax a s soc ia ted w i th t h i s p a t tern i so ne i n wh ich a p a th s e gmen t l e ave s t he c a r r ier p a th , a nd e ven tua l ly r e turns t o i tb y a no ther r ou te : t he n on l im i t s equence . T here i s as equence o f . t r aver sa ls , b u t n o d ead e nds . I n c on tra s t t o t he ' p rof an i ty ' o f t he 3 syntax , t he 4 syn tax ( w i th i t s a s soc ia ted p a th s t ruc ture , t he ' l im i t s equence ' , t ha t i s as equence l e ad ing t o a' d eepes t s pace ' ) i s s t rong ly a s soc ia ted w i th t h e s a cred . S acred b u i ld ing s , f r om E ng l ish c hurches t o t he
F i gu re 6 . Muke r ( a f te r O SC , 1 888-1893) .
3 63
P orMa denC ity i n P ek ing , h ave c oncen t r ic o vera l l morpho log ie s , a nd e xp lo re t he p a th c oncep t o f al im i t s equence . Mos t i n teres t ing a r e t he v a r ian t s o f t he 4 syn tax . F or e xamp le , t here a r e ap a i r o f f o rms wh ich u se t he 4 ru le t o make a c oncen tr ic o b jec t , b u t m ake i tf r om a n o pen a nd a c l osed d i sk r a ther t han f r om t wo c l o sed d i sks . One i st h e c l o sed d i sk wh ich d ef ines a n ' open s pace b a r r ier ' a round i t se lf— tha t i st he o pen c on ta in s t he c l osed ,
t h e o ther i st he ' c lo i s ter ' morpho logy , i n wh ich t he c l osed c onta in s t h e o pen ,
S uburban morpho log ies a r e u sua l ly b ased o n 4 -ob jec ts . T he o pen t ype o f Amer ican s ubu rb i sb a sed o n t he ' open s pace b ar r ier ' mo rpho logy : t h e B r i t ish s uburb o n t he b a s ic d oub le c l osed d i sk . I n t he more c omp re s sed u rban s e t t ing , t he s equence i s s ubs t i tu ted f o r t h e f u l l c oncent r ic f o rm . T hu s e ach o f t he f i r s t f our s yn taxes l e ads t o e mergen t s t ruc tu re , t ha t i s more s t ruc tu re t han w as s pec if ied i n t he s yn tax r u le .
Wha t i sl e s s o bv ious i st ha t e ach
d ef ines a s i t s e mergent s t ruc ture o ne o f t h e f our b a s ic o b jec t s o f t he s yn tax . T he 1 syn tax g enera tes a n o pen d i sk ; t he 2 syn tax t he c l o sed d i sk ; t he 3 syn tax t he o pen r i ng ; a nd t he 4 syn tax t he c l osed r i ng . W e a r e f a r f r om c l ear why t h is s hou ld b e s o , n o r a r e w e c l ear i fi ti ss i gn if icant . I td oes h appen , h owever , t ha t , i n t he s ame o rde r , t h e e mergen t f o rms b ecome t he d ef in ing p rope r t ies o f t h e n ex t f our s yn taxe s . We t hu s move o n f r om t he ' s tep -by s tep ' , o r l oca l to -g loba l ' c a ses , i n wh ich t hese s t ruc tu re s e me rge f rom a n a gg rega te , t o t he ' g loba l to loca l ' c a se s where t he s t ruc tur es a r e d ef ined f or t he a gg rega te .
F i gu r e 7 . H awe s ( a f te r O SC , 1 888-1893) .
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T he 5 syn tax g enera te s af am i ly o f f o rms t ha t a r e b o th w e l l k nown a nd w e l l r e cogn i sed , p o s s ib ly b ecause t h ey a r e o f ten g eome tr ica l ly f a i r ly o bv iou s . A l so , b ecause t h e f orm i s as imp le o ne a nd a l so f i n i te , i to ccur s a t m any l e ve l s . A t t he s imp les t l e ve l , t he 5 syn tac t ic d ef in ing p roper ty o fa n a gg rega te c on ta in ing ( t ha t i sc ons t ruc t ing ) a n o pen d i sk g enera te s t he s imp le c our tya rd f o rm i n i t s ,v ar iou s r ea l isa t ion s , i n c lud ing t h e v e r s ion a r i s ing f r om ab i furca ted , c on t inuous a gg rega te t ha t meet s i t se lf t hu s
a nd t he d oub le p a i r f o rm , w h ich h i s to r ica l ly a ppea r st o g row i n to t he o ne a bove , a nd m ay b e l o g ica l ly p r ior t o i t :
O n al a rger s c a le , i tg enera tes t he ' g reen ' v i l lage a nd t h e ' p laza ' p ueb lo . B ecause t h ey a r e f i n i te , ' p laza ' f o rms r a re ly p roduce t owns i n t he p roper s ense , b u t t here i sa v a r ia t ion o n t h e 5 syn tax w h ich d oes g enera te t owns , b ecause i ti st he o n ly n onf in i te v e r s ion o f t he r u le .
T h i s i sw he re t he a gg rega te b reaks i n to t wo , a nd t he o pen d i sk i s
t h en e nc losed b e tween t h e t wo a gg rega tes , a nd c an t herefo re c on t inue t o g row a nd e xpand a t e i ther e nd . T h i s i st he c l a s s ic ' l ong -w ide s t ree t ' mo rpho logy , i n wh ich t he u rban f o rm i sl i t t le more t han a s i ng le , w ide , o f ten l ong , ' s tree t ' . I n t he many e xamp les o f t h is s yn tax a mong E ng l i sh s e t t lemen t s , i ti sf r equen t ly t he c a se t ha t t he e l onga ted s pace i sw ider i n t he m idd le t han a t t he e nds , t hus empha s is ing t he 5 syntac t ic f o rm . Mo re i n teres t ing , h owever , i st h e f a c t t ha t i n ah igh p ropo r t ion o f s u ch c a se s t he mode o f a dd ing f u r ther o b jec ts i si n s t r ip s o r p a i r s o f s t r ips a way f r om t h e ' s tree t ' , w i th a n o pen ing d i rec t ly o n to t he s t ree t . T h is i se s sen t ia l ly ar epe t i t ion o n as ma l l s c a le o f t he s ame s yn tac t ic p r inc ip le . I te xpand s t he g l oba l o pen s pace i n to a s e r ie s o f l ong ' f inger s ' r each ing d eep i n to t he a r ea s b eh ind t he o b jec ts f r on t ing o n t he ma in s t ree t . I n t h i s morpho logy r i ng s v ery r a re ly o ccur . B eda le , s hown i n f i gure 8 , wh i le i td oes p o s ses s as i ng le r i ng , i s ag ood e xamp le o f t h is morpho logy . T he p a th morpho logy a s soc ia ted w i th t he 5 syn tax i sp roduced b y t he i d ea o f a n a gg rega te c on t ro l l ing p ermeab i l i ty t o i t s e nc lo sed o pen d i sk . T h i S h as t h e c ha rac ter i s t ic f orm o f a' s tar ' . Wherea s t he 5 syntax ` g lue s t oge ther ' a n a gg r ega te o f c l o sed d i sk s b y means o f a n e nc lo sed o pen d i sk , t he 6 syn tax ' b inds t oge ther ' a n a gg rega te o f c l osed d i sks b y m eans o f ac l o sed d i sk w h ich e nc loses t he a gg rega te . Among t he c ha rac ter is t ic morpho log ie s p roduced b y t h is r u le a r e t he modern ' b lock ' a nd t he ' e s ta te ' . T he a s soc ia ted p a th morpho logy i st he ' t ree ' o f n on traver s ing p a th s ( t ha t i s ap a th s egmen t l e ad ing t o as e t o f b ranch ing s egmen ts wh ich t hemse lve s h ave b ranches , b u t wh ich a r e e v en tua l ly l im i t s ) t o wh ich i n c e r ta in r e a l i sa t ions w e a s s ign t he n ame ' c or r ido r s ' . S i nce t he se r e la t ion s a r e f a r f r om o bv ious ( 6 syn taxe s a r e much l e s s w e l l r e cogn i sed morpho log ie s t han 5 syn taxe s ) t hey n eed t o b e e xam ined w i th s ome c are . F i r s t , i ts hou ld b e r e ca l led t ha t t he 2 syn tac t ic o b jec t w a s ac l osed b ounda ry , n o t a c l osed d i sk . T he c l osed d i sk emerged f r om t he f a c t t ha t i ft here h ad b een n o th ing c on ta ined w i th in t he c l o sed b oundary , i t wou ld h ave d egenera ted t o as imp le d -ob jec t , a nd n o t r an sfo rma t ion w ou ld h ave t a ken p l ace . S im i la r ly f o r t he 4 syn tax , t he s e cond c l o sed b ounda ry c on ta ined ar i ng s i nce , h ad i tn o t d one s o a nd b een p res sed i n s tead d i rec t ly o n to t he c l osed d i sk , t he t r ansforma t ion w ou ld h ave d egenera ted i n to a c l osed d i sk a ga in . A t t he 6 syn tac t ic l e ve l , t he se c onsequence s o f p res s ing a b oundary d i rec t ly o n to a no ther n o l o nger a r ise , s i nce t he s e cond b oundary i sn ow t o e nc lo se a n a gg rega te , o ne moreover t ha t l a cks o the r i n terna l r e la t ion s t o ' g lue ' i tt oge the r .
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T he s e cond b ounda ry may t herefo re i n p r inc ip le b e p res sed d i rec t ly o n to t he b ounda r ie s o f t he c l o sed d i sk s i tc on ta ins . As imp le o b jec t i lus tra tes t h i s :
T h i s i su n l ike t he 2 syn tac t ic mu l t ice l lu la r o b jec t i n t hat i th a s a n e x tra s t ruc tu re d ef ined o n i t . T h i s e x t ra s t ruc ture p roduces t he 6 syn tac t ic p a th mo rpho logy , i n t ha t an on traver s ing p a th c on t ro l s p e rmeab i l i ty t o a n a gg rega te ( two i n t h is c a se) o f c l osed d i sk s , g i v ing t he e l emen tary b ranch ing s t ruc ture o f t he ' t ree ' p a th f o rm . L es s o bv iou s ly , b u t w e h ope n o l e s s n eces sar i ly , t he t wo c l osed d i sks s hou ld b e s e en a s b e ing b ound t oge ther b y ac omp le te o u te r b oundary wh ich , i n p a r t , i sp re ssed d i rec t ly o n to t he b oundar ies o f t he c l o sed d i sk . F o rma l ly s peak ing , t h i s c an b e j u s t if ied b y ap er fec t h omo logy o f s pace a nd p a th f o rmu lae : ( d ) D d )
{ ( )()
() 1,
a nd ( d ) Dd )
{ ( ) ()
) } •
I n tu i t ive ly i tc an b e a r gued t ha t t he l a ck o f i n terna l s pace s t ruc tur e f o rces a s epara te —and t herefo re n on traver s ing —pa th s y s tem i n to e x i s tence i n o rder t o make t he s t ruc ture p ermeab le . Ac l ea r i lu s tra t ion o f a6 syn tac t ic mo rpho logy , where a n a gg rega te o f c l o sed d i sk s ( t hey h ave i n f a c t a dd i t iona l i n te rna l s t ruc ture , b u t t h i s d oe s n o t c once rn u s i n a na ly s ing t he g l oba l morpho logy) i st i gh t ly b ound t ogether b y a c l o sed b ounda ry a nd i si n terna l ly c onnec ted b y a( s l igh t ly i mperfec t ) t r ee o f n on t raver s ing p a th s , i st he " worker s ' q ua r ter" i n E l Ama rna i n a nc ien t E gyp t , s hown i n f i gure 9 .
F i gu re 8 . B eda le ( a f te r O SC , 1 888-1893) .
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T he c harac ter i s t ic f o rms o f ' e s ta te ' b u i l t i n c rea s ing ly o ve r t he p a s t c en tury o f f e r s ome o f t he c l ea re s t e xamp le s o f 6 syn tac t ic morpho log ie s , o f ten c omb in ing t he 6 syn tac t ic v er s ion o f t he b lock , w i th t he c oncep t o f a n ' e s ta te ' , wh ich i s an ame w e g i ve t o t he c l o sed d i sk f o rmed b y t he e s ta te b ounda ry a nd t he s pace i n wh ich t he ' b locks ' a r e s o c a refu l ly ' l a id o u t ' . I ti sc l ea r t ha t n o a r rangemen t s t ha t l e ave t h e t wo l e ve l s o f 6 syn tax i n va r ian t i n s uch a morpho logy w i l l h ave a ny e f f ec t o n t he f i na l s yn tax o f t he r e su l t . Ac ha rac ter i s t ic e xamp le i sg i ven i n f i gure 1 0 . T he d ef in ing p roper ty o f t he 7 syn tax i st he o pen , e nc losed r i ng ( and i t s a s soc ia ted p a th morpho logy , t he t r ave r s ing r i ng -pa th ) , t ha t i s ar i ng wh ich i se nc lo sed n o t b y i t s o wn b oundary b u t b y a n a gg rega t ion o f c l osed d i sks w ho se b ounda r ie s a l l b e long t o t h em . T h is r equ ire s as p l i t i n t h e a gg rega te s uch t ha t o ne s ubagg rega te i si n s ide t he o the r , a nd t he r i ng i st herefo re d ef ined b y b e ing b e tween t he t wo . T he e l emen ta ry o b jec t a l ready d ef ined i n te rpre t s t h i s b y p u t t ing o ne c l osed d i sk b e tween t wo o ther s , w i th a n o pen r i ng s ur round ing t he m idd le d i sk . A mo re d eve loped a nd l i f e l ike r e a l i sa t ion wou ld b e g i ven b y
I n i t s e l emen ta ry u nfo ld ing s , t he 7 syn tax g i ve s r i se t o t he c l a s s ic , m in ima l ` r ing st ree t ' morpho logy , wh ich h a s b een ag ener ic s e t t lement f o rm i n many p a r t s o f t he wor ld .
Two s l igh t ly d i f f er ing e xamp les a r e g i ven , o ne f r om s ou thern F rance , t he
o ther f r om n or thern E ng land , f i gu re s 1 a nd 1 2 . T he mo s t i mpor tan t mo rpho log ica l r e su l t o f t he 7 syn tax i s , h owever , t he c oncep t o f a' s tree t p a t te rn ' s t rong ly s epa ra t ing f r on t a nd b ack ( un l ike t he 3 syn tax) , w h ich i s e xac t ly g i ven b y t he c on t inuous a gg regat ion o fo pen e nc losed r i ng s . I fw e t ake , f o r e xamp le , t he c a se o f t he s omewha t i d ea l i sed F rench m ed ieva l t own ( never the le s s a r e a l o ne) , s e e f i gure 1 3 , i tc an b e s e en t ha t i t s g loba l d esc r ip t ion i so f ar i ng o fo pen e nc losed r i ng s c onta in ing a n o pen d i sk . T he w ay i n w h ich t he o pen r i ng s w e re f i r s t c ons t i tu ted ( p r ior t o i nf i l l o f a ny ' ho le s ') i ss hown i n ap l an o f t he t own o f med ieva l C onway , f i gure 1 4 . T hu s i tc an b e s e en t ha t f r om t he f ounda t ion a ' s tree t ' , i fi ti sn o t t he l ong w ide 5 syn tac t ic s t ree t f o rm , i so n ly c ons t i tu ted b y b e ing p a r t o f as t ree t p a t tern , b a sed o n a t l e a s t o ne o pen e nc losed r i ng . I ft h i s a na lys i s i sc or rec t t hen i tw ou ld a ppear t ha t r e cen t a t temp t s b y d e s igne r s t o r ec rea te ' t he s t ree t ' b y m eans o f w ider ' a cce s s d ecks ' ,
0
0 0 0
F i gu r e9 . E l Ama rn a ,w o rkm en ' sv i l la g e ( a f te rP e te a nd W oo l ley , 1 923 ) .
F i gu r e 1 0 . S amu e l L ew i s T ru s t d w e l l ing s •( OSC , 1 955 ) .
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d o v i o lence t o t he s yn tac t ic n a ture o f t he s t ree t f orm . I tw ou ld a ppea r t ha t t he l a y r e jec t ion o f s uch i mp rov isa t ion s i s morpho log ica l ly c or rec t . T he re i sa no ther i mpo r tan t v a r iant o f t he 7 syn tax , who se i d en t if ica t ion s o lves a n o u t s tand ing p rob lem i n t he s t udy o f s e t t lemen t e vo lu t ion . T h is p rob lem i st o e xp la in why t he ' pueb lo i nd ian s ' s t opped b u i ld ing ' p laza ' s e t t lemen t s a nd b egan t o b u i ld s e t t lemen ts c on s i s t ing o f c ompac t l i nes o f dwe l l ing s . R eed c ommented : " In terpre ta t ion o ft he c hange s d ur ing t he l a s t f ew c en tur ie s i nt he Upper R io G rande , f r om t he f r on t d i rec ted A na saz i p l an t o t he h o l low s qua re l a you t ( ub iqu i tous , a ppa ren t ly , d u r ing P ueb lo I V ) t o p redom inance o fp ara l le l a l ignmen t s , e xcept among t h e T ewa , i sb eyond me . . why t he l i nea r p a ra l le l a l ignmen t s s uper sede t he u n if ied h o l low s qua re i n t he w e s t , Ih ave n o i d ea" ( Reed . 1 956 , p age s 1 5-16 ) .
F i gu re 1 . V i l la g e o f S a in t -T r in i t ( SD , 1 934 ) .
F i gu re 1 2 . B u r ton i nL on sda le ( a f te r O SC , 1 883-1893) .
3 68
•
T he a n swer i st ha t j us t a s t h e re i s al i near v er s ion o f t he 5 syn tax , wh ich works b y i n te rpre t ing c on ta inmen t i n t e rms o f ` b e tweennes s ' r a ther t han ` i ns idene ss ' ( t he l ong w ide s t ree t f o rm) , s o t he re i se xac t ly s uch av er s ion o f t he 7 syn tax , b u t i nvo lv ing t h ree l i ne s o f a gg rega ted c l o sed d i sks r a ther t han t wo . T h i s i se a s i ly u nder s tood i fw e r e turn t o t he ' l ea s t o b jec t ' f o r 7 , wh ich c an c l ear ly d eve lop e i ther w ay . T he f o rmu la f o r t he ' t h ree l i ne ' u nfo ld ing , s hown i n f i gure 1 5 , i s D( «{(
)
( ) )
) } )
{ ( ) )
) » D
)
wh ich c an b e r e ad : ap a i r o f c on t inuous s ubagg rega te s h ave b e tween t hem a c on t inuous s ubagg rega te , a nd t he p a i r f o rmed b y t he p a i r o f s ubagg rega tes a nd a s i ng le s ubagg rega te c on ta in s ac on t inuous s pace ( s ee f i gure 1 5) . S ince n e i ther d ef ence n or c l ima te a ppear t o h ave a ny r o le wha t soever i n t h i s t r an sforma t ion , m igh t i tn o t b e s uf f ic ien t t o a s s ign s yn tac t ic r e a sons f o r t he c hange?
F i gu re 1 3 . T h eN ew T own o fE r lang en ,f o und ed b y H ugueno t s ( a f te r G u tk ind , 1 964 , p a g e 22 ) .
F i gu r e 1 4 . M ed iev a lC onway ( a f te r HMSO , 1 9 57 ) .
ü r z i 3
• ,
L i 1 : 1 1s to rey l a 2s to reys
t 3 3s to reys k .
k iva
I .
M I R
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F i gu r e 1 5 . A coma ( a f t e r S t ubb s , 1 9 50 , f i gu r e 2 0 )
3 69
T he 7 syn tax i st he mo s t g l oba l d i s tr ibu ted s yn tax ( t ha t i se ach p r imary c e l l e qua l ly c ons t i tu te s t he p rede term ined g l oba l morpho logy ) . T he r ea son why u rban f o rm h a s n o t p rog res sed b eyond t he 7 syn tac t ic f o rm b u t r e t rea ted f r om i ti s , o f c our se , t h a t t h ere i sn o th ing b eyond i t . I ti sa l t ha t i sp os s ib le . T he 8 syn tax i st he mo s t g l oba l n ond i s t r ibu ted s yn tax , a nd i t s u nfo ld ing l o ca tes a l l p r imary c e l l s w i th in t he i nner a nd o u ter b oundar ie s o f ac l o sed r i ng , w i thou t f u r ther i n terna l r e la t ion s , a s i n t he 6 syn tax . An i d ea l ised v er s ion o f at yp ica l o b jec t m igh t h ave t he f o rm
z
1 I1 111
A l though i n teres t ing e xamp le s o f t h i s s yn tax e x i s t i ne thnog raph ic r ecords , i n c lud ing , f o r e xamp le , t he ' s ing le b u i ld ing s e t t lemen t s f o rm ' o f t he H akka t r ibe i n C h ina ( f igure 1 6 ) , a nd e ven t he m i le w ide ' g rea t k raa l ' o fS haka t he Z u lu k ing ( f igure 1 7 ) , t he mo s t s pec tacu lar r e a l i sa t ions a r e modern , o r r e cen t .. F o r e xamp le , t he c l a s s ic mode ls f or p r ison s i nt he ` p anop t icon ' e r a moved f r om 6 syntaxe s t oe l abo ra t ion s o n t he 8 syn tax . T ake , f o r e xamp le , t he d es ign o f B evan s ( 1819) , f i gu re 1 8 , wh ich c an b e d escr ibed a s : ar i ng o f c l o sed r i ng s c on ta in ing a ggrega te s o f c l o sed d i sks , c on ta in s ac l osed d i sk . I t t u rn s o u t t o b e a n e xac t i n ver s ion o ft he ' u rban ' d i s tr ibu ted f orm d escr ibed i nf i gu re 1 3 . T he p a th morpho logy a s soc ia ted w i th t he 8 syn tax i st he n on t raver s ing r i ng p a th .
F i gu re 1 6 . C i rcu la r p l an t ype s o f H akka d wel ing s ( a f ter B oyd , 1 962 , p age 1 05) .
F i gu re 1 7 . Z u lu r oya l k r aa l ( a f te r G luckman , 1 960 ) .
3 70
F igure 1 9 s ummar i ses t he e i gh t s yn taxes a nd t he i r p r inc ipa l mo rpho log ica l r e a l i sa t ions . F rom e ach s yn tac t ic g ene ra to r af am i ly o f r e la ted f o rms c an b e g enera ted b y i n troduc ing f u r ther b racke t ing i n to af o rmu la , wh i le l e av ing t he d ef in ing r e la t ion o f t h e s yn tax i n var ian t .
F o r e xamp le ( s imp l ify ing f o rmu lae f o r t he s ake o f c l ar i ty ) , a l
t h e f o l low ing a r e v a r iant s i nt he 5 syn tax :
O D O
{ ( >D (
•
« »D( )
L J
E l • « D () LJ • ' r em
t h a t i se a ch o pen s e gmen t - i sd ef ined b y t h e p a i r ; t h a t i s au n i ta ry s p ace i sd ef ined b y ap a i r o f a g g reg a te s ;
g « 1} »
A l•
F rom t hese i tc an b e s e en t h a t a n o vera l l r ebracket ing k eep s t he f o rm r e la t ive ly l o ca l ised , wh i le t he ' l ef t o n ly ' b racke t ing r equ i res mor e c l o sed d i sk s t o b e r e la ted t o t h e o pen d i sk s , a nd t h is i n c rea se s t he d eg ree o f g l oba l o rde r . T he d er iva t ion o f as t ree t p a t tern f r om t he 7 formu la f o l low s f r om ad eve lopmen t o f t he b racke t ing s t ruc ture . I fw e b eg in f r om t he f o rm ( { }D { } ) D ()( a sg i ven i nt he 7 syntac t ic o b jec t s hown o n p age 1 71) , i ti sn o t e a sy t o s e e h ow t he d oub le c on ta in ing r e la t ion ( t he o pen r i ng i sb e tween t wo s ubagg rega tes , o ne o f wh ich i si n s ide t he o ther ) i s r e ta ined i n as t ree t p a t tern b a sed o n as e t o fo pen r i ng s . T he g row th p roces si sa sf o l lows : a tl e as t t he s econd o ft he p a i r s o fa gg r ega te s b ecomes ap a ir , ( { }D ( { } > ) J () . ( I f t he f i r s t a gg rega te a l so b ecomes ap a i r , o r e ven a p a ir o f p a ir s , t he e s sen t ia l t r ansforma t ion r ema in s .)
F i gu r e 1 8 .
T he f o rm w i l l t h en , o f n eces s i ty , c on ta in a p a ir o f i n ter sec t ing o pen r i ng s
D es ign f o r ap en i ten t ia ry f o r 6 00 p r i sone r s ( a f te r B evan s , 1 819 , p r i son s 3 ,p l a te 4 ) .
3 71
N ond i st r ibuted
D i s t r ibuted
1
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) D () ) D ()
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g l oba l d i f f e ren t ia ted o pen d i sk ; ' c loud o f mosqu i toes '
u n i ta ry mu l t icelu la r o b jec t ;
F
n e t
d i rec t l im i t s
t h e ' p u re b lock '
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c oncen t r ic r i ng s
s t r ing s a nd r i ng s o f o pen b eads , t he ' un ive r sa l ' n e ighbou r s y s tem . . .41 1 3 .
l i m i t s equence
n on l im i t s equence G !
G ,
-
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K ey : A , g ene ra t ive f o rmu la ; B , s impl i f ied f o rmu la ; C , e l emen ta ry s pace o b jec t ; D , g l oba l s pace d esc r ip t ion ; E , e l emen ta ry p a th o b jec t ; F , g l oba l p a th d escr ipt ion ; G , t yp ica l g l oba l o b jec t s a nd v a r ian t s . N o te s : ( a ) I n a l l t he s yn taxe s , t he f i na l e xamp le i st h e s imp le s t r e a l i sa t ion o f t he s yn tax f o r a gg rega tes ( t ha t i sa t l e a s t t wo ) o fc l osed d i sk s . A l a r e e x tan t mo rpho log ie s , w i th k nown e xamp le s . ( b ) 1 synt ax : G , r epea t s t he 1 syn tax a t t wo l e ve l s ; t he s ma l le r , al o ca l z one , s ay adwe l l ing c l us te r o f am in ima l l i neage ; a nd t he l a rge r , t he 1 syn tax o f t he se l oca l z one s i n ag l oba l z one . 2 syntax : G2 a nd Gs r epresen t a n a l te rna t ive f o rm o fd eve lopmen t f o r a2 syn tac t ic o b jec t ; i n c rea s ing t he s i ze o f as imp le c l o sed d i sk wh i le r e ta in ing t h e s t ruc ture o f t h e 2 syn tac t ic o b jec t . T he t wo e xamp le s a r e t e chno log ica l ly p os s ib le w ays o f c a r ry ing o ut t h i s d eve lopmen t . I n G , t he c l o sed d i sk i ss t re tched ` p a i rw i se ' ; i n Gs i ti ss t re tched ' d oub le p a i rw i se ' .
F i gu r e 1 9 . M orpho log ica l a r che type s .
3 72
N ond i st r ibuted
D i s t r ibu ted
5
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D ( ({( ) ( )
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6
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3 syn tax : E , t he p a th morpho logy r e su l t s f r om t he d en se a gg rega t ion o f ' t h rough p ermeab le ' o b jec ts . T h i s i mp l ies t h a t e ven tua l ly t he re i sa nothe r w ay b ack t o t he c a r r ie r p a th , h ence t he c oncep t o f at h rough p ermeab le s equence , o r n on l im i t s equence . 4 syntax : G , g i ve s t he s imp le s t p a th r e a l i sa t ion o f t h e c oncept o f a' t o -pe rmeab le ' s e quence , o rl im i t s equence . 5 syntax : E , t h e p a th mo rpho logy i s ar e su l t o f t he a gg rega te c on trol ing p ermeab i l i ty t o t h e o pen -enc lo sed d i sk , • . 6 syntax : E , t he ' t ree ' mo rpho logy i n terpre t s t he c oncep t o f ' s equence ' f o r an ont rave rs ing p ath s y s tem . 7 syn tax : G4,t he a gg rega te r e s emb les t he 3 syn tac t ic ` non l im i t s e quence ' b ut t he re i s ad i f f e rence . I n 7 ,t he re i s o ne s pace t hat i st r ave rsed t w ice i nt r ave r s ing t he w ho le s y s tem , mak ing ac o mp le te r i ng i ndependen t o f t he c ar r ie r p a th . 8 syn tax : G ., t h i s i sd rawn w i thou t i t s a gg rega te s o f s ma l l e nc lo sed d i sk s , b ecaus e o f t he c omp lex i ty o f t h e f orm . ( c ) P a th f o rms h e re a r e r e la ted b y f o rmu la a na logy t o t he s pace f o rm s . Ap a ra l le l t heo ry o fp a th morpho logy i s i np repa ra t ion w h ich i ss omewha t r i che r .
a s t he u n i ta ry s t ruc ture o n t h e r i gh t o f t he f ormu la , C ELLED C EZZ LOD
E 1
c rm iz r E n = Two c l ea r r e a l i sa t ions o f t h i s u nfo ld ing a r e 1 7th c en tu ry H er tford a nd P e terborough ( f igure s 2 0 a nd 2 1) . I tc an b e s e en t ha t t h i s p rocedure may b e f o l lowed t o g enera te a ny n umber o f i n te r sec t ing o pen r i ng s . S ome i n tere s t ing o b serva t ion s o n t he s yn tac t ic n a ture o f s t ree t s c an b e o f f ered a t t h i s p o in t . I tc an b e s e en t ha t a l though as t ree t i so n ly as t ree t b y v i r tue o f i t s m embe r sh ip o f as t ree t p a t te rn w i th t h e m in imum f o rm o f as imp le o pen r i ng , a t t he s ame t ime e ach s t ree t i n as uf f ic ien t ly r i ch s e tup i si t se lf t h e u n ique i n te r sec t ion o f a p a i r o f o pen r i ng s . T h is m eans t ha t e ach r i ng d i f f eren t ia te s n a tura l ly i n to f our s e gmen t s w i th au n ique s e t o f l o ca l s yn tac t ic r e la t ions . T h is s e ems ar e a sonab le f o rma l a pprox ima t ion o f a n e s sen t ia l i n tu i t ive p roper ty o f as t reet : t ha t i ti su n ique ly d i f f e ren t ia ted s yn tac t ica l ly w h i le b e ing c ont inuou s ly c onnec ted t o ac on t inuous s t r i ic tu re o f o pen s pace . T hu s as t reet i sn o t s imp ly ac e r ta in k ind o f e nc losure .
I ti s
al o ca l d i f f eren t ia t ion o f ac ont inuou s s pace s t ruc tu re w i th , c harac ter is t ica l ly , f our w ay s o u t , wh ich f u l ly c onnec t e ach s t ree t i n to i t s c on s t i tu t ive o pen r i ng s . T he s ame a pp l ies t o a' marke t p l ace ' , wh ich i st he i n te r sec t ion o f ap a i r o f p a ir s o f o pen r i ng s , o r as e t o f o pen r i ng s . T he ' s quare ' i sa s n a tura l i n t he u nfo ld ing o f g7 syn tax a s t h e ' b ead ' i si n t he 3 syn tax .
F i gu re 2 0 . E a r ly 1 7 th c en tu ry P e te rbo rough ( a f te r S peed , 1 974 , p l a te XX IX , f i gu re 1 05 ) .
F i gu re 2 1 . E a r ly 1 7 th c en tury H e r tfo rd ( a f te r S peed , 1 974 , p l a te *XXX I , f i gure 10 ) .
3 74
4 S pace a nd s oc ie ty I t may b e o b jec ted t ha t i ng i v ing t h i s s yn tac t ic a nd l a rge ly a b s trac t a ccoun t o f a t heo ry o f t he f o rma t ion o f s e tt lemen t s a nd a rch i tec tura l c omp lexes , w e h ave i g nored t he c u s toma ry l i nes o f e nqu i ry wh ich s e ek t o e s tab l ish p a r t icu la r h i s tor ica l , e conom ic , o r g eog raph ica l ' c ause s ' f o r p ar t icu la r p a t terns , o r p ar t icu la r c a se s . I ti sn o t o u t o f d i s re spec t f o r t h i s c on s iderab le b ody o f w ork t ha t w e h ave , wh i le a s s iduou s ly a na lys ing t he e x i s t ing r e co rd o f r e a l e xamp le s , t emporar i ly a dop ted ar e so lu te ly a b s t rac t p o in t o f v i ew .
l ti sb ecau se o f t he w ide ly a cknow ledged f a i lure o fd escr ipt ive
a nd a na ly t ic w ork t o r evea l s i gn if ican t a s soc ia t ions a nd r e la t ionsh ip s . We t herefore t ook t he v i ew t ha t u n t i l w e k new wha t as e t t lemen t p a t te r n w a s , a nd i n wha t t he ir e s sen t ia l s im i la r i t ies a nd d i f f e rences c ons is ted , i tw a s f u t i le t o p ur sue c ausa l e xp lana t ions . We t ook t he a dv ice o f H ermann Wey l : " The e xper ience o f s c ience a ccumu la ted i nh er own h i s to ry h a s l e d t o t he r e cogn i t ion t ha t e vo lu t ion i sf a r f r om b e ing t he b a s ic p r inc ip le o f wor ld u nder s tand ing ; i ti st h e e nd r a ther t han t he b eg inn ing o f a n a na ly s is o f n a tu re . E xp lana t ion o f ap henomenon i sn o t t o b e s ough t i n i t s o r ig in b u t i n i t s i mmanen t l aw .
Know ledge o f t he l aw s a nd o f t he i nne r c ons t i tu t ion o f t h ing s mu s t b e f a r
a dvanced b efo re o ne m ay h ope t o u nder s tand o r h ypo the t ica l ly t o r e cons truc t t he ir g ene s is" ( Wey l , 1 963 , p age 2 86 ) . T h is i si n o ur v i ew c l ear ly t r ue i n t he s t udy o f t he s oc ia l p roduc t ion o f a r ch i tec tura l a nd s e t t lemen t f o rm . I ti sc l ear t ha t i n o rder t o u nder s tand a ny p ar t icu la r e xamp leo ne n eeds t o k now t wo t h ing s : ap a r t icu lar s e t o f h i s tor ica l d e term inan ts a nd c ont ingenc ies ; a nd t he ' i mmanen t l aw s ' o f t he c on s t i tu t ion o f s pa t ia l s t ruc tu re i t se lf . O ur h ope i st ha t w i th a t l e a s t at heo ry o f t he ' immanent l aws ' t he emp ir ica l s t udy o f b u i l t f o rm may b e r e inv igo ra ted a nd p erhap s t o s ome e x ten t mo re a p t ly d i rec ted . T h i s a nyway w a s t he l im i t o f o ur h ope s when e mba rk ing o n t he d eve lopmen t o f t he mode l b y t he c a refu l a na ly s i s o f t he r e cord . However , a s t he mode l b ecame b e t te r a nd b et ter d ef ined , i tb ecame c l ear t ha t i t m igh t a l so b e p o s s ib le t o a s soc ia te w i th t h e s pace s yn tax mode l as oc ia l t heo ry o f t he p roduc t ion a nd u se o f s pace p a t terns , b y u s ing s im i lar c oncep t s a nd m e thods t o d e scr ibe s oc ie ty a s w e h ad u sed t o d escr ibe s pace . A lmo s t a s s oon a s t h is w a s a t temp ted a c l ea r , i fs o mewha t c omp lex , ' i nver se l aw ' b egan t o s ugges t i t se lf a s t he r e la t ion b etween s oc ia l a nd s pa t ia l s t ruc tu re . F ur thermo re , t he t heory a s w e d eve loped i ta ppeared t o m ake s ense a nd r e la te as i gn if ican t p ropo r t ion o f t he c onc lu s ion s o f o ther r e sea rcher s , i n c lud ing a r ch i tec tura l r e sea rcher s , a nth ropo log i s ts , a nd e ven a n e conom ic a n th ropo log is t . A l though i ti si n n o s ense a t e s ted t heory y e t , h av ing b een d eve loped a nd a pp l ied o n ly r e trospec t ive ly t o t he e v idence c o l lec ted b y o ther s , w e a r e s a t isf ied t ha t t h e ma tch b e tween t he f orma l s t ruc ture o f t he t heo ry a nd t he d i s t r ibu t ion o f e v idence a s c ur ren t ly k nown i ss uf f ic ient ly s ugge s t ive a nd e xac t t o p erm i t o ur g i v ing a n a ccoun t o f i ta t t h i s p rema ture s t age . Unfor tuna te ly , i n t he t ime s o f a r a va i lab le , i th a s n o t b een p o s s ib le t o g i ve a t horough r ev iew a nd r e f erence t o t he wo rk o f o ther s o n w h ich w e d raw . T h i s s e r iou s d ef ic iency w i l l o f c our se b e c or r ec ted i n al a ter p ape r . T h i s t heory d oes n o t h ave a' c ausa l ' f orm . I td oes n o t a r gue t ha t p a r t icu lar f o rms o f s oc ie ty ' c au se ' p ar t icu la r k inds o f s pace p a t terns .
S pace i sn o t ar e su l t o f s oc ie ty
a s much a s o ne o f t he means b y wh ich t he s oc ia l i sc on s t i tu ted a nd made r e a l .
T he
t heory i s more i n t he f orm o fp at tern s im i lar i t ie s o r r e la t ionsh ip s b etween s pat ia l a nd s oc ia l s yntax — soc ia l s yn tax b e ing t he p a t terns o f e ncoun ter s a nd r e la t ionsh ip s t ha t h o ld among t he m ember s o f as oc iety . Nor i si tc o r rec t t o s e ek i n s uch p a t te r n s a nd c ompa r i son s o n ly as pa t ia l r ef l ec t ion o f s oc ia l f o rm . I n c e r ta in c a ses s pace i sa r e f lec t ion , b ut more u sua l ly i ti sa n a l lev i at ion o f , o r means t o , o r e ven as ubs t i tute
3 75
f o r s oc ia l o rgan i sa t ion .
S pace i sn ot a r ef l ec t ion o fs oc ie ty , b ut a s e t o fs t rateg ie s i n
r e lat ion t o s oc ia lf orm , a s o f ten a s n ot o f f er ing a n a l terna t ive b a s i s f or e ncounter s , o the r t han t hose d ic ta ted b y t he s oc ia l s t ruc ture . T he s t ree t s o ft he c i ty , f or e xamp le , d o n o t a lways r e f lec t t he s oc ia l s t ruc ture ; t hey c an b e t h e m eans b y wh ich t he p a t tern o f s oc ia l d i f f erence s i sf o rgo t ten , a nd t he i nhomogeneous i sa s semb led . T hey c ons t i tu te t he p rofane m ix ing o f c a tego r ie s wh ich i n t he s oc ia l s t ruc ture a r e s epa ra te a nd i n su la ted f r om e ach o the r . I n e x tend ing t he c oncep t o f ' s yn tax ' t o s oc ia l r e la t ion sh ip s a nd e ncoun ter s , i t mu s t , o f c ou r se , b e s t res sed t ha t n o s uch s yn tac t ic t heo ry y e t e x i s t s o n al e ve l o f e xac tne s s c ompa rab le t o t he s yn tax t heory o f s pace . On t he o ther h and , t he t h eore t ica l i d eas a nd d e scr ip t ive w ork o f c e r ta in a n thropo log is ts a nd s oc io log i s ts i sc e r ta in ly r e spons ive t o s uch a n i n terp re ta t ion . A t ab road l e ve l , w e s ha l l t r y t o s how t ha t b o th t he g enera l s hape o f t he s yn tax mode l a s awho le , a nd t he p a t te rns i mp l ied b y p ar t icu la r s yn taxe s , p rov ide u sefu l w ays o f t a lk ing a bou t s oc ia l r e la t ionsh ip s . B efore embark ing o n t h i s , h owever , i ti sn ece s sa ry t o c l ar ify e xac t ly w ha t t h e g enera l s hape o f t he s yn tax mode l i s . F or t he f o l low ing d i scus s ion , t he r e ade r i sr e f er red t o f i gure 1 9 . T he t wo c o lumns d i v ide t he s yn taxes i n to f i r s t , t he d i s tr ibuted , o r g l ued t oge ther , a nd s e cond , t he n ond i s t r ibuted , o r b ound t oge ther . I n d i s t r ibuted s yn taxe s wha tever s pace s t ruc ture e x i s t s t here i se qua l ly c ons t i tu ted b y e ach p r ima ry c e l l . T he se a r e g i ven o dd n umber s , a nd t he h igher t he n umber t he mo re t he s yn tax r equ ir es a g loba l s pa t ia l r u le ( dom ina t ing t he l o ca l p l ac ing s ) f o r i t s r e a l isa t ion . I n n ond i str ibuted s yn taxes t he s pace s t ruc ture i st he r e su l t o fa n i n crea s ing ly c omp lex s y s tem o fb ounda r ie s o r s paces s u r round ing c e l l s . T hese a r e g i ven e ven n umber s , a nd i n t h e mo s t l o ca l c a se t he b oundary s imp ly e nc loses a c on t inuou s s pace , wherea s i n t he h igh n umbered more g l oba l c a ses b oundary s t ruc tu res d om ina te t he p r imary c e l l s .
I n d i s tr ibu ted s yn taxe s
t he i n teg ra t ing e nt i ty i sa lway s i n s ide t he c o l lec t ion o f p r imary c e l l s , a nd i n s o me s en se c on ta ined b y t hem ; i n n ond is t r ibu ted s yn taxe s t he i n teg ra t ing e n t i ty i so ut s ide t he p r imary c e l l s , a nd i n s ome s en se c on ta ins t hem . T ran s la ted i n to s oc ia l t e rms , as oc ia l o rder b a sed o n t h e d i v i s ion o fl a bour ( s uch a s e x i s ted b efo re t he i ndus tr ia l r e vo lu t ion s epa ra ted t he s k i l led worker f r om h i s t oo l s ) , i n wh ich e ach i nd iv idua l p a r t ic ipa tes i n s oc ie ty p r imar i ly t h rough h i s f unc t iona l i n terde mdence w i th i nd iv idua l s p os ses s ing o ther s pec ia l i t ie s , i s ac oncep t wh ich i s b o th l o ca l a nd d i s tr ibuted . T he g l oba l o rder a r ises o u t o f al o ca l o rder ing , t ha t i s , a p a t tern i n wh ich ap a r t icu la r i nd iv idua l r epea ted ly d oes ap ar t icu la r j ob . B y c on tra s t , t he f o rm o f s oc ie ty t ha t u sua l ly p recedes t h is i st ha t b a sed o n a n e l abo ra te a nd r i tua l i sed k insh ip s y s tem , u sua l ly i n vo lv ing as y s tem o f e xtens ive n am ing o f s egments t ha t a r e e s sent ia l ly s im i la r ( t ha t i st hey a l l c a rry o u t t he s ame f unc t ions ) . T h i s i sa g l oba l ly o rdered d i s tr ibuted s y s tem . T he s ys tem s t i l l d epends o n b e ing c ont inuou s ly r e crea ted b y t he a c t ion o f i nd iv idua l s , b u t t hese a r e c on tro l led b y ap rev ious ly e s tab l i shed g loba l mode l . T he g loba l mode l i n n o w ay a r i se s f r om t he l o ca l a c t ion s ; r a ther t he l a t ter c onform s t o t he f ormer . T he f o rmer k ind o f s oc ie ty w e c ou ld c a l l ' u rban ' , a nd t he l a t ter ' t r iba l ' . T he se t wo f orms o f s oc iety w ere c a l led ' o rgan ica l ly s o l id ' ( d iv i s ion o f l a bour ) a nd ' mechan ica l ly s o l id ' ( k in sh ip ) b y t he s oc io log i s t Em i le D u rkhe im ( 1933) . T he l a t ter f o rm d epends o n amode l wh ich i sn o t o n ly g l oba l , b u t a l so s ymbo l ic ; wherea s t he f o rmer d epend s o n amode l wh ich i sb o th l o ca l a nd i n s trumen ta l— tha t i s , i td epends o n r e a l work a s o ppo sed t o s y mbo l ic w ork .
A lso t he f o rmer d epends o n r ea l
d i f f erence s b e tween p eop le , wherea s t he l a t ter d epends o n d i f ference s i n troduced b y n am ing . F or t h i s r ea son , k in -ba sed s oc ie t ie s a r e s ome t imes k nown a s ' s egmen ta l ' b ecause t hey a r e made u p o f l a rge n umber s o f v i r tua l ly i d ent ica l s e gmen ts . T he se t wo p o la r t ype s o f s oc ia l p a t tern a ppear t o b e i n ver se ly r e la ted t o t he ir c or re spond ing s pa t ia l mode l s o n t he l o ca l-g loba l d imen s ion , b u t d i rec t ly r e l ated o n
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t h e d i s tr ibu ted—nond i s tr ibu ted d imens ion .
A cco rd ing t o t he Amer ican a n thropo log i s t ,
E lman S erv ice , t he r i tua l i sa t ion o f k insh ip s y s tems a s ab as i s f o r s oc ia l s o l ida r i ty i n c rea ses a s t h e b as ic s e t t lement u n i t s b ecome mo re d i sper sed ( Ser v ice , 1 971) , t ha t i s , a tt h e 1 syn tac t ic l e ve l . T he l e s s s pace p hys ica l ly i n teg ra tes t he s oc ie ty , t he more i n teg ra t ion d epends o n ag l oba l s oc ia l mode l o f an onphys ica l ( t ha t i ss ymbo l ic ) k in d° . E xac t ly t he o ppo s i te i st r ue f o r t he ' d iv i s ion o f l a bou r ' f o rm o f t r ad i t iona l u rban s o c ia l s o l ida r i ty . T he t hea t re i n wh ich t h e d i v i s ion o f l a bour ( t he l o ca l to -g loba l d i s t r ibu ted s oc ia l mode l ) d eve lops i st h e p hy s ica l ly i n teg ra ted s pace o f t he u rban s t ree t p a t tern ( t ha t i s , t he g l oba l d i s tr ibu ted mode l o f s pace b ased o n t he 7 syn tax) . A t t h e s ame t ime , t he s pa t ia l mode l i sp hy s ica l , a so pposed t o s ymbo l ic , c or re spond ing t o t h e t r ans i t ion f r om k insh ip t o t he d i v i s ion o f l a bour i t se lf . F rom t h i s f o l low s t he f r equen t ly o b ser ved a s soc ia t ion b e tween t he t r an s i t ion f r om k in -ba sed t o s pace -ba sed s oc ie ty , a nd t he t r ans i t ion f r om s e gmen ta l work p a t terns t o t h e d i v is ion o f l a bour . I n e ach o f t he se p o lar c a se s , s pace p l ay s a n i n ver se r o le t o t he s oc ia l s t ruc ture . I t i sa lmo s t a s t hough , a t t he 1 syntac t ic l e ve l , s pace p rov ides a m ean s o f e s cape f r om t h e h omogeneou s s oc ia l p a t tern ( Sah l ins , 1 974 ) , *wherea s a t t he 7 syn tac t ic l e ve l , i t i n teg ra tes wha t h as b ecome s oc ia l ly d i f f eren t ia ted . I n b o th c a se s s pace a lev ia te s s o c ia l s t ruc ture r a the r t han r e f lec t ing i t , y et i sn one the le s s s y s tema t ica l ly r e la ted t o i t . T he 3 - a nd 5 syn taxes o n t he o ther h and , h ave mor e c l o se ly p ara l le l r e la t ionsh ip s b e tween s oc ia l a nd s pa t ia l s t ruc ture , t hough i n d i f f erent w ays . T he 3 syn tax , i n w h ich t he g l oba l s pa t ia l p a t tern a r i se s f r om l o ca l a nd d i s tr ibu ted a c t ions , c or responds t o as oc ia l p a t tern wh ich i tf o rma l ly r e semb les . T h is i st he f o rm o f s ma l l s c a le , d i s t r ibu ted s oc ie t ie s c harac ter i sed b y B a i ley ( 1972) a s ' mu l t ip lex ' . I n b r ief , t hese a r e s ma l l s pa t ia l ly i n teg ra ted s oc ie t ies i n wh ich e ach p er son i sl i ke ly t o k now a nd e ncoun ter e ach o ther p er son f o r s e vera l d i f feren t r ea sons . F or e xamp le , t he s ame p er son may b e e ncountered a s s omeone who s e rve s y ou i n as hop , whom y ou mee t i n ap ub l ic h ou se , who i sy our c ou s in , a nd who r epa i r s y our c a r i n h i s s pare t ime .
S uch
e ncoun ter p a t tern s a r e ' mu l t ip lex ' i n c on tra s t t o t he t ype o f e ncounter p a t te rn g ene ra ted b y modern ' e s ta tes ' , where mos t e ncoun ter s a r e s pec ia l ised a nd n o t r edup l ica ted i n o ther a r ea s o f l i f e . T he t heo ry i st ha t ' mu l t ip lex ' e ncoun ter p a t terns i n vo lve t he ' who le p e r son ' i n c on t inuous c onf ron ta t ion s a nd , a s ar e su l t , ' r eputa t ion ' b ecomes o f v i ta l i mpo r tance —and much s oc ia l l i f e i sc oncerned w i th t he n ego t ia t ion a nd r enego t ia t ion o f r epu ta t ions . A n u nfor tuna te e ncoun ter i n o ne d oma in o f l i f e w i l l r e verbera te t h rough a l o ther s a nd a f f ec t t he who le ' r epu ta t ion ' o f t he p er son . L ike k insh ip p a t terns , t he p a t te rn o f ' r epu ta t ions ' i ss t i l l as ymbo l ic r e a l i ty , b u t i t i sn o l onger d e term ined b y s ome p rees tab l i shed g l oba l mode l . I ti sc on t inuous ly c on s truc ted b y t he n ego t ia t ion o f i nd iv id l ia ls . T he g l oba l ' r epu ta t ion p a t tern ' a t a ny p a r t icu lar t ime i sc on s t i tu t ive o f t he s oc ia l f o r t ha t s oc ie ty , b u t i th a s b een a r r ived a t a nd i sa bou t t o b e c hanged b y ac o l lec t ion o f d i s t r ibu ted l o ca l a c t ion s . T h is f l u id , b u t s t rong , p a t te rn i st he s ame b o th f o r s oc ia l a nd s pa t ia l p a t terns , e xcep t t ha t t he p hy s ica l i n teg ra t ion o f s pace h a s a ccompan ied t he d escen t f r om ag loba l t o al o ca l s ymbo l ic o rder . T h i s i sf u l ly c ons i s ten t w i th t he o vera l l p a t tern o f d eve lopmen t f r om k i n sh ip t o u rban s oc ie t ie s . As e t t lemen t i n 5 syn tac t ic f o rm —bu i ld ing s g rouped a round ac entra l s pace — i s u sua l ly t aken t o b e ac a se where t he s pa t ia l f o rm ' r ef l ec t s ' t he s oc ia l f orm i n s ome s e n se . I n o ur t e rms , ac or respondence wou ld b e h e ld t o e x i s t b e tween ag l oba l a nd d i s tr ibu ted s pa t ia l f orm , a nd ag l oba l a nd d i s tr ibu ted s oc ia l f orm . R esearche s t ha t T h i si sr e f l e c t ed i nt wo d om inan t s p a ce cod e si no u rs o c i e ty . I ng e n e ra l t h em idd le c l a s sh a v e a s p a t ia l n e two rk s , a nd r e l a t ion sh ip sa r e c on s t i tu t ed b y p a t t e rn so fc e r emon ia l o c ca s ion s ,i np a r t i cu la r , i n v i t ing p eop le t od i nn e r . T he t r ad i t ion a l w o rk ing c l a s s , b y c on t r a s t , h a ve s t rong ly s p a t ia l ( l oca l ) n e two rk s w i th m uch f r ee r g e ne r a l a c ce s s t od we l l ing s , b u t at a c i t p r oh ib i t ion a tm ea l t ime , w h i ch i sa p r i v a t e o c ca s ion . ( 6)
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e x is t o n t he se s oc ie t ie s d o n o t s uppo r t s uch a c onc lus ion .
L ev i -S traus s ( 1972) , f o r
e xamp le , h in t s t ha t t h e s pa t ia l f o rm c an b e a lmo s t ad i sgu i se f o r t he r ea l s oc ia l s t ruc ture . I tr epresen t s au n i ty a nd s imp l ic i ty o f o rgan i sa t ion , wh ich i sn o t p o s se s sed b y t he s oc ia l s t ruc ture i t se lf . I n s uch c a se s i tm igh t b e a r gued t ha t t he s e t t lemen t p a t tern r epre sent s t he s oc ie ty , b u t d oes n o t r ef lec t i t s s t ruc ture . A ga in t h is i s c ons is ten t w i th t he b a s ic t heo re t ica l s h if t . S pace i n crea s ing ly p rov ides a n a l terna t ive b a s i s i n e veryday l i f e f o r as oc ia l s t ruc ture w ho se c omp lex i t ie s c anno t b e s us ta ined i n e veryday p rac t ica l l i f e . S uch s e t t lemen t s a ppear t o b e c harac ter i sed b y s t rong s pa t ia l a nd t empora l c a tegor i sa t ions o f s a cred a nd p rofane , a nd a t endency f o r t hese c a tegor i sa t ions t o p l ay a n i mpo r tant r o le i n e veryday a nd r i tua l i s t ic l i f e . T he n ond i s t r ibuted s yn taxes e xh ib i t v i r tua l ly t he o ppo s i te movement .
T he s imp les t
n ond i s tr ibu ted s pa t ia l g e s ture , t he c r ea t ion o f ac l osed c e l l b y m eans o f ab ounda ry ( t he 2 syn tax) , e s tab l i shed a d oma in o fn ond i s t r ibuted s pa t ia l c ont ro l w i th in w h ich t h e s oc ia l t ake s p recedence o ver t he s pa t ia l . I ft h is i st hough t o f a t t he l e ve l o f t he i nd iv idua l a nd h i s b oundary ( f o r e xamp le , ar oom ) t h en w e h ave s ome th ing c l o se t o ' t er r i tor ia l ' b ehav iour . W i th in t he b ounda ry , as oc ia l , l o ca l , a nd n ond i s tr ibu ted —bu t i n a l l e ven t s s t rong—soc ia l mode l p reva i ls . T h is i sa s t r ue o f t he i nd iv idua l w i th h i s g ue s t i n t he r oom , a s o f t he o pen -p lan f a c tory , t h e o pen -p lan s choo l , t he c hu rch , a nd t he f oo tba l l f i e ld . A t t h e o the r e xt reme t he 8 syn tax ; a l though ag l oba l , n ond i s tr ibu ted b ounda ry s y s tem max ima l ly c on tro l s t he p r ima ry s pace , t he s pa t ia l f o rm t o ta l ly d om ina tes t h e s oc ia l f orm a nd a c ts a s as ub s t i tu te f o r i t . Ap r i son i sn o t s imp ly a bou t s pa t ia l c on t ro l . I ti sa bou t t he e l im ina t ion o f s oc ia l s t ruc ture b y t he s e g rega t ion o f i nd iv idua ls ( th ree t o ar oom i s ad ef ec t i n r e a l i ty , n o t i n t h e t heory !) . Ap r i son s ubs t i tu te s ag l oba l ly d ef ined , l o ca l ly d om inan t , n ond i s tr ibu ted s pa t ia l o rder f o r l a tera l s oc ia l s t ruc ture . Ap r i son i s al a rge , b u t e s sen t ia l ly s imp le , s oc ia l o rgan i sa t ion . I t s o n ly s oc ia l f o rm i ss imp le h i era rchy ( of f ic ia l ly , t ha t i s—bu t t h i s i s why a l l f i lms a bou t p r i son l i f e a r e c en tred a round t he p r i soner s ' s e lf -gene ra ted , i n fo rma l s oc ia l o rgan i sa t ion ) . O therw i se i th a s b ecome h omogeneou s a nd s egmen ted w i th t he i nd iv idua l i n h i s c e l l a s t he u l t ima te s egment . T he 6 syn tac t ic u rban l a nd scape o f t oday i s am i lder f orm , b u t a l ong t he s ame l i nes : i n crea s ing ly as pa t ia l o rder i ss ubs t i tu ted f o r as oc ia l o rder , a nd t h i s s oc ia l o rder b ecomes as e t o f h omogeneous , s epara te s egmen t s c a l led n uc lea r f am i l ies , w i th v ery s t rong s anc t ion a ga ins t t he e x tens ion o f s oc ia l c omp lex i ty e ven i n t he d i rec t ion o f as l igh t ly e xtended f am i ly . E very a c t iv i ty h a s i t s own s pa t ia l b oundary , a nd , c or respond ing ly , s oc ia l e ncoun ter s a r e h igh ly s pec if ic , r a re ly mu l t ip lex . B o th s pace a nd e ncoun ter p a t tern s a r e d om ina ted b y n ond i s tr ibuted a genc ies k nown a s b ureaucrac ie s . S oc ia l l i f e , o ther t han t ha t r epresen ted i n t h e s e t o f b ounded l o ca t ions p e rm i t ted b y t he s pace p a t tern , i sd e ter red b o th b y t he s oc ia l a nd b y t he s pa t ia l p a t te rn . T he p rob lem w i th t h i s s yn tax i st ha t i td oe s r ef lec t s oc ie ty . I ndeed , i t s c oe rc ivene s s i si n n o s ma l l p a r t owed t o t he s im i lar i ty o f s oc ia l a nd s pa t ia l s yn tax , wh ich c on s tan t ly r e inforce e ach o ther t o t he p o int o f a ppear ing n a tura l . T he r ema in ing n ond i s tr ibu ted s yn tax , t he 4 syntax , i st he o ther p r ima ry f o rm o f s pa t ia l o rder i n t he modern E ng l i sh l a ndscape : t he s uburb . T h i s i s al o ca l , n on d i s tr ibu ted o rde r ing b ased o n ap r imary c e l l w i th a d oub le b oundary w i th in wh ich s ymbo l ic o b jec ts a r e p l aced ( w i sh ing w e l ls , s und ia ls , f l ower s ) wh ich e xp res s i nd iv idua l p ar t ic ipa t ion i n as ymbo l ic s oc ia l o rder . S yn taxes 3 a nd 6 , a nd 4 a nd 5 h ave a n i n teres t ing s e t o f m ir ror r e lat ion s . I f 3a nd 6r ef lec t s oc ia l o rder , 4a nd 5 a ppea r t o m i s repre sent i t . S yn tax 5 r epresen t s as imp le g l oba l mode l o f s oc ie ty , s imp ler t han t he s oc ia l s t ruc ture a nd p e rhap s mo re my th ica l t han r e a l .
C onver se ly , s yn tax 4 r epre sen t s a n a c t o f i nd iv idua l s epara t ion f r om
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s oc ie ty , wh ich i sa ga in my th ica l . T he s pa t ia l g es ture o f t he s uburb , w i th a l l i t s p owerfu l s anc t ions t o c onform t o a n e s tab l ished p a t tern , s e ts u p amy th o f i nd iv idua l f r eedom a nd d i f f erence a round a n a c t o f c onform i ty a nd c on sen su s . T hese a rguments m ay b e s umma r i sed i n t he f o l low ing g enera l p ropos i t ions : ( a ) a tt he l owe s t s yn tac t ic l e ve l , d i s tr ibu ted s pace i s a means o fe s cape f r om t he s oc ia l ; ( b ) a nd a t t h i s l e ve l , n ond i s t r ibu ted s pace c ons t i tutes a m in ima l d oma in w i th in w h ich t h e s oc ia l p reva i l s o ve r t h e s pat ia l ; ( c ) i ng enera l , b o th f o r d i s t r ibuted a nd f o r n ond i s tr ibu ted s yn taxes , s pace i nc rea s ing ly b ecome s a n a l terna t ive b a s i sf or t he s oc ia l , b ut ( d ) i fd i s tr ibu ted , t he h i ghe r -number s yn taxe s p u t t oge ther i n s pace w ha t i ss oc ia l ly d i f f eren t ia ted ; ( e ) a nd i fn ond i s tr ibu ted , t h ey s epa ra te wha t i ss oc ia l ly t he s ame , s ub s t i tu t ing as pa t ia l r e g ime f o r as oc ia l ; a nd i ng enera l ( 0 d i s tr ibu ted f o rms c on s t i tu te a n a l terna t ive s oc ia lnes s i ns p i te o fs oc ia l i nhomogene i ty ( f or e xamp le , t he r e la t ion b e tween t he i n teg ra t ion o f u rban s pace a nd t he d i v i s ion o f l a bour ) ; ( g ) a nd n ond i s tr ibu ted f o rms s ubs t i tu te s pa t ia l c on tro l f o r s oc ia l c omp lex i ty a nd i nhomogene i ty ; a t t he b roades t l e ve l ( h ) l ow -numbered d i s tr ibu ted s yn taxes a r e a s soc ia ted w i th s oc ia l i t ies w h ich a r e s ma l l a nd h omogeneou s ;
l ow -numbered n ond is t r ibu ted s yn taxes w i th s oc ia l o rgan iza t ion
t h a t i ss ma l l a nd i n terna l ly c omp lex ; h igh -numbered d i s tr ibu ted s yn taxes w i th s oc ie t ie s t ha t a r e l a rge a nd c omp lex ( t ha t i si nhomogenous ) ; a nd h igh -numbered n ond is tr ibu ted s yntaxes w i th s oc ia l f orms t ha t a r e l a rge a nd s imp le , t ha t i s , b o th s e gmen ta l a nd h i era rch ica l , b u t l a ck ing c omp lex r e la t ions a mong member s . 5 T he a na lys i s o f r ea l d oma ins T hese b road r e la t ionsh ip s s e rve a s au sefu l b ackc lo th t o t he a na lys is o fr ea l s oc io spa t ia l p a t terns , b u t t hey a r e o n ly as t epp ing s tone t o t he me thodo logy w e n eed t o d ea l w i th s pa t ia l p roce s se s a nd t r ansf orma t ions . P erhaps p a radox ica l ly i ti sa t t h i s p o in t t ha t t he p rob lem o f d escr ipt ion mus t b e r ev ived i n r e la t ion t o p roces ses o f r e a l d oma in c ons truc t ion s . Ar e a l d oma in i s aD r e la t ion , o r as e t o f s uch r e la t ions , t o ac a r r ier s pace . A s Ubdoma in i s ad oma in who se c a r r ier s pace i si t se lf a d oma in . Ar e a l d oma in m ay b e , o r b ecome , as t ronger o r w eaker r e a l isa t ion o f ac er ta in s yn tac t ic t ype . F or e xamp le , i ft he s ubdoma in s c on s t ruc t ing a s t reet p a t tern a r e p rog res s ive ly r ep laced b y b locks o f s ubdoma ins c ont ro l led b y as i ng le e n trance , t hen t he d oma in r e lat ions o f t he s t ree t ( o r 7 syn tax ) a r e p rog res s ive ly r emoved , a nd t he d oma in b ecome s more a nd mor e w eak ly a 7 -doma in . T h i s c or responds t o a n i n tu i t ive e f f ec t t ha t i su sua l ly e xp la ined i n t e rm s o f ' s ca le ' b u t wh ich , a s w i th many o ther ' s ca le ' e f f ec t s , i sq u ite n a tura l ly e xp la ined a s as yntac t ic e f f ec t . A ny d oma in a t a ny s c a le ( f rom as imp le h ouse t o as e t t lemen t p a t tern) i s c on s truc ted b y ap roces s w h ich a r t icu la tes t wo k inds o f s yn tac t ic s t ruc ture : t he t r ansf ormat ion s t ruc ture , w h ich g i ve s t he n a ture o f u n i ts ; a nd t he c omb inat iona l s t ruc tu re , wh ich r e la tes e ach u n i t t o o ther u n i ts . Ad oma in may h ave k s uch i n terf ace s , t ha t i s k+1 l e ve l s o f s yn tac t ic o rgan isa t ion .
T hese i n terfaces , r a ther t han
t h e l e ve ls t aken ' i ndependen t ly ' , a ppea r t o b e t he k ey t o t he t r ansforma t iona l a na ly s is o f r e a l d oma in s t ha t a r e n o t c ha rac ter i sed b y as imp le s yntac t ic p rocess . I n mo s t c a ses o ne i n te rface i n ap roce s s w i l l b e more i mpor tan t t han o ther s , a nd w i l l b e c a l led t h e d om inant i n terf ace . T o b eg in w i th w e may u se t he n o t ions o f d e scr ip t ion a nd d escr ip t ion r e tr ieva l t o d i s t ingu i sh n atur a l a nd u nna tura l d oma in -proce sse s .
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An u nna tura l p roces s i so ne i n
w h ich ad escr ip t ion r e tr ieva l h a s i n tervened t o i n t roduce more g l oba l o rde r i n to t he p roces s . F o r e xamp le , a3 syntac t ic a gg rega te w i l l s ooner o r l a te r g enera te a n a symme tr ica l o pen r i ng , whose d e scr ip t ion may b e r e t r ieved a nd i n troduced a s a g l oba l o rder f o r t he n ext s t age o f g row th . E xac t ly s uch ap roce s s wou ld c ons t i tu te a m in ima l t own i n wh ich t he ' ma rke t p l ace ' w as c ons t i tu ted b y t he i n ter sec t ion o f t h e p a ir o f o pen r i ng s . An a tu ra l p roces s i so ne i n wh ich d escr ip t ion r e tr ieva l d oes n o t i n ter vene t o i n crease t he l e ve l o f o rder , a l though t h ere e x is t n a tura l p roces se s wh ich a l so p roduce mo re s yn tac t ic o rder a s t he a gg rega te g row s l a rge ( 7 ) . I n g ene ra l a s ad oma in g row s i tp o ses p rob lems o f d escr ip t ion r e tr ieva l , wh ich a r e e s sen t ia l ly p rob lems o f c on tro l , a nd wh ich n orma l ly r equ ire more g loba l t h ink ing ( t ha t i s , c on sc iou s d es ign ) f o r t he i r s o lu t ion . I n f a c t , c on trary t o c ur ren t r o man t ic t h eo r ie s o f t he v e rnacu la r , c onsc ious d es ign i n ter venes i n a lmo s t a l a gg rega te s a bove a c e r ta in s ma l l s i ze . I n p a r t icu lar , t wo k ind s o f d e scr ipt ion r e tr ieva l p rob lems a r e c r i t ica l : t ho se c oncern ing t he r e la t ions b e tween s oc ia l a nd s pa t ia l o rgan i sa t ion ; a nd t ho se c oncern ing t he r e la t ions a cros s t he d om inant i n terf ace , t ha t i s , b e tween t r ansf orma t ion a nd c omb inat ion s t ruc tures o f s ubdoma in a nd d oma in . An a ppa ren t g enera l p rope r ty o f d oma in p roce s se s c oncerns a l o f t he se : t he l a rger ac ompac t s pa t ia l a gg rega te b ecome s , t he s t ronger mus t b e t he s oc ia l s t ruc ture w h ich r e late s i tt o c omparab le a gg rega te s a c ros s t he c ar r ie r s pace . T he c onver se o f t h i s i sa g enera l p ropo s i t ion , a rgued b y S ah l ins ( 1974 ) , t ha t s pa t ia l f i s s ion o ccur s i n t he ' s ta te o f n a tu re ' t o a vo id t he c on s t ruc t ion o f a n o ver s t rong s oc ia l s t ruc tu re . T o i lu s tra te t he p ropos i t ion i t se lf , w e may r e f er t or e cen t w ork b y B radf ie ld ( 1973) . Among t he T a l len s i , t he c ompac t a gg rega tes a r e s ma l l , f am i l ia l c ompounds wh ich n ever g row a bove ac e r ta in s i ze . I n s uch ac a se , ar e la t ive ly w eak s oc ia l s t ruc tu re i sa dequa te a t t he c omb ina t ion l e ve l , c ons i s t ing more o f s ymbo l ic a nd r i tua l is t ic a r rangemen t s t han e xp l ic i t s anc t ion s . T he v i l lage s o f t he Mende , o n t he o ther h and , whe re t he c ompac t a gg rega te i s much l a rger , h ave much s t ronger s e cret s oc ie t ies ( wh ich B radf ie ld s u spec t s may h ave t o d o w i th t he e mergence o f s oc ia l c l a s se s ) w h ich o pera te l a rge ly a t t he l e ve l o f r e la t ions b e tween v i l lage s . When c ons ider ing t owns , t h is d eve lopmen t r eache s an ew l e ve l . T he e x igenc ies o f r e la t ionsh ip s b e tween s e t t lemen ts a r e s uch a s t o t r ansform t he w i th in set t lement s oc ia l s t ruc ture i n to t he embryon ic f o rm o f ac l as s s t ruc ture . I t may b e s pecu la ted , o n t he b a s is o f t h is p ropo s i t ion , t ha t t r iba l a nd u rban s oc ie t ie s a r e n ot , a f ter a l l , s t age s o n t he s ame e vo lu t iona ry p a thway , b u t d i ve rgen t s oc iospa t ia l p roces ses wh ich o ccur f r om t he b eg inn ing o f a g r icu l ture . T r iba l f o rms a r e e s sent ia l ly b a sed o n d i s t r ibuted , n oncompac t , n oncon t iguous s yn taxes ( 8 ) ,w i th s pace i n al a rge ly s ymbo l ic r o le , a nd s oc ia l s t ruc tu res c ons truc ted o n as ymbo l ic b a s i s w i thou t s t rong s anc t ions . T he n ond i s tr ibu ted v er s ion wou ld b e t r iba l c onques t s ys tems , i n w h ich a n i n s trumen ta l o rder o f man to -man r e lat ions p redom ina te o ver a n e xpr es s ive o rder , a nd n ond is tr ibu ted s e t t lemen t s c on tro l al a rge l a ndscape ( s ee , f or e xamp le , t h e Z u lu k raa l i n f i gure 1 7) . U rban s oc ie t ie s a r e e s sen t ia l ly b a sed o n t he p r imacy o f m ant o -na ture r e la t ion s , t he d i v i s ion o f l a bour , t he c ompac t ing o f s pace , a nd c onsequen t i n crea se i n t he s t reng th o f as anc t ion s -ba sed s oc ia l o rder ( Pa rk , 1 974 ) . T he e a r l ie s t d i s tr ibu ted v er s ions o f t h is a r e i n a nc ien t Mesopo tam ia a nd t he n ond is t r ibu ted v er s ion s a r e i n p re -Co lumb ian Ame r ica , f o r e xamp le , t he A z tecs ( 9 ) .
( 7)
T he s e p r o ce s s e s a r e t h e s u b jec t o f af o r th com ing p r og r amm e o fc ompu t e r e xp e r imen t s .
C u r r en t t h eo ry s u g g e s t s t h a t t h e r e m ay e x i s t am i r ro r s e t o fn eg a t i ve s y n t axe s w h i ch a r e , i n e s s en ce , s y n tax t h eo ry i n t e rp r e ted f o r p o in t a r rang em en t s , a n d w h i ch m ay b e c a l led ' n eg a t iv e ' b y a n a logy w i th n eg a t iv e n umb e r s , w i th t h e f i r s t s y n tax a st h e ' z e ro ' o fp o s i t i ve a nd n ega t iv e s y n tax . ( 9 ) A n a sy e t u npub l i sh ed s t udy o ft h i s t h eme h a s b e en u nd e r t aken b y R o s s D ona ld son a tS c hoo l o f E n v i ronmen ta l S t ud ie s , U n iv e r s i ty C o l leg e L ondon . ( 8 )
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A ga in s t t h is b ackg round , i tw ou ld p e rhaps b e u sefu l t o r e cons ider f euda l ism a s a s oc io spa t ia l f o rm , w i th p ar t icu la r a t ten t ion t o t h e d om inan t i n terf ace . T he se a r e p re l im ina ry c ons idera t ion s , h owever . T he o n ly j u s t if ica t ion f o r i n c lud ing t h em i n t he p aper i st o s how t he p o ten t ia l u sefu lne s s o f b o th a f orma l a pproach a nd as oc io spa t ia l f r amewo rk t o t he a na lys i s o f s oc ia l a s w e l l a s s pa t ia l f o rms . A cknow ledgemen t . T h i s i s ar e v i sed v e r s ion o f ap ape r s ubm i t ted t o t h e S c ience R e sea rch C ounci l r e po r t ing t h e i n i t ia l s t age o f ar e s ea rch p rog ramme s uppo r ted i nf u l l b y S RC R es ea rch G ran t GR /A /1769 . R e f e rence s A rb ib M A , 1 969 " Se lf rep roduc ing a u toma ta : s ome i mp l ica t ion s f o r t h eo re t ica l b io logy" i n T owa rd s aT heore t i ca lB io logy , V o lume 2 E d . CW add ing ton ( Ed inbu rgh U n ive r s i ty P r e s s , E d inburgh ) B a i ley F G , 1 972 G if t s a nd P o i son ( B lackwe l l , O xfo rd ) B e rn s te in B , 1 973 C la s s , C ode s a nd C ont ro l ( P a lad in , S t . A lban s , H er t s ) B evan sJ , 1 819 " De s ign f o r ap en i ten t ia ry o r g ao l f o r 6 00 p r i sone r s" i nR epor t sf rom S e l ec t C omm i t tee s o n P r i son s a nd G ao l s 1 819-1836 p a r l iamen ta ry p ape r s , U n ive r s i ty o f L ondon L ib ra ry , S ena te H ou se , L ondon B oyd A , 1 962 C h ine se A rch i tec ture 1 500 BC-1911 AD ( A lec T i ran t i , L ondon ) p1 05 B radf i e ld R M , 1 973 A N a tur a lH i s to ry o fA s soc ia t ions , V o lume 1 ( Duckwo r th , L ondon ) p a r t 1 , c hap ter s 1 -5 D u rkhe im E , 1 933 T he D i v i s ion o fL abour i nS oc i e ty ( Co l l ie r-Macm i l lan , L ondon) F o r te s M , 1 945 T he Dynam i c s o fC l ansh ip a mong t h e T a l len s i ( Oxfo rd U n ive r s i ty P re s s , L ondon ) p1 55 G luckman M , 1 960 " The r i se o f aZ u lu e mp i r e" i nB io logy a nd C u l ture i n Mode rn P e r spec t i ve , ' S c i en t if i c Ame r ican R ead ing s p2 93 G u tk ind E A , 1 964 U rban D eve lopment i nC en t ra lE urope , V o lume 1 ( Co l l ie r-Macm i l lan , L ondon ) p2 22 H ack ing I ,1 965 L og ic o fS t a t i s t i ca lI nf e rence ( Camb r idge U n ive r s i ty P re s s , C amb r idge ) HMSO , 1 957 C onwy C a s t le a nd T own W a l l s ( HMSO , L ondon ) p4 3 L ev i -S t rau s s C , 1 972 " Do d ua l o r gan iza t ion s e x i s t?" i nS t ruc tur a l Anthropo logy ( Pengu in , H a rmond swo r th , M iddx ) M e l la r tJ , 1 967 C a ta l Hüyük : AN eo l i th i c T own i n Ana to l i a ( Thame s a nd H ud son , L ondon ) M ich ie D , 1 974 O n Mach ine I n te l l igence ( Ed inbu rgh U n ive r s i ty P r e s s , E d inbu rgh ) O SC , 1 888-1893 , f i r s t e d i t ion , O rdnance S ur vey C o l lec t ion , B r i t i sh Mu seum , L ondon O SC , 1 955 , TQ3184 , 2 5 i n ch s c a le m ap o f G rea te r L ondon , G eog raphy L ib rary , S ena te H ous e , U n ive r s i ty o f L ondon , L ondon P a rk G , 1 974 T he I dea o fS oc i a lS t ruc ture ( Ancho r B ook s , N ew Y o rk ) P e te T E , Woo l ley C L , 1 923 " The c i ty o f A khena ton p a r t 1 " E gypt E xp lora t ion S oc ie ty Memo i r s 3 8 ( London E gyp t E xp lo ra t ion S oc ie ty , L ondon ) P ru s s in L , 1 969 A rch i tec ture i nN or the rn G hana ( Un iv e r s i ty o f C a l ifo rn ia P re s s , B e rke ley ) p p 5 6 , 5 9 R eed E K , 1 956 " Type s o f v i l lage -p lan l a you t s i nt h e S ou thwes t" i nP reh i s tor ic S e t t lemen t P a t te rn s i nt he New W or ld E d . G RW i l ley , V ik ing f und p ub l ica t ions i na n th ropo logy 2 3 , W enn e r -G ren F ounda t ion , N ew Y o rk , p p 1 5-16 R obe r t s FH H , n o d a te " The r u in s a tI C ia tu th lanna , e a s te rn A r izona" B u reau o f Amer ican E thno logy B u l le t in 1 00 , S m i th son ian I n s t i tu t ion , W a sh ing ton , DC S ah l in s M , 1 974 S tone Age E conom i c s ( Tav i s tock , L ondon ) S D , 1 934 S ede ron n umbe r s 5 -6 , S a in t T r in i t , S ec t ion E , 2 e F eu i l le ( S er v ice d e l aD ocumen ta t ion N a t iona le d u C ada s t re , F rance ) S e rv ice E R , 1 971 P r im i t i ve S oc i a l O rgan i za t ion ( Random H ous e , N ew Y o rk ) S peed J , 1 974 , i l us t ra ted i nL 'U rban i sme a u Moyen A ge E d s PL avedan , JH ugueney , B ib l io th8que d e l aS oc i6 t6 F rança i s e d 'A rch do log i e , G eneva S tubb s SA , 1 950 B i rd ' s -Eye V i ew o ft h e P ueb los ( Un ive r s i ty o f O k lahoma P re s s , N orman ) T hom R , 1 975 S t ruc tura lS tab i l i ty a nd Morphog ene s i s ( Ben jam in , N ew Y o rk ) p3 19 V og t EZ , 1 968 " Some a s pec t s o f Z inacan tan s e t t lemen t p a t te rn s a nd c e remon ia l o rgan iza t ion" i n S e t t lement A rchaeo logy E d . K CC hang ( Na t iona l P r es s B ook s , C a l ifo rn ia ) W ey l H , 1 963 P h i lo sophy o f Ma thema t i c s a nd N a tura lS c i ence ( A theneum , N ew Y o rk ) p1 47 Wh i tehead A N , 1 961 "Ma th ema t ics a nd t h e g ood" i nI nterp re t a t ions o fS c ience E d . AHJ ohn son ( Bobbs -Me r r i l l , I nd ianapo l i s )
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D ISC U SS ION
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DOES SPACE SYNTAX REALLY " C ONSTITUTE THE SOCIAL"? b y Edmund L each
Early i n t he 1 8th Cen tury G ia mbat t ista V ico s uggested t hat s ince h u man b e ings e xper ience emot ion b efore t hey d eve lop r eason , p oetry must h ave b een p r ior t o r at iona l s peech , a nd w r it ing — in t he f or m o f Egypt ian h ierog lyph ics w h ich h e imag ined t o b e as ort o f p atterned e xpress ion o f emo t ion — p r ior t o e ither. Desp ite my g reat a dm ira t ion o f V ico Iwou ld n o t w an t t o f o l low h im a l l t he w ay o n t ha t p art icu lar p o in t b u t i ti s c erta in ly t he c ase t hat a l l b u i lt f or ms , h owever r ud i men tary , a re e xpress ions o f h u man i deas a nd f ee l ings a nd t hus , i n as ense, a k ind o f w r it ing , wh ich n eed n ot n ecessar i ly embody t he g ra m mat i ca l s tructures o f r at iona l s peech.
Ro land F letcher ( t h is v o lu me, p . 2 36 )
c la i ms t hat a n e arl ier e xerc ise o f mine ( Leach , 1 977 ) wh ich b ears o n t hese mat ters i s ' w ithout c on ten t ' b ecause I ' presu me t he p r ior ity o f t he v erba l '. But F letcher misunderstands my p o in t . We u se v erba l l anguage n o t o n ly , o r e ven p r i mar ily , a s a n i nstru men t o f c o m mun icat ion b u t a s a n i nstrumen t o f c onsc ious t hough t.
If u l ly a pprec iate
t ha t v ar ious k inds o f p eop le , i nclud ing a rch itects , mus ic ians a nd t he d es igners o f e lectron ic c ircu its , p erfor m much o f t he ir c onsc ious t h ink ing o perat iona l ly w ithou t t he u se o f words , a nd Id on 't w an t t o a rgue t hat d eaf mu tes a re u nconsc ious.
Nevertheless Iwou ld h o ld t hat , i n a v ery f unda men ta l w ay , a l l h u man
c onsc ious t hough t i s v erba l i n k ind i n t hat i te n ta i ls a d ecoupage o f t he v is ible e nv ironmen t i n to n a meab le o b jects a nd i nvo lves t he s upp le men tary i nven t ion o f n a meab le metaphys ica l c oncep ts w h ich h ave n o p erceptua l c oun terpart . Many c on te mporary l ingu ist ic p h ilosophers a nd s e man t ic ists w r ite a s i fa l l mean ing w ere n ecessar ily e nshr ined i n s yn the t ic a nd a na ly t ic v erba l p ropos it i ons.
Th is v iew Ir e ject b u t n evertheless a ny c r iter ion wh ich Imysel f migh t
d ev ise f or d ist ingu ish ing a f el low h u man b e ing f ro m a ' mere a n i ma l ' wou ld c erta in ly e n ta i l t he a ssumpt ion t hat t h is f el low c reature w as p o tent ia l ly c apable o f t h ink ing l ike myself i n w ords.
I n t hat s ense Id o ' g ive p r ior ity t o t he
v erba l ' whenever Iam d iscuss ing h u man b e ings a nd t he ir a rt ifacts.
Th is
n eed n o t imp ly t hat Iu nderest i ma te t he s ign if icance o f f or ms o f h u man a ct ion w h ich a re g enera ted b y u nconsc ious n on-verba l mot ivat ions. I ta ppears t o b e ap art o f F letcher 's s omewhat u nspec if ic a rgu men t , w h ich h e s hares w ith t he more e as i ly c o mprehens ib le f or mu lat ion o f H il l ier e t a l .
( t h is v o lu me ) , t ha t t he s pa tia l ' l anguage ' o f s e t t le men t p a t terns a nd
b u i l t f or ms a re n on-verba l a nd t ha t t hey t here fore b e long t o t he d o ma in o f t he u nconscious ( see e .g . F le tcher t h is v o lume , p . 2 36 a nd H a l l , 1 966 ) . F le tcher ( 1966 ) a dm i ts t ha t t here may b e " c lose h o mo log ies b etween v erba l a nd s pat ia l l anguages..." b ut c la i ms t hat " the v erba l d oes n o t e xp la in t he s pat ia l".
One w onders t herefore j ust w hat F letcher t h inks h e i s u p t o.
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S ince a rchaeo log ists a nd g eographers a nd a n thropo log ists a re a l l more o r l ess r at iona l h uman b e ings t hey h ave n o o pt ion b u t t o c ommun ica te w ith o ne a no ther b y means o f w ords a nd s tructured d iagra ms. And i tf o l lows t hat whatever c anno t b e e xp la ined b y means o f w ords c anno t b e e xp la ined a t a l l. Th is i s o f c ourse t he c en tra l i ssue o f modern l i ngu ist ic p h i losophy o f t he W it tgenste in ian s ort—how s ha l l w e l earn t o s ay t h ings a bou t t he u nsayab le ?—Bu t s ure ly , f or t he p urposes o f s uch a s ympos iu m a s t h is , w e h ave t o a ssu me t hat t here a re a spects o f b u i lt f or ms wh ich a re e xp la inab le i n w ords ? O therw ise a l l o ur c on tr ibut ions, i nc lud ing F letcher ' s own , a re a c omp lete w aste o f t ime. Th is i s r ea l ly t he t he me o f my p resen t p aper.
L ater , Iu se a p assage
f rom t he c on tr ibu t ion b y H il l ier e t a l. t o e xa m ine f urther t h is q uest ion o f h ow f ar w e n eed t o d ist ingu ish b etween t he a rt ifact p roducts o f c onsc ious a nd u nc onsc ious h uman a ct ion a nd w ha t i ti s t hat p apers s uch a s t hose i n t h is s ec t ion a re s eek ing t o e xp la in . Id on 't k now h ow f ar t he a verage r eader o f t h is v o lu me w i l l t h ink t ha t H il l ier e t a l .'s " space s yn tax" makes i m med iate s ense. Those who a re mathemat ical ly u nsoph ist ica ted a nd v aguely s uspect t hat t hey a re b e ing t aken f or a r ide s hou ld r eta in t he ir s usp ic ions.
The u n iverse o f t h ings t hat H i l l ier
e t a l. e xp lore i s n ot a s s i mp le a s t hese a u thors t ry t o s uggest. A d rast ic a pp l ica t ion o f t he p rocedures a dop ted b y L akatos ( 1966 )in h is a na lys is o f t he Descartes-Eu ler c on jecture c oncern ing t he r e lat ionsh ip b etween t he s ides , v ert ices a nd e dges o fp o lyhedra wou ld p lay h avoc w ith t he ir t i dy s et o f 8s ynt axes. But i n p o in t o f f act t he ma the mat ics i s l argely i rre levan t. The t ypo logy o f morpho log ica l a rchetypes w h ich H il l ier e t a l. p resen t i n t he ir F ig. 1 9 w ou ld s t il l b e i nterest ing e ven i fi tw ere n o t , p roper ly s peak ing , a g enerat ive s er ies a nd e ven i fi tw ere n o t e xhaust ive. Imust a dm it t hat , f ro m my own p o in t o f v iew a s as oc ia l a n thropo log ist , If ind a n umber o f o ther a spects o f t he H i l l ier p aper e x treme ly i rr itat ing. Why s hou ld Ib e r eferred t o Durkhe im ( 1933 ) w hen t he French o r ig ina l d ates f rom 1 893? Why s hou ld Ih ave t o p ut u p w ith t he t ransforma t ion o f Dur ld ie im 's d ist inct ion b etween " organ ic" a nd "mechan ica l" s o l idar ity—wh ich h as b een p art o ft he s tandard l anguage o f s oc io logy f or t he p ast e igh ty y ears — in to " , d istr ibu ted o r g lued t ogether" v ersus " nond istr ibuted o r b ound t ogether"? Even s o If ee l s ome s ympathy f or t he H i l l ier e t a l. o b jec t ives. I np r inc ip le ( and a lso i np ract ice ) h istor ica l c hanges a re o pen t o v ar ious k inds o f " exp lanat ion". e .g.: ( 1 )
We c an r ecord a s equence o f e ven ts a s t hey a ctua l ly h appened a nd a sk n o q uest ions.
( 2)
We c an r ecord a s equence o f e ven ts a s k nown t o u s a nd p ostu late a c omp le mentary s equence o f e ven ts w h ich w il l f i l l i n t he g aps. Most a rchaeo log ists a nd h istor ians a re e ngaged i n t h is k ind o f i nsp ired g uessw ork most o f t he t ime.
( 3)
We c an r ecord a s equence o f e ven ts, e i ther c omp lete o r i ncomp lete, a nd s tart s pecu lat ing a bou t ' causes '. Most o f t he c on tr ibu tors t o t he s econd s ect ion o f t h is v o lu me ( Eco log ica l p erspect ives o n s oc ia l b ehav iour ) a re i n t h is c lass ;
t hey t end t o p ostu late t ha t c hanges a re
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' caused b y ' c hanges i np opu lat ion p ressure.
Ia gree w i th t hose w ho
h o ld t hat s uch a rgumen ts a re s pec ious b u t m islead ing. I ti s t rue t ha t c erta in f or ms o f s et t lemen tp at tern w i l l s upport h igher d ens it ies o fp opu lat ion t han o thers a nd t ha t i fp opu lat ion d ens ity c hanges i t s omet imes n ecessar ily f o l lows t ha t t here must b e ac hange o f s e tt le men t p at tern .
Bu t p opu lat ion d ens it ies d o n o th ave t o c hange a nd f or a ny p ar t icu lar
l eve l o fp opu lat ion d ens ity t here a re many d i f feren t a lternat ive t ypes o f s et t lemen t p at tern . Bu t H il l ier e t a l .'s p aper ofers a d i f feren t k ind o f e xp lanat ion t o a ny o f t he a bove. A l though o pen t o a l l k inds o f c r it ic is m t h is p aper d oes s erve t o b r ing o ut , i n a n i n terest ing w ay , t he f ac t t ha t ag enera l ' t ra it ' w h ich may b e h igh ly c haracter is t ic o f ap art icu lar c u l tura l c omp lex— in t h is c ase t he p a t tern o f s et t lemen t o n af a ir ly l arge s ca le— may b e g enera ted u nconsc ious ly a s t he r esu l t o f t he r epe t it ive sma l l s ca le a pp l icat ion o f c u ltura l c onven t ions w h ich o pera te a t ac onsc ious l eve l o f h uman a ct iv ity . O f c ourse t h is i s n o t an ew d iscovery , i th as l ong b een r ea l ised t ha t t he g lor ious t own p lann ing t hat i s man ifest i nt he a rch itectura l v is tas o f F lorence a nd Ven ice was n o tp lanned a t a l l , i tj ust g rew l ike Topsy . Bu t H i l l ier e t a l .'s s ugges t ion t hat t he t ypes o f g row th a re , a t ac erta in l eve l o f s i mp l if icat ion , c apab le o f as yste ma t ic a nd s ymmetr ica l c lass i f ica t ion i n t er ms o f ak ind o f s yn tact ica l d eep s t ructure o f l im ited v ar ia t ion i s p rovocat ive a nd i n terest ing. S uch a n a na lys is r ea l ly d oes e xp la in s ometh ing i n aw ay t hat a rgumen ts a bou t e co log ica l o r d emograph ic d e ter m inan ts d o n o t . However t here a re ma jor w eaknesses i n t he H i l l ier e t a l. p resen tat ion . One o f t hese h as b een h in ted a t a lready . When t hese a u thors t urn f rom t opo logy t o s oc io logy , a s t hey d o i n s ect ion 4 o f t he ir p aper , t hey r evea l al eve l o f n a ivety t ha t i s u naccep tab le. I ti s t rue t ha t t hey c i te i np ass ing , i n s eemi ng j ust if icat ion f or w ha t t hey s ay , an umber o fd is t ingu ished s oc io log is ts a nd a n thropo log ists , b u t i tw ou ld a ppear t ha t i n a l most e very c ase t hey h ave m isu nderstood wha t w as b e ing s a id. For e xamp le , a tp . 3 77 t hey b land ly c la im t ha t " the 3 -syn tax , i n w h ich t he g loba l p a t tern a r ises f ro m l oca l a nd d is tr ibu ted a c t ions , c orresponds t o a s oc ia l p a t tern w h ich i tf orma l ly r ese mb les. Th is i s t he f or m o f sma l l s ca le d is tr ibu ted s oc iet ies c harac ter ised b y Ba i ley ( 1971) a s ' mu l tip lex '.
I nb r ief ,
t hese a re sma l l s pat ia l ly i n tegra ted s oc iet ies i n w h ich e ach p erson i s l ike ly t o k now a nd e ncoun ter e ach o ther p erson f or s evera l d iferen t r easons...". What a re t he f acts? The c oncep t o f ' mu l t ip lex r e lat ionsh ip ' was i n troduced b y G luckman ( 1955 ) i n 1 955 w ith r eference t o t he L oz i , at ranshuman t p eop le o f C en tra l A fr ica. I th as s ubsequen t ly b een u sed i n av ar iety o f c on texts t o d enote t he c haracter ist ics o f af ace-to-face s oc iety , w here t he s ame i nd iv idua ls i n teract i n many d i fferen t r o les.
T h is i s t he n or ma l p a t tern i n most s oc iet ies
w h ich h ave b een s tud ied i nt he p ast b y s oc ia l a n thropo log ists a nd t here i s a bso lu te ly n o c orre lat ion b e tween ' mu l t ip lex r e lat ionsh ip ' a nd a ny o f t he H i l l ier e t a l . s yn tax f orms , n or i s t here a ny c orre la t ion b etween ' mu lt ip lex ' r e la t ionsh ip p a t terns a nd e i ther o rgan ic o r mechan ica l s o l idar ity i n Durkhe im 's s ense o r w ith n on-d istr ibu ted o r d istr ibu ted p a t terns o f s et t lemen t i n t he H il l ier s en se.
3 87
O r c ons ider t he g enera l isat ions wh ich H i l l ier e t a l . p ropose a tp p. 3 773 78 . The f acts a re j ust t he r everse t o w hat i s a sserted . H i l l ier e t a l . d o n ot s ay w ho h as e ver s uggested t ha t i n a" set t lemen t i n 5 -syn tact ic f or m" " spat ia l f or m ' r ef lects ' t he s oc ia l f or m i n s ome s ense" . Ic an t h ink o f ag rea t many e thnograph ic e xamp les w here t he t yp ica l s et t le men t c ons ists o f ' bu i ldi ngs g roups a round a c en tra l s pace" , b u t Ik now o f n one w here t here i s a ny o bv ious ' r ef lec t ion ' o f s oc ia l f or ms i n t he a rrangemen t o f t he b u i ld ings. O f c ourse i fy ou a re p repared t o c arry t he i dea o f " t ransforma t ion" t o t he l im its t ha t L ev i-Strauss i s p repared t o g o , a bso lu te ly a ny s et t le men tp a t tern c an b e c ons idered a s at ransfor med ' r ef lect ion ' o f a bso lu te ly a ny s oc ia l f or m ! The g enera l isat ion t ha t t he s et t lemen tp at tern r epresen ts t he s oc iety b u t d oes n o t r ef lec t i t s s tructure i s mean ing less. On t he o ther h and t he f i na l s en tence o f t h is p aragraph i nH il l ier e t a l . i s j ust w rong. I ti s emphat ica l ly n o t t he c ase t ha t " such s et t le men ts a ppear t o b e c haracter ised b y s trong s pa t ia l a nd t e mpora l c a tegor isa t ion o f s acred a nd p ro fane" . The f act i s t hat i n " pr im it ive" s oc iet ies g enera l ly—and many p r im it ive s oc iet ies h ave 5 -syn tax s e t t lemen t f orm—there i s an o tab le l ack o f d i f feren t ia t ion b etween ' s acred ' a nd ' p ro fane ' i n s pa t ia l t erms. The c a tegory d ist inct ion i s o ne w h ich o n ly e x ists i nt he m ind o f t he a na lyst a n thropo log ist a nd t he s ame s pace i s u t i l ised b o th f or ' s acred ' a nd ' p ro fane ' o ccas ions. Con t inu ing o nt he s ame p age w e a re t o ld t hat t he 6 -syn tact ic f or m i s c haracter is t ic o f t he " urban l andscape o f t oday" s o t hat " every a c t iv ity h as i t s own s pat ia l b oundary a nd c orrespond ing ly s oc ia l e ncoun ters a re h igh ly s pec if ic , r are ly mu l t ip lex". And a t t he e nd o f t he p aragraph w e a re g iven t o u nderstand t ha t t here i s s ome k ind o f c orre la t ion b e tween s e t t le men tp a t terns o f t h is k ind a nd b ureaucra t ica l ly c on tro l led s oc ia l s yste ms. Ev iden t ly 6 -syn tax i s t he a ppropr ia te p at tern f or G eorge O rwe l l 's 1 984 ! However a t t he t op o fp . 3 62 w e w ere t o ld t hat t he d om inan t u rban p at tern i n more o ld-fash ioned p arts o f t he w or ld , i nc lud ing e ven b its o f t he p resen t d ay C ity o f L ondon , i s 3 -syn tax. I fy ou n ow l ook c lose ly a tH i l l ier e t a l . F ig. 1 9 a nd c ompare t he 3 -syn tax a nd 6 -syn tax ' mode ls ' t hey n o t o n ly l ook v ery d iferen tb u t a re d escr ip t ive ly c ont rasted i n n ear ly e very p art icu lar ; y e t o n t he g round t hey may b e v ery s im i lar ! A l l o ver t he w or ld t here a re ' o ld f ash ioned w a l led c i t ies ' wh ich H i l l ier e t a l . w ou ld s ure ly r a te a s 3 -syn tax w h ich , i n t i gh t ly p acked f or m , h ave a l l t he a t tr ibu tes w h ich H i l l ier e t a l . a t tr ibu te t o 6 -syn tax. The g enera l p o in t i s t hat , f or a l l i t s s ee m ing e legance , y ou c anno t make u se o f t he H i l l ier e t a l , a na lys is u n less y ou k now t he a nswer b efore y ou s tart .
An a rchaeo log ist
w ith n o th ing t o g o o n e xcep t ar es idua l g round p lan c anno t i n fer f rom t ha t g round p lan what w as t he g enera t ive s yn tact ic r u le. O r i fh e d oes i n fer s uch ar u le h e i s more t han l i ke ly t o g et i tw rong ! But a ssert ion a nd c oun ter-assert ion c an g e t u s n owhere. I ft he s yn tact ic g ame p roposed b y H i l l ier e t a l . i s t ob e e va lua ted i t must b e t es ted o u t a ga inst p art icu lar c ases. What s ome r eaders o f t h is v o lume may n eed t o k now i s h ow f ar a n a pp l ica t ion o f t hese s yn tact ic p r inc ip les m igh t h e lp a n a rchaeo log ist t o make v a l id i n ferences a bout t he s ign i f icance o f t he g round p lans w h ich h is e xcava t ions may r evea l? S o l e t me e xam ine i ng rea ter d eta i l t he p ropos it ions c on ta ined i n as ing le p aragraph o ft he H i l l ier e t a l . p aper w h ich r eads a s f o l lows :
3 88
" In c on trast t o t he ' p rofan ity ' o f t he 3 -syn tax , t he 4 -syn tax ( w ith i t s a ssoc iated p ath s tructure , t he ' l im it s equence ' t ha t i s as equence l ead ing t o a' d eepest s pace ' ) i s s trong ly a ssoc ia ted w ith t he s acred. S acred b u i ld ings , f ro m Eng l ish c hurches t o t he Forb idden C ity i n Pek ing , h ave c oncen tr ic o vera l l morpho log ies , a nd e xp lore t he p ath c oncep t o f l im it s equence. Most i n terest ing a re t he v ar ian ts o f t he 4 -syn tax. For e xamp le, t here a re a p a ir o f f or ms wh ich u se t he 4 r u le t o make a c oncen tr ic o b ject b ut make i tf rom a n o pen a nd c losed d isc r a ther t han f ro m t wo c losed d iscs.
One i s t he c losed d isc wh ich
d ef ines t he ' open s pace b arr ier ' a round i t sel f—that i s t he o pen c ont a ins t he c losed , t he o ther i s t he ' c lo ister ' morpho logy i n w h ich t he c losed c on ta ins t he o pen ."
( Th is v o lu me , 3 63-364 ) .
I n t er ms o f w hat h as g one b efore H i l l ier e t a l.'s s udden i n troduct ion a t t h is p o in t o f t he Durkhe im ian o ppos it ion b etween S acred a nd P rofane i s q u ite u nexp ec ted. I n t he o ther s even c ases e xe mp l if ica t ion i s s i mp ly i n t er ms o f s pec if ic e thnograph ic e xa mp le : ( 1 ) Ta l lens i , ( 2 ) Pueb lo r u in , ( 3 ) ' parts o f t he C ity o f L ondon ' a nd t wo Yorksh ire d a le c om mun it ies , a nd s o o n .
None o f t hese o ther
c ases i n troduce a ny s oc io log ica l d ist inct ion i n a ny w ay a na logous t o t he h igh ly a bs tract , n ot t o s ay c on trovers ia l , o ppos it ion s acred-profane. One s uspects t ha t t he a u thors w ere q u ite u naware t hat t hey w ere v en tur ing i n to e x tremely d eep a nd t reacherous w aters wh ich embrace t he w ho le o f French ' s tructura l is m ' i nb o th i t s s oc ia l a n thropo log ica l ( Lev i-Strauss ) a nd p sycho-ana ly t ic ( Lacan ) f orms.
Bu t a lthough t he g enera l isa t ion i s who l ly m islead ing l et u s p lay a long.
L eav ing a s ide t he c ity o f P ek ing ( abou t w h ich H i l ler e t a l. a ppear t o b e v ery b ad ly i n for med )* t he ir e xamp le o f a4 -syn tax l ay-ou t w h ich e xe mpl if ies t he ' sacred b u ild ings ' p ropos it ion i s " Eng l ish Churches". The a uthors d o n o t e laborate b u t p oss ibly t hey h ave i n m ind t hat t he ir mode l 4 -syn tax G .5
L I1_
m igh t b e r ead a s a nu l tra-s i mp l if ied d iagram f or t he l ayout o f af a ir ly t yp ica l Eng l ish Par ish Church :
F IG . 1
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S anctuary
e .
H igh A ltar
Ah and icap w h ich o ther r eaders o f t h is v o lume may s hare—eds.
3 89
The a u thors o f fer n o e xp lanat ion f or wha t t hey mean b y t he ir c a tegory ' s acred b u i ld ing ' , b u t t he a rgu men t a ppears t o a ssume t hat ' sacred b u ild ings ' c an r ead ily b e d ist ingu ished i n t er ms o f s oc ia l u se f rom ' p rofane b u ild ings '. They t hus impl ic it ly d isagree w ith t he v iewpo in t o f Hocart ( 1933 ) a nd L ord Rag lan ( 1964 ) b oth o f who m a rgued , i n i n terest ing f ash ion , t hat t here i s ad irect h o mo logy b e tween t he l ayou t o f ad omest ic h ouse , w ith i t s f oca l p o in ts o n t he h ear th f i re a nd t he marr iage b ed , a nd t he l ayou t o f at e mp le w ith i t s f oca l p o in t a t t he s hr ine , wh ich H il l ier e t a l. wou ld d escr ibe a s t he ' l im it ' o f t he ir l im it s equence . Iam o n t he s ide o f Hocar t a nd Rag lan a nd Id o n o t c oncede t ha t , i n t he g enera l c ase , af unda men ta l d ist inct ion c an b e made b e tween ' sacred ' b u i ld ings a nd ' p rofane ' b u ild ings. A l most a l l b u ild ings a re s omet i mes o ne a nd s omet imes t he o ther. However , i n o rder n o t t o a ppear t oo o bstruc t ive l et me c onc ede t hat , i n s oc ie t ies o f a l l k inds a nd d escr ip t ions , b oth c o mplex a nd s imp le, w e d o e ncoun ter p er manen t o r t e mporary a rch itectura l s tructures wh ich a re n ot u sed f or p urposes o f o rd inary d o mest ic r es idence b ut w h ich a re u sed f or ' r itua l ' p urposes —g iv ing t he w ord ' r itua l ' t he w idest p oss ib le c onno ta t ion . That g ran ted , t hen i td oes a ppear t o b e t rue t ha t ah igh p roport ion o f s uch s tructures h ave s ome o f t he c haracter ist ics o f H i l l ier e t a l .'s 4 -syn tax. L et u s c ons ider s ome e xa mp les where t he r es idues o f h istory a re r ead ily a va i lable f or a rchaeo log ica l i nspec t ion ( Figs. 2 -5 ). As c an b e s een i mmed iately , t here i s , a t as uperf ic ia l l eve l , a morphol og ica l s im ilar ity b etween t he Eng l ish P ar ish Church e xa mp le ( F ig. 1 ) a nd t he c ases o ft he Anc ien t Egyp t ian T e mp le a t Ed fu ( Fig. 2 ) , t he S inha lese e xamp le f rom Da mbaden iya ( Fig. 3 ) a nd t he H indu e xa mp le f rom K ha juraho ( Fig. 4 ).
But w hat a bou t Angkor ( Fig. 5 ) ? Angkor o n ly f i ts t he r equ ire men ts
o f4 -syn tax i fw e a lready k now f rom o ther e v idence t ha t t he c en tre o f t he s yst em o f c oncen tr ic c ircles i s a' l im it '.
Without t h is k now ledge t he s tructure
o f s ymme tr ica l p a thways i s s uch t ha t t here a re a ny n u mber o f d i fferen t w ays o f mov ing i n to , w ith in , a nd o u t o f t he s yste m. Perhaps o n t hat a ccoun tH i l l ier e t a l. w ou ld w an t t o c lass t he Angkor c ase a s 3 -syn tax o r 5 -syn tax o r 8 -syn tax o r wha tever? I n t hat c ase we s hou ld im med iately l ose p rec isely w ha t w e a ppear t o h ave g a ined b y t h is u nusua l mode o f c lass if icat ion , f or t he f act i s t ha t , f rom t he p o in t o f v iew o f h istory a nd s oc io logy , t he Angkor c ase i s o f t he s ame c lass c ategory a s t he e xamp les s hown i nF igs. 2 -4. I ndeed t he r e l ig ious p ract ices wh ich p ro mpted t he c onst ruc t ion o f Angkor w ere , a s f ar a s w e c an n ow d eter m ine , h ard ly d ist ingu isha ble f rom t hose wh ich p reva iled a t K ha juraho , a nd t he d es ign i s q u ite c onsc ious ly b ased o n4 -syn tax i deo logy w h ich Coed s h as s ummar ised t hus : " Un l ike o ur w estern c i t ies , i tw as n ot j ust a g roup o f h ouses , a market , a nd a s ea t o f g overnmen t. I tw as a r ep l ica i n m in ia ture o f t he f ab led w or ld o fH indu c os mo logy , a sma l l mode l o f t he u n iverse, am icrocos m.
Accord ing t o Brahman i deas t he world c ons isted o f
ac en tra l c on t inen t , J a mbudv ipa , w ith Meru , t he c os m ic moun ta in , r is ing a t i t s c en tre.
Th is c on t inen t w as e nc irc led b y s ix c oncen tr ic
r ings o f l and , s eparated b y s even o ceans , t he o u ter o ne o f w h ich was e nclosed b y ar ock wa l l. A t t he s umm it o f Meru w as t he c i ty o f Brahma , t he h o me o f t he g ods, s urrounded b y t he e igh t g uard ians o f t he c ard ina l p o in ts". 3 90
F IG. 2 P lan a nd s ec t ion o f t he t e mp le o f Ed fu , Egypt.
3 91
( From H . d e Cen iva l , 1 964 ).
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There i s af urther c omp l ica t ion .
H i l l ier e t a l. w r ite a s i ft he o n ly s pace
t ha t i s o ccup ied b yb u ild ings i s a t g round f l oor l evel ; a re a l c oncerned w ith g round p lans a s o n a map.
t he ir e xe mp l if ica t ions
Th is i s d ecep t ive.
I n t he
e xamp les Ih ave g iven w e r each t he l im it n ot merely b y mov ing i nwards t owards what H i l l ier e t a l . c a l l " a d eepest s pace" b u t o f ten u pwards a s w el l ( or d ownw ards , o r b o th a t o nce...the myst ic c ent re o f a Buddh ist t ope , wh ich n o o ne c an r each , i s b o th t he r e l ic c aske t wh ich i s b e low g round a nd t he p innac le a t t he t op o f t he s p ire wh ich i s f ar a bove ). The Buddh ist i mage t e mp le i n my F igs. 3 , 6 , i s at wo-storey b u ild ing t he most s acred p rec inct b e ing o n t he u pper f l oor.
My F ig. 7p u ts F ig. 3 (b ) i n to c on tex t .
The b u ild ing wh ich , a s
F ig. 3 (b ) , a ppears t o b e morpho log ica l ly h o mo logous t o at yp ica l Eng l ish Church i s o n ly o ne o f ac luster o f r e lated b u ild ings. c omp lex i n p lan .
F ig. 7 s hows t he w ho le
I ti s o ne o f t he o ldest f unct ion ing monaster ies i n S r i L anka
a nd w as o nce u pon a t ime t he s hr ine o f t he f a mous Tooth Re l ic. A n umber o f s epara te e le men ts h ave 4 -syn tax f or m. These i nc lude ( a ) t he i mage h ouse o f F ig. 3 (b ), ( b ) t he Bo T ree , ( c ) t he t ope ( dagoba ) a nd ( d ) t he V ishnu s hr ine. There a re a lso ( e ) as econdary i mage h ouse i n w h ich t here i s at hrough p a thw ay a nd ( f ) t he r u ins o f ar e l ic c ha mber. A l l t hese b u ild ings a re e nclosed w ith in a wa l l.
O uts ide t he w a l l t here a re t wo f urther s tructures, ( g ) t he
r es iden t ia l q uarters f or t he monks wh ich i s i n 2 -syn tax a nd ( h ) ap reach ing h a l l. Without i ndependen t k now ledge o f t he f acts t here wou ld b e n o w ay o f k now ing t hat a l l t hese b u ild ings b e long t o as ing le c omp lex. Moreover , e ven i fw e w ere t o a ccep t t he p ropos it ion t hat t he c luster o fb u i ld ings w ith in t he ma in w al led a rea f or ms a s e t o f ' sacred b u ild ings ' c onstructed i n 4 -syn tax t h is w ou ld s t il l n ot t e l l t he a rchaeo log ist w here h e wou ld f ind t he ' l im it ' o f t he who le s yste m b ecause t here a re t hree s uch l im its n o t o ne.
N or w ou ld t he
s pace s yn tax a rgumen t p rov ide a ny c lue t o t he emp ir ica l ly i mportan t f act t hat most o f t he ' r itua l ' i s a ssoc iated w ith s ub-bu i ld ings ( e ), ( d ), ( h ) a nd ( k ) a nd n ot w ith t he l im it c en tres o f t he t hree ma in 4 -syn tax e lemen ts a t ( a ) ( upper f l oor ) , ( b ) a nd ( c ). The p o in t o f t hese o bservat ions i s t he s a me a s t hat wh ich Ih ave made a lready i n c om men t ing u pon t he H i l l ier e t a l . s tate men ts a bout 6 -syn tax.
I f
w e c an a c tua l ly o bserve s oc ia l p erfor mances i n a ct ion w e c an r e late t he s pace s yn tax t o t he s oc ial u sage o f t he s pace. With h inds igh t w e c an s how t hat a ctua l ' u t terances ' o f t he ' space l anguage ' c on form t o s yn tact ic r u les.
Bu t
w e c anno t w ork t he o ther w ay a bou t a nd d educe n ecessary u t terances f rom a n i nspect ion o f t he s yn tact ic r u les.
I t may b e t ha t H i ll ier e t a l. wou ld a gree
t ha t t h is i s s o , f or t he ir l i ngu ist ic b orrow ings d er ive a t t h ird-hand f rom Cho msky , b u t , u n fortuna te ly , t he ir a ctua l p resen tat ion g ives t he o ppos ite i mpress ion , n a me ly t hat a n a na lys is o f t he s yn tax o f as et t lemen t p a t tern w i l l t e l l u s s o meth ing a bou t t he s oc ia l s tructure t ha t w as p ecu l iar t o t he s oc iety t hat d ev ised t hat s et t le men t p a t tern i n t he f i rst p lace. I ft h is i s ,v hat t hey i n tend t o s ay t hen Imust d isagree most v igorously. From my p o in t o f v iew t he s yn tact ic a rgumen t i s mean ingf u l a nd i n terest ing , b ut Id o n ot b el ieve t hat o ne c an im med iately i n fer t he g enera t ive s yn tax s i mp ly b y l ook irg a t t he l ay-out o f s ett le men t p at terns o n t he g round , a nd e ven i fo ne c ou ld b e s ure o f wha t t he g enera t ive s yn tac t ic r u les h ave b een , o ne c anno t i n fer a ny th ing a t a l l a bou t t he s oc iety t ha t makes u se o f t he r esultan t s ett le men t. 3 97
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( Fro m
I nc iden ta l ly , i f Ih ad p ursued my o b jec t ion t o t he H i l l ier e t a l. r eference t o Pek ing , much t he s a me p o in t w ou ld h ave emerged.
The t own p lann ing o f
Imper ial Pek ing w as v ery e labora te a nd Iw ou ld n ot w an t t o d eny t ha t t he p os it i on o f t he Forb idden C ity w ith in t he who le ( Fig. 8 ) , a nd t he p os it ion o f t he Imper ia l Throne Room w ith in t he Forb idden C ity ( Fig. 9 ) h as a c erta in 4 -synt ax " concen tr ic r ings" p at tern ing a bou t i t . Un fortuna tely , a s a nyone s hou ld k now who h as s tud ied t he " sacred" f unct ions o f t he Emperor o f Ch ina , t he l im it o f t h is p art icu lar l im it s equence was a t t he c ent re o f t he T e mp le o f Heaven w h ich i s ac luster o fb u ild ings o uts ide t he T ar tar C ity a ltogether , s o me w ay t o t he S ou th.
A mere " look ing a t t he g round p rocedure" c anno t t el l t he
a rchaeo log ist wha t h angs t oge ther a nd wha t d oes n ot . To s um u p , j ust a s r educt ion ist mode l- mak ing c an i l lum inate t he s oc ia l a n thropo log ists ' s tud ies o f k insh ip a nd s oc ia l s t ructure s o a lso r educt ion ist model- mak ing may i l lu m ina te t he a rchaeo log ists ' s tud ies o f t he r es idues o f h u man b u i ld ing c onstruct ion , b ut t he a rchaeo log ists, who a re c om ing i n to t h is g a me r a ther l a te , s hou ld t ake a warn ing f ro m t he e xper ience o f t he s oc ia l a n thropo log ists.
I n k insh ip s tud ies w e l earned l ong a go t hat , p rec ise ly a t t he
p o in t w here model b u ild ing b eg ins t o t urn i n to f or ma l mathe mat ics , t he who le e xerc ise b eco mes a na ly t ica l ly w orth less.
Th is h as h appened r epeated ly o ver
t he p ast s ix ty y ears a nd c omes a bou t b ecause t he mathe ma t ica l model f a ils t o t ake a ccoun t o f t he c o mp lex it ies o f t he ' r ea l ' s ituat ion . I f s pace s yn tax o f t he H i l l ier e t a l. t ype i s t o b e u sefu l t o a rchaeo log ists i t must a t l east t ake a ccoun t o f t he f act t ha t w h i le g round p lans a re t opo log ica l ly r educeab le t o s i mp le p o lygons , a ctua l b u i ld ings a re i n t hree d i mens ions a nd t herefore p o lyhedra.
What i s r e levan t h ere i s t hat t he r educt ion ist a na ly-
s is o f p o lyhedra i s av ery much more c o mp l icated ma tter t han t he r educt ioni st a na lys is o f p o lygons ( hence my r eference t o L ak atos ( 1966;
s ee a bove
p . 3 86 ) . H i l l ier e t a l. h ave t aken s ome o f t he ir i deas f ro m s tructura l l i ngu is t ics o f t he Cho mskyan t ype b u t t hroughou t t he ir p aper t hey g ive t he i mpress ion t hat t he ' sen tences o f s pace l anguage ' c an b e d irec t ly d er ived f rom t he r u les o f ' space s yn tax '.
I ft h is i s what t hey b e l ieve t hen t hey s hou ld r e-read t he ir
Cho msky , f or t he c en tra l p roble m o f Cho mskyan l i ngu ist ics i s p rec isely t ha t , o n t he f ace o f i t , t he s a me r u les o f s yn tax a ppear t o b e c apab le o f g enerat ing b oth ' wel l f or med ' s en tences a nd t o ta l g ibber ish.
I t s ee ms t o me v ery c lear
t hat i n t he p resen t s tate o f t he ir a rt H il l ier e t a l. a re i n t h is s a me p os it ion . They a re a b le t o d ev ise s yn tact ic r u les wh ich wou ld g enerate c erta in o bserva ble s pace-use p a t terns , b u t t he s a me r u les wou ld a lso g enerate mean ing less s pace-use p a t terns a nd t here a re many emp ir ica l s pace-use p at terns f or w h ich t he s yn taxes s o f ar d ev ised wou ld n o t a ccoun t. The c has m b etween b as ic s pace s yn tax a nd r ea l l i fe s oc io logy i s much w ider t han H i l l ier e t a l. a ppear t o s uppose.
Th is i s p art icu larly n ot iceab le
i n t he ir u nfortuna te r eferences t o ' sacred b u ild ings ' wh ich f ocus a round t he a ssump t ion t hat t he l im it c en tre o f 4 -syn tax s tructures must l og ical ly b e t he l im it c en tre o f t he a ssoc iated r it ua l a ct iv ity.
I n a ctua l f act , a lthough t here
i s a n u nden iab le a ssoc ia t ion b etween 4 -syn tax s tructures a nd r itua l a ct iv i ty o n aw ide-rang ing c o mparat ive b as is , t he r itua l a c t iv ity i n q uest ion d oes ' n ot t ake p lace a t t he l im it c en tre b u t o n t he p er iphery.
4 00
For a n u nderstand ing o f
t h is w el l u nderstood p heno menon H il l ier e t a l. n eed t o r ead Hertz a nd Van Ge rmep r a ther t han Durkhe im a nd Mauss 7
They wou ld f ind a s ketchy i nd ica-
t ion o f what i s i nvo lved i n L each ( 1976 ).
Footnote 1 .
S ee R . Hertz's e ssays " Con tr ibu t ion i u ne e tude s ur l a r epresen tat ion c o l lect ive d e l a mort ," Annde S oc io log ique 1 0 :48-137 a nd " La p re, em inence d e l a ma in d ro ite : e tude s ur l a p o lar ite r e l ig iqeuse , Revue Ph ilosoph ique 6 8:553-580 a nd A .v an Gennep 's , L es r ites d e p assage, Par is , 1 909.
B ib l iography Ba i ley , F .G . ( ed.), 1 971. Coedes , G ., 1 963.
Angkor :
G luckman , M., 1 955. Rhodes ia.
G if ts a nd Po ison .
Oxford.
a n I n troduct ion.
JHong K ong.
The J ud ic ia l P rocess among t he Barotse o f N orthern
Manches ter.
H a l l , E . T ., 1 966 .
The H idden D i mens ion .
Hocart , A . M., 1 933.
N ew Y ork .
The Progress o f Man .
L akatos, I ., 1 966. Proofs a nd Refu ta t ions : D iscovery . L ondon .
L ondon .
t he L og ic o f Mathe mat ica l
L each , E . R ., 1 976.
Cu lture a nd Co m mun icat ion .
L each , E . R ., 1 977.
' A v iew f rom t he Br idge '.
Archaeo logy a nd An thropo logy : 1 61-176.
Ca mbr idge.
I n M. S pr iggs ( ed.),
B .A.R. S upp. S er ies 1 9 ,
Ox ford. Rag lan , L ord , 1 964.
The Te mp le a nd t he House.
4 01
L ondon .
REPLY TO PROFESSOR LEACH B . H i l l ier , A . L ea man , P . S tansa l l a nd M . B ed ford
We a re i ndebted t o P ro fessor L each f or h is d eta iled c om men t a nd many p roper c r it ic is ms o f o ur p aper. However h e h as a lso r a ised a f ew r ed h err ings w h ich w i l l n ot h elp r eaders t o u nderstand t he r ea l d if f icu l t ies a nd p oss ib le c ont r ibu t ion o f t h is l ine o f w ork .
For e xa mp le , t he D escartes-Eu ler c on jecture
i s e n t irely i rre levan t t o t he t ype a nd l eve l o f o rder t hat w e a re t ry ing t o i dent i fy i n s pat ia l a rrange men ts. I n f act i ti s p rec isely b ecause n o e stab l ished b ranch o f mathe mat ics a ppears t o b e a i med a t t he ' syn tact ic' l eve l o f c o mp lex o b jec ts t hat w e v en tured o ut side mathe mat ics a nd t r ied t o d eve lop a mode l wh ich wou ld e nco mpass t he c haracter ist ic d i mens ions o f v ar iab i l ity o f r ea l s ett lemen ts , r ather t han w ork o utwards f ro m a n e stab l ished mathe mat ica l b as is. S ince t h is i s c learly e xp la ined i n t he f i rst p art o f o ur p aper t he p o in t o f c r it ici sm i s h ard ly a f a ir o ne. N or i s t he i n junct ion t hat w e s hou ld s tudy ' po lyhedra ' r a ther t han ' po lygons ' ( i n f act w e s tudy n e ither : o ur o b jects a re s hapeless t hree d i mensiona l , o ne s torey o b jec ts ) a ny l ess d ivers ionary.
Human s pat ia l o rgan isat ion i s n ot , c on-
t rary t o g enera l s uppos it ion , t hree d i mens iona l i n t he s a me s ense t hat i ti s t wo d i mens iona l , f or v ery s i mp le r easons : h uman b e ings c anno t f ly , a nd b u ild ings c anno t f l oat i n t he a ir. T he l ay ing o f c el ls o n t op o f e ach o ther d oes n ot r ender h uman s pace f u l ly t hree d i mens iona l.
I ti s a lways r educed t o t wo d i mens ions
s o t hat h u man b e ings may t raverse i t , f or e xamp le b y s ta irs , l adders , l i fts e tc. Th is h as a n impor tan t r esu lt f or u s : t hat mu lt i-storey o b jec ts a re a ccess ib le t o t he s a me k ind o f a na lys is a s s ing le s torey c omp lexes. There i s a p rob le m o f om iss ion i n o ur work , i n t hat o ur t heory d oes n ot c haracter ise t he s yn tact ic e f fects o f l ay ing c el ls o n t op o f e ach o ther.
However, t he p rob le m
i s n o t a s Pro fessor L each c once ives i t , a nd i ndeed h e w il l f ind t hat o ur s yn tax w orks f or t hree d i mens iona l p o lyhedra i n much t he s a me w ay a s i t works f or t wo d i mens iona l p o lygons. N or i s t he p o in t a bout t he a l leged f a ilure o f ' r educt ion ist ' models t o t ake c oun t o f t he ' comp lex it ies o f t he r ea l s ituat ion ' ah e lpfu l o ne. I ndeed i ta ppears t o m isconce ive t he r e lat ion b etween t heory a nd r ea l ity i n a ny s c ience, a s w el l a s t he i n ten t ion o f o ur model.
Theor ies d o n ot d escr ibe p ar t icu lar r eal it ies :
o n ly t he u nderly ing morpho log ica l c onst ra in ts u nder wh ich p art icu lar r ea l it ies u n fo ld.
Th is c an b e i l lustrated f rom P ro fessor L each 's own i l lustrat ions.
For e xa mp le , i f as et o f i n terrelated 4 -syn tact ic p at terns c an b e i den t if ied i n ap art icu lar k ind o f b u ild ing , t hen t h is s ee ms t o s upport r a ther t han r efu te o ur c on ten t ion t hat c o mp lex s pat ia l r ea l it ies a re b u ilt u p f rom a f i n ite s tructura l v ocabu lary .
P ro fessor L each s ee ms t o b el ieve t ha t i n p ostu lat ing ' e le men tary
s tructures ' o ut o f w h ich p art icu lar r ea l it ies may b e c onst itu ted , t hen t he t heory i s o n ly s uccessfu l i fp art icu lar r ea l it ies c orrespond t o p art icu lar e le men tary
4 03
s tructures.
Th is w as n ever t he i dea.
Our h ope w as t o b u ild a b as ic t heory
f ro m w h ich w e c ou ld e ven tual ly d evelop u sefu l a na ly t ic t oo ls f or t he d ecompost i on a nd a na lys is o f c o mp lex r ea l it ies.
I ndeed o ur work i n t he t wo y ears s ince
t he p aper w as w r itten h as b een l argely c oncerned w ith t he d evelop men t o f a na ly t ic t oo ls.
A t t he s tage o f t he p aper c urren t ly u nder d iscuss ion w e w ere
f u l ly aware t hat w e w ere n ot p resen t ing a n a na ly t ic t oo l , b ut a t heory o n w h ich s uch t oo ls c ou ld b e b ased. Many o f t hese l ater d evelop men ts w il l b e r eported i n o ur f orthcom ing b ook ' The S oc ia l L og ic o f S pace ' ( Ca mbr idge Un ivers ity Press ), a l though p erhaps w e s hou ld w arn P ro fessor L each i n a dvance t hat a lt hough w e h ave made a g ood d ea l o f p rogress , t he t oo ls w e n ow h ave w i l l s t il l f al l s hort o f h is s tr ingen t r equ ire men ts. A n umber o f P rofessor L each 's d eta iled p o int s a lso r equ ire c o mmen t. For e xa mp le , a6 -syn tax r equ ires t hat t he o n ly r e lat ionsh ip b etween t he c ont a ined o b jects b e t hat o fb e ing c on ta ined b y t he o u ter b oundary. I ft hese p r imary o b jects h ave i n terna l r elat ions b etween t hem , s ay o f a3 -syn tact ic k ind , t hen t he o vera l l r esu lt i s n ot a 6 -syn tax , b ut a c ompos ite o b ject . Con trary t o Professor L each 's o b jec t ion , t h is i s u sua l ly a f a irly s i mp le mat ter o f i den t if icat ion , a t l east when w e c ons ider r ea l it ies r ather t han maps. On t he a n thropo log ica l s ide , P rofessor L each i s o f c ourse o n h is h ome g round , a nd w e must a ccept many o f h is s tr ictures. Our a rgumen t i s o vers i mp l if ied , a nd i n c erta in p o in ts, b ad ly p resen ted.
However , w e d o n ot a c-
c ept t hat h is p o in ts o f c r it ic is m i nval ida te t he g enera l a rgumen t i n t he model . Our a im i n t h is s ect ion w as s i mp ly t o t ry t o u se t he mode l i n o rder t o r e late t ogether a s er ies o f o bserva t ions b y a n thropo log ists a nd o thers o n s oc iet ies w ith d i fferen t p r inc ip les o f s pat ia l a rrange men t . H is p art icu lar c r it ic is m d oes n ot s ee m t o u s a s d a mag ing a s h e a ppears t o b el ieve. T ake f or i n s tance h is c om men t o n o ur u se o f Ba i ley 's work o n ' r epu tat ionaP s oc iet ies.
T he
way i n wh ich s uch s oc ia l r ea l it ies a re ma in ta ined a nd n ego t iated d oes s ee m t o h ave a r easonab le f or ma l c orrespondence t o o ur c oncep t ion o f a3 -syn tax i nt hat i ti s c learly a d ist r ibu ted p rocess, i tc learly f o l lows a l oca l r a ther t han g loba l model i n t hat e ach i nd iv idua l o n ly k nows a nd n ego t ia tes p art o f t he s tory , a nd f i na l ly t here i s a t a ny t ime, o ver a nd a bove t he n ego t iat ion o f i nd iv idua ls , ag loba l s tructure o f r epu tat ions wh ich emerges f rom t he l ocal d istr ibu ted a cts o f i nd iv idua ls. N ow w e a re n o t s uggest ing t hat t he 3 -syn tax c auses t h is. On t he c on trary , b o th a re e xamp les o f t he k ind o f s oc ia l r ea l ity t hat i s n egot ia ted u nder c ond it ions o f s pat ia l c ompress ion w ithou t ag loba l o rgan ising mode l. O thers h ave made s im ilar c ommen ts. For e xa mp le , Godfrey L ienhard t w ro te ; c ompar ing t he D inka a nd N uer w ith t he Anuak : " The Anuak a re b as ica l ly a gr icu l tura l a nd s eden tary , l i v ing i n many d ist inct , l arge ly s el l-su ff ic ien t a nd o f ten v ery c rowded v i ll age c o m mun it ies , where t hey a re i n c onstan t a nd i n tense i nd iv idu a l c on tact .
The D inka-Nuer a re f i rst a nd f oremost p astora l
p eop le n ecessar ily t ranshu man t , w ith r egu lar d ispersa l a nd r eg roup ing o f me mbers o f l oca l c om mun it ies.
I n t he n ature o f t he ir
o ccupat ion , t he D inka-Nuer i nd iv idua l ly l ive more s o l itary l i ves t han t he Anuak ....The f requen t d ispersa l o f t he D inka-Nuer a s c o mpared w ith t he c oncen trat ion o f t he Anuak may b e a ssoc iated w ith a much g rea ter i n terest s hown b y t he Anuak i n i nd iv idua ls
4 04
a nd p ersona l it ies. They h ave a n e x tens ive p sycho log ica l v ocabul ary a nd t he ir v i l lage p o l it ics ...are c onducted t hrough a n i n terp lay o f c haracter a s w el l a s o f f act ion ."
( Quoted i n Doug las , 1 973 :150 )
L ikew ise , w e r e ma in p ersuaded t hat when more g loba l o rder i s i n troduced i nto t he s pat ia l mode l , f or e xamp le w ith a 5 -syn tact ic f or m , t hen n or ma l ly c ategor ic d ifferen t iat ions o f t he k inds t hat a n thropo log ists h ave b een t e mpted t o c haracteri se i n t er ms o f t he s acred-profane d i mens ion o f ten a ppear.
More p rec isely
p erhaps w e s hou ld s i mp ly t a lk a bout t he i n troduct ion o f e x tra r u les r estr ict ing u se.
The f act o f m ixed u se , w h ich w e a cknow ledge i s e x tre mely c om mon , d oes
n o t w eaken t he a rgu men t t hat s o me s paces a re g overned b y more r u les t han o thers.
I ff or e xa mp le c ook ing i s c arr ied o u t i n t he o u ter r ing o f t he T robr iand
v i l lage o f Omarakana a nd e xp l ic it ly n ot i n t he c en tra l s pace , t hen t h is i s , p roperly s peak ing , s u f f ic ien t t o make o ur p o in t . F ina l ly , w e w ou ld l i ke t o r eturn t o P ro fessor L each 's i n troduc tory c o mmen ts , wh ich s ee m t o o pen a g u lf b etween u s. We f ind i t imposs ib le t o u nders tand w hy h e s hou ld w ish t o r estr ict s c ience t o words , w hen i ts ee ms c lear t hat t he e n t ire h istory o f s c ience h as e vo lved t hrough t he c onstruct ion o f s ymbo l ic l angu ages f or d escr ib ing t he h idden s tructure o f p heno mena , i n c on tra-d ist inct ion t o n atura l l anguage w h ich c o m men ts ma in ly o n s urface a ppearances. I n t h is p art icu lar c ase h is a rgumen t a bou t t he p r ior ity o f t he v erba l a ppears t o b e c on fu ted b y h is a ccep tance t hat i n al arge n umber o f c ases o ne c an f i nd c orrelat ions b et ween r itura l ist ic b u ild ings a nd 4 -syn taxes, o f b oth t he s pat ia l a nd p er meab il ity k ind. S urely t h is i s a t l east a p art v ind icat ion o f o ur t hes is t hat s pat ia l a rrangemen t a s ac ons t itut ive a spect o f s oc ia l r ea l ity i s n ot med iated t hrough l anguage. On t he c on trary l anguage , i n i t s u sua l f ash ion , p rov ides a c om men tary o n a ppeara nces r ather t han a d escr ipt ion o f p r inc ip les a nd s t ructures.
I ti s b ecause t h is
i s s o t hat s c ience c an d ea l w ith a rt if ic ia l r ea l it ies , l ike s oc iet ies a nd s ett le men t p a t terns, a s w el l a s n ature.
Doug las , M., 1 973.
N atura l S ymbo ls.
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Har mondsworth.
S ECT ION 4 THE CONCEPT OF EARLY S TATE FOR MATION
Wherever o ne l ooks i n t he c on te mporary wor ld , e xa mp les o f t he f ur ther o ver , wherever o ne l ooks i n t he c on te mporary w orld , e xamp les o f t he f urther e xpans ion a nd i n tens if ica t ion o f s tate o rgan isa t ion a re a pparen t a nd t h is must s urely b e r egarded a s o ne o ft he p r inc ipa l r easons f or t he c urren t i n terest i n t he o r ig ins a nd e arly f or ms o f t he s tate, w h i le a nother i s t he b e l ief t hat c o mp ara t ive a na lys is o f aw ider r ange o f s ta te s oc iet ies t han h as h i therto b een t he c ase h as much t o c on tr ibu te t o o ur u nders tand ing o f i t s i nst i tut iona l n ature. There h ave , o f c ourse, a lready b een many a t te mpts t o d ef ine t he s tate b y i so lat ing i t s i nner e ssence i nt er ms o f h uman s oc ia l r elat ionsh ips, b u t r ather l ess a t ten t ion h as b een p a id s o f ar t o t he q uest ion o f what w e c an l earn f rom as tudy o f t he p rocesses t hat a ccompany t he a ppearance a nd d isappearance o f s ta tes i nh istory a nd i ti s t o t h is l at ter t ask t hat t he p apers a sse mb led h ere a ddress t he mselves. The c oncep t o f s tate f or mat ion i s t hus a r elat ively n ew o ne i n a rchaeo logy , a n thropo logy a nd g eography. I ti s , o f c ourse , t rue t hat a rchaeo log ists a nd a l im ited n umber o f c u l tura l a n thropo log ists h ave d isp layed a c ons isten t i n terest i n t he o r ig ins o f t he f i rst g reat emp ire-sta tes o f a n t iqu ity .
However , a s
Cherry p o in ts o ut , i th as o n ly b een w ith t he emergence o f t he p erspec t ive a f forded b y t he c oncept o f mu lt i-l inear e vo lut ion t ha t t he f ocus o f r esearch h as b egun t o s h if t f ro m a p reoccupa t ion w ith t he s o-ca l led " pr ist ine" s tates o f S ou th- West As ia , Ch ina a nd t he N ew World t o a n a na lys is o f c haracter ist i cs h e ld i n c o m mon a nd d evelop men ta l p rocesses s hared b y a much w ider r ange o f l arge-sca le , c omp lex , s oc iet ies. I ti s r efresh ing t o s ee t he emp ir ic a l s tud ies r epresen ted h ere b reak o ut f rom t h is p rev iously r estr icted s amp le t o c ons ider p re-Roman Gau l ( Nash ), Ang lo-Saxon Eng land ( Hodges ) a nd p re-co lon ia l West A fr ica ( R ichards ), a lbe it f rom d ist inct , b u t p erhaps c omp le men tary , p erspect ives. That s oc ia l a n thropo logy s hou ld b e al a tecomer t o t h is f i e ld i s h ard ly s urpr is ing. For a l ong t ime f i eldwork h as b een u ndertaken w ith in t he amb it o f t he e xpand ing s tate, b u t a n i n terest i n s uch s tructura l c hanges w as p rec luded b y t he more t rad it iona l g oa ls o f t he d isc ip l ine. However, w ith t he d ec l ine o f t he c o lon ia l emp ires a nd e nsu ing p ro l iferat ion o f sma l ler n a t ion s tates ( a lbe it w ith in a w ider s yste m ) a nd a lso t he r ea l isa t ion t hat h istory s hou ld n o t b e i gnored i n t he ir d isc ip l ine , many a n thropo log is ts h ave b egun t o d isp lay a n i n terest i n t he p rocesses o f s ta te f or ma t ion , p art icu larly t hose
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w ork ing i n p arts o fA fr ica a nd S ou th-East As ia w here t he e vo lut ion o f c omp lex s oc iet ies i s w e l l d ocumen ted. O n t he o ther h and , i ti s p aradox ica l t ha t g eog raphy , o f t he t hree d isc ip l ines p erhaps t he b est p laced t ou ndertake a w ider s tudy o f s tate f or ma t ion , h as n o t r ea l ly d one s o , c hoos ing i nstead t o f ocus o n u rban is m a s as epara te s t ructure w ith i t s own l aws o f d eve lopmen t a nd i n terna l t ran sforma t ion .
I n t h is c on tex t , t he s ta te h as u sua l ly b een p assed o ver i n
f avour o f s tudy ing t he s pat ia l s truc ture o f t he e conomy a nd w hen p ressed t o s how a n i n terest i n t he f or mer, many g eographers w ou ld c la im t ha t t he t wo a re i n a ny c ase s ynonymous. G iven t he d i f f icu l t ies o f d ef in it ion a l luded t o a bove, a w ord o f c au t ion r egard ing t he u se o f s uch t er ms a s " ear ly" s tate , " archa ic" s tate , e tc., i s p erhaps c a l led f or h ere.
S uch t er ms s eem t o i mp ly , f i rs t ly , t ha t t he s ta te
e x ists a s ap ar t icu lar f orm o f s oc ia l o rgan isa t ion w h ich c an b e c harac ter ised b y i t s a t ta inmen t o f ac r it ica l t hresho ld i n t er ms o f , e. g., p o l it ica l c en tra li sa t ion , s et t lemen t p a t tern o r t err itor ia l e x ten t , a nd , s econd ly , t hat d i f feren t k inds o f s tate s oc ie ty , s uch a s t he " ear ly" s tate , c an b e s epara ted f rom o ne a nother a nd f rom n on-state s oc iet ies o n t he b as is o f s uch t hresho lds. N o t s urpr is ing ly , w hen l ooked a t f rom a nother p erspec t ive , s uch d ef in it ions a re o f ten f ound w an t ing. Thus R ichards , i nh is a na lys is o f a gr icu ltura l p roduct iv ity , f inds t he d ist inct ion b etween s ta tes a nd s tate less s oc iet ies i n West A fr ica t o h ave b een o verdrawn , w h ile a t t he l evel o f i nd iv idua l h uman b ehav iour , i th as f requen t ly b een a rgued t ha t s oc ia l r elat ions h e ld t o b e a t tr ibutes o f s ta te s oc iet ies , c harac ter ised a t t he l eve l o f a ggrega te h uman b ehav iour , a re i n f ac tg enera l t o a l l f orms o f h uman s oc ia l o rgan isa t ion . o ne o f a pproach ;
The p rob le m i sc learly
t he g rea t a dvan tage o ft he p rocessua l f ramework i s t ha t i t
s ets s e man t ic p rob lems o fd ef in it ion t o o ne s ide a nd c oncen trates a t ten t ion , i nstead , o n t he c on t inuum o f s oc ia l e vo lu t ion a nd d evo lu t ion . I n t he a bsence o f a ni n troduc tory p aper f or t h is s ect ion , i ti s a lso p erh aps i n o rder t o c ommen t s pec if ica l ly o n t he d if icu l t ies o f u s ing a rchaeo log ic a l d a ta f or t he s tudy o f s tate f ormat ion p rocesses. I ti s o bv ious ly c ruc ia l f or a na lyses t o b e c onducted i nt er ms o f v ar iab les c on t inuous ly o bservab le i nt he a rchaeo log ica l r ecord , s uch a s e nergy f l ows o r i npu ts, b u t i t must b e r ecogn ised t ha t t h is p laces a r es tr ict ion o nt he t ypes o f e xp lanat ion t hat c an b e s ough t f or s tate f or ma t ion . C erta in a ssump t ions must a lso b e made , e .g. i s s ta te o rgan isa t ion a lways e xpressed i n a mater ia l f orm t hat w i l l b e p reserved f or t he a rchaeo log ist t o f i nd o r i s o ur s amp le s er ious ly b iased i n t h is r espec t? S im i lar ly , w h i le t he i so lat ion o f s uch s pa t ia l r egu lar it ies a s t hose wh ich h ave g iven r ise t o t he c oncep t o f t he E ar ly S tate Modu le ( see Cherry , Hodges ) i s i n i t se l f o f c ons iderab le i n terest a nd a n ecessary f i rst s tep t o e xp lana t ion , w e h ave y e t t o s ur moun t t he f orm idab le p rob lems i nvo lved i n i n ferr ing t empo ra l p rocess f rom s pa t ia l f or m. L ast , b u t n ot l eas t , w e must e nsure t ha t w e d o n o t p ay t oo h igh a p r ice f or o ur g enera l isa t ions. For i nstance , Cherry c onv inc ing ly a rgues t ha t i n t er ms o f c er ta in o bserva t iona l f rames o f r eference , ad is t inct ion b etween " pr ist ine" a nd " secondary" s t ates i s u nnecessar i ly r estr ict ive a nd p o ten t ia l ly m is lead ing. However , o n ap r ior i g rounds , s tate f orma t ion p rocesses m igh t 4 08
b e e xpected t o d i f fer i n d egree o r i n k ind a ccord ing t o w he ther r e lat ionsh ips e x isted b etween t he s oc ie ty u ndergo ing t h is t ransforma t ion a nd p re-ex ist ing s ta tes. Fro m t h is p erspec t ive , a s Cherry a cknow ledges, i tc an b e a rgued t ha t t he d ist inc t ion s hou ld b e r eta ined p rec ise ly b ecause i ti s p red ica ted o n t he a ssump t ion t hat t he d evelopmen t o f " pr ist ine" s tates d i f fered f rom t ha t o f o ther s tates i n t he a bsence o f f u l ly-for med s tate s oc iet ies f rom t he ir e f fect ive s oc ia l e nv ironmen t . Thus , u n less t he a ctua l p ropos it ion o f " pr ist ine" s tatus c an b e f a ls if ied f or a p ar t icu lar c ase , t he mater ia l r es idues o f s uch s oc ioc u l tu ra l d evelopmen ts a f ford u s t he b est p oss ib le d a ta t o u se i n ac ompara t ive a na lys is o f t h is v ery p rob le m.
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GENERAL IZAT ION AND THE ARCHAEOLOGY OF THE S TATE J ohn F . Cherry
Abst ract I ti s a rgued t ha t i nvest igat ions o f t he o rgan iza t ion , o r ig ins a nd s pread o f s tates c ou ld p ro f itab ly b e u ndertaken w ith in a w ider t e mpora l a nd s pat ia l ma tr ix t han h as g enera l ly b een t he c ase. A l arge b ody o f a n thropo log ica l a nd a rchaeo log ica l t heory c oncern ing s tates h as b een g enerated o n t he b as is o f a s amp le r estr icted u nnecessar ily t o t he e arl iest " pr ist ine" s tates.
The s earch
f or emp ir ica l g enera l iza t ions a s t he f i rst s tage i n t heory d eve lopmen t a nd t est ing s hou ld e ncourage t he a dopt ion o f s evera l p oss ib le o bserva t iona l f ra mes o f r eference a s d if feren t b u t c o mp le men tary s ources o f d a ta o n v ar iab il ity i n s tate-type o rgan iza t ions. t h is p erspect ive :
Three e xamp les a re d iscussed a s i l lustrat ion o f
t he r o le o f s trat if ied l ineages i n emergen t s tates , t he
a na lys is a nd e xp lanat ion o f s pat ia l r egu lar it ies amongst sma l l-sca le s tates, a nd t he model l ing o f e nergy t rends i n t he d eve lopmen t o f c omp lex s oc iet ies.
I .
I n troduc t ion
There c an b e l i t t le d oubt t ha t t he most s a l ien t f eature o f g enera l c u ltura l e vo lut ion s ince t he r ad ica l a dap t ive t ransfor ma t ions o f t he p ost-Ple istocene i s t he emergence o f s ta te-type i nst itut ions.
The s tate i s t aken h ere t o r efer t o a
s pec if ic f or m o f p er manen t ly s trat if ied , h ierarch ica l s oc iopo l it ica l o rgan izat i on c haracter ized b y ah igh d egree o f i n terna l h eterogene ity a nd t he e x istence o f e cono m ic a nd p o l it ica l s pec ia l i n terest g roups , n o tably a manager ia l e l ite e n joy ing t he b enef its o f e f fec t ive c oncen tra t ion o f c oerc ive f orce a nd ma in ta ined b y n ega t ive r ec iproc ity i n c o m mod ity , e nergy a nd i n for mat ion f lows ( c f. J ohnson , 1 973:1-4 ). The s tate h as s uperseded v irtua l ly a l l o ther s oc iopo l it ic a l o rgan iza t ions i n t he c on te mporary world ; t he e arl iest e xa mp les o f s tate f or mat ion a re a ccess ib le t o o bserva t ion o n ly b y v ir tue o f t he g rea t t imed ep th o f t he a rchaeo log ica l r ecord.
Moreover, t he s tate h as a t v ar ious t imes
b een t he d om inan t a dap tat ion i n av ery w ide v ar iety o f g eograph ica l l ocat ions a nd e co log ica l s et t ings. Consequen t ly , t he d ocu men tat ion a nd e xp lana t ion o f t he d i fferen t ( or p erhaps s im ilar? ) p rocesses b y wh ich s trong ly h ierarch ica l s yste ms a re e s tab l ished a nd ma in ta ined , c learly c ons t i tu tes a f i e ld i nv i t ing c lose l inks b e tween t he t hree d isc ip l ines, s ome o f whose c o m mon g round t h is v o lume s eeks t o e xp lore.
S peak ing f rom t he v iewpo in t o f a European a rchae-
o log ist s urvey ing t he l i terature b oth w ith in a nd b eyond h is own f i eld , i ti s i n f ac t d i ff icu lt t o f ind i nstances o f f ru it fu l u n ions o f t h is k ind i n s tate s tud ies. I ti s a lso a pparen t f ro m t he l i tera ture o f t he l ast 2 0 y ears o r s o—even t he Amer ican ist l i tera ture, w here a n a n thropo log ica l p erspect ive i n a rchaeo log ica l • 4 11
r esearch i s a x ioma t ic —tha t f ar l ess p rogress h as b een made i n a rchaeo log ical s tud ies o f o rgan iza t ions d isp lay ing marked p o l it ical h ierarchy t han o f h un terg atherers o r sma l l-sca le , a cepha lous a gr icu l tura l c om mun it ies. Wh i le i n n o w ay d eny ing t he e nor mous c omp lex it ies i nvo lved i n g enera t ing a nd t est ing h ypo theses a bou t t he o r ig ins a nd o rgan izat ion o f s tate s yste ms , I t h ink i t may b e a rgued t hat t h is f i eld , a t l east u n t il v ery r ecen t ly , h as b een r etarded b y ar eluctance t o g enera l ize o n as ca le s uf f ic ien t ly w ide t o p roduce i n terest ing , n on-stereotyped o bservat ions a s t he b as is f or t heory , y et a t al evel o f emp ir ica l d eta il t hat d oes n ot l ose t ouch w ith t he d ata.
The q uest f or r egu-
l ar it ies o f t h is k ind c an , o f c ourse, b e t raced i n w r it ings o n t he o r ig ins o f g overnmen t a nd s oc ial i nequa l ity b ack t o t he En l igh tenmen t a nd e ven t o C lass ica l An t iqu ity ( Serv ice , 1 975 :21-46 ), a lthough i t must b e a dm it ted t ha t i n t hese e ar l ier w r it ings c ross-cu l tura l d ata a re a dduced i n as omewha t a necdo ta l f ash ion . Yet t he b as is f or t he e va luat ion o f v ar iab i l ity i n s tate-type o rgan izat i ons must n ecessar i ly b e t he r ecogn it ion o f p at tern ing i n t he d ata :
a t t he
most f unda men ta l l evel t h is i nvo lves t he mon itor ing o f f acts f rom t he a rchaeol og ica l , h istor ica l a nd e thnograph ic r ecords i n t er ms o f t he r eference d imensi ons o f t ime, s pace , a nd s truc tura l o rgan izat ion ( Spau ld ing , 1 960 ). L aws , o r h igh-leve l g enera l p ropos it ions , a ch ieve v a l id ity o n ly v ia t he e x istence o f d e monstrated g enera l f acts , w h ich i n t urn imp ly t he o bserva t ion o f s ets o f p art icu lar ist ic f acts i n ac ompara t ive f ra mework .
I n t he w ords o f t he p reface
t o t he v ery f i rs t v o lu me o f L 'Ann e S oc io log ique : " ...H istory c an b e as c ience o n ly t o t he e x ten t t hat i te xp la ins , a nd e xp lanat ion c anno t p roceed e xcep t t hrough c ompar ison ... We a ctua l ly s erve t he c ause o f h istory , t herefore, i fw e p ersuade t he h istor ian t o g o b eyond h is c usto mary v an tage p o in t , t o l ook b eyond t he c oun try a nd p er iod wh ich a re t he o b jects o f h is s pec ia l s tud ies."
( Durkhe im ,
1 898 : Co mparat ive work o f t h is s ort , t ranscend ing s pat ia l a nd t e mpora l b ounda r ies , h as a lways p layed s ome p ar t i n b oth a n thropo log ica l a nd a rchaeo log ical s tud ies o f t he emergence o f o rgan iza t iona l c omp lex ity , b u t h ow w ide i n s cope h as t he c ross-d isc ip l inary f eedback a ctua l ly b een?
As a n e xa mp le, much o f
t he b est a n thropo log ica l l i tera ture o n s ta tes r e lates t o A fr ica , a nd p arts o f I nd ia a nd S ou theast As ia , where t he w ea l th o f e thnograph ic, e thnoh istor ic a nd d ocu men tary d eta il i s o f ten v ery g rea t i ndeed ; y et t h is v ery r ichness a nd d iverse c omp lex ity h as a pparen t ly h ad a n i nh ib itory i n f luence o n w estern a rchaeo log ists ' u se o f t hese d ata.
Converse ly , many o f t he h istor ians o r
a n thropo log ists work ing i n t hese a reas h ave t ended t o b e t oo p reoccup ied w ith t he a na lys is o f p art icu lar c u l tura l t rad it ions t o g enera l ize w idely , a nd h ave a lso r e ma ined r eso lute ly i nd ifferen t t o t he r o le t hat a rchaeo logy m igh t p lay i n e luc ida t ing t he o rgan iza t iona l d yna m ics o f p re- modern s tates, o r e ven t he r ise o f t he s ta te i t sel f , i n t hese p arts o f t he world. For p resen t p urposes, i t may b e u sefu l— if e x tre me ly s i mp l ist ic—to d ist i ngu ish t hree t ypes o f c ompara t ive o r g enera l iz ing s tudy a pparen t i n t he r ecen t l i terature o n t he s tate a nd i t s o r ig ins : ( 1 )
Causa l s tud ies. Wr it ing o n t he n a ture o f t he s tate a l most a lways i mpl ies a n i n terest i n o r ig ins. I ti s a rgued t hat e vo lved ( i .e. mature ) s tates h ave ,
4 12
for historical reasons, acquired many special features and functions, and over time many random variables have come into play, so that the true organizational characteristics of the state can be profitably considered only in the context of the earliest known examples. Since such "pristine" states are both extinct and strictly limited in number, studies of this kind usually concern themselves principally with the search for recurrent causal variables in a handful of archaeologically documented "courses to statehood" (cf. Flannery, 1972:400-408). Service's Origins of the State and Civilization (1975) serves as the best recent example from a burgeon ing literature in this field. Only Adams (1966), however, has att.empted an in-depth analysis of the similarities and differences between the evolu tionary paths of two individual pristine state societies: it remains a unique study. Other writers have concentrated not on the comparative analysis of entire developmental sequences, but on the extent to which single factors, or clusters of such factors, can be demonstrated to apply to all known instances of (initially) pristine state formation: for example, trade (Sabloff and Lainberg-Karlovsky, 1975 :passim) or warfare (Webster, 1975; 1977; Fried, 1961; Carneiro, 1970). Most such studies display some degree of intellectual allegiance to the work of White (1959), Steward (1949; 1955), Sahlins (1958), Service (1962) and Fried (1967). (2) Classificatory studies. There have been numerous attempts to differen tiate broadly between states in taxonomic(or implicitly taxonomic) terms. Thus, scholars have labelled states of varied form and antiquity as pris tine, secondary, archaic, feudal, tribal, voluntary, segmentary, primi tive, formative, conditional, theocratic, secular, militaristic, expans ionist, pre-industrial, etc. and have referred to the nascent-state, the proto-stat.e, the early state module, the city-state, the empire-stat.e, and so on ( cf. Webb, 1975 :164). It is probably in relation to the great variety of African states of the last millennium that typological work has been developed most strongly (e.g. in the writings of Fortes and Evans Pritchard, 1940; Murdock, 1959; Vansina, 1962, 1966; Forde and Ka.berry, 1967). Most such studies consider_ states holistically as func tioning entities at a point in ethnographic or ethnohistoric time, and use si�e, militancy, ecological adaptation, and internal details of political and social structure as the principal classificatory criteria. ., An extension of this approach is the attempt to compare and contrast the ethos of whole state systems, for example as Coe (1961) has done in Durkheimian terms for the Lowland Classic Maya and the Khmer civilization of Cambodia. (3) Universal process studies. A few recent publications have revealed an interest in developing general models of state i'nstitutions at a higher level of abstraction �han has hitherto been the case. Articles by Wright (1977), Flannery (1972), Johnson (1973), Price (1977), and Gall and Saxe (1977) certainly adopt an explicitly evolutionary framework, but they are int.erested less in how, than in why states emerged, as a way of linking processes observed in cultural evolution of complex human systems to processes of a much more general kind. Human society is considered as "one class of Iiving system" (Flannery, 1972 :409), and the state as � particular, highly successful, form of organizational adaptation. SincE the archaeological and ethnographic record documents the substantial 413
competitive advantage of the most complex, hierarchical societies, the crucial questions are why organizations of this type are structured in the way they are, and how their mode of operation confers on them such a clear selective evolutionary advantage. Thus it is the quintessential char acteristics of the state qua state, rather than developmental sequences, whibh are at the core of these studies. It is recognized that even the most elaborate multicausal explanations for individual instances of state formation are inherently incapable of generating satisfactory cross culturally applicable statements since there will always be some stresses and processes which are universal, and some which are situation-specific (Flannery, 1972:414). A further feature is that, if we can specify the mechanisms and processes which are selected for under locally applicable socioenvironmental stresses, and which lead to the evolution of increased complexity, we can also begin to grasp the significance of general factors of the same kind for the evolution of specific systems of decreased complexity e.g. the collapse of states. Webb's (1973) essay on the fall (and rise) of the Peten Maya is a notable attempt at comprehensive gen eralization in this vein. Systems theory and cybernetics, evolutionary and geographical ecology, and control hierarchy models provide the basic framework for most studies of the type noted here. This distinction between three genres of comparative state studies should not be taken too seriously: the distinction is, indeed, more one of themes or components which can, and do, usefully co-exist side-by-side. The point I wish to make in this paper, is a simple one, however: that in building and testing models of the state there are real gains to be realized from general izing in the broadest possible terms (i.e. in the spirit of (3), rather than (1) and (2) above)". The problems associated with the origins, organization, and spread of states are sufficiently well-defined and subject to empirical inves tigation, yet at the same time sufficiently universa! in scope and importance, to constitute one of those few genuinely interdisciplinary areas of mutual inter est, where the unique data, insights, and methods of several disciplines might be brought into much stronger interaction than has generally been the case. II.
Observational Frames of Reference
There are, of course, many inherent operational difficulties in any broadly-based study of the state. The sheer scale and complexity of the phenomenon serve as automatic impediments to both archaeological and ethnographic/ethnohistoric work. Practicalities have generally forced social anthropologists working in state societies to deal with the ethnography of vil lage communities embedded in a much larger social, economic and political matrix, the historical outlines of whi�h are a broad sense known (cf. Davis, 1977:1-10, 239-258). For archaeologists, the converse is true: it has usually been the case that the central places of extinct states have received much more intensive analysis than the environmental and social landscapes in which they and their satellites existed, although a number of major inter disciplinary projects in several areas of the world are now attempting to correct this imbalance. Yet as a recent colloquium revealed (Bintliff, 1977), even in the case of an early complex society such as the Minoan-Mycenaean, 414
. which has been the subject of continuous and intensive research for almost a century, there is still next to nothing known about such fundamental aspects as economic organization, or the development of settlement networks and hier archies: the search for a dynamic to drive the system and for the causal con ditions which brought it into existence accordingly seem all the more remote, despite the prospects for substantial progress in the immediate future (Renfrew, 1977a). Nonetheless, in projects inaugurated since £.· 1960 investigating the emergence of complex societies, it is encouraging to note the ambitious regional scale of operations, the catholicity of the personnel involved, and the degree to which sustained attempts are being made to generalize i.e • to set specific regional findings within the context of states (or at least early civilizations) in general. Social and economic anthropologists interested in the dynamics of stratified, large-scale contemporary societies have also recently become alerted to the possibilities of analysis and pattern recognition on a regional scale (e.g. Smith, 1976, arui" references therein). There also exist difficulties of a largely semantic nature, familiar from repeated discussion, yet still crucial in the context of cross-cultural studies, which al ways run the risk of comparing the incomparable. One such difficulty is the problem of distinguishing states from complex and hierarchical non state societies ("chiefdoms"), a problem not restricted to the archaeological record alone. Another concerns the extent to which the terms "civilization", ''urbanism", and "state" may be considered to refer to the same phenomena, and to comparable processes, or, conversely, should be sharply differentiated. Anyone who has dipped into the literature on complex societies will have con fronted these problems and wondered if there remains anything more to be said on any side. Here I wish to give sane consideration to a taxonomic distinction that most writers on the state accept without demur-that of primary and secondary states-and to question its usefulness in the formulation of general izations about state systems. '
The terms "pristine" and "secondary" gained currency in the 1960s with the evolutionist writings of Service (1962), Adams (1966), Fried (1967) and Sanders and Price (1968 ): the underlying idea, however, was first given force ful expression by Childe (e.g. 1958 :150-173), whose writings abound with the trenchant image of civilization diffusing from primary to secondary, and from secondary to tertiary centres, like some infectious disease-a metaphor Childe himself used. To the extent that the pristine states can be demonstrated to have evolved their complexity in total isolation from contact with existing states (and here there exist both definitional and empirical problems which re main unresolved), the classification is useful, since it forces us to face squarely the question of the degree to which intra-, rather than inter-, systemic factors can be seen to underlie the development of individual complex societies along their paths to statehood (cf. Webb, 1975:169-170). Secondary states are certainly posterior in the chronological sense, and by definition arose in 3,. political field complicated by the presence of developed polities at the periphery. But it is becoming increasingly clear from what we know of comparatively recent instances of state formation that for many so-called secondary states the development of hierarchy, heterogeneity and complexity was largely an intrasystemic process in its own right, whatever the initial factor(s) that sparked it off. In what sense, then, are these states secondary? 415
The argument may be inverted to apply equally to pristine states. Thus Kottak (1972:378-379) finds it, "••••hard to say whether Buganda should be regarded as a pristine or a secondary state. This paper illustrates for one specific evolutionary sequence what I think has been generally true of stat.e systems throughout the world, even those which Fried (1967) would call pristine-no population develops a state entirely by itself. There have been trade contacts between most of the major states of the Old World, and interregional exchange certainly played a role in Mesoamerican and perhaps Peruvian developments. A view which focuses attention on processes of socioeconomic evolution rather than on the source of diffused "innovations" makes the dis tinction between pristine and secondary states a false one." Recognition of this fact has been delayed by the widespread reluctance to specify or investigate in detail the actual mechanisms of this nsecondary" process, using as a surrogate vague terminology such as "stimulation", "influence", "acceptance and adoption of the idea of civilization" ( cf. Renfrew, 1970, for a critique). To focus on local, internal processes is not to deny the existence or importance of contacts with existing states, as has sometimes been claimed in over-simplistic discussions of the role of diffusion versus independent invention in the growth of civilizations; rather, it emphasizes the whole-system responses to the stresses and opportunities created by such contacts. Thus, for example, Webster has put forward a closely argued case for considering warfare not as an "active driving force" in the evolution of states (i.e. conquest and incorporation as a mechanism for spreading states into secondary areas), but as providing " ••••the supportive climate which initially ensured the survival 'and/or intensification of fragile political and economic evolutionary processes (i.e. incipient concentration of wealth and power), inher ent in complex ranked societies, which under other circumstances would have generated self-destructive stresses." (Webster, 1975: 469) The conditions of chronic, small-scale warfare which Webster's model presupposes are to be clearly distinguished from the more grandiose proces ses of military conquest, which can apply only to the secondary states. Webster's contribution (cf. Carneiro, 1970) is to spell out in detail the effects of warfare as a mechanism in promoting the development of the state: his conditions (Webster, 1975 :466) apply equally to primary and secondary states, and his model gains in power and generality from the extent to which it invokes the same general processes and mechanisms to explain the beginning of com plexity in both "ldnds" of state. Similar considerations are transforming the role assigned to inter systemic exchange flows involving states and non-states. What seems im portant here is not so much the technological impact of traded resources, or the physical contact of a less complex with a more complex society ( contact which was in many historically documented cases quite marginal), as the 416
p oss ib i l it ies f or i n terna l p o l it ica l man ipu la t ion b y s oc ia l a nd e conom ic s pec ia l i n terest g roups a nd emergen t e l ites , w h ich t he i n troduct ion i n to t he s yste m o f e ven q u ite l im ited amoun ts o f a dd it ional n ew r esources— i nc lud ing l and , l abour a nd w ater , a s w e l l a s r aw ma ter ia ls a nd a rt ifacts— made p oss ib le ( Flannery , 1 968; 1 976 :283-328 ).
Aga in , w ha t i s o f r ea l i n terest a re t he g enera l p roces-
s es s e t i n t ra in b y d if feren t ia l a ccess t o , a nd mob i l iza t ion o f , t he n ew w ea lth ( c f . G ledh i l l , t h is v o lume ) : t he f ac tors g enera t ing t he i npu t o f a dd it iona l b as ic r esources t o t he s yste m a re l ike ly t ob e s i tua t ion-spec if ic , a nd , t heref ore, a n on-cruc ia l s ource o f v ar iab i l ity w ith in a nd b e tween p r ist ine a nd s econda ry s ta tes. S ince t hese g enera l p rocesses o pera te r egard less o f t he p r ist ine o r s econdary s ta tus o f t he s oc iety i nvo lved , w e may q uest ion t he v a lue o f r eta in ing t he c lass if icat ion , a t l east f or r esearch o f t he t ype i n q uest ion h ere. T axono m ies must b e o fh eur is t ic v a lue t o b e r e ta ined.
T he ir f unc t ion i s
t o a l low u s t o i mpose o rder o n o bserved v ar iab i l ity b y t he r ecogn it ion o f g ene ra l c a tegor ies , i nd iv idua l me mbers o f w h ich a re a greed t o b e " a l ike" . Bu t a s Ren frew ( 1974 :93-94 ) h as a rgued , c lass i f ica t ions—part icu lar ly w hen d ea li ng w ith s uch c omp lex , mu l t ivar ia te e n t it ies a s w ho le h uman s yste ms—are mere ly c onven ien t a nd t e mporary s tepp ing-s tones , d iscre te c a tegor ies f or e xped ien t r eference u n t i l w e c an q uan t ify c on t inuous v ar iab les more p rec ise ly. T he f i na l g oa l , h owever , i s n ot c lass if ica t ion b u t g enera l izat ion : f t ....Procedures d o e x ist f or mak ing u se fu l c ompar isons , a nd ... .the ir u se i s o ne o f t he most p os it ive f eatures o f s tructura l ist a n thropo logy . W ithou t s uch c ompar isons t here i s n o h ope o f f or mu lat ing a ny g enera l iza t ions w ha tever a bou t t he p ast , s ince n o g enera l iza t ion o r l aw c an b e b ased u pon a u n ique c ase i n i so la t ion . The a ppropr iate p rocedure mus t b e t o f ocus o n s tructures a nd p rocesses , s o d ef in ing t hese t hat c ompar ison b ecomes p oss ible. Compar ison b etween u n ique s oc iety A a nd u n ique s oc ie ty B i s o n ly f eas ib le.. .through t he d e l ibera te f or mu la t ion o r r ecogn it ion o f g enera l c a tegor ies..." ( Ren frew , 1 974 :93 ) I f ,t hen , w e a sk w ha t a re t he a i ms o f s uch g enera l izat ion i n c ompara t ive s tate s tud ies , w e m igh t s ugges t t he f o l low ing :1 .
2 . 3 . 4 .
To i so la te t he e ssen t ia l o rgan iza t iona l c harac ter is t ics o f t he s tate , r egard less o f t ime a nd p lace , a s as pec if ic f or m o f c u l tura l a dap tat ion . T o u nderstand t he d ynam ics o f t he s tate a s af unct ion ing e n t ity . To e xp la in t he s e lect ive e vo lu t ionary a dvan tage o f t he s tate w h ich h as l ed t o i t s w ide g eograph ica l d ispers ion . To d etect u n iversa l mechan is ms a nd p rocesses , a s d ist inct f rom s pec if ic s oc ioenv ironmen ta l s tresses , i n t he o r ig ins a nd g row th o f s ta tes.
F or n one o ft hese a i ms i s t he p r ist ine/secondary d ist inct ion o f a ny r ea l v a lue , a nd Ia gree s trong ly w i th R en frew ( 1975 :34-35 ) t hat t here i s l i t t le t o b e g a ined f rom c on t inu ing t o d raw t h is d ist inc t ion . Ih ave dwe l t a t s ome l eng th o nt h is q uest ion n o tb ecause i ti s d if f icu l t t o r eso lve ( i f t he t er m i s n o l onger u sefu l , d on 't u se i t», b u t t o emphas ize t he 4 17
imp l ica t ions o f t he r estr icted s cope o f many d iscuss ions o f s tates e ngendered b y t he d ist inct ion .
There h as b een a p ern ic ious s ide-effect :
t he d eve lopmen t
o f a nu nquest ioned o rthodoxy c oncern ing t he l eg it i ma te d ata b ase f or i nvest igat ing t he o r ig ins a nd c haracter ist ics o f t he s ta te.
Consc iously o r n o t , h a l f
ad ozen i nstances h ave t o ta l ly c o me t o d om ina te a rchaeo log ica l t h ink ing a bou t t he s ta te ( t hough c f. Webb , 1 975 ). O bv iously , t h is i s n ot a d es irab le s i tuat ion . I fw e a re t ry ing t o p roduce g enera l s tate men ts, o ur c ompara t ive b ase must b e a s w ide a s p oss ib le , a nd w e s hou ld make s ome a t tempt t o o bserve a nd e xp la in v ar ia t ion i n h uman b ehav iour e thnograph ica l ly a s w e l l a s a rchaeo log ica l ly. Th is i s s i mp ly a c la im t hat t here e x ist v ar ious p oss ib le o bservat ional f ra mes o f r eference f or t he d ata w e u se t o t ack le v ar iab i l ity i n h uman s yste ms.
I ti s
n ecessar i ly t he c ase t hat t here c an b e n o d isc ip l inary monopo ly o ver t he most c ruc ia l p rob le ms i n t he s tudy o f man , o f wh ich t he r ise a nd s pread o f s tates must c erta in ly b e c oun ted a s o ne. D isc ip l inary b oundar ies i n t he s oc ia l s c iences a re e rected p r inc ipa l ly o n t he b as is o f u n ique p erspect ives o n t he r elat ionsh ips b etween p heno mena , n ot o n t he e x istence o f u n ique d a ta s ets ( Haselgrove 1 977 :92 ).
The a ctua l d ata w e u se t o a pproach o ur p rob lems o f
mu tua l c oncern a re i rre levan t. The l ast p o in t i s w orth s tress ing f or t he v iewpo in t o f t he p resen t p aper, s ince t here c learly s t il l e x ist d oubts c oncern ing t he l eg it i macy o f ag enera l c o mparat ive , a pproach i n a rchaeo logy i n wh ich d a ta f ro m t he p resen t a re r elat ed t o t hose f rom t he p ast ( and v ice v ersa ) u nder t he u n ify ing f ra mework o f t heory ( e .g. T r ingha m , 1 974; L each , 1 973; Row lands a nd G ledh il l , 1 977 ; c f. O r me , 1 974 ). O bv iously , f ac ile e qua t ions o f f unct ion w ith f or m , w ithou t a t ten t ion t o c on tex t , i n s oc iet ies w ide ly s eparated i n s pace a nd t ime a re n e ither s ound n or p rof itab le , b ut t h is i s ad ifferen t p ropos it ion f ro m t he a ss er t ion o f Row lands a nd G ledh il l ( 1977 :146 ) t hat " compar ing a rchaeo log ica l ma ter ia l t o e thnograph ic mater ia l c ases a nd t he ir a ssu med f unct ions i s a n i nva l id p rocedure a t t he methodo log ica l l eve l. "1 I fi ti s l og ica l ly i nadm issab le t o j ux tapose o bservat ions o n ad ef ined v ar iab le i n t wo s oc iet ies r e mote f rom e ach o ther , o ne k nown a rchaeo log ica l ly a nd o ne k nown e thnograph ica l ly , t hen i ti s a lso i nadm issab le t o d o s o when o bserva t ions o nb o th s oc iet ies d er ive f rom t he a rchaeo log ica l r ecord ( "archaeo log ica l a na logy" ), o r e thnograph ic f i e ldwork ( i .e. e thno logy ).
I ft h is w ere t he c ase , w e s hou ld , i n f act , b e s ub-
merged a ga in i n t he murky s eas o f p art icu lar ist ic, u n ique f acts wh ich h ave swa mped a rchaeo logy f or s o much o f i t s l i fespan a s ad isc ip l ine ( see S outh , 1 977 ).
Row lands a nd G ledh il l 's d issat isfact ion s te ms , o f c ourse , f rom t he
f act t hat r egu lar it ies d iscerned f rom c ompara t ive s tud ies c an o n ly b e model led a nd t ested f or t he p ast w ith r eference t o t he ma ter ial c u lture o f t he a rchaeo lo g ica l r ecord p reserved i nt he p resen t ( and w ithou t r eference t o a l l t he o r ig ina l s tructures a nd p rocesses wh ich g enerated t h is r ecord ). Bu t h ere in l i es t he r ed h err ing o f L each 's ' black b ox" ( Leach , 1 973 :764-768 ) , wh ich c onst itu tes a n i nappropr ia te methodo log ica l c r it ic is m , s ince t he p rob le m o f e va luat ing a l terna t ive t heor ies a bou t t he c on ten ts o f t he b ox ( i .e. t he o perat ion o f t he h uman s yste m ) i s n ot p ecu l iar t o a rchaeo logy , b u t i s " an a bso lu tely u n iversa l f eature o f o ur s upposed k now ledge o f t he e x terna l w orld" ( Me l lor , 1 973:496 ). I ti s importan t t o r ecogn ize t hat w h ile s im i lar p at terns a re s ome t i mes g enerated b y r ad ica l ly d if feren t p rocesses, mere ly t o l a men t t he amb igu i t ies a nd p rocedura l d if f icu l t ies wh ich may b e e n ta i led i s n o t p roduct ive. 4 18
A l ess
n ega t iv ist a t t itude f l ows f rom t he f o l low ing p ropos it ions : ( a ) t hat a l l h uman c u ltures a re t o ah igh d egree s tructured a nd p a t terned ( i .e. n egen trop ic l i v ing s yste ms );
( b ) t hat s uch s yste ms h ave e x isted i n t he p ast a s i n t he p resen t ,
j ust ify ing o ur e xpectat ions o f p at tern ing i n t he d a ta ;
( c ) t ha t " archaeo log ists
a re d ependen t f or b u i ld ing models u pon t he k now ledge c urren t ly a va ilab le o n t he r ange o f v ar iab il ity...in c u ltura l s yste ms" ( Bin ford , 1 972 :60 ), a nd ( d ) t hat t h is imp l ies n o c on trad ict ions i n t he i n terchangeab il ity o f d ata a nd c oncep ts b etween p resen t a nd p ast c on tex ts. I ft h is i s s o , t hen t he w or ld—sub jec t t o t he s pat ia l a nd t e mpora l l im itat ions imposed b y s pec if ic p rob lems o f i n terest— is o ur o yster , a nd w e s hou ld c hange o ur d isc ip l inary h a ts f requen t ly a s w e move a round f ree ly amongst t he d a ta a nd c oncep ts w h ich b ear o n t hese p rob le ms. Ih ave a lready s uggested e arl ier i n t h is p aper t hat r ecen t h un ter-ga therer s tud ies s how s igns o f a t ta in ing t h is h appy s ta te o f c o mpara t ive r esearch , b u t t he p rospect i s s t il l s ome w ay o f f f or r esearch o n s tate s oc iet ies.
Rather
t han e nu mera t ing e ither t he d ata s ets o r mode l c oncepts f rom o ther a reas a nd d isc ip l ines wh ich m igh t b e o f i n terest f or a c omparat ive a rchaeo logy o f t he s tate , Is ha l l d iscuss i nt he r est o f t h is p aper t hree e xamp les o f p rob le m f i elds i n s tate s tud ies ( one s pec if ic, a nd t wo much more g enera l ) i n wh ich g enera l p ropos it ions a re l i ke ly t o emerge f rom w ork i n al essinh ib ited t ime a nd s pace c on tex t. I I .
Exa mp le 1 :
Ra mages a nd Ru lers
A r ecen t a rt icle b y W inze ler ( 1976 ) h as s uggested t ha t a n importan t f actor i n t he l ate emergence a nd i nst itu t iona l w eakness o f S outheast A s ian s tates i s t he l ack i n t he a rea o f c on ica l r anked u n i l inea l d escen t g roups ( i .e. r amages , o r s tra t if ied l ineages :
s ee K irchho f f , 1 968;
S ah l ins, 1 958 : x i ).
S uch g roups, i ti s a rgued , s erve a s as ort o f p readap tat ion f or t he d eve lopmen t o f s tra teg ic monopo l ies o f w ea lth a nd p ower, a nd o f t he e f fect ive v er t ica l l inkages b etween r u lers a nd r u led w h ich a re e ssen t ia l f or a s tab le s trat if ied s tate s yste m.
Th is a rgumen t , o f c ourse , r e lates t o ac ent ra l p rob lem i n
e xp lanat ions o f s tate f or mat ion , i .e. a ccoun t ing f or t he f actors wh ich a l lowed t he u n iversa l mechan is ms o f " cen tra l izat i e ' a nd " l inear izat ion" i n a dm in ist ra t ion a nd e nergy/ in for ma t ion f l ows ( Flannery , 1 972 ) t o o verr ide t he t end dnc ies f or f i ss ion , o r a t l east c ycl ica l i nstab i l ity , i nheren t i n a l l o ther n ons tate s oc iopo l it ica l s ystems ( c f. Webb , 1 975 ). S ince c ons idera t ions o f h iera rchy a nd d ec is ion- mak ing o rgan izat ion h ave r ecen t ly b een p roposed a s t he d om inan t d ef in it ional c r iter ia f or t he s ta te ( Wr igh t , 1 977 ; J ohnson , 1 973 ), i t i s l og ica l t o e xpect t hat a n teceden t s oc iet ies c haracter ized b y a na logous, v ert ica l ly-stacked k insh ip g roup ings a nd d escen t s yste ms ( a lbe it o n a sma l ler s ca le , a nd n ot p red ica ted o n t he e x istence o f a bso lute monopo l ies o f w ea lth a nd c oerc ive p ower ), m igh t p rov ide e nv ironmen ts c onduc ive f or t he d eve lopmen t o f s trong ly h ierarch ica l s tates.
W inze ler ( 1976 ) p o in ts t o t he sma l l
s ize, s hort t e mpora l d ura t ion , o rgan iza t iona l w eakness , a nd o ver-cere mon ious n ature o f most o f t he n umerous c oasta l a nd i n land s tates o f S outheast As ia f ro m Bur ma t o t he S ou thern Ph il l ipp ines , a nd a t te mpts t o d e monstrate i n a g enera l w ay t hat t hese f eatures a re t o b e c orre lated w ith ( and e xp la ined b y ) t he p reva lence i n t he a rea o f c ognat ic d escen t o rgan izat ions. There a re a n umber o f o b ject ions o r q ua l if icat ions t o t h is v iew wh ich n eed n ot b e e labora ted h ere , s ince t hey a re d iscussed i n s ome d eta il b y t he 4 19
scholars whose comments are published together with Winzeler's paper (1976: 632-637, see especially the comments of Cohen, Hutterer and Webb). One major difficulty concerns evidence from elsewhere (principally Africa) that bilateral,non-unilocal descent modes of organization may in fact develop with the rise of stratification and centralized government, so that the very feature c laimed as a retarding influence may in fact correlate strongly with the rise of states elsewhere in the world. It also seems to be the case that Southeast Asian societies developed alternative forms of loose social grouping ("alliance units') which effectively counteracted the fissioning characteristics of cognatic descent Webb cuts the Gordian knot by generalizing the argument: largescale kin groupings of almost any form constitut.e mechanisms for mobilizing and allocating wealth and power, so that it is not necessary to be over-specific in our claims for societies preadapted for channelling the upward and downward
flows of energy and information within tpe nascent stare (Webb, in Winzeler, 1976:637). However, it is the more general methodological aspects of this study that I wish to emphasize here. First, it is a broadly comparative study of the kind the present article attempts to commend. Win7 Pler takes specific variables which are (at least in
principle) precisely detinable, and measures them across a wide temporal and spatial sweep of societies, drawing on archaeological, historical and ethnographic materials. This does not produce explanations, but patterns of association for which hypothetical generating processes may be suggested; it is at the next stage (testing) that it becomes appropriat.e to plunge again into the details of the environmental situations and specific historical trajector�es of the societies in question. In short, there has been suggested a regularity that requires testing. What is needed is further generalization involving a substantial number of cases, beyond as well as within Southeast Asia, in which we can relat.e the strength or degree of vertical structure in state- or nearstate level societies to aspects of kinship grouping and descent type. The difficulties inherent in such a study should not be underemphasized, although it is not different in kind or scope from cross-cultural work in American cultural anthropology, as seen for example in the journal E thnology. But expanding the range of variability considered in this way is crucial, since our explanatory theories gain strength to the extent that they provide common explanations for previously unrelated data from the ethnographic, historical, and archaeological sources. This last aspect is important, since there persist negative opinions-epitomized in M. A. Smith's classic paper of 1955-con cerning the possibility of acquiring reliable knowledge of social organization or ideology in the past from the archaeological record. However, in relation to Winzeler's suggestions, the fact that such questions are not entirely beyond reach for archaeologically known states is suggested by recent com ments on the importance of conical clans in relation to Shang China (Chang, 1974 ) Ear ly nyDastic Mesopotamia (Adams, 1966:81-86; Service, 1975:212-213), the Aztec st.ate (Adams, 1966:87-94 ; Wolf, 1959:135-137), and Inca Peru (Fox, 1971:150-152, and references cited therein). The, recent exciting breakthrough in work on Early and Late Classic Maya dynastic genealogies implies the existence of a similar (patrilineal) sociopolitical organization for that society also (Haviland, 1977), a paper which serves as an object lesson in the painstaking research required to wrest information of this sort from 420
t he a rchaeo log ica l r ecord.
Fox 's ( 1971:129-163 ) w ork o n t he s tra t i f ied l i ne-
a ges o f t he Ra jpu t s ta tes o f med ieva l N orth I nd ia p rov ides a n e xamp le b ased o n d ocumen tary s tud ies ; a nd w e s hou ld a lso n o t o ver look t he p oss ib i l it ies o f o ra l t rad it ion u nder f avourab le c ircumstances ( Vans ina , 1 963 ) f or i nvest igat i ng q uest ions o f t h is k ind—for i ns tance , i n t he i n ter-lacustr ine r eg ion o f East A fr ica , f or wh ich i ti s n ow p oss ib le t o c ompare a nd c on trast s tates w ith g enea log ica l ly a rt icu la ted s oc ia l a nd h istor ica l t rad it ions r each ing b ack t o t he f ourteen th c en tury . Work o f t h is k ind s hou ld e ncourage t he v iew t hat s ta tes r emo te i n t ime a s w e l l a s s pace h ave a l eg it i mate p lace i nb road ly c omparat i ve s tud ies, e ven when t he f ocus i s o n n on- ma ter ia l c u lture ( c f . L each , 1 973 ). S econd , t he s ta tes c ons idered b y Winze ler d o n ot c on for m t o t he n or mat i ve model o f t he s ta te a s as trong s tab le c en tra l ized h ierarch ica l o rgan izat ion . They a re w eak i n s tructure a nd u nstab le i n t he manner t yp ica l o f c erta in c h ie fd oms , a nd a re t herefore o f p ar t icu lar i n terest f or t he h in ts t hey may p rov ide c oncern ing t he f actors i mportan t f or t he d evelopmen t o f more s tab le f or ms e lsewhere. There i s a n i mpor tan t methodo log ica l c ons idera t ion h ere : t he n eed t o c ons ider t he n u l l c ase. P fe iffer ( 1976 :26-27 ) h as r ecen t ly emphas ized t h is p o in t i n r e lat ion t o t he s earch f or t he r easons w hy a gr icu lture a rose where a nd w hen i td id : t...It may b e a s i mpor tan t t o c ons ider r eg ions w here a gr icu l ture d id n o t a r ise a s i ti s t o c ons ider t he c ourse o f e ven ts i n f ert ile c rescen ts , h earths o f d omest ica t ion , a nd o ther n uc lear a reas. I nd eed , n onor ig ins may t urn o u t t o b e a t l east a s s ign if ican t a s o r ig ins i n i den t i fy ing t he ma jor f orces w h ich d e term ine w he ther o r n o t a gr icu lture w il l b e a pp l ied o n al arge-sca le, r egu lär b as is." By f ocus ing a t ten t ion o n t he n u l l c ase , w e f ace u p s quare ly t o t he f act t ha t u nderstand ing t he p rocesses w h ich g enera te a p henomenon s uch a s t he s ta te imp l ies t he a b il ity t o p red ict ( or , p roper ly , p ostd ict ) n o t o n ly w here a nd . when i ti s l ikely t o a r ise , b u t a lso where w e w ou ld b e s urpr ised t o s ee i t a r ise a t a l l , a nd why i np ract ice i td id n o t a r ise i n c er ta in a reas w here t heory m igh t l ead u s t o e xpect i t . Why , f or e xamp le , d id s ta tes n o t a ppear i n s ome o f t he l arger P o lynes ian i s lands c haracter ized b y e co log ica l v ar iab i l ity , d ense a bor ig ina l p opu lat ions , p hys ica l a nd s oc ia l c ircumscr ip t ion , a nd s evera l o ther v ar iab les f requen t ly a ssoc iated w ith s tate f ormat ion? I n s o me c ases , i ti s c lear t ha t i n terna l ly-dr iven d eve lopmen ts t owards c omp lex ity w ere i n p rocess , b u t t ha t t hese w ere a rres ted b y p o l it ica l i ncorpora t ion i n to b order ing c onquesto r ien ted s tates : t he f a te o f t he c iv ita tes o f l a te p re-Roman I ron Age G au l p resen ts o ne s uch i nstance ( tu t s ee N ash , t h is v o lume ).
Y et w e k now o f many
s oc iet ies , b o th f rom t he a rchaeo log ica l r ecord a nd f rom e thnoh istor ic a ccoun ts a t c ont ac t , w h ich d eve loped s trong l eadersh ip , r e lat ive ly s oph ist ica ted o rgani za t iona l s truc tures f or i n for ma t ion-process ing a nd d ec is ion- mak ing , a nd e ven t he a b i l ity t o p erfor m a c t iv it ies more r em in iscen t o f t he `state , b u t n everthel ess s ee m t o h ave s tuck f ast a t t he c h ie fdom l eve l " as t he n a tura l e nd o f s oc ia l e vo lu t ion" ( Webb , 1 975 :157 ).
W inzeler ' sS ou theast As ian e xamp les a re
s oc iet ies wh ich a ch ieved s ta tehood o n ly i n a n u nusua l a nd r a ther v ar iab le s en se. To v ary ing e x ten ts a l l t hese c ases c onst itu te i t erat ions o f t he n u l l c ase , a nd t he n u l l c ase t hat r equ ires t he most e xp la in ing i s t hat i n w h ich t he
4 21
s tate m igh t h ave b een ( bu t i np ract ice was n o t q u ite —see H ines, 1 977 ) a ch ieved . The most f requen t ly a dduced e xp lanat ion , v iz. t ha t i nsu ff ic ien t t ime h ad e lapsed f or a p rescr ip t ive ly e vo lu t ionary s equence t o r un i t s c ourse, i s e n t irely v aluel ess, s ince t ime i s mere ly a r eference d i mens ion f or t he measure men t o f o ther v ar iab les , n ot a c ausa l v ar iab le i n i t s own r igh t. We a lso k now t ha t u nder f avourab le c ircu mstances t he s ta te c an r ise q u ite e xp los ive ly ( e .g. t he Z u lu s tate , S erv ice , 1 975 :104-116 ), s o t hat l ong d evelopmen ta l s equences a re n ot n ecessar ily a p rerequ is ite. I V.
Exa mp le 2 :
S pat ia l Aspects o f Sma l l-Sca le S tates
As a nother i l lustrat ion o f p ro f itab le g eneral izat ion i n t he f i eld o f s tate s tud ies , Iw i l l n ow t urn t o q uest ions o f s pat ia l p at tern , w ith s pec if ic r eference t o ac oncep t r ecen t ly i n troduced t o t he l i tera ture b y Ren frew . The Early S tate Modu le ( ES M ) ( Ren frew , 1 975 :12-21; c f. 1 977a :115-118 ) was f i rst p u t f orward a s af a ir ly s i mp le , emp ir ica l g enera l iza t ion b ased o n ar ather sma l l s a mp le o f c ases , a lthough t h is g enera l izat ion h as s ubsequen t ly l ed t o t he f or mu lat ion o f as pat ia l model i n w h ich " ana logous p rocesses w ith a na log ies i n t he r esu l t ing ma ter ia l c ul ture a re p red icted f or s oc iet ies wh ich h o ld a n umber o f f unda men ta l c ircu mstances i n c o mmon" ( 1977a :117 ). H is p ropos it i on i s t hat w e c an d etect i n t he c ase o f s evera l ( ear ly ) c iv il izat ions a r ecurren t p at tern i n wh ich e ach o f an u mber o f a u tono mous c en tral p laces , r epresen t ing t he h ighest l eve l i n t he s et t le men t h ierarchy , c o mmands a f tu n it o f t err itory. The c haracter ist ic s pat ia l c onf igura t ion i s af a irly e ven s pac ing o f s uch c en tra l p laces , w ith s ome d egree o f c omparab il ity i n t he s pat ia l e x ten t a nd s pac ing o f t he ir t err itor ies.
I ndeed , ap art icu lar p o in t o f i n terest i s t he a pparen t e x is-
t ence o f s ome d egree o f c ross-cu l tura l r egu lar ity i n t he a bso lute , s ize r ange o f s uch modu lar u n its:
t he n ot iona l t err itory i s f requen t ly o f t he o rder o f
C . 1 500 s quare k i lo me tres , w ith a c en tra l p lace s eparat ion o f a round 4 0 k ilometres, a lthough f ac tors s uch a s e nv ironmen ta l v ar iab il ity , o r s o me f or m o f s oc ia l c ir c umscr ip t ion , c an l ead t o s ubstan t ia l d ev iat ions f ro m t hese f igures. A n umber o f s uch u n its may r eta in t he ir a utonomy i n p o l i t ica l a nd t err itor ia l t er ms wh i le s har ing i n wha t Red f ield c a l led " The G reat T radi tion" ( 1 955 ) : d ist inct ive a rt s ty les , i deo log ica l s tances , e tc.
F ina l ly , i ti s o ften t he c ase
t hat g roups o ft hese modu lar u n its u ndergo a u n if ica t ion p rocess, w hereby a s ing le c en tra l p lace e ven tua l ly a ch ieves a d om inan t , h igher-order p os it ion a t t he e xpense o f t he a u tonomy o f t he e x ist ing u n its. For s evera l r easons t h is c onstruct s ee ms a sma l l b ut s ign i f ican t s tep t o wards a b et ter o vera l l u nderstand ing o f t he o r ig ins a nd o rgan izat ion o f s ta tes.
I n t he f i rst p lace , i tg ives f or ma l s tatus t o a n o therw ise d im ly p er-
c e ived i dea :
t hat i n s o me, p erhaps many , i nstances t he s tate d oes n o t
emerge d irect ly a s a mono l ith ic s oc iopo l i t ical e n t i ty , b u t r a ther a s a n u pwel l ing u nder c ond it ions o f mutua l c o mpet it ion ( Webster, 1 975; 1 977 ), o f as er ies o f f a irly sma l l-sca le u n its f requen t ly w ithou t t he h igh ly-structured c on tro l h iera rch ies t yp ica l o f f u l ly d eveloped s tates ( c f. P r ice , 1 977; Fr ied , 1 967 :232 ). Fa i lure t o d ist ingu ish s uch u n its b oth f rom t he sma l ler a nd o f ten l ess p er man en t c en tra l p laces wh ich w en tb efore , a nd f rom t he t err itor ia l ly more e x tensi ve a nd a cqu is it ive p o l it ies t o w h ich t hey u sua l ly g ave r ise , i s b ound t o l ead t o s o me c on fus ion i n w r it ing o n t he e ar ly s ta te. S econd ly , when c omb ined w ith a ppropr iate e xchange mode ls ( Ear le a nd E r icson , 1 977 ), t h is c onstruct 4 22
can provide some insight into the manner in which a cultural, symbolic and ideo , w de region which has not itself yet come cal koine can develop o uncter po 1 a ication (cf. also Renfrew, 1977b). Finally, and most important, it provides some specific and testable predictions for the spatial, archaeologically visible, aspects of emergent, small-scale states. The state has always proved difficult to define, not only because of seman tic confusions with urbanism and civilization (conceptually distinct yet over lapping terms), but because the accepted anthropological criterion, "the presence of that.spe rn n , f control, the consistent threat of force by a body of persons legitimately constituted to use it" (Service, 1962:171), is largely unrecognizable in the rrchaeological record. If centralization and struc hierarchy are, however, quintessential features of complex organizations such as the state, then archaeologists must expect, almost as an article of faith, that these features should be reflected in a spatial cornpo t: n h d patter that can be correlated with the state's ability to function as a powerful exploitative and coordinating institution. Varying degrees of optimism are, of course, possible concerning our expecta tions of seei� patterning in the data and being able to unravel its significance (e.g. Binford, 1972:95). Nevertheless, Webb's attempts (1973; 1975) to maintain the primacy of Service's criterion-even for archaeological work seem generally less useful than the recent trend, seen for example in the writing of Wright (1977), Johnson (1973; 1975), Wright and Johnson (1975), Renfrew (1975; 1977b) and Crumley (1976), towards archaeologically effective definitions based on the spatial organization of complex societies. It must be borne in mind, however, that the concept of the E.SM as it stands, is not an e lanation for anything: it is merely archaeological pattern recog- ·tion by the usual means, i.e the measurement of a number of vari ables over time and space. The initial formulation drew on data from only 8 cases, albeit quite remote from one another in space and time. To the extent that intere ting recurrent patterns are discernible in this sample, it is worthwhile taking the next step and assessing the model in the light of a much wider range of spatial data from_ appropriate contexts. This interesting avenue for research should not only evaluate goodness-of-fit in a timeless and spaceless sense, but l · dicatc �he ircumstances UI14t.- hich the pattern does no old ' nuc leated s et t le men ts ' >' s ta tes ' s hou ld b e r es is ted , a lthough t h is d oes n o t , h owever, e xc lude t he p oss ib i l i ty o f more c omp lex i n teract ions b etween t he r e levan t v ar iab les. The d egree t o wh ich a gr icu l tura l s urp lus , s pec ia l izat ion a nd t rade a re i n ter-re la ted i s o ne s uch a rea f or i nvest igat ion , a nd i ti s l ike ly t hat e co log ica l a nd e nv ironmen ta l f actors , e spec ia l ly o f an on-recurren t o r c a tastroph ic n a ture ( c f . G oody , 1 967 ) h ave h ad t he ir p art t o p lay a longs ide p o l it ica l u pheava l , t echno log ica l i nnova t ion a nd d e mograph ic c hange i nf os ter ing s uch l i nkages. Be fore s earchi ng o u t d a ta o nt hese t op ics , h owever , i t may b e worth c ons ider ing w he ther o r n ot d i f feren t f ar m ing s ystems i n d i fferen t e co log ica l z ones s how ing b road ly s im i lar l eve ls o fp roduc t ive e f f ic iency i rrespec t ive o f p o l it ica l o r s oc ia l o rgan iza t ion i s s o s urpr is ing a f ter a l l f or i t may n o tb e t ha t e co logy i s i rre lev an tb u t t ha t s ome o f t he d iferences b etween ' s tates ' a nd ' s tateless s oc iet ies ' a re e xaggerated o r n on-ex isten t i nt he f i rst p lace. I ti s w ith t h is p o in t i n m ind t ha t t he s econd p art o f t h is p aper l ooks a ga in a t e v idence c oncern ing modes o f s pa t ia l o rgan iza t ion o f s et t lemen t t hough t t o b e c haracter ist ic o f s ta tes a nd s tateless s oc ie t ies.
I np art icu lar t he t endency t o i den t i fy s ta tes
w ith p reindustr ia lu rban izat ion o n t he o ne h and a nd s ta te less s oc iet ies w ith v i l lages o r s pa t ia l ly d isaggregated s et t lemen tp at terns o n t he o ther i s c ha ll enged a s b e ing m is lead ing ly r ig id. Th is v iew , i ti s a rgued , e ncourages d oub tf u l a ssump t ions a bou t t he t echno log ica l b ackwardness o fp o l it ica l ly a cepha lous o r g eograph ica l ly d ecen tra l ized s oc iet ies a nd c rea tes u nnecessary p erp lex ity o ver s uch i ssues a s h ow t he s oph ist icated b ronzes o f I gbo Ukwu ( Shaw , 1 970 ) c ou ld emana te f rom a r eg ion o f West A fr ica n o t n o ted f or p re-co lon ia l u rban n uc lea t ion . Once a ga in a n e nergy-based i npu t-ou tpu t a pproach—though t h is t ime a pp l ied t o s et t lemen t i n fras truc ture a nd b ecause o f d a ta c ons tra in ts e ven more s ke tch i ly d eve loped t han i nt he c ase o f t he f ar m ing s ys te ms a na lys is p rev ious ly a t te mp ted—suggests t he p oss ib i l ity t ha t s o me o f t he c on trasts b etween f orest a nd s avanna a nd s ta tes a nd s tate less s oc iet ies i n West A fr ica h ave b een o verdrawn . S et t le men t P a t tern s a nd E conom ic a nd S oc ia l Change Exp lana t ion o f s et t lemen t p a t terns a nd t he ir e vo lu t ion t ends t o f o l low o ne o f t hree l i nes o f t hough t.
4 96
i ) t he e cono m ic b ase a pproach w h ich emphas izes t he f ac t t hat t owns a nd c i t ies a re e cono m ica l ly d ependen t o n a nd p roduce f or a r ural h in terland. G iven t h is p o in t o f v iew a n a t te mp t i s o ften made t o l ink t he o r ig ins o f s ett lemen t n uc leat ion w ith c hanges i n t he p roduct iv ity o f a gr icu lture , e .g. t he ' n eol i th ic r evo lu t ion '.
I ti s t hough t t hat a gr icu l tura l o u tput i s a ma jor c onst ra in-
i ng i ndependen t v ar iab le a nd t ha t w hen b y t he i n troduct ion o f n ew c rops o r t echno logy b io log ica l p roduct iv ity o f t he f ar m ing s yste m i s i mproved t hen g enerat ion o f marke t s urp luses a nd t he g row th o f t rad ing n etworks a nd t owns w i l l f o l low. The p rev ious s ect ion o f t h is p aper s uggests t hat N iger ian e v id ence f rom t h is p o in t o f v iew i s l ess t han c learcu t a nd t hat h oe c u l t ivat ion s ys te ms a re n o t a s t i gh t ly c onstra ined b y e nv ironmen t a s i s s omet i mes t hough t. I ft he n ecess ity f or t reat ing p hys ica l o u tput a s a ma jor i ndependen t a nd l im it i ng v ar iable d isappears t hen t he p oss ib il ity t hat o utput i n t urn i s d ependen t o n t he g row th o f t rade a nd t owns p resen ts i t sel f. i ) t he s oc io log ica l a pproach wh ich s uggests t hat s et t le men t f or ms a nd p o l it ica l t err itor ia l ity r ef lect s oc ia l n or ms a nd s tructures wh ich i n t urn r ef lect r esource a l loca t ion s tra teg ies a nd t he n eed t o m in im ize i n ter-group c onf l ict. For S ah l ins ( 1961), t herefore , t he s oc iety o rgan ized o n s egmen tary l ineage p r ir t . ip les i s a n o rgan iza t ion o f p redatory e xpans ion a nd t he t ota l ly d ispersed s et t le men t p at tern o f s ay , t he T iv ( Bohannan , 1 954 ) i s i n s tructure a n i somorph o f t he l ineage a nd i n d yna m ic a c o lon izing p rocess a s p opu lat ion e xpans ion d r ives f am ily g roups t o o pen u p p er iphera l empty t err itory . Accord ing t o Horton ( 1971) t he emergence o fp o l it ica l a uthor ity o ver a nd a bove t hat o f t he f am i ly c o inc ides w ith t he n eed t o m in im ize c on f l ict o ver l and a nd o ther r esourc es w here ( a ) l and i s i n s hort s upp ly a nd t he n eeds o f i nd igenes a nd im m igran ts must b e h ar mon ized o r ( b ) f or d efens ive p urposes p eop le must l ive i n an ucleat ed v i l lage.
Why d efence b ecomes a n ecess ity i s n ot e spec ia l ly c lear , b u t
Goody ( 1971) t h inks t h is i s a n a rea where t echno log ica l d evelop men t may h ave c ons iderable s ign i f icance a s a n i ndependen t v ar iab le s uggest ing t ha t s oc ia l s tra t if ica t ion a nd s tate f orma t ion i n West A fr ica may b e l inked t o ' ownersh ip o f t he means o f d estruct ion '. i i )
t he d istance- m in imizing a pproach i n w h ich i ti s a rgued t ha t s et t le-
men tp at terns r ef lect a t te mpts t o o pt im ise ' j ourney t o work ' a nd o ther s pa t ia l i n teract ion r equ ire men ts w ith in a s oc iety .
Bunge ( 1962 ) h as p o in ted o ut t he
c onf l ict o f i n terest b etween t he r equ ire men t f or f ace t o f ace i n teract ion , i n t rade , p o l it ics , managemen t d ec is ion mak ing e tc. o n t he o ne h and a nd o n t he o ther i n teract ion b etween a man a nd a s pa t ia l ly e x tended f ac il ity , e .g. a f ar m o r o ther d is persed s ource o f p roduct ive mater ials.
S et t le men t n uc leat ion may
b e a dvan tageous i n t he f i rs t c ase, s et t lemen t d ispersa l i n t he s econd. Ch isho lm ( 1962 ) h as c ited n umerous e xamp les o f t he w ay i n wh ich t he d istance b etween f armstead a nd f i eld g overns o r i n f luences t he i nvestmen t r ate p er u n it a rea o f l abour , f ert il izer a nd o ther c ap ita l i nputs, f o l low ing p r inc ip les f i rst e l ic i ted b y v on T h f inen . H e a lso s hows t hat a n i n tens if icat ion o f a gr icu ltura l i npu t p er u n it o f l and , e .g. i n European a gr icu lture o ver t he p ast 2 00 y ears, h as b een . a ccompan ied
b y at endency f or v i l lage n uc lea t ions t o b reak u p a nd f or h ome-
s teads t o b e r elocated i n t he f i e lds. A s im ilar p a ttern o f c hange f rom n ucleat ed t o d ispersed r ura l s et t le men ts h as b een d escr ibed b y U do ( 1965 ) f or a reas o f e astern N iger ia where p opu lat ion p ressure a nd l and s hortage h ave b rough t a bou t an eed f or i n tens if ied l and u se.
S ubsequen t d eta i led i npu t-ou tpu t s tud ies 4 97
o f e astern N iger ian c ompoundland f ar m ing s yste ms ( Lage mann e t a l. 1 975 , 1 976 ; ITA, 1 976 ) h ave p rov ided p rec ise q uan t itat ive e v idence o f t he r eturns t o c ap ita l a nd l abour i nvo lved. Recen t ly t he d is tance m in im izing a pproach h as b een e xpanded i n to a c o mprehens ive s yste ms t heory o f s et t lemen t p a ttern a nd p rocess i n wh ich , b y a na logy w ith e n tropy n o t ions i n s tat ist ica l mechani cs , i ti s a rgued t hat t he s pa t ia l o rgan iza t ion o f r es idences a nd work-p laces w ith in t he u rban a rea a dop ts a most p robab le f orm r ef lect ing t he c osts a nd o pportun it ies o f i nt ra-urban mob i l ity ( W ilson , 19 7 0; Ayen i , 1 975a a nd b ). I ti s l i kely t hat t h is k ind o f a pproach c ou ld b e a dap ted t o t he s tudy o f r ura l s et t le men t p at terns i np reindustr ia l s oc iet ies t hrough t he u se o f a n e nergy a ccoun t ing p rocedure b ased o n s ubs istence r equ ire men ts. These t hree a pproaches a re n ot o n ly d i f feren t b u t t hey a re t o s ome d egree c on trad ictory. For e xa mp le t he s oc io log ica l a pproach i mp l ies t ha t d ispersed s et t le men t d er iv ing f ro m s egmen tary l ineage o rgan izat ion o perates i n al ands urp lus c on tex t .
Udo ( 1965 ) l ook ing a t d istance t o f ar m land a nd i n ten s ity o f
p roduct ion f o l lows Ch isho lm i n a rgu ing t hat d ispersa l r esu lts f rom i ntens if icat ion , a nd t ha t t h is of ten o ccurs t herefore a t p rec ise ly t he p o in t where l and c eases t ob e f reely a va i lab le f or s h if t ing c u l t iv a t ion .
I ti s o f s pec ia l i n terest
t ha t t he d ispersed I gbo s et t le men tp at terns U do d escr ibes h ave b een c i ted , b y , f or e xa mp le Hor ton ( 1971), a nd Webster a nd Boahen ( 1967 ), a s i nstances o f t he c orre lat ion b etween s egmen tary l ineage s tructure a nd r es iden t ia l g eography.
I fa s Udo ( 1965 ) s hows , s ome o f t hese p resen t p at terns w ere
o nce d er ived f ro m more h igh ly n ucleated s et t lemen t s tructures t hen t he a n thropo log ists w il l h ave t o c ons ider whether o r n o t p r inc ip les o f s oc ia l o rg an iza t ion h ave c hanged o ver t ime a nd t ha t t he s egmen tary l ineage a s ap r inc ip le o f a cepha lous s oc ial i n tegrat ion i s p erhaps a r ecen t d evelop men t o r t hat i somorph is m b etween s oc ia l a nd s pat ia l o rgan iza t ion i s o n ly c o inc iden ta l. A s uggested w ay r ound t hese a pparen t c on trad ict ions i s t o p ursue t he l ine t ha t a l l v ar ia t ions i n s et t le men tp at terns i n ' t rad it iona l' West A fr ica a re s uperf i c ial r a ther t han f unda menta l ; a nd t hat many o f t he p o l it ica l a nd e conom ic i nst itut ion s a nd f,. chno log ica l r esources c harac ter ist ic o f p re-co lon ia l s tates i n West A fr ica c ou ld a nd d id o pera te j ust a s r ead i ly i n ' d ispersed ' c on tex ts a s i n n uc leated o nes e ven t hough t hey w ere t hereby l ess v is ib le t o t he t rave l ler a nd s cho lar f or n o t a l l b e ing i n t he s a me p lace ;
c f. Forde a nd S cot t 's ( 1946 )
r e mark t hat a l though c raf t p roduct ion a ppeared t o b e more d eve loped i n w es tern r ather t han e astern N iger ia i n t he 1 930s , t h is was, j udg ing b y t he n umber o f s k i l led migran t c raf ts men o r ig inat ing i n e astern N iger ia , o n ly a n i l lus ion b ased o n t he g reater ' v is ib il ity ' o f s uch a ct iv it ies i n Yoruba t owns a s o pposed t o d ispersed I gbo c o mpounds. Goody ( 1967 ) i s a t tack ing t he s a me p roble m when h e warns a ga in st mono factor ia l c a tegor iza t ions a nd t he d anger o f t h ink ing i n t er ms o f ' s tateless s oc iet ies ' when n o th ing more t han s ta te less o r a cephe lous p o l it ica l o rgan izat ion i s i n tended. I ti s o ne t h ing t o s how t hat ag roup o f p eop le l ack c en tra l ized p o l it ica l a u thor ity a no ther t o a ssume t ha t t h is d ist inct iveness p er meates a nd i n for ms e very a spect o f s oc ia l a nd e conom ic a ct iv ity.
The c onnec t ions h ave t o b e d emonstrated i n d eta il.
S uf f ice
i tt o s ay t hat i fa t p resen t t he n ecessary l inks b etween s et t le men t p a t tern a nd p o l it ica l o rgan izat ion c anno t b e u namb iguously s pec if ied i ti s u n l ikely t o b e p roduc t ive t o c on t inue t h ink ing o f p re-co lon ia l West A fr ica a s d iv ided
4 98
i n to t wo c a mps , i .e. ' s tates ' a nd ' s ta te less s oc iet ies ' a nd t hen p ursue t he r easons f or t he d i f ference. I tm igh t b e more f ru it fu l t o c ons ider t he i dea t ha t i nt he A fr ican c on tex t t here a re a w ide r ange o f p oss ib le c omb ina t ions o f f or ms o f s oc ia l e conom ic a nd p o l it ica l o rgan iza t ion s e tt le men ta nd e cosyste m manage men t. O ne s pec if ic l ead w or th e xp lor ing i s t ha t s et t le men t a nd a gr icu l tura l e conomy , w h ich s ee m t o h ave b een t i gh t ly l i nked i n t he c ase o f s ay t he Europ ean med ieva l n uc lea ted v i l lage w ith o pen f i e ld a gr icu l ture may h ave b een l ess s trong ly l inked i n West A fr ica o nt he g rounds t hat t he o pportun ity a nd t he mat er ia l c osts a ssoc ia ted w ith e stab l ish ing s et t le men ts may h ave b een s ign if ican t ly l ower. T he a rgumen t w ou ld b e t hat a much sma l ler p ercen tage o f t he t o ta l b udge t i s i nvested i n s et t le men ti n fra-structure d ue t o ( a ) a more c ongen ia l c l i mate r equ ir ing l ess s o l id w in ter-proof s truc tures , ( b ) t he r eady a va i lab i l ity o f r e la t ive ly d urab le l ow-cos tb u i ld ing ma ter ia ls , e .g. a n a bundance o f w oods ( bamboo , p a lm t runks , t rop ica l h ardwoods ) , a nd l a ter it ic mud f or b r icks a nd w a l ls a nd ( c ) t he f act t ha th ouse b u i ld ing f i ts i n to t he d ry s eason , as lack p er iod o n t he f ar m , a nd t herefore p rov ides a u sefu l o u t let f or s easona l ly u nder-e mp loyed l abour r a ther t han d irec t ly c ompet ing w ith l abour r equ ire men ts f or h igh s eason a gr icu l tura l p roduct ion a s i s p resumab ly t he c ase i nt e mpera te l at itudes w hen h ouse b u i ld ing a nd r epa ir ing h as t o t ake p lace i np repara t ion f or t he c l i ma t ic r igours o f ac o ld w in ter. I fa dequate a ccom moda t ion i s c heap a nd e asy t o p rov ide t hen i ti s p oss ib le t o d eve lop a nd r edeve lop s et t le men t s t ructures i n r esponse t o e ven s l igh t s h i fts i np o l it ics, e conom ics o r e co logy . Thus w e m igh t e xpect t owns a nd v i l lages t o g row , d ec l ine , l oca te a nd r e-locate w ith g rea ter r ead iness i nA fr ica t han i n Europe. Equa l ly , i fa ccommodat ion i s r ead i ly p rov ided t hen i ti sp oss ib le t o b u i ld a nd ma in ta in t wo , t hree o r e ven more c urren t h omes a nd f or t he i nd iv idua l t o f ar m , s ay , w ith in t he c on tex t o f ad ispersed s et t le men tp at tern b u t t o p ar t ic ipa te i n c ommun ity p o l it ica l l i fe f rom a ' t own h ouse ' a t w eek-end. I n wh ich c ase t he s et t le men tp at tern w ou ld i n as ense b e d ispersed a nd n uc lea ted a t o ne a nd t he s ame t ime. Ev id ence i s p resen ted b e low t o s how t ha t t wo-ho me ownersh ip o f t h is s or t i s a nd h as b een a c ommon c ond it ion i n an umber o f West A fr ican r ura l s oc ie t ies. E v idenge o nb u ild ing c osts a nd t he o pportun ity c osts o f l abour t hus emp loyed i s n o tp len t i fu l , b u t , a s w i th f ar m ing s ys te m i npu t-ou tpu t d a ta , t here i s s u ff i c ien t t o p rov ide a s tart ing p o in t . Aga in , h opefu l ly , t h is i s a n a rea where more d a ta w i l lb e f orthcom ing i nt he n ear f ut ure. House b u i ld ing a nd r epa iri ng i s ad ry-season a c t iv ity r eported i n an umber o f s tud ies, e .g. N et t ing ( 1968 ). Forde ( 1964 ) a nd S i mmons ( 1976b ) g ive d e ta iled a ssess men ts o f h ous ing c os ts a s ap roport ion o ft o ta l f am ily e xpend iture f or Umor i n 1 941 a nd t he t hree Z ar ia v i l lages s tud ied b y N or man ( 1972 ). S i mmons ( 1976b ) a lso l i s ts c ompara t ive d a ta f rom d omest ic b udget s tud ies f or r ura l h ouseho lds i n S oko to a nd Gusau , 1 964/65 , a nd u rban h ouseho ld s tud ies , K aduna , 1 966. T hese s tud ies c on f ir m t ha t h ous ing c ost s i n r ura l N iger ia a re l ow— just o ver 3 % o f t o ta l f am i ly e xpend iture , ( i nclud ing d omest ic c onsu mpt ion ) i n Umor , a nd j ust o ver 2% ( or 3% i fg i f ts , t axes , a nd b us iness e xpenses a re e xc luded ) i nt he Z ar ia v i l lages.
The S okoto a nd Gusau f igure i s a lso 3%.
4 99
The Umor d a ta a re e st i ma ted o n t he b as is o f ( a ) a n a ssumpt ion t ha t t he g reater p art ( two t h irds ) o f t he b u ild ing w ork i s d one b y t he f am ily a nd a n imputed v a lue i s a ss igned t o t h is l abour a nd ( b ) t he o bserva t ion t ha t t he a verage l i fe o f a f am i ly h ouse i s 1 0 y ears b u t r e-thatch ing i s d one o nce e very t wo y ears. The Z ar ia d a ta r epresen t a ctua l c ash e xpend iture f or s k il led l abour a nd p urchased ma ter ia ls. N o i mpu ted v a lue f or d o mest ic r epa ir work i s a ssigned , n or i s a d ist inct ion d rawn b etween i n it ia l c ap ita l a nd s ubsequen t r epa ir c osts. The r elevan t Tab les 1 , 3a nd 4 i n S i m mons ( 1976b ) make i tc lear t hat h ous ing i s t reated a s ' non r ou t ine ' e xpend iture.
To s et t hese f igures i np erspec t ive i t
s hou ld b e n oted t ha t i n Umor a nnua l e xpend iture o n c lo thes was j ust u nder 7% a nd e xpend iture o nt obacco a nd c os met ics e xceeded t ha t o n h ous ing.
I n t he
Z ar ia v i l lages e xpend iture o nh ous ing was e xceeded b y t ha t o n f uel a nd l i ght ( 3 .4% ) , a nd e xpend iture o n c ere mon ies ( 10% ) a nd c lo th ing ( 9 .4% ) were e ach t hree t imes t ha t o n h ous ing. Smith 's ( 1955 ) s tudy o f Hausa r ural e conom ies s howed a s im ilar f i gure ( 10.4% ) f or c ere mon ia l e xpend iture a nd t he S oko toCusau f i gures q uo ted b y S i m mons ( 1976b ) f or c lo th ing e xpend iture a nd f or f ue l a nd l i gh t w ere 8 .6% a nd 7 .6% r espect ively o f t o ta l h ouseho ld e xpend iture f or g oods a nd s erv ices.
The f i gure o f 2 .3% f or r ural h ous ing c ompares w ith
1 3% d evo ted t o h ousing i n t he K aduna u rban a rea ( where much a cco mmoda t ion i s r en ted ) i n 1 966. How t hese f igures c ompare w ith s em i-subs istence e conom ies i n Europe i s n ot k nown , b u t t hey c ou ld h ard ly b e smal ler. H istor ical a nd p resen t-day e v idence t hat N iger ian s et t le men t p at terns a re h igh ly f lu id i s r ead i ly a va ilab le. Yoruba c i t ies h ave b een e spec ial ly mob ile a nd p resen t s i tes a re o f ten f ar r e moved f rom t he o r ig ina l , e .g. Oyo ( Goddard 1 971), a nd Owu , wh ich a ccord ing t o Mabogun je a nd Omer-Cooper ( 1971) h ad a t l east t hree d ist inc t l ocat ions many m iles a part b efore b e ing d estroyed i n t he e arly n ineteen th c en tury . Th is i s ag ood p o in t t o n o te t herefore t ha t ' t own ' i s h ere b e ing r eferred t o a s ag roup o f p eop le a nd n ot i n t he s ense o f as i te o r ' a s ense o fp lace '. The s peed w i th wh ich n ineteen th c en tury I badan w as t ransfor med f rom w ar c a mp t o metropo l is h as b een n o ted b y Awe ( 1967 ).
I n s im ilar manner
a nd b a tt lef ields a nd s ieges o f t he Yoruba c iv i l w ar w ere a l l c apable o f t ak ing o n aq uas i-sett led c haracter r e markably q u ick ly.
Mabogun je a nd Omer-
Cooper ( 1971) d escr ibe women c u l t ivat ing ma ize a nd s et t ing u p marke ts b eh ind t he l i nes o f t roops i nvest ing Owu , a nd a n e ye-w itness r eport b y J ones ( see a ppend ix t o A jay i a nd Sm i th , 1 962 ) o n ab at t lef ie ld b etweeb l badan a nd t he Egba d escr ibes h ow e ach a r my h ad c onstructed ' ar egu lar t own ' o f e x treme ly s erv iceab le h u ts , 5 -6 m l ong , many o f wh ich w ere p roper ly w a l ledin s tructures o f s ome p er manence.
J ones t hough t t hey wou ld l ast 2 -3 y ears e as i ly .
D iscernab ly t he s a me k inds o f s tructures a re s t i l l u sed t oday b y f ar mers i n t he l barapa a rea f or w eek-n igh t f ar m c amps a nd marke t s helters ( c f . F ilan i a nd R ichards , 1 976 ).
I n f act c on te mporary l barapa r ural s et t le men tp at tprns
c onst itu te a g ood e xa mp le o f h ow w ith i ncreas ing l and s hor tage a nd g row ing c om merc ia l o pportun it ies Yoruba f ar mers w il l o pen u p w eekday v i l lages f or t he p urpose o f work ing f ar-far ms ( oko e d am ) a nd s o f ind t he mselves i n t he p os it ion o f own ing t wo h o mes. Da ly , F ilan i a nd R ichards ( 1975 ) a nd R ichards ( 1977 ) e st i mate t hat i nt wo c ont rasted a reas o f w estern N iger ia, o ne s avanna ( l barapa D iv is ion ), o ne f orest ( Ok it ipupa D iv is ion ), b etween 3 0-40% o f t he p opulat ion i s e ffec t ively r es iden t i nf ar m v i l lages o f t h is s ort , ( abu le o r ' a g 4 5 5 00
i n Y oruba , l i tera l ly ' hu t ' o r ' ca mp ' ) e ven t hough b e long ing i n as oc io log ica l s ense t o o ne o r o ther o ft he n uc lea ted ' t owns ' ( 1 1 1 1 . ) i n t he r eg ion ( c f . Goddard , 1 965 ; O jo , 1 970 ). The g row th a nd d ec l ine o f f ar m c a mp s et t le men ts c an b e r e markab ly r ap id. The ma in r oad f rom A jebande le t o O re i n s ou thern Ondo S tate , n orth o f O ldt ip upa , i s n ow n ear ly c on t inuous ly l i ned w ith s tragg l ing c a mps o f m igran t f armers whereas 1 0-20 y ears a go i tw as s parse ly s et t led f orest. Bu t c onversely where ar oad i s r ea l igned o r r e-rou ted f ar m c amps w il l e qua l ly q u ick ly b e a bandoned. When a gr icu l tura l o pportun it ies p rove e spec ia l ly r eward ing o r w here t he t ownf arm d istance i s e xcess ive c amps w il l b eg in t o a ssu me a n a ir o f p er manence. Most l barapa f ar mers c amp ing w ith in 1 5 km-20 km o f t he ir h ome ' t own ' w il l r eturn e ach week-end t o p art ic ipa te i nf am ily a nd t own a ct iv it ies. Beyond t hat d is tance p art ic ipat ion i nh o me t own a f fa irs may b e o n ly mon th ly o r a nnua l ly , a nd c hurches, mosques a nd me ta l r oo fs a l l b eg in t o a ppear i n t he c a mp a s a t oken o f more p er manen t r es idence. Even tua l ly i den t if ied w ith t he c a mp may b ecome a l most t o ta l a nd t he c a mp i t self w il l t ake o n t he c haracter o f a sma l l Yoruba t own , e .g. c ocoa c u l t ivat ion c a mps e stab l ished i n t he 1 890s a round I badan s uch a s Mon iya , Akanran , L a lupon , I do , a nd Aku fo , wh ich a re q u ite d ef in itely p roto-urban s tructures a nd o n o ccas ion p o l it ica l ly a l iena ted f rom t he h ome s et t lemen t ( W i l l ia ms, 1 975 ;
Beer, 1 976 ).
R ichards ( 1977 ) f ound t hat whereas 3 4% o f as a mp le o f 1 92 I ka le f ar mers i n Ok i t ipupa D iv is ion c urren t ly worked f rom f ar m c amps i n 1 971 a f urther 2 8% h ad p rev iously d one s o mak ing a t ota l o f 6 2% o f t he s a mp le w ith e xper ience o f t h is f or m o f s et t le men t.
Apar t f rom a ccess t o a nd c oncen trat ion o n f ar m ing
Guyer ( 1972 ) c ites f r iendsh ip , t he d es ire t o e scape d ebts , o b l igat ions o r s oc ia l s t igma , a nd e ven t he s t rugg le t o l earn a mus ica l i nstrumen t i n p r ivacy a s r easons f or l iv ing i n c a mp. Her s tudy o fI dere f ar mers i n I barapa D iv is ion s howed t hat o lder f ar mers t ended t o r eturn t o t own when t he ir e nergy f or f arm ing d im in ished a nd d es ire t o t ake a more a ct ive p art i n f am ily a nd t own p o l it ics i ncreased. Town h ouseho ld b udgets t end t o b e s ubs id ized t herefore b y a gr icu l tura l s urp luses g enerated i n f arm c a mps. Wil l ia ms ' ( 1974 ) a nd Beer 's ( 1976 ) s tudy o f p easan t p o l it ics i n I badan s uggest t ha t t h is u pward a nd i nward r ura l t o u rban t ransfer o f s urp lus a cross t he g enerat ions c an , w ith a n i ncrease i n s ca le a nd f or ma l ized c ap ital izat ion o f t he l oca l e conomy , l ead t o p o l i t ica l , c on f l ict o f a n u rban-rura l k ind. Yoruba s et t lemen tp at terns i n t he p ast h ave b een c haracter ized b y d ua l ity a nd a d egree o f f l ex ib il ity—curren t ly d isappear ing—to t he e x ten t t hat n either t he t er m ' nuc lea ted ' o r ' d ispersed ' i s a dequate.
S im ilar f l ex ib il ity , t hough
a ccompan ied b y d iachron ic r a ther t han s ynchron ic ' dua l ity ' , h as b een r eported , f or Edo , I gbo a nd Yakö s et t le men t p at terns, a nd o n t he b as is o f r ecen t e v id ence s ee ms l ikely f or Hausa r ura l s et t lemen t a lso ( c f. Bun t jer , 1 970 ; Goddard , 1 973 ). Udo 's ( 1965 ) d escr ip t ion o f t he b reak u p o f n ucleated s et t lemen tp at terns i np art o fe astern N iger ia c an b e s upp le men ted b y Gross man 's ( 1972 ) s tud ies o f migran t ' c a mp ' f or ma t ion i n N ikeland .
Forde ( 1964 ) d es-
c r ibes p oss ib il it ies o f s ett le men t f i ss ion f or t he Yakö ( t echn ical ly ' a cepha lous ' b u t r es iden t i n n ucleat ions a s l arge a s s ome o f t he Yoruba a nd Akan c h iefd oms ) a nd Bradbury ( 1964; 1 969 ) c haracter ises t he Edo a s b e ing b as ica l ly sma l l-v i l lage dwe l lers, r epresen t ing a h a lf-way p o in t b etween what h e s ees a s t he Yoruba a nd I gbo n or m , b u t o u t o f wh ich a p oss ib ly u n ique p rocess o f 5 01
s et t lemen t f us ion h as c reated a ma jor u rban c en tre , Ben in C ity . I ti s i n tere st ing i nt h is r espect t o n o te t hat Connah ( 1975 ) a rgues t ha t t he d iscon t inuous d ump-rampart ' wa l l ' s yste m o f B en in C ity a ppears t o h ave s erved a s as et o f b oundar ies f or t he q uarters o f t he c i ty r a ther t han h av ing h ad , i n t he i n it ia l i nstance a t l east , ad efens ive f unct ion . Forde ( 1964 ) d escr ibes s im i lar ' q uarter ' b oundar ies—though o n a much l ess v is ib le s ca le—for Umor. D an ie l ( c ited i n Connah , 1 967 ) h as a rgued t ha t f or a l l t he ir c omp lex ity t he B en in e arthworks w ou ld n o t h ave b een d e mand ing i n l abour i npu t t er ms , c a lcu lat ing t ha t 2 500-5000 men c on t inuous ly emp loyed 1 0 h ours p er d ie m c ou ld h ave b u il t t he i nner w a l l i n o ne d ry s eason . The s uggest ion t herefore i s t ha t w ith l ow-cost b u i ld ing o pportun i t ies s et t le men t f i ss ion a nd f us ion a re r evers ib le p rocesses a nd t hat a r ange o f d ua l it ies a nd h a l f-way s ett le men tp at terns o f a' t own-far m ' k ind w ere p oss ib le a s f ar a s p re-co lon ia l N iger ian s oc iet ies w ere c oncerned. R ichards ( 1965 ) n o tes t ha t I ka le i n for man ts i n O shoro t owns a nd i n I re le r eported a n umber o f d is t inc t sw ings f rom n uc lea ted t o d ispersed a nd b ack a ga in i n t he l ast 1 001 50 y ears. The a rgumen t c an b e e x tended t o c over o ther a spects o f s pa t ia l o rgan izat i on—e.g. c ommun ica t ions n etworks a nd marke t s yste ms. Ehrhard t ( 1898 ) , Br it ish Res iden t i n l badan i n 1 898 e st i mated p rogress o nt he Oyo-lbandan r oad t o b e 1 50-200 m p er w eek a t at ime w hen t he A la f in w as s upp ly ing 2 00 men f or t he work . Th is s ix-foo t c arr iageway r oad w as b e ing b u il t t o t he ' n ew s tandard ' o ft he Yoruba land Pro tectorate i nt he 1 890s , b u t E rhard t n o ted t ha t i tw as l i tt le i mprove men t o ver t he o lder s ty le o f t rack w h ich t ook o n ly h a l f a s much l abour t o c lear a nd s urface. O n t h is b as is 3 00-400 me tres wou ld r equ ire p erh aps 1 000 man d ays l abour , i n wh ich c ase a 5 0 km r oadway t hrough f orested c oun try l ike t hat b etween I badan a nd O yo wou ld r equ ire a t o ta l o f 1 25 ,0001 67 ,000 man-days l abour f or i t s c onstruct ion . A ssum ing f ar m ing s yste m i npu to u tpu t r a t ios o f a round 1 0 t o 1 5 d ays w ork t o 1 00 d ays c onsumpt ion t hen s uch ar oad w ou ld ' cost ' i n e nergy t er ms l i t t le more t han 0 .25-0.5% o f t he a nnua l a gr icu l tura l o u tpu t o f an ineteen th c entury Y oruba t own w ith a p opu la t ion o f 1 00 ,000 ; 2 0 ,000 o f w hom w ere f u l l-t i me f ar mers. F ilan i a nd R ichards ( 1975 ) s how t hat t he l ow c ap ita l c osts o f e s tab l ish ing r ura l r oads a nd marke ts c an l ead t o c ons iderab le f l ex ib i l ity i n t he s pace e conomy , w ith r eady a bandonmen t a nd r e loca t ion o f f ar m a ccess t racks a nd marke t s i tes i n r esponse t o c hang ing e conom ic o pportun i t ies a c om mon f ea ture o f t he s pat ia l o rgan izat ion o f I barapa D iv is ion i n w estern N iger ia. I n t he s tudy j us t c i ted t he a u thors mapped 4 71 km o f c ommun ity-constructed d irt r oad f or a n a rea o f a pprox i mately 2 300 km'. E st i ma ted p rogress f or a r oad f rom L aga iye market t o Eruwa u nder c onstruct ion i n 1 974 w as a t t he v ery r ap id r a te o f 1 km p er 1 00 man-days l abour i npu t , b u t t h is i ts hou ld b e n o ted w as f or o pen s avanna a nd i nvo lved a m in i mum o f t ree c learance. A t t h is r ate a nd n o t c oun t ing b r idg ing a nd c u lver t ing t he t o ta l I barapa r ura l r oad n etwork r epresen ts a n i nvestmen t o f s ometh ing l ike 5 0 ,000 man d ays ; l ess t han 0 .5% o ft he t o ta l a va i lab le s upp ly o f l abour f rom a du l ts i n t he 1 5-59 a ge g roup i n a ny o ne y ear. I ng enera l t erms f l ex ib le a d justmen t o f s pat ia l s truc ture t o a gr icu ltura l o pportun it ies w ou ld h ave b een h indered a nd i n s ome c ases wou ld h ave c eased
5 02
a l toge ther i fa nd w hen m i l i tary emergency p laced a p re m ium o n n uc leat ion . P erhaps i tw as t hen t ha t b oundary d i tches o ft he d ump r ampart k ind w ere d isc overed t o h ave d efens ive v a lue? I s t h is a nd n o more t he k ey t o t he h igh d egree o fu rban iza t ion amongst t he Y oruba , i n Ben in , a nd among t he H ausa s ta tes when c ompared t o p eop les i n c en tra l a nd e astern N iger ia? Have t he p o l it ica l a nd m i l i tary d eve lopmen ts o f t he e igh teen th a nd n ine teen th c en tur ies i n many p arts o f N iger ia s ucceeded i n mask ing a b as ic s im ilar i ty o f s pat ia l o rgan iza t ion a nd e nv ironmen ta l r esource u se w h ich w ou ld h ave b een much more a pparen t i ne ar l ier t imes? There i s l i t t le d oub t t hat d ispersed s e t t le men t a nd l ack o fp o l it ica l c en tra li za t ion w as n o o bstac le t o t he emergence o f l ong-d is tance t rade a nd d eve lopmen t o f c raf t i ndustry i n e as tern N iger ia. N r i-Awka m igran t b lacks m iths a nd t he Aro t rad ing f ra tern ity w ere n o l ess e f fec t ive t han t he ir c oun terparts i n more f orma l ly o rgan ized u rban s et t le men ts , a nd a t t he s ame t ime p roved c apab le o f o rgan iz ing a nd a dm in ister ing j ud ic ia l a nd r i tua l p rocesses c omparab le t o t hose more n orma l ly emana t ing f rom p a lace a nd c i ty . I n s ome r espects t hey may h ave b een more e f fec t ive t han a n i mmob i le u rban e l ite i np rov id ing e cono m ic a nd p o l it ica l i n tegra t ion o ver a w ide a rea.
Conversely i nt he c ase
o f t he Hausa c i ty s tates l ook ing b eyond t he w a l led d efens ive c i ty , t he b in , w h ich Sm ith ( 1 971 ) a sserts t ob e a more r ecen t p henomenon , t o t he t er m g ar i , n or ma l ly g lossed i nd ic t ionar ies a s t own b u t c onvey ing a s D a lby ( 1964 ) h as s hown a s ense o ft he t ota l ity o f man-land r ela t ionsh ips , t here i s a pparen t a s phere o fe co log ica l a nd t err itor ia l r e la t ionsh ips p res ided o ver b y s ark in n oma , t he c h ie f o ff arm ing , wh ich i s v ery c lose i n c haracter t o t he a gr icu l tura l d oma ins o f I gbo a nd Y oruba s oc iet ies. C onc lus ion Th is p aper h as a ssemb led s ome p rel im inary e v idence i n s upport o f t he n o t ions : a ) t hat a s c onsequence o f w idespread r ecourse t o f ar m ing s yste ms o f l ow i n tens ity b u t h igh e ff ic iency o f p roduc t ion p re-co lon ia l Wes t A fr ican c ommun it i es w ere l ike ly t o h ave a ch ieved b road ly s im i lar l eve ls o f a gr icu l tura l o u tpu t a nd s urp lus i rrespec t ive o f f l uc tuat ions i n c l i mate a nd d if ferences i n v ege tat i on , c rop o r p o l it ica l s ys te m. b ) t hat a s ac onsequence o ft he a va i lab i l ity o f l abour a nd l ow c ost o f b u i ld ing ma ter ia ls , s et t le men t a nd c ommun ica t ions f ac i l it ies •w ere p robab ly r ead ily e labora ted o r r estructured , t hereby p rov id ing a w ide r ange o f a dap tat i ons t o p art icu lar c omb ina t ions o f c hang ing p o l it ica l a nd e conom ic c ircumst ance. I n s hor t p re-co lon ia l West A fr ican s oc iet ies , f rom t he p o in t o f v iew o f e nv ironmen t r esource u se a nd s pa t ia l o rgan iza t ion , w ere b o th r es i l ien t a nd f l ex ib le—and r es il ien tb ecause t hey w ere f l ex ib le—when f aced w ith v aryi ng p o l it ica l a nd e conom ic c ircums tances. The c onsequence o f t h is e co log ic a l r es il ience a nd f l ex ib i l ity o f s pat ia l o rgan iza t ion , h owever , i s t ha t p o l it ica l p rocess t o s pat ia l s t ruc ture l inkages o f i n terest t o g eographers a nd a rchaeol og ists a re l ike ly t o b e much l ess u namb iguously d eter m ined t han m igh t h ave b een h oped f or. ( On ly w ith t he g row th o f a more h igh ly c ap i ta l ized market e conomy h as t h is f l ex ib il ity b een u nderm ined a nd e ven t oday t he c u l tura l l egacy o f a n a dap t ive a nd s yncret ist r esource fu lness r ema ins t o i mpart a
5 03
d ist inc t c haracter t o s oc ia l a nd e cono m ic c hange.)
Part icu lar c are w i l l
h avehave t ob e t aken i n i den t ify ing i so morph is ms b etween s oc ia l a nd s pa t ial s tructure a nd t he a ssumpt ion t ha t ' s tates ' a s o pposed t o ' s tateless s oo iet ies a re c haracter ized b y ad ist inct s et o f p o l it ica l , t echn ica l , e cono m ic a nd s pat ia l s tructures w il l n eed r igorous d e monstra t ion . Perhaps, i n t he c on tex t o f p re-co lon ia l West A fr ica i ti s t ime f or t he t er ms ' s tate ' a nd ' s ta teless ' t o b e d ropped? B ib l iography A jay i , J . F . A . a nd Crowder, M., 1 971. A jay i, J . F . A . a nd Sm ith , R ., 1 962. Cen tury .
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509
C OJ\1T\1E NTAR Y
TO PART II
511
ROUND THE MULBERRY BUSH J . R . L ew is
I ntroduct ion D ivers ity i s g enera l ly r egarded a s b enef ic ia l t o a cade m ic r esearch a nd t h is i s o f ten u sed t o j ust ify i n terd isc ip l inary s tud ies.
The p apers c o l lected
i n Part I o f t h is v o lu me e xe mp l ify a no ther s ide o f d ivers ity ;
t he p rob le ms
o f c o mmun icat ion w h ich s o o f ten t urn i n terd isc ip l inary i n tent ions i n to mu lt id isc ip l inary r esu lts , w ith s cho lars t a lk ing a t r ather t han t o e ach o ther, a nd t ransfor m i n tel lectua l e xc ite men t i n to f rustra t ion .
Yet , t he s ense o f a ppre-
h ens ion wh ich t hese p apers a rouse i s n o t d ue t o t he p roble ms i nheren t i n a n i n terd isc ip l inary a pproach a nd w ou ld n ot b e d ispe l led b y a ny p roposa ls t o r etrea t i n to d isc ip l inary c amps.
I nstead i t owes much t o t he u ncerta in ty o f
t he a u thors a s t o w hat s hou ld c on st itu te t he ir o b ject o f s tudy. T h is g enera l l ack o f c onsensus s te ms f rom a n i nadequa te a nd s o met i mes mistaken i den t if icat ion o f t he f unda men ta l q uest ions i nvo lved.
Y et , w ithou t
c learly d ef ined q uest ions i ti s i mposs ible t o c o mpare ' answers ' t o t he m o r t o a ssess t he ir a dequacy. Qu ite a part f ro m t h is , s o me c om mon e xp lanatory p rob le ms c an b e i den t if ied i n t he p apers p resen ted h ere a nd i ti s t o ad isc uss ion o f t hese l at ter t hat t h is s hort p aper w il l b e d evo ted i n t he h ope t hat c on f l ict ing a nswers t o t he more s ubstan t ive i ssues c an b e r igorously d eba ted i n t he f uture. I n my v iew t he f unda men ta l i ssue r a ised b y t he p apers must b e t he q uest ion " How a re s pat ia l r elat ion sh ips b etween o b jects r elated t o t he s oc ia l r elat ions h ips b etween t he p eop le w ho c rea ted t he m?"
T he f act t hat t he o b jects c ons-
i dered r ange f rom who le s et t le men ts t o p ortable a rtefacts s uch a s c o ins o r t hat t he p eop le c oncerned r ange i n t ime a nd s pace f ro m t he p re-Roman i nhab itan ts o f Cen tra l Gau l t o t he Hausa o f West A fr ica , mat ters l i t t le a t t h is s tage.
What i s importan t i s t o i den t ify t he d iff icu lt ies a ssoc iated w ith e ach
p art o f t hat q uest ion a s f ar a s i nd iv idua l p apers a re c oncerned , a nd t o a t te mpt t o p u t f orward ways i n w h ich s o me o f t he m may b e o verco me. r e ma inder o f t h is p aper i s d iv ided i n to t hree s ec t ions. h ow s pat ia l r elat ionsh ips c an b e a na lysed ;
Hence , t he
The f i rst c ons iders
t he s econd , h ow s oc ia l r elat ion-
s h ips c an b e a na lysed a nd t he c onclud ing s ect ion e xa m ines h ow t he a na lys is o f s pat ia l f or m a nd s oc ia l p rocess may b e l inked. The a na lys is o f s pa t ia l r elat ionsh ips I n many o f t hese p apers , t he i den t if ica t ion o f p at terns i n t he s pat ia l d ist ribu t ion o f o b jects i s r egarded a s as tra igh tforward o perat ion , y et t here i s more t o p at tern r ecogn it ion t han t he a pp l icat ion o f g eo metr ica l c oncepts t o maps.
The s i mp lest l eve l a t wh ich d i ff icu lt ies a re a pparen t i s t hat o f t he
r igorous d ef in it ion o f t er ms.
L abels s uch a s ' s ca t tered ' o r ' c lustered ' a re 5 13
as commonplace in the study of settlement patterns as are the labels 'regular' or 'irregular' in studies of patterns within settlements. But the ambiguities associated with these labels have been made evident in the technical debate concerning point pattern analysis (Dawson, 1975; Rogers, 1974). Here the very concept of spatial pattern so central to 'commonsense' definitions of the phenomenon has been questioned (Hudson and Fowler, 1968). In view of the known limitations imposed on the quantitative definition of spatial pattern that are embodied in such widely used approaches as nearest neighbour analysis or the comparison of frequency distributions of quadrant counts, I find the attempt by Hillier et al. to develop rigorous, new definitions of spatial pattern very exciting. If the only contribution that their paper makes to the development of appropriate concepts and techniques for analysing spatial patterns is to move ideas on from dichotomous approaches to a consideration of the multidimensional nature of a spatial pattern, it will still be a considerable achievement. It is also likely to be their only achievement in this area for, as Leach points out, they fail to solve the problems of comprehensiveness, level of analysis and partial data availability. Leach (p. 400) rightly objects to Hillier et al. 's taxonomy of patterns be cause 1 t is not compre ensi ve enough to include all empirical patterns. There is no magic number of pattern types which any taxonomy must reach to be re garded as adequate, but considering that Roberts finds as many as ten plan types necessary for his temporally and spatially limited study, eight does seem rather few to propose for universal usage. This comparison with Roberts' article brings out two further important points in any attempt at comprehensive pattern analysis-the probl ,ms of pattern scale and complexity. Hillier et al. use objects ranging from pueblo ruins to seventeenth century Peterborough as illustrations. The implication that a single pattern can be identified in the arrangement of all the component parts of the objects seems unreasonable with this range of scales. This ecomes even more so if in addition one considers the complexity of settlement patterns, which are almost always composite, consisting of different pattern trends at different scales. The fact that this entails the development of ways of coping with such complex patterns as engen dered by a variety of scale components, can hardly be regarded as a minor obstacle. As experience with composite models in point pattern analysis even at one scale has shown (Harvey, 1968), separating pattern components and then irrefutably relating each of these to processes is a considerable task. Nevertheless, a comprehensive pattern taxonomy must provide a way of s1artir..g this allowing for a number of scales. The second major problem in analysing spatial patterns identified by Leach concerns the level of analysis. By this I refer not to the scale of analysis but rather the extent to which a structuralist position is adopted. The level of analysis in Roberts' contribution is readily identifiable as that of the empirical. Hillier et al. by contrast seem to be concerned with a 'deep' rather than an 'apparent' structure in patterns. This distinction is problematic because of the difficulties of specifying appropriate rules of transformation from one structure to another (see Leach, this volume, 388) and also because the choice between levels of analysis leads into the debate about the relationship between theory and evidence alluded to by Fletcher (P. 226). By opting for a 'deep' structural level of analysis and producing 514
b oth a t axono my a nd e v idence t o s u it , H il l ier e t a l. a re c om m ited t o e xp lanat ions i n t er ms o f "mu l t ip lex r elat ionsh ips" j ust a s s urely a s Roberts' c ho ice o f a n ' apparen t ' l evel , t axonomy a nd e v idence l eads t o a n e xplanat ion b ased o n "mu l t ip le e states" .
A t p resen t i ts ee ms f ar more u sefu l t o c o me t o t er ms
w ith t h is e p iste mo log ica l d i le m ma t han t o d ebate w hether v erba l o r n onv erba l ' d eep ' s tructures s hou ld b e c a l led u pon f or e xp lanat ion .
I ndeed , i f ,
a s Is trongly s uspect f ro m t he p resen t r e lat iv ist ic c urren t i n t he p h ilosophy o f s c ience , ( see , f or i nstance, F eyerabend , 1 975;
L akatos, 1 975 ) t he r eso lu-
t ion o ft he t heory-ev idence p rob le m w il l b e f ound i n t er ms o f p arad ig ms/res earch p rogra m mes/ language g a mes/ ideo log ies...etc., t he d ebate b eco mes v irtua l ly i rrelevan t . F ina l ly t here i s t he p rob le m o f p art ia l d a ta.
Archaeo log ists a nd g eogra-
p hers h ave i n r ecen t y ears b een made aware o f t he p roble ms t hat a p oor s pat ia l a nd t e mpora l s a mp l ing o f d a ta c rea tes a nd t o v ary ing d egrees a re l earn ing t o l ive w ith t he m.
Wha t L each ( p . 3 97 ) i dent if ies a s ap rob le m o f
p art ia l d ata , t hat o f t he d if f icu lt ies o f i den t ify ing a c tua l s pat ia l p at terns o f move men t o r u se f ro m t he p attern o f o b jects, i s af urther d i f f icu lty w h ich i s o n ly c ompounded b y t he f act o f i nert ia i n s pa t ia l f or m d esp ite c hanges i n s oc ia l p rocesses t hat F letcher a l ludes t o i n h is d iscuss ion o f c hanges w ith in h ierarch ies o f o rder ( p. 2 33 ).
To b e s ure o f i nclud ing a l l t he r elevan t o b jects i n ap art i-
c u lar p at tern i ts ee ms t hat w e n eed t o k now a g rea t d ea l a bou t t he p rocesses t hat p roduced i t .
The i den t if icat ion o f a' m iss ing ' market c en tre i n as et t le men t
p at tern d epends o n t he a ssump t ion t ha t s ome market ing p rocess u nderlay t hat p art icu lar c on f igura t ion , j ust a s t he c orrect i den t if ica t ion o f a l l b u i ld ings u sed f or r el ig ious p urposes r equ ires c ons iderab le i nfor ma t ion a bout t hose p urposes. At t h is p o int , c learly , t he p rob le m b eco mes more t han o ne o f p at tern a na lys is a nd i nvo lves t he d if f icu l t ies d iscussed i n t he n ex t s ect ion b u t o ne. The a na lys is o f s oc ia l r ela t ionsh ips I ft he a u thors o f ten r egard t he a na lys is o f
s pat ia l r elat ionsh ips a s r ela-
t ively s t ra igh t forward , t hey s e ldom make t he s a me e rror w ith r egard t o s oc ia l r elat ionsh ips.
A f am il iar ity w ith t he d ivergen t v iews o n s oc ia l r e lat ionsh ips
p resen t w ith in d isc ip l ines s uch a s s oc io logy , s oc ia l a n thropo logy o r h istory i s s uch t ha t f ewer b as ic p rob le ms a re g lossed o ver t han i n t he c ase o f s pa t ia l a na lys is .
H owever , t here a re t wo i ssues wh ich t he p apers , i n p ar t icu lar t hose
o n s ta te f or ma t ion , r a ise t ha t d eserve c loser a t ten t ion .
T hese a re t he q ues t ion
o f a dop t ing a n e xp l ic i t s oc ia l t heory i n o rgan is ing d a ta a nd t he c hoice b e tween a s yste m t heoret ic f ra mework a nd a n h istor ica l ly s pec if ic a pproach amongst t hose w ho d o u se a n e xp l ic it t heory. T he d if f icu lt ies c rea ted b y t he u se o f d ivergen t s oc ia l t heor ies t o e xa m ine s im i lar emp ir ica l q uest ion s a re b eau t ifu l ly i l lustrated b y t he p apers o n s tate f or ma t ion.
For a l l Cherry 's a rgumen ts i n f avour o f g eneral izat ion t here i s
v ery l i t t le s cope f or t h is f rom t he p apers w h ich f o l low h is b ecause t he o b ject o f s tudy—the s tate — is n o t d e f ined i n a ny u n ifor m f ash ion .
Wh i le N ash i s
c oncerned w ith t he i n troduct ion o f ap art icu lar p o l it ica l o rgan isat ion o f t err itory , Hodges d eals w ith t he mu tat ion o f ap o l it ica l i nst itu t ion a nd R ichards d e monstra tes t hat whatever p o l it ica l d if ferences m igh t h ave e x isted i n p rec o lon ia l N iger ia h ad n o e co log ica l b as is.
Th is d ivers ity o f v iewpo in ts c ou ld
b e a n a dvan tage i fi tw ere p roperly e xp lo ited t o i nd icate t ha t t he s ta te a s a 5 15
t imeless , s paceless , t heoret ica l c onstruct i s o f l i t t le v a lue , b u t a s i ts tands t he p apers g a in n o th ing f ro m t he ir j ux tapos it ion . However, t he a dop t ion o f a n e xp l ic it s oc ia l t heory wh ich e nables a p rec ise d ef in it ion o f t he c oncept o f t he s tate t o b e g iven i s n o t a n a nswer t o t h is p robl em o n i t s own . The a ppropr ia teness o f t he t heory t o t he a na lys is p erfor med i s a lso w orthy o f c ons idera t ion .
Cherry 's p aper w i l l b e d iscussed i n r ela t ion
t o t h is b e low , s o i ti s Macfarlane ' sp aper t hat w i l l s erve a s a n i l lustra t ion o f t h is p o in t . I fh e i s c orrect i n s uggest ing t hat h istor ians h ave e xa m ined E ngland b etween t he e leven th a nd e igh teen th c en tur ies i n t er ms o f ' t he p easan try ' ( I wou ld h ave t hough t t ha t e xcep t ions s uch a s P erry Anderson , 1 974, o r t he c on tr ibu tors t o H i l ton , 1 976 , d eserve a men t ion ) a nd , f urther more, h ave d one s o w ith a model o f t he p easan try b ased o n t he p at tern v ar iables h e i nd ica tes, t hen t hey h ave made g ross e rrors o f i n terpreta t ion . Whether t he s oc ia l t heory u sed w as imp l ic it o r e xp l ic it , s tud ies c onstructed o n s uch a b as is wou ld b e u s ing i nappropr iate c oncepts a nd t he o n ly a dvan tage i n s uch a c ase i n h av ing t he t heoret ica l b as is i den t if ied , i s t hat i ti s e as ier t o d etect t he i nappropr ia teness. Macfarlane i s u ndoubted ly c orrect i nh is a rgumen t t hat t he w rong t heore t ical b as is w i l l d o v io lence t o t he e v idence,un less o ne w ishes t o a dop t t he f u l l r elat iv ist p os i t ion . The s econd i ssue i s c losely r elated t o t h is p o in t a nd b est i l lustra ted b y a c o mpar ison b etween t he p apers o f Cherry a nd G ledh il l. Bo th a u thors o f fer a n o u t l ine o f t he ir s oc ia l t heoret ica l p erspect ive w h ich e nab les t he i den t if icat ion o f a n i mportan t d i fference i n t he ir v iews. Cherry u ses s ome i deas f rom t he s yste m a naly t ic s choo l t o i l lum inate u n iversa l f ea tures o f s oc iet ies w h ich h ave p assed a c erta in s tage i nt he ir e vo lut ion , w hereas G ledh il l , w ith a n a dm it ted ly more r estr icted o b ject ive, d evelops a t heoret ica l b as is w h ich emphas ises t he p art icu lar it ies o f t he s oc ia l r elat ionsh ips w ith w h ich h e i s d ea l ing. T h is c ont rast i s n o t s i mp ly b etween a n o mothet ic a nd a n i deograph ic a pproach , f or I am s ure t hat b oth a u thors w ou ld r egard t he n ecess ity f or t heor ies a nd models i np roduc ing e xp lana t ions a s a x iomat ic , b u t r a ther b etween d i fferen t c oncept ions o f a ppropr iateness.
Cherry 's p aper s hows t o a dvan tage t he s ys te ms
t heor ists ' a b il ity t o a bsorb mater ia l f rom a v ar iety o f s pa t ia l a nd t e mpora l s et t ings a nd t o a rrange i tw ith in a f ra mework o f w ho les , p arts a nd o rgan isat ion wh ich s tresses t he s im i lar it ies b etween s oc iet ies a nd t he p er manence o f c erta in s oc ia l p rocesses.
G ledh il l , o n t he o ther h and , u ses a t heoret ical
s tart ing p o in t t o b reak d own c erta in c a tegor ies t o make t hem s pec if ic t o t he o b ject ives o f t he a na lys is w ith t he r esu l t t ha t s oc ia l p rocesses a ppear t rans ien t a nd mu tab le. I n many w ays t h is d ichotomy i s b u t a no ther i l lustrat ion o f t he p rob le ms c rea ted b y t he i n troduc t ion o f c oncepts a nd methodo logy o f t he n at ura l s c iences i n to t he s oc ia l s ciences ( G iddens , 1 976 ;
Haber mas, 1 972 ).
A lthough t h is i n troduct ion b r ings a n e nhanced a b i l i ty t o p roduce g enera l s tatemen ts , i td oes s o , a nd must d o s o , a t t he c ost o f o bscur ing t he v ery d ist inct ions b etween s oc iet ies b o th i n t ime a nd s pace t hat make t he m worth c omparing i n t he f i rst p lace. Thus , Cherry 's a pproach i s c lear ly p referable i fo ne w ishes t o g enera l ize a bou t t he s ta te , b u t i fs uch g enera l iza t ions a re r egarded a s i nappropr iate t hen t he h istor ica l ly ( and s pa t ia l ly ) s pec i f ic a pproach o f G ledh i l l m igh t a ppea l .
Once a ga in , i ti s t he q uest ion o f ac lear d ef in it ion o f
t he o b ject o f s tudy a nd i n ten t ions t hat a r ises a s w ithou t ar eso lut ion o f i tt he a ccumu la t ion o f ' ev idence ' c an d e monstrate l i t t le. 5 16
Relating spatial form and social process If the tone of this commentary so far has been somewhat pessimistic, what follows is perhaps even more sa. Even if the problems associated with the analysis of spatial relationships can be solved and the analysis of social rela tionships organised within an appropriate and explicit theoretical framework, there still remain the crucia 1 inferential problems associated with the move ment from form to process. Such problems are central to the geographical method of analysis and so infiltrate anthropology and archaeology to the extent that these disciplines seek to borrow its methodology. Although there may be strong arguments to support the proposition that the process which created an object can be inferred from its spatial form in physical geography, there is a growing recognition among human geographers that it is very difficult to support in the realms of social behaviour, and so related disciplines would be wise to adopt this position only with considerable caution. The major reasons for this disquiet revolve around such problems as that of equifinality, of the non-spatial character of many social processes and of the ubiquitous theory-evidence relationship. The problem of equifinality is easily st.,te,:l but solubl � only with difficulty. It stems from 'L.1-ie observation that several different processes may give rise to simila pat� .rns a d calls into question thP possibility of identifying exactly which process had caused a particular pattern on the basis of the evidence afforded by that pattern alone. Hence, a relatively uniform spacing of settle ments could i .d�cate the operation of such varied processes as competition for agricultural e c ources, competition for market areas. planned colonisation of the area, or a uniform distribution of natural features such as the availability of water, which might dictate the possibilities for settlement. The pattern alone cannot indicate which of these processes has caused it. Bearing in mind the €'Omments above concerning the c-omplexity of the processes concerned in the formation of most settlement patterns, this problem is clearly exacerbated when a variety of scale components are involved in the production of a pattern. The se".ond problem, that of the non-spatial nature of many social processes, is related to the question of equifiw ity. Just as the same pattern can result from different processes so different patterns can be produced by essentially similar processes. Thus socit=>ties that are similar in many respects could manifest different patterns of' Rettleme t ·1s a result of relatively minor differe ces between them. The doubts expressed by Richards about the extent to which settlement patterns reflect a significant difference between social processes i different regions are but a less formal statement of this problem. The upshot of this is that inferences about social processes that can be made from studies of spatial form must necessarily be limited to those processes which actually have an important and distinctive spatial component. Finally we return to the problem of the way in which the original choice of theory affects the collection and int erpretation of evidence. In the past one of the great attractions of carrying out spatial analysis has been the assump tion that form represented evidence in some pure, theory-free, fa shion so that differences in the interpretation of the analysis could stem only in divergences in the treatment of processes. However, if the analysis of spatial form is indeed theory dependent then the likelihood of divergence in analysis widens. 517
There i s n o s i mp le a nswer t o t h is , b u t a n i mportan t s tep f orward wou ld b e t he d e l iberate a dopt ion o f t he method o f e xpos it ion t ha t i s b est e xe mp l if ied b y G ledh i l l 's c on tr ibut ion—for h ere t he move men t f ro m t heory t o e v idence a nd b ack t o t heory a ga in i s made c lear a nd s o i s more r ead ily c hal lenged . Conclus ion Desp ite t he c ons iderab le d i f f icu lt ies t hat h ave b een o u t l ined a bove , t here i s s t il l much t hat c an b e d one i n f urther ing t he a t te mpt t o r ela te s pat ia l a nd s oc ia l o rgan isa t ion .
Wha t i s r equ ired i s a n a pproach t hat c omb ines t he s trong
p o in ts o f t he p apers p resen ted h ere.
As ma t ters s tand many o f t he a u thors
a re u n fortunately w r it ing p ast , a cross a nd o ver o ne a no ther, s o c onvey ing l i t t le o vera l l s ense o f d irect ion . However, e ven w ith g rea ter c are o ver d ef i n it iona l p roble ms a nd t he a vo idance o f d e l iberately o bscure l anguage , a p redom inan t ly c ircu lar mot ion w ou ld s t il l b e e v iden t .
Further s uggest ions
a bou t t he way i n w h ich b as ic p roble ms c an b e f aced , i fn ot r eso lved , s uch a s t he improve men t o f s pat ia l p at tern a na lys is o r t he a dopt ion o f e xp l ic it s oc ia l t heor ies, may h elp t o i ncrease t he s ize o f t he c ircle , b u t u n t il t here i s aw ay o f b reak ing f rom t he n ecess ity o f k now ing w h ich p rocess h as c reated a p art i cu lar f orm b efore t hat f or m c an b e i den t if ied , ac ircle i tw il l r e ma in . Moreo ver, a f urther t ouch o f c ircu lar ity i s i mposed b y t he p ers isten t d i ff icu l t ies c aused b y t he c lose r elat ionsh ip b etween e v idence a nd t he t heory b y w h ich i t i s s elected ;
i l lum ina ted b u t n ot s o lved b y c urren t p h ilosoph ica l d eba tes c on-
c ern ing t he c ho ice b e tween c o mpet ing t heor ies.
N or s hou ld t h is b e r egarded
a s a n u nbearab le s tate o f a f fa irs. Mov ing a round f rom p rocess t o f orm t o p rocess o r f rom e v idence t o t heory t o e v idence, may n ot s ound l ike a w ay o f mak ing p rogress, b u t i ti s af ar s urer w ay t o p roceed t han b y p lac ing f a i th i n e ither a ' cure-a l l ' methodo logy o r i n a n a ccumu lat ion o f c ase s tud ies. S o me a dd it iona l c om fort may b e d er ived f rom t he f act t ha t many o ther g roups o f r esearchers i n terested i n t he g eneral f i e ld o f s pat ia l a nd s oc ia l o rgan isa t ion a re a lso o n ly mov ing a round t he ir own mu lberry b ushes a nd o f ten h ave f a iled t o e ven r ea l ise i t .
As t he p apers i n Part I o f t h is v o lume d e mon-
s trate , s o me t ime s pen t a round t he s a me b ush w ou ld n o t c ome am iss. B ib l iography Anderson , P ., 1 974.
L ineages o f t he Abso lu t ist S tate.
Dawson , A . H ., 1 975. Area 7 : 4 2-5 .
" Are g eographers i ndu lg ing i n al andscape l ot tery?"
Feyerabend , P ., 1 975. Aga inst method : k now ledge. L ondon . G iddens, A ., 1 976.
L ondon.
o u t l ine o f a n a narch ist ic t heory o f
N ew r u les o f s oc io log ica l method.
L ondon.
K now ledge a nd h uman i n terests.
L ondon .
Haber mas , J ., 1 972.
Harvey , D . W., 1 968. " Some methodo log ica l p rob le ms i n t he u se o f N ey rnan Type A a nd n ega t ive b ino m ia l p robab il ity d istr ibu t ions f or t he a na lys is o f s pat ia l p o in tp a t terns." T rans. I nst . Br it . G eog. 4 4:85-95. H il ton , R . ( ed.), 1 976.
T he t rans it ion f rom F euda l is m t o Cap ita l is m. 5 18
L ondon .
Hudson, J. C. and Fowler, I., 1968. "The concept of pattern." Paper 1. Department of Geography, Iowa University. Lakatos, L, 1975.
Proofs and refutations.
Rogers, A., 1974.
Statistical analysis of spatial dispersion.
519
Discussion
Cambridge . London.