Forward into the Past: World-Systems Before 1500 Thomas D. Hall and Christopher Chase-Dunn* Forthcoming in _Sociological Forum_ Why is Janet Abu-Lughod's Before European Hegemony (1989), a book about the world-system before the modern world-system, receiving such wide notice? Why is Andre Gunder Frank, who coined the phrase "the development of underdevelopment" (1969) writing about Central Asia (1992) and the Bronze Age (Frank 1993) as important factors in the formation of the modern world-system? Why has Christopher Chase-Dunn, whose Global Formation (1989) summarized twenty-five years of research on the modern world-system, now writing about stateless world-systems in precontact northern California (Chase-Dunn 1993)? Why are Chase-Dunn and Thomas Hall analyzing world-system theory by beginning some seventeen thousand years ago (Chase-Dunn and Hall 1993a, 1993b)? What does all of this have to do with other problems of concern to sociologists? One answer is Albert Bergesen's suggestion that with the fall of the Berlin Wall and the end of communism "The great 19th century paradigms of social science seem to have lost their grip on our imagination" (1992, p. 3). Thus, while world-system theory provides a convincing account of underdevelopment, it has not filled that gap, nor has the new unraveling of history by pre-1500 world-systems analysts. Indeed, it could be argued that the retreat into the distant past is also a retreat from contemporary theoretical conundra. In a reply to Bergesen, Hall (1993) argued that rather than a retreat, these new studies constituted an attempt to gain new insights into the sudden, and often unexpected, changes in contemporary global sociology. He describes these new efforts not "as an unraveling of theory, but an effort to reweave it into a more comprehensive tool for understanding and shaping our world" (1993, p. 3). This is only one motivation for extending world-system theory into the distant past. There are several other intellectually sound reasons for studying pre-1500 ("precapitalist") world-systems. First, since major social transformations are difficult to study and understand from their midst, the analysis of ancient social transformations, used with due caution, provides a different perspective from which to study modern social change. Second, study of the first major transformation in human social organization (the neolithic revolution [see, for example, Lenski et al. 1991]) may suggest new questions about the continuing results of the second major transformation, the industrial revolution. In between these two major transformations states and cities were invented and spread rapidly. Since archaeology and archaeologists hold most of the evidence and many of the Forward into the Past Page 2 tools useful for studying the neolithic revolution, the rise of cities, and the rise of states, their works provide important insights into the modern era--especially about state formation and transformations. Third, archaeologists continue to report systems of intersocietal interaction that bear at least a "family resemblance" to the modern world-system, but are continually frustrated with world-system theory as a tool for analyzing these systems. Fourth, critiques of modern world-system theory for insufficient attention to the roles of gender (Ward 1990, 1993), nonstate societies and ethnic groups (Wolf 1982; Hall 1989), and the state (Evans, Reuschmeyer, Skocpol 1985) suggest that students of the modern world-system might do well to examine how students of ancient societies study these same roles. Fifth, world historians are increasingly studying the roles of intersocietal interactions in historical processes (McNeill 1990). Thus, there is something of a convergence of interests between students of ancient and modern social change, or social evolution: students of the modern world-system are looking to the past for insights into the present and potential futures, while students of ancient societies are looking to world-system theory for insights into the role of intersocietal interaction in social change and social evolution. This convergence of interests has produced an active exchange among anthropologists, archaeologists, world historians, and world-system theorists. This exchange is also a major motivating force behind the attempts to develop a more generalized theory of world-systems that is not so tightly anchored to the rise of the modern, European, capitalist world-system from western Europe over the last five hundred years. This is also why modifying concepts of world-system theory to facilitate examination of the roles of intersocietal interaction in ancient societies has become a growth "cottage industry" in several disciplines. The encounter is generating a great deal of scholarly activity and some major rethinking of social evolution as a process. Differences in motivations, in disciplinary weltanschauungen, in the questions formulated, and in the regions and times where investigators pursue concrete, historical answers create a situation ripe for cross-fertilizations. In this brief note we seek to bring this exciting exchange to a wider sociological audience. We offer a brief overview of the approaches to the study of intersocietal interactions. We begin with a review of work in anthropology (a more detailed account is Hall and Chase-Dunn 1993), then turn to some interesting related ideas from other disciplines, and conclude with sketch of the potential theoretical impacts of these ideas and works in sociology. Intersocietal Interaction and World-System Theory Almost since the world-system theory appeared (Wallerstein 1974), anthropologists and archaeologists have had an ambivalent reaction to it. This reaction began with the earliest such attempt by Richard Pailes and Joseph Whitecotton (1975) to examine the relations between Mesoamerica and the precontact Forward into the Past Page 3 American Southwest, which was further discussed by Blanton and Feinman (1984) and continues through Guillermo Algaze's recent comparison of ancient world-systems (1993). Not long after Pailes and Whitecotton, Philip Kohl observed that the development of underdevelopment in the Bronze Age was sharply constrained or itself underdeveloped. Critical technologies, such as metal working, could diffuse relatively easily and new means of transportation and sources of power, such as horses, could be raised in peripheral zones and radically restructure this ancient world-system (1978, p. 489). Jane Schneider (1977) objected to Wallerstein's contention (1974:41-2) that the exchange of "preciosities" did not constitute a world-system, but only exchanges of bulk goods could do so. Her main point was that even trade in luxury goods, or preciosities, often produced important transformative changes in precapitalist societies. Many others have pursued this criticism. Among those others Peter Peregrine (1992) argues that preciosities play a central role in prestige goods economies. A prestige goods economy is one in which local leaders (typically chiefs) monopolize access to some object used in public certifications of elite status. The specific object may be an almost arbitrary symbol, but the trade monopoly often entails control of access to trade networks for more substantial items. Control over access to this resource becomes, in itself, a source of power. Such systems are typically exceedingly fragile. Jonathan Friedman and Michael Rowlands (1978) formulate an explicitly world-system and structuralist Marxist interpretation of the politics of kinship which extends and critiques Leach's (1954) analysis of the alternations between hierarchical and egalitarian kinship systems. They also discuss the connection between state formation and gender relations in world-system terms. Ekholm and Friedman (1982) argue that there was a major transformation in system logic with the appearance of the first states in Mesopotamia, but stress the continuities of "capital imperialism" after states appeared. Friedman (1982) modified his theory to explain the rise and fall of chiefdoms and variations in social structure across Melanesia and Polynesia. Edward Schortman and Patricia Urban's collection, Resources, Power, and Interregional Interaction (1992a), is one of the best overviews of anthropological approaches to interregional interaction readily available. In introductory and concluding essays (1992b, 1992c) they review the history of anthropological thought on interregional interaction and diffusion. They note that the concept of diffusion is extremely undertheorized in anthropology. This gap is due, in large part, to a negative reaction to the heavy reliance on diffusion as an explanatory principle for all types of social change in the late nineteenth and early twentieth centuries. In an insightful chapter, Robert Santley and Rani Alexander (1992) classify core-periphery systems into three types. First Forward into the Past Page 4 are dendritic political economies, in which exchanges occur between core and periphery, but without overt political control, and with no inter-core exchanges. Second are hegemonic empires in which a single core state dominates peripheral regions through conquest or threat of conquest, and which use their hegemony to extract tribute and raw materials. Third are territorial empires which grow out of hegemonic empires and which incorporate peripheral areas under a single political system composed of a dominating central administrative and military apparatus. Territorial empires may develop capitalist systems, but many do not. Santley and Alexander do not hypothesize an evolutionary relationship among these types of core-periphery systems. Another useful collection is Katherine Spielmann's Farmers, Hunters, and Colonists (1991a) which analyzes the nature of intergroup interactions in the American Southwest, during the protohistoric period (1450-1750 C.E.). The essays focus on interactions between sedentary Puebloan groups and nomadic groups. Key issues are: Is interaction a way for similar communities to buffer the vagaries of food procurement, or is it a mutually beneficial exchange (mutualism) among complementarily specialized groups, or are mutualism and buffering themselves consequences of participation in a larger sociopolitical system? A few of the essays address world-systems theory explicitly (Baugh 1991 and Spielmann 1991b), while others only do so implicitly (Spielmann 1991c and Wilcox 1991). As a whole the collection describes a variety of ways in which societies can interact to more-or-less mutual benefit. In contrast to Spielmann's emphasis on cooperation, Brian Ferguson and Neil Whitehead's War in the Tribal Zone (1992a) clearly demonstrates that state expansion plays a major role in transforming "tribal" peoples. The term "tribal" is in quotes because in practice it is a very imprecise term which carries a great deal of theoretical and ideological baggage (Fried 1975; Hall 1989, Ch. 2). Ferguson and Whitehead (1992b) find two consistent effects of war in the "tribal zone." First, wars between state and nonstate peoples increase and intensify when states expand into formerly tribal territories. Second, wars among "tribal" peoples increase in frequency and intensity, often centering around access to state supplied goods. The subsequent chapters demonstrate that this increase in warfare in the "tribal zone" is not unique to the modern world- system, but occurred in ancient Rome (Mattingly 1992), ancient Sri Lanka (Gunawardana 1992), and Aztec Mesoamerica (Hassig 1992). Neil Whitehead (1992) shows how "states make tribes" in northeastern colonial Brazil, describing processes which are quite similar to those documented by Hall (1989) for the American Southwest. Ferguson (1992) argues that the Yanomami Indians of Venezuela, long celebrated in anthropology as unusually fierce, became that way due the influence of European states. He does not claim that all state contact is necessarily harmful, but that under specific circumstances state contact can lead to exceptionally severe inter- and intra-tribal warfare. Ferguson and Whitehead (1992b) also criticize world-system Forward into the Past Page 5 theory for failing to address the issue of tribal formation, transformation, and warfare because of its concentration on core activities and processes. However, several writers have used world-system theory to analyze Indian-White relations in North America (Hall 1989; Harris 1990; Jorgensen 1978; Kardulias 1990; and Meyer 1990, 1991). This oversight stems from the overlap in time of many of these writings and from differences in the scholarly traditions in the anthropology of war and the study of North American Indian-White relations. Neighbors and Fellow Travelers NEIGHBORS For some anthropologists discussions of precapitalist world- systems recalls Alfred Kroeber's concepts of ecumenes (oikoumene) and the "superorganic" (1952). For other anthropologists these discussions will recall many works by cultural ecologists (e.g., Steward 1955; Johnson and Earle 1987) which analyze changes in social structure as consequences of environmental adaptation. Cultural ecologists concentrated on local analyses in reaction to the earlier macro-diffusionism of Gordon Childe (1951). On the one hand Elizabeth Brumfiel (1992) suggests that the concentration on local adaptation led to an underemphasis of the roles of class, ethnicity, and gender in social change. On the other hand Edward Schortman and Patricia Urban (1992c:236) argue that the emphasis on local processes led to too little attention to intersocietal interaction as a source of structural change. Still, cultural ecology provides some powerful insights into how societies adapt to their environments, and sometimes each other. These critiques do not claim that cultural ecology is wrong, but claim that it leaves much out, both above and below the level of the society. From yet another angle, Joseph Tainter's Collapse of Complex Societies (1988) is an impressive comparative study of those instances of rapid disintegration, as opposed to gradual decline and loss of territory to competitors, among ancient states and empires. He focuses largely on internal processes, especially those which through increasing energy costs of social complexity lead to declining marginal returns, and ultimately collapse. However, he notes that these dynamics are significantly different when several complex societies are interacting (p. 201). He states "Collapse occurs, and can only occur, in a power vacuum. Collapse is possible only where there is no competitor strong enough to fill the political vacuum of disintegration" (p. 202). Tainter's argument implies that world-systemic connections are a means of avoiding collapse. This loose end could be, and should be, tied to world-system theory. Several other collections of essays have considerable relevance to world-system issues. Frances Mathien and Randall McGuire's Ripples in the Chichimec Sea (1986) examines the relationship between Mesoamerican states and the American Southwest in precolumbian times. Steadman Upham's Evolution of Political Systems (1990) contains insightful chapters as does his earlier work on Pueblo politics (1982). Collections edited by Green and Perlman (1985), Renfrew and Cherry (1986), Rowlands, Forward into the Past Page 6 Larsen, and Kristiansen (1987), and Champion (1989) contain chapters dealing with the world-systems perspective in precapitalist contexts. Anthropology is not the only other discipline to address world-system issues. FELLOW TRAVELERS Historical antecedents for world-system theory, and even its application to precapitalist times, can be found in Frederick J. Teggart's Theory and Process of History (1918, 1925) or his Rome and China (1939), or Henri Pirenne's Mohammed and Charlemagne (1980, French original 1939). As noted above, William H. McNeill's Rise of the West (1963) remains valuable for its insights about intersocietal interaction, while Plagues and Peoples (1976) remains cogent. Philip Curtin's (1984) Cross-Cultural Trade in World History shows that long distance trade has often been conducted by specialized trading ethnic groups (trade diasporas). He notes that as a shared set of assumptions about the basics of exchange (a trade ecumene) develops, the need for specialized trading ethnic groups declines. His work is highly suggestive about the ways in which world-systemic changes promote the formation, transformation, and elimination of ethnic minorities. Jerry Bentley's Old World Encounters (1993) is very useful in exploring the precapitalist interconnections across Eurasia. His treatment of the important ways in which trade, ideology, especially in the form of religion, and travel interact provides useful models for how to address cultural and symbolic issues in a world-system analysis. W. Warren Wagar's A Short History of the Future (1992) directly addresses the future history of the modern world-system by sketching a possible future history in the form of a transcript produced by an aging scholar a few centuries in the future for the education of his granddaughter. It features a global nuclear war in 2044, the subsequent formation of a world socialist state, and its transformation into a collection of loosely autonomous local communities. In contrast to Wagar, political scientist David Wilkinson (1991, 1992, 1993) focuses on the rise and fall of states -- the oscillation between interstate systems and "universal empires." With each oscillation the core of this system, which he calls "central civilization" grows larger and larger. His analysis parallels the analysis of hegemonic cycles in world-system theory, although he works from the state-as-war-machine, "neo- realist" approach now dominate in the study of international relations. Other authors discuss culture, ideology, or political processes in ways that are suggestive of world-system processes (Helms 1988, 1992; Randsborg 1991, 1992). Admittedly, world- system discussions of culture and ideology are woefully underdeveloped. Jean Gottmann's (1980) Centre and Periphery contains several insightful chapters on center-periphery systems. Paul Knox and John Agnew's (1989) economic geography text makes extensive use of world-system theory. Carol Smith's (1976) Forward into the Past Page 7 Regional Analysis is well known, although her explicit comparisons with world-system theory (1984, 1987) should also be consulted. Theoretical Implications What are the implications of this work on social theory? We identify four broad sets of implications which, if pursued, would promote rethinking of significant problems in social theory. First, much precapitalist world-systems work has considerable bearing on the process of state formation. How did this now nearly ubiquitous form of social organization originate and spread? These writings suggest that a major source of the formation, transformation, and possible demise of the state as a form of social organization is found in intersocietal interactions. The problem of patriarchy is closely tied to state formation. According to Irene Silverblatt (1988) and Christine Gailey (1987) the formation of states involved the demotion of kinship and the promotion of politics (and economics) as the major "glue" holding societies together. The demotion of kinship seems to entail a degradation of women, because of their unambiguous roles in kinship determination. The elegance of this analysis is that it simultaneously explains male dominance in all state societies and the tremendous variations in the details of that dominance. The specific gender relations in any society are a result of the transformation of the specific, pre-state form of kinship and the processes of state formation within a context of an interaction network or world-system. Third, many, if not all, state-based world-systems absorbed and transformed nonstate societies, sometimes generating oppositional states, sometimes creating enclave minorities, and always generating problems of acculturation or resocialization for those incorporated into the world-system. Many of the "tribes" we know today were created in the crucible of conflict with expanding states (Hall 1989; Whitehead 1992). Fourth, even absorption by a state may create new status groups. If acculturation is successful (from the dominant cultural point of view) these status groups are "temporary," lasting only a few generations. If groups come to occupy specific economic roles their differentness may be recreated continually. Even a class segment that becomes too tightly associated with a narrow occupational specialty may be transformed into a status group. Again, system dynamics are a major source of ethnic transformations. This list could be extended. Still, it is clear that world- system theory needs to be stretched, loosened, adapted, and otherwise modified to allow its use in precapitalist settings. Many features which are more-or-less constant in the modern world-system must be conceptualized as variables in precapitalist settings: relative weights of economics and politics in political-economy; roles of kinship, tribute, trade, and industrialization in capital accumulation; transformations and articulations of modes of production; degree and direction of domination and exploitation; etc. Only with such a robust theory Forward into the Past Page 8 of world-systems and their transformations will we be able to use our understanding of the past to analyze current crises and to look beyond the current era to possible futures. We invite others to join us in this exciting theoretical adventure. We can learn a great deal about the present and the future from a world- systemic study of the past. *We would like to thank Darrell La Lone, David Newman, Peter Peregrine, and Eric Silverman for helpful comments on the paper. Address correspondence to: Thomas D. Hall, Department of Sociology and Anthropology, DePauw University, Greencastle, IN 46135; internet: THALL@DEPAUW.EDU or Christopher Chase-Dunn, Department of Sociology, Johns Hopkins University, Baltimore, MD21218. internet: CHRISCD@JHUVM.HCF.JHU.EDU. REFERENCES Abu-Lughod, Janet L. 1989. Before European Hegemony: The World System A.D. 1250-1350. Oxford: Oxford University Press. Algaze, Guillermo. 1993. "Expansionary Dynamics of Some Early Pristine States." American Anthropologist 95:2(June):304- 333. Baugh, Timothy. 1991. "Ecology and Exchange: The Dynamics of Plains-Pueblo Interaction." Pp. 102-107 in (Spielmann 1991a). Bentley, Jerry H. 1993. Old World Encounters: Cross-Cultural Contacts and Exchanges in Pre-Modern Times. 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