W h e n atoms a re trave l l i n g
stra ight d o w n t h ro u gh empty
q u i te i n d ete r m i n ate times
and p l aces, t h ey swe r ve ever
so litt l e fro m t h e i r co u rse ,
j ust so m u c h t h at yo u would
call it a c h a n g� o f direct i o n .
I f it w e re n ot fo r t h is swe rve,
e v e ryt h i n g wo u l d fall d o w n
w a rd s t h r o u g h t h e a byss of
space . No co l l i si o n wo u l d ta ke
pl ace and n o i m p a ct o f ato m
o n ato m wo u l d be c r e ated.
T h u s n atu re wo u l d never have
created a nyt h i ng.
- Lucret i u s
Swerve Editions
Edited by Jonathan Crary, Sanford Kwinter, and Bruce Mau
DeLanda Manuel A Thousand Years of Nonlinear History
Other/DeLanda_Manuel_A_Thousand_Years_of_Nonlinear_History.pdf
Contents
11
Introduction
I : LAVAS AND MAGMAS
25
Geological History: 1000-1700 A.D.
57
Sandstone and Granite
71
Geological History: 1700-2000 A.D.
II: FLESH AND GENES
103
Biological History: 1000-1700 A.D.
135
Species and Ecosystems
149
Biological History: 1700-2000 A.D.
III: MEMES AND NORMS
183
Linguistic History: 1000-1700 A.D.
215
Argu ments and Operators
227
Linguistic History: 1700-2000 A.D.
257
Conclusion and Speculations
275
Notes
Introd uction
Despite its title, this is not
a book of history but a book
of philosophy. It is, however,
a deeply historical philoso
phy, which holds as its cen
tral thesis that all structures
that surround us and form
our reality (mountains, ani
mals and plants, human lan
guages, social institutions)
are the products of specific
historical processes. To be
11
A THOUSAND YEARS OF NONL INEA R HISTORY
co n s i st e n t , t h i s ty p e of phi l os o phy m u st of
n eces s i ty ta ke rea l history a s i ts sta rt i n g
p o i n t . The p ro b l e m i s , of cou rs e , tha t those
who w r i te history, how eve r scho l a r ly, do so
from a g i ve n ph i l os o p h i ca l p o i n t of v i ew,
a n d t h i s wou l d s e e m to t ra p u s i n a v i c i o u s
c i rc l e . B u t ju st a s history a n d phi l os o phy
m ay i n te ra ct i n s u ch a way a s to m a ke a n
o bje ct i ve a s s e s s m e n t o f rea l i ty i m poss i b l e
whe n e n t re n che d worl d v i ews a n d ro u t i n e
"-
p ro ce d u res fo r gathe r i n g h i sto r i ca l ev i d e n ce
co n stra i n e a ch othe r n egat i ve ly - they ca n
a l s o i n t e ra ct p o s i t i ve l y a n d t u r n th i s m u t u a l
d e p e n d e n ce i n to a v i rt u o u s c i rc l e . M o re ove r,
it m ay b e a rg u e d that t h i s p o s i t i ve i n te ra c
t i o n ha s a l re a d y begu n . M a ny histori a n s
ha ve a b a n d o n e d the i r Eu roce n t r i s m a n d
n ow q u est i o n the ve ry r i s e o f the We st (Why
n ot C h i n a o r I s l a nl? is n ow a com nl o n q u es
t i o n ) , a n d s o m e ha ve eve n l eft be h i n d the i r
a n th ro p oce n t r i s m a n d i n c l u d e a host of
n o n hu m a n h i st o r i e s i n the i r a cco u nts . A n u m
b e r of phi l os o phe rs , for the i r pa r t , ha ve be n e
f i te d f ro m the n ew histo r i ca l ev i d e n c e tha t
s cho l a rs s u ch a s Fe r n a n d B ra u d e l a n d W i l l i a m
M c N e i l l ha ve u n ea rthe d , a n d ha ve u s e d i t a s
a po i n t o f d e pa rt u re f o r a n ew, rev i ve d fo rm
12
INTRODUCTION
of m a t e r i a l i s m , l i b e rated f ro m the d ogm a s of
the pa st.
Phil o s o phy is n ot , howeve r, the o n ly d i s c i
p l i n e that ha s be e n i n f l u e n ce d by a n ew
awa re n ess of the rol e of h i stor i ca l p rocesses .
S c i enc e , too , ha s a cq u i re d a h i sto r i ca l co n
s c i o u s n ess . I t i s n ot a n exa ggerat i o n to say
tha t in the l a st tw o o r th re e d e ca d e s h i sto ry
ha s i n f i l t rated phys i cs , che m i stry, a n d b i o l
ogy. I t i s t r u e that n i n ete e n th- ce n t u ry the r m o
d yn a m i cs ha d a l re a d y i n t ro d u ce d t i m e's
a r row i n to phys i cs , a n d he n ce the i d e a of
i r reve rs i b l e h i sto r i ca l p roces s e s . A n d the
the o ry of evol u t i o n ha d a l rea d y shown that
a n i m a l s a n d p l a n ts we re n ot e m bod i m e n ts
of ete r n a l es s e n ces but p i e ce m ea l histori ca l
co n st r u ct i o n s , s l ow a cc u m u l at i o n s of a d a p
t i ve t ra i t s ce m e n t e d togethe r v i a re p rod u c
t i ve i s o l a t i o n . H oweve r, the c l a ss i ca l ve rs i o n s
o f thes e two the o r i es i n co r p o rated a rathe r
wea k n ot i o n of h i story i n to the i r co n ce pt u a l
m a chi n e ry: both c l a s s i ca l the r m o d y n a m i cs
a n d Da rwi n i s m a d m i tte d o n ly o n e poss i b l e
h i st o r i ca l o u tco m e , the reachi n g of the r m a l
e q u i l i b r i u m o r o f the f i ttest d es i g n . I n both
cases , o n c e thi s p o i n t wa s rea che d , h i st o r i ca l
p rocesses cea s e d t o cou n t . I n a s e n s e , o pt i13
A THOUSAND YEARS OF NONLINEAR HISTORY
m a l design o r o pti m a l d i stribution of e n e rgy rep re s e n ted an e n d of h is
tory for t h es e t h eo ries.
It s ho u l d com e a s n o s u r prise, then, t h at the cu rrent pen etrati o n of
scie nce by h i sto rical con ce r ns has been t h e res u l t of advan ces i n th ese
two d is ci p l i n es . l Iya P r igogi ne revol u t i o n ized the r m odyn a m ics in t h e
1960s b y s howi ng t h at t h e c l assical resu lts were v a l i d o n ly fo r closed sys
tems, wh e re t h e overa l l q u a nti ties of e n e rgy a re a lways conserve d . I f o n e
a l l ows a n i nt e n s e f l ow of e n e rgy in a n d o u t of a system (that is, if o n e
p u s hes it fa r from equilibrium), the n u m be r a n d typ e of poss i b l e h isto ri cal
o utcomes greatly i ncreases. I n stead of a u n iq u e a n d s i m p l e fo rm o f
sta bi l ity, we n o w h ave m u lti p l e coexisting forms of v a ry i n g co m plexity
(static, periodic, a n d c h aotic attractors). M oreove r, w h e n a syste m switch e s
f r o m o n e sta ble state t o a nother (at a critical point called a bifurcation),
m i n o r fl u ct u a t i o n s m ay p l ay a crucial rol e i n deci d i ng the o u tco m e . T h u s ,
w h e n we st u dy a give n p hysical system , w e n eed to k n o w t h e s pecific
n at u re of t h e fl u ct u ati o n s t h at have been p re s e n t a t e a c h of its bifu rca
tio ns; in o th e r words, we n ee d to know its h isto ry to u n d e rstan d its
c u rrent dyn a m ical state.l
A n d w h at i s t r u e of p hysical systems is all t h e m o re t r u e of bio l ogical
o nes. Attract ors and bifu rcatio n s a re feat u res o f any system in w h i c h t h e
dyn a m ics a re n ot o n ly far from eq u i l i b ri u m b u t a l so n o n linear, t h at i s , i n
w h i c h t h e re a re stron g m ut u a l i nteracti o n s (o r feed back) betwee n co m po
n e nts. W h e t h e r the syste m in q u esti o n is com posed of m o l ec u l es or of
l iv i ng creat u res, it wi l l e x h i bit e n doge n o u sly gen erated sta b l e states, as
wel l as s h a rp t r a n s iti o n s betwe e n state s, a s l o n g as t h e re is feed back a n d
a n i nte n se flow o f e n e rgy cou rs i ng t h ro u g h t h e system . As biol ogy begi ns
to i n cl u de t h ese n o n l i ne a r dyn a m i ca l p h e n o m e n a i n its models - fo r
e xa m p le , t h e m ut u a l sti m u l ation i n vo lved i n t h e c a s e of evol u t i o na ry " a rms
races" betwe e n p redato rs and p rey - t h e noti o n of a "fittest d esign" will
lose its m e a n i ng . I n an a rm s r ace t h e re is no o pti m a l sol u t i o n fi xed o nce
a n d fo r a l l , s i nce t h e criteri o n of "fitness" itself c ha nges with t h e dyna m
ics.2 As t h e b e l i ef i n a fixed crite rion of opti m a l ity d is a p pears from b iol
ogy, rea l h i sto rical p rocesses com e to reassert t h e m se lves o nce m o re .
T h u s , t h e move away f ro m e ne rgetic eq u i libri u m a n d l i n e a r ca u sa l ity
h a s rei njected t h e n atu ra l s ci e n ces with h isto rica l co n ce rn s . T h i s book i s
a n e x p l o ratio n of t h e possi b i lities that m i g h t be o p e n e d to p h i loso p h ical
reflect i o n by a s i milar m ove i n t h e social scie nces i n gen eral a n d h istory
in p a rt ic u l a r. T hese pages exp l o re t h e poss i b i l ities of a n o n l i ne a r a n d n o n
e q u i l i b ri u m h isto ry by t raci ng t h e d evelopment of t h e West i n t h ree h is
torica l n arratives, each starti n g roughly i n the yea r 1000 and c u l m i n ati n g
i n o u r own tim e , a t h o u s a n d yea rs l ate r. B u t doesn ' t t h i s a p p roach contra-
14
INTRODUCTION
d i ct my stated goa l ? I s n ' t the very idea of fol l ow i n g a line of development,
centu ry by centu ry, i n h e re ntly l i n ea r? My a nswe r is t h at a n o n l i ne a r con
cept i o n of h i sto ry h a s a bsol u te l y n ot h i ng to do with a style of p rese nta
tion , as i f o n e cou l d t r u ly ca ptu re t h e n o neq u i l i b ri u m d y n a m ics of h u ma n
h i sto rica l p rocesses by ju m p i ng back a n d fo rth a m o n g t h e centu ri e s . On
t h e co n t ra ry, w h at i s needed h e re is n ot a text u a l but a p hysical o p e ra
t i o n : m u ch as h isto ry has i n fi lt rated p hysics, we m u st n ow al low p hysics
to i nf i l trate h u m a n h i sto ry.
E a r l i e r atte m pts i n t h is d i recti o n , most n ota bly in t h e p i o n ee ri ng wo rk of
t h e p hysi ci st A rt h u r I bera l l , offer a u sefu l i l l u stratio n of t h e co n ce ptu a l
s h i fts t h at t h i s i n fi l t rati o n wo u ld i nvolve. I be ral l was p e r h a p s t h e fi rst t o
visu a l ize t h e majo r t r a n s i ti o n s i n earl y h u m a n h isto ry (t h e transitio ns from
h u nter-gat h e r e r to agricu l t u r a l ist, a n d fro m agric u ltu ra l ist to city d we l l e r)
n ot as a l i n e a r advance u p t h e l a d d e r of progress b u t a s t h e cross i ng of
n o n l i n ear critical t h re s h o l d s (bifu rcatio n s). M o re specifica l ly, m u c h as a
given c h e m ical co m po u nd (wate r, fo r exa m p l e) m ay exist i n seve ral d is
ti nct states (so l i d , l i q u id , o r gas) and may switch from sta ble state to
sta b l e state a t critical poi nts i n the i n te n sity o f tem p e ratu re (ca l led phase
transitions), so a h u m a n soci ety m ay be seen as a " m ate r i a l " c a p a b l e of
u n d e rgoi ng t h ese c h a nges of state as it rea c h es critica l mass in te rms
of d e n s ity of sett l e m e nt, a mo u nt of e n e rgy co n s u m e d , o r even i nten sity
of i nteracti o n .
I be ra l l i n vites u s t o view e a rl y h u nte r-gat h ere r b a n d s a s gas particl es, i n
t h e s e n se t h at t h ey l ived a p a rt fro m e a c h oth e r a n d t h e refo re i ntera cted
rarely and u n syste matical ly. ( Based on the et h n ogra p h i c evi d e n ce t h at
b a n d s typi cal ly l i ved a bo u t s eve nty m i les a p a rt a n d assu m i n g t h at h u m a n s
can w a l k a b o u t twen ty-five m i les a d ay, h e c a lc u l ates t h at any two b a n d s
we re sepa rated b y m o re t h a n a day's d i sta nce fro m o n e a noth e r.3) W h e n
h u m a n s fi rst bega n t o cu ltivate ce re a l s a n d t h e i nte ract io n b etwe e n
h u m a n bei ngs a n d p l a nts created sed e n tary com m u n ities, h u m a n ity l iq u e
fied o r c o n d e n se d i nto gro u p s w hose i n te racti o n s we re n ow m o re f re q u e nt
a l t h o u g h sti l l l oosely regu lated. F i n a l ly, w h e n a few of t hese com m u nities
i nten sified agricu ltu ra l p rod u cti o n to t h e point w h e re s u rpl u ses cou ld be
harvested , sto re d , and red i stri b u ted (fo r t h e fi rst t i m e a l l ow i n g a d iv i s i o n
o f l a bo r b etwe e n p rod u ce rs a n d co n s u m e rs of foo d ) , h u m a n ity a cq u i red
a crysta l state , in t h e s e n se t h a t central gover n ments now i m posed a sym
metrical grid of l aws a n d regu latio n s on t h e u rban pop u latio n s . 4
H owever oversim p l i fied t h i s p ictu re m ay be, i t co n ta i n s a s i gn ificant cl u e
as to t h e n at u re of n o n l i n ear h i story: i f t h e d i ffe rent "stages" of h u m a n
h isto ry w e r e i nd eed b r o u g h t a bo u t b y p h ase tran s i t i o n s , t h e n t h ey a r e
not " stages" at a l l - that i s , p rogressive developme ntal ste ps , e a c h b ette r
15
A THOUSAND YEARS OF NONLINEAR HISTORY
t h a n the p revio u s o n e , a n d i ndeed leaving the p revious o n e be h i n d . O n
t h e co ntrary, m u c h as wate r's s o lid , l i qu id , a n d gas p h ases m ay coexist,
so eac h new h u m a n p hase s i m ply added itse lf to the ot h e r o nes, coexist
i n g a n d i nteract i ng w i t h t h e m with o u t l eavi ng t h e m in the past. M o re
ove r, m u c h a s a given material may s o l id ify i n alte rn ative ways (as ice o r
s n owfl ake , a s crysta l o r g lass), s o h u ma n ity l i q u efied a n d l ater s o l i d ified
in d iffe rent f o r m s. The n o m a d s of the Steppes ( H u ns, M o ngo ls), fo r
exa m p l e , d o m esticated a n i m a ls not p l a nts, a n d t h e c o n se q u e nt pastoral
l i festyl e i m posed on them t h e n eed to move wit h t h e i r f locks, al most as i f
t h ey had con d ensed n ot i nto a p o o l of l iq u id b u t i nto a m ovi ng, a t t i m es
t u r b u l ent, f l u id. W h e n t hese n o m a d s d i d acqu i re a s o l i d state (d u r i ng t h e
r e i g n o f Ge n g h i s Kh a n , for i n sta nce), t h e resu lt i n g struct u re w a s m o re l ike
glass than crysta l , m o re a m o rp h o u s and l ess ce ntral ized. I n oth e r word s ,
h u m a n h i story d id n ot fol low a straight l i ne , a s if everyt h i ng poi nted
towa rd c i v i l ized societies a s h u m a n ity's u ltimate goa l . On the contra ry, at
each bifu rcatio n alte r n ative sta ble states were p o ss i b l e, a n d o nce act u a l
ized , t h ey coexisted a n d i nteracted w i t h o n e a not h e r.
I a m awa re t h at a l l we have h e re a re s u ggestive meta p h o rs. I t i s t h e
task o f t h e variou s c h a pters o f t h i s book t o attem pt t o re m ove t h at meta
p ho rica l co nte nt. M o reover, eve n a s m eta p hors, I be ra l l 's i m ages s u ffe r
from a n oth e r d rawback: i no rga n ic m atter-e n e rgy h a s a wi d e r ra nge of
a ltern atives fo r t h e ge n e r atio n of struct u re t h a n j u st t h ese s i m p l e p hase
t r a n s itio n s , and w h at is true fo r s i m p l e "stu ff" m u st be all the m o re
so for t h e c o m p l ex m ate r i a ls t h at for m h u m a n c u l t u res. I n ot h e r word s,
eve n t h e h u m b l e st forms of m atter and e n e rgy h ave t he pote nti a l for
self-orga nization beyon d t h e rel atively s i m p l e type i n vo lved i n t h e cre
ati o n of crystal s. T h e re a re , fo r i nsta nce, those co h e rent waves cal led
solitons, wh ich fo rm i n m a ny d iffe re nt types of m aterials, rangi ng from
oce a n wat e rs (w h e re t h ey a re ca l led t s u n a m is) to lasers. T h e n t h e re a re
t h e a fo re m e ntio n ed sta b l e states (or att racto rs), w h ich can s u stai n co
h e rent cycl i c act i vity of d i fferent types (peri od i c o r c h a otic).5 Fi n a l ly, a n d
u n l ike t h e p revio u s exa m p le s o f n o n l i n e a r self-orga n izat i o n w he re tru e
i n novatio n ca n n ot occu r, t he re is w h at we may ca l l " n o n l i ne a r combi n a
torics , " w h i c h explo res t h e d iffe rent com b i n at i on s i nto w h i c h e ntities
d e rived from the p revio u s p rocesses (crysta l s , co h ere n t p u l ses, cyclic
patte rns) m ay e nter. I t is from t h ese u nl i m ited com b i n at i o n s t h at tru l y
n ovel struct u res a re ge n e rated.6 W h e n p u t togeth e r, a l l t hese fo r m s o f
spo ntan e o u s struct u ra l ge n e ratio n suggest t h at i n o rga n ic matte r i s m uc h
m o re v a r i a b l e a n d c reative t h a n w e ever i m agi ned . A n d t h i s i nsight i nto
m atter's i n h erent creativity n ee d s to be fu l ly i ncorpo rated i nto o u r new
m at e ri a l ist p h i losop h ie s .
16
INTRODUCTION
W h i le t h e co nce pt of s e l f-o rga n izati o n , as a p p lied to p u rely m ate r i a l
a n d e n e rgetic syste m s , h as bee n s ha rp e n e d co nsiderably o v e r t h e l ast
t h ree decades, it sti l l n e e d s to be refi ned before we can a p p ly it to the
case of h u m a n societies. Specifica l ly, we need to tak e i nto acco u n t t h at
a ny expl a n at i o n of h u m a n be h av i o r m u st i n volve �:efe rence to i rred u ci b l e
i ntention a l e ntities s u c h a s " be l i efs" a n d " d e s i re s , " s i nce expectatio n s
a n d p refe re nces a re w h at g u i d e h u ma n d e c i s i o n m a k i n g i n a w i d e range
of soc i a l activities , s u c h as pol itics a n d e co n omics. I n som e cases t h e
d ecisio n s m a d e b y i nd ivid u a l h u m a n be i ngs a re h i g h ly con stra i ned b y
t h e i r position a nd ro l e i n a h i era rc h ic a l o rgan izatio n a n d a re , t o t h a t e x
tent, gea red towa rd m e eti n g t h e goa l s of t h at o rgan izatio n . I n oth e r cases,
h oweve r, w h at matters i s n ot the pl a n ned resu lts of decisi o n m a k ing,
b u t t h e unintended collective consequences of h u m a n d ec i s i on s. T h e best
i l l u stratio n of a soc i a l i n stitu t i o n t h at e m e rges sponta ne o us l y fro m t h e
i nteract i o n o f m a ny h u ma n d e c i s i o n m a kers is t h at of a p re-ca pita l ist
m arket, a col lective e n tity a ri s i ng from the d ecentral ized i nte ractio n of
m any b uye rs and s e l l e rs , with n o central " d e c i d e r" coord i n ati n g t h e
w h o l e proce ss. I n s o m e m o d e l s , t h e dyna m ics o f markets a r e gover n e d
b y period ic attracto rs, w h i ch fo rce m a r kets t o u nd e rgo boom-a n d -b u st
cycles of varying d u rati o n , from t h ree-ye a r b u s i n ess cycles to fifty-yea r
l o ng waves .
W h et h e r a p p lied to se lf-o rgan ized forms o f m atte r-energy o r to t h e u n
p l a n ned res u lt s of h u m a n age ncy, t hese new co n cepts d e m a nd a n ew
m ethodo logy, a n d it is t h is meth odologica l c h a nge t h at m ay p rove to be of
p h i loso p h i c a l s i g n ifican ce . Part of w h at t h i s c h a nge i nvolves is fai rly o bvi
ous: the eq u at i o n s scie ntists u s e to model n o n l i n e a r proce sses c a n not be
solved by h a n d , but d e m a n d the use of com p ute rs . M o re tec h n ical ly, u n
l i ke l i n e a r e q u at i o n s (th e type m ost p reval e n t i n scie nce), n o n l i n ear o n es
a re very d iffic u l t to sol ve analytically, and d e m a n d the u se of d et a i led
n u m erical s i m u l at i o n s carried o u t with the h el p of d igital m a c h i n es. T h is
l i m itat i o n of a n a lytical tool s for t h e stu d y of no nli n e a r d y n a m i cs beco m es
even m o re co n stra i n i ng i n t h e case of no n l i ne a r co m bi natorics. I n t his
case, ce rta i n com b i n at i o n s w i l l d i s pl ay emergent properties, t h at is, prop
e rties of the co m b i n a t i o n as a w h o l e w h i c h a re m o re t h a n t h e s u m of
its i n d ivi d u a l p arts. T h ese e m e rge n t (or " synergi stic" ) properties belo ng
to the interactions between parts, so it fo l l ows t h at a top-down a n a lytical
a p p roac h that begi n s with the w h o l e a nd d is sects it i nto its co n stitu e nt
p a rts (a n ecosystem i nto s pecies, a society i nto i n stitutio n s), i s bou nd to
m iss p recisely those p rope rti es. I n ot h e r wo rd s , a n a lyzi ng a w h o l e i nto
pa rts a n d t h e n attem pt i ng to m o d e l it by adding up t h e com p o n e nts w i l l
fa i l t o capt u re a n y p roperty t hat e m e rged from co m p l ex inte raction s ,
17
A THOUSAND YEARS OF NONLINEAR HISTORY
since the effect of the latter may be multiplicative (e.g., mutual enhance
ment) and not just additive.
Of course, analytical tools cannot simply be dismissed due to this
inherent limitation. Rather, a top-down approach to the study of complex
entities needs to be complemented with a bottom-up approach: analysis
needs to go hand in hand with synthesis. And here, just as in the case of
nonlinear dynamics, computers offer an indispensable aid. For example,
instead of studying a rain forest top down, starting from the forest as a
whole and dividing it into species, we unleash within the computer a pop
ulation of interacting virtual "animals" and "plants" and attempt to gen
erate from their interactions whatever systematic properties we ascribe to
the ecosystem as a whole. Only if the resilience, stability, and other prop
erties of the whole (such as the formation of complex food webs) emerge
spontaneously in the course of the simulation can we assert that we have
captured the nonlinear dynamics and combinatorics of rain forest forma
tion. (This is, basically, the approach taken by the new discipline of Artifi
cial LifeJ)
I n this book, I attempt a philosophical approach to history which is as
bottom-up as possible. This does not mean, of course, that every one of
my statements has emerged after careful synthetic simulations of social
reality. I do take into account the results of many bottom-up simulations
(in urban and economic dynamics), but research in this direction is
still in its infancy. My account is bottom-up in that I make an effort not
to postulate systematicity when I cannot show that a particular system
generating process has actually occurred. (I n particular, I refrain from
speaking of society as a whole forming a system and focus instead on sub
sets of society.) Also, I approach entities at any given level (the level of
nation-states, cities, institutions, or individual decision makers) in terms
of populations of entities at the level immediately below.
Methodologically, this implies a rejection of the philosophical founda
tions of orthodox economics as well as orthodox sociology. Although the
former (neoclassical microeconomics) begins its analysis at the bottom
of society, at the level of the individual decision maker, it does so in a
way that atomizes these components, each one of which is modeled as
maximizing his or her individual satisfaction ("marginal utility") in isola
tion from the others. Each decision maker is further atomized by the
assumption that the decisions in question are made on a case-by-case
basis, constrained only by budgetary limitations, ignoring social norms
and values that constrain individual action in a variety of ways. Orthodox
sociology (whether functionalist or Marxist-structuralist), on the other
hand, takes society as a whole as its point of departure and only rarely
18
INTRODUCTION
attempts to explain in detail the exact historical processes through which
collective social institutions have emerged out of the interactions among
individuals.
Fortunately, the last few decades have witnessed the birth and growth
of a synthesis of economic and sociological ideas (under the banner of
"neoinstitutional economics"), as exemplified by the work of such authors
as Douglas North, Viktor Vanberg, and Oliver Williamson. This new school
(or set of schools) rejects the atomism of neoclassical economists as well
as the holism of structuralist-functionalist sociologists. I t preserves "meth
odological individualism" (appropriate to any bottom-up perspective) but
rejects the idea that individuals make decisions solely according to self
interested (maximizing) calculations, and instead models individuals as
rule followers subjected to different types of normative and institutional
constraints that apply collectively. Neoinstitutionalism rejects the "metho
dological holism" of sociology but preserves what we may call its "onto
logical holism," that is, the idea that even though collective institutions
emerge out of the interactions among individuals, once they have formed
they take on "a life of their own" (i.e., they are not just reified entities)
and affect individual action in many different ways.8
Neoinstitutionalist economists have also introduced sociological con
cepts into economics by replacing the notion of "exchange of goods" with
the more complex one of "transaction," which brings into play different
kinds of collective entities, such as institutional norms, contracts, and
enforcement procedures. I ndeed, the notion of "transaction" may be said
to add to linear economics some of the "friction" that its traditional mod
els usually leave out: imperfections in markets due to limited rationality,
imperfect information, delays and bottlenecks, opportunism, high-cost
enforceability of contracts, and so on. Adding "transaction costs" to the
classical model is a way of acknowledging the continuous presence of non
linearities in the operation of real markets. One of the aims of the present
book is to attempt a synthesis between these new ideas and methodolo
gies in economics and the corresponding concepts in the sciences of self
organization.9
I n Chapter One I approach this synthesis through an exploration of
the history of urban economics since the Middle Ages. I take as my point
of departure a view shared by several materialist historians (principally
Braudel and McNeill): the specific dynamics of European towns were one
important reason why China and I slam, despite their early economic and
technological lead, were eventually subjected to Western domination.
Given that an important aim of this book is to approach history in a non
teleological way, the eventual conquest of the millennium by the West
19
A THOUSAND YCARS OF NONLINCAR HISTORY
will not be viewed as the result of "progress" occurring there while failing
to take place outside of Europe, but as the result of certain dynamics
(such as the mutually stimulating dynamics involved in arms races) that
intensify the accumulation of knowledge and technologies, and of certain
institutional norms and organizations. Several different forms of mutual
stimUlation (or of "positive feedback," to use the technical term) will be
analyzed, each involving a different set of individuals and institutions and
evolving in a different area of the European urban landscape. Furthermore,
it will be argued that the I ndustrial Revolution can be viewed in terms of
reciprocal stimulation between technologies and institutions, whereby
the elements involved managed to form a closed loop, so that the entire
assemblage became self-sustaining. I refer to this historical narrative
as "geological" because it concerns itself exclusively with dynamical ele
ments (energy flow, nonlinear causality) that we have in common with
rocks and mountains and other nonliving historical structures.
Chapter Two addresses another sphere of reality, the world of germs,
plants, and animals and hence views cities as ecosystems, albeit
extremely simplified ones. This chapter goes beyond questions of inani
mate energy flow, to consider the flows of organic materials that have
informed urban life since the Middle
In particular, it considers the
flow of food, which keeps cities alive and in most cases comes from
outside the town itself. Cities appear as parasitic entities, deriving their
sustenance from nearby rural regions or, via colonialism and conquest,
from other lands. This chapter also considers the flow of genetiC materi
als through generations- not so much the flow of human genes as
those belonging to the animal and plant species that we have managed
to domesticate, as well as those that have constantly eluded our control,
such as weeds and microorganisms. Colonial enterprises appear in this
chapter not only as a means to redirect food toward the motherland,
but also as the means by which the genes of many nonhuman species
have invaded and conquered alien ecosystems.
Finally, Chapter Three deals with the other type of "materials" that
enter into the human mixture: linguistic materials. Like minerals,
inanimate energy, food, and genes, the sounds, words, and syntactical
constructions that make up language accumulated within the walls of
medieval (and modern) towns and were transformed by urban dynamics.
Some of these linguistic materials (learned, written Latin, for example)
were so rigid and unchanging that they simply accumulated as a dead
structure. But other forms of language (vulgar, spoken Latin) were dy
namic entities capable of giving birth to new structures, such as French,
Spanish, I talian, and Portuguese. This chapter traces the history of
20
INTRODUCTION
these emergences, most of them in urban environments, as well as of the
eventual rigidification (through standardization) of the dialects belonging
to regional and national capitals, and of the effects that several genera
tions of media (the printing press, mass media, computer networks) have
had on their evolution.
Each chapter begins its narrative in the year 1000 A.D. and continues
(more or less linearly) to the year 2000. Yet, as I said above, despite their
style of presentation, these three narratives do not constitute a "real"
history of their subjects but rather a sustained philosophical meditation
on some of the historical processes that have affected these three types
of "materials" (energetic, genetic, and linguistic). The very fact that each
chapter concentrates on a single "material" (viewing 11uman history, as
it were, from the point of view of that particular material) will make these
narratives hardly recognizable as historical accounts. Yet, most of the
generalizations to be found here have been made by historians and are
not the product of pure philosophical speculation.
In the nonlinear spirit of this book, these three worlds (geological, bio
logical, and linguistic) will not be viewed as the progressively more sophis
ticated
of an evolution that culminates in humanity as its crowning
achievement. It is true that a small subset of geological materials (car
bon, hydrogen, oxygen, and nine other elements) formed the substratum
needed for l iving creatures to emerge and that a small subset of organic
materials (certain neurons in the brain) provided the SUbstratum for lan
guage. But far 'from advancing in stages of increased perfection, these
successive emergences were-and will be treated here as-mere accumu
lations of different types of materials, accumulations in which each suc
cessive layer does not form a new world closed in on itself but, on the
contrary, results in coexistences and interactions of different kinds. Be
sides, each accumulated layer is animated from within by self-organizing
processes, and the forces and constraints behind this spontaneous
generation of order are common to all three.
In a very real sense, reality is a single matter-energy undergoing phase
transitions of various kinds, with each new layer of accumulated "stuff"
simply enriching the reservoir of nonlinear dynamics and nonlinear com
binatorics available for the generation of novel structures and processes.
Rocks and winds, germs and words, are all different manifestations of
this dynamic material reality, or, in other words, they all represent the dif
ferent ways in which this single matter-energy expresses itself. Thus, what
follows will not be a chronicle of "man" and "his" historical achievements,
but a philosophical meditation on the history of matter-energy in its dif
ferent forms and of the multiple coexistences and interactions of these
21
A THOUSAND YEA RS OF NONLINEAR HISTORY
forms. Geological, organic, and linguistic materials will all be allowed to
"have their say" in the form that this book takes, and the resulting cho
rus of material voices will, I hope, give us a fresh perspective on the
events and processes that have shaped the history of this millennium.
Geological History
1000-1700 A.D.
We live in a world populated
by structures-a complex
mixture of geological, biologi
cal, social, and linguistic con
structions that are nothing but
accumulations of materials
shaped and hardened by his
tory. I mmersed as we are in
this mixture, we cannot help
but interact in a variety of
ways with the other historical
constructions that surround
25
I: LAVA S AND MAGMAS
u s , a n d i n these i n te ra ct i o n s w e ge n e rate
n ove l c o m b i n a t i o n s , some of wh i ch possess
e m e rge n t p ro p e rt i es . I n t u r n , these sy n e r
g i st i c com b i n a t i o n s , whethe r of hu m a n o r i g i n
o r n ot , b e co m e the raw m ate r i a l fo r f u rthe r
m i x t u res . Th i s i s how the po p u l a t i o n of st r u c
t u res i n ha b i t i n g o u r p l a n et ha s a cq u i re d i ts
r i ch va r i ety, a s the e n t ry of n o ve l m a t e r i a l s
i nto the m i x t r i gge rs w i l d p ro l i fe rat i o n s of n ew
form s .
I n the o rga n i c wo r l d , for i n sta n c e , soft t i s
s u e (ge l s a n d a e ro s o l s , m u s c l e a n d n e rve)
re i g n ed s u p re nl e u n t i l 500 m i l l i o n ye a rs a go .
At that p o i n t , s o m e of the co n g l o nl e rat i o n s of
f l eshy m atte r - e n e rgy that nl a d e u p l i fe u n d e r
we nt a s u d d e n mineralization, a n d a n e w nl a t e
ri a l for co n st r u ct i n g l i v i n g c reat u res e m e rge d :
bo n e . I t i s a l m o st a s i f the m i n e ra l wo r l d that
ha d s e rve d as a s u b strat u m for the e m e rge n ce
of b i o l o g i ca l c re a t u res was rea s s e rt i n g its e l f,
co n f i r m i n g that ge o l ogy, fa r f ro m ha v i n g b e e n
l eft b ehi n d a s a p r i m i t i ve sta ge of the ea rth's
evo l ut i o n , fu l ly coex i ste d with the s oft, ge l a t i
n o u s n ewco m e rs . Pr i m i t i ve bo n e , a st i ff, ca l
c i f i e d c e n t ra l rod that wo u l d l a t e r b e co m e the
ve rte b ra l co l u m n , nl a d e new fo r m s of nl ove
m e n t co n t ro l p o s s i b l e anl 0 n g a n i m a l s , free i n g
26
GEOLOGICAL HISTORY 1000-1700 A . D
the m from m a n y co n st ra i n ts a n d l i t e ra l l y s et
t i n g the m i n to m ot i o n to co n q u e r eve ry a va i l
a b l e n i che i n the a i r, i n wat e r, a n d o n l a n d .
A n d yet , whi l e bo n e a l l ow e d the co m p l ex i f i
cat i o n of the a n i m a l phy l u m to wh i ch w e , a s
ve rte b rates , b e l o n g, i t n eve r fo rgot its m i n e ra l
o r i g i n s: i t i s the l i v i n g m ate r i a l that nl ost e a s
i l y p et r i f i es , tha t m o st re a d i ly crosses the
thresho l d b a c k i n to the wo r l d of ro c ks . Fo r
that rea so n , m u ch of the geo l o g i ca l re co rd i s
w r i tte n w i th foss i l b o n e .
The hu m a n e n d o s ke l eto n was o n e of the
m a n y p ro d u cts of that a n c i e n t m i n e ra l iza t i o n .
Yet that i s n ot the o n ly ge o l o g i ca l i n f i lt rat i o n
that the hu m a n s p e c i es ha s u n d e rgo n e .
A bo u t e i ght tho u s a n d yea rs a go , hu m a n p o p
u l at i o n s bega n m i n e ra l iz i n g a ga i n whe n they
d eve l o p e d a n u r b a n exoskeleton: b r i c ks of
s u n - d r i e d c l ay beca m e the b u i l d i n g nl ate ri a l s
fo r the i r ho m e s , wh i ch i n t u r n s u r rou n d e d
a n d w e re s u r r o u n d e d b y sto n e m o n u nl e n ts
a n d d efe n s i ve wa l l s . Thi s exos ke l eto n s e rve d
a p u r p o s e s i m i l a r to its i n te r n a l cou n te r pa rt:
to co n t ro l the m o ve m e n t of hu m a n f l esh i n
a n d o u t of a tow n 's wa l l s . The u r b a n exos ke l e
to n a l so re gu l at e d the m ot i o n of m a n y othe r
thi n gs : l u x u ry o bj e cts , news , a n d foo d , fo r
27
I: L A VAS AND MAGMAS
exa m p l e . I n partic u l a r, t h e wee kly m a rkets t h at have always e xisted at
t h e h e a rt of most cities a n d towns con stituted verita b l e motors, pe ri
odica l ly co nce ntrati n g people a nd goods fro m near a n d fa raway regi o n s
a n d t h e n sett i n g t h e m i nto motio n aga i n , a l o n g a v a ri ety of trade
circ u its.1
T h u s , t h e u rban i n frastruct u re m ay be said to p e rfo r m , fo r tightly
packed p o p u l at i o n s of h u m a n s, the same fu nct i o n of m otio n co ntro l
t h at o u r b o n es do i n re l atio n to o u r f l e s h y p a rts. A n d , i n bot h cases,
a d d i ng m i n e ra l s to t h e mix resulted i n a fa ntastic co m b i n atorial explo
s i o n , greatly i n c re a s i n g the variety of a n i mal a n d c u lt u ra l designs. We
m u st be ca refu l w h e n d raw i ng t h ese a n a logies, however. I n p a rticu l a r, we
m u st avo id t h e e rro r of co m pa ring cities to o rga n i s m s , e speci a l ly w h e n
t h e meta p h o r i s m e a n t t o i m ply (as it has i n the past) t h at bot h exist i n
a state of i nt e r n a l eq u i l i bri u m , o r h o m eostasis. R a t h e r, u rba n cente rs
a n d l iv i n g creat u res m u st be seen as differen t dyn a m ical systems ope rat
i ng fa r fro m eq u i l i b ri u m , t h at is, t raversed by m o re or l e ss i nte nse flows
of m atte r-e n e rgy t h at provoke th e i r u n i q u e meta m o r p h oses.2
I nd eed , u rba n m o r p h oge nesis has d e p e n d e d , from its a ncient begi n
nings in the Fe rti l e C rescent, on i nten sification of the co n s u m ption of
no n h u m a n e n e rgy. T h e a nt h ropologist R ic h a rd N ewbold A d a m s , who
sees soc i a l evo l u t i o n as just a not h e r form t h at t h e self-o rga n izat i o n of
e n e rgy m ay ta ke, h as poi nted out t h at t h e fi rst s u c h i nte n s i ficatio n was
the cu ltivat i o n of cerea l s . 3 Si nce p l a nts, via p h otosynthesis, s i m ply co n
v e rt so l a r e n e rgy i nto suga rs, cu ltivation i n creased t h e a m o u nt of so l a r
e n e rgy t h at traversed h u m a n societies. W h e n food prod uct i o n was
fu rt h e r i nt e n s i fi e d , h u m a n ity crossed the bifu rcat i o n t h at gave rise to
u rb a n struct u res. The e l ites t h at r u l ed t h ose e a rly citi es i n tu r n m a d e
ot h e r i ntens ificat i o n s possi b l e - by devel opi ng l a rge i rrigation syste ms,
fo r exam p le - a n d u rban cente rs m utated i nto t h e i r i m pe r i a l fo r m . It
i s i m portant to e m p h asi ze, howev e r, t h at cerea l cu ltivat i o n was o n ly o n e
of several pos s i b l e ways o f i ntenSifyi ng energy fl ow. A s several a n t h ro
p o l ogists h ave poi nted out, t h e e m e rgence of cities m ay have fol l owed
alternative ro utes to in tensification, a s w h e n the e m e rge nce of u rb a n l ife
i n Peru fed off a reservoi r of fish.4 W h at matters is n ot agri c u ltu re p e r
s e , b u t t h e great i n crease i n t h e flow of m atter-e n e rgy t h ro u g h society,
as we l l as t h e t ra n sfo rm atio n s i n u rb a n fo rm t h at t h i s i ntense flow
m a k es possi b l e .
F ro m t h is po i nt o f v iew c i t i e s a rise f r o m t h e flow o f m atter-e ne rgy, b u t
o n ce a town 's m i n e ra l i n frastructu re h as e m erged, i t reacts t o t hose
flows, creati ng a n ew set o f constraints t h at eit h e r i nten sifies or i n h i bits
t hem. N eed l ess to say, the wal ls, m o n u mental b u i l d i ngs, streets, a n d
28
GEOLOGICAL HISTORY 1000-1700 A.D
h o uses of a town wo u l d m a k e a rat her weak s et of c o n strai nts if t hey
ope rated on t h eir own . Of co u rse, t h ey do not. O u r histo rical exp l o rati o n
of u rba n dyna mics m u st t h e re fo re incl u d e a n a n alysis o f t h e institutions
t h at i n h a bit cities, w h et h e r the b u re a u c racies t h at run t h e m o r the m a r
kets t h at a nimate t h e m . Although th ese in stit u tio n s a re t h e p rod u ct of
col l ective h u ma n decisio n m a k i ng, o n ce in pl ace t h ey also react back o n
t h eir h u m a n co m po n e nts t o limit t h e m a n d control t h e m , or, o n t h e co n
tra ry, to s et t h e m in moti o n or acce l erate t heir m ut atio n. ( H e n ce institu
tio n s co n stitute a set of e m e rge nt positive a n d n egative co n stra i nts, but
o n a smaller sca l e . )
T he birt h of E u rope , a ro u n d t h e e l ev e n t h centu ry of o u r e r a , w a s m a d e
possible by a great agricu ltu ra l inten sificatio n . A s Lyn n W hite, Jr. , a h i sto
ria n of me dieval tec h n ology, has s h ow n , in the cent u ries p receding t h e
seco n d mil l e n ni u m , " a s e ries of i n n ovatio n s occu rred which consolid ate d
to fo rm a rem a rk a b ly effici e nt new way of exploiting t h e soil."5 T h ese
in n ovati o n s (t h e hea vy p l ow, n ew ways of ha rnessing the horse's m u scu
lar e n e rgy, t h e open-fie l d syste m , a n d t ri e n nia l fiel d rotatio n ) we re m ut u
a l ly e n h a n cing a s we l l as interd e p e n d e nt, so t h at o n ly w h e n t h ey fu l ly
m e s h e d we re t h eir inte n sifying effects felt. T h e l a rge i ncrease in t h e fl ow
of ene rgy created by t his web of tech nologies a l l owed fo r t h e reco nstitu
tion o f t h e E u ro pe a n exos keleto n , t h e u rban fra mewo rk t h at h a d fo r t h e
m ost part col l a psed wit h t h e R o m a n Em pire . Begin ning a ro u n d 1000 A.D.,
l a rge popu latio n s of wal l e d tow ns a n d fo rtified castles a p p e a red in two
great zo nes: in t h e sout h , a l o n g t h e Medite r ra n e a n coast, a n d in t h e
n o rt h , a l o ng t h e coa stl a n d s lying betwee n t h e t rade wate rs of t h e N o rt h
S e a a n d t h e Baltic.
As city histo ria n s often point out, u rb a nizatio n h a s a lways been a dis
co ntin u o u s p h e n o m e n o n . B u rsts of rapid growt h are fo llowed by l o n g pe ri
ods of stagn atio n . 6 T h e wave of accel e rated city b u i lding t h at occu r red
in E u rope between t h e e l eventh a n d t hi rte e n t h cent u ries is no exceptio n .
M a ny of t h e great tow n s i n t h e n o rt h , s u c h a s B r u s s e l s a n d A ntwe rp,
were born in this p e riod , and the fa r older cities of I t a ly and the R hi n e
l a n d experienced e n o r m o u s growt h . Th is acce le ratio n in u rban d evel op
m e nt, howeve r, wo u ld not b e m atched fo r a n ot h e r five h u n d red years,
when a new intensificatio n in the flow of e n ergy - t his t i m e a rising fro m
t h e exp l oitation of fossi l f u e l s - p ropel l ed a n ot h e r great spu rt of city
b i rth a n d growt h in t h e 1800s. I n te restingly, m o re t h a n t h e prolife ratio n
of facto ry tow n s m a d e possible by co a l , t h e "tid a l wave of mediev a l u rba n
izatio n"7 l aid out the most e n d u ring featu res of the E u ropea n u rban
struct u re, featu res t h at wo u l d contin u e to i n fl u e nce t h e cou rse of histo ry
wel l into the twe n tieth centu ry.
29
I: LAVAS AND MAGMAS
There are two basic processes by which cities can emerge and grow.
A town may develop spontaneously, acquiring its irregular shape by fol
lowing the topographical features of the landscape, or it may inherit
its shape from the distribution of villages that have amalgamated to form
it. Such was the case of medieval Venice, which accounts for its labyrin
thine streets. On the other hand, a city may be the result of conscious
planning; a regular, symmetrical form may be imposed on its develop
ment, to facilitate orderly settlement. During the deceleration that fol
lowed the year 1300, the relatively few new c ities that were born were of
the latter type, perhaps reflecting the increasing political centralization
of the time. Versailles, with its grid of broad avenues converging at the
center of power, is a perfect illustration. However, the difference between
self-organized and planned cities is not primarily one of form, but of the
decision�making processes behind the. genesis and subsequent develop
ment of that form. That is, the crucial distinction is between centralized
and decentralized decision making in urban development. There are
towns that have been purposefully designed to mimic the "organic" form
of curvilinear streets, and there are towns whose grid-patterned streets
evolved spontaneously, due to some peculiarity of the environment.
Furthermore, most cities are mixtures of the two processes:
If we were to scan several hundred city plans at random across the range
of history, we would discover a more fundamental reason to question
the usefulness of urban dichotomies based on geometry. We would find
that the two primary versions of urban arrangement, the planned and
the "organic", often exist side by side.. .. In Europe, new additions to the
dense medieval cores of historic towns were always regular... , Most his
toric towns, and virtually all those of metropolitan size, are puzzles of
premeditated and spontaneous segments, variously interlocked or juxta
posed .... We can go beyond. The two kinds of urban form do not always
stand in contiguous relationship. They metamorphose. The reworking of
prior geometries over time leaves urban palimpsests where a once regular
grid plan is feebly ensconced within a maze of cul-de-sacs and narrow
winding streets.B
The mineralization of humanity took forms that were the combined
result of conscious manipulation of urban space by some central agency
and of the activities of many individuals, without any central "decider."
And yet, the two processes, and the forms they typically give rise to,
remain distinct despite their coexistence and mutual transformations.
On the one hand, the grid is "the best and quickest way to organize a
30
GEOLOGICAL HISTORY 1000-1700 A . D
homogeneous population with a single social purpose."9 On the other
hand, whenever a heterogeneo us group of people comes together spon
taneously, they tend to organize themselves in an interlocking urban
pattern that interconnects them without homogenizing them.
Even though from a strictly physical viewpoint accelerations in city
building are the result of intensifications in the flow of energy, the actual
form that a given town takes is determined by human decision making.
A similar distinction between centralized and decentralized decision mak
ing must be made with respect to the social institutions that determine
how energy flows through a city-that is, with respect to the city's "distri
bution systems."l0 On the one hand, there are bureaucracies, hierarchi
cal structures with conscious goals and overt control mechanisms. On
the other, there are peasant and small-town markets, self-organized
structures that arise spontaneously out of the activities of many individu
als, whose interests only partially overlap. (I have in rnind here a place
in a town where people gather ev�ry week, as opposed to markets in
the modern sense: dispersed collections of consumers served by many
middlemen.)ll
Bureaucracies have always arisen to effect a planned extraction of
energy surpluses (taxes, tribute, rents, forced labor), and they expand
in proportion to their ability to control and process those energy flows.
Markets, in contrast, are born wherever a regular assembly of indepen
dent decision makers gathers, whether at church or at the border between
two regions, presenting individuals with an opportunity to buy, sell, and
barter. The distinction between these two types of energy distribution
systems exactly parallels the one above, only on a smaller scale. One sys
tem sorts out human beings into the internally homogeneous ranks of a
bureaucracy. The other brings a heterogeneous collection of humans
together in a market, where their complementary economic needs enmesh.
Markets and bureaucracies are, however, more than just collective
mechanisms for the allocation of material and energetic resources. When
people exchanged goods in a medieval market, not only resources
changed hands but also rights o f o wn ership, that is, the rights to use a
given resource and to enjoy the benefits that may be derived from it.l2
Hence, market transactions involved the presence of collective institu
tional norms (such as codes of conduct and enforceable contracts). Simi
larly, medieval bureaucracies were not only organizations that controlled
and redistributed resources via centralized commands, they themselves
were sets of mutually stabilizing institutional norms, a nexus of contracts
and routines constituting an apparatus for collective action. The rules
behind bureaucracies tended to be more formalized than the informal
31
I: LAVAS AND MAGMAS
conventions and codes of conduct behind markets, and more impor
tantly, they tended to become a "constitution," that is, a set of contracts
defining a homogeneous, common enterprise not easily disaggregated
into a set of heterogeneous bilateral contracts like those involved in mar
ket transactions.13
Markets and bureaucracies, as well as unplanned and planned cities,
are concrete instances of a more general distinction: self-organized mesh
works of diverse elements, versus hierarchies of uniform elements. But
again, meshworks and hierarchies not only coexist and intermingle, they
constantly give rise to one another. For instance, as markets grow in size
they tend to form commercial hierarchies. In medieval times this was
true of the great fairs, such as the Champagne fairs of the thirteenth cen
tury, which came to have as many participants as most towns had inhabi
tants: "If a fair is envisaged as a pyramid, the base consists of the many
minor transactions in local goods, usually perishable and cheap, then
one moves up to the luxury goods, exp�nsive and transported from far
away. At the very top of the pyramid came the active money market �ith
out which business could not be done at all- or at any rate not at the
same pace."14
Thus, once markets grew past the size of local, weekly gatherings, they
were ranked and organized from the top, giving rise to a hybrid form:
a hierarchy of meshworks. The opposite hybrid, a meshwork of hierar
chies, may be illustrated by the system of power in the Middle Ages. Urban
bureaucracies were but one of a number of centralized institutions that
coexisted in the Middle Ages. Royal courts, landed aristocracies, and
ecclesiastical hierarchies all entered into complex, uneasy mixtures. There
was never a "super-elite" capable of globally regulating the mix, so local
constraints (shifting alliances, truces, legal debates) worked alongside
formal procedures in generating stability. If we add to this the fact that
the state and the church in the West arose from heterogeneous origins
(unlike China or Islam where all these hierarchical structures had emerged
within a homogeneous cultural tradition), the system of power in the early
part of this millennium was a true mesh of hierarchical organizations.15
Meshworks and hierarchies need to be viewed not only as capable of
giving rise to these complex hybrids but also as in constant interaction with
one another. Primitive bureaucracies had evolved in the Middle Ages to
regulate certain aspects of market life (for instance, to arbitrate disputes
between markets when their catchment areas overlapped), or to provide
security for the big fairs. However, we must not imagine that the mere
existence of a command hierarchy meant that the global rules of a
bureaucracy could in practice be enforced. In medieval times, the norms
32
GEOLOGICAL HISTORY 1000-1700 A.D
that governed economic life-the norms that guaranteed that contracts
would be honored or that measures, weights, and currencies would
remain stable -were for the most part not global, but based on self
defense, retaliation, and other local controls. As one historian has put it,
the enforcement of economic norms in the Middle Ages was a combina
tion of centralized decision making and a "self-regulating mechanism
compounded by a balance of terror and a lively sense of mutual advan
tage felt by all members of the international community."16
The large populations of towns and cities that emerged in Europe after
the year 1000 may be classified by their relative proportions of meshwork
and hierarchical components. By far the majority of settlements were
small towns, with more market than command ingredients in their mix.
Over half of all European urban dwellers lived in those local market centers,
even though each town had fewer than two thousand residents. Then
came intermediate-sized towns (fewer than ten thousand inhabitants),
which began adding local and regional administrative functions and, hence,
a higher proportion of command components. Control of roads and super
vision of travelers, two centralized functions absent from small towns,
were already practiced here. A wider variety of institutional forms inhab
ited those larger settlements: courts, jails, hospitals, religious founda
tions. But as complexity increased, so did rarity: while there were about
3,000 small towns in northern Europe, there were only 220 of intermediate
sizeY Denser urban concentrations were even rarer, but for the same
reason sustained a wider range of functions:
Cities with more than 10,000 residents stood out in Medieval Europe,
except in northern Italy and Flanders where the spread of cloth production
and the increase in trade permitted relatively intense urbanization. Else
where, large siie was correlated with complex administrative, religious,
educational, and economic functions. Many of the big towns-for example,
Barcelona, Cologne or Prague-supported universities as well as a wide
variety of religious institutions. Their economies were diversified and
included a wide range of artisans and service workers .... The large cities
of 1330 owed their size to the multiplicity of their functions.... The same
point can be made about the few urban giants of the Middle Ages. Paris,
Milan, Venice, and Florence were commercial and manufacturing cities, and
also political capitals.18
This multiplicity of urban centers, internally differentiated by size and
complexity, can be compared to other populations of towns that emerged
elsewhere. Urbanization explosions had occurred in Islam and China at
33
I: LAVAS A ND MAGMAS
least two centuries before those in Europe. But in those two regions, cities
and towns had to compete with a larger sociopolitical entity that emerged
only later in the West: the central state. While I slam in the early part of
the millennium had some towns (C6rdova, Ceuta) similar to those in the
West, huge towns, such as Baghdad or Cairo, that housed royal hierarchies
were the rule there.19 China, too, showed a greater percentage of towns
subjected to a central authority than autonomous towns defined by the
movement of people and goods through their walls. William I Vlcl\Jeili is one
of several historians who think that one of the reasons for the West's
eventual domination of the millennium lies in the different mixtures of
centralized and decentralized decision making in its towns:
The fact that China remained united politically from Sung to modern times
.. . is evidence of the increased power government personnel wielded. Dis
crepancies between the ideas of the marketplace and those of government
were real enough; but as long as officials could bring overriding police power
whenever they were locally or privately defied, the command element in the
mix remained securely dominant. ... For this reason the autocatalytic char
acter that European commercial and industrial expansion exhibited between
the eleventh and the nineteenth century never got started in China.2o
In short, McNeill's hypothesis is that explosive, self-stimulating ("auto
catalytic") urban dynamics cannot emerge when hierarchical components
overwhelm meshwork components. Fernand Braudel seems to agree with
this hypothesis when he asserts the existence of a "dynamic pattern of
turbulent urban evolution in the West, while the pattern of life in cities in
the rest of the world runs in a long, straight and unbroken line across
time." 21 One example of the nonlinear, runaway nature of autocatalytic
dynamics in many medieval Western towns is the sequence of intensifica
tions of energy flow that propelled urban growth. First came an agricul
tural intensification causing massive increases in population and
therefore giving birth to many cities. Then, as in ancient times, the inter
action of these urban centers further intensified energy consumption.
One of these intensifications was achieved by harnessing the energy of
running water to power grain mills and trip-hammers in forges and to
facilitate the fulling of cloth. This was, without exaggeration, an eleventh
century industrial revolution, fueled by solar (agricultural) and gravita
tional (water) energy.22
I n addition to raw energy, the turbulent dynamics to which both McNeill
and Braudel refer were associated with the intensification of another flow:
the flow of money. Howard Odum, a systems ecologist, has developed a
34
GEOLOGICAL HISTORY 1000-1700 A . D
theory of money that, though perhaps too simple, offers a useful image
here. Mo ney, Odum says, is like e n ergy, o n ly it ru n s in the opposite direc
tion: e n ergy flows from agricultural villages to the tow n s they feed, while
money flows from town to countryside, to pay for the food. "The flow of
energy makes possible the circulation of mo ney [in cludi ng the e n ergy spe n t
o n paperwork, banking, closing deals] and the ma nipulation o f mo ney
can co n trol the flow of e nergy."23 To apply Odum's schema to medieval
life we need to bri ng our mixtures of market and comma nd i n gredients
to bear. Co ntrary to what may be supposed, mo n etary systems are of
not commercial but political origin. Specifically, they were developed by
central hierarchies to facilitate the extraction of agricultural surpluse�
and the raisi ng of taxes.24 I n the early part of the mille n nium, feudal
Fa n d
lords extracted this excess e n ergy, a n d in ma ny cases peasa nts would
come to a market town to sell their goods, not to buy other goods, b u t to
get cash to pay their ren t to the owners of their la n d.2 5 With that qualifica
tion, Odum's idea is useful: mon etary flows regulate (in hibit or intensify)
e n ergy flows, particularly when the flow of money escapes total co n trol by
the state.
Mo n ey is best defi n ed as a catalyst or stimula n t of trade (a n d its
abse nce, an inhibitor). Barter, the excha nge of goods for goods, is rela
tively in efficien t i n that people must wait for their compleme ntary needs
to meet. The occasio n s when one person has exactly the good that the
other needs, and vice versa, are ,exceedi ngly rare. But any good that is
highly desirable and can easily be put back i n to circulatio n ca n play the
role of money: blocks of salt, cowry shells, coral, ivory - eve n cigarettes
in modern prisons.26 A n y o n e of a number of widely desired goods ca n
spontan eously become mo n ey simply by being able to flow faster and
more easily. A n d o n ce such self-orga nized mo n ey comes in to existe n ce ,
complementary demands ca n b e meshed together a t a dista n ce, greatly
i n creasi ng the i n te n sity of market exchanges. Frequently coexisti ng with
this sponta n eous mo n ey are mon etary systems, with their hierarchy of
homogeneous metal coi n s of differen t denominations, a system that is
n ot self-orga nized but pla n n ed a n d impleme nted by an elite. Pla n n ed
money, sin ce its i n ception in a n cien t Egypt, has used metals as its physi
cal vehicle because they ca n be weighed and measured, uniformly cut,
and stan dardized.27
When ever these two types of money - the plan n ed a n d the spo ntan eous
- came into co n tact, stan dardized money would i n evitably wi n , causi ng
devaluation of the other, i ncreases in its reserves, and catastrophic i n fla
tio n. This situation would arise time and again over the ce n turies, particu
larly when Europe began colo n izi ng the world. However, in the first few
35
I: LAVAS AND MAGMAS
centuries of the millennium the situation was reversed: early Europe
was, in a manner of speaking, a colony of Islam, an empire that not only
had a more advanced monetary system, but also had invented many
of the instruments of c redit (from bills of exchange to promissory notes
and checks). As Braudel says, " If Europe finally perfected its money, it
was because it had to overthrow the domination of the Muslim world. " 28
Venice, Florence, Genoa, and other large medieval cities started coining
their own copper, silver, and gold money, and the volume of European
trade began to rise. F rom then on, this new flow, catalyzing and control
ling the flow of ene rgy, never ceased accelerating the pace of European
history. The flow of money could itself be intensified, either by increas
ing the exploitation of mines, and hence the reservoir of metal, or by
speeding up its circulation. These two intensifications, of the volume and
velocity of money, affected each othe r, since "as p recious metals became
more plentiful coins passed more quickly from hand to hand." 29
These intense flows of energy and monetary catalysts fueled the great
urban acceleration in medieval Europe and kept the towns that made up
Europe's great exoskeleton in a turbulent dynamical state. Although large
accumulations of money created new commercial hierarchies, the net
result was a decrease in the power of central states and a concomitant
increase in the autonomy of cities. The intensity of the flows themselves,
and not any special feature of the " European psyche" (calculating ratio
nality, say, or a spirit of thrift), is what kept the mixture of market and
command components in the right proportions to foster autocatalytic
dynamics.30 One more element must be added to this explanation, how
ever, but this will involve going beyond a conception of markets (and
bureaucracies) as allocation mechanisms for scarce resources.
This point might be clarified by applying certain ideas recently devel
oped by the neoinstitutionalist economist Douglas North. As we noted
above, not only resources change hands in the marketplace but also
property rights; hence the market facilitates simple exchanges as well as
potentially complex t ransactions. The latter involves a host of "hidden"
costs ranging from the energy and skill needed to ascertain the quality
of a product, to the drawing of sales and employment contracts, to the
enforcement of those contracts. In small medieval markets these "trans
action costs" were minimal, and so were their enforcement mechanisms:
threats of mutual retaliation, ostracism, codes of conduct, and other
informal constraints sufficed to allow for the more or less smooth func
tioning of a market. But as the volume and scale of trade intensified (or
as its character changed, as in the case of foreign, long-distance trade),
new institutional norms and organizations were needed to regulate the
36
GEOLOGICAL HISTORY 1000-1700 A.O
flow of resources, ranging from standardized weights and measures
to the use of notarial records as evidence in merchant law courts or state
courts. North's main point is that, as medieval markets grew and com
plexified, their transaction costs increased ac;cordingly; without a set of
institutional norms and organizations to keep those costs down, the
turbulent intensification of trade in the West would have come to a halt.
Economies of scale in trade and low-cost enforceability of contracts
were, according to North, mutually stimulating.31
Many institutional norms emerged in an unplanned way-those related
to common law or to informal codes of conduct, for example- and slowly
"sedimented" within towns in the Middle Ages. Others, such as printed
lists of p rices or maritime insurance schemes, were deliberately intro
duced to reduce transaction costs by improving the flow of market infor
mation or by spreading the ris k s of large investments. Those cities
engaging in types of trade with particularly high transaction costs, such
as long-distance t rade, seem to have been the incubators of many institu
tional innovations . As these "cultural materials" (informal constraints,
formal rules, enfo rcement p rocedures) acting as trade catalysts accumu
lated, they began to diffuse through the urban environment. As North
observes, " M erchants carried with them in long-distance trade codes of
conduct, so that Pisan laws passed into the sea codes of Marseilles. Oleron
and Lubeck gave laws to the north of Europe, Barcelona to the south of
Europe, and from Italy came the legal principle of insurance and bills of
exchange."32
One difference between the neoinstitutionalist approach and the one
I am trying to sketch here is this: beyond the level of the individual orga
nization, the neoinstitutionalist does not seem to envision yet another
emergent larger-scale entity but simply refers to "society" or "the polity"
as a whole. This, however, runs the risk of introducing too much homo
geneity into our models and of suggesting that human societies form a
"totality," that is, an entity on a higher ontological plane than individual
institutions and individual human beings. By contrast, speaking of con
crete cities (instead of "society" in the abstract) enables us to include in
g
our m0 els historically emergent wholes that do not form totalities but
simply larger-scale individual entities. It also reduces the danger of taking
too much social uniformity for granted. I ndividual cities (and nation
states) are easier to visualize as encompassing a variety of communities
within their borders, and if, as a matter of empirical fact, a given city (or
nation-state) displays a high degree of cultural homogeneity, this itself
becomes something to be modeled as the result of concrete histo rical
processes. We have already seen that, depending on the mixture of cen-
37
I: LAVAS AND MAGMAS
tra l ized a n d decentral ized decision m a ki n g be h i n d a city's b i rth a n d
growt h , we ca n expect d i fferent d egrees o f u n ifo rm ity a n d d iversity i n its
i n frast r u ct u ra l l ayout. To t h i s it m u st be added t h at, d e pe n d i ng on t h e
ro l e t h at a city p l ays i n t h e l a rger u rba n co ntext i n w h i c h it fu n ctio n s,
t h e "cu ltu ra l mate rials" t h at accu m u l ate wit h i n it w i l l e x h i bit d i ffere n t
d egrees of h o m oge n e ity a n d h eteroge n eity. Specifical ly, a city m ay p l ay
t h e role of pol itical capital fo r a give n regi o n a n d e ncou rage a certa i n
degree o f u n i fo rm ity i n its own cu ltu re a n d i n t h at o f t h e sma l l e r towns
u nd e r its com m a n d . O n t h e contra ry, a city m ay a ct as a gateway to for
eign cultures, pro moti ng t h e e nt ry a n d d iffu s i o n of h ete roge n eous materi
als t h at i n crease its d iv e rsity a nd that of the cities in c l ose co ntact wit h
it. I n e it h e r case, v i e w i ng cities as i n d ivid u a l s a l l ows us to study t h e i nte r
actio n s between t h e m a nd t h e e m e rgent wholes t hat m ay res u l t from
those i nteractio n s .
T h at grou ps of cities m ay fo rm h i e ra rc h i ca l stru ctu res is a w e l l - k n ow n
fact at l east si n ce t h e 1930s, w h e n t h e te rm "Ce ntra l P l ace" system
was i n trod u ced to refer to pyra m i ds of u rba n ce nters. M o re recently,
u rba n h i sto r i a n s P a u l H o h e n be rg a n d Lyn n H o l l e n Lees h ave suggested
t h at in add itio n to h i e rarchical str u ct u res, citi es in E u rope a l so fo rmed
a mes hwo rk-l i k e assem b l age, w h i c h t hey refer to as the " N etwo rk Sys
t e m . " Let's exa m i n e some of t h e defi n i ng traits of t hese two types of city
asse m b l ages, begi n n i ng with t h e Ce ntra l P lace syst e m , exe m pl i fied i n
t h e M id d le Ages by t h e h i e ra rc h i es o f town s t h at formed u n d e r stro ng
regi o n a l ca p ita ls such as Paris, P ragu e , a nd M i l a n . As we saw before, the
popu l atio n of tow n s in m ed ieval E u ro pe was d iv i d ed by the size a n d co m
plexity of its i n d ivid u a l u n its. T h is d i stribution of sizes was n ot acci d e ntal
but d i rectly related to the l i n ks and co n n e ct i o n s between settl e m e nts.
M u c h as s m a l l town s offered the s u rrou n d i ng cou ntrys i d e a va r i ety of
co m m e rci a l , ad m i n istrative, and re l igious se rvices, the tow n s t h e m se lves
looked to t h e m o re d iversified l a rger cities for s e rv i ce s t h at were u n avai l
a b l e l oca l ly. T h i s created pyra m ids of towns o rga n ized a ro u n d h i era rc h i ca l
l e v e l s of co m pl exity. T h e d istri bution i n s pace of t h ese h i e ra rc h ical sys
tems was d i rectly tied to geogra p h ical d i sta nce, s i nce t h e resi d e nts of a
town wo u l d o n ly travel so far i n searc h of a desi red service. A n u m be r of
s u c h pyra m i d a l str u ctu res a rose i n t h e M i d d l e Ages, each o rga n izi ng a
b road , m o re o r l ess c l e a rly d e fi ne d regi o n . G e n e ral ly, t h e flows of trad ed
goods t h at c i rcu lated up a n d d own t h ese h i e ra rc h i e s co n s i sted of basic
n ecess ities, s u c h as food and m a n u factu red p rod u cts .
I n co ntra d i sti n cti o n , t h e ci rc u l at i o n of luxury items o rigi n ated some
where else . Lo n g-d i sta n ce t ra d e , w h i c h has s i n ce A ntiq u ity d e a lt with p res
tige goods, i s t h e p rovi nce of cities outside the Ce ntral P l ace syst e m ,
38
GEOLOGICAL HISTORY 1000-1700 A . D
cities that act as gateways to faraway trading circuits, as well as nodes
in a network not directly constrained by distance. For example, many
European gateway cities were maritime ports, connected (more than sep
arated) by the Mediterranean and the Baltic and North Seas.33 These
urban centers formed, according to Hohenberg and Lees, a Network
system:
T he Network System, with quite different properties, complements the Cen
tral Place System . Instead of a hierarchical nesting of sim ilar centers, dis
tinguished mainly by the number and rarity of services offered, it presents
an ordering of functionally complementary cities and urban settlements.
The key systemic property of a city is nodality rather than centrality. . . .
Since network cities easily exercise control at a distance, the influence of a
town has little to do with propinquity and even less with formal com mand
over territory. The spatial features of the Network System are largely invisi
ble on a conventional map: trade routes, junctions, gateways, outpostS.34
Instead of a hierarchy of towns, long-distance trading centers formed a
meshwork, an interlocking system of complementary economic functions.
This is not to imply, however, that all the nodes in the meshwork were of
equal importance. Certain economic functions (especially those giving
rise to innovations) formed a privileged core within a given network, while
others (e.g., routine production tasks) characterized its peripheral zones.
Yet, the core of the Network system differed from the acme of the Central
Place pyramid. I n particular, the influence of a network's main city was
more precarious than that of the Central Place, whose dominance tended
to be stable. Core cities tended to replace one another in this role, as the
intensity of exchange in a given trade route varied over time, or as erst
while luxury goods (pepper, sugar) became everyday necessities: "Since
[these] cities are links in a network, often neither the source nor the ulti
mate destination of goods, they are in some measure interchangeable as
are the routes themselves."35 Roughly, the sequence of cores was (from
the fourteenth to the twentieth centuries) Venice, Antwerp, Genoa, Ams
terdam, London, !\Jew York.36 The two systems coexisted, with Central
Place towns usually belonging to the middle zone (or semiperiphery) of
the Network system.37
One very important feature of Central Place and Network systems is
the type of cultural structures they give rise to. As with many other struc
tures, the raw materials (in this case, cultural habits and norms) need to
accumulate slowly and then consolidate, as more or less permanent links
are established among them. Hierarchical constructions tend to undergo
39
I: LAVAS AND MAGMAS
a h o m oge nizat i o n before t h e i r mate ria ls ha rde n i nto a pyra m i d , w h i l e
mes hwo rks arti c u l ate h ete roge neous e l e m e nts , inte rloc king t h e m without
im pos i n g u n ifo rmity:
On one level, the Central Place System serves a ho mogeneous people well
settled in its historical lands. The natio nal capital d isti lls and fo rmal izes
the co mmon fol k c u lture and re injects the civil ized prod u ct back i nto local
l i fe . . . . [T his co ntrasts] with the rootless cosmopolitan i sm of the Netwo rk
System , with its sharp cultu ral d isconti nu ities between city and cou ntry and
between core and peri phery. . . . Co re val ues and tec h n iq ues are su perim
posed on a trad itional peri p hery with no atte m pt at i ntegration or gradu a l
synthesis. 38
Eve n before t h e advent of natio n a l capitals, t h e d o m i n a nt cities of Cen
tra l Pl ace h i erarc h ies perfo rmed t h e i r h o m oge n izati o n s at the regi o n a l
leve l , tra n sfo rming l o c a l cu ltu res i n to "great tra d i tio n s , " as t h ey e ngaged
in book p r i n ting a n d p u bl i s hing as we l l as schooling. Gateway cities, on
the ot h e r h a n d , h e l ped d iffuse hete roge n eo u s e l e m e nts from alie n c u l
tu res, as w h e n medieval Ve n i ce i ntroduced i nto E u rope prod u cts, tech n ol
ogy, and a rc h itect u re from t h e East. Later on, t h e cities of the N etwor k
syste m wou ld p ro pagate the i d eas of h u ma n i s m , e n l ighte n me nt, a n d rad i
cal t h o u g ht, while givi ng refuge to pe rsecuted t h i n ke rs a n d pu b l i s h i ng
fo rbid d e n b oo ks . 39 T h e ci rcu l atio n a nd p rocessing of "cultu ral m ate r i a l s"
t h ro u g h these two d i ffe rent syste m s of citie s are as i m porta nt in t h e l o n g
r u n as t h e m i n d-sets o f t h e i n h abita nts of t h e tow n s t h e m selves. T h e l at
ter a re, of cou rse , an active e l e m e n t i n t h e mix , to t h e exte nt t h at psyc ho
logica l structu res, o n ce t h ey have com e into being, affect the dyn a m ics
of decis i o n m a k i ng and h e n ce the flows of e n e rgy a n d m o n ey, k n owledge
a n d i d e a s . B u t w h at is crucial to e m p h asize here i s that the e ntire p rocess
does not e m a n ate fro m some esse nce h o u sed wit h i n peop l e 's heads,
pa rtic u l a rly not a ny reified essence s u c h as " ra ti o n a l ity."
I n t h e o rigi n a l version of Central Place theo ry, c reated by Wa lte r
C h rista l l e r i n t h e early 1930s, the h u m a n ca pacity fo r m a ki ng maxi ma l ly
efficient d ec i s i o n s (w hat is now ca l l ed " o ptim izi ng rat i o n a l ity") was ta ke n
for gra nted. T h e model of C h rista l l e r a l so ass u m e d a frictio n less world,
w h e re geogra p hy lacked i rregu la ritie s, wealt h and powe r we re distri buted
eve n l y, and the levels of d e m a n d fo r city services, as we l l a s the d i sta nces
people wo u l d be wil ling to travel to get them, re m a i ned fixe d . In this l i n e a r
wo rl d , pa rti c u l a r s pati a l d i stri buti o n s of citie s o f d i ffe rent ra n k res u lte d ,
as t h e d i fferent ce nters a rranged t h e mselves t o m i n i mize travel tim e for
a give n service, t h u s opti m i zi ng t h e i r col l ective b e n efit, or util ity.40 I n n o n -
40
GEOLOGICAL HISTORY 1000-1700 A.D
l i near dynamical mod e l s of city development, s u c h as th ose c reated by
Peter A l l e n a nd Dimitrios D e n d r i n os , u rba n patte rns d o not res u l t from
some global optimizer ( s u c h as s u pe rrati o n a l h u ma n decision ma k e rs
mi nimizing tra n s p o rtation costs) b u t from a dynamics of coop e ra ti o n a nd
'
co nflict amo ng cities, i n volving growth a n d d ecay of centers. I n t h ese
mod e l s , u rb a n settleme nts grow by attracting p o p u lation from s u rro u n d
i ng r u ral a reas, with job ava i l a b i l ity and i n come acting as i n ce ntives to
immigrat i o n w h i l e co ngesti o n a n d pol l ut i o n act as d is i ncentives. Although
in pri n c i p l e seve ral citie s co u l d s h a re t h e se h u ma n reso u rces more o r
less eve n ly, the mod els s h ow a stro ng te n d e ncy fo r some u rban ce n te rs
to grow at t h e expe n se of others a n d for l a rge cente rs to i n h i b it t h e
growt h o f simi l a rly sca l e d towns i n t h e i r vicin ity. M o reover, the eme rge n ce
of sta ble patte r n s of coexi sti n g cente rs seems rel ated to a decrease i n
t h e stre ngth a n d n u mber o f d i rect i n te ractio n s amon g towns: too m u c h
co n ne ctiv ity ( a s when e v e r y city i n t h e mod e l i n te racts wit h eve ry ot h e r
one) l e a d s to u n sta b l e patter n s , w h i l e decrease d co n n ectivity wit h i n a
h i e rarchy of towns (that is, fewe r i nteract i o n s betwee n ra n ks t h a n wit h i n
a given ra n k) l e a d s t o sta b i l ity.41
Co n tempo ra ry stu d i e s i n n o n l i ne a r u rba n dyn amics teach u s t h at, i n
many cases, friction (delays, bottlenecks, co nfl ict, u n eve n d istri bution of
resou rces) p l ays a crucial rol e in ge n e rati ng self-orga n izati o n . He nce,
e l imi n ating it from our mod e l s (by postu lating an o ptimi z i n g rat i o n a l ity,
fo r i nsta n ce) a u tomatica l ly e l imi nates the poss i b i l ity of captu r i n g any real
dy namica l effect. T h i s i n sight is even mo re impo rta nt when we co n s i d e r
the dynamics of the i n stitutio ns t h a t c h a n n e l the flow o f e n e rgy t h ro u gh
cities: ma rkets a n d b u rea u c racies. The classica l p i ctu re of the ma r ket,
Adam Smit h 's " i n v i s i b l e h a n d " mod e l , is j u st l i ke C h rista l l e r's mod e l of
u rba n patte r n s . It operates in a wor l d compl etely devoid of frict i o n , w h e re
mo nopolies do n ot exist a n d age nts a re e n d owed with pe rfect fo resight
a n d h ave access to cost less a n d u n l imited i n fo rmatio n . Smith's mod e l (or
mo re exactly, its impl eme ntati on i n ne ocl assical eco n o rn ics) a l so ge n e r
ates patte r n s t h at maximize the ben efits to society as a w ho l e , t h at is,
patte r n s i n which s u p ply a n d dema nd i nte ra ct so a s to reach o ptima l
e q u il i b ri um, p recl u d i n g wastefu l excesses or d eficits. T h i s type of ma r ket
dynamics is, of cou rse, a ficti o n . And yet t h i s p ictu re of a " ration a l " free
ma rket dynamics ema nating from the i nteraction of selfi s h age nts reach
i ng optimal co n c l u si o n s a bout alternative u ses of sca rce resou rces i s sti l l
a t t h e co re o f mod e r n l i n e a r econ omics.
N o n l i n e a r a p p roaches to market dynamics, in co ntrast, emp ha size t h e
r o l e o f u n ce rta i nty i n d ec i s i o n ma k i ng a n d t h e i n h e re nt costs of i n fo rma
tion gat h e ri ng. I mpe rfect k n owl edge , i n compl ete assessme nt of feed-
41
I: LAVAS AND MAGMAS
bac k , l imited memo ry a nd reca l l , as we l l as poo r p r o b l em-so l v i n g s k i l ls
res u lt i n a form of rati o n a l ity t h at atta i n s not optima l decisions but mo re
o r less satisfacto ry com promises betwee n co nfl icti ng co nst ra i nts.42 T h i s
"satisfi ci ng" o r " bou n de d " rat i o n a l i ty, proceeds i n ma ny cases b y r u l es
of t h u mb a n d oth e r ad a pt i ve b e h av i o ra l patte r n s . T h i s doe s not p recl u d e
some co h e re n ce amo n g a n agent's expectat i o n s , n ee d s , a n d act i o n s , b u t
it does ca l l fo r a dynamic e x p l a nation of t h e fo rmat ion o f adeq uate be l iefs ,
as o p posed to simply assuming static forms of ratio n a l ity. M o reover, it
emp hasizes that t h e respo n se s of eco nomic age nts i n t h e ma rket p l ace
a re not u n ifo rm, t hat some age nts wi l l act mo re co h e re ntly t h a n ot h e rs ,
a n d that t h e adeq u acy of t h e i r decisions wi l l va ry from t ime to time.43
A n o n l i n e a r mod e l of ma rket dyn amics d iffe rs greatly from Adam
Smith's. I n pa rtic u l a r, in stead of a s i ngle, static eq u i l i b r i u m towa rd w h i c h
ma rkets are su pp osed to gravitate, t h e non l i n e a r mod e l al l ows fo r mu lti
ple dynamical fo rms of sta b i lity. For example, ma rkets may get caught in
cyc l i c a l eq uil i b r i ums that fo rce them to u n d e rgo successive period s of
growt h and decay. H e nce ma r kets may be both self-regu lat i ng and n o n
optimal .44 Thes e i s s u e s are a l l t h e mo re impo rta nt w h e n co n s i d e ri ng
me d ieva l ma rkets, w h i c h had to cope not o n ly wit h t h e effects of impe r
fect fo resight, but wit h a multipl icity of ot her no n l i nea rities: agra r i a n h ier
a rc h ies exact i n g a p o rt i o n of p rod uct i o n , ta k i ng it o ut of ci rc u l atio n ;
c raftsme n s e l l i ng t h e i r p rod ucts specu l ative ly; mo ney su pp ly affect i ng
prices; a n d so o n . No netheless, by t h e twe lft h ce ntu ry, p rices t h ro u ghout
Eu rope fl uct u ated in u n i s o n , a n d this is w h at a bove all c h a racterizes a
self-regu l ati ng ma rket eco n omy.45 T h i s co l l ective osci l latio n , t h i s massive
r hyt hmica l b reath i ng across the cities that mad e up the Central Place
a n d N etwo r k systems, can now be ca ptu red t h rough the use of n o n l i near
mod e l s , w h ere t h e impedime nts created by bou n d e d rati o n a l ity p l ay a
co n structive ro l e .46
O n e may th i n k t hat t h e s u boptima l comp romise s to w h i c h medieval
ma rkets we re co n d e mned d e rived from the d ec e ntra l ized natu re of t h e i r
deci sio n-ma king p rocesses . B u t a simi l a r co ncl u s i o n may be reac hed vis
a-vis central ized b u rea u cracies, eve n t h o u g h t h e i r fo rma l ized p l a n s a n d
we l l -defi n e d go als wo u l d seem to b e prod ucts of a n o ptimiz i n g rat i o n a l ity.
B ut h e re, too, decis i o n ma k i ng ta kes p lace i n a world fu l l of u n ce rt a i nties.
Any act u a l system of i n fo rmation p rocessi ng, p l a n n i ng, and contro l wi l l
never b e o ptimal b u t merely p ractic a l , a pp lyi n g rote res po nses t o rec u r
rent probl ems a n d emp l oy i ng a vari ety of co nti nge n cy tactics to d e a l with
u nforese e n events. Some of t h e flows of matte r a n d e n e rgy in a n d o u t of
cities - flows t h at med i eval h i e ra rchies we re su pposed to regu late
rece ived more atte ntion while ot hers we re ove rl ooked a n d misma n aged .
42
GEOLOGICAL HISTORY 1000-1700 A . D
For i n stan ce, by the t h i rteenth ce ntu ry Lo n d o n had al ready ge ne rated a
spec ial ized b u re a u cracy for h a n d l i ng t h e flow of wate r i nto t h e city ; b u t
m a n age m e nt o f the flow o f waste o u t o f t h e city d i d n o t co m e a bo u t u nt i l
t h e n i n etee nth centu ry, even t h o u gh t h e Engl i s h cap ita l h a d h a d recu r
rent sewage crises si nce t h e 1370s. It was not u nt i l t h e rive r T h a m e s 's
capacity to tra n s po rt waste re ached its l i m its, ca u s i n g an odor t hat m a d e
p a r l i a m enta ry sess i o n s i m p ossi b l e t o co nd uct , t h at t h e p r o b l e m w a s co n
fro nte d . B efo re t hat, t h e a p p roach to sewage m a n age m e nt h a d b e e n
reactive, u np l a n ned , a n d piecemea l - h a rd ly opt i m a l . 47
T h u s , to u n d e rsta n d t h e role of decision m a ki ng i n t h e creati on of soc i a l
o rd e r, w e n e e d to co nce n trate not s o m u c h o n the m o re o r l ess rat i o n a l
c h a racte r of individual decisio n s, but o n t h e dy nam ics (ce ntra l i zed o r
d ece ntra l i zed) a m o n g many i nteract i n g d e c i s i o n m a ke rs. T h e h i e ra rc h i e s
a n d m e s hworks t h a t deve l o p from t h ese i nte ractio n s ( p a rticu la r b u re a u
c racies, i n d iv i d u a l m a r kets) i n t u r n beco m e e l e m e nts o f ot her ho m oge
n e o u s a n d hete roge n e o u s str u ct u res (ca pita l s or gateways), w h i c h in t u r n
g o o n to fo rm Central P lace a n d N etwo r k syst e m s . At e a c h l eve l , d i ffe re nt
n o n l i n e a r dyn am ics ta ke pl ace, wit h t h e i r own m u ltiple eq u i l i b ri u m s a n d
b i fu rcations between altern ative sta b l e states. H e nce, i nd i v i d u a l d e c i s i o n
m a k i ng, w h i l e i m po rta nt, is s i m p ly one e l e m e n t i n t h e m ix , i nt e ract i ng
a n d in fl u e n ci ng dyn a m ics o n o n ly o n e of c:l n u m be r of sca l es .48
But eve n at t h e i n d i vid u a l leve l , what � atte rs is not a ny pa rticu l a r psy
chol ogi ca l struct u re ( rat i o n a l ity) so m u c h as p roble m-sol v i n g s k i l l s , r u l e s
of t h u m b, a n d rou t i n e proced u res, t h at is, "cultu ra l m ate r i a l s" that can
accum u late o ver time wit h i n a town's wa l l s . I ndeed , m a ny pre i n d ustrial
cities m ay be see n as la rge rese rvoirs of s k i l l s a n d ro u t i n e s . T h ose cities
recru ited from the co u ntrys i d e arti sans posse ssi ng the m ost varied a b i l i
ties a n d trad es, a n d they were co nsta ntly strugg l i n g to ste al t h i s v a l u ab l e
" h u m a n capital" away from e a c h ot h e r. To m a i ntai n a n d i n crease t h e i r
res e rvo i rs , town s attracted a flow o f crafts m e n , as we l l as a vari ety of p ro
fe ssio n a l s , who b ro ught wit h t h e m s k i l l s a n d p roce d u res t h at co u l d n ow
be ta ught to ot h e rs or im itated , a n d h e n ce added to t h e existing stoc k . As
these c u lt u ra l m ateria l s acc u m u l ated , they m ixed in va rio u s ways, fo rm
i ng nov e l m e s hworks and h i erarc h i es.
On o n e hand, the ru l i n g e l ites of m a ny towns cre ate d , betwe e n the
twe lft h and the fifteenth centu ries, t h e gu i l d syste m , t h ro u g h which t hey
o rga n ized all craft activity wit h i n the city. Each gu i l d brought toget h e r t h e
s k i l l s t h at fo r m e d a give n t r a d e , a n d h o moge n ized the mea n s of t he i r
tra n s m i ss i o n by regu l at i ng t ra i n i n g m et hods a n d ce rti ficat i o n p roce d u res.
As skills accu m u l ated and began i nteract i n g wit h o n e a not h e r, trades
bega n to d ive rsify and m u lti ply: " I n N u re m be rg . . . the metal wo r k i n g
43
I: L A VAS A ND MAGMAS
gu i l d s . . . h a d d i v i d e d , as e a rly as t h e t h i rte e n t h c e n t u ry, i nto sev era l
doze n i nd e pe nd e n t p rofes s i o n s a nd t ra d e s . The sa m e p rocess occu rred
in G h e n t, Stra s b o u rg, F ra n kfu rt a n d F l o re n ce, w h e re t h e woo l e n i n d u stry,
as e l s ew h e re , b e c am e a co l lectio n of t ra d e s . I n fact it wo u l d be t r u e to
s ay t h at t h e b o o m of t h e t h i rt e e n t h ce n t u ry a ro s e o u t of t h i s n ewly c re
ated d i v i s i o n of l a b o r as i t p ro l i fe rate d . " 49 On the ot h e r h a n d , a s s pe c i a l
t i e s m u lti p l i e d s o d i d t h e i nteractio n s betwe e n i n d i vi d u al tra d e s , a n d
t h i s gave rise t o m e s h wo r k s o f s m a l l p ro d u ce r s , " sy m b i otic c o l l e cti o n s of
l i tt l e e n te r p r i s e s , " a s the u rb a n i st J a n e Jacobs has c a l l ed t h e m . 50
W h i l e t h e b i g gateway c i t i e s at t h e core of t h e Netwo rk system , as wel l
a s t h ose a t t h e top o f C e n t ra l Pl a c e pyra m i d s , gave r i s e t o e l a b o rate h i er
a rc h i e s of gu i l d s a n d ever m o re rigid reg u l at i o n s , tow n s i n h ab i t i n g t h e
m i d d l e zo n e ( t h a t i s , n ot t o o s m a l l to be co n d e m n e d to re m a i n a s u p ply
regio n fo r t h e co re), e n gaged in what J a co bs calls " i m po rt-s u bstitut i o n
d y n a m i cs . " I n st e a d of s i m ply exc h a n gi n g r a w m ate ri a l s f o r m a n ufactu red
go o d s f ro m the b i g citi e s , the a rt i s a n s of t h e s e tow n s d e v e l o pe d t h e
s k i l l s n ece s s a ry t o s l owly r e p l ace t h ose i m po rts with local p rod u ctio n .
T h e s e n ew, l e s s r eg u l ated s k i l l s , i n t u r n , bega n f o rm i ng m es hwo r k s , as
t h ey i nt e r l o c k e d w i t h o n e a n ot h e r in fu n ct i o n a l c o m p l e m e n t arity.51
The m a rket d y n a mi c s of th e s e m i d d l e-zo n e tow n s were s e l f-sti m u l ati n g
beca u se t h e m o n ey s a ve d b y r ep l a c i n g s o m e i m po rts co u l d be s p e n t o n
n ew i m po rts, w h i c h i n t u r n g e n e rated a n ew ro u n d of s u bstitu t i o n s . A s
J aco bs p u ts it, t h e s e s m a l l m e d i ev a l tow n s , a n d t h e i r s m a l l p ro d u c e rs ,
" w e r e fo re v e r p ro d u c i n g n ew expo rts fo r o n e a n oth e r - b e l l s , dyes , bu ck
les, p a rc h m e n t , lace, n e e d l e s , p a i nted c a b i n et wo r k , c e ra m i cs , b r u s h e s ,
cutl e ry, p a p e r, s i e v e s a n d n ee d l e s , sweetmeats, e l ix i rs , fi l e s , pitc hfo rks,
s exta nts - re pl a c i n g them w i t h local p rod u cti o n , beco m i ng c u sto m e rs fo r
sti l l m o re i n n ovati ? n s . "5 2 J a cobs d e s c r i bes t h e a utocata lytic dyn a m i cs
t h at p ro d u ce d t h e s e h u m b l e good s as evol vi n g t h ro u g h b i f u rcati o n s , as a
critical m a ss of pote nti a l ly r e p l a ce a b l e i m po rts accu m u l ated wit h i n a
tow n , givi n g r i s e to a n ew e x p l os i ve e p i sode of i m po rt re p l a ce m e nt . T h e
i n n ovati o n s t h at c a m e o u t of t h i s p rocess d i d n ot h ave to b e g l am o ro u s
o r h ig h ly v i s i b l e ; w h a t matte red w a s t h e ge n e rati o n of n ew s ki l l s a n d t h e
co n s eq u e n t c o m p l ex i ficati o n of t h e m es hwo rk .
C o m pute r s i m u l ati o n s o f eco n o m i c mes hwo rk d y n a mi cs have s h ow n
t h at, a t a c e rta i n c r i t i c a l l e v e l of co m p l exity, a k i n d of " i nd u st r i a l ta k eoff"
occ u rs in t h e i n te r l o c k e d syste m of fu n ctio n s co n st i t u t i n g the m e s h
wo r k . 53 J acobs h a s gat h e re d evi d e n ce i nd i cati n g t h at t h i s i s i n d ee d t h e
w a y i n w h i c h t h e e c o n o m y of E u ro p e too k o f f at t h e t u rn of t h e fi rst
m i l l e n n i u m . At t h e t i m e , C o n stant i n o pl e was at the to p of the u rb a n h i e r
a rc h y, a n d Ve n i ce ( w h ic h by t h e fo u rt e e n t h ce n t u r y was t h e m etro p o l i s at
44
GEOLOGICAL HISTORY 1000-1700 A . D
the co re of the Netwo rk syste m ) wa s o n e of its h u m bl e s u p p ly zo n es . T h e
Ve n eti a n s s o l d t i m b e r a n d s a l t t o t h e ca p i ta l , i n exc h a n ge fo r m a n u fa c
t u red p ro d u cts. I n t h e e le v e n t h c e n t u ry, h oweve r, t h e eco n o my of Ve n i ce
began to grow e x p l o s i ve ly, as a m es hwo rk of s m a l l p ro d u ce rs bega n s u b
st ituti n g l o ca l ly m a n u fa ct u red good s for t h os e previou s l y i m po rted from
C o n sta n t i n o p l e . S i n ce t h e l oca l good s were n eces s a r i ly rough a n d p r i m itive
by t h e sta n d a rd s of t h e ca p it al , Ve n ice co u l d o n ly t r a d e i ts n ew s u rp l u s
pro d u cts with ot h e r bac kward c i t i e s . (T h u s, t h i s type o f a u tocata lys i s
i n vo l ves n ot s i n g l e c i t i e s b u t t e a m s o f c i t i e s . ) I n th i s way, t h e eco n o m y o f
Ve n i ce took off a n d p ro p e l l e d t h e city t o a positio n a s d o m i n a n t c e n t e r.
Beca u s e t h e s m a l l e r tow n s t h at n ow i m po rted Ve n et i a n p rod u cts were
a l so rese rvoi rs of flexi b l e s k i l l s , t h ey eve n t u a l ly created t h e i r own i m p o rt
s u b stitu t i o n m e s hwo r k s . S u c h was the case of A n twerp, w h i c h bega n a s
a Ve n eti a n s u p pl y regi o n fo r woo l ; b y t h e fiftee n t h c e n t u ry i t t o o h a d
beco m e a co re of t h e N etwor k . Lo n d o n h a d to w a i t u nt i l t h e n i n etee n t h
ce ntu ry befo re beco m i ng t h e N etwor k co r e , b u t si n ce t h e M i d d le Ages i t
h a d b e e n su b sti t u t i n g i m p o rt e d l eat h e r good s f r o m C6rd ova , to s e l l to
ot h e r backw a rd cit i e s . 54
T h i s k i n d of vo l at i l e t ra d e a m o n g s m a l l tow n s s h o u l d be a d d e d to o u r
l i st o f a utocatalyt i c p rocesses a n i m at i n g m ed i e v a l E u ro p e . La rge tow n s ,
o n t h e ot h e r h a n d , g a v e r i s e t o a d i ffe r e n t typ e of t u rb u l e n t d y n a m i c s ,
b a s ed o n l u x u ry goo d s ( i n stead o f eve ryd ay ite m s) i n vo l v i ng b i g f i r m s
( i n st e a d of s m a l l p ro d u c e rs ) , a n d o n strateg i e s t h at d i d n ot re ly o n t h e
existe n c e of h eteroge n eo u s s k i l ls. As B ra u d e l s ays , t h e p ro l i fe rati o n o f
new t r a d e s , a n d t h e re s u lt a n t m i cros pec i a l izat i o n s , a lways c h a racte rized
the bottom l ayers o f the trade h i e ra rc h y. B i g b u si n e s s in t h e M id d l e Age s ,
a n d fo r c e n t u r i e s a fte rwa rd , h a d i t s o w n dy n a m i cs, w h i c h ra n i n t h e
ex a ct o p posite d i re ct i o n : H Eve n a s h o p ke e p e r w h o m a d e h i s fo rt u n e , a n d
b e ca m e a m e rch a n t , i m m e d i at e ly m o v e d out o f s p e c i a l i z at i o n i nto n o n
s peci a l izati o n . . . o beyi n g t h e ru l e s of t r a d e at its u p pe r l e ve l s . To beco m e
a n d a bove a l l t o r em a i n a w h o l e s a l e r m e a n t h a v i ng n ot o n ly t h e right but
t h e d uty to h a n d l e , i f n ot e v e ryt h i ng, a t a ny rate a s much as possi b le . " 5 5
T h e a d va n tage t h at n o n s p e c i a l i z at i o n gave to t h ese ea rly ca pita l i sts
w a s freedom o f motio n , w h i c h a l l owed t h e m to h a n d l e a ny flow of goo d s
t h at beca m e h i g h l y p rofita b l e , a n d to m ove i n a n d out of f l ows a s t h e i r
p rofita b i l ity c h a n ged . T h i s f re e d o m of c h oi ce h a s c h a ra ct e ri z e d c a p it a l i s m
t h ro u g h o u t t h e m i l l e n n i u m . T h e m e r c h a nts a n d fi n a n c i e rs ( a n d l ate r
i n d u stri a l i sts) who i n h a b i ted t h e u p p e r l e v e l s of t h e t r a d e h i e ra rc h y n ever
i n vad e d l ow-profit zo n es. With the excl u s i o n of cas h crops f o r the l u x u ry
m a rket, food p rod u cti o n a n d proce s s i n g we re l eft u nt o u c h ed u nt i l t h e
seve ntee n t h c e n t u ry. T h e s a m e i s tru e of tran s po rtati o n , u nt i l t h e ra i l -
45
I: LAVAS AND MAGMAS
roads, a n d of the co n structi o n i n d u stry, u nt i l o u r ce ntu ry ( i f we exc l ude
facto ri es a n d p u b l i c b u i l d i n gs). If we add to this t h e reta i l i ng of goo d s, we
may co n c l u d e t h at n o n e of t h e fl ows of e n e rgy a n d matter t h at a re i n d i s
pe n sa bl e fo r a n u rb a n c e n te r we re p e n et rated by l a rge co m m e rc i a l h i e r
a rc h i e s ( a n d t h e i r ce ntral ized deci s i o n m a k i n g) u nt i l re l atively rece ntly.
Even i n t h i s age of h u ge m u lti n at i o n a l corpo rati o n s, t h e com m a n d
e l em e n t i n t h e co m me rc i a l m ixtu re i s f a r f r o m 100 p e rce nt. T h e eco n o
m ist jo h n Ke n n et h G a l b rait h , w h o s h a rp ly d iffe re n ti ates betwee n s po nta
n e o u s eco n o m i c activity ( m a r kets) and p l a n n e d e co n o m ic p rocesses
(big b u s i n ess), c a l c u l ates t h at tod ay ro u g h ly h a l f of the Wester n eco n omy
has be e n t a k e n ove r by ca p i ta list h i e ra rc h ies. T h e ot h e r h a l f co m p ri ses
the l ow-profit regio n s , w h i c h t h ese h ierarc h ies wi l l i ngly aba n d o n to the
ma rket. A cco rd i ng to G a l b ra i t h , w h at gives capita l ism this freedom of
moti o n is e co n o my of sca l e , w h i c h is why s i nce the M id d l e Ages com m e r
c i a l c a p ita l i sm h a s bee n a ssociated with wholesa le a nd n ot reta i l . A l a rge
fi rm i s bette r a b l e to a bsorb s hocks a nd fl u ctuati o n s a n d c reate t h e p l a n s
a n d c t ... ",t"" CTIt>C that may wi n it a d egree of i nd e pe n d e n ce fro m m a rket
fo rces, i ndeed t h e a b i l ity to control and manipulate t hose forces to a ce r
ta i n
S u c h co n s i d e ratio n s led B ra ud e l t o t h e sta rt l i n g c o n c l u s i o n that "we
s h o u ld n ot b e too q u ic k to a ss u m e t h at capita li s m e m braces the w h o l e
of west e r n society, that it accou nts fo r eve ry stitc h i n t h e soci a l fa b ri c . . .
t h at o u r societies a re o rgan ized from top to bottom i n a ' ca p ita l ist sys
tem . ' On t h e co ntra ry . . . t h e re is a d ialectic sti l l ve ry m u c h a l ive between
ca p i ta l i sm on one h a n d , and its a ntithesis, the ' n o n -ca pita l i s m ' of t h e
l owe r level o n t h e ot h e r. " 5 6 A n d h e a d d s t h at, i nd eed , capita l ism w a s car
ried u pwa rd a n d o nward o n t h e s h o u l d e rs of s m a l l s hops a n d "t h e e n o r
m o u s c reative powers of t h e market, of t h e l ower story of exc h a n ge . . . .
[Th i s] l owest l e v e l , not b e i ng p a ra lysed by t h e s i ze of its p l a n t o r o rga n i
zatio n , i s t h e o n e rea d iest to a d a pt; it i s t h e seedbed of i ns p i rati o n ,
i m provisat i o n a n d eve n i n n ovat io n , a l t h ough its most b r i l l i a n t d iscove ries
soo n e r or l ater fa l l i nto t h e h a nds of t h e h o l d e rs of ca p ita l . I t was n ot t h e
capita l i sts w h o b rought a bo u t t h e fi rst cotto n revo l u t i o n ; a l l t h e n ew i d e a s
cam e fro m e nter p r i s i n g s m a l l busi n esses. "57
T h ere i s a m isco n ce ptio n , widely s h a red by eco n o m i sts and p h i l oso
p h ers on e i t h e r s i d e of the pol itical s pectru m , that c a p ita l ism devel o pe d
i n seve ral stages, be i ng at fi rst co m petitive a n d s u bservient t o m arket
fo rces a n d o n ly l ate r, i n t h e twentieth centu ry, beco m i ng m o no po l i stic.
H owever, sta rti n g in t h e t h i rtee n t h centu ry, cap i ta l i sts e n gaged in various
n o nc o m petitive p ractices, in o rd e r to c re ate the l a rge a cc u m u l at i o n s of
m o n ey t h a t have a lways c h a racte r i ze d t h e u p pe r levels of the trade
46
GEOLOGICAL HISTORY 1000-1700 A . D
pyra m i d . As we d i sc u ss e d , the e a r ly med ieva l fa i rs , the m eeti n g poi nts
of ric h m e rc h a nts fro m all ove r E u ro p e , w e re ve rita b l e h i e ra rc h i e s of
mes hwo rks, in w h i c h the l uxu ry and m o n ey m a r kets d o m i n ated t he
u p p e r e c h e l o n s. N e i t h e r i n t h e l o ng-d i sta n ce t ra d e of p restige goo d s n o r
i n t h e wor l d s of precious meta l s a n d c re d it d i d s u p p ly a nd d e m a nd reign
s u p re m e . O n t h e co n t ra ry, m ost fo rt u n e s in t hese a reas we re m a d e by
t h e m a n i pu l a t i o n of t h ese m a rket forces t h ro ug h a vari ety of n o n co m
petitive p ractices. T h e re was, of cou rse, i nt e n se com petitio n a m o n g r i c h
m e rc h a nts a nd fa m i l ie s , m u c h as today l a rge co rpo rati o n s com pete w i t h
o ne a noth e r, b u t t h ese riva l ri es a m o ng o l igo p o l i e s a re f u n d a m e n ta l ly
d iffe r e n t from t h e k i n d of " a n o nym o u s co m petit i o n " i n w h i c h s m a l l pro
d u ce rs and tra d e rs e ngage . 58
From t h e M idd l e Ages to t h e n i netee nth c e n tu ry, n ot o n ly d i d i n d ivid
ual b u s i n esses e n gage in m o n o po l i stic practices, e n t i re cities d id too,
even gro u ps of cities. By means of n o n co m petitive p ractices , a town
cou l d greatly aid its m e rc h a nts a n d fi n a n ci e rs, p rotect i n g t h e m fro m for
e ign rivals, a n d sti m u l ati n g t h e accu m u l atio n of m o n ey w it h i n its wa l l s.
T h e med ieval cities t h at co n t ro l le d t h e M ed ite rra n e a n a n d t h e Ba ltic a nd
N o rt h Seas f i n anced m uc h of t h e i r growt h from m a n i p u l at i o n of m a rkets
a nd by a cq u i ri n g exc l usive co n t ro l of certa i n f l ows, s u c h as s p i ce s a n d
s i l ks from t h e Lev a nt i n t h e case of Ve n ice, o r salt i n t h e case of L u be c k .
With a m o no poly o n l ux u ry goods, wo n a n d m a i n ta i n e d b y m i l ita ry fo rce,
fou rtee n th-cen t u ry Ve n i ce d o m i n ated the cities a ro u n d it, n ot o n ly t h e
sma l l tow n s co n stituti n g i t s s u p ply regi o n s b u t oth e r gia n t towns, s u c h a s
F lo re nce a n d M i l a n . I n t h e n o rt h , betwe e n t h e t h i rtee n t h a nd fiftee n t h
centu ries, cities l i ke L u beck a n d B ruges fo rmed a mes hwo rk of cities k n ow n
a s t h e H a n seatic League, w h i c h was cap a b l e o f co l l e ctive acti o n wit h o ut a
central ized o rga n izati o n b e h i nd it. T h e leagu e also e ngaged i n m o n o p o l is
tic p ractices to trap t h e town s wit h i n its zo n e of eco n o m i c i n fl u e nce in a
web of s u pervisi o n a n d d e p e n d e nce . 59
We w i l l ret u r n s ho rtly to othe r forms of m a rket m a n i p u lati o n w h i c h ,
acco rd i n g t o B ra u d e l , h a v e a lways c h aracterized ce rta i n com m e rc i a l i n sti
tuti o n s si n c e the M id d l e Ages . This w i l l m a k e c l e a r h ow wro n g it i s to
ass u m e (as m a ny econ o m i sts to t h e right a nd center of t h e pol itical s pec
trum te nd to d o) t h at m a rket powe r is somet h i ng t h at m ay be d is m issed
o r t h at n eeds to be stu d i e d o n ly in relatio n to some a be rrant i n stituti o n a l
forms s u c h a s overt m o n o po l i es. B u t ce rtai n co n ce pti o n s from t h e left
(parti c u l a rly the M a rxist l eft) a l so need to be corrected , in p arti c u l a r, a
teleo l ogical co nception of eco n o m i c h i sto ry i n terms of a linear progression
of modes of prod u ctio n . I n t h i s B ra u d e l expl icitly agree s with G i l l es
D e l euze a nd F e l i x G u attar i : capita l is m co u ld h a ve a ri s e n a nyw h e re a n d
47
I: LAVA S AND MAGMAS
l o n g befo re it d i d i n E u ro p e .6o Its e m e rge n ce m u st be pict u red as a bi
fu rcat i o n , a p h ase t r a n s i t i o n t h at m ight h ave ta ke n p l ace somewh e re
else had t h e co n d it i o n s bee n right (for i n sta nce, i n t h e h u ge camel ca ra
v a n s a l o ng t h e S i l k Road i n t h e t h i rtee n t h centu ry) . 61 M o reov e r, t h e i n sti
tuti o n s t h at e m e rged afte r t h i s bifu rcatio n m u st be v i ewed n ot as
re p l a c i n g p revious i n stitutio n s ( i . e . , m a rkets) but as fu l ly coexist i ng with
them wit hout fo rm i ng a soci etywide "system . " It i s true t h at p rices across
E u rope we re p u l sati ng to the same rhyt h m from m e d i eval times and t h i s
gave t h e e nt i re co nti n e nt a ce rta i n eco n o m i c co h e re nce (som eti mes
refe rred to as a "wo rld-eco n o my"), but it wou ld be a m i sta ke to c o n fuse
world-eco n o m ies with the "capital ist system," si n ce I nd i a , C h i n a , a n d
I s l a m a l so fo rmed c o h e re nt e c o n o m i c a reas (as p owe rfu l as those o f Eu
rope) wit h out givi ng rise to capita l i s m . 62
The co n c e pt u a l co n fu s i o n e nge n d e red by a l l t h e d i ffere n t u ses of t h e
w o r d "capitalism" ( a s " free e nte rprise" o r a s " i n d u st ri a l mode of p ro d u c
t i o n " o r, m o re rece ntly, as "wo rl d-eco n o my") is so e ntrenched t h at it
m a kes a n o bj ective a n a lysis of eco n o m i c powe r a l m ost i m poss i b l e . O n e
cou l d , of co u rse, s i m p ly red e fi n e t h e t e r m "ca p ital ism" to i n c l u d e " powe r
to m a n i p u l ate m a r kets" as a co nstitutive part of its m e a n i ng a n d to rid it
of so m e of its te l e o l ogica l co n notatio n s . But as p h i l os o p h e rs of sci e n ce
k n ow we l l , w h e n a t h e o ry begi n s redefi n i ng its te rms i n a n ad hoc way to
fit the l atest rou n d of n egative evi d e n ce , it s h ows by t h i s v e ry act t h at it
has re ached t h e l i m its of its u sefu l n ess. I n view of t h is, it wou ld seem
that the o n ly s o l u t i o n is to re p l ace t h is tired wo rd wit h a n e o l ogism , pe r
h a p s t h e o n e B ra u d e l sugge ste d , " a n t i m arkets , " a n d to use it exc l u s ively
to refe r to a ce rta i n segm e n t of the p o p u l at i o n of co m m e rc i a l a n d i n d u s
trial i n stitutio n s . 63
I n a d d iti o n to m o n o po l i es , t h e most obvious form of m a n i p u l atio n of
s u p ply and d e m a n d , p re i n d u strial a ntima rkets used seve ra l ot h e r m e c h a
n i s m s to fu rt h e r t h e i r acc u m u lati o n s a nd i n crease t h e i r d o m i n ati o n . F o r
exam p l e , good s bought d i rectly fro m a p rod u c e r at a l ow p ri ce were ofte n
sto red i n l a rge wa re h o u ses u nt i l t h e ma rket price rose to a d esired level.
M a rket prices someti mes i n cre ased of their own acco rd , as h a p pe n ed
d u ri n g w a rs , b u t w h e n eve r t hey did n ot t h e m e rc h a nts w h o owned t h ese
h u ge rese rvoi rs c o u l d a rtifi ci a l ly i n flate p ri ces, pe r h a ps by buyi ng certa i n
a m o u nts o f a give n p rod u ct a t a high p rice ( o r, vice v e rsa, d efl ate prices
by d u m p i ng l ower- p riced goods). 64 Lo ng-d ista n ce trad e was a n ot h e r
m e a n s t o free o n es e l f of t h e l aws a nd l i m itatio n s of t h e l oca l m a r k et. I n
terms of vol u me , lo ng-dista n ce l u xu ry t ra d e was m i n u scu l e i n co m pa rison
to t h e flows of h u m b l e goods t h at c i rcu lated i n the med ieval m a rkets. But
w h at it lacked in one fo rm of i nten sity it m a d e up in a n ot h e r:
48
G�OLOGICAL HISTORY 1000-1700 A . D
Lo ng-d ista nce trade certa i n ly made super-profits: it was after all based on
the price d iffe re n ces between two markets very fa r apart, with su pply
and demand in co mplete ignorance of each other and b rought i nto co ntact
o n ly by the activities of the m i d d l e m a n . There co u l d o n ly have been a
co m petitive ma rket if there had been ple nty of sepa rate and i n d e pe ndent
m i d d l em e n . I f, in the fu l l ness of time co m petitio n d i d appear, if su per
profits va n ished from one l i n e , it was always possi ble to fi n d them aga i n
o n anot h er route with d ifferent co mmod ities. I f peppe r became com m o n
place and decl i ned i n va l u e , tea , coffee, or ca l icoes were wa iti ng i n t h e
wi ngs t o ta ke t h e pl ace o f the fo rmer p r i m a d o n na. 6 5
S u c h was t h e fre e d o m of m ov em e n t t h at c h a racte rized a n ti m a rkets, a
freed o m m ad e poss i b l e by exte n sive credit. M u c h as p r i m itive o r m eta l l ic
m o n ey was a cata lyst fo r s m a l l-sca l e co m m e r c i a l e xc h a n ge , credit was t h e
great acce l e rato r fo r a n t i m a rket tra nsactio n s , both whol esale a n d l o n g
d ista nce t ra d e . Credit re p rese nted o n e m o re fo r m of t h e a u tocatalytic o r
t u rb u l e nt dyn a m i cs t h at p ro p el led prei n d u st r i a l E u ro p e a n cities a h ead
of t h e i r Easte r n rivals, eve n t u a l ly e n a bl i ng E u rope to d o m i n ate the rest
of the wo rld . C redit (o r, m o re exactly, co m po u n d i nte rest) is a n exa m p l e
of explosive, self-sti m u l ati n g growt h : m o n ey begett i n g m o n ey, a d ia bo l ical
i m age t h at m ad e m a ny civil izatio n s fo rbid u su ry. E u ropea n m e rc h a n ts
got a ro u n d t h i s p ro h i biti o n t h rough t h e u se of t h e " b i l l of exc h a n ge , "
o rigi n a l ly a m e a n s of l o n g-d i sta n ce paym e n t ( i n he rited fro m I s l a m) ; as it
ci rcu l ated from fa i r to fa i r its rate of ret u r n accrued u s u ri o u sly. (T h i s d i s
gu ised fo rm of u s u ry was tole rate d by c h u rc h h i e ra rc h ies d u e to t h e m a ny
risks t h e c i rc u l ati o n of b i l l s of exc h a nge i n vo lved . ) T h e flow of cred it a n d t h e i n stituti o n s t h at grew a ro u n d th i s fl ow, s u c h as b a n ks a n d stock
exc h a n ges - was cru c i a l fo r s e l f-su sta i n ed e co n o m i c growt h at the to p ,
a n d it was o n e m o re flow a nt i m a rk et i n stituti o n s m o n opol ized ea rly o n .66
To retu r n to E u ro p e a n u rb a n h i sto ry, t h e dece l e rati o n of u rb a n ex p a n
sion that fol l owed t h e ye a r 1 300 h a d a va riety of e ffects . T h e b i rt h rate
of n ew town s decreased sig n ifica n tly, as d i d conti n u o u s growt h across
the fu l l spect r u m of city sizes. I n the s u bseq u e n t fo u r c e n t u ries m a ny
s m a l l town s d is a p p e a re d , a n d o n ly t h e l a rge r tow n s conti n u ed to grow.
I n a s e n se , t h e l o n g d e p re s s i o n acted as a s e l ect i o n p ressu re, favo ri n g
t h e l a rge a n d h e n ce i n c reas i n g t h e p roportio n of co m ma n d e l e m e n ts
i n t h e m ix . Si m u lt a n e o u sly, t h e fi rst n at i o n -states bega n to co n so l i d at e ,
i n regi o n s p reviou sly o rga n ized b y C e ntral P l ac e h ie ra rc h i es, a s t h e
d o m i n a n t c i t i e s , so m e of w h i c h beca m e national capitals, bega n to swa l low
up a n d d isci p l i n e t h e tow n s in t h e i r orbit . The gateway cities t h at m a d e
u p t h e N etwo rk syste m l ost s o m e of t h e i r a u to n o my yet co nti n u ed t o
49
I: LAVAS AND MAGMAS
grow, beco m i ng maritime metropolises. H e nce, w h i l e relatively few towns
we re born i n t h i s period, t h e existing popu l atio n of cities c h a nged sign ifi
can tly. The capital and the m etro p o l i s, and the h uge co nce ntrations of
peo p l e t h ey h o used , became i n creasi ngly vis i b l e featu res of t h e E u ro p e a n
u rban struct u re .
A n n e Q u e rrien h as d e scri bed t h e c h a racteristics typical o f these two
types of l a rge tow n s , w h i l e warn i n g us that i n rea l ity a p u re capital o r
m et ro po l i s i s rare, t h at m o re ofte n t h a n n ot w e a re d e a l i ng with m ixtu res.
A m etrop o l i s , she says, i s l i ke " a m e m b ra n e which a l l ows co m m u n i catio n
betwee n two o r m o re m i l ie u s , w h i le t h e capita l se rves as a n u cl e u s a ro u n d
w h i c h t he s e m i l ie u s a r e r igo rou sly o rga n ized ."67 Metro po l ita n ce nte rs
exe rcise t h e i r i n fl u e nce across i nte rnatio n a l bo u n d a ries, w h i l e capita l s a re
t h e gu a rd i a n s a nd p rotectors of t hese fro ntie rs a n d t h e territo ri es t h ey
e n co m pass. H e nce, w h i l e t h e fo r m e r a rise by t h e sea, t h e l atte r a re often
l a n d locked, bo u nd to t h e i r h i nterl a n d . Capita l s te n d to p lace restrictio n s
o n t h e flows of trade a n d use taxes, tol l s , a n d ta riffs t o extract e n e rgy
fro m t h ese c i rcu its ; co nve rse ly, metro p o l itan cities te nd to free t hese fl uxes
of a l l o bstacles, s e e ki ng to e x p loit t h e i r d ista nt peri p h e ries m o re t h o rough
ly. (We h ave h e re two d iffe re n t fo rms of powe r, x e n o p h o b i c n atio n a l i sm
ve rsu s sa l t-wate r i m pe ri a l i s m . )68 I n the period of n at i o n -state fo rmati o n ,
Pa ris, Mad rid, Baghdad, a n d Pe king we re pe rfect exa m p les of nati o n a l
capita ls, w h i l e Ve n ice, G e n oa , C6rdova, a n d C a n t o n typ ified t h e m a ri t i m e
metropol is. C i t i e s s u c h as Lo n d o n w e re m ixtu res of bot h types.
The e m e rge n ce of powerfu l n atio n-states, and the co n co m ita nt d ecrease
in a u to n o my of the cities t hey a bso rbed (and eve n of the city-states t h at
rem a i ned i n d e p e n d e nt), cou l d have b ro ught t h e d i ffe rent fo r m s of se l f
sti m u l ati n g dyn a m i cs we h ave d escri bed to a h a lt. That t h i s did n ot h a p
p e n was d u e to yet o n e m o re fo rm of a u tocata lys is u n i q u e to t h e West:
co nti n u ed a rms races . T h e h i sto ria n Pa u l K e n n edy has a rgued t h at t h i s
typ e of s e l f-st i m u lation d e p e nded i n t u r n o n t h e fact t h at t h e n atio n s of
E u ro p e , u n l i ke C h i n a or I sl am , were never a bl e to fo rm a s i ngl e , h o m oge
n e o u s e m p i re , a n d h ave re m a i ned u nt i l tod ay a mes hwo rk of h i e rarchies.
I t was wit h i n t h i s m e s hwo rk t h at advances i n offe n sive wea p o n ry sti m u
l ated i n novations i n d efe nse tec h n o l ogy, lead i ng to an ever-growi ng a rm a
m e n t s p i ra l :
While this a rmament spira l co u ld al ready be seen i n the ma n u fact u re of
crossbows and a rmor plate i n the ea rly fiftee nth centu ry, the p ri nciple
spread to experimentation with gu n powd er weapons i n the fol lowing fifty
yea rs. I t is important to reca l l here that whe n ca n n o n were fi rst e m ploye d ,
there w a s l ittle d i ffe rence between t h e West a n d Asia i n their d esign a n d
50
GEOLOGICAL HISTORY 1000-1700 A.D
effectiven ess . . . . Yet, it seems to have bee n o n ly in E u rope that the i m pe
tus existed fo r consta nt i m p rovement: in the gu n powder grai ns, in casti ng
much smaller (yet eq u a l ly powerfu l) ca n n o n fro m bronze and tin a l l oys, in
the shape and textu re of the ba rrel and the missi le, in the gu n mou nti ngs
and carriages. 69
These a rms races had a variety of co n se q u e n ces. They a ffected t h e
m i n e ra l izati o n of Eu ro p e , as the new mobi l e siege a rti l l e ry m a d e t h e s i m
ple h igh wa l l s that s u rro u n d ed most town s obso l ete . F o rtifi catio n c h a nged
rad ical ly, as town wa l l s we re bu i lt lower w h i l e beco m i n g m o re e l a bo rate,
now i n co rporated i nto co m p l ex asse m blages of d itc hes, ra m pa rts, pa ra
pets, a n d cove red passageways. T h i s h ad i m po rtant co n se q u e n ces fo r
the cities e n closed with i n t h ese fo rtified wa l l s . B e fo re 1 5 20, w h e n a town
outgrew its m i n e ra l m e m br a n e , t h e wa l l co u l d be easily d isass e m b led a n d
reco n structed fa rt h e r away. B u t n ow, t h e n e w sta r-s ha ped syste m s o f
defe nse that h a d re p l aced it we re p ro h i bitively ex p e n s i ve t o m ove , s o t h at
t h e town s so fo rti fied we re the reafter co n d e m n ed to grow v e rtica l lyJo O n
the other h a n d , t h e n ew fo rtress designs, as w e l l as t h e a rti l l e ry t h at h a d
cata lyzed t h e m i n to existe n ce , bega n t o co n s u m e a rap i d ly i n creasi ng
s h a re of a town 's wea lt h . T h is favo red n at i o n s ove r city-states, si n c e o n ly
t h e fo r m e r co u l d s u sta i n t h e i nte n si ficati o n of reso u rce exploitati o n t h at
t h e n e w tech n o l ogies d e m a n d e d .
Ke n nedy has a d d ed h i s vo i ce t o t h e c h o r u s of h i sto ria n s w ho , h avi ng
rej e cted E u roce n t ri s m , came to real ize that even as l ate as 1 5 00 C h i n a o r
I sl a m was m u c h b ette r positi o ned t o d o m i n ate t h e m i l l e n n i u m t h a n Eu
rope. ( H e n c e , t h e fact t h at E u rope m a n aged to do t h i s aga i n st the odds
wa rra nts exp l a n ati o n . ) M a ny of t h e i nventi o n s t h at E u ro p e a n s used to col
o n ize t h e world (t he com pass, gu n pOWd e r, paper m o n ey, the p r i nti ng
p ress) w e re of C h i n ese o rigi n , w h i l e E u rope's acco u nti n g tec h n i q ues a n d
i nstru m e n ts of c re d it (wh ic h a r e ofte n cited a s exa m pl es of h e r u n iq u e
" rati o n a l ity" ) cam e from I sl a m . T h u s , n oth i ng i ntri n s i c to E u rope dete r
m i n ed the o u tco m e , but rat h e r a dyn a m ics beari n g no i n h e re n t rel atio n
s h i p to a ny o n e c u ltu re . I n t h is, K e n n edy agrees with B ra u d e l a n d
M c N e i l l : a n excess of ce ntral ized d ecisi o n m a k i n g i n t h e East kept tu rbu
l e nt dyn a m ics u n d e r co ntro l , w h i l e t hey raged u no bstructed in t h e West.
To be su re , at several poi nts i n h e r h i sto ry Eu ro pe co u ld h ave become a
u n i fied h i e ra rchy, a n d t h i s wo u l d have grou n d t h ese dyn a m i cs to a h a lt.
This h a p p e n ed in the sixte e n t h centu ry with the H a psb u rg E m p i re , a n d
l ate r o n w i t h the r i s e of N a poleo n a n d H it l e r. Yet a l l t h e se e ffo rts p roved
abo rtive, and E u ro pe a n n atio n s rem a i n ed a m es h wo rk.
Per h a p s t h e m ost d a m aging effect of ce ntral izati o n was t h at it made
51
I: LAVAS AND MAGMAS
Easte r n n at i o n s too d e pe n d e nt on t h e i n d ivid u a l s k i l ls of t h e i r e l ites.
Someti mes these s ki l ls were in s h o rt s u p p ly, as in the Otto m a n E m p i re
afte r 1566, w h e n it was r u l e d by th i rtee n i n co m pete n t s u lta n s i n s ucces
sio n . Beca use of t h e excess of com m a n d e l e m e nt i n t h e m ix, as K e n n edy
says, " a n i d iot s u lta n co u ld p a ra lyze the Otto m a n E m p i re in a way that
a pope o r H o ly Roman e m peror cou ld never d o fo r all of E u rope. "71 I n a
s i m i l a r way, C h i n a 's outlook was t u r n e d i nward by its e l ite at a crucial
poi n t in h isto ry, when t h e secret to world d o m i n at i o n l ay i n t h e co n q u est
of t he oce a n s , both fo r t h e p rofits of l o ng-d i sta n ce trade a n d for t h e flows
of e n e rgy a nd m ate rials that col o n izatio n made p oss i b l e .
C h i n a h a d a n e a r ly l e ad i n t h e n a v a l race, h a v i n g s u ccessfu l ly pio
n e e red exped itions to the I n d i a n Oce a n as ea rly as 1405, in w h i c h h e r
" l a rgest vessel s probably d is pl aced a b o u t 1, 500 to n s co m pared to t h e
300 to n s of Vasco da Ga m a 's flags h i p . . . at t h e e n d of t h e s a m e ce ntu ry.
Everyt h i ng a bout t h ese expeditions e c l i psed t h e sca l e of l ater Portu
guese e nd e avors. M o re s h i ps , m o re gu ns, m o re m a n powe r, m o re ca rgo
ca pacity. . . . "7 2 H owever, C h i n a 's rigi d e l ite t u r n ed back its o utwa rd-look
i ng pol icies a nd tu r n ed t h e cou ntry i nwa rd . H ad C h i n a 's exped iti o n s
co n ti n ued , " C h i n ese n avigato rs m i g h t we l l h ave ro u n ded Africa a nd d is
cove red E u rope befo re P r i nce H e n ry t h e N avigato r d ied . "73 And E u ro
p e a n cities m ight have fo u n d t h emselves col o n ies a nd s u p ply regi o n s of
a fa raway e m p i re .
T hose were t h e d a ngers a nd m issed opportu n ities t h at too m u c h cen
tra l izati o n b rought a bout. Seve ra l regi o n s of E u rope (Spai n , Austria,
F ra n ce ) m oved i n t h at d i re cti o n , as their capital cities grew out of all p ro
p o rti o n , beco m i n g l a rge, u n p rod u ctive centers of co n s u m pt i o n a n d
i n h i biting t h e growt h of t h e i r pote ntial u rb a n riva l s . T h ose n at i o n s w h i c h
u n ited i n t h e i r central city t h e d u a l fu n ct i o n of n ati o n a l capita l a n d m a r
itime gateway we re bett e r a b l e to mai n ta i n t h e i r a u tocata lytic dyn a m i cs.
Such wa s the case, i n t h e sixtee nt h to e ightee n t h c e n tu ries, of B ri ta i n
a n d t h e U n ited P rov i n ce s . L i ke o l d e r co res o f t h e N etwo rk (Ve n ice,
G e n o a , A n twerp) Lo n d o n and Amsterdam were m a ri t i m e cities, and co n
sta n t co n ta ct with t h e sea ( m o re t h a n a ny specifica l ly Engl i s h o r D u t c h
c u l t u ra l tra it) i n sp i red a n d s u st a i n e d t h e i r e l ites' o utward o ri e ntatio n .
A s i m i l a r effect m ight h ave been achi eved i n S pa i n a n d eve n i n C h i n a :
When i n 1421 the M i ng r u l ers of C h i na cha nged their cap ital city, leavi ng
N a n ki ng, and movi ng to Peki ng . . . the massive wo rld-eco nomy of C h i n a
swu ng rou n d fo r good, tu rn i ng its back o n a form of eco nomic activity based
on easy access to sea-borne trade. A new land l ocked metropolis was now
esta bl ished deep in the i nte rior and bega n to d raw everything towards it. . . .
52
GEOLOGICAL HISTORY 1000-1700 A.D
P h i l i p I I made an eq ually momentous decisio n i n 1 582. At the height of S pa i n 's
pol itical domi nati o n of E u rope, P h i l i p I I co n q u e red Portugal and el ected
residence, with his govern ment, in Lisbon fo r a period of almost three
years . . . . Looking over the ocean this was an ideal place from where to rule
the wo rld . . . . So to leave Lisbon i n 1 582 meant leaving a positio n fro m
which the empire's enti re eco nomy cou ld be co ntrol led, and i m priso n i ng
the m ight of Spain in lVIadrid, the landlocked heart of Casti l le - a fatefu l
mistake! The I nvi ncible Armada, after years of preparatio n , sa i l ed to its dis
aster in 1 588. 74
Although most E u ropea n a nd n o n- E u ropean e l ites we re very aware of t h e
i m po rt a n ce of s e a powe r a nd of t h e p rofits of lo ng-d ista n ce trad e , o n ly
co n stant co nta ct with t h e sea seems to h ave co n v i n ced t h e m to p a rtake
of t h e colossal b e ne fits i n h e re n t i n t h e e n e rgy tra pped in w i n d s a nd
cu rrents. T h e ocea n s a nd t h e atm o s p h ere fo rm a n o n l i n e a r dyn a m ical
system t h at co nta i n s t e n t i m e s m o re solar e n e rgy than p l a nts ca ptu re
t h rough p h otosynthesis, a nd o n ly a ti ny fract i o n of t h e pote ntial e n ergy
of p l a n t l i fe powe red m ost of civil izatio n 's past i n te n si ficati o n s . T h e e n o r
mous reservo i r of ocea n i c a n d atmosp h e ri c e n e rgy fuels a great vari ety
of se lf-o rga n ized struct u res: to rnadoes, cycl o nes , press u re b l ocks, a nd ,
more i m po rta n tly fo r h u m a n h isto ry, w i n d c i rc u its.
Some of t h ese c i rc u its, l i ke the m o nsoon wi n d , w h i c h has powered a l l
s a i l s h i ps i n Asian waters fo r ce ntu ries, gave societ i es a clock, a periodi
cal rhyt h m . T h e m o n so o n b l ows westwa rd h a l f t h e yea r a n d eastward
the ot h e r h a l f, creati ng a "seaso n a l weat h e r system t h at co u l d be com
p re h e n d ed from l a n d , " 75 a nd co u ld thus e nte r as a facto r in the decis i o n
m a k i n g p rocesses of t h e seafa r i ng tow n s i n Asi a . I n t h o s e u rba n ce nters
i n co n tact with t h e m o nsoo n , k nowledge of its dyn a m ical be h a v i o r acc u
m u lated a nd skills i n t h e a rt of ta p p i n g its e n ergy with s a i l s developed.
Sim i l a r k nowledge a nd skills evolved in t h e po rts a n d m etro pol ita n cen
ters o n t h e Med iterra n ea n . H oweve r, t h ese ski l l s we re i n adeq u ate to
master the c i rc u it t hat wo u ld c h a nge the co u rse of the m i l l e n n i u m : t h e
giga ntic " d o u b l e co n veyo r bel t" fo rmed b y t h e trade wi n d s a nd t h e west
e rl ies, t h e wi n d c i rc u it t h at brought E u ro pea n s to t h e N ew Wo rld a nd
back aga i n . H a r ness i ng t h e e ne rgy of t h is co n veyo r be lt, w h i c h a l lowed
the co nvers i o n of an e nt i re co nti n e nt i nto a rich s u p ply zo n e to f u e l
t h e growt h of E u ro pea n c i t i e s , req u i red s pecia l s k i l ls, a nd t h ese had accu
m u l ated by the fifte e n t h c e nt u ry in E u ro pe a n c ities faci n g t h e Atlantic,
particu l a rly in Lisbo n .
I n t h e expa n se o f water betwee n t h e I be ri a n p e n i n s u la a nd t h e C a n a ry
I sl a n d s , a smal l-sca l e re p l i ca of t h i s d o u bl e co nveyo r belt existed . T h e
53
I: LAVAS AND MAGMAS
t r i p fro m E u rope to t h e i s l a n d s was straightfo rward , b u t t h e ret u r n was
d i fficu lt s i n ce it was aga i n st the wi n d . The sol utio n was to n avigate away
fro m t hat wi n d - so met h i ng t h at sa i l o rs from M e d ite rra n e a n or I nd ia n
Ocea n po rts wo u ld never try - a n d look fo r a n ot h e r o n e w h i c h blew i n t h e
o pposite d i recti o n . T h i s strategy of u s i n g t w o d i ffe rent c i rc u its, o n e to go
a n d o n e to co me back , was d eveloped by the sai l o rs of Lisbo n , a n d cal l ed
volta do mar. It was l ater a d a pted by a n ative of Ge noa i n h i s effo rt to d i s
cove r a west e r n ro ute to t h e Orient:
The a lternating u se of the trade wi n d s o n the outward l eg, t he n the volta
(the cra bwise slide off to the no rthwest) to the zo n e of the westerlies, a n d
t h e n t o swoop h o m e w i t h t h e weste rlies as the fol lowi ng w i n d s . . . made
the ga m b les of Col u m bu s , d a Gama a n d Mage l l a n acts of adve ntu re not
acts of probable s u icide. I h e sa i lo rs k n ew they cou ld sa i l out o n the trades
and back on the westerl ies . . . . It is d o u btfu l if the sailors of the age of
explo rati o n thought of the volta i n a ny sort of fo rmal way. It is i m p robable
that they lear ned the tec h n i q u e as a p ri n ci p l e ; they were, afte r a l l , gro p i ng
out to the sea fo r a favora b l e wind n ot searc h i n g fo r laws of natu re. But
preva i l i ng patter n s of thought grew up to m atch t h e patte rns of p reva i l i ng
w i n d s , a n d I beria n sai lors used the volta as a tem p late with wh ich to p lot
their cou rses to Asia, to the A m e ricas a nd a ro u n d the wo rld . 76
D ay-to-day co n tact with t h e s m a l l -sca l e versio n of t h e d o u ble co n veyo r
belt ge n e rated t h e ski l l s t h at - i n com b i n at i o n wit h t h e growi ng reservoi rs
of h u m a n c a p ita l in t h ese gateway cities - a l l owed t h e mastery of t h e
Atl a ntic sea ro utes. A s t h is k n owledge s p read to ot h e r metropolises, t h e
n atio n s t h at wou l d eventu a l ly e m e rge a nd d o m i n ate t h e next f i v e h u n
d red yea rs wou ld be t h e o n es t h at i n co r po rated these o u twa rd-o rie nted
cities a n d used t h e m a s i nte r n a l moto rs. Those n a ti o n s w hose capitals
were l a n d locked became vict i ms of t h e ext reme v i scosity of land tra n s
p o rt a n d of t h e tyra n ny of d ista n ce a n d its co n seq u en t h ie r a rc h ical u rba n
p atte rns. T h e sto ry was t h e exact opposite fo r gateway cities:
Although the co n q u erors, trad ers, and settlers pla nted the flag of t h e i r sov
e reign, a l i m ited n u m ber of ports act u a l ly d i rected the expa n s i o n . [Gate
way] cities d eveloped ties to overseas settleme nts a nd to o n e a noth e r that
were stro nger t h a n t h e i r l i n ks with the territo ry at t h e i r back. As a gro u p ,
they co nstituted the c o r e of a powerful tra d i ng networ k w hose o utposts
s pa n ned the world and through which, via overseas gateways, were f u n
n e l ed the p l u n d e r a n d p rod uce of vast regi o n s .77
54
-
GEOL OGICAL HISTORY 1000-1700 A . D
Des pite the fact t hat the a n a lys is of u rb a n dyn a m ics w h i c h I have
atte m pted h e re is me rely a s ketc h , i g n o r i n g so m a ny ot h e r i m po rtant h is
torical facto rs affect i n g c ities, it n eve rt h e l ess provides ce rta i n i n s ights
i nto t h e ro l e n o n l i n e a r sci e n ce m ight p l ay i n t h e study of h u m a n h isto ry.
Fi rst a n d fo rem ost, no n l i n e a r mode l s s how t h at wit h o u t a n e n e rgy flow
of a certa i n i nte nsity, no syst e m , w h et h e r n atu ral or c u ltu r a l , can ga i n
access t o t h e s e l f-o rga n izat i o n resou rces co nstituted by e n d oge n o us ly
ge n e rated sta b l e states (attracto rs) a n d tra n siti o n s betwe e n t h ose states
(bifu rcat i o n s). Seco n d , n o n l i n e a r models i l l u st rate h ow t h e str u ct u res
ge n e rated by matte r-e n e rgy fl ows, o n ce i n p l ace, react back o n t h ose
fl ows e it h e r to i n h i bit t h e m or f u rt h e r i nt e n s i fy t h e m . We h ave seen t h at
m a ny d iffe rent types of st r u ct u res ca n p l ay t h i s catalytic rol e : t h e m i n e r
a l ized i n frastr u ct u re of c ities t h e mselves; t h e o rga n izat i o n s (ce ntra l ize d
o r decentral ized) t h at l ive wit h i n t h e m i n e ra l wa l ls ; a n d v a ri o u s ot h e r
cu ltu ral mate ri a l s t h at move i n a n d o ut of cities o r acc u m u l ate i n t h e m :
s k i l l s a n d k n owledge, m o n ey a n d cred it, i n fo r m a l ru les a n d i nstituti o n a l
n o rms. F u rt h e r m o re , wars a n d anti m a rket riva l ries betwe e n cities (a n d ,
l ater o n , n atio n-states) a lso h a d cata lytic effects o n a l l t hese fl ows . 78
I t was precisely t h ese cata lysts act i n g o n e a c h ot h e r ( i n a utocatalyt i c o r
c ross-catalytic re l at i o n s), i n t h e co ntext o f a n i nt e n s ified e n e rgy fl ow, t h at
prope l l ed E u rope a h ead of its pote nti a l rivals fo r wo rld d o m i n atio n .
To t h e extent t h at t h ese basic i n sights a re co rrect, h u m a n c u lt u re a n d
soci ety (co n s i d e red a s dyn a m ical systems) a re n o d iffe rent from t h e self
o rga n ized processes t h at i n h a bit t h e atmos p h e re a n d hyd ros p h e re (wi n d
ci rcu its, h u rrica n es), o r, fo r t h at m atte r, n o d i ffe rent fro m l avas a nd m ag
m as, w h i c h as self-asse m b l ed co n veyo r be lts d rive pl ate tecto n ics a n d
ove r m i l le n n i a h ave created a l l t h e geo logical feat u res t h at h ave i n f l u e n ced
h u m a n h i sto ry. From t h e p o i n t of v i ew of e n e rgetic a n d cata lytic flows,
h u m a n societies are v e ry m u c h l i ke l ava flows; and h u m a n - m a d e str u c
t u res ( m i n e ra l ized cities a n d i n stitutio n s) a re ve ry m u c h l i ke m o u n ta i n s
a n d rocks: accu m u l at i o n s of mate ri a l s h a rd e n e d a n d s h a ped b y h isto rical
p rocesses. (Th e re a re , of co u rse, several ways i n which we are not l i ke
l ava a n d m agm a , a nd t h ese d i ffere n ces wi l l be d iscu ssed i n t h e fol l owi ng
c h a pters.)
Mea nwh i le , this "ge ol ogical" a p p roach to h u m a n h isto ry sti l l h as some
s u rp ri ses in sto re fo r u s as we expl o re the l a st t h re e h u n d red yea rs of t h e
m i l l e n n i u m . D u ri ng t h ose ce ntu ries, t h e popu l ati o n of towns w h i c h h a d
p ro pe l l ed E u rope i nto h e r position of worldwide s u p re macy witn essed
d ramat i c c h a nges. J u st as powe rfu l i nte n s i ficati o n s of the fl ows of e n e rgy
h ad t rigge red t h e great acce l e ratio n of city b u i l d i ng betwee n t h e yea rs
1000 a n d 1300, fossil f u e l s wo u l d m a ke a new ro u nd of i nte nsified e n e rgy
55
I: LAVAS AND MAGMA S
flow poss i b l e five centu ries l ater a n d wo u l d d ra m atica l ly alter t h e co m po
sition of t h is po p u l atio n , acce l e rati ng city births o n ce m o re and givi n g
r i s e t o n ove l fo rms, s u c h as t h e facto ry town co m plete ly co ntro l led b y its
i n d u strial h ierarc h ies: a tru ly m i n era l i zed a nt i m a rket.
56
Sa n dston e a n d Gra nite
Th e co nce pts of " m es hwo r k "
a n d " h i e ra rc hy" h a ve f ig u red
so p rom i n e n tly i n o u r d iscu s
s i o n u p t o t h i s po i nt t h at i t i s
n e cessa ry t o pa u se fo r a
m om e n t a n d ref l ect o n som e
of t h e p h i l osop h i ca l q u est i o n s
t h ey ra ise . S pec i f i ca l ly, I h a ve
a pp l i ed t h ese te rm s i n s u c h
a wi d e va ri ety of co ntexts t h at
we m ay ve ry we l l a s k o u r
se l ves w h et h e r som e (o r m ost)
57
I: LAVAS AND MAGMAS
of t h e s e a p p l i ca t i o n s h a ve bee n p u re ly
m et a p h o r i ca l . T h e re is', n o d o u bt, som e
e l e m e n t of m eta p h o r i n my u s e of t h e t e r m s ,
b u t t h e re a re , I be l i eve , com m o n p h y s i c a l
p rocesses be h i n d t h e format i o n of m e s h
wo r k s a n d h i e ra rc h i es w h i c h m a ke ea c h d i f
fe re n t u s a ge of t h e t e r m s q u i te l i t e r a l . T h ese
com m o n p ro c e s s e s ca n n ot be f u l l y ca pt u red
t h ro u g h l i n g u i st i c re p res e ntat i o n s a l o n e ; we
need t o e m p l oy so m et h i n g a l o n g t h e l i n e s of
en gin eerin g diagrams to s p e c ify t h e m .
A co n c ret e exa m p l e m ay h e l p c l a r i fy t h i s
c r u c i a l po i n t . W h e n we say (a s m a rx i sts u s e d
t o say) t h a t " c l a s s st r u gg l e i s t h e mot o r o f
h i story " w e a re u s i n g t h e word " m oto r " i n a
p u re l y m eta p h o ri c a l s e n s e . H ow eve r, w h e n w e
say t h a t " a h u r r i c a n e i s a stea m m ot o r " w e
a re n o t s i m p ly m a k i n g a l i n gu i s t i c a n a l ogy;
rat h e r, we a re sayi n g t h a t h u r r i c a n e s e m body
t h e s a m e d i a g r a m u s e d by e n g i n e e rs to build
stea m m ot o rs - t h at i s , we a re say i n g t h a t a
h u r r i ca n e , l i ke a ste a m e n g i n e , c o n ta i n s a
rese rvo i r of h e at, o p e rates v i a t h e r m a l d i ffe r
e n c e s , a n d c i rc u l a tes e n e rgy a n d m at e r i a l s
t h ro u g h a (s o - ca l l e d ) Ca r n ot cyc l e . 79 (Of
co u r se , we m a y b e wro n g i n a s c r i b i n g t h i s d i a
gra m t o a h u r r i c a n e , a n d f u rt h e r e m p i r i c a l
58
SANDS TONE AND GRANITE
res e a r c h m ay revea l t h at h u r r i c a n es i n fa ct
o p e rate i n a d i ffe re nt way, a ccord i n g to a d i f
fe re n t d i a gr a m . )
I w i s h to a rg u e h e re t h a t t h e re a re a l s o
a b st ra ct m a c h i n e s ( a s D e l e u ze a n d G u atta ri
c a l l t h ese e n g i n e e r i n g d i a g r a m s) be h i n d t h e
s truc ture - gen era ting processes t h at y i e l d a s
h i sto r i ca l p rod u cts s p e c i f i c m e s hwo r k s a n d
h i e ra rc h i e s . Pa rt i c u l a r l y i n st r u ct i ve a m o n g
h i e ra rc h i c a l st r u ct u re s a re soc i a l strata
(c l a s ses , cast es) . The te rm " s oc i a l st ra t u m "
i s itse l f c l e a r l y a m eta p h o r, i n vo l v i n g t h e
i d ea t h a t , j u st a s geo l o g i ca l st rata a re l aye rs
of ro c ky m a t e r i a l s sta c ke d on top of e a c h
ot h e r, s o c l a sses a n d c a stes a re l aye rs
s o m e h i g h e r, som e l ow e r - of h u m a n m a te r i
a l s . I s i t pos s i b l e t o go beyo n d m eta p h o r
a n d s h ow t h a t t h e ge n es i s of bot h ge o l o g i c a l
a n d so c i a l st r a ta i n vo l ves t h e s a m e e n g i n e e r
i n g d i a gra m ? G e o l o g i ca l st rata a re c re a t e d
b y m e a n s of ( a t l ea st) two d i st i n ct o p e ra t i o n s .
W h e n o n e l o o k s c l o s e l y a t t h e l aye rs of roc k
i n a n ex p o s e d m o u nt a i n s i d e , o n e i s st r u c k by
t h e o b s e rvat i o n t h a t e a c h l a ye r co nta i n s fu r
t h e r l a ye rs , e a c h co m p o s e d of p e b b l e s t h a t
a re n e a rly homogen e o us w i t h re s p ect to s i ze ,
s h a p e , a n d c h e m i c a l co m p os i t i o n . S i n c e
59
I: LAVAS AND MAGMAS
pebbles do not come in standard sizes and sh apes, some kind of sorting
m echanism must be involved here, some specific device to take a multi
plicity of pebbles of heterogeneous q ualities and distribute them into
more or less uniform layers.
Geologists have discovered one such mechanism: rivers acting as veri
table hydra ulic comp uters (or, at least, sorting machines). Rivers transport
rocky materials from t h eir point of origin (an eroding mountain) to the
bottom of the ocean , where these materials accumulate. In t h e course of
t h i s process, pebbles of various size, weight, and sh ape react differently
to t h e water transporting t h em. Some are so small t h ey dissolve in the
water; some are larger and are carried in suspension; even larger stones
move by jumping back and forth from the riverbed to the streaming
water, w h ile t h e largest ones are moved by traction as t h ey roll along the
bottom toward t h e!r destination. T h e ,i ntensity of t h e river flow (i.e. , its
speed and other intensities, such as temperature or clay saturation) also
determines the outcome, since a large pebble t hat could only be rolled by
a moderate current may be transported in suspension by a powerful eddy.
(Since t h ere is feedback between pebble properties and flow properties,
as well as between the river and its bed, the "sorting computer" is clearly
a h ig h ly nonlinear dynamical system.)80
Once t h e raw materials have been sorted out into more or less homo
geneous groupings deposited at the bottom of t h e sea (that is, once t h ey
h ave become sedimented), a second operation is necessary to transform
these loose collections of pebbles into a larger-scale entity: sedimentary
rock. T h is operation consists in cementing the sorted components together
into a new entity with emergent properties of its own, that is, properties
such as overall strength and permeability which cannot be ascribed to the
sum of the individual pebbles. T h is second operation is carried out by
certain substances dissolved in water (such as silica or hematite, in t h e
case o f sandstones) w h ic h penetrate the sediment through the pores
between pebbles. As t h is percolating solution crystallizes, it consolidates
the pebbles' temporary spatial relations into a more or less permanent
"arch itectonic" structure .B1
Thus, a double operation, a "double articulation" transforms st ructures
on one scale into structures on anot her scale. I n t h e model proposed by
Deleuze and Guattari, these two operations constitute an engineering dia
gram and so we can expect to find isomorp h i c processes (that is, t h is
same "abstract machine of stratification") not only in t h e world of geology
but in t h e organic and huma n worlds as wel1.82 For example, according to
neo-Darwinians, species form through the slow accumulation of genetic
materials and t h e adaptive anatomical and be havioral traits t h at those
60
SANDSTONE AND GRANITE
genetic materials yield when combined with nonlinear dynamical processes
(such as the interaction of cells du ring the development of an embryo).
Genes, of course, do not merely deposit at random b u t are sorted o u t by
a variety of selection press ures, including climate, the action of predators
and parasites, and the effects of male or female choice d uring mating.
Thus, in a very real sense, genetic materials "sediment" j ust as pebbles
do, even if the nonlinear dynamical system that performs the sorting
operation is completely di fferent in detail. Fu rthermore, these loose col
lecti ons of genes can (like accumu lated sand) be lost under drastically
changed conditions (su ch as the onset of an ice age) u nless they consoli
date. This second operation is performed by "reproductive isolation" :
when a given su bset of a population becomes mechanically or genetically
incapable of mating with the rest. Reproductive isolation acts as a "ratchet
mechanism" that conserves the accumulated adaptation and makes i t
impossible for a given population t o "de-evolve" all t h e way back t o uni
cellular organisms. Through selective accumulation and isolative consoli
dation, individual animals and plants come to form a larger-scale entity :
a new species.83
We also find these two operations (and hence, this abstract diagram)
in the formation of social classes. We talk of "social strata" whenever a
given society presents a variety of differentiated roles to which individuals
are denied eq u al access, and when a su bset of those roles (to which a
ruling elite alone has access) involves the control of key energy and mate
rial resources. While role differentiation may be a spontaneous effect of
an intensification in the flow of energy through society (e.g. , when a Big
Man in prestate societies acts as an intensifier of agric ult u ral produc
tion84), the sorting of those roles into ranks on a scale of prestige involves
specific group dynamics. I n one model, for instance, members of a grou p
who have acq u ired preferential access t o some roles begin t o acq u ire the
power to control fu rther access to them, and within these domi nant groups
criteria for sorting the rest of society into s u bgroups begin to crystallize.85
Even though most cult u res develop some rankings of this type, not in
all soci eties do these rankings become an auto n o m o us dimension of social
organization. In many societies differentiation of the elites is not extensive
(they do not form a center while the rest of the population forms an ex
clu ded periphery), s u rpluses do not accumulate (they may, for instance,
be destroyed in ritual feasts), and primordial relations (of kin and local
alliances) tend to preva il. Hence, for social classes or castes to become a
separate entity, a second operation is necessary beyond the mere sorting
of people into ranks: the informal sorting criteria need to be given a theo
logical interpretation and a legal definition, and the elites need to become
61
I: LAVAS AND MAGMAS
t h e g u a rd i a n s a n d bearers of the n ewly i nstituti o n a l i zed traditi o n , that is,
t h e l egiti m i ze rs of c h a nge and d e l i n e ators of the l i m its of i n n ovati o n . I n
s h o rt, to tra n sfo r m a loose r a n ked accu m u l atio n of traditio n a l roles (and
criteria of access to t hose rol e s) i n to a soc i a l c l a ss, t h e l atte r needs to
become co n so l i d ated via t h eo logical and l egal cod i ficati o n . 86
No d o u bt, t h i s c h a racte rization of t h e p ro cess t h ro ugh w h i c h soc i a l strata
e m e rge is somewhat s i m p l i fi e d ; eve n geo logical strata a re m ore com p l i
cated t h a n t h i s. (For exa m ple, they grow n ot o n ly t h ro u g h se d i m e n tatio n
but a l so t h ro u g h accretio n a n d e n croachme nt. Species a n d soc i a l c l asses
m ay also i n volve t h ese m ec h a n isms.) But I wi l l reta i n h e re the s i m pl ified
d i agram fo r its h e u ristic val u e : sed i m e ntary rocks, s pecies, and soci a l
classes (a n d o t h e r i n stitu ti o n a l ized h i e ra rc h ies) a re a l l h isto rical co n struc
t i o n s , t h e p rod u ct of d efi n ite structu re-ge n e rat i n g p rocesses that take as
t h e i r sta rt i n g po i n t a hete rog� ne o u s co l l ect i o n of raw mate r i a l s (pebbles,
ge nes, rol es), h o moge n i ze t hem t h ro ugh a so rti ng operatio n , a n d t h e n
co n s o l i d ate the res u l t i n g u n i fo rm gro u pi ngs i nto a m o re perma n e nt state .
T h e h i e ra rc h ies to w h i c h I h ave refe rred t h ro u g h o u t t h i s c h a pter a re a
special case of a m o re ge n e ra l cl ass of struct u res, stratified syste ms, to
w h i c h n ot o n ly h u m a n b u rea u cracies a n d biological species belo ng, but
a l so sed i m e ntary rocks. (And all t h i s without metaphor.)
W h at about m e s h wo rks? D e l e uze and G u atta ri offe r a hypoth etical
d i agra m fo r this type of str u ct u re, too , but its e l e m e nts a re n ot as stra ight
forward as t h ose i nvolved i n t h e formati o n of strata. Pe r h a ps t h e most
stu d i e d typ e of m e s hwork is t h e " a u tocatalytic l o o p , " a cl osed c h a i n of
c h e m ical p rocesses, which m u st be d i sti ngu i s h e d fro m the s i m ple self
sti m u l ati ng dyn am ics to w h i c h I refe rred m a ny t i mes i n my d escri pti o n of
t u r b u l e n t u rb a n growth . U n l i ke si m p l e autocata lysis, a closed loop d i s p l ays
n ot o n ly s e l f-sti m u lati o n b u t a l so sel f-m a i n te n a n ce ; t h at is, it l i n ks a se ries
of m u t u a l ly sti m u l ati ng p a i rs i nto a stru ctu re t h at rep rod u ces as a w h o l e .
T h e p hysical basis for e i t h e r s i m p l e o r com pl e x se l f-sti m u l at i o n a re cat
a lysts, t hat is, c h e m i ca l s u bsta nces capable of " recognizi ng" a m o re o r
less s pecific mate r i a l a n d a lte r i n g t hat m ate r i a l 's m o l e c u l a r state so t h at
it n ow reacts with ce rta i n s U bstances with w h i c h it wou ld n ot n o rm a l ly
react. T h i s act of recog n i ti o n is n ot, of co u rse, a cogn i ti ve act b u t o ne
effected t h ro ug h a l oc k-a n d- key m e c h a n i s m : a po rtio n of t h e cata lytic
m o l e c u l e fits o r m e s hes with a po rt i o n of the ta rget m o l ec u l e , c h a n gi n g
its i nte r n a l struct u re so t h at it beco mes m o re o r less receptive t o yet
a n ot h e r s u bsta nce. I n t h i s way, the cata lyst provokes a meetin g of two
s ubstances, fac i l itati n g (o r i n h i biti ng) t h e i r reactio n a n d , t h e refo re, t h e
accu m u l atio n (o r decu m u l ati o n ) of t h e p ro d u cts of t h at reactio n . U nd e r
speci a l co n d iti o n s , a s e t of t hese p ro cesses m ay form a c l osed l o o p ,
62
SANDSTONE AND GRANITE
w h e re the p rod u ct t h at a cc u m u l ates d u e to the acce l e ratio n of o n e reac
tion serves as t h e catalyst fo r yet a n oth e r reacti o n , w h i c h i n t u r n ge n e r
ates a p rod u ct t h at cata lyzes t h e fi rst o n e . H e nce, the loop beco m e s
self-s u sta i n i ng fo r as l o n g as its e n v i ro n m e n t co nta i n s e n o u g h r a w m ate
rials fo r t h e c h e m ical reactio n s to p roceed .
H u m be rto lV1 at u ra n a a n d Fran cisco Va rel a , p i o n eers i n t h e st udy of
a u tocata lytic loops, d i sti ngu i s h two ge n e ra l c h a racte ristics of t h ese
cl osed c i rc u its: t hey a re dyn a m ical system s t hat e n doge n o u s ly ge n e rate
t h e i r own stable states (ca l led " attracto rs" or "eige n states" ), a nd t h ey
grow a n d evo lve by drift.87 T h e fi rst c h a racteristic m ay be o bserved i n
certa i n c h e m ical reactio n s i n vo l v i n g a u tocatalys i s (as we l l a s c ross-cata
lysis) w h i c h fu n ction as ve rita ble "chem ical clocks," t h at is, the accu
m u l ati o n s of m aterials from t h e reacti o n s a lte rn ate at perfectly regular
intervals. I f we i m agi n e each of t h e two s u bsta n ces i n volved as hav i n g
a defi n ite col o r (say, r e d a nd bl u e ) , t h e i r co m bi n ation wo u l d n ot res u lt
i n a p u rple l i q u i d (as we wou ld expect from m i l l io n s of m o l ec u l es com
bi n i ng at r a n d o m) b ut in a rhyt h m ic reaction with states in which mostly
blue m o l ec u les accu m u l ate fol l owed by states in which m ostly red m o l e
c u les a re p rod uced. T h i s rhyt h m i c b e h avio r is n ot i m posed o n t h e sys
tem from the o u ts i d e but ge n e rated spo nta n e o u sly from wit h i n (vi a a n
attractor). 88
The seco n d c h a racteristic m e ntio n ed by M at u r a n a a n d Va rel a , growt h
by d ri ft, m ay be expl a i n ed as fol l ows: i n t h e s i m p l est a u tocata lytic loops
t h e re a re o n ly two reacti o n s , each p rod u ci ng a catalyst fo r t h e oth e r.
B u t o n ce t h i s basic two-n od e n etwo rk establ i s h es itself, n ew nodes m ay
i nsert t h e mselves i n to t h e mesh as l o n g as t h ey do n ot jeopard ize its
i nte r n a l co n siste n cy. T h us, a new c h e m ical rea cti o n m ay a p pear ( u s i ng
previou sly n egl ected raw m ate r i a l s o r eve n waste p rod u cts from t h e o rigi
nal l oo p) t h at cata lyzes o n e of the o rigi n a l rea ct i o n s a nd i s cata lyzed by
the ot h e r, so that the loop n ow beco mes a t h re e- n od e n etwo rk. T h e
meshwork has n ow grow n , but i n a d i recti o n t h a t is, fo r a l l p ractica l p u r
poses, " u n p l a n n ed . " A new node (wh i c h j u st h a ppens to satisfy some
i nte r n a l co n s i ste n cy req u i re m e n ts) i s added a nd t h e loop co m p l exifies,
yet precisely beca use t h e o n ly c o n stra i n ts w e re i ntern a l , t h e c o m p l exifi ca
tion does n ot take place in order for the loop as a w h o l e to m eet so m e
exte r n a l d e m a n d (su c h a s adapti ng to a s pecific situ ati o n ). T h e s u rro u n d
i n g e nv i ro n m e n t, as sou rce of raw m ate r i a l s , certa i n ly co n stra i n s t h e
growth of t h e mes hwo rk, but m o re i n a p roscri ptive w a y (wh at n ot to d o)
t h a n i n a p rescr i ptive o n e (w hat to d o). 89
The q u esti o n n ow is w h et h e r we ca n d e rive from e m p i rical stu d ie s of
m es hwork be h av i o r a struct u re-ge n e rati n g p ro cess t h at is a bstract
63
I: LAVAS AND MAGMAS
e n o u g h to o pe rate i n t h e wo rlds of geology, biology, a nd h u m a n society.
I n t h e model proposed by De l e uze a n d G u atta ri, t h e re a re t h ree e l e
me nts i n t h i s d i ag ra m . F i rst, a set of heteroge n e o u s e l e m e nts is b rought
toget h e r v i a a n articulation of s uperpositions, t h at i s , a n i nte rco n n ectio n of
d iverse b u t ove r l a p p i ng e l e me n ts. ( I n the case of a utocatalytic l oops, t h e
nodes i n t h e c i r c u it a re joi ned t o each other b y t h e i r functional comple
m en tarities. ) Seco n d , a spec i a l class of o pe rato rs, or intercalary elements,
is needed to effect these i nterco n necti o n s . ( I n o u r case, t h i s i s the role
p l ayed by catalysts, w h i c h i n sert t hemselves betwee n two oth e r c h e m i ca l
su bsta nces t o faci l itate t h e i r i n te racti o n . ) F i n a l ly, t h e i nter locked h ete ro
ge n e ities m u st be ca p a b l e of e ndoge n o u sly ge n e rati ng sta b l e patte r n s of
be havio r (fo r exa m p l e , patte r n s at reg u l a r tem po ra l or spat i a l i ntervals).90
I s it possi b l e to fi n d i nsta n ces of t h ese th ree e l e m e nts i n geologica l , bio
logica l , a n d soc i a l str u ct u res?
I g n eo u s rocks (su c h as gran ite) a re fo rmed in a p rocess rad i ca l ly d i f
fe re nt fro m sed i m e n tatio n . G ra n ite fo rms d i rectly o u t of cool i ng magma,
a visco u s fl u i d co m posed o f a d ive rsity o f molte n mate r i a l s . Each of these
l i q u i d com p o n e nts h as a d iffere nt t h res h o l d of c rysta l l i zati o n ; that is,
each u n d e rgoe s t h e bifu rcatio n toward i ts sol i d state at a d iffe rent critical
poi nt in te m pe rat u re . As t h e magma coo l s dow n , its d iffe rent e l e m e nts
separate a s t hey c rysta l l ize in seq u e nce, and t hose t h at sol i d i fy earl i e r
serve as c o n ta i n e rs fo r t hose t h at a cq u i re a crystal fo rm l ater. T h e res u lt
is a co m p l ex set of h eterogen eo u s crystals that interlock with o n e a n ot h e r,
a n d t h i s is what gives gra n ite its su perio r stre n gt h . 91
T h e seco n d e l e m e n t i n t h e d i agra m , i nterca l a ry o pe rato rs, i n cl u des,
in a d d i t i o n to cata lytic su bstan ces, a nyth i n g t h at bri ngs a bo u t l ocal a rtic
u latio n s from wit h i n - " d e n sifi cati o n s , i nte nsificati o n s , re i n fo rceme nts,
i njecti o n s , s howe ri ngs, l i ke so m a ny i n te rcalary events."92 The react i o n s
betwe e n l i q u id magma a n d t h e wa l l s of a n a l ready crysta l l ized com po
n e nt, n u c leatio n eve n ts wit h i n the l iq u id w h i c h i n itiate the n ext c rysta l l iza
tio n , a n d eve n certa i n "defects" i n side the crysta l s (ca l l ed " d i s l ocatio ns")
w h i c h prom ote growth from wit h i n , are all exa m p l es of i ntercalary e l e
me nts. F i n a l ly, some c h e m ica l reactio n s wit h i n t h e magma may a l so ge n
e rate e n d oge n o u s sta b l e states. W h e n a reaction l i ke t h e o ne i n vo lved i n
c h e m ical clocks i s n o t sti rre d , t h e tem po ra l i nte rvals ge n e rated beco me
spati al i nterva l s, form i ng beautiful s p i ra l a n d co ncentri c-ci rcl e patte r n s
t h at ca n be o bse rved i n froze n f o r m i n some ign e o u s rocks.93
T h u s, gra n ite (as m u c h as a f u l ly formed a utocatalytic l o o p) is a n
i n sta n ce o f a meshwork, o r, i n t h e terms u se d b y D e l e u ze a n d G u attari, a
self-consistent aggregate. U n l i ke M atu ra n a a n d Va rel a , w h o hold that t h e
q u a l ity of self-co n si stency exi sts o n ly i n t h e biological a n d l i nguistic worlds,
64
SANDSTONE AND GRANITE
Dele uze a n d G u atta ri a rg u e t h a t "co ns iste n cy, fa r fro m bei ng restri cted
to com p l ex l i fe fo rms, f u l ly p e rta i ns eve n to the most e l e m e nta ry ato ms
and particl es. "94 T h e refore we m ay say that m uc h as h i e ra rc h i es (o rga n i c
o r socia l ) a re s peci a l cases o f a m o re a bstract c lass, strata , so a u tocat
a lyti c l oops a re s peci a l cases o f se l f-co n s i ste nt aggregates. And m u c h as
strata a re defi ned as an a rti c u lati o n of h o m oge n eo u s e l e m e nts, w h i c h
n e i t h e r excl u d e s n o r req u i res t h e specific featu res of h i erarchies (s u c h as
h avi ng a chain o f co m m a n d ) , so self-co n siste nt aggregates a re d e fi ned
by t h e i r a rticu l ation o f hete roge n e o u s e l eme nts, which n e i t h e r excl u d e s
n o r req u i res t h e specific featu res of a utocata lytic l o o p s (su c h as growt h
b y d rift o r i n te r n a l a u to n o my). Let's n ow give so m e biological a n d cu l
t u ra l exa m ples o f the way in w h i c h the d ive rse may be a rti c u l ated as s u c h
v i a self-co n siste n cy.
A speci es (or m o re p recise ly, t h e ge n e pool of a species) i s a p r i m e
exa m p l e of a n o rga n ic stratified str u ctu re. S i m i l a rly, a n ecosystem re p re
se nts t h e biological rea l izat i o n of a self-co n siste nt aggregate. W h i l e a
species m ay be a very h o m oge n e o u s stru ctu re (especia l ly if s e lectio n
pressu res h ave d ri ve n m a ny ge nes t o fixat i o n ) , a n ecosystem l i n ks
toget h e r a wide vari ety of h ete roge n e o u s e l e m e nts (a n i ma l s a n d p l a n ts
of d ifferent s peci es), w h i c h a re a rticu l ated t h ro u g h i nte rlock, t h at is, by
t h e i r fu n cti o n a l co m p l e m e ntarities. Given t hat t h e m a i n featu re of a n
ecosystem is t h e c i rc u l atio n of e n e rgy a n d m atte r i n t h e fo rm o f foo d ,
t h e com pl e m e nta rities i n q u estio n a re a l i m e nta ry: p rey-pred ato r o r p a ra
site- host a re two of the m ost co m m o n fu n ct i o n a l co u pl i ngs in food webs.
Symbiotic relations can a ct as i nte rca l a ry e l eme nts, a i d i n g the p rocess of
b u i l d i ng food webs (an o bvio u s exa m p l e : the bacte ri a t h at l ive in t h e
g u t s of m a ny a n i m a l s , w h i c h a l l ows t hose a n i m a ls to d i gest t h e i r food ).95
S i n ce food webs a lso p rod u ce e n doge no u s ly ge n e rated sta b l e states,
a l l t h ree co m p o n e nts of the a bstract d iagram wou ld seem to be rea l ized
in t h is exa m p l e . 96
We h ave a l ready o bse rved several exa m ples of c u l t u r a l mes hworks
which also fit our descri pti o n o f se l f-co nsistent aggregates. T h e s i m p l est
case is that of s m a l l -town m a rkets . I n m a ny c u ltu res, wee k ly m a rkets
h ave been the traditi o n al meeti n g p la ce fo r peo ple with h ete roge n eo u s
needs. M atc h i n g, o r i nte rlocki n g, peo p l e wit h co m pl e m e ntary needs a nd
d e m a n d s is a n o perat i o n t h at is perfo rmed a utomatica l ly by t h e price
mecha n is m . (P rices tra n s m i t i n fo rmati o n a bo u t t h e re l ative m o n etary
va l u e of d iffe re n t p rod u cts a n d create i n centives to buy a n d se l l . ) As
H e rbert S i m o n o bserves, t h is i nter l ocki n g of p rod u cers and co n s u m e rs
co u l d i n pri n c i p l e be pe rfo rm ed by a h i e ra rc hy, b u t m a rkets "avoid
placing on a central p l a n n i ng m e c h a n ism a b u rd e n of calcu l ation t hat
65
I: LAVAS AND MAGMAS
s u c h a m ec h a n i s m , howeve r we l l b u ttressed by t h e l a rgest co m p ute rs,
co u l d not s u sta i n . [ M a rkets] co nse rve i n fo rmatio n a n d calc u l ation by
m a k i n g it poss i b le to assign d ecisio n s to the acto rs who a re most l i kely
to possess t h e i n fo rmati o n (most of it local in o rigin) t h a t is re levant to
those decis i o n s . "97
Of co u rse, fo r t h i s m e c h a n ism to wor k p rices m u st set themselves, a n d
t h e refo re w e m u st i m agi n e t h at t h e re is n ot a w h o lesa l e r i n town w h o ca n
m a n i p u l ate p rices by d u m p i ng l a rge amou nts of a given p rod uct i nto the
m a rket (o r by hoard i ng). I n t h e a bsence of p rice m a n i p u l atio n , mo ney
(even p ri m itive fo rms of m o n ey, s u c h as salt, s h el l s , o r ciga rettes) fu nct i o n s
as a n i nterca l a ry e l e m e nt : w i t h p u re barter, the poss i b i l ity o f two exactly
m atc h i n g d e m a n d s me eti ng by c h a n ce is very low; with m o n ey, those
cha nce e n cou nters beco m e u n necessary and co m p lementa ry d e m a n d s may
fi n d e a c h o t h e r at a d istance , so to speak. Ot h e r i nte rca l a ry e l e m e nts
are also n eeded to m a ke m a rkets wo rk. As we h ave re peated ly noted , not
j u st material a n d e n e rgetic reso u rces c h a nge h a n d s in a m a rket, prope rty
rig hts (t he legal rights to use th ose reso u rces) do too. H e n ce we typica l ly
do not have to model s i m p l e exc ha nges but m o re co m plex tra nsactio ns
t h at i nvo l ve a host o f o t h e r costs, s u c h a s those i n vo lved in e nfo rci ng
agreeme nts. I f t h ese tran saction costs a re too h ig h , t h e ga i n s from tra d e
m ay eva po rate. I n s m a l l-town ma rkets, i n fo r m a l co nstrai nts (such as code s
o f b e h a v i o r e n fo rced t h ro u g h pee r p ressu re i n de nse social netwo rks)
are also n eeded to red uce tra nsact i o n costs and a l l ow the i nterloc k i n g of
co m p l e m e nta ry d e m a n d s to take p lace.98 F i n a l ly, m a rkets a l so seem to
ge n e rate e n doge n o u s sta ble states, p articu l a rly w h e n com m e rcial towns
fo rm trad i ng ci rcu its, a s ca n be seen in the cyclical be havio r of their p rices,
and this p rovides u s with t h e t h i rd ele ment of the d i agra m .
T h u s , m uch as sed i m e nta ry roc ks, biologica l s pecies, a n d social h i e r
a rc h i es a re a l l strati fied system s (that is, t h ey a re each t h e h i sto rical
p rod uct of a p rocess o f d o u b l e a rticu l ation), s o igneous rocks, ecosys
te m s , a n d ma rkets a re self-co n s iste nt aggregates, t h e res u lt of t h e com
i n g toget h e r a n d i nterloc k i n g of hete roge n e o u s e l e m e n ts . And just as t h e
d i agram defi n i ng t h e " stratifying a bst ract m a c h i ne" may t u rn out t o
req u i re m o re co m p l exity t h a n o u r b a s i c d iagram of a d o u b l e a rticu l at i o n ,
s o w e m ay o n e d ay d i scov e r (em p i rically o r th ro u g h theo rizi n g a n d com
puter s i m u l at i o n s) t h at the d i agra m fo r the mes hwork-pro d u c i n g p rocess
i n vol ves m o re t h a n the t h ree e l e m e nts o u t l i ned a bove. Mo reov e r, i n
rea l i ty w e w i l l always fi n d m ix t u res o f ma rkets a n d h i e ra rc h ies, o f strata
and self-co n s i ste nt aggregates . As S i m o n says, it m ay seem p r i m a facie
co rrect to say t h at
66
SANDSTONE AND GRANITE
whereas ma rkets figu re most p rominently i n coo rd i nating eco n omic activi
ties i n cap ital ist cou ntries, h i erarchic orga n izati ons play the largest ro le in
social ist cou ntries. B ut that is too simple a fo rmula to describe the real ities
which always exhi bit a blend of a l l the mechan isms of coo rd i nati o n . The
eco nomic u n its in ca pital ist societies are mostly busi n ess firms, which a re
themselves hierarc h i c orga n izations, some of e n o rmous size, that make
o n ly a modest u se of ma rkets i n thei r i nte rnal fu n ctio n i ng. Co nversely
social ist states use ma rket p rices to a growing extent to s u p plement h i e rar
chic co ntrol in ach ieving i nter-industry coo rdi nati o n . 99
T h e re is o n e fi n a l aspect of m e s h w ork dyn a m i cs I m u st exa m i n e be
fo re retu rning to our explo rati o n of t h e "geologica l" h i sto r y of h u m a n
societi es. We m ay wo n d e r why, give n t h e u b i q u ity o f s e l f-co ns istent aggre
gates, it seems so h a rd to th i n k a bout t h e str u ctu res that po p u l ate t h e
wo rld i n a ny b u t h i erarchical terms . One poss i b l e an swe r i s that stratified
st ructu res i n volve the s i m p le st fo rm of causal rela tions, s i m p l e a r rows
go i n g fro m cause to effect . lOo Acco rd i ng to M ago ro h M a ruya n a, a pio n e e r
i n the stu d y of feed bac k , Weste r n t h o u g ht h a s been d o m i n ated by noti o n s
o f l i near ( n o n reci p rocal) ca u s a l ity fo r twe nty-five h u n d red years. I t was
not u n til Wo rld Wa r I I t h at the wo rk of N o r m a n Wi e n e r (and e ng i n e e rs
i nvo lved in deve l o p i ng rad a r systems) gave rise to t h e study of n egative
feedback and with it the begi n n i n g of n o n l i n ear t h i n k i ng.
The classic exa m p l e of negative feed back is the t h ermostat. A t h e rmo
stat co n s i sts of at l e ast two e l e m e nts: a s e n s o r, w h i c h d etects c h anges
in a m b i e n t tem pe ratu re, a n d , an effector, a d evice ca p a b l e of c h a nging
t h e a m b i e nt temperatu re . T h e two e l e m e nts a re co u p le d in s u ch a way
t h at w h e never the se n sor detects a c h ange beyo n d a cert a i n th re s h o l d it
ca uses the effecto r to mod ify t h e s u rro u n d i ng tem pe ratu re in the o p po
site d i recti o n . T h e c a u se-a nd-effect re lati o n , howeve r, is not l i n e a r (from
se nsor to effector) s i nce the moment the effecto r ca uses a c h a nge i n the
su rro u n d i ng t e m p e ratu re i t t h ereby affects the s u bs eq u e n t b e h avio r of
the s e n s o r. I n s h o rt, the causal rel atio n does not fo rm a straight a rrow b u t
fol d s b a c k o n its e l f, fo r m i n g a cl osed l o o p . T h e overa l l res u lt o f t h i s ci rc u
l a r ca u s a l ity is t h at a m b i e n t t e m p e rat u re is m a i nta i n e d a t a give n l e ve l .
M a ruya n a o p poses n egative feed back with " positive feed back" (a fo rm
of n o n l i n e a r c a u s a l ity t h at we have al ready e ncou ntered i n t h e fo rm
of autocata lysis). W h i le the fi rst typ e of reci p rocal c a u s a l ity was i ncorpo
rated i nto Weste r n tho u g ht in t h e 1950s, t h e seco nd type h ad to wait
a n ot h e r d ecade fo r resea rch e rs l i ke Sta n is l av U l a m , H e i n z Vo n Foe rster,
a n d M a ruya n a h i mself to fo r m a l ize a n d d evelop t h e co n ce pt. lOI The t u r
b u l e n t dynam ics b e h i nd an explosion a re t h e c l e a rest exa m p l e of a sys-
67
I: LAVAS AND MAGMAS
tem gove r n e d by positive feed back. I n t h i s case t h e ca u s a l l o o p is estab
l i s h e d between the explosive s u bstance and its tem p e rat u re . The velocity
o f an explo s i o n is ofte n d eterm i n ed by the i n ten sity of its tem p e rat u re
(t he hotter t h e faste r), b u t beca use t h e explosio n itself ge ne rates he at,
the process is s e l f-accel e rati ng. U n l i ke the thermostat, w h e re the arra nge
m e nt h e l ps to k e e p te m pe ratu re u n d e r co ntro l , h e re positive feed back
fo rces tem p e rat u re to go o ut o f co ntro l . Perh a ps beca u se positive fe ed
back is s e e n as a d e stab i l iz i n g fo rce m a ny observers have t e n d ed to
u n d e rva l u e it re l at ive to negative fee d b ac k . ( I n the so-ca l l e d G a i a hypoth
esis, fo r i n stance, w h e re sta bi l izing negative feed back is postu l ated to
exist between l i ving creat u res a n d t h eir en v i ro n me nt, positive feed back is
so m et i m e s refe rred to pejo ratively a s " a nti-G a i a n . " )102
M a ruya n a sees t h e q u est i o n in d ifferent te r m s . Fo r h i m t h e pri ncipal
c h a racte r i stic o f negative feed back i s its h o moge n i z i n g e ffect: a ny d evia
tion fro m the tem p e rat u re t h re s h o l d at which the t h ermostat i s set is
e l i m i n ated by the loop. N egative fee d back is " d evi atio n-co u nte racti ng."
Positive feed back, o n t h e ot h e r h a n d , t e n d s to i n crease h ete rogene ity by
b e i n g " d eviatio n -a m p l ifyi ng" : two explosi o n s set off u n d e r s l ightly d iffer
ent co n d it i o n s wi l l arrive at very d iffe re nt end states, as the s m a l l o rigi n a l
d iffe re n ces a re a m p l i fied by t h e l o o p i nto l a rge d iscre p a n cies.103 We have
a l ready o b s e rved the m a ny ro l e s t h at positive feed back has p l ayed in t h e
t u r b u l e nt h i story of Western town s . H owever, it i s i m p o rtant t o d istingu i s h
between s i m p l e a u tocatalyt i c dyn a m ics a n d co m pl e x a u tocatalytic loops,
which i n volve n ot o n ly self-stim u l ati o n but self- m a i nte n ance (t hat is, posi
tive feed b a c k a n d closu re).
Anot h er way of stating t h i s d istin ct i o n i s to say t h at the i n crease i n
d iversity t h at m ut u a l ly sti m u l at i n g loops bri ng a bo ut w i l l b e s h o rt- l ived u n
l e ss t h e h ete roge n e o u s e l e m e nts a re i nte rwoven toget h e r, t h at i s , u n less
t h ey co m e to fo rm a mes hwo rk . A s l\Il aruya n a write s, " T h e re a re two ways
t h at hete roge ne ity m ay p roceed : t h rough localization a n d t h rough inter
weaving. I n loca l ization t h e h ete roge n e ity betwee n l ocal ities i n creases, w h i l e
e a c h loca lity m ay rem a i n o r become homoge n o u s. I n i nterweavi ng, h et
erogen e ity in each local ity i n creases, w h i l e t h e d iffe re n ce between local ities
d ecreases . " 104 I n oth e r wo rds, the d a nge r with positive feed back i s t h at
t h e m e re prod u cti o n of h ete rogeneity m ay resu lt in isolat i o n i s m (a h i gh
d iversity o f sm a l l c l i q u es , each i nter n a l ly hom oge n eo u s). H e n ce t h e need
fo r i nt e rcalary e l e m e nts to aid i n art icu l at i ng this d iv e rsity wit h o u t h o m og
e n izatio n (wh at M a ruya n a ca l l s "sym biotizat i o n of c u ltu ral heterogen eity").
N egative feed back, as a system of control a n d red u ction of deviati o n ,
m ay be a p pl i ed t o h u ma n h i erarc h i es . Deci sion m a k i n g i n stratified soci a l
struct u res d o e s n ot a l ways p roceed via go a l-d i rected a n a lyti c p l a n n i ng b u t
68
SANDSTONE AND GRANITE
often inco r po rates a utom atic m e c h a nis m s of co ntrol simil a r to a th ermo
stat (o r a n y other d evice ca p a b l e of ge ne rating h o m eostasis). 105 On t h e
other h a n d , social m e s hwo rks ( s u c h a s t h e sym biotic nets o f prod u cers
w h o m J aco bs d escribes a s e ngaged in vol ati l e trade) m ay be m o d e l e d on
positive-feed back loops as long as our model a l so incorpo rates a m e a n s
fo r t h e resu lting hete roge n eity to be inte rwove n . Mo reover, s pecific in sti
tutio n s wi l l likely be mixtu res of bot h types of reciprocal ca u s ality, a n d t h e
mixtu res wil l c h a nge over t i m e , al lowing n egative o r positive feed back to
d o m i n ate at a given m o ment. 106 T h e q u estio n of m ixt u res s h o u l d be a l so
kept in mind w h e n we j u dge t h e rel ative ethical value of t h ese two types of
structu re . If t his boo k dis plays a clear bias again st l a rge, ce ntralized hier
archies, it is o n ly beca use t h e last t h ree h u n d red yea rs h ave wit nessed
a n excessiv e accu m u l atio n of stratified systems at t h e expe n se of m es h
wo rks. T h e degree of ho moge n eity in t h e wo rld has greatly i n crease d , w hi l e
heteroge n eity h as co me t o be s e e n as al most patho logic a l , o r a t least as
a p ro b l e m t h at m u st be eliminated . U nd e r the circu m sta n ces, a cal l fo r
a m o re d ecentra lized way of o rga n izing h u ma n soci eties s e e m s to reco m
m e nd itself.
However, it is c r u cia l to avoid t h e faci l e concl u sio n t h at mes hwo rks
are in trinsica lly better than hie rarchies (in so m e tra n s ce n d e ntal s e n se).
I t is true t h at so m e of the c h a racte ristics of me shwo rks (partic u l a rly t h eir
res i l i e n ce and a d a pt a b i lity) m a ke them d esi rable, b u t t h at is eq u a l ly true
of ce rtai n c h a racte ristics of hie rarc hies (fo r exam p l e , t h ei r goa l-d i rected
n ess). T h e refo re, i t is c r u cial to a v o i d t h e te m ptatio n of coo king u p a
n a rrative of h u m a n histo ry in which m es hwo rks a ppear as h e roes a n d
hie rarc hies as vil l ain s . Not o n ly d o m e s hwo rks have dyn a mica l p ro perties
t h at d o n ot necessa rily b e n efit h u m a nity (fo r exa m p l e , t h ey grow a n d
deve l o p b y d rift, a n d t h at d rift n e e d n ot fol low a d i rectio n con siste n t with
a society's v a l u es), b u t t h ey m ay co ntain h eteroge n e o u s co m po n e nts
t h at a re t h e m se lves in co n sistent with a society's val u es (fo r exa m p l e , ce r
tai n m e s hwo rks of hie rarchies). Assu ming that h u ma n ity co u l d o n e d ay
agree on a set of v a l u es ( o r rat h e r on a way of m e s hing a h eteroge n e o u s
co l lectio n of pa rti a l ly dive rge nt v a l u es), fu rt h e r et hical j udgme nts co u l d
b e m a d e a bout specific m ixtu res o f ce ntra lized a n d d ece ntra lized co m po
n e nts in s pecific co n texts , but n ever a bo u t t h e two p u re cases in iso l atio n .
T h e co m bin ato ria l possibilities - t h e n u m be r o f possible hybrids of
meshwo rks and hierarc hies - a re im m e n se (in a precise tech nical se nse), 10 7
a n d so a n experimental and empirical attit u d e toward t h e pro b l e m wo u l d
seem to b e called fo r. I t i s s u re ly im possi b l e to d eter m i n e purely theoreti
cally t h e re l ative m e rits of th ese d iverse co m bin atio n s . Rather, in o u r
search fo r via b l e hybrid s w e m u st l oo k fo r ins piration i n as m a ny do m ains
69
I: LAVAS AND MAGMAS
as poss i b l e . H e re, we have looked to a rea l m t h at wo u l d n o r m a l ly seem
o u t of bo u n d s : t h e m i n e ral wo r l d . B ut in a n o n l i n ea r wo rld in which the
same basic processes of s e l f-o rga n izat i o n take place i n t h e m i n e ra l ,
o rga n ic, a n d cu ltu ral s p h e res, p e r h a ps rocks h o l d so m e of t h e keys to
u nd e rsta n d i n g sed i m e ntary h u m a n ity, ign eous h u ma n ity, a n d a l l t h e i r
m i xt u re s .
70
Geologica l History:
1 700-2000 A . D.
P r i o r to t h e e i g h te e n t h c e n
t u ry a l l t h e e n e rget i c i n t e n s i
f i cat i o n s t h at h u m a n i ty h a d
u n d e rta k e n w e re re l at i ve ry
s h o rt - l i ve d . T h e i n t e n s i f i e d
e x p l o i ta t i o n s of a g r i c u ltu ra l
reso u rces w h i c h h a d s u sta i n ed
wave a fte r wave of a n c i e n t
u rba n i zat i o n we re typ i ca l ly
fol l owed by so i l d e p l et i o n o r
e ros i o n , b r i n g i n g h u m a n
e x pa n s i o n t o a h a l t . Eve n
71
I: LAVA S AND MAGMAS
the m o re re c e n t a cce l e ra t i o n of c i ty b u i l d i n g
i n E u ro p e at the tu r n of the m i l l e n n i u m ,
whi ch a d d e d co m m e rc i a l a n d p roto- i n d u st r i a l
po s i t i ve fe e d b a c k to the p roces s , was fo l
l ow e d by a l o n g d e p res s i o n . The f i rst i n te n s i
f i ca t i o n t o esca p e t h i s cyc l i ca l d e st i ny, b e g i n
n i n g rou gh l y i n the yea r 1700, was b a s e d o n
t h e b u r n i n g of e n e rgy- r i c h o re . Coa l i s t h e
p ro d u ct o f o n e o f seve ra l typ e s o f m i n e ra l i z a
t i o n t h at o rga n i c m a tte r ca n u n d e rgo . W h e n
the c o r p s e s o f p l a nts a n d a n i m a l s a cc u m u
l a te u n d e r wate r i n the a b s e n ce of oxyge n ,
the m i c ro o rga n i s m s t h at wou l d n o r m a l ly re m
i n e ra l i ze t h e m a n d re cyc l e the m i n the
ecosyste m ca n n ot o p e rate ; he n c e these
d e p o s its do n ot rot. I n stea d , they a re co m
p res s e d , ca r bo n - e n r i che d , a n d eve n t u a l ly pet
r i f i e d . A l tho u g h s eve ra l a n c i e n t soc i et i es h a d
m a d e u s e o f the s e roc k s , E n g l a n d w a s the
f i rst c i v i l i z a t i o n to s u b m i t co a l d e pos i ts to
i n t e n s e ex p l o i ta t i o n , c reat i n g t h e p r i n c i pa l
f l ow of n o n hu m a n e n e rgy w i t h whi ch t o fu e l
its i n d u st r i a l revo l ut i o n .
Thi s n e w i n te n s i f i cat i o n ha d d ra m at i c co n
s e q u e nces fo r the p o p u l at i o n of tow n s a n d
c i t i e s of E u ro p e , a s we l l a s for t h e i n st i t u t i o n s
tha t i n ha b i ted the m . H e re we w i l l exa m i n e
72
GEOLOGICAL HISTORY: 1700-2000 A.D.
seve ra l of the se c o n s e q u e n c e s , ta k i n g a d va n
tage of the n o ve l i n s i ghts o n the o r i g i n s a n d
dy n a m i cs of the I n d u st r i a l R evo l u t i o n p rof
fered by h i sto r i a n s a n d the o r i sts who ha ve
a pp l i e d to t h e i r s u bj e ct co n c e pts borrowed
fronl n onl i n e a r sc i e n ce . I n pa rt i c u l a r, he re t h e
r i s e of the " i n d u st r i a l a ge " w i l l n ot b e v i e w e d
a s t h e res u l t of hu m a n s o c i ety ha v i n g reach e d
a n ew " sta ge of d eve l o p m e n t" (a n e w m o d e
o f p ro d u ct i o n ) o r o f its ha v i n g c l i m b e d fu rt h e r
u p the l a d d e r o f p rogres s , b u t , rathe r, a s the
c ross i n g of a b i f u rcat i o n whe re p rev i o u s a u to
cata lyt i c dy n a m i cs (s u b j e ct t o n e gat i ve fe e d
b a c k) ca m e to f o r m a s e l f- s u sta i n i n g a u to cat
a lyt i c l o o p .
M o re ove r, t e ch n o l ogy wo n't b e v i e w e d a s
evo l v i ng i n a st ra i ght l i n e , a s i f t h e a d v e n t
o f stea m powe r a n d fa cto ry p rod u ct i o n w e re
t h e i n ev i ta b l e o u tco nl e of t h e evo l u t i o n of
m a chi n e s . O n the co n t ra ry, m a ss p ro d u ct i o n
tec h n i q u es i n a l l the i r f o r m s w e re o n ly o n e
a l te r n a t i ve a m o n g seve ra l , and the fa ct t h at
they ca m e to d o m i n a te the d eve l o p m e n t of
n ew m a c h i n e ry i s i ts e l f i n n e e d of ex p l a n a
t i o n . O u r i n vest i g at i o n of the i n te n s i f i cat i o n s
t h at fo ss i l fu e l s m a d e p o s s i b l e b eg i n s w i t h
ste a m powe r a n d m oves o n to e l e ct r i c i ty,
73
I: LAVA S AND MAGMAS
w h i c h fo rmed t h e basis fo r a seco n d i n d u strial revo l ut i o n in o u r own cen
t u ry. Both coal and ste a m , a n d lat e r o i l and el ect ric ity, greatly a ffected
t h e fu rt h e r d ev e l o p m e nt of Weste rn towns, a n d , as u s u a l , once t h e m i n
e ral ized i n frastruct u re of t h ose tow n s , a n d t h e i n stituti o n s wit h i n t h e m ,
h ad regi ste red t h e effects of t h ese i nten sificatio ns, t h ey reacted b a c k o n
t h e e n e rgy flows t o co nst ra i n t h e m , e i t h e r i n h i b i t i n g t h e m or fu rth e r
i nte n sify i n g t h e m .
Although E u rope u nd e rwent a l o n g pe riod of rel atively slow eco n o m i c
growt h afte r 1300, t h e pop u lation o f Eu ropean tow n s n o n et h e l ess u n d e r
went sign i ficant cha nge . The l o n g d e pression h a d acted l i ke a "so rti n g
device , " e l i m i n at i n g m a ny tow n s o n t h e lowe r ra n k s of C e n t r a l P l a ce h i e r
a rch ies a n d co ncent rati ng growt h at t h e top. Co n seq u ently, t h e co m m a n d
e l e m e nt in t h e m i x h ad i n creased (as had its degree of ho m oge n izati o n ,
d qe to t h e a bso rpt i o n of cities a n d t h e i r regi o n s i nto n ation-states). T h e
re latively few n ew E u ro pean cities t h at were bo rn between 1 300 a n d
1800 were p l a n n e d cities ( u s u a l ly port cities created by central gove rn
m e nts in o rd e r to e n t e r t h e great m a ritime races). F o r exa m p l e , between
1660 a n d 1 7 1 5 , t h e F re n c h h i e ra rch ies u nd e r Lou is X I V cre ated a strate
gic n etwo r k of co m m e rc i a l and m i l itary po rt cities - B rest, Lorie nt, Roc h e
fo rt, a n d Sete - each o n e p l a n n e d "to p l ay a specific role i n t h e
gove r n m e nt's pol itico- m i l itary st rategy fo r sea-power. " 108
By co ntrast, i n t h e 1800s the intense circ u l ati o n of coal e n e rgy gave
rise to a far greater n u m be r of new ( m i n i n g and facto ry) towns, m ost of
w h i c h grew s po n ta n e o u s ly, n ot to say chaotical ly. T h i s was the case, for
exa m p l e , in the R u h r regi o n , w h ic h wou l d l ater beco m e the ce nter of Ger
m a n he avy i n d u stry, a n d in L a n cas h i re, t h e heart of i n d u st ri a l B rita i n . I n
t h ese two regio n s, a n d ot h e rs, m i l l s, m i n i ng centers, a n d m eta l l u rgica l
co m plexes m u s h ro o m ed eve ryw h e re , u n regu l ated a n d h a v i n g no system
atic rel at i o n s with one a n ot h e r. Some older citi es, s u c h as Liverpool and
M a n c h este r, grew e n o rmou sly (one beco m i ng the gateway, the oth e r the
capital of t h e regio n), wh i le a m u ltitu d e of new town s sprang u p a rou nd
t h e m : Bolto n , B u ry, Stockport, P resto n , B l ack b u r n , B u rn ley. As t h ese
co al-fu e l e d tow n s d evou red the cou ntryside a n d grew i nto each ot h e r,
t h ey fo r m e d h u ge con urbatio ns: extremely de nse b u t wea kly centra l ized
u rb a n regi o n s prod u ced by acce l e rated i n d u st r i a l izati o n . I n the words of
H o h e n berg and Lees:
The best exam ples of the transforming power of ra pid i n d u strial growth are
to be fo u n d in the coal-m i n i ng regio ns. There the explosive co nce ntrated
effects of . . . modern eco n o m i c cha nge can be seen in p u re fo rm . Since
coal was needed to ru n the engines and smelt the o res, facto ries and fu r-
74
G£OLOGICAL HISTORY: 1700-2000 A.D.
naces te nded to locate very near coal s u p p l ies or in places where th ey
had good access to t ransportatio n . As deman d skyrocketed, m i n ing areas
with the i r expa n d i ng n u mber of p its, wo rkshops and new firms attracted
new wo rke rs . . . . Both h i gh ferti l ity and migratio n bred an extreme d e n sity
of settlement, which soo n s u rpassed anyt h i ng that the proto- i n d u strial
era had known . These coal ba sins grew by a kind of regio n a l im plos i o n ,
whereby a r u ra l m i l ie u crystal l ized i nto a d e n sely u rban on e. lOg
Th ese n ew towns wo u l d soo n be i n h a b ited by an i n d u st ry t h at was u n
d o u bted ly m o re co m p lex t h a n anyt h i ng h u m a nity h ad seen befo re . A n d
yet, a s H o h e n b e rg a n d Lees re m i n d u s, i t w a s n ot a s i f soci ety as a w h o l e
had reached a n ew stage a n d every region now moved i n loc kstep towa rd
th is type of i n d u strializatio n . Not o n ly were t h e re regi o n s t h at i n d u strial ized
in a d i fferent way, but sti l l oth e rs u n d e rwent rad ical d e i n d u strial izati o n .
I n d u strial dev elo pme nt i s l i ke bio logi cal evo l u ti o n , w h i c h not o n ly lacks
a ny progressive d i rect i o n , it does not eve n have a co n s i st e n t d rive towa rd
co m p lexificati o n : w h i le some s pecies co m p lexity, ot h e rs s i m p l i fy. liD
I n both cases, a vari ety of p rocesses res u lt in accu m u l at i o n s of com
pl exity in so m e a reas, d e accu m u l atio ns i n ot h e rs , a n d the coexiste nce of
d iffe re nt types of accu m u l ated co m p lex ity. The l a rge-sc a l e , co ncentrated
i n d u stry of coal-fu e l e d town s re presented o n ly one poss i b l e d i rect i o n fo r
t h e co m p l exificatio n of tec h nol ogy. A reas t h at i n d u stri a l ized m o re slowly
a n d m a i nt a i ned t h e i r ties to tra d it i o n a l craft s ki l l s d eveloped methods
of prod u ct i o n t h at were s cattered a n d small i n sca l e b u t h i g h ly sop h i sti
cated , wit h a co m plex d iv i s i o n of l a bo r and a h ig h d egree of m a r ket i n
volve m e n t . "Whet h e r o n e looks at Swiss cotto ns a n d watc h e s , at text i l e s
i n Pied m o nt a n d t h e Vosges , o r a t m eta lwa res i n central G e r m a ny t h e p i c
t u re is t h e s a m e : u pl a n d v a l l eys fas h io n i ng an e n d u r i n g i n d u st r i a l posi
tion wit h o u t ever t u r n i ng th e i r backs on t h e p roto- i n d u stri a l he ritage . " lli
T h u s , t h e re were at least two stab l e t rajecto ries fo r t h e evol u t i o n of
i n d u stry, p roceed i ng at d iffe rent speed s and i nte nsities: l a rge-sc a l e ,
e n e rgy- i n ten sive i n d u stry a n d s m a l l-sca le, s k i l l-inte n sive i n d u stry. W h i le
t h e fo r m e r gave rise to fu nctio n a l ly ho moge n eou s tow n s, in m a ny cases
control l ed by t h e i r i n d u st r i a l h i e ra rc h i es (t he facto ry tow n), the latte r
was h o u se d i n s m a l l settl e m e nts, with a more hete roge n e o u s s et of eco
n o m i c f u n ctions and less co ncentrated co ntro l . A n t i m a rket i nstituti o n s
took over o n ly one type of i n d u stry, t h at w h i c h , l i ke t h e mselves, w a s based
on eco n o m ies of scale.
Bes i d es d i ffe r i n g i n t h e propo rt i o n of m e s hwork a n d h i e ra rc hy i n t h e i r
m ixes, t h ese tow ns a l so varied i n terms o f t h e fo rm o f t h e i r expa n s i o n .
T h e ra p i d , v i o l e nt growt h o f coa l-fu e l ed cities, w h i c h expa n d ed i nto t h e
75
I: LA VAS AND MAGMAS
cou ntrys i de with tota l d i srega rd fo r p revious l a n d- u se p atte r n s, co ntrasts
with t h e way in w h i c h t h e smal l tow n s t hat ho u se d d ecentral ized i n d u s
tries m e s h e d with t h e i r ru ral s u rro u n d i ngs. ll2 A lt h o u g h a l l town s te n d to
d o m i n ate t h e i r cou ntrysides, i nd u stri a l tow n s i nte n s i fied t h i s exploitati o n .
As t h e bi ogeogra p h e r I a n G . S i m m o n s h a s n oted , u rban eco n o m ies based
o n coa l h ad a h ost of h id d e n costs - from the vast a m o u nts of d iverted
wate r t h ey used to the d e p ress i o n s, cracks, a n d s i n k h oles that co n t i n ued
to fo rm l o ng afte r m i n i ng h ad sto p ped - a n d t h e s u rrou n d i ng rural a reas
bo re t h e brunt of t hose ecological costs. 1l3
S i m m o n s v iews cities a s ve rita b l e transfo rm e rs of m atte r a n d e n e rgy:
to s u sta i n t h e expa n s i o n of t h e i r exoskeleto n , t h ey extract from t h e i r su r
ro u n d i n gs s a n d , grav e l , sto n e , a n d brick, as w e l l as t h e fu e l n eed ed to
co n ve rt t h ese i nto b u i l d i ngs. H e n otes that, l i ke any system ca pable of sel f
o rga n i zatio n , cities a re open (or d i ssi pative) syste ms, with m atte r-e n e rgy
flowi ng i n a n d o u t conti n u o u sly. A nd t h i s is a l l t h e m o re true for n i n etee nth
centu ry i n d u strial tow n s . Besides t h e raw m ate r i a l s n eed ed to m a i nta i n
t h e i r m i n eral izati o n , these towns n ee d ed t o i n pu t fl ows of i ro n o res, l i me
sto n e , water, h u m a n l a b o r, a nd coa l , as we l l as to o u t p u t oth e r flows (so l id
waste, sewage, m a n u fa ct u red goods) . R u ra l a reas a bso rbed some of t h e
n ox i o u s o utputs, w h i l e t h e i n p u ts bega n t o co m e fro m fart h e r a n d fart h e r
away, p a rticu l a rly as gro u ps of c o a l tow n s coalesced i nto co n u rbatio n s.
These l i n ks to faraway s u p ply reg i o n s , p l u s t h e l ac k of syste matic re lati o n s
betwee n servi ces a n d s ize of sett l e m e nts, p l aced these tow n s with i n t h e
N etwo rk system rat her t h a n wit h i n the Central P l a ce h i e rarchies.1l4
W h at m a d e t h ese u rb a n ce n te rs s pecia l , h oweve r, was n ot so m u ch t h e
m atte r-e n e rgy flows t h at trav e rsed t h e m , but t h e w a y i n w h i c h th ose
f l ows beca m e amplified. H e n ce , a rgues S i m m o n s, w h i le coal u sed for i ro n
s m e lti ng was exp l oited with i n crea s i n g i nte n sity s i n ce 1709, i t was n ot
u nti l t h e n i n etee n t h centu ry, w h e n t h e ste a m e n gi ne h ad matu red , that
i n d u strial takeoff occ u rre d : "A small a m o u n t of coa l i n vested in such an
engi n e was t h e cata lyst for t h e p rod u cti o n of e n e rgy a n d mate r i a l s on
a n ever l a rge r sca l e . " 1l5 In all d iss i p ative system s , e n e rgy m ust be p u t i n
befo re a ny s u r p l u ses ca n b e ta ke n out. Even t h o u g h a n i n d u strial town
had to i nvest m o re e n e rgy t h a n p rev i o u s u rban ce n te rs, it extracted
greate r s u rp l u ses per u n it of e n e rgy. Basical ly, it u sed certa i n flows of
e n e rgy to a m p l i fy ot h e r flows.
F u rt h e r m o re, t hese positive-feed back l i n ks betwee n flows bega n to
form c l osed ci rcu its: a n ti m a rket m o n ey fl owed i nto m i n i n g regio n s a n d
i nte n si f i ed coal extract i o n a n d i ro n p rod u ctio n , w h i c h triggered a flow o f
m ec h a n ical e n e rgy (steam), w h i c h i n tu rn trigge red a flow of cotto n tex
ti les, w h i c h created t h e flow of p rofits t h at f i n a n ced f u rt h e r expe r i m e nta-
76
GEOLOGICAL HISTORY: 1 700-2000 A.D.
tion with coa l , i ro n , a n d stea m tech n o l ogy. These loops of t rigge rs a n d
flows we re be h i n d t h e expl osive u rban growth i n E n g l a n d betwee n 1 750
and 1850. As R i c h a rd N ewbold A d a m s p u ts it, " G reat B rita i n i n this e ra
was a great exp a n d i ng d i ss i p ative str u ctu re, co n s u m i ng i n c re a s i n g
a m o u nts o f e n ergy. " li6 A n d p reci sely t h ese a u tocata lytic l o o p s we re w h at
k e pt t h i s self-o rgan ized str u ct u re go i ng:
A trigge r of one e n e rgy form sets off a flow in a noth e r w h i c h , in t u r n , trig
gers a release of a flow i n the fi rst; the i nsertion of more parties creates a
chain of trigger-flow i nteractio n s that m ay go in series, in para l l e l or both . . . .
The trigger-flow i nte racti o n s s pecifica l ly create an i nterd e p e n d e nt repro
d uction a m o ng the partici pati ng d i ssi pative struct u res. It i nterlocks a series
of separate ly re prod u ctive systems i nto a s i ngle, i nte ractive re p rod u ctive
system . l17
T hese m es hworks of m u tu a l ly su ppo rti ng i n n ovati o n s (co a l - i ro n-steam
cotto n ) a re we l l k n ow n to h i sto ri a n s of tec h nology. li8 T h ey existed long
b efo re t h e n i n etee n t h ce ntu ry (e .g. , the i nte rl ock i ng we b fo rmed by t h e
h o rses h oe , t h e h o rse h a rn ess, a n d tri e n n i a l rotat i o n w h i c h w a s be h i n d
t h e agri c u ltu ra l i nte n s i fi catio n at t h e tu rn of t h e m i l l e n n i u m), a n d t hey
occ u rred afte rward , as in t h e meshwork of o i l , e lectricity, ste e l , a n d syn
t hetic mate r i a l s t h at contributed t o t h e seco n d i n d u strial revo l utio n .
N o n et h e l ess, a s i m po rta nt a s t hey were, a u to cata lytic loops o f technolo
gies we re n ot com pl ex e n o ugh to create a self-s u sta i ned i n d u strial take
off. Befo re t h e 1800s, as we n oted , t hese i n te n sifi cat i o n s ofte n led to
d e p l eti o n s of resou rces and d i m i n i s h i n g retu rns. N egative feedback eve n
t u a l ly c h ecked t h e tu r b u l e n t growt h ge n e rated by positive feed back.
B ra u d e l u ses two exa m p l es of e a rly e n cou nters betwe e n a nt i m a r k ets
a n d i n d u strial tec h n ol ogy to m a k e t h i s point. I n some I ta l i a n citi es (e.g.,
M i l a n ) a n d some G e rm a n cities (e.g., Lu beck and Cologne), explosive
growt h occ u r red as early as t h e fifteenth centu ry. T h e G e r m a n m i n i ng
i nd u stry i n t h e 1470s "sti m u lated a whole series of i n n ovati o n s . . . as w e l l
as t he creati o n of m a c h i n e ry, o n a giga ntic sca l e for t h e t i m e , t o p u m p
o u t wate r from t h e m i n es a n d t o b ri ng u p t h e o re . " ll9 M i l a n , o n t h e ot h e r
ha n d , witnessed a n extra o rd i n a ry i ncrease i n text i l e m a n u fa ct u ri ng, with
s o p h i sticated " hyd ra u l i c m a c h i n es . . . to t h row, spi n and m i l l s i l k, with
several mech a n i ca l p rocesses a n d rows of s p i n d l e s all t u r n ed by a si ngle
wate r-wh e e l . " 120 A l t h o u gh s i m p l e m ut u a l ly sti m u lati n g l i n ks h ad devel
o ped i n t h ese cities, between m i n i n g a n d l a rge-sca l e c re d it, or b etwee n
textile p rofits a nd c o m m e rc i a l ized agri cu ltu re , both i ntensifi catio n s ca m e
t o a h a lt i n a few d ecades.
77
I: LAVA S AND MAGMAS
Eng l a n d h e rs e l f atte m pted an e a rly ta keoff betwe e n 1 5 60 a n d 1640,
at a t i m e w h e n , co m p a ratively spe a k i ng, she was a rat h e r ba ckward
i n d u st r i a l n atio n . To catc h u p, the B ri ti s h waged a c a m pa ign of i n d u s trial
e s p i o n age in I ta ly and i m p o rted G e r ma n , Dutch , a n d I ta l i a n cra fts m e n ,
t o e ffect a tra nsfe r of k n ow- how a n d m a n u fa ctu ri ng tec h n i q u e s t o t h e i r
i s l a n d . 121 O n ce a s k i l l reservo i r h a d b e e n fo r m ed a t h o m e , B ri ti s h a nti
ma rkets gave i n d u s try a m u ch i n c reased sca l e a n d levels of capital i n ve st
m e n t reached n ew p e a k s of i n te n s ity. Sti l l , se l f-su stai n ed growt h d id not
o ccu r. One possi b l e expl a n atio n i s that a u tocata lytic loops n e ed to a c h i eve
a t h re s h o l d o f co m p le xity b e fo re t h ey a cq u i re the resi l i e n ce and ve rsat i l ity
n e e d e d to ove rco m e d i m i n i s h i n g ret u r n s . H e n ce , wh at m a d e n i net eent h
cent u ry E n gl a n d a speci a l p l ace was t h e fo rm ati o n of a m o re co m p l ex,
s e l f-m a i n tai n i n g ci rcu i t o f triggers a n d flows w h i c h i n c l u d e d a n u m b e r of
oth e r catalyt i c e l e m e n ts in add iti o n to tec h no l ogy and big b u s i n e ss: a
nati o n a l m a r ket, a sta b l e b a n k a n d c re d i t syste m , exte n si ve lo ng-d i stance
t rad i n g n etwo rks, a grow i n g agric u l t u ra l secto r to feed t h e expa nd i n g
p o p u latio n , a n d , of co u rse, t h e po p u l at i o n i ts e l f, w h i ch provi d ed raw l a bo r
a nd s k i l l s .
T h e new i n te n s i fica t i o n i n agri c u l tu re , w h i c h was b a s e d o n s i m p l e posi
tive fe e d b a c k (betwe e n cattl e rai s i ng a n d t h e cro ps t h e i r m a n u re h e l ped
ferti l i ze) but w h i c h i n creased in sca l e d u e to a n ti m a r ket i n ve stm e n t ,
p l ayed seve ral roles i n t h e i n d ustri a l ta k eoff. O n t h e o n e h a n d , i t se rved
fo r a l o ng t i m e as t h e p r i n c i p a l co n s u m e r of m e t a l too l s a n d he nce cat
a lyze d , a n d was cata lyzed by, the i r o n i n d u stry. On the ot h e r h a n d , t h e
n ew agri c u l t u r a l syste m (w h i ch i s exa m i ned i n m o re det a i l i n t h e n ext
c h a pte r) favo red d i ffere nt type s of s o i l s t h a n t h ose u s e d by t h e prev i o u s
agri c u l t u ra l regi m e , a n d s o cre ated a l a rge pool o f u n e m ployed fa rm
workers, w h o wo u l d p rov i d e the m u scu l a r e n e rgy fo r the n ew facto r i e s . 122
H e n ce , agri c u lt u ra l regio n s received i n puts ( i r o n ) fro m , a n d pro v i d ed
i n p u ts ( l a bor, food) to, t h e facto ry tow n s , a n d i n t h i s s e n s e agri c u l t u re
was a n i m p o rta nt n o d e i n t h e a utocata lytic l o op. T h e flow of l a bo r t h a t
t h i s n o d e s u p p l i e d , however, w a s t o be u sed mostly as raw m u scu l a r
e n e rgy. S k i l led l a b o r was a l so need e d , a n d rese rvo i rs o f t h i s h a d begu n
fo r m i n g i n t h e e a r ly 1 700s. I n d e e d , t h e fi rst ste a m e n g i n e , a wate r p u m p
i n a co al m i n e i n o p erat i o n b y 1 7 1 2, h a d b e e n t h e prod u ct o f s u c h s k i l led
k now- h ow. A l t h o u g h its i n vento r, T h o m a s N ewco m e n , m ay h a ve been
fa m i l i a r w i t h t h e b a s i c p r i n c i p l e s of ste a m a n d the va cu u m , a s e m bod i ed
i n co nte m po rary s c i e n t i f i c a p p a ratuses, he p u t toge t h e r t h e fi rst e n gi n e
u si n g m o stly i n fo rm a l k n owl edge. 123 M u c h the s a m e ca n be s a i d fo r t h e
oth e r i n n ovat i o n s of t h e e ig h t e e n t h centu ry:
78
GEOLOGICAL HISTOR Y: 1 700-2000 A . D.
I n erect i n g a mac h i n e . . . not o n ly vis ual [e .g. , engi ne ering d i agra ms] b u t
tactile a n d m u scular knowledge are i n corporated i nto the mach i n e b y t h e
mec h a n ics a n d ot h e rs w h o u s e too l s a n d s k i l l s and j u dgment to give l i fe to
the visions of the e ngi neers. Those workers - m ac h i n ists , m i llwrights, car
pe nters, we l d e rs, t i n sm it h s , ele ctri cians, riggers, a nd a l l the rest - s u p ply
all made t h i ngs with a crucial compo n e n t that the engineer ca n never fu l ly
specify. Their wo rk i n vol ves the laying on of knowi ng h a n d s . . . . T he h istori
cal sign i fi ca n ce of workers' knowledge had h a rd ly bee n noticed u n t i l the
B ritish eco n o m i c h i sto rian J o h n R. H a rris co n nected it to the tec h n ological
lead t hat G reat B rita in held over the Continent d u ring the I n d u strial R evo
l utio n . I n the seve n teenth centu ry, B rita i n had co nverted to coal as a n
i n d ustri al f u e l [and t h is i n volved many cha nges.]. . . The l i st of cha nges o f
te c h n i q ues a n d a p p a ratus is very long, but t h ese cha nges are u n a p p reci
ated beca use m a ny (proba bly most) of them were made by [se n i o r s k i l led]
worke rs . . . rath e r t h a n by ow ners or the su pervisors of the wo rks. By 1710
. . . worke rs' growi ng knowledge of the te c h n i q ues of coal fuel tec h nol ogy
h a d already given B rita i n a co m m a n d i n g i n d ustri a l lead ove r Fra n ce a n d
ot her Contine ntal co u n trie s . 124
T h e s e re s e r v o i r s o f s k i l l e d l a b o r were i m po rtant i n p u ts to t h e facto ry
tow n s a n d h e n ce key n od e s i n t h e l oo p . S k i l l s a n d k n ow- how p rovi d e d
wh at o n e m i g h t ca l l "cata lytic i n fo rm atio n , " t h a t i s, i n fo r m a t i o n c a p a b l e
o f bri n gi n g toget h e r a n d a m pl i fy i n g flows o f e n e rgy a n d m ate r i a l s . T h i s i s
a good a rg u m e nt aga i n st l a bo r t h eo ri e s o f val u e , fo r w h i c h a m a c h i n e i s
not h i n g b u t t h e conge a l ed m u sc u l a r e n e rgy t h a t went i n to i t s p rod u ct i o n .
Strictly s p e a k i ng, t h i s wo u l d m e a n t h e re i s n o d i ffe rence betwe e n a m a
c h i n e t h at w o r k s a n d o n e t h at d o e s not ( o r a d i sa ss e m b l ed o n e). As t h e
a bove q u ote m a k e s cle a r, n ot o n ly i s a d i ag r a m n ecessary ( b ro u g h t i n to
t h e p ro ce ss by a n e n g i n e e r) b u t a l s o t h e s k i l le d m a n u a l k n o wledge
ne eded to i m p l e m e n t t h e a bstract d i agra m . I n s h o rt, t h e e n e rgetic i n p u t s
t o l a rge-sca l e p ro d u cti o n processes req u i red co m p l e m e n ta ry i n p u t s o f
catalytic i n fo r m a t i o n i n o rd e r for t h e I n d u stri a l R e vol utio n t o beco m e a
s e l f- s u sta i n i n g proce s s .
Of co u rse, i n add i t i o n to t h e se rese rvo i rs o f facto ry i n p u t s , t h e l o o p
req u i red n od e s ca p a b l e o f a bs o rbi ng the i n d u stri a l o u t p u t . I n ot h e r word s,
t he h u ge outputs o f facto ry tow n s , t h e i r co nti n u o u s flows o f m a n u fact u re d
pro d u cts , n e e d ed d o m e s t i c a n d fo reign m a rkets o f a sufficien t scale t o
a bso r b t h e m . T he s e m a rkets were n ot t h e prod u ct of i n d u stri a l tow n s b u t
of t h e c i t i e s t h a t n a t i o n -state s h a d a b s o rbed as p o l itical capi ta l s a n d
gateways to t h e n ow g l o b a l ized netwo rks of exc h a nge. U n l i ke local a n d
regi o n a l m a rkets, n at i o n a l m a rkets were n ot t h e p rod u ct o f a process o f
79
I: LAVAS AND MAGMAS
self-o rga n izat i o n b u t of d e l i be rate p l a n n i ng by a c o u ntry's e l ites, a co n
scio u s p o l i cy k nown as mercantilism . 125 It i nvolved n ot o n ly t h e removal of
i ntern a l to l l s and ta riffs, but the con struct i o n of a co m m u n icati o n s n et
wo rk (road s, c a n a l s , m a i ls) to a l low co m ma n d s ( a n d traded goods) from
t h e c a p ital to reac h the whole co u ntry. I n a d d it i o n to a n at i o nwide m a r k et,
a n i nt e n sificat i o n of fo re ign trade and t h e p ro l iferati o n of l i n ks betwee n
gateway cities a l l over t h e gl obe were a l s o n ecessa ry i ngre d i e nts.
Lo n d o n , p a rt pol itical c a p ita l a nd p a rt ma riti m e m etropo l i s, wa s i n stru
me ntal in the creati o n of the B ritis h n ati o n a l a nd fo reign m a rkets . Lo n
don a l so p l ayed a k ey role in t h e formati o n of a sta b l e credit system , with
t h e creat i o n i n 1 694 of t h e fi rst central b a n k , t h e B a n k of E ngla nd , w h i c h
a l l owed tap p i ng (vi a credit) t h e vast m o n eta ry reserves of A mste rd a m .
As B ra u d e l rema rks, eve n t h o ugh Fra nce h a d a t t h e t i m e a greate r rese r
voi r of n atu ra l resou rces t h a n � ngla n d , h.e r c redit ( a n d taxatio n ) system
was never a s goo d : " a rtifici a l wea lt h " p roved more powerfu l than natu ra l
wealth . 126 H e n c e , t h e fi rst a u to catalyt i c l o o p t o ach i eve s e l f-s u sta i n i ng
growth i n vo lved more t h a n i n d u st ri a l e l ites. F i n a n c i a l a n d co m m e rc i a l
a nti m a rk ets we re a l so k ey i n gred ients, as w a s t h e n atio n -state. A n d w h i l e
each sepa rate e l ite d i d exercise central ized co ntro l o v e r a give n p rocess
(th e l ogistics of facto ry town s , the creat i o n of t h e n atio n a l m a rket), t h e
revo l utio n a s a w h o l e w a s t h e r e s u l t o f a true mesh wo rk of h i e ra rc h i c a l
stru ctu res, grow i ng, l i ke m a n y m es h wo rks, b y d r i ft:
Can we rea l ly be satisfied with t h is i mage of a smoot h ly coord i n ated and
eve nly deve l o p i ng combination of sectors, capable between them of
p rovid i n g a l l the i nte rco n nected eleme nts of the i n d ustrial revolution and
meeti ng demands from ot her sectors? I t co nveys the mislead i ng vision of
the i n d ustrial revo l ution as a co nsciously p u rsued o bjective, as if Brita i n 's
society and eco nomy had conspired to make possible the new Mac h i ne
Age . . . . But this was ce rtai n ly not how the English revo l ution develo ped .
It was n ot moving towa rds any goal, rather it encou ntered one, as it was
p ropelled a l ong by that m u ltitude of diffe rent cu rre nts which n ot o n ly
ca rried fo rwa rd the i n d ustrial revol ution but also spil led over i n to areas
far beyo nd it. 127
T h u s , at least fro m t h e p e rs pective w h e re soci a l dyn a m ics a re t h e
s a m e as geo logica l dyn a m ics (th at is, fro m the p e rs pective of e n e rgy a n d
cata lysis), t h e p rocess of i n d u stri a l ta keoff m ay b e vi ewed a s a bifu rcatio n ,
fro m a state i n w h i c h self-sti m u lating dyn a m ics we re n ot co m pl ex e n o ugh
to overco m e d i m i n i s h i ng retu r n s , to a state i n which t h e series of n odes
fo rm i ng t h e c i rc u it beca m e a self-susta i n i ng e ntity. T h e a d d iti o n of n ew
80
GEOLOGICAL HISTORY: 1 700-2000 A.D.
n od es to t h e mes hwo rk as it co m p lexified d i d n ot occu r acco rd i ng to a
p l a n b u t s i m p ly fo l lowi n g i nt e r n a l co n strai nts; t h at i s , each n ew n od e had
to " m e s h we l l" with the existi ng o n es (i . e . , cata lyze a nd be cata lyzed by
existi ng nod es). As t h e "geo logical h i sto ry" of t h e n i n etee n t h ce ntu ry co n
t i n ued to u nfo l d , t h e tec h no logies t h at grew a ro u n d t h e i n a n i m ate power
of stea m (as wel l as rad i ca l ly new o n es) s i m p ly i nserted t h emselves as
f u rt h e r n od es in the growi ng a utocatalytic loop. The ra i l road a nd the tele
gra p h , fo r exa m p l e , m e s h ed wel l n ot o n ly with o n e a noth e r (am pl ify i n g
each ot h e r's stre ngt h s a nd co m pe ns at i n g for certa i n wea k n esses), t h ey
mes hed we l l i n t h e l a rger co ntext of t h e c i rcu it.
T he n ew self-s usta i n ed i nt e n s i 'f icati o n was made possi b l e by e l e m ents
of bot h t h e Central P l ace a nd t h e N etwo rk syste ms. Ad m i n istrative cen
ters a n d gateway po rts joined facto ry town s to fo rm t h e great c i rc u it of
triggers and flows. The I nd u strial R evol utio n , in t u r n , affected in severa l
ways t h e fut u re growt h of c i t i e s . O n e of t h e revo l uti o n 's i nten sified flows ,
t h e flow of cast i ro n , triggered t h e begi n n i n g of t h e m eta l l izatio n of t h e
u rban exoskeleto n a s t h e i n d u strial regio n s o f E n gl a n d bega n t o u s e i ro n
fra mes to b u i ld fi re p roof text i l e m i l l s : fi rst, a six-story cotto n m i l l with
i ro n co l u m n s wa s e rected in De rby in 1792; t h e n , in 1 796, a cott o n m i l l
with i ro n beams a n d co l u m n s was b u i lt i n S h rewsb u ry; b y 1830, t h e i nter
n a l i ro n fra me was co m mo n i n i n d u strial a nd p u b l i c b u i l d i ngs i n E ng l a n d
a n d F ra n ce. 1 28 N ext, t h e web of i nterloc k i n g i n novati o n s t h at c h a racte r
ized t h i s period g e n e rated a seco n d wave of i nte racti ng tec h no logies
(th e ra i l road a nd the telegra p h), which had p rofo u n d effects on the E u ro
pea n u rb a n syste m a s a w h o l e , c h a ngi ng the relative i m po rta n ce of t h e
ca pital a nd t h e metropo l i s . U p t o t h i s p o i n t , l a n d t ra n s po rt co u l d n ot
co m p ete with t h e swift a nd flexi b l e co m m u n i cati o n s affo rded by t h e sea.
W h i le ter restrial d i sta n ces served to se p a rate l a n d l ocked u rba n settle
m e nts, the open sea s e rved to co n nect gateway cities. But the a dve nt
of steam-powered tra n s p o rtatio n re moved t h ese co n stra i nts, givi ng
territo ri a l ca p itals many of the adva n tages p revi o u s ly e n joyed by ma ri
time cities. 129
T h e coal regio n s of Engl a n d we re t h e birt h p l ace of t h e fi rst rai l road sys
tem, a d o pti ng t h e " Roc k et" l ocomotive i nvented by Geo rge Ste p h e n s o n
i n 1829. T �l i s a l l owed t h e Liverpool a nd M a nc h e ster R a i lway t o o p e n fo r
b u s i n ess i n 183 0 . 130 Ot h e r rai lways bega n o p e rati n g o n t h e Co nti n e nt a
few yea rs late r, i n Fra n ce a n d A u stria, but t h ey re m a i n ed experi me ntal
fo r at l east t e n years. Yet B riti s h leaders h i p in steam-d rive n tra n s po rt
was soo n s u rpassed by t h e U n ited States, w h i c h a few decades e a rl i e r
h ad b e e n a n E ngl i s h s u p p ly regi o n . T h ese fo rmer co l o n i es h a d ta k e n off
eco n o m i ca l ly in the seco n d h a l f of the eightee n t h centu ry, by m e a n s
81
I: LAVAS AND MAGMAS
of t h e s a m e s m a l l-sca le a u tocata lytic p rocess that h a d a l l owed E u rope
many ce n t u ries e a r l i e r to e m e rge from t h e s h a d ow of I s l a m : volati l e
trade a m o n g backwa rd cities e ngaged i n i m po rt s u bstituti o n .
Acco rd i ng t o J a n e J a co bs , t h e fi rst two American cities t o beg i n t h is
p rocess we re Bosto n a n d P h i l ade l p h ia , o ne a B ri t i s h resou rce d epot fo r
t i m b e r a n d fis h , t h e ot h e r s u pplyi ng Engl a n d wit h grai n . W h i l e N ew Yo rk
rem a i n e d a captive m a rket, Bosto n and P h i l ad e l p h i a were copyi ng Eu ro
p e a n produ cts a n d re p l aci ng t h e m with local o n es , w h i c h t h ey trad�d
a m o n g t h e mselves. W h i l e t h e i n n ovati o n s t h at c a m e o ut of t h i s p rocess
were s m a l l and u ng l a m o ro u s , and h e n ce ca n not be co m pared with t h e
o ne s t h at e m e rged from t h e I n du stri a l R evol utio n , w h a t matte red was
the rese r v o i r of i n te rlocki ng s k i l l s a n d p roced u re s ge n e rated by i m port
s u bstituti o n dyn a m i cs. 131 After t h e Wa r of I n d e p e n d e n ce , N ew Yo rk joi n e d
Bost o n a nd- P h i la d el p hi a i n d eve l o p i n g a greate r variety of m a n u fact u ries,
w h i l e S a n F r a n cisco w o u l d , afte r t h e gold ru s h , beco m e a gateway to the
e m e rgi n g global N etwo r k syste m .
T h e mech a n i cs a n d e n g i n e e rs of t hese A m e ri c a n cities c re ated t h e tech
n o logy t h at wou ld b y 1 8 5 0 a l l ow t h e U . S . rai l roads to s u rpass t h e B ritish
rai lway system i n terms of m i leage of wrought- i ro n r a i l s . I f b ri dges and
factories in A m e ri ca were sti l l bei n g b u i lt out of t i m b e r, t h e t ra n s p o rtat i o n
syste m o f t h e n ew n at i o n -state w a s u n de rgo i n g a n e v e n more i ntense
meta l l izati o n than E n gl a nd's. M o re i m po rtantly, the tec h n ology d evelo ped
in E n gl a n d (loco m otives a n d rai lway con struct i o n tech n i q u es) was l a rgely
u n s u itable for the l o n g d i sta n ces a n d d i fficu lt te r ra i n of the U n ited States,
and so it co u l d n ot s i m p ly b e i m ported b u t h a d to develop l oca l ly in n ovel
ways. 13 2 H e nce the i m po rta n ce of the m eshwo rks of s m a l l fi rms t h at h ad
d evelo ped a l o ng t h e A merican eastern seaboa rd , w h e nce t h e local e n gi
n ee r i n g a n d e ntrepre n e u ri a l t a l e n t n eeded to d e v e l o p t h e n ew mach i nes
was recru ited .
T h e re is a n oth e r s i d e to t h e s uccess of A m e ri ca n r a i l roads (and to t h e
futu re evo l u ti o n of i n d u strial izatio n ) w h ic h i nvol ved n ot m e s hwo rks b u t
co m m a n d h ie ra rc h i e s . W h i l e t h e tec h n ol ogical e l e m e nts of t h e system
had been d eveloped by civ i l ia n e ngi n e e rs from N ew Yo r k and P h i lade l p h i a,
m ilita ry engineers were i nst r u m e ntal in d eve l o p i n g the b u rea u c ratic m a n
age m e n t methods t h at came to c h aracterize A m e ri c a n ra i l roads. I n t h e
wo rd s of t h e h isto r i a n C h a rl e s F. O' C o n n el l :
As the rai l roads evolved and expa nded, they bega n to exh i b it structural and
procedura l c haracteristics that bore a remarkable resem blance to those of
the Army. Both o rgan izations erected complicated manageme nt h ierarchies
to coord i n ate and control a variety of fu n ctionally d iverse, geographically
82
-
GEOLOGICAL HISTORY: 1700-2000 A . D.
separated corpo rate activities. Both created s pecial ized staff b u reaus to
provide a range of techn ical and logistical su p po rt services. Both d ivided
co rpo rate autho rity and responsibil ity between l i n e and staff age n cies a n d
officers a n d t h e n ado pted elabo rate written reg u l atio ns that cod ified t h e
relatio n s h i p between t h e m . B o t h establ ished fo rmal guidel ines t o gove rn
ro uti ne activities and i n stituted sta ndardized repo rti ng and accou nting p ro
ced u res and forms to provide corporate headq uarters with detailed finan
cial and o peratio n al i n fo rmation which flowed along carefu l ly defi ned l i n es
of communicatio n . As the ra i l roads assumed these characteristi cs, they
became America's fi rst " big busi ness." 133
O ' Co n n e l l poi nts o u t t h at specific i n d ivid u a l s fro m t h e U . S . A rmy Co rps
of E ngi n e e rs p l ayed key roles in the b u i l d i ng of a n u m be r of A m e rican
rai l roads a n d i n so d o i ng faced m a n ageri a l problems of a sca le a n d com
p l exity u n k n ow n to t h e local b u s i n ess co m m u n ity. T h ey m a d e strict
acco u nta b i l ity a n d b u rea u c ratic h i e ra rchy pivota l e l e m e nts of a m a n age
ment styl e t h at wo u ld eve n t u a l ly filter t h ro u gh to ot h e r rai l way l i n es
(and ot h e r i n d u st ri es). A l t h o u g h t h i s ge n e ra l ly u n ac k n ow l ed ged m i l it a ry
e l e m e nt of a nt i m a rket i n stituti o n s is b ro ught i nto h ig h rel ie f by t h e
A m e rican experi e n ce i n ra i l road m a n age me nt, it d id n ot o rigi n ate t h e re .
I nd ee d , t h e rel ati o n s h i p betwe e n m i l ita ry a n d antima rket i n stituti o n s i s
a very old o ne . By t h e s i xte e n t h centu ry, Ve n ice h a d d eveloped sta n d a rd
ized p roced u res as p a rt of the o p e rat i o n of its a rs e n a l , the l a rgest i n d u s
trial com p l ex i n E u ro p e at t h e t i m e . 134 T h e a rm ed sai l s h i ps bu i lt at t h e
a rse n a l s i nce 1 328 were u sed b y Ve n eti a n a nt i m a rkets n ot o n ly to co n
d uct t h e i r l u crative lo n g-d i st a n ce t r a d e with t h e Leva nt, b ut a l so to m a i n
ta i n by m i l ita ry fo rce t h e i r m o no po ly o n t h at t rad e . I n t h e e ighteenth
a nd n i n etee n t h centu ries, a rs e n a l s wo u ld aga i n p l ay a lead i n g role i n the
sta n d a rd izat i o n a n d routi n izat i o n of t h e p rod u ct i o n p rocess, i n 'F l u e n c i n g
the futu re deve l o p m e n t of i n d u strial a n ti m a rkets. I n pa rt i c u l a r, m i l it a ry
d isci p l i n e was tra n sfe rred to factories, t h e wo rke rs s l owly d e-ski l l ed , a n d
t h e i r activities ratio n a l ized .
H a rry B rave rm a n , a l a b o r h i sto ria n , a c k n owledges t h e rol e of b u re a u
crati c a n d m i l itary h i e ra rc h i es i n t h e o rigi n s of t h e rati o n a l izat i o n of l a b o r :
" Fr a n ce h ad a l o n g t raditi o n of atte m pt i ng t h e s c i e n t i f i c s t u d y of wo rk,
sta rti n g wit h Lo u i s X I V's m i n i ster C o l b e rt; i ncl u d i ng m i l it a ry e ngi n e ers l i ke
Va u b a n a n d B e l i d o r a nd especi a l ly Co u l o m b , w hose p hysi o l ogical stu d i es
of exe rt i o n in l a b o r a re fa m o u s . " 135 I n d e e d , t h e basic routi n es t h at wo u l d
l ater evolve i nto m a s s p rod uctio n tec h n i q u es were bo rn i n F r e n c h m i l it a ry
a rse n a l s i n t h e eighte e n t h centu ry. These routi n e s we re l ate r tran sfe r red
to A m e rican a rse n al s , w h e re t h ey became i n stitu t i o n a l ized over t h e
83
I: LAVAS AND MAGMAS
cou rse of t h e n i n ete e n t h centu ry, eve ntu a l ly deve l o p i n g i nto t h e "Ame ri
ca n syste m o f m a n u fa ctu ri ng."
T h e A m e rican system was o rigi n a l ly devised to create wea p o n s wit h
perfectly i nterc h a ngea b l e pa rts . W h e n a rtisa n s m a n u fa ctu red t h e d iffer
ent pa rts o f a wea p o n by h a n d , the res u lt i n g hete roge n e ity made it
i m poss i b l e to s u p ply fro nts wit h spare pa rts. The n ew system fi rst c re
ated a model of a p a rti c u l a r weapo n , and t h e n the model se rved a s a
standard to be exactly re p l i cate d . B u t e n fo rcing t h i s sta n d a rd , to e n s u re
t h e h o m oge n e ity of t h e p ro d u cts, req u i red a tra n sfe r - from t h e m i l itary
to the facto ry - of the d i sci p l i n a ry a n d s u rve i l l a n ce methods t h at had
been u sed to m a i n ta i n o rd e r in ba rracks and ca m p s fo r ove r two cen
tu ri es. I n s h o rt, t h e A m e ri c a n system tra n sfo rmed m a n u fa ctu r i n g from
a n open p rocess based on flex i b l e s k i l l s i nto a closed p rocess based on
fixed rout i n e s (e n fo rcea b l e t h ro ug h d isci p l i n e and co n sta nt i ns pectio n):
When labor was mechan ized and divided i n n i netee nth-ce ntu ry arms facto
ries, i ndividual wo rk assignme nts became more s i m p li fied while the overa l l
prod uctio n process became more com p l ex. Coord i nati ng and contro l l i ng
the flow of wo rk from o n e manufacturing stage to another therefore
became vita l and, in the eyes of factory masters, dema nded closely regu
lated o n-the-job behavior. U nder these co nditio ns the engi neeri ng of people
assumed an i m portance eq ual to the engineeri ng of materials. As co nfor
mity su pplanted individ u a l ity in the wo rk place, craft skills became a detri
ment to prod uctio n . 136
Obvio u s ly, n ot a l l aspects of t h e rati o na l izatio n of l a b o r had a m i l itary
o rigi n . M i l ita ry i n stitutio n s pl ayed a key rol e , but i n d u strial d i sci pl i n e
h a d a l ready d eveloped ( m o re o r less i n d e p e n d e ntly) i n ce rta i n a nti
m a rket e nte r p rises, s u c h a s m i n es . 137 All t h at ca n be c l a i m ed is that the
p rocess of ro u t i n izat i o n of p ro d u ctio n in a rsenals, m i nes, and civi l i a n
facto ries u n de rwe n t a great i nt e n sificatio n o n both s i d e s of t h e Atl a ntic,
and this i m p l i ed a l a rge i n c rease in t h e co m m a n d element in t h e eco
n o m i c m i x. B ut o n ce aga i n , despite t h e i m p o rta nt c o n seq u e n ces that t h e
a d v e n t of rat i o n a l izatio n had o n t h e fut u re of t h e eco n o my, i t i s i m p o rta nt
to keep in m i n d all the coexisti ng p rocesses ta k i n g pl ace at this time so
as n ot to red u ce t h e i r h ete roge n eity to a si ngle facto r. I n p a rtic u l a r, rou
t i n izat i o n needs to be contrasted with the completely d i fferent p rocess
of i n n ovati o n . 1 38 Routi n izat i o n in its i nt e n si fied (a n d co n sciou sly pl a n n ed)
form occu rred in a fai rly d efi n e d a rea of t h e E u ro p e a n (a n d A m e rican)
exos keleto n , away from t h e n atio n a l a n d regi o n a l ca pita l s w h i c h beca me
centers of i n n ovati o n . W h i le t h e l atte r kept growi ng in d ive rs ity a n d eco-
84
GEOLOGICAL HISTORY: 1 700-2000 A.D.
n o m i c hete roge n e ity d u ri ng the n i n etee n t h centu ry, the tow n s , w h i c h
u n derwe n t t h e i nt e n sified ro u t i n izatio n o f p rod u cti o n , b e c a m e eve r m o re
ho moge ne o u s :
A t the h igh e n d of the spectru m [ o f occu patio nal homoge n eity], w e f i n d t h e
si ngle- i n d u stry a n d "co m pa ny" towns. Often associated w i t h secret m i l i ta ry
tec h n ol ogy i n o u r time, the latter go back at l east to the n aval ports, s u c h
a s B rest a nd Tou l o n , fou nded b y Lo u i s X l V. I n the n i n etee nth centu ry, s i n
gle e nterprises developed s izable towns o r c a m e t o do m i n ate a n u rb a n
a r e a . Port S u n l ight (Leve r) i n Engl a n d , Leve rkusen (Baye r) i n Germa ny, a n d
Sochaux (Pe ugeot) i n France, a re exam ples. E ntre p re n e u rs were m otivated
by the determi n atio n to exe rcise total co ntrol ove r the h u m a n as we l l as the
tec h n ical e nviro n m e nt. N o n�basic e m ployment was kept to a m i n i m u m
beca use t h e pater n a l i stic e m ploye r d isco u raged com petit i o n a n d "frivolity"
i n the provi s i o n of services. 139
T h i s h o m oge n i zatio n of eco no m i c fu n cti o n s, w h i c h retai n ed basic s e r
vices a n d excl u d ed co m peti n g i n d u stries, m e a n t t h at t h e o n ly positive
feedback operati ng in t h ese u rban centers was the e n o r m o u s eco no m ies
of sca le to w h i c h their a ntima rket i n stituti o n s h a d access. By sta nd a rd iz
i ng p rod u cti o n , costs co u l d be s pread across a l a rge n u m b e r of i d e ntical
p rod u cts, a n d in this way the law of d i m i n is h i n g ret u r n s co u l d be over
come . Yet, t h e re a re ot h e r possi b l e types of positive feed back fo r cities
a n d towns, ot h e r co n n ecti o n s betwee n effi c i e n cy and s i ze - n ot t h e size
of a ho moge n ized e nterprise a n d its h o m oge n eo u s m ass- p ro d u ced p rod
u cts, but t h e s ize of a h ig h ly h ete roge n e o u s u rba n center which p ro
vides s m a l l fi rms with a variety of m utua l ly sti m u lati n g l i n ks . T h ese a re
n ot eco no m ies of sca l e , b u t economies of agglomeratio n :
[These eco no m ies] co me fro m the fact that the fi rm can fi n d in the large
city a l l m a n n e r of clie nts, se rvices, s u pp l i e rs, a n d e m p l oyees no m atter how
spec i a l ized its p rod u ct; this, in t u r n , promotes i ncreased s pecial izati o n .
Su rprisingly, however, eco n o m i es of agglo meration e ncou rage f i r m s of t h e
same l i ne t o locate close t o o n e a noth e r, w h i c h i s why n a m es s u c h a s
H a rley, Fleet, a n d Lom b a rd streets a n d Savil l e R ow - to sti c k t o Londo n
ca l l to m i n d p rofessi o n s rather t h a n pl ace. Besides the no n - n egligible p rofit
and pleasure of s h o p-ta l k, all can s hare access to services t h at n o n e cou ld
s u p po rt alone . . . . A k ey poi nt about econ o m i es of agglo meratio n is that
small b u s i n e sses d e p e n d o n them more t h a n do large o n e s . T h e latte r can
i nte r n a l ize these " exte r n al e co n o m ies" by p rovi d i ng their own se rvices
and gai n locatio n a l freedo m as a res u lt. . . . The relatio n s h i p betwee n large
85
I: LAVAS AND MAGMAS
cities and smal l busi ness is a sym biotic one beneficial to both. The reason
is that smal l firms are the major carriers of i n n ovatio n , includ i ng creative
adaptatio n to cha nge. This was even more true in the d ays befo re scientific
research contributed much to new tech nology. 140
H o h e n be rg a n d Lees a rgue that, whether it was i nfo rmal k n ow- h ow o r
fo r m a l k n owl edge, i n fo rmation was, wjth i ncrea s i n g regu l a rity, o ne o f t h e
m a i n i n p uts of s m a l l-sca le i n d u stry. A n d la rge, d iversified c i t i e s w e r e c e n
t e r s w h e re i n fo rm at io n accu m u l ated a n d m u ltipl ied . The i n n ovatio n s to
w h i c h t h ese e co n o m ies of agglomeratio n led made these cities pio n ee rs
i n m a ny n ew i n d u strial p rod u cts a n d processes, w h i c h wo u l d late r be
expo rted to t h e ce nters of h e avy i n d u stry o n ce t h ey h ad bee n rout i n ized .
"The n atu re of i n fo rmation as an i n put to prod u ct i o n is that it ceases to
be i m po rt a n t o n ce a give n p rocess becomes routi n e . . At t h at point ot h e r
costs - fo r m a c h i n es , basic l a bo r, a n d s pace - take ove r, a nd central cities
are at a serio u s d isadva ntage . M o reover, eco n o m ies of sca l e beco me criti
cal and . . . very l a rge cities are n ot espec i a l ly favored locat i o n s fo r t h e
l a rgest e n te r p r i ses." 141
T h u s , eve n t ho ug h routin izat i o n m ay n ot be co n d u cive to, a n d m ay
eve n prec l u d e , i n n ovati o n , t h i s loss is offset t h ro u g h t h e gai n s d e rived
fro m eco n o m ies of scale. Mo reove r, i n creasi ng the co m m a n d e l e m e n t i n
t h e eco no m ic m ix red u ced not o n ly p ro d u ct i o n costs b u t t ra n sactio n
costs a s we l l . T h i s i s i ndeed h ow t h e n e o i n stitutio n a l ist eco n o m i st Ol ive r
W i l l i a m so n expla i n s t h e re p l ace m e n t of m a rkets by h i e rarchies. I n h i s
v iew, t hese two extrem es a n d t h e i r hybrids represent d i ffe rent "gove r
n a nce structu res" for h a n d l i ng t h e same transact i o n s . Poo r i n fo rmati o n
a bo u t a good t o be exc h an ge d , opport u n i st b e h av i o r by t h e p a rtn e rs of
exc h a nge , d ifficu lties in d rawi ng sal e s c o ntracts t h at foresee all eve ntuali
ties (as we l l a s ot h e r i m p e rfectio n s of real m a rkets) i n crease t h e costs of
tran sact i n g in a d ecentralized way. At t h e l i mit, tra n sact i o n costs m ay
ove rride t h e ga i n s from trade a n d t h e n it m ay prove profitable to switch
fro m m a r kets to h i e ra rc h i e s a s the mode of gove r n i ng t r a n sactio n s . 142
Wi l l i a m so n a rgues, fo r exa m p l e , that as any asset d eve lops a h igh
d egree of s pecificity (e .g., one fi rm buys mach i n e ry geared excl u sively
toward t h e n eeds of a not h e r f i rm , or wo rkers deve l o p s k i l l s for particu l a r
p rocesses), a relati o n s h i p of d e p e n d e n ce d evelops betwe e n t h e people
i nvolved which may leave t h e door o p e n for o p p o rtu n i st b e h avior. I n t h i s
s it u at i o n , give n t h e m u c h i n creased costs of defi n i n g co ntracts t hat cou n
te ract t h e effects of o p p o rtu n i s m , it w i l l pay fo r o n e co m pa ny to a bsorb
t h e ot h e r, t h at is, to replace a re lation based o n p rices by o ne based o n
co m m a n d s . I n t h e case o f wo rkers, t h e tra nsact i o n costs i nvolved m ay
86
GEOLOGICAL HISTORY: 1700-2000 A . D .
be t hose of b a rga i n i ng ove r the terms of a co ntract . The ro uti n izati o n of
t h e p rod u ctio n p rocess and the co n seq u e n t d e-s k i l l i ng of t h e wo rkers
red uces t h e i r barga i n i ng powe r a n d t h e co n se q u e n t costs fo r m a n age rs
of tra nsacti ng i n t h e l a b o r m a rket. 143 H owever, W i l l i a m so n 's a p p roac h , i n
w h i c h a n i n crease i n t h e com m a n d e l e m e n t of eco n o m i c o rga n izati o n s
i s j u stified excl u sively i n terms of effi c i e n cy (eco n o m iz i n g t r a n sacti o n
costs), h as bee n criticized fo r ove rloo k i ng t h e n o n co ntract u a l be n e fits
(to the m a n agers of fi rms) of i n d u strial d isci p l i n e . 144 T h i s i s o n e rea s o n
f o r vi ewi ng the deve l o p m e n t of e co no m i c i n stitutio n s (parti c u l a rly i n t h e
U n ited States) as part of a wide r " o rgan izati o n a l ecology, " w h i c h m u st
i n cl u d e m i l itary i nstituti o n s . I n t h e n ext c h a pter we w i l l need to w i d e n
eve n m o re t h e scope of t h i s "ecology" as w e deve l o p Fo ucau lt's idea t h at
t h e effi c i e n cy of eco no m i c o rga n izati o n s (fo r exam p l e , t h e facto ry sys
te m) needs to be measu red both in terms of eco n o m i c uti l ity a n d i n
terms o f pol itica l o bed i e n ce , w h i c h i s wh ere d i sci p l i n a ry i n stituti o n s pl ay
an i m po rta nt rol e .
I n t h e n i neteenth ce ntu ry t h e re we re two m o re p rocesses b e n efiti ng
h i e rarchies ove r m e s hworks in t h e eco n o my. O n o n e h a n d , a s Douglas
N o rth argues, as eco n o m i es co m plexified (as t h e a m o u nts of fixed ca pita l
i n creased , fo r exa m ple), t h e p r o p o rt i o n of t h e gross n atio n a l prod u ct
spent o n tra n sacti o n costs a l so i n creased . T h i s led to a n i n stituti o n a l evo
l ution in w h i c h i n fo r m a l co n strai nts were i n cre a s i n gly co nve rted i nto
fo r m a l r u l es and dece ntra l ized e n fo rce m e n t re pl aced by the coe rcive
i nte rve nti o n of central states, in o rd e r to kee p tran sact i o n costs re l atively
IOW. 145 On t h e oth e r h a n d , t h e popu l ati o n of co m m ercial o rga n izat i o n s
i n h a biti ng cities ( a n d t h e i n d u stri a l h i nterla n d s t h ese cities a n i m ated)
u nd e rwe nt d ra m atic c h a n ges. I n pa rtic u l a r, an o rga n izat i o n a l form that
p reexisted the I n d u strial Revo l ution but h ad a lways bee n a s m a l l p a rt
of t h e popu lati o n now bega n to prol ife rate: t h e joi n t-stock co m pa ny. T h i s
type of o rga n izat i o n is c h a racte rized b y a separati o n of own e rs h i p from
contro l : t h e own e rs a re a d i s persed gro u p of stock h o l d e rs , and co ntrol of
the co m pa ny passes from the own e r-e ntre p re n e u r to the profess i o n a l
m a n ager (or, rat h e r, to a m a n age r i a l h ie rarchy).
Gal brait h , fo r exa m pl e , a rgues t h at a l t h o u g h joi n t-stock co rpo rat i o n s
h ave boa rds o f d i rectors w h i c h re p re se n t t h e own e rs , i n p ractice t h is
fu n ct i o n h a s beco me l a rgely cere m o n i a l , particul arly i n fi rms w h e re t h e
m a n age rs sel ect t h e mem bers of t h e boa rd . Own e rs h i p i s a l s o sepa rated
fro m control by the fact that the m a n agers h ave a m o re co m p l ete k n owl
edge of the d a i ly o p e ratio n s of t h e fi rm . In t h ese c i rcu msta n ces, t h e
strategy of t h e i n stituti o n c h a n ges fro m o n e of m axi m izing t h e wea l t h of
t h e stock h o ld ers to o n e of growt h fo r its own sake, s i n ce this i n creases
87
I: LAVAS AND MAGMAS
t h e c o m p l exity of t h e o pe ra t i o n a n d h e nce t h e n e e d fo r i n s i d e r, m a n a ger
ial k n owl e dge. 146
I n te re st i n gly, t h e m o st i nt e n s e p ro l i fe r at i o n of t h i s o rga n i zat i o n a l fo rm
did n ot occ u r in the m o re i n d u stri a l ly a dva n ced B r it i s h c i t i es b u t in t h e
U n ited States. (T h e B r i t i s h a n d t h e D utch d i d h a v e j o i n t-stock co m pa n i es,
p a rt i c u l a rly t h e fa m o u s Co m pa n i es o f I n d i a s , w h i c h were l i k e states with
in t h e state . ) 147 I t was in A m e r i ca t h at t h e se o rga n i zat i o n s bega n a p ro
cess of e n o r m o u s growt h by swa l l o w i n g s m a l l e r co m pa n i e s , i n creasi ngly
re p l a c i ng m a r kets with h i e r a r c h i e s . I n d eed , one eco n o m i st goes so fa r as
to say t h at the rea s o n B r ita i n l o st i ts i n d u st r i a l l e a d to t h e U n ited States
by the e a r ly twe n t i et h c e nt u ry was precisely beca u se t h i s a bso r pt i o n of
m a rkets by h i era rch i e s d i d n ot t a ke p l a c e . B ri ta i n 's pro b l e m "was n ot
t h at it re l i e d too l i ttl e , b u t t h at it re l i ed too m u c h , on m a rket coord i n at i o n
of i ts eco n o m i c a ct i v i t i e s . " 148 T h e r e a r e m a ny co m pet i n g exp l a n at i o n s
fo r w h y l a rge-sca l e e nt e r p r i s e s i n w h i c h co m m a n d s i n c r e a s i ngly r e p l a ce
p r i ce s as a coo rd i n at i o n m e c h a n i s m f a i l e d to d ev e l o p o n B r i t i s h s o i l , at
l ea st wit h t h e s a m e i nt e n s ity as on t h e o t h e r s i d e of t h e At l a nt i c . O n e
i ntere st i n g pos s i bi l ity rests o n t h e i d e a t h at Lo n d o n ( a n d t h e rest o f E n g
l a n d 's c i t i e s , w h i c h fe l l u n d e r its co ntrol) was at t h e t i me t h e co r e of t h e
N etwo rk syst e m ( a n d h e n ce of t h e n o w global i z e d wo r l d -eco n o my) a n d
t h at , as s u c h , i t h a d t h e resou rces o f t h e e nt i re wo r l d a s i t s own p r i vate
s u p ply zo n e . (T h a t i s , in t h e n i n et e e n t h c e n t u ry, E n gl a n d a s a w h o l e may
b e seen a s a m o n o po ly.) B a c k i n t h e fou rte e n t h a n d "fifte e n t h ce n t u r i e s ,
w h e n Ve n i ce w a s t h e co r e of t h e E u ro p e a n wo rld-eco n o my, " s h e was fa r
be h i n d t h e p i o n ee r c i t i es of Tu sca ny as regard s b a n k i n g or t h e fo r m a t i o n
of l a rge f i r m s . " 149 I t i s a l m o st , a s B ra u d e l s u ggests, a s i f t h e w h o l e of
Ve n i ce, whose e n t i re po p u l at i o n l e n t m o n ey to t h e m e rc h a nts, were a
h u ge j o i nt-stock co m pa ny it se l f, t h e re by i n h i bi t i n g t h e develo p m e n t of
t h i s o rga n i z at i o n a l fo rm w i t h i n i t .
W h atever t h e re a s o n s fo r t h e d el a y i n B r i ta i n , t h e p r o c e s s of se pa ra
t i o n of o w n e rs h i p fro m co n t ro l a n d t h e w h o l esa l e re p l a ce m e n t of m a rkets
wit h h i e r a rc h i es we re p a rt i c u l a rly c l e a r i n u r ba n sett l e m e nts in t h e U n ited
States. T h i s cou ntry h a d w i t n essed i ts own a cce l e r at i o n of city bu i l d i ng i n
t h e n i n ete e n t h c e n t u ry. W h i l e t h e po p u l a t i o n of towns i n 1790 i n cl u de d
o n l y a co u pl e d oze n c i t i e s , by 1 9 2 0 t h e r e we re a l m ost t h re e t h o u sa n d . l5o
T h i s po p u l at i o n i n c l u d e d ca p i ta l s , gateway p o rt s , a n d i n d u st r i a l tow n s of
d i ffere nt typ e s , fro m o p p ressive a n t i m a rket tow n s l i ke P ittsbu rgh to m o re
soc i a l ly co n ce r n ed text i l e m i l l tow n s l i k e L owe l l , L awre nce, a n d M a n c h es
ter. 151 I n t h e l ater p a rt of t h e ce ntu ry, t h i s a cc e l e r at i o n fu rt h e r i n te n s i fi e d
a n d t h e percen tage of t h e h u m a n p o p u l at i o n l iv i n g i n u r b a n centers d o u
b l e d betwee n 1 890 a n d 1 9 20 . 152 I n d u st r i a l i za t i o n h ad a l so i nte n s i f i e d , s o
88
GEOLOGICAL HISTORY: 1 700-2000 A.D.
t h at by t h e t u rn of t h e ce nt u ry t h e U n ited Stat es had beco m e t h e wo rl d 's
l ea d i ng m a n u fact u r e r.
T h e po p u l a t i o n of co m m e rc i a l i n stit u t i o n s i n h a bi t i n g A m e r i ca n c i t i es
u n d e rwe n t an i nt e n s e wave of i nt e r n a l izat i o n of m a rkets by h i e r a rc h i es.
T h i s i ntegra t i o n took o n e of t h ree fo r m s : b a c kward vert i ca l i ntegratio n ,
w h i c h m e a n t t hat a m a n u fa ct u r e r a bs o rbed i t s s u p p l i e rs of raw m ateri a l s ;
fo rwa rd vertical i ntegrat i o n , w h i c h re s u lted i n t h e i n co rpo ratio n o f a fi r m 's
d i stri b u t i o n syste m ; a n d , fi n a l ly, h o rizo n t a l i n tegrat i o n , w h i c h i n vol ved
t a k i ng over ot h e r fi rms in t h e same i nd u st r i a l speci a l ty. 153 I n the s eco n d
h a l f o f t h e n i n etee n t h c e n t u ry, C h i cago's tool m a ke rs a n d meat p a c k e r s ,
M i lw a u k e e 's beer prod u ce rs , N e w Yo r k 's text i l e m i l l s a n d sewi n g-m a c h i n e
m a n u fa ct u re rs a l l bega n a p rocess o f fo rwa rd v e rt i c a l i ntegra t i o n by
d evel o p i n g t h e i r own n a t i o n w i d e m a rket i n g o perat i o n s , i n te r n a l i z i n g a n
eco n o m i c fu n ct i o n prev i o u s ly pe rfo r m e d by n etwo rks o f co m m i s s i o n e d
s a l e s m e n a n d brokers. W h i l e t h e A m e ri c a n eco n o my i n 1 8 5 0 " w a s o n e of
s m a l l b u s i n esses wit h m a ny u n i ntegrated fi r m s d e p e n d e nt u po n m a ny
m a rketi n g m i d d l e m e n . . . by 1900, co n t e m p o r a ry o bs e r v e rs were d e scrib
i n g a q u ite d i ffe rent wo r l d , a wo r l d of v e rt i ca l ly i ntegrated b i g b u s i n e s s .
A few l a rge fi r m s w h o se i n te rests s pread o u t o v e r t h e w h o l e c o u ntry d o m
i n ated e v e r y m aj o r i n d u stry." 154 A m e r i c a n i n d u st r i a l h i e ra rc h i e s b o t h
a bsor bed t h e i r m a r kets a n d m e rged a m o n g t h e m se l ves, with t h e a i m o f
a vo i d i n g ol i gopol i stic com petiti o n a n d i n crea s i n g c e n t r a l ized co ntro l :
T h e ra i l roads, w h i c h were the cou ntry's first big busi ness, e n co u raged
ot her big busi ness i n at least two ways in add itio n to p rov i d i n g the
mod el. . . . They were a ca rd i n a l factor in creating a nat i o n a l m a rket, and i n
d o i n g so, they p u t a s h a rper edge o n i ntra m u ra l com petit i o n . T h ey broke
down m o n o pol i stic m a rket posit i o n s by m a k i ng it poss ible for fi rms to
i n vade eac h othe r's te rrito ry. To p rotect themselves fro m the wo u nd s a n d
bruises of com petiti o n , b u s i n essmen i ntegrated horizo nta l ly a s well a s
vertical ly, t h u s givi ng a n other boost t o b i g busi ness. 155
I n the n o rt h east e r n U n i ted States, t h e process of i nte r n a l i z at i o n wo u l d
p l ay a n i m p o rta n t ro l e i n t h e n ext great e n e rgy i nt e n s i ficati o n : el ect r i f i ca
t i o n . W h i l e i n d e p e n d e n t i n ve n t o rs ( s u c h as E d i s o n ) , who b e n e fited fro m
eco n o m i e s of aggl o m e rati o n , h a d d e v e l o ped t h e fi rst few el ect r i ca l prod
u cts, a p rocess of i nte r n a l i zat i o n by i n vesto rs15 6 was be h i n d t h e h a r n e ss
i ng of the gravitati o n a l e n e rgy of N i aga ra Fa l l s, a n d i t was t h e l atte r t h a t
tran sfo rm e d e lect r i c i ty from its l i m ited role a s a s o u rce of i l l u m i n atio n to
t h a t of a u n iversal fo rm of e n e rgy. I n t h e cou rse of t h i s u n d e rt a k i n g, c r u
c i a l tec h n i c a l q u est i o n s (s u c h a s t h e r e l at i ve m e rits o f d i rect v e r s u s a l te r-
89
I: LAVAS AND MAGMAS
n at i ng cu rre nt) we re settl e d , a nd t h e natu re of t h e e n terprise itse l f (a
p ro d u cer of e n e rgy, not a s u p p l i e r o f l i ght) was e l u c i d ated . T h e d r i v i n g
force be h i n d t h e p roject wa s a gro u p of ba n kers w h o fo rmed t h e Cata ract
Co n st r u ct i o n Co m p a ny in 1889. T h ey i nte r n a l ized an esta bl i s hed c o m
p a n y a nd a l l its m a c h i n e ry, a n d s e t o u t to face t h e co m p l ex tec h n i c a l a n d
l ogisti cal pro b l e m s of co n q u e ri ng t h e fa l l s. By 1896, t h e p l a n t t h ey b u i l t
was tra n s m i tt i ng powe r to t h e city of B u ffa lo, a n d t h e e l ectri cal u t i l ity
co m p a ny as we k n ow it had co m e i n to existe n c e . 157
A prod u ct of i n v e sto r i nt e r n a l izat i o n , t h e el ect r i c a l i n d u stry h e l ped
p i o n e e r a n ew fo r m of ab so rpt i o n : the d i rect i n ter n a l izati o n of eco n o m i e s
of aggl o m e ratio n . U n l i k e its riva l s (co a l gas fo r i l l u m i n at i o n , ste a m fo r
moto rizat i o n ) , e l ect r i city was i n c rea si ngly d e pe n d e nt o n formal a nd i n fo r
m a l k n ow l e d ge fo r its d evel o p me n t . K n ow l edge, i n t u r n , i s a n i n p u t of
p rod u ct i o n w h i c h exacts h ig h tra n sa ct i o n costs. O n ly w h e re patents a re
perfectly e n fo rce a b l e wi l l i n fo r m a t i o n be a l lowed to flow t h ro u g h m a rkets,
e l se a n t i m a rkets wi l l p re fe r to i ntern a l ize i t i nto t h e i r h i e rarc h i e s . l58 One
way a corpo rate h i e ra rchy m ay i nte r n a l ize k n owledge is by fu n d i ng a
rese a rc h l a b o rato ry. A l t h o u g h t he G e r m a n orga n i c-c h e m i stry l a b o rato ries
a n d Ed i so n 's Menlo Park l a b were precu rso rs, t h e fi rst modern i n d u st r i a l
l a b o ratory ded icated excl u s i ve l y t o research (as o p posed to m e re testi ng)
was created by t h e G e n e ral E l e ct r i c C o m pa ny in t h e ea rly ye a rs of t he
twe ntieth ce n t u ry. T h e G . E . l a b , a nd t h e m a n y t h at we re l at e r created i n
its i mage , m ay b e v i ewed a s a n i nte r n a l i zed m e s h wo rk o f s k i l l s :
I t i s a great strength of t h e i n d ustrial la boratory t h at i t c a n b e bot h "spe
cial ist" a n d "ge n e ra l i st," permitting an i n d ivid ual to wo rk alone or a team
to work together. . . . The re search l a b o ratory prov i d e s an i n d i v i d u a l with
access to s k i l l s and fa cil ities wh i c h greatly i n crease h i s capacity. It ca n at
the same time, however, orga n ize a team effort fo r a specific ta sk and
t h u s create a co l l ective "generali st" with a greate r range of s k i l l s and kn ow l
edge tha n a ny i nd ivid u a l , no matter how gifted, co u l d pos s i b ly acq u i re i n a
l i fetime. 159
Alt h o u g h t h e u se of e l ectricity as an e n e rgy sou rce owed its o rigi n s to
u rb a n eco n o m i e s of agglo m e rat i o n a nd t h e i n form at i o n t h ey ge n e rate,
o n ce t h ose m e s h wo rks had bee n i nt e r n a l ized a n d ro u t i n ized, e l ectricity's
f u t u re belo nge d to eco n o m i e s of sca l e . M u c h as t h e ste e l i n d u stry, w h i c h
req u i red l a rge r a n d m o re s o p h i st i cated m a c h i n e r y a n d p l a n t s t h a n i ro n
m i l l s , a u to m a t i c a l l y b e n efited l a rger e nte rprises, s o e l ect r i city i m me d i
a t e l y m at c h e d t h e s ca l e at wh i c h a nt i m a r ket i n st i t u t i o n s o p e rate. 160 T h e
n e w i n te n s i ficati o n t o o k pl ace a l o ng seve ral fro n t s . S i ze , t e m perat u re ,
90
GEOL OGICAL HISTORY: 1700-2000 A . D.
a nd press u re were a l l i nt e n s i fi e d to ge ne rate eco n o m i e s of sca l e i n t h e
production p rocess. Vo ltage , too, wa s greatly i nt e n s i fi e d , a n d positive
feedback was created i n the transmission p rocess a s wel l . Yet, a s fa r a s
e l ectricity's effect o n soci ety, t h e i nt e n sificati o n t h a t mattered m o st w a s
t h at of consumption , w h i c h fol l owed n at u ra l ly fro m el ect ricity's m u l t i t u d e
o f pote n ti a l u s e s . I n o t h e r words, t h e i nj ecti o n o f m o re a n d m o re e n e rgy
i n to u rb a n centers wo u l d n ot on its own h ave p rod uced m u c h o f a
c h a nge, si n ce t h e u se s to w h i c h t h e o l d e r fo rm s of e n e rgy co u l d be p u t
w e r e l i m ited . At s o m e p o i nt u rb a n societ i e s wo u l d h a ve reached a poi nt
o f satu rat i o n , and the i n t e n sificat i o n wo u l d h av e cease d . But el ect ricity
si m u lt a n e o u sly i n creased t h e flow of e n e rgy a n d t h e pote n t i a l uses o f
t h a t e n e rgy. H e n ce, i n t h i s ca s e , it w a s as m u c h t h e i nt e n s ity a s t h e form
of t h e new e n e rgy i n p uts t h at m atte re d .
At t h e t u r n o f t h e c e n t u ry, e l ect r i c i ty h a d t h re e poss i b l e u se s , n o t to
m e nt i o n a m u lti t u d e of pot e n t i a l u ses ( s u ch a s co m p ute rs) that wo u l d be
rea l i zed o n ly l at e r. T h e se t h ree a p pl icat i o n s were co m m u n i cat i o n s , li ght
i ng, a n d me c h a n i cal powe r. T h e f i rst two were t h e bett e r k n o w n , s i nce
el ectri city h ad been co n n ected wit h the flow o f i n fo rm a t i o n fro m e a rly o n .
Sto red i n b atte r i e s , i t h a d powered t h e tel egra p h t h ro u g h o u t t h e n i n e
tee nth c e n t u ry. E l ectri city h a d a l s o powe red l ig h t i n g syste m s , begi n n i ng
i n t h e 1870s . B ut its t r u e tra n sfo rm i ng powe r wo u l d not d e p e n d as m u c h
o n i t s ro le i n com m u n icat i o n s o r i l l u m i n at i o n a s i n t h e creati o n of a n e w
b reed o f motors t h at, u n l i ke ste a m e ng i n es, co u ld b e miniaturized, w h i c h
p e r mitted a n ew d egree o f c o n t ro l o v e r t h e flow of m e c h a ni cal e n e rgy. 161
T h e m i n i at u riza t i o n of m ot o rs a l l owed t h e grad u a l re p l a c e m e n t of a c e n
tral i ze d e n gi n e by a m u lt i t u d e o f d ecentra l i zed o n e s ( e v e n i n d i v i d u a l too l s
co u l d now b e m otorized ) . M ot o rs bega n d i s a p p e a ri n g fro m vi ew, weav i ng
t h e m s e l v e s i n to t h e very fa b r i c of re a l ity.
Of co u rse, e l ectricity wa s not t h e sole ca u se of t he l a st great i n t e n s i fica
tion u n d ergo n e by We ste r n cities. A s wit h e a r l i e r i nte n s i fi c a t io n s, i t was
the i nt e r p l ay of several i n n ovati o n s ( e l e ctri city and e l e ctr i c a l prod u cts, t h e
a u to m o b i l e a n d its i nt e r n a l co m b u st i o n engi n e , p l astics a n d o t h e r syn t h etic
m a teria l s , ste e l a n d oil) t h at a l l owed t h i s i nt e n s i fi cat i o n to su sta i n i tse l f.
I t is a l so i m p o rta n t to k e e p i n m i n d t h at t h i s n ew we b of i nterloc k i n g
tec h n o l ogies d i d n ot re p l a c e t h e o l d o n e . A l t h o u g h coa l lost gro u n d to o i l
i n t h i s c e n t u ry, e v e n a s l ate as t h e 1960s coa l sti l l acco u nted f o r h a l f o f
t h e wo r l d 's e n e rgy co ns u m pt i o n , a n d its rese rves we re l ess d e p l eted t h at
t h o se o f oi l . 162 R a t h e r t h a n p e r fo rm i ng a w h o l e sa l e re p l ac e m e n t , t h e n e w
c i rc u i t o f trigg e rs a n d fl ows i n se rted itse l f i n to t h e o l d o n e . T h e o rigi n a l
l o o p (co a l - i ro n -ste a m -cotto n), a n d its newly acq u i red n o d e s (ra i l ro a d s ,
t e l egra p h), conti n u ed to f u n ct i o n i nto t h e twe n t i et h ce n t u ry. T h e n ew
91
I: LAVAS AND MAGMAS
e mselve s i nto t h e p r ev i o u s m e s hwor k ,
tec h n o l og i e s s i m ply grafted t h
i c i pati n g i n i t s s e l f-re p rod u ct i o n a n d ,
rt
a
p
,
s
e
d
o
n
r
e
h
t
o
t
e
y
beco m i ng
. R at h e r t h a n b e i n g l eft be h i n d , t h e o l d
h e n ce , r e p rod u c i n g t h e m s e l ves
l o s i n g a few t rigger-f l ow com po n e nts w h i l e
,
d
e
fi
i
x
e
l
p
m
co
ly
p
m
i
s
c i rc u i t
g a i n i ng m a ny n ew o n es .
C it i e s be ga n t o c h a nge u n d e r t h e i n f l u e n ce of t h ese n ew n od e s . N ew
Yo r k a n d C h i cago i n p a rt i c u l a r expe r i e nced an i nt e n se e l ectrifi cat i o n a n d
m e t a l l izati o n , w h i c h res u lted i n t h e b i rth o f t h e skys c r a p e r, a n o rigi n a l
u r ba n fo rm u n i q u e to t h e U n i ted States, p r i o r to Wo r l d Wa r I I . T h e i ro n
fra m e , w h i c h a l l owed m a so n ry wa l l s t o b e re p l aced w i t h glass, h a d been
p i o n e ered in E u r o p e a n c i t i e s such a s L o n d o n and Pa r i s . B ut it was i n
A m e r i c a t h at t h i s m etal l i c e n d os k e l eto n evo lved i nto t h e s kysc r a p e r.
El ect r i c m oto rs i n t u r n a l l owed e l e vato rs to tra n s po r t p e o p l e vertic a l ly
t h ro u g h t h ese h u ge towers. C h i cago p i o n e e red t h e u s e of steel a n d e l ec
t r i city i n t h e co n st r u cti o n i nd u stry, cata lyzed by t h e great fi re of 1 8 7 1 ,
w h i c h d estroyed t h e city's co m m e rc i a l c e n t e r a n d l it e ra l ly c l e a red t h e way
fo r i n n o vative b u i l d i n g tech n i q u es to be a p p l i e d . By t h e 1890s, C h i cago
was the w o r l d c a p i t a l of the s kysc r a p e r, with N ew Yo r k a close seco n d .
B u t i f el ect r i city a n d steel a cted a s centri peta l forces, m a ki ng possi b l e
t h e i nte n se h u m a n a n d m ac h i n e co n c entra ti o n s re p rese nted by t h e n ew
mega c i t i e s , t h e i nt e r n a l co m b u s t i o n e n gi n e a n d t h e a u t o m o b i l e h a d a
c e n t ri f u ga l e ffect, a l lowi ng p e o p l e to move out of c e n t r a l c i t i es i nto ra p i d ly
growi ng s u b u rba n a re a s . A u t o m o b i l e s , say H o h e n be rg a n d L e e s , " a cted
as a s o l v e n t r a t h e r t h a n a c e m e n t to the u rb a n f a b r i c . " 1 6 3
T h e year 1920 m a r k s a t u r n i n g poi nt i n t h e acce l e rati o n of A m e r i c a n
city b u i l d i n g , t h e m o m e n t w h e n t h e n u m be r o f A m e r i c a n s l i v i n g i n cities
s u r p a ssed t h e n u m be r i n h a b i t i n g r u ra l areas. But 1 92 0 a l so m a rks the
m o m e n t when t h e growt h of central c i t i e s was s u r p a s s ed by the growth at
t h e i r fri nges, the m o m e n t u r b a n d eco n ce ntrati o n bega n to i nte n s ify. As
s u b u r bs sta rted h o u s i n g m o re of the u r b a n p o p u l a t i o n t h a n cen tra l cities,
the l a tter b e c a m e p a rt of l a rge r " m etro pol i ta n regi o n s " (as t h ey ca m e to
b e k n o w n ) a n d of a n ew te rr i t o r i a l d i v i s i o n of l a bo r. C i t i e s lost so m e of
t h e i r eco n o m i c f u n ct i o n s to su b u r b s a nd i nd u str i a l h i nterl a n d s, a n d
d ev e l o p e d s peci a l i zat i o n s i n yet ot h e r f u n ct i o n s ( t h o se t h at were i n fo r m a
t i o n - i n t e n s i ve). T h i s p rocess w a s l a rgely u n p l a n n e d , form i ng a te rrito r i a l
m e s hwo r k of i nt e r l oc k i ng s p e c i a l izat i o n s . As o n e a u t h o r p u ts i t , " O n e
m ig h t d es c r i b e t h e m etro p o l i t a n re gio n a s a gi a nt n etwo r k o f fu nct i o n a l
relat i o n s h i ps i n sea rc h of a fo rm a n d a gover n m e nt . " 164
B e s i d e s t h ese c h a nges i n i n te r n a l fo r m , t h e relati o n s h i p betwee n cities
in E u rope a n d in A m e r i c a bega n to c h a nge. I n pa rti c u l a r, t h e core of the
global N etwo r k system s h i fted i n t h e 1 920s from L o n d o n to N ew Yo r k
92
GEOLOGI CAL HISTORY: 1700-2000 A.D.
C i ty. By t h e twe n t i e s , N ew Yo rk h a d a l ready e n j oyed several d ec a d e s of
fi n a n c i a l i n d e p e n d e n ce from L o n d o n . For i n sta n ce, e l e ctri f i cati o n , u n l i k e
N ew Yo r k 's e a r l i e r i n t e n s i fi cati o n s, h a d n ot b e e n fi n a n ced from a b ro a d . 16 5
A few d ec a d e s later, a fte r Wo r l d Wa r I , t h e U n i te d States e m e rged as a
c red itor n at i o n , a n d a n ot h e r m a ri t i m e metropol i s ( N ew Yo rk), not a l a n d
l o c ked c a p i t a l (Wa s h i ngto n), wo u l d a s s u m e t h e ro l e a s c o r e of t he g l o b a l
N etwo r k syste m .
H owev e r, N ew Yo rk wou l d soo n e x p e r i e n ce a p h e n o m e n o n w h o s e roots
went back seve ra l c e n t u r i e s , to t h e t i m e w h en n atio n- states fi rst bega n
to swa l l ow u p u r b a n c e n t e rs : t h e p rocess of city killing. O n e fact o r co n
t r i b u t i n g to t h e d e p l e t i o n of u r b a n a u tocata lyt i c dy n a m i cs was t h e u n
p reced e n ted m o b i l ity of l a rge co rpo ratio n s , w h i c h , h a v i n g i n ter n a l i z e d t h e
b e n efits of eco n o m i es of aggl o m e ra t i o n , co u l d m o v e h e a d q u a rte rs a n d
p rod u cti o n faci l it i es w i t h relative e a s e . U n l i ke s m a l l f i r m s , w h i c h a re
l o c ked i n a m e s h w o r k of i nterd e p e n d e n c i es w i t h ot h e r s m a l l e n t e r p r i ses
and h e n ce ca n n ot e a s i ly m o ve to a n ot h e r ci ty, i nd u st r i a l a n t i m a r kets a re
free to c h a nge l ocati o n betwe e n , or o u ts i d e of, u rb a n ce nters. A n d a s
t h ey m ove away, l a rge co r p o rat i o n s t a k e t h e i r i n ter n a l i ze d m e s hwo rks
w i t h t h e m , d e p r i v i n g c i t i e s of a n i n ca l c u l a b ly v a l u a b l e reso u rc e . M e s h
wo rks of sm a l l f i r m s m ay a l so be d estroye d i n a m o re d i rect w a y by l a rge
o rga n i zati o n s u s i n g t h e i r eco n o m i e s of sca l e to ga i n co ntrol of m a rkets.
I n B ra u d e l 's wo r d s :
O v e r the twenty yea rs or so before the crisis of the 197 0's, N ew Yo rk - at
that time the lead i n g i n d u strial city i n the world - saw the decl i n e o n e after
a n other of the l i ttl e firms, so meti mes em ploying l ess t h a n t h i rty people,
w h i c h made up i ts commerci a l a n d i n d ustrial s u bsta n ce - t he h u ge cl oth
i n g sector, h u n d reds of small pr i nters, m a ny food i nd u stries a nd s m a l l
b u i lders - al l co ntri b u t i ng t o a tru ly "com petitive" world whose l itt le u n i ts
were both in com petiti o n wi t h , yet dependent u po n each other. The d is
o rga n i zati o n of New Yo rk wa s the re s u l t of the s q u eezi ng out of t h ese t h o u
s a n d s of b u s i n esses w h i c h i n the p a s t made it a c ity where co n s u m ers
co u l d fi n d in town anyt h i n g they wa nted, prod u ced , stored and sold o n the
s pot . I t was the b i g firms, with t he big prod u ct i o n u n i ts o u t of town , wh i c h
o usted the l ittle m e n . 1 66
A n t i m a rket o rga n izat i o n s w e re not t h e o n ly h i e ra r c h i c a l st r u ct u res
e ngaged in city k i l l i ng . Acco rd i n g to J acobs, go ver n m e n t a l b u rea u c racies
h a v e fo r c e n t u r i e s b e e n d e st royi ng u rb a n m e s h w o r k s in a va r i ety of
ways, a d i versity of " t r a n s a ct i o n s of d ec l i n e " (as s h e calls t h e m ) t h at
res u lt i n t h e l oss of p o s i t i v e fee d b a c k , or at l e a st i n t h e l os s of t h e s p e c i a l
93
I: LAVAS AND MAGMAS
type of e co no m i e s of agglome ratio n i n volved i n i m po rt-s u bstit u t i o n
dyn am i cs. Beca u se s m a l l c i t i e s n eed a flow of i m p o rts to b u i l d u p t h e crit
ical m ass t h at res u lts i n an explosive e p isod e of rep l ace m e n t dyn a m i cs ,
a ny gove r n m e nt p o l i cy t h at redi rects t h i s flow away f r o m t h e m i s a pote n
t i a l c ity k i l l e r. Taxi ng u rb a n ce nters i n o rd e r t o s u sta i n ru ral s u bsid i es i s
o n e exa m p l e , as i s t h e p ro m otion of trade betwee n l a rge a n d s m a l l cities,
si nce a l a rge city wi l l attem pt to tra n sfo rm a s m a l l e r city i nto a s u p ply
zo n e . (As we o bse rved earl i e r, vo l ati l e trade req u i res backward c ities to
u se each ot h e r sym b i otical ly. ) 167
To retu r n to o u r m a i n a rgu ment, d es pite t h e loss of vital ity of m a n y
citi e s , t h e great a u tocatalytic loo p of trigge rs a n d fl ows conti n u ed to com
p l ex i fy by a cq u i r i ng n ew nodes (e lect ri city, automo b i l es), w h i c h a l l owed
it to c i rc u mvent i nt e r n a l l i m its to its growt h (su c h as a satu ration of t h e
u rb a n d e m a n d fo r m o re a n d m o re e n e rgy). T h e co n ti n u i ng growth also
d e p e n d e d , of co u rs e , o n ot h e r facto rs, s u c h as t h e ava i l a bi l ity of rela
tively c h e a p e n e rgy sou rces, a n d t h is i n turn d e p e n d ed on the a b i l ity of
Wester n n at i o n s to tran sfo r m t h e rest of t h e wo rld i nto a vast p e ri p h e ry,
o r s u p ply zo n e . We wi l l ret u r n to t h e q u esti o n of col o n i a l is m i n t h e n ext
c h a pter, b u t fo r n ow it will s u ffice to n ote that, u n l i ke t h e o rigi n a l c i rcu it
of t rigge rs and flows in B ri t a i n d u ri ng the I n d u strial Revol utio n , t h e
resou rce n od es i n t h e exp a n d ed ve rs i o n of t h e l o o p (t h e seco nd i n d u s
trial revo l u t i o n ) h ad l o n g been i nternatio n a l . (Western cities became
pai n fu l ly awa re of t h e i r l o ng depe n d e n ce o n u n d e rpriced e n e rgy - a n d
h e n ce t h e i r d e p e n d e nce o n t h e i r g l o b a l s u p ply zo n es - d u ri n g t h e o i l
c r i s i s of t h e 1 970s . ) T h e a u to catalytic l o o p beca m e i n creasi ngly d ep e n
d e n t, too , o n t h e f l o w of i n fo rm atio n . A n d t h i s fl ow, i n t u r n , bega n to
be affected by t h e creatio n of n ew i n stitutio n s : t h e resea rc h l a bo ratory
and the tec h n ical u n ive rsity. As Peter D rucker writes:
Few of the majo r figu res i n 19th ce ntu ry technology received much fo rmal
ed ucatio n . The typ i cal i nve ntor was a mechanic who bega n his apprentice
s h i p at age fo u rtee n or earlier. The few who had go ne to col lege [Eli Whitney,
Samuel Mo rse] had n ot, as a ru le, been trained i n technology or science,
but were libera l arts students . . . . Tech nological i nvention and the develop
ment of i nd ustries based on new knowledge were i n the hands of craftsmen
and artisans with l ittle scie ntific education but a great deal of mechan ical
ge n i us . . . . The 19th century was also the era of tech n ica l-u n ivers ity build
i ng. Of the majo r tec h n ical i n stitutio ns o n ly one, the Ecole Polytechn i q u e i n
Pa ris, a ntedates t h e ce ntu ry. . . . B ut by 1901, w h e n t h e California I nstitute
of Tec h n ology in Pasadena adm itted its fi rst class, vi rtua lly every one of
the major tec h n i cal coll eges active in the Weste rn world today had al ready
94
r-�"
GEOLOGICAL HISTORY: 1700-2000 A . D .
com e i nto bei ng. Sti l l , in the o pe n ing decades of the 20th ce ntu ry the
mom e n t u m of tech n ologica l p rogress was being carried by the self-ta ught
mechanic without s pecific tec h n ical o r scientific ed u catio n . 168
The switch fro m t h e s e l f-ta ught i n ve nto r of t h e n i n eteenth centu ry to
t h e i n d u strial l a bo rato ry of t h e twe ntiet h , wit h its staff of tec h n ical
u n i ve rsity grad u ates, i nvolved a reve rsal i n t h e b a l a n ce o f powe r betwe e n
i n fo rm a l a n d fo rmal k n ow ledge. Sti l l l a t e r o n , t h e adve n t of co m p u ters
(wh ic h a re basica l ly a u to m ated fo rmal systems) a p p e a red to co n s o l i d ate
t h e victo ry of a n a lyti cal ove r e m bodied k n owledge, to t h e poi n t w h e re t h e
d i fferen ce itself seemed t o va n i s h fo r a l l b ut a few p h i lo so p hers. 169
Acco rd i ng to G a l b ra i t h , t h e e n l a rged role t h at k n owledge b ega n to p l ay
as a n i n pu t to prod u ct i o n p rocesses (as wel l as i n ot h e r areas of corpo rate
a ctivity, s u c h as m a rket i ng) h ad a s ign i fica n t i m pact o n t h e gove r n a n ce
struct u re of l a rge eco n o m ic o rg a n izatio n s , a cti n g as a co u n te r b a l a n ce to
t h e i ncrease d a mo u n t of com ma nd e l e m e nts i n t h e i r m ix. Despite t h e
existen ce of m a n ageri al h i e ra rc h ies i n most co rpo ratio n s , the deci s i o n
m a ki ng p rocesses wit h i n t h ese i n stituti o n s a re n ot ba sed e n t i rely o n r a n k
a n d fo rmal a u t h o rity, b u t o n com mittees, an appa rat u s for gro u p deci s i o n
m a k i n g (wh i c h h e c a l l s t h e "te c h n ostr u ctu re"). Th ese co m mi ttees se rve
as a m e a n s fo r poo l i ng k n ow ledge, fo r m a l and i n fo r m a l , a nd a s m e c h a
n isms fo r test i n g t h e releva n ce of col lective o p i n i o n s. Top m a n agem e n t
ten d s s i m ply t o rat i fy t h e d ecisi o n s made b y t h ese col lective bodies, p a r
ticul arly i n situ atio n s w h e re t h e deci s i o n s to be m a d e a re n ot routi n e . 17 0
The i nten sificatio n of t h e flow of k nowl edge a l so affected t h e dyn a m i cs
of cities a n d t h e i r i n d u strial h i n terl a n d s . A recen t study of two i n d u st ri a l
h i nterl a n d s - " S i l i co n Va l ley" i n N o rt h e r n C a l i fo rn i a a n d R o ute 1 2 8 n e a r
Bosto n , bot h o f w h i c h d eveloped i n close co n ta ct w i t h tec h n i ca l u n iversi
ties (Sta n fo rd and M assac h u setts I n stitute of Tec h n ol ogy, respectively)
i l l u strates t h e effects of t h i s i nte n s i fi catio n . The study o bse rves t hat:
S i l ico n Va l ley' has a d e ce ntra l ized i n d u strial system that i s o rga n ized arou n d
regi o n a l n etworks. L i k e f i r m s i n J a p a n , a n d pa rts of Germany a n d I taly,
Silico n Val ley co m pa n i es tend to d raw on local knowled ge a n d relati o n s h i ps
to create n ew m a rkets, p rod u cts, a nd appl icati o n s . T h ese special ist firms
co mpete i ntensely while at the same t i m e l ea r n i ng from o n e a nother a b o ut
changing m a rkets a n d tech nologies. The regi o n 's d e n s e social networks
and open labor m a rkets e ncou rage experim e n tation a n d e ntreprene u rs h i p.
The b o u n d a ries with i n firms a re p o ro u s, as a re those betwee n firms t hem
selves and betwee n firms a n d local institutions such as trade association s
and u n ive rsities. l7l
95
I: LAVAS AND MAGMAS
T h e growt h of t h i s reg i o n owed very l ittl e to l a rge fi n a n ci a l flows fro m
gove r n m e nt a l a n d m i l itary i nstitutio n s . S i l ico n Va l l ey d id n ot deve l o p so
m uc h by eco n o m ies of scale as by the ben efits d e rived from an agglom
e ratio n of v i s i o n a ry engi n e e rs , speci a l ized co n s u lta n ts, and fi n a n c i a l
e nt re p re n e u rs . E ng i n e e rs m o v e d ofte n fro m o n e fi rm t o a n ot h e r, d eve l o p
i n g loyalties to t h e c ra ft a nd t h e regio n 's n etworks, n ot to a ny partic u l ar
co rpo ratio n . T h i s co n ti n u a l m igrati o n , toget h e r with a n u n u s u a l (fo r cor
po rat i o n s) c u ltu re of i n fo rm atio n s h a ri ng a m o ng t h e local prod u ce rs,
e ns u re d t h at n ew fo r m a l and i nfo rm a l k n owledge wo u l d d i ffuse ra pid ly
t h ro ugh t h e regio n . B u si n ess associatio n s foste red co l l a bo rati o n between
sma l l a n d m ed i u m-sized co m pa n ies. R i s k taki ng and i n n ov at i o n we re
preferred over sta b i l ity a n d ro ut i n izati o n . (Of co u rse, t h i s does not m e a n
t h at t h e re we re n o t l a rge, ro uti n ized fi rms i n S i l ico n Val ley, o n ly t h at t h ey
d i d n ot d o m i n ate t h e m ix . ) N ot so o n Ro ute 1 28:
While Sil ico n Va l l ey prod ucers of the 1970's were em bedded in, and
i n separable from, i ntricate social and tech n ical netwo rks, the Route 128
region came to be dom i nated by a small n u mber of h ighly se lf-sufficient
corporations. Co nso n a nt with New E ngland 's two ce ntu ry old ma n u factur
i ng traditi o n , Route 128 fi rms sought to prese rve their i ndependence by
i nte rnalizing a wide ra nge of activities . As a res u lt, secrecy and corporate
loyalty govern re lations between firms and their customers, s u p pl iers,
and com petitors, re i nfo rci ng a regional culture of sta b i l ity and se lf-re l iance .
Corpo rate h ierarch ies ensured that authority rema i n s centra l ized and
i n formatio n flows vertical ly. The bou ndaries between and wit h i n fi rms and
between fi rms and loca l i nstitutions thus rema i n fa r more d istinct . 172
Befo re t h e recessi o n of t h e 1980s, bot h Sil ico n Va l ley a n d R o ute 128
had be e n c o n ti n u o u sly expa n d i ng, o n e o n eco n o m ies of agglomeratio n
a nd t h e ot h e r o n eco n o m i es of scale (o r, rath e r, m ixtu res d o m i n ated by
o n e type o r t h e ot h e r); n o n et h e l ess, t h ey bot h felt t h e f u l l i m pact of t h e
downtu r n . I n resp o n se to h a rd t i mes, som e l a rge S i l ico n Va l l ey fi rms,
ignoring t h e dyn a m ics be h i nd t h e regi o n 's s u ccess , bega n gea ri ng p rod u c
t i o n towa rd eco n o m ies of sca l e , t ra n sfe r r i n g t h e m a n u fa ct u re of ce rta i n
pa rts t o ot h e r regio ns a n d i nte r n a l izi ng activities p rev i o u sly performed
by sma l l e r fi rms. Yet t h e i ntensi ficat i o n of routi n izatio n and i nte r n a l iza
t i o n in Si l ico n Va l l ey was not a co n st itutive pa rt of the regio n (as it was o n
R o ute 1 28), w h i c h m ea nt t h at t h e o l d m es hwo rk system cou l d b e revived .
A n d that is, i n fact, what h a p p e n e d . Si l ico n Va l ley's regi o n a l n etwo rks
we re ree n e rgized, t h ro u g h the b i rt h of n ew firms in the old pattern , a n d
t h e regi o n h a s n o w ret u r n ed to i t s fo rmer dyna m i c state , u n l i ke t h e co m-
96
GEOLOGICAL HISTORY: 1700-2000 A.D.
m a n d - h eavy Ro ute 1 28, w h i c h conti n u es to stag n ate. T h is s hows t h at,
while eco n o m i es of scale a n d eco n o m i es of agg l o m e rati o n , as fo rms of
positive feedback, bot h p ro mote growt h , o n ly the l atte r e n d ows firms
with t h e res i l i e n ce and a d a pta b i l ity n eeded to co pe with adve rse eco
n o m i c co n d itio n s .
T h e case o f S i l i co n Va l l ey a n d Ro ute 1 2 8 s h ows t h at t h e re a re seve ra l
v i a b l e l i n es of deve l o p m e n t fo r futu re prod u ctio n syste ms, m u c h as t h e re
were a lte r n at ive fo rms of i n d u strial izatio n i n prev i o u s ce ntu ries. Paradoxi
cal ly, t h e co m p ute rized p rod u cts m a n u fact u red in t h ese t'yVo i n d u st ri a l
h i n te r l a n d s , a n d t h e f u rt h e r i nt e n sificat i o n i n t h e flow of k n owl edge t h at
co m pute rs a l l ow, co u l d p u s h t h e evol u ti o n of i n d u strial p rod u ct i o n i n
e i t h e r d i rectio n , t o i nc rease o r decrease t h e re l ative p ro p o rtio n s o f co m
mand a n d self-o rga n izatio n .
O n o n e h a n d , co m p uters m ay beco me t h e m a c h i nes t h at fi n a l ly e l i m i
n ate h u m a n bei ngs a n d t h e i r fl exi b l e s k i l l s from i n d u strial prod u cti o n ,
as i n fu l ly a uto mated facto ries. M at u ra n a n otes t h at o n e c h a racte ristic o f
a utocata lytic loops is t h at t h e i r i nte r n a l states d ete rm i n e m ost of t h e i r
be havi o r, with extern a l sti m u l i p l aying t h e ro l e of t rigge rs. H e co m pa res
this to p u s h-butto n m a c h i n e s w hose be h a v i o r i s n ot cau sed by the p u s h
i ng of a butto n , o n ly triggered b y itY3 Auto m ated facto ries a re very
co m plex p u s h-butto n m a c h i nes of t h is type a n d , as s u c h , planned autocat
alytic loops. I n d ee d , as l ate as t h e 1960s, a ro uti n ized , rati o n a l ized p ro
d u ctio n p rocess t h at ge n e rated eco n o m i es of sca l e was t h o u ght by m a n y
to be t h e pe rfect exa m p l e of a w h o l e t h at is m o re t h a n t h e s u m of its
pa rts. T h at so-ca l l ed systems a p p roach cele brated ro uti n izatio n as t h e
crow n i ng ach ievement of m o d e r n sci e n ce . 174 Tod ay w e k n ow t h at p l a n n ed
loops of trigge rs a n d fl ows a re o n ly o n e of a n u m be r of system s t h at
exh i bit e m e rgent p ro perties, a n d t hat spontaneou sly ge n e rated loops
may be m o re a d a ptive and res i l i e nt than rigi d ly p l a n n ed o n es. 175
A u to m ati o n resu lts i n s e l f-su sta i n i ng a utocata lytic loops o f ro u t i n e s ,
with a l i m ited ca pacity fo r s p o n t a n e o u s growt h . T h ese l oops e m e rge a nd
grow by co r po rate p l a n n i ng, so t h ey c a n be o n ly as good as t h e p l a n n e rs
t h e mselves. On t h e ot h e r h a n d , i n stead of a i d i ng t h e growt h of s e l f-su ffi
cient co rpo rati o n s , co m pu te rs ca n be u sed to c reate a n etwo rk out of a
co l l ecti o n of sm a l l fi rms, as h a p p e n ed i n some i n d u st ri a l h i n te r l a n d s i n
E u rope, a l l owi ng eco n o m ies o f agg l o m e rati o n t o co m pe n sate fo r t h e l a c k
of s c a l e of t h e i n d iv i d u a l fi rms. 176 I n t h i s ca se, t h e a b i l it i es of t h e i n d ivid u
a l s i n vo lved wi l l be a m p l i fied by p rocesses of se l f-orga n izati o n occ u rri ng
at t h e i n stitutio n a l and regi o n a l leve l s. By faci l itati n g t h e fo rm ati o n of
m es hwo rks of co m p l e m e nta ry eco n o m ic fu n ct i o n s , the co m p ute rs created
in i n d u st ri a l h i nterl a n d s co u l d a l l ow u rban centers to recover t h e rich
97
I: LAVAS AND MAGMAS
n o n l i n e a r dyn a m i cs of e a r l i e r p rod u ction methods, s u c h as i m po rt-su bsti
tution d y n a m ics .
I f s o m et h i ng l i ke t h i s were to h a p pe n , t hese regi o n s wo u l d s i m ply be
repayi n g a very o l d d e bt to citi es. I n d u strial h i nte r l a n d s h ave a lways
e m e rged i n close co n n ectio n with dyn a m i c u rb a n ce nte rs , spawned a nd
n o u ri s h ed by cities a n d town s enjoyi ng some k i n d of positive feed back
fro m t h e i r aggl o m e rati o n of s k i l l s and eco n o m i c fu n ct i o n s . Cities t h at
served mostly a s a d m i n istrative ce n te rs, with m o re com m a nd t h a n m a r
ket co m po n e n ts , d i d n ot a n i m ate active i n d u stri a l regi o n s beyo n d t h e i r
bo rd ers. Lo n d o n , Amsterd a m , Paris, L o s A nge les, N ew Yo rk, S a o Pa u l o,
S i nga p o re , a n d Seo u l did, w h i l e M ad rid , Lisbo n , Atl a nta, B u e nos A i res,
M a n i l a , and Ca nto n did n ot. A ccord i n g to J aco bs, t h e l atte r l acked t h e
volat i l ity i n t rade a n d t h e dyn am ism of smal l-prod ucer n etwo rks needed
to i n fu se l i fe i nto a city's regi o n s, as o pposed to m e rely exp l o i t i n g t hem
as resou rce d e pots. In
N e ed l ess to say, co m p uters wi l l n ot m agi ca l ly p rod u ce a q u ick tec h n o
logical fix to u rb a n problems. For o n e t h i ng, t hey may sti l l evolve i n the
d i rect i o n of routi n izati o n , fu rt h e r e rod i n g t h e co m bi n ato r i a l ric h n ess of
k n owl edge a n d m a k i ng f l ows of i n fo rm atio n ever m o re ste r i l e . T h e d igital
revo l u t i o n s h o u l d be t ho ught of as o n e more e l e m e n t added to a co m pl ex
m ix, fu l ly coexist i n g with o l d e r com po n e nts (e n e rgetic a n d m ate rial), n ot
a l l of w h i c h h ave been left i n t h e past. I n ot her words, d igita l mach i n e ry
is s i m ply a n ew n od e t h at has bee n grafted o n t h e expa n d i ng a u tocat
a lytic loop. F a r from h a v i n g b rought soci ety to a n ew stage of its deve l o p
ment, t h e i n fo rmati o n stage , c o m p u te rs have s i m ply i nte nsified t h e flow
of k n owledge , a f l ow w h i c h , l i ke a ny ot h e r cata lyst, sti l l n eeds m atte r a n d
e n e rgy flows to be e ffective.
T h e re i s one fi n a l i nstitutio n a l development t h at n eeds to be m e n
t i o n ed h e re: t h e tra n s n at i o n al corporatio n . A l t h o u g h gove r n m e n t a nd m i l
itary i n stituti o n s evolved side b y side w i t h big b u s i n ess, fo rm i ng a t r u e
m e s h w o r k of h i e ra rc h i es, a rece n t i n te n sifi catio n of t h e m o b i l ity t h at h a s
a l ways c h a racte rized a nt i m a rkets has a l l owed t h e m t o tra n sce nd nati o n a l
bou n d a ries a n d h e n ce t h e i r i nterl ocki n g rel atio n s h i ps w i t h t h e state.
(Tra n s n ati o n a l co rporati o n s a re n ot a n ew p h e n o m e n o n , but t hey u sed to
fo rm a sm a l l fract i o n of t h e tota l po p u l at i o n of u rba n firms.) The ro uti n
izati o n of p rod u ct i o n and t h e i ntern a l izatio n of m a rk ets a re n ow carried
on at a global leve l , w h i l e powe rfu l co m puters a l l ow the central ized con
trol of geogra p h i ca l ly d i spersed activities. Accord i ng to some a n a lysts,
the i nternati o n a l i zati o n of a n ti ma rket i n stituti o n s (or at l east the i nte nsifi
cati o n of this p rocess) was i nd eed b ro u g ht about by adva n ces in the sci
e n ce of central izatio n (for exa m p l e , in o pe ratio n s rese a r c h , w h i c h was
98
G£OLOGICAL HISTORY: 1 700-2000 A . D.
develo ped by t h e m i l ita ry d u ri ng Wo rld Wa r I I ) a n d by t h e u se of l a rge
co m pu te rs to coo rd i n ate a n d m o n ito r co m pl i a n ce with ce ntral p l a n s . 17 8
I n t h i s way, m a n y co rpo ratio n s have n ow become tru ly i n d e pe n d e nt of
a ny partic u l a r co u ntry, m u c h as decades ago t h ey beca m e i n d e pe n d e nt
of cities. I n d eed , n at i o n-states have beco m e obstacles fo r t h e expa n s i o n
of a nt i m a rket i n stituti o n s , s i n ce the ach i eve m e n t of eco n o m i e s of sca l e
at a n i nt e r n ati o n a l l evel d e m a n d s t h e d estructio n of t h e regu l atio n s with
w h i c h i n d e p e n d e n t co u ntries attem pt to co ntrol t h e flows of m o n ey,
good s, a n d i n fo rmatio n across n atio n a l b o rd e rs.
Despite t h e fact t h at m es h wo rk-ge n e rati ng p rocesses a re active tod ay
in seve ral pa rts of t h e globe, h i erarc h i ca l stru ct u res e njoy a co m m a n d i n g,
two- o r t h ree- h u n d red-ye a r lead , w h i c h co u ld v e ry we l l d e c i d e t h e i ss u e ,
parti c u l arly n ow t h at p rocesses of h o m oge n izat i o n h ave beco me i n te r
n ati o n a l . B u t even if t h e futu re tu r n s o u t to belo ng to h ierarchies, t h i s wi l l
n o t occu r bec a u se a " l aw of c a p it a l i s m " s o m e h ow dete rm i n ed t h e o ut
co me fro m a bove. H u m a n h i sto ry is a n a rrative of co nti n ge n cies, n ot
n ecessities, of m issed o p p o rtu n ities to fol l ow d i ffe rent routes of deve l o p
ment, n ot of a u n i l i n e a r s u ccess i o n of ways to co n v e rt e n e rgy, m atte r,
a n d i n fo rmatio n i nto c u ltu ra l p rod u cts. I f com m a n d stru ctu res e n d u p
p reva i l i ng over s e l f-o rga n ized o n es, t h i s its e l f wi l l b e a co n ti nge n t h isto ri
cal fact i n need of exp l a n ation in co nc rete h i sto rica l terms. I have a l ready
s u ggested h e re that a m u lt i p l icity of i n stitutio n s (eco n o m ic, politica l , a nd
m i l ita ry) w i l l e nter i nto t h i s exp l a n ati o n . A m o re d eta i led a n a lys is of t h e
p rocess th rough w h i c h h o m oge n iz i n g fo rces ca m e to overw h e l m t h ose
promoti n g h ete roge n izat i o n wi l l in fact i n volve a wider variety of o rga n iza
t i o n s ( i n c l u d i n g sc hools, h ospitals, a n d p riso n s) .
I n t h e n ext c h a pte r, we wi l l exp l o re ot h e r aspects of t h e a cc u m u lati o n
of h i e ra rc h ical str u ct u res wit h i n t h e E u ropean a nd A m e ri ca n exos ke l eto n .
Exam i n i ng t h e ro l e t h at t h ese i n stitutio ns p l ayed wi l l a l l ow u s to p u t so me
flesh on t h e bare bones of our accou nt of Weste r n i nstitutio n a l and u rb a n
h i sto ry.
99
=
-
Biologica l History:
1000-1 700 A . D.
I n t h e eyes of m a ny h u m a n
be i n gs , l i fe a ppea rs to be a
u n i q ue a n d spec i a l p h e n om e
n o n . Th e re i s , of co u rse , som e
t ru t h to t h is be l i ef, s i n ce n o
ot h e r p l a n et i s k n ow n to be a r
a ri c h a n d co m p l ex b i os p h e re .
H oweve r, t h i s v i ew bet rays a n
" orga n i c c h a u v i n is m " t h at
l ea d s us to u n d e rest i m ate t h e
v i ta l ity of t h e p rocesses of se l f
orga n i zat i o n i n ot h e r s p h e res
103
2: FLESH AND GENES
of rea l i ty. I t c a n a l so m a ke u s fo rget t h a t ,
d e s p i t e t h e m a n y d i ffe re n c es betw e e n t h e m ,
l i v i n g c r e a t u res a n d t h e i r i n o rg a n i c co u n t e r
pa rts s h a re a c r u c i a l d e p e n d e n ce o n i n t e n s e
f l ows of e n e rgy a n d m a teri a l s . I n m a n y
re s p e cts t h e c i rc u l a t i o n is w h a t m a tt e r s , n ot
t h e pa r t i c u l a r fo r m s t h at i t ca u s es to e m e rge .
As t h e b i oge o g r a p h e r I a n G . S i m m o n s p u ts
it, " T h e f l o ws of e n e rgy a n d m i n e r a l n u t r i
e n t s th ro u g h a n ecosys te m m a n ifest t h e m
se l ves a s a ct u a l a n i m a l s a n d p l a n t s of a pa r
t i c u l a r s p e c i es ." l O u r o rga n i c bod i e s a re , i n
t h i s s e n s e , n ot h i n g b u t te m p o r a ry coa g u l a
t i o n s i n t h e s e f l ows : w e ca pt u re i n o u r bod i es
a ce rta i n p o r t i o n of t h e f l ow at b i rt h , t h e n
re l e a s e i t a g a i n w h e n w e d i e a n d m i cro
orga n i s m s t ra n s form u s i n to a n e w batc h of
raw m a t e ri a l s .
T h e m a i n form of m a tt e r - e n e rgy f l ow i n
t h e b i o s p h e re i s t h e c i rc u l a t i o n of f l e s h i n
fo o d c h a i n s . F l es h , o r " b i o m a s s ;' c i rc u l at e s
c o n t i n u o u s l y f r o m p l a n ts to h e r b i v o res ,
a n d from h e r b i v o res to c a r n iv o res , g i v i n g t h e
ecosyst e m its sta b i l i ty a n d res i l i e n c e . (Th i s
b a s i c food c h a i n i s i n rea l i ty o n l y o n e a m o n g
seve ra l , fo r m i n g a syst e m o f i n t e r l oc k i n g
c h a i n s refe rred to a s a " food w e b ." ) Th e fo u n 104
BIOLOGICAL HISTORY: 1000-1700 A.D.
d at i o n of a n y food we b is its p l a n ts , w h i c h
" b ite " i n to t h e st re a m of sol a r rad i a t i o n ,
c a pt u r i n g so m e of i t a s s u ga rs by m e a n s of
p h otosyn t h e s i s . P l a n t s a re t h e o n l y n o n pa ra
s i t i c c reat u res i n a n ecosyste m , its p r i m a ry
p ro d u c e rs , w h i l e t h e a n i m a l s w h o eat f l e s h
( p l a n t or a n i m a l ) a re m e re co n s u m e rs . T h e
c o m p l ex m i c rof l o ra a n d n1 i c rofa u n a t h a t
p rocess t h e ecosyste m 's wa ste a re a s i m por
ta n t a s p l a n t s , s i n c e t h ese o rga n i s m s re m
i n e ra l i ze a n d re i n j e ct d e a d p l a n t a n d a n i m a l
b o d i es b a c k i n t o t h e we b . 2 Co m pa red to
p l a n t s a n d m i c ro o rga n i s m s , " h i g h e r " a n i m a l s
a re j u st fa n cy d e c o r a t i o n s i n a n e cosyste m ,
con s u m i n g a n d tra n sform i ng biomass wit h
d e c re a s i n g eff i c i e n cy a s t h e i r s i ze i n c re a s e s . 3
Fo r t h i s rea s o n , t h e e m e rge n ce o f a n e c o
syst e m i s typ i c a l l y d esc r i b e d a s a s uccessio n
o f pla n t assem bla ges t h at i n t e ra ct w i t h e a c h
ot h e r, pa s s i n g t h rou g h seve ra l sta b l e states
u n t i l t h ey re a c h a " c l i m a x ." A te m pe rate fo r
est, of t h e ty p e t h at c h a ra ct e r i z es t h e E u ro
p e a n co n t i n e n t , fo r exa m p l e , b e g i n s a s a n
a s s e m b l a ge of l i c h e n a n d m o s s , fol l owed by
s c r u b by b i rc h a n d a s p e n , t h e n p i n e fo rest,
a n d f i n a l ly a m a t u re oa k , l i m e , e l m , a n d be e c h
fo rest . 4 A l t h o u g h it m a y a p pea r ot h e rw i s e ,
105
2: FLESH AND GENES
t h i s p rocess of s u ccessio n d oes n ot h ave t h e c l i m a x state as its go a l .
R a t h e r, t h e e m e rge n ce o f a n ecosyste m i s a b l i n d gro p i n g from sta ble
state to st a b le state i n which each p l a n t ass e m b l age creates t h e co n d i
t i o n s t h at sta b i l ize t h e n e xt o n e . A v a r iety of h i sto rica l co n stra i n ts (e n e r
getic, m a te ri a l , dyn a m i c a l ) d ete r m i n e at some po i n t t h at t h e re is no
ot h e r sta b l e state atta i n a bl e fro m t h e cu rrent o n e , a n d so t h e p rocess
c l i m axes. T h i s is, of cou rse, j u st a n ot h e r exam p le of a m e s hwo rk of
he teroge n e o u s e l e m e nts evo l v i n g by d r ift. A more rea l istic mod e l of t h i s
mes hwo r k wo u l d h ave to i n c l u d e m i c roo rga n i s m s , t h e myriad i n sects
a n d ot h e r s m a l l a n i m a l s t h at p l ay key roles in t h e f l ow of b i o m a ss, a n d
eve n so m e "d ecorative" l a rge p re d a to rs, l i k e tige rs, wo lv es, o r e a rly
hu m a n s.
T h i s secti o n ex p l o res t h e r e l a t i o n s h i ps betwe e n med ieval cities a n d
towns a n d t h e ecosyste m i n w h i c h t h ey grew - n o t o n l y t h e fo rests t h ey
d e vou red as t h ey p rol ife rated b u t a l so a l l t h e ot h e r i nte racti o n s t h ey
m a i nt a i n e d wit h b i o l ogica l e n tities, e s p eci a l ly m i c roo rga n is m s . H e re we
w i l l a rg u e t h at e v e n t ho u g h p l a n ts we re i n a way s u b m itted to t h e co n tro l
of t h e tow n s , m i crobes resisted co n t rol m u c h l o n ge r (if i n d e ed we c a n
s a y t h a t a n t i b i otics hav e fi n a l ly b ro u g ht t h e m u n d e r o u r com m a n d , w h i c h
m ay n ot be q u it e t r u e). A n d t h e n , o f co u rse , we m u st co n s i d e r t h at ot h e r
u n co n t ro l l a b l e e l e m e n t of ecosyst e m s , t h e c l i m at e . Bot h i n fect i o u s d i s
eases a n d c h a ngi ng weath e r patte r n s p l ayed a great ro le in u r b a n h i sto ry,
m a k i n g e p i d e m i cs a n d fa m i nes p a rt of t h e " b iological reg i m e " t h at d o m i
n ated u rb a n a n d r u r a l l i fe u n t i l t h e eighte e n t h ce n t u ry.
F ro m a d i ffe rent pe rspecti ve, citie s a n d towns m ay t he m s elves be
co n s i d e red ecosyst e m s , at l e ast to t h e exte nt t h a t bio m ass ci rc u l a tes
t h ro u g h t h e m to fe e d t h e i r i n h a b i t a n ts. T h e d i agra m of t h i s ci rc u l at i o n ,
however, m u st i n cl u d e p rocesses occu r r i n g o u t s i d e cities a n d tow n s
beca u se u r b a n ce n t e rs h a ve a lways d e p e n ded o n t h e i r cou ntrys i d e s fo r
foo d . I n h u m a n - m a d e ecosyst e m s , t h e i n h ab ita nts of t h e s u rrou n d i n g v i l
la ges a re t h e p r i m a ry prod u ce rs w h i l e city dwe l l e rs, d e s p ite t h e i r c u l t u ra l
so p h isticati o n , a re m e re co n s u m e r s . Mo reover, t h i s p a rasi t i c re l atio n s h i p
c a n be re p ro d u ce d a t a l a rge r sca l e . I n t h e ea rly s i xte e n t h ce ntu ry, fo r
ex a m p l e , as c i t i e s g rew a n d d e v e l o p e d tra d e l i n ks w i t h o n e a n o t h e r, t h e i r
food bega n t o flow fro m e v e r remote r s u p p ly zo n e s . F i rst ea ste rn E u ro p e
w a s t ra n s fo r m e d i n to a v a s t "cou nt rysi d e" fo r t h e u r b a n co m p lex t o its
west, t h e n Ame r i ca and ot h e r fo reign l a n d s were co n v e rted i n to reso u rce
de pots to feed we ste r n E u ro p e a n cities.
T h u s, o u rs will be a d u a l story, one t raci ng o u r b i o l ogical co n ne ct i o n s to
n o n h u m a n l i f e , t h e ot h e r d escri b i n g t h e grad u a l co n v e rs i o n of t he w o r l d
i n to a s u p p ly regi o n to f u e l E u ro p e a n u rb a n growt h . We begi n by d i s-
106
BIOLOGICAL HISTORY: 1000-1700 A.D.
c u s s i n g t h e p r i n c i p a l d i ffe re nce betwe e n n a tu ra l a n d u r b a n ecosyste m s :
t h e i r d e gree of ho moge n e ity a n d he te roge n e i ty.
Ecologi sts ha ve l e a r n e d fro m t h e i r e m p i ri ca l s t u d y of ecosyste m s t h at
t h ere is a close relatio n s h i p between sta b i l ity a n d the d egree of s p ecies
hete roge n e ity in a food web. H oweve r, the n a tu re of t h e co n n e ctio n
betwe e n t h e two i s n ot yet fu l l y u n d e rstood. I n t h e ea rly seve n t i e s , some
m a t h ema t i ca l m o d e l s of ecosyste m s s u ggested t h at t h e re m ay not eve n
be a co n n ect i o n : we bs of ra ndomly assem bled s p ecie s t e n d e d to beco m e
m o re u n sta b l e as n e w s p ecie s we re a d d e d ; d ive rs ity b re d i n sta b i l ity.
H oweve r, a l l t h at t hose mod e l s p roved was t h a t re a l ecosystems a re n o t
ra n d o m asse m b l ages of s pecies, b u t sel f-o rga n i zed m e s hwo rks i n w h i c h
s p ecies a re i n te rco n n ected b y t h e i r fu nct i o n a l co m p l e m e nt a rities: p rey
a n d p re d a to r, h ost a n d pa rasite . 5 Acco rd i ng to o n e eco l ogist, hete roge n e
ity e n dows t h e se mes hwo rks n ot so m u c h with sta b i l ity (t he c a p acity to
m a i nt a i n a state w i t h rel a t i v e ly m i n o r i nte r n a l f l u ct u at i o n s) as w i t h res i l i
e n ce (the ca pacity to a bsorb m a j o r exte r n a l a n d i nte r n a l fl u ct u atio n s by
switc h i n g betwe e n seve r a l a lt e r n ative sta b l e states). 6 C o n t i n e n t a l fo rests
a re an exa m p l e of t h e s e res i l i e nt webs of i nterlocked speci e s . I s l a n d s
fa r fro m t h e m a i n l a n d , o n t h e other h a n d , a re m o re ho moge n e o u s a n d
less c a pa b l e of abso r b i ng s h ocks a n d m ay be d rastica l ly d e sta b i l ized by
a s u d d e n i n f l u x of a n ew s p ecies.
T h e cities t h at bega n m u l ti p ly i n g in E u ro pe at t h e begi n n i n g of the
m i l l en n i u m were l i ke so m a ny i s l a n d s i n t h e m i d d l e of a l a rge te m p e rate
fo rest in its c l i m a x state , d o m i n ated by o a ks a n d e l m s . Cities a re l i ke
i s l a n d s i n two d iffe re n t ways. I n t e rm s of c l i mate , cities a re " h eat
i s l a n d s , " sepa rated fro m t h e i r co u nt rysi d es by a s h a r p d i ffe re nce in te m
p e rat u re J La rge fu rn aces a n d m a c h i n e s t h at e m i t heat, a m i n e r a l i n fra
structu re t h a t sto res h e at fro m the su n and then re l e ases it at n ig ht, a n d
l o w evapot ra n s p i rati o n a re a m o n g t h e facto rs t h at co n t ri b u t e t o m a k i n g
l a rge cities co nce ntratio n s of wa ste e n e rgy. I n med ieval t i m e s , of co u rse,
o n ly a few reg i o n a l c a p i t a l s a n d gateway po rts ( i f a n y) h a d m i n e r a l i z e d
a n d i n d u st r i a l ized e n o u g h to beco m e h e a t i s l a n d s . B u t a l l m e d i ev a l towns
big and sm a l l we re i s l a n d s in a n ot h e r res p ect: t h e i r l ow d egree of s p ecie s
h ete roge n e ity. A ty p i c a l m e d i e v a l tow n can be d escri b e d as a tightly
p a c k e d asse m b l age of h u m a n s , a few s p eci es of a n i m a l s and p l a nts, a n d ,
as o n e writer has p u t it, "a l u m p e n - p ro l eta riat of i n sect s . " 8
B eca use tow n s a r e n e cessa rily p a rasitic o n t h e i r r u ra l s u r ro u n d i ngs ,
u r b a n ecosyste m s e n c o m pass m o re t h a n what is fou n d i n si d e t h e i r w a l l s .
A t o w n w i t h t h ree t h o u s a n d i n h a bita nts, a m e d i u m-sized t o w n i n t h e
M i d d l e Ages , n e e d e d t o control t h e l a n d s o f a t l e a st t e n v i l l a ges a ro u n d i t
( a n a rea of a p p rox i m a tely f i v e sq u a re m i les) t o e n s u re a con sta nt s u p p ly
107
2: FLESH AND GENES
of e d i b l e b i o m a s s . T h u s , a l t h o u g h d e n si ty of popu l a t i o n is t h e cr ite r i o n
n o r m a l ly u s e d t o d e fi n e a n u r ba n c e n te r, Fer n a n d B r a u d e l a rgues t h a t t h e
d i vis i o n o f l a bo r betwe e n food prod uc ers a n d co n s u m e rs (a nd t h e power
n e e d ed to i m p ose a n d m a i n ta i n i t) i s t h e true d e fi n i n g trait of u r ban l i fe . 9
We s h o u l d n ot i m agi n e , howe v e r, t h at the m e d i e v a l d i sti n ctio n betwe e n
t h e u r b a n a n d t h e ru ra l w a s as s h a r p a s i t is tod ay. " E v e n t h e l a rge tow n s
co nti n u e d t o e n gage i n ru ra l acti vities u p t o t h e e i ght e e n t h centu ry. I n
t h e West t h ey t h e refo re h o u s ed s h e p h e rds, ga m e k e e p e rs, agri cu ltu ra l
wo r k e rs a n d vi n egrowe rs (e v e n i n Pa ris). Every town ge n e ra l l y owned a
s u r ro u n d i n g a rea of ga rd e n s a n d o rc h a rds i n s i d e a n d o u t s i d e its wa l l s . . . .
I n t h e m i d d l e ages t h e n o i s e of t h e fl a i l co u l d be h e ard right u p to t h e
Rat h a u s i n U l m , A u gs bu rg a n d N u re m b u rg. Pigs we re reared i n fre e d o m
i n t h e streets. " l 0
T h e m a i n c h a racte rist i c of a n u r ba n ecosystem is i ts h o moge n e ity:
h u m a n b e i n gs shorten all food chains in the we b, e l i m i n a te m ost i n terme
d i a r ies a n d foc u s all b io m a s s fl ows o n t h e m s e l v es. ll W h e neve r a n o u t
s i d e s p ecies tries to i n s e rt i ts e l f i nto o n e of these c h a i n s , to st ah t h e
process o f c o m p l e xifica t i o n aga i n , it i s r u t h l e ssly expu n ged a s a "weed"
(a term t h at i n cl u d e s " a n i m a l we e d s" such as rats and m i ce). M e d ieva l
town s were, i n t h i s respect, no exce ptio n . M o reove r, t h e agric u lt u ra l l a n d s
t h at f e d t h e s e tow n s we re t h e m se l ves s i m p l ificatio n s of t h e forests t h ey
h a d re p l a c e d . W h e n a piece of fo rest was c l e a re d to create a r a b l e l a n d ,
a n asse m b l a ge o f p l a nts i n i ts c l i m a x state was d r i v e n back t o its v e ry
fi rst state of s u ccessi o n , its s p ecies com positi o n h o m oge n ized a n d its
e n e rgy a n d n u trie nts re d i rected towa rd a si ngle ce n te r. (Yet, fo r the s a m e
reaso n , i t was t r a n sfo r m e d i n to a place w h e re p l a n t s p e c i e s wit h " o p p o r
t u n istic" re p rod u ctive strategies [i . e . , we eds] co u l d m u l t i p l y.)
T h e s a m e h e l d t r u e with respect to a n i m a l s . Seve r a l d o m esticated
species (p i gs , catt l e , goats) may be c o n s i d e red biomass converters, w h i c h
a i d t h e process of s h o rte n i n g a n d red i recti ng food c h a i n s . Fo r exa m p l e ,
catt l e a n d goats t r a n sfo rm i n d igest i b l e b i o m a s s ( l e a v es, grass, sp routs)
i nto e d i b l e fles h a n d m i l k . P i gs a re even m o re effi c i e nt co n v e rte rs (o ne
fifth of t h e c a rbo hyd rates t h e y eat a re tra n sfo r m e d i n to prote i n ), but t h ey
feed mostly on so u rces t h at a r e a l so su ita b l e f o r h u m a n co n s u m pt i o n . 12
T h ey c a n n e v e rt he le s s s e r ve as l i v i n g sto rage dev ices fo r u n p red icted
s u r pl u s es. Toget h e r, h u m a n s and t h e i r "exte n d e d fa m i ly" of d o m e sti cate s ,
as t h e h isto ri a n A l fred C ro s by cal l s i t , tra n sfo r m e d a h ete roge n e o u s m e s h
w o r k of s p e c i e s ( a te m p e rate fo r e st) i n to a h o m oge n eo u s h i e ra rc hy, s i n ce
a l l b io m ass n ow fl owed towa rd a si ngle p o i n t at t h e to p . I n a s e n s e , a
co m p l e x food web was r e p l a c e d by a s i m p l i fied food pyra m i d , at l e a st i n
t h ose a r e a s w h e re u r ba n izatio n h a d t ri u m p h e d .
108
BIOLOGICAL HISTORY: 1000-1700 A.D.
T h i s ho mogen i zati o n , h oweve r, had to be m a i n ta i n ed t h rough the s h e e r
weight of h u m a n nu m b e rs . W h e n e v e r t h e h u m a n pop u l atio n d e c l i n e d , t h e
a n i m a l s a n d p l a nts t h a t w e r e exc l u d e d fro m t h e u rb a n eco syst e m m a d e
a come b a c k . R o u gh ly s p e a k i ng, E u ro p e 's popu l a t i o n i n c rea sed betwee n
1100 a n d 1350 a n d betwe e n 1450 a n d 1650; it d e cl i n e d betwee n 1350
1450 a n d aga i n betwe e n 1650 a n d 175 0. I n t h e p e r i o d s of d e cl i n e ,
and
h u m a n s h a d t o struggle t o kee p t h e i r p l a ce a t t h e t o p o f t h e pyra m i d :
T h e whole of E u rope, from t h e U rals to t h e Straits o f G i b raltar, was the
domai n of wolves, and bears roamed i n a l l its mou ntai n s . The o m n i p res
ence of wolves and the atte ntion they aro u sed mak e wo l f- h u n t i n g an i n dex
of the hea lth of th e cou ntrys ide, and even of the towns, and of the c h a rac
te r of the ye ar go ne by. A momenta ry i n atte nti o n , an economic set back,
a ro ugh wi nter, and they mu lti p l i e d . I n 1420 packs e n tered Paris t h rough
a breach i n the ra mpa rts or u n guarded gates. They were t h e re aga i n in
September 1438, attacking peo p l e this time outside the town, between
Mo ntma rtre and the Sai nt-A nto i n e gate . 13
L a rge pred a to rs c o n t i n u e d t h e i r v i s itati o n s u n t i l t h e e n d of t h e e i gh
te e n th ce ntu ry, by which t i m e h u m a n hu nters had n e a r l y d r i v e n them to
exti nctio n . A n d yet t h ey we re n ot t h e o n ly s p e c i e s fo r w h o m h u m a n
b e i n gs we re a fo od s o u rce . Of gre ate r i m p o rta n c e , a n d o f m o re e n d u ri n g
i n fl u e n c e , were t h e " m i c ro p redators," t h e d i s e a s e s t h at ate h u m a n f l e s h
fro m wit h i n . Co ntagi o u s d i s e a s e s a n d t h e i r h o sts fo r m co m p l ex, n o n l i n ea r
d y n a m i c a l systems with seve ra l poss i b l e states . W h e n t h e p o p u l atio n of
h o sts is i n s u ffi cie nt, or i n s u ff i c i e ntly pack e d , m a k i n g co ntagi o n d i ffi c u l t
fo r t h e m i croo rga n i s m , t h e dyn a m ic a l syst e m e nte rs a n u n st a b l e state
cal l e d " e p i d e m i c , " a n d the po p u l ati o n of ge r m s grows e x p l os i v e ly u n t i l it
b u r n s out its h u m a n fu e l . When, o n t h e co ntra ry, ove ra l l po p u l a ti o n a n d
po p u l a tio n d e n s i ty a re beyo n d a c r i t i c a l t h re s h o l d , so t h at t h e re i s a l ways
a fre s h s u p p ly of fl es h fo r the pa r a sites to i n fect (typ ic a l l y s m a l l c h i l d re n ) ,
a ft e r a few e p i d e m ics t h e dyn a m i c a l syste m sta b i l izes i n to w h at i s c a l l e d
a n " e n d e m i c" state. H u m a n s u r v i v o rs of t h e d i s ease beco me i m m u n e ,
t h e m i c ro o rga n i sms l o se s o m e of t h e i r v i r u l e n ce a n d m i cro be a n d ho st
e n te r i n to a state of m u t u a l acco m modati o n . I n Wi l l i a m M c N e i l l 's wo rd s :
O n ly i n co mmun ities o f seve ra l thousand perso n s , where enco u n ters with
ot h e rs atta i n s u fficient freq uency to al low i n fection to s p read u n ce a s i n gly
from one i n div i d u a l to another, ca n such d iseases pe rsist. These com m u n i
ties are what we ca l l civil ized : large , co mpl exly o rga n ized , dens e ly popu
la te d, and without exce pti on di rected and do m i n ated by cities. I n fecti ous
109
2: FLESH AND GENES
bacterial a n d viral d iseases that pass d i rectly fro m h u m a n to h u m a n with
no i nterm e d i ate host are therefore the d iseases of civi li zation par exce l
lence : the pecu l i a r hal lmark and bu rden of cities and of cou ntryside in con
tact with cities. They a re fa m i l iar to a l m ost all conte m p o rary h u m an ki n d as
the ord i n ary d iseases of c h i l d hood : measles, m u m ps, whooping co ugh,
sma l l pox and the rest . . " M ost a n d proba bly all of the d i sti nctive infectious
d i seases of civi l i zation tran sfe rred to hu man po pu lati o n s from a n i mal
herds. Contacts were closer with the domesticated species, so it is not sur
prising to fi nd that many of o u r co mmon infectious d iseases have recogn iz
able affi n ities with o n e or a nother d isease affl icting d omesticated a n imals.
Measles, fo r exa m ple, is probably related to ri nderpest a nd /or ca n i n e d is
tem per; sma l l pox is certa i n ly co n n ected closely with cowpox . . . i nfl uenza is
shared by h u m a n s a n d hogS . I4
M e d ieval cities, with t h e i r i nti m ate pac k i n g of d o m esticated a n i m als
a n d h u m a n s, we re ve rita b l e " e p i d e m io logical l a bo ratories." T h ey offe red
ce rta i n m icroo rga n isms the pe rfect ha bitat in w h i c h to evolve novel vari
a n ts. Si nce t h e i r v e ry existe n ce wo u l d go u n recogn ized fo r m a ny ce ntu ries,
t h i s crucial co m po n e n t of u rb a n ecosyste ms was effectively o uts ide of
h u m a n co ntro l . A l t h o u g h q u a ra n ti n e m e a s u res existed in E u ro p e s i nce
the fifte e n t h centu ry, most c u l t u r a l acco m mod at i o n s to i nfectio u s d i sease
we re h a bits a nd ro ut i n es that d eveloped wit h o u t a co nscious p l a n , by trial
and e rro r. T h ese were, in a se nse, c u l t u ra l mate rials t h at accu m u l ated
u n co nsciou sly, s o rted out by the p ress u re of the pa rasites t h emselves.
H e nce, germs a nd h u m a n s fo r m ed a m es hwo rk, coevolvi ng t h rough d ri ft,
in sta rk co ntrast wit h the rest of t h e food h i e ra rchy at the service of
u rb a n c u lt u re .
I t is e asy to d isco u nt t h e i m p o rta nce of e n e rgy a nd n utrient flows by
u n d u ly e m p hasiz i n g t h e c u lt u ra l e l e m e n ts that i ne vita bly flow a l o n gs i d e
t h e m . F o r exam pl e , C l a u d e Levi-Strauss pointed o u t d ecades a g o t h at bio
m ass does n ot e nt e r h u m a n soci ety i n its " n at u ra l " state : it is at t h e v e ry
least p rocessed t h ro u g h t h e "civ i l izi ng" powe r of fi re. I n t u r n , t h e d iffe r
e nce betwee n raw a nd cooked biomass beco m e s a l a rge ly sym bol i c o ppo
siti o n , a p p ro p ri ated by myth a n d l ege n d . I5 C u ltu re a l so regu l ates t h e
flow of f l es h , d isti ngu i s h i ng betwee n taboo, sacre d , a nd everyd ay food s .
T h e i n creas i n g e l a bo ratio n of s a u ces a n d co m p l ex d i s h e s w h i c h bega n i n
E u rope i n t h e fi ftee n t h c e n t u ry (a n d i n C h i na a n d I s l a m m u c h e a r l i e r)
added m o re a n d m o re l ayers of cu ltu re to t h e c i rc u l at i o n of raw m atte r
e n ergy. H oweve r, t h ese c u l tu ra l add itives, i m po rta nt as t h ey were, s h o u l d
n ot b l i n d u s to t h e fact t h at u lt i m ately i t w a s sti l l t h e n utritional value of
t h e flow t h at m atte red . N ot h i ng se rves better to rem i n d u s of t h i s fact
110
BIOLOGICAL HISTORY: 1000-1700 A . D .
t h a n the recu rrent fam i nes t h at p l agued E u rope and ot h e r co nti n e nts,
n ot o n ly in m e d i eva l t i m es but u nti l the very eve of t h e I n d u strial Revo l u
tio n . I n extreme cases, p e o p l e wou l d n ot o n ly eat b i o mass t h at had n ot
b e e n c u l t u rally s a n cti o n e d (s u c h as grass, bark, o r eve n soi l ) , b ut, m o re
i m po rtan tly, t h ey wo u l d break t h e most powe rfu l of a l i m e ntary taboos
and eat h u m a n fles h .
Fam i n e recu rred so i n siste ntly for ce ntu ries o n e n d that i t became i n corpo
rated i nto m a n 's biological regime a nd built i nto his d a i ly l ife . Dea rth a n d
pen u ry were co nt i n u a l a n d fam i l ia r even i n E u rope, d espite its privi leged
positio n . A few ove rfed rich d o not a lte r the rule. I t could n ot have been
otherwise . Cereal yields were poor; two consecutive bad ha rvests spel led
d isaster. . . . For these and other reaso ns fa mine o n ly d isa p peared fro m the
West at the close of the eighteenth centu ry, or even later. . . A privileged
.
cou ntry l i ke France is sa i d to have experienced 1 0 general fam i n es d u ri ng
the tenth centu ry; 26 in the eleve nth; 2 in the twe l fth ; 4 in the fou rteenth;
7 i n the fifteenth; 1 3 i n the sixteenth; 1 1 i n the seve ntee nth a n d 16 i n the
eightee nth . We o bviously offered this eighteenth ce ntu ry sum mary without
guarantee as to its accu racy: the o n ly risk it runs is of over-opti mi sm,
beca use it om its t he h u n d reds and h u n d reds of local fam i nes. 16
Fa m i n es a n d e p i d e m i cs we re two biol ogi cal p h e n o m e n a t h at com peted
in i m po rt a n ce wit h the p u re ly c u ltu ra l p h e n o m e n a of the t i m es . C u lt u re
i s n ot a co m p l ete ly sepa rate s p h e re of rea l ity, b ut i n stead m ixes a n d
b l e nds with flows of o rga n i c ( a n d eve n m i n eral) m ate rials. So fa r w e h ave
e m ph a s ized o n ly o n e of t hese o rga n i c flows - biom ass - but of e q u a l
i m po rta nce i s t h e flow o f ge n etic m ateri a l s t h ro ugh ge n e ratio n s . Wit h o ut
t h i s flow, o rga n ized fles h wo u l d exist i n fo rms as e p h e m e ra l as h u rrica n e s
(a n d oth e r n o n o rga n i c se lf-o rga n ized e ntities), a n d , m o reove r, it co u l d not
evolve. S i n ce evol u t i o n a ry p rocesses far exceed t h e l i fe s p a n of i n d iv i d u
a l s , a ny significa n t a cc u m u l atio n of a d a ptive traits req u i res ge n etic m ate
ri a l s to be registe red a n d sto red .
I n t h e view w h i c h d o m i n ated t h e West fo r two m i l le n n ia t h e t raits t h at
d efi n e a give n species we re n ecessarily tied toget h e r fo r a l l t i m e s i n ce
t h ey were exp ress i o n s of a n ete r n a l essen ce. Today we k n ow t h at t h e re i s
n ot h i ng n e cessary a bout th ese a cc u m u l atio ns. S pecies a re h isto rical c o n
structi o n s , t h e i r defi n i ng tra its a p u rely co nti nge nt c o l l ecti o n asse m bled
by means of sel e ctio n p ressu res, which a ct as a genetic sort i n g process.
I n a v e ry rea l sense, m u c h as o u r bod ies a re tem p o ra ry coag u l at i o n s i n
t h e flow o f biomass, t h ey a re also pass i n g co n structi o n s i n t h e flow of
ge n et i c m ateri a l s . As R i c h a rd Dawk i n s has put it, p l a nts a n d a n i m a l s a re
111
2: FLESH AND GENES
m e re ly "su rvival mach i n es" that h ave been b u i lt to h o u se a nd pe rpetu ate
the flow of ge nes, or re p l icators:
Re p l icators bega n not me rely to exist, but to constru ct fo r themse lves co n
ta i n e rs , ve h icles for their co ntinued existe nce. The re p l i cato rs that su rvived
were the o n es that built s u rvival mach i n es for themselves to l ive in . . . .
N ow they swarm i n h uge colon ies, safe inside giga ntic l u mbering robots,
sea led off from the outside wo rl d , com m u n i cati ng with it by to rtuous, i ndi
rect routes, ma n i p u l ati ng it by remote controlY
F o r t h e biogeogra p h e r, t h e flow of b i o m ass t h ro u g h food webs is
paramou nt; fo r the evo l u ti o n a ry biologi st, the flow o f ge nes t h ro ugh ge n
e ratio n s i s w h at m atte rs c h i e fly. I t is clear, howeve r, t h at t h e bod i e s o f
a n i ma l s a n d p l a n ts a re t ra n s i e n t agg l o m e rati o n s of mate r i a l s derived
from bot h of t hese flows, and n ot o n ly fo r the obvious reaso n t h at l iv i n g
creatu res m u st e a t ( a n d a v o i d b e i n g eate n ) t o s u ccessfu l ly rep rod uce.
A m o re fu n d a m e ntal reaso n i s t h at t h e very structu ra l a n d fu n cti o n a l
p ro perties of t h ese bod ies can n ot be exp l a i n ed in terms of genetic m ate
ria l s a l o n e . Betwee n the i n fo rm atio n coded i nto ge n es a n d the a d a ptive
tra its of a p l a n t o r a n i m a l (i . e . , betwee n ge notype a n d p h e n otype),
t h ere a re seve ral l ayers of self- o rga n iz i n g p rocesses, each susta i n ed by
e n d oge n o u s ly ge n e rated sta b l e states , t h e mselves the p rod u ct of m atte r
e n e rgy fl ow. G e n e s a re not a b l u e p r i n t fo r t h e gen e ratio n of o rga n ic
struct u re a n d fu n ct i o n , a n i d e a i m p lyi ng t h at ge n etic m ate rials predefi n e
a fo r m t h at i s i m posed o n a passive fl es h . Rather, ge n es a n d t h e i r p rod
u cts act as co n st ra i nts on a vari ety of p rocesses that spo ntaneou sly
ge n e rate o rd e r, in a way teasing out a fo rm from active (and morp ho
ge n etica l ly p reg n a n t) fles h . 18
U n l i ke an ecosyste m , w h i c h is a m es hwork of h i g h ly h ete roge n eo u s
e l e ments, t h e ge n e p o o l of a species m ay be see n as a h i e rarchy of
h o m oge n e o u s e l e m e nts. As t h e p h ysi cist H oward Pattee h as a rgu e d , t h e
crucial fu n cti o n of ge n es is to force i n d ivid u a l molec u les wit h i n a ce l l t o
o bey t h e ce l l its e l f, a n d s i m i l a rly fo r i n d i vi d u a l ce l l s i n a tiss u e , i n d ivid u a l
tissues i n a n o rga n , a n d i n d ivid u al o rga n s i n a n o rga n i s m . A t e a c h ra n k
o f t h e h ie r a rc h y, t h e ge n es' p u rpose i s t o co n stra i n t h e l owe r l evel to
be h ave i n ways d ete rm i n ed by t h e i m med i ately u ppe r leve l . 19 If we i m ag
i n e a case i n w h i c h t h e s e l ecti o n p ressu res o n a species h ave had t h e
t i m e a n d o p p o rt u n ity to work t h e mselves o u t (i . e . , t o e l i m i n ate m a ny
ge nes from t h e pool a n d d rive others to fixation), t h e res u lta nt species
wi l l i n deed be a very h o moge n e o u s e n tity. 20 Of cou rse, in rea l ity m ost
s pecies reta i n a d egree of hete roge n eity, p a rtic u l a rly if t h e select i n g e nvi-
112
BIOLOGICAL HISTORY: 1000-1700 A . D .
ro n me n t i s itse l f hete roge n e o u s in time or space. Besides, a tota l ly h o m o
ge n e o u s s pecies wo u ld be i ncapable of evo lvi ng, s i n ce natu ra l sel e cti o n
req u i res va riatio n i n t h e ge n e poo l a s its raw mate ri a l . N everthel ess, co m
pa red to ecosystems, t h e ge n e poo l of a s pecies may be see n a s a struc
t u re with more com m a n d e l e m e nts in its m ix .
Although h ig h ly h o m oge n e o u s, t h e ge n e poo l of t h e h u m a n s p e c i e s i s
sti l l vari a b l e d u e to t h e l a rge vari ety of ecosystems t h at h u ma n s have col
o n ized , as we l l as to cu l t u r a l taboos agai n st i nterraci a l m a r r i age. H ow
ever, w h atever h ete roge n eity rem a i n s i n t h e h u m a n ge n e poo l affects o n ly
o u r o u tward a ppeara nce a nd has l ittl e a d a ptive v a l u e , wit h so m e excep
t i o n s . F o r exam ple, i n n o rt h e r n E u ro p e d u ri ng t h e M id d le Ages, t h e re was
a ge n e cod i n g fo r a n e n zyme t h at a l l owed ad u lt h u ma ns to d igest raw
m i l k . E l sew h e re , in t h e p o p u l at i o n s of C h i n a a nd I sl am , fo r i n sta n ce , t h e
gen e d i d n ot exist , s o m i l k h ad to b e cultu ra l ly p rocessed (tra n sfo rmed
i nto c h eese o r yogu rt) befo re it co u l d be d igeste d . A nother ge n e , w h i c h
w a s d istri buted t o s o m e d eg ree a l o ng t h e Med iterra n e a n but w a s m u c h
m o re p reva l e n t o n t h e west coast of Afri ca, a l l owed i t s h u m a n carri e rs to
resist " be i n g d i gested" by m a l arial pa rasites . 21
M ost h u m a n traits a re n ot, of co u rse, d ete rmi ned by a si ngle ge n e .
S k i n co l o r, fo r i nsta nce, i nvolves sever a l gen e s (o r m o re tec h n ical ly, p a i rs
of a l le l es, alte rn ative ge n es fo r t h e same posit i o n i n a c h romosome).
M o re i m po rta n tly, most o f t h e ge nes t h at a re n ' t co m m o n to a l l h u m a n
com m u n ities d e fi n e l ite ra l ly s u pe rficial tra its: s k i n c o l o r, h a i r fo r m , body
s h ape, a n d stat u re . Despite t h e fact that t h ese tra its m ay h ave so m e
a d a ptive sign ificance , t h e real i m po rta n ce o f t h is h eteroge n e o u s " o u te r
s h e l l" is o u r u s e o f i t a s a basis fo r c u l t u ra l d i ffe rentiatio n a n d raci a l
ste reotypi ng. Tru l y o bjective a n alysiS (o bjective, that i s , i n co m p a ri s o n to
t h e caricatu res of o bjectiv ity t h at Soc i a l D a rwi n ists a n d e u ge n icists h ave
give n us) of the ge n etic m a ke u p of the body as a w h o le reve a l s a sta r k
ge n etic h o mogen eity. I nte resti ngly, t h e ge n etic variatio n a m o n g i n d iv i d u
a l s of a p a rti c u l a r r a c e is gre ate r t h a n t h e variati o n betwee n races:
Of all ge netic vari atio n , 85% is between i n d ivid u a l people wit h i n a n ation
o r tribe . . . . The re mai n i ng variatio n is spl it eve n ly between variatio n
between nations wit h i n a race a n d va riatio n between one major race a n d
a nother. To p u t the matter crudely, i f afte r a great cataclysm, o n ly Africans
were l eft al ive, the h u m a n species wou l d h ave retai ned 93% of its total
ge netic variati o n , although the species as a whole wo u l d be d a rker sk i n ned .
I f the cataclysm were eve n m o re extreme a n d o n ly the Xhosa people o f the
southern tip of Africa su rvived, the h u m a n species wo u l d sti l l retai n 80% of
its gen etic va riati o n . 22
113
2: FLESH AND GENES
T h e ge nes t h at defi n e t h e " o u te r s h e l l " (as we l l as t h ose few t h at
i n volv e b i o logica l ly i m p o rta n t fu nct i o n s , s u c h as re sista nce to m a l a r ia o r
t h e a b i l i ty to d i gest r a w m i l k) evolved i n h i sto rica l t i m e s , w h i ch p roves
t h a t the h u m a n ge n e pool is sti l l c h a n g i n g. B u t t h i s k i n d of c h a n ge ("geo
l ogica l l y" s l ow c h a nge) h a s not p l ayed the cen tra l ro l e in t h e dy n a m ics of
t h e h u m a n ge n e poo l . T h at h o n o r is reserved fo r l a rge m i grato ry m ove
me nts t h at m i xed h i t h e rto se pa rate p o p u la t i o n s . Fo r exa m p l e , the m e d i
eva l d i st ri b u t i o n of b l ood ty pes owed m o r e t o a n c i e n t m igratio ns t h a n to
n atu r a l or c u l t u r al se l e ct i o n . 23 F r o m t h e ge n etic p e r s p e ctive, t h e c a u s es
of h u m a n m i gra t i o n (a fa m i n e , fo r i n st a n ce) a re l e ss i m p o rt a n t t h a n i ts
effects: t h e h o m oge n iz i n g or he te roge n i z i n g co nseq u e nces of i n jecti ng
D N A from one l oc a l ge n e pool i n to a n ot h e r. " M igra t i o n i s of the gre atest
-
ge n e t i c re l e v a n ce . It is the v e h i c l e for the mecha n i s m of evol u t i o n t h a t
today is p ro d u c i n g t h e greatest evol u t i o n a ry effect, a l low i n g t h e i n corp o
r a t i o n of n ew ge n e s i n to e sta b l i s he d ge n e pools, e n h a n c i n g i nt r a po p u la
t i o n and re d u c i n g i n terp o p u l a ti on v a r i a b i l ity. "24
W h e n h u m a n m igrati o n is n ot a move m e nt i n to p re v i o u s l y e m pty s p a ce ,
i t i n volves t h e i n va s i o n of ot h e r p e o p l e's l a nd s . I n t e r m s o f i t s effects o n
t h e l o c a l ge n e poo l , we m ay d i sti ngu i s h t h ose c a s e s i n vo l v i n g t h e exte r
m i n a t i o n of t h e l oc a l p o p u l at i o n ( a n d h e n ce a re p l acerl} e n t of o n e gene
p o o l by a not h e r) fro m t h ose w h e re t h e a i m i s to s u bj ugate t h e l oca l s a n d
u s e t h e m as a wo r kfo rce . I n t h i s seco n d case t h e re i s coexi ste nce betwe e n
gro u ps, w h i c h a l l ows a s m a l l t r i c k l e of ge n e s t o p a ss betwe e n t h e two
grou p s , d e s p ite t h e soci a l b a r r i e rs se p a rat i n g o n e pool from a n ot h e r.
T h is ge n e t i c exc h a n ge typ ica l l y occu rs fro m t h e co n q u e ro r's to t h e c o n
q u e r e d 's poo l . 25
Seve ral i n va s i o n s p l ayed i m p o rt a n t roles in s h a p i ng t h e c o m p os i t i o n of
E u ro p e a n ge n e p o o l s . L u igi Cava l l i Sfo rza h a s d i scove red in t h e d istri bu
t i o n of ge n etic m a te ri a l s i n p re s e n t-d ay E u ro p e a n a l m ost ci rcu l a r p atte r n
of so me of i t s co m po n e nts, with its cente r i n t h e Mi d d l e E a s t . A fter r u l i n g
o u t t h e hyp o t h e s i s t h a t select i o n p ressu res co u l d h ave ge n erated t h i s
c i rcu l a r grad i e n t (t h e re d oes n o t s e e m t o h ave be e n e n o u g h t i m e f o r t h is
to h a p p e n s p o n t a n e o u sl y), he h a s co n c l u d e d t h a t it was p rod u ced by
an a n c i e n t i n v a s i o n , w h i c h b ro u g h t agr i c u l t u re f r o m its p l ace of origi n i n
t h e Fe rti l e C resce n t to t h e E u rop e a n co n t i n e n t t h e n i n h a b ited by p o p u l a
t i o n s of h u nte r-ga t h e re rs . T h e l o n g- a n d w i d e ly h e l d be l i ef t h at agr i c u l
t u re was i n t r i n s ica l l y s u pe r i o r to h u n t i n g a n d gat h e r i ng, a n d h e n ce t h a t it
had s p read by t h e diffusion o f ideas, h a s bee n l a rge ly refuted by rece nt
resea rc h . 26 The old way of o bt a i n i n g food was as effi c i e n t as the new o n e ,
s o agri c u l t u re co u l d n ot ha ve won over t h e Eu ro p e a n p o p u l ation beca use
of its i nt r i n s i c s u p e r i o r ity; i n ste a d , i nv a s i on a n d re p l ace m e n t of some
114
BIOL OGICAL HISTORY: 1000-1700 A.D.
local p o p u l a t i o n s p l ayed a key ro l e i n s p re ad i n g the n ew eco n o m i c syste m
across E u ro p e . Sforz a 's co m p uter s i m u l a ti o n s, however, i n d icate t h at to
ge n e rate t h e c i rc u l a r patt e r n we n e ed to a l low some acc u l t u rat i o n of t h e
r e m a i n i n g h u nte r-ga t h e re r s, i n v o l v i n g both c ross- m a r r ia ge a n d a d o pt i o n
of t h e n ew te c h n o l ogy.
A l t h o u g h some aspects of cu ltu re, t h e l e a st n o r mative a n d bi n d i ng, d o
t r a v e l fre e ly f r o m m i n d to m i n d ( a n d f r o m c u l t u re to c u l t u re), ot h e r as pects
m o re central to a soci ety seem to m i grate a l o ngs i d e its ge n e s . Acco rd i n g
to Sfo rza , l a ngu ages a re a good exa m p l e of c u l t u r a l m ateri a l s t h at a re
s p read t h ro u g h i n vasi o n s . L i n g u i stic n o r m s do n ot d i ffuse e a s i l y fro m c u l
t u re t o c u l t u re (wi t h t h e exce pti o n o f i n d i vid u a l word s), s o lo cal l a ngu ages
a re easier to k i l l by e l i m i n a t i n g t h e i r s pea ke rs t h a n to c h a nge by loca l
adopt i o n of fo re ign n o r m s . A n o t h e r p o rt i o n of m e d i e v a l E u ro p e 's ge n e
p o o l was co n t r i b u t e d b y I n d o-Eu ro p e a n i n v a d e rs w h o b r o u g h t ge ne tic a n d
l i ngu istic m at e ri a l s to t h e co n t i n e n t a n d exte r m i n ated m a n y loca l co m m u
n i t i e s a n d l a ngu age s .
M e d i e v a l E u ro p e a n ge ne poo l s we re a l so affected b y t h e coexiste nce
of ( a n d ge n e flow betwe e n ) d i ffe rent pools. (T h e expa n s i o n a n d retre at of
t h e R o m a n E m p i re a n d t h e gen e flow betwe e n Lati n a n d G e r m a n i c pools
belo ng to this catego ry, as do the ge nes t h a t ar rived with t h e M o ngol a n d
M o o r i n va s i o n s , a n d t hose s p re a d b y t h e Je wish D i a s p ora . ) 2 7 T h e i n ten
si ty a n d fo r m of t h i s ge n e flow were, i n t u r n , affected by c u l tu ra l i n st i t u
t i o n s : t h e d egree t o w h i c h m a rri age occu rred o u ts i d e t h e gro u p (t he
d egree of exoga my) o r t h e d i stri b u t i o n of m a rri age d i sta nces ( l o nger fo r
u rb a n t h a n fo r r u ra l m a rri ages), fo r e x a m p l e . 28 I n co n se q u e n ce of t h e
v a r i o u s patte r n s of m i gra t i o n t h ro u g h Eu ro p e over t h e m i l l e n n i a , t h e e n ti
ties we d e s i g n ate as " ra ces" to d ay a re s i m p l y the h i storical o u tco m e s of
t h ese h o m oge n i z i n g ge ne tic flows, a n d raci a l grou ps a re d i ffe re nti ated
o n l y by t h e i r " ou t e r s h e l l " :
B r ito ns, s o con s c i o u s o f t h e i r ra ce, a re, i n fact, a n a m a l g a m o f t h e B e a k e r
F o l k o f the B ro n ze A g e , t h e I n d o- E u ropea n Ce lts of t h e fi rst m i l l e n n i u m
B. C . , t h e Angles,
Saxo n s , J ute s, a n d P icts o f t h e f i rst m i l l e n n i u m A . D . , a n d
fin a l ly t h e V i k i ngs a n d t h e i r pa rve n u gra n d c h i l d r e n , t h e N o r m a n s . . . .
[ H e n ce] t h e n ot i o n t h at t h e re a re sta b l e , pu re races that o n ly now a re i n
d a nger o f m ixi ng u n d e r t h e i n f l u e nce o f mod e r n i n d u st r i a l cu ltu re i s
n o n s e n se . T h ere m ay i n deed b e e n d oga m o u s gro u ps, l a rgely b i o l ogica l ly
i so l ated by geogra phy a n d cu lt u re from t h e i r n e ig h b o rs , s u c h as t h e
Pyg m i e s o f t h e I tu ri Fo rest, b u t t h ese a r e ra re a n d n o t p erfectly isolated i n
a n y eve nt .29
115
2: FLESH AND GENES
A n o t h e r c ru c i a l ro l e m igrat i o n p l ays i n u rb a n dyn a m ics a ffects l ess the
co m positi o n o f a c i ty's ge n e poo l than t h e v i t a l p roce sses o f t h e c i ty t h e m
s e l v e s . M e d i e v a l town s , a n d i n d e e d a l l cit i e s u p t o t h e l a t e n i n et e e n t h
centu ry, we re n ot se lf-re p ro d u c i n g e n t i t i e s . T h a t i s , t h ey d i d not re p ro
d u ce t h e i r p o p u la t i o n by s i m ply co m b i n i n g t h e f l ow of b i o m ass fro m t h e
co u ntrys i d e wit h t h e ge n e s t h a t had acc u m u l a ted with i n t h e i r wal l s . D e a t h
rate s i n u rb a n c e n ters exce e d e d b i rt h rates fo r m a n y ce n t u r i e s ( m o rta l i ty
rates a mo ng i n f a n ts a n d t h e poo r were e s p ec i a l ly h i g h ) , so cities were
a lways i n n e e d of m igrants fro m t h e co u n trys i d e . S i xte e n t h -ce n t u ry Lon
don, fo r exa m p l e , n e e d e d a bo u t five thousand ru ral m igra nts a yea r. 30
A n d , of co u rse , si nce m a ny of th ese i m m igra n ts were p o o r, t h e i r m o rtal ity
rates (a nd eve n m o re so, t h e i r c h i l d re n 's) i n c rea sed t h e m o m e nt t h ey
pa ssed t h ro u g h t h e city gate s , w h i c h expl a i n s w hy tow ns we re co m m o n ly
referred to as "d eat h tra p s . " "Yet town s, pa rti c u l a rly sm a l l e r central
p l aces (as o p po s e d to po rts , p roto- i n d u st r i a l cities, or great c a p ita l s), we re
by no m e a n s alw ays d e ath tra ps . . . . I n fant m o rta l i ty, t h e key co m pon e n t
i n n o rm a l t i m e s [ h a s be e n ca l c u l ated to b e ] eq u a l fo r r u r a l a reas a n d
s m a l l e r m a rket tow n s : 2 5 to 3 3 p e rc e n t o f t h e c h i l d re n u p to f i v e yea rs,
as op posed to 40 perc e n t to 5 0 perc e n t in l a rger c i t i e s . "31
I n the n i nete e n t h ce n t u ry, i m p roved water trea t m e n t (a nd o t h e r s a n ita
tion pol i c i es) and m u t u a l a d a ptati o n b etwe e n h u m a n s a n d m i c ro o rga n i s m s
b e g a n t o reverse t h e t re n d a n d u rba n b i rth rates cl i m b ed a bove death
rates. B ut before that (a n d in m a ny p l aces, a l o n g ti m e afterward ) tow n s
we re as d e p e n d e n t o n ru r a l a reas fo r t h e i n fl ux o f ge n e s as t h ey were fo r
t h e i n fl u x of fo od . G e n etic m a te ri a l s from ru ra l ge ne p oo l s d i d not, o f
cou rs e , m i x fre ely w i t h t h ose of t h e city's own ge n e pool (i . e . , t h e ge nes
of l egi t i m ate ci tize n s of t h e city, w h o co u l d tra n s m i t t h e i r r i g hts a n d o b l ig
ati o n s to t h e i r p roge ny). R at h e r, t h e two poo l s coex i sted a n d excha nged
s m a l l fl ows of ge n es. Fo r i n sta nce , a ty p i c a l way of ga i n i ng c i tize n s h i p was
to m a rry a citiz e n ' s d a u ghter ( h e n ce i nje cti ng o u tsi d e ge n es); a n d , of
cou rse , c i tize n s ' ge nes fo u n d t h e i r way i l legi t i m ately i n to t h e m i gra nt po p
u l atio n 's poo l .
T h i s bri ngs u s t o t h e q u est i o n o f t h e soc i a l struct u re o f u rb a n ce nters.
So fa r we have d escri bed u rba n ecosyst e m s a s pyra m i d s in w h i c h s h o rt
e n ed food c h a i n s red i rect a l l e n e rgy towa rd t h e a pex, b u t t h e existe nce
of soci a l cl asses i m p l i e s t h a t the a p ex itself has a h i e ra rc h ica l st ructu re;
t h at is, i t i s d i v i d ed i n to seve ral n iches a rra nged in ra n ks. Niche i s the
term us ed by ecologists to d e fi n e t h e pos i t i o n of a given s p e c i e s in a food
we b . I t t a k e s i nto co n si d e rati o n t h e e n e rgy u sed i n s e a rc h i n g o ut a n d
obt a i n i n g food , as we l l a s t h a t s p e n t i n avo i d i ng be i ng eate n . Each
species has its own pecu l i a r way of p e rfo r m i n g thes e two t a s k s , a n d
116
BIOLOGICAL HISTORY: 1000-1700 A.D.
t h e s e b e h a v i o ral a n d physi o l og i c a l a d a ptati o n s d e fi n e its "jo b, " o r n i c h e ,
i n a n ecosyste m . T h e ecologist Pa u l Col i n v a u x has p ro p o s e d th at, t o t h e
e xte nt t h a t d i ffere n t soci a l cl asses d o not h ave e q u a l access t o d i ffe re nt
types of food ( a n d ot h e r e n e rgy reso u rces), t h ey m i ght be said to be
social n iches . 32 In t h e M i d d l e Age s , for i n st a n ce , m a ny p e a s a n t s s u r v i v e d
o n a m o noto n o u s d i et of b re a d , gru e l , roots, a n d coo ked tu be rs. T h ey h a d ,
i n C o l i n v a u x's term i n ology, a v e ry na rrow n i c h e . T h e e l i te s , o n t h e ot h e r
h a nd , w h et h e r fe u d a l o r u rba n , h a d acce ss t o a l a rge r v a r i ety o f food
st u ffs, i n c l u d i ng l a rge q u a nt i t i e s of meat a n d l u x u ry items (e . g. , s p i ces).
T h ey had a w i d e n i ch e . I n rea l i ty, o f co u rse, t h i ngs we re m o re co m p l e x
a n d c h a nged ove r t i m e .
C o l i n v a u x's ge n e ra l po i n t, howe v e r, s e e m s to a p ply rega rd l ess of ch a ng
i n g h isto rical d eta i l s . H e a rg u e s t h at , j u st as w i l d a n i m a l s m u st a dj u st t h e
t i m i ng a n d q u a n ti ty o f t h e i r reprod u ct i v e o u t p u t (e . g . , b ree d i n g s e a s o n
a nd c l u tc h size) t o sq u a re with t h e reso u rces ava i l a b l e t o t h e m , so, too,
m u st h u m a n s . In p a rticu l a r, h e a rg u e s that t h e re is a close re l a ti o n s h i p
betwe e n n i c h e width a nd n u m b e r of offs pri ng. Pea s a n ts a n d t h e u r b a n
poo r, pa rt i c u l a rly re c e n t i m m igra nts, l i ved i n a pe n u ri o u s b u t i n ex p e n s i ve
n a rrow n i c h e , so t h e i r reprod u ctive "ca l cu l atio ns" l e d t h e m to co n c l u d e
t h a t t h ey cou l d affo rd m a ny c h i l d ren . We a l t h i e r c l a sses, on t h e o t h e r
h a n d , d e s i ro u s of ra i s i n g wi d e - n i c he c h i l d re n , " c a l c u lated" that t h ey cou l d
affo rd fewe r p roge ny.33
T h i s l i n e of a rgu m e n t co rre s p o n d s with the po pu latio n a l p h e n o m e n o n
k nown as t h e " d e m og ra p h i c tra n s i t i o n " : t h e m o re u rb a n ized a gi v e n soci
ety, t h e l owe r i ts ferti l i ty rate . As a general stat istical p h e n o m e n o n , t h i s
t r a n s i t i o n d ates t o t h e e n d of t h e n i n et e e n t h centu ry, b u t t h e re i s so m e
e v i d e n ce (from cit i e s s u ch a s G e n e va a n d Ve n i ce) that w e a l t hy c l a sses i n
t h e West l i m ited t h e i r re p rod uctive o u t p u t l o ng b e fo re th at. "A l t h o u g h
h e re t h e p i ct u re i s p a rti c u l a rly u n ce rta i n a n d co m pl ex, it may be t h a t
u rb a n dwe l l e rs we re t h e fi rst i n l a rge n u m be rs to restri ct fa m i ly s i ze w i t h
i n m a rri age , a s well a s to s h a pe d e s i red fa m i ly size t o eco n o m i c c i rc u m
sta n ce s . "34 M a ny a d d itio n a l facto rs m u st b e b ro u g h t t o b e a r t o m a ke
C o l i n va u x 's mod e l m o re real istic. Th e i n h e re n t u nc e rta i n ty of t h e p re
i n d u strial u rb a n e n v i ro n m e nt, p a rticu l a r ly the high i n fa n t- m o rta l i ty rates,
made i t h a rd to c a l c u l ate e v e n a sati sfactory fa m i ly size. P e o p l e h a d to
p rod u ce extra ch i l d re n a s i n s u ra n ce agai n st fam i n e and d i s ease, and in
t h e case o f fa rm e rs, a s pote n t i a l eco n o m i c co n t r i b uto rs . M o re ove r, t h e re
were co l l ective m e c h a n i s m s of po p u l at i o n c o n t ro l :
P re i n d u strial weste r n E u rope exhi b ited o n e stri k i n g a n d a b e rrant c h a racte r
istic. W h i le pop u l at i o n d i d t e n d to grow i n t h e prese nce of a b u n d a nt l a n d ,
117
2: FLESH AND GENES
the rate of i n c rease always rem a i n e d mode rate. The ferti l ity rates, l ower
t h a n in oth e r societies, i n d i cate the p resence of p reventive c hecks to b i rt h s .
T h e s e checks we re co m m u na l rath e r than i n divi d u a l , a n d a m o u nted to a
E u ropean system of social co ntro l of fertil ity. The most com m o n mode of
control i n western E u rope was to i m pose socio-eco n o m ic co n d itio n s on m a r
riage: a ten a n cy or gu i l d m e m b e rs h i p fo r the groom , a n a p p ropriate d owry
fo r the bride. As a res u lt, people were often forced to marry late a n d m a ny
remained single t h roughout life beca use they cou l d not achieve an i ndepen
dent s ituatio n . 35
T he c h a n g i n g ro l e of w o m e n i n med ieval society is a noth e r factor that
m u st be added to Co l i nv a u x's mode l . Recent stu d ies of t h e demogra p h ic
tra n si t i o n i n m o d e r n ti mes make it i ncreas i n gly c l e a r t h at a wide n i ng of
wo m e n 's n ic h e s is as i m po rtant as u rb a n izatio n i n i n d u c i n g t h i s bifu rca
ti o n in the T h i rd Wo r l d . Wom e n 's access to educati o n , co n traceptives,
and j o bs (th at is, a ny expa n s i o n beyo n d the na rrow n ic h e of " breeder" ) ,
as we l l as i n cre ased decisi o n - m a k i n g powe r i n t h e process of fam ily p l a n
n i ng, i s a prere q u isite for t h e tran s i ti o n . 36 To the exte nt t h at wom e n a re
fo rced to exist w it h i n n a rrow n i c h es, ge n d e r d isti n ctio n s a re v e ry m uc h
l i ke c l ass o r caste d i sti n cti o n s . T h at i s , rep rod u ctive strata a r e also h i e r
a rc hical str u ct u res, o n ly o n a sm a l l e r sca l e , si n ce fa m i l i a l h i e ra rc h ies
exist wit h i n socioeco n o m ic o n es.
I n t h e p revio u s c ha pte r we n oted t h at h ierarchy b u i ld i ng co nsists of
two d i sti n ct operat i o n s , a h o m oge n i zatio n pe rfo rmed by a so rti ng
p rocess, fol lowed by a co n so l idation t h ro ugh cod i ng i n to l ega l , rel igi o u s ,
o r oth e r fo r m a l regu l ati o n s . T h i s i s n ot , of cou rse, a strictly seq u e ntial
p rocess: in p ractice, eve n afte r a code has been esta b l i s he d , new sorti ng
ope rati o n s co n ti n ue , a l o n gside o r eve n agai n st t h e regu l ated ro uti nes.
R e p ro d u ctive n ic h es (or strata) m ay be see n as the res u lt of s u c h a h ie r
a rchy- bu i l d i ng p rocess. T h e i n itial h o mogen izat i o n is pe rfo rmed o n m ate
rials su p p l ied by the b i ological s u bstratu m . Some of the tra its that a re
ge n etica l ly dete r m i ned i n a s i m p l e way (raw- m i l k d igest i b i l ity, m a l a ri a l
resista n ce) exist as s h a rp d i c hoto m ies ( a n i n d iv i d u a l e i t h e r possesses t h e
t r a i t o r does n ot), w h i le traits d eterm i n ed b y t h e i nte racti o n of m u lt i p l e
ge n es (or p a i rs of a l l e l es) fo rm a m o re o r less co nti n u o u s statistica l d istri
buti o n . The a b i l ity to bear c h i l d re n i s of the fi rst typ e , w h i l e m ost of the
seco n d a ry sexu a l c h a racte ristics (th e o n e s u sed to defi n e ge nder ro l es)
a re of t h e seco n d type. Co n seq u e ntly, wit h re spect to the i m porta n t cate
go ry of seco n d a ry sexu a l c h a ra cte ristics, gen etic mate r i a l s create two
f u zzy stati sti ca l d i stri b utio n s (o n e for m a les, t h e ot h e r fo r fe m a l es) with
an area of overlap. 37
118
BIOLOGICAL HISTORY: 1000-1700 A . D.
W h e n we com pare t hese ove rl a p p i ng fuzzy sets with cu lt u ra l defi n i
tio ns of ge n d e r, i n w h i c h reified essen ces s u c h as " ratio n a l ity" o r " e m o
tio n a l ity" a re s h a rply d i c hoto m ized, we ca n be s u re t h at a h o m oge n iz i ng
o pe rati o n has taken p l a ce . F o r exa m ple , wo m e n h ave traditi o n a l ly bee n
d e n ied fight i n g (o r eve n se lf-defe nse) s k i l l s . I n co m pa riso n to b i o l ogi
ca l ly v ital fu n cti o n s s u c h as giv i n g b i rt h a nd ta k i n g ca re of c h i l d re n (as
we l l as m a k i ng biomass e d i b l e , by gri n d i n g, soaki n g, coo k i n g, a n d fe r
me nti ng), fighti ng m ay n ot see m so i m portant, at l east not befo re state
d i rected wars of co n q uest bega n to yie l d rich s po i l s . But fight i n g sk i l l s
we re cru c i a l ; t h e i r exe rcise gave peo p l e access to certa i n ro les (t h e w a r
rior) t h at we re sou rces of p restige a nd stat u s . S i m ply i n terms of p hysica l
st re ngth , wo m e n at t h e u p pe r e n d of the sca l e , fa l l i n g i n t h e a rea of ove r
l a p , wo u ld h ave bee n s u pe ri o r fighters i n co m pa riso n to m e n l ocated at
t h e botto m e n d of t h e m a l e sca l e of p hysica l st re n gt h , a n d yet t h ese
"ge n etica l ly e n d owed" pote ntial fe m a l e wa rrio rs we re exc l u d ed from t h e
p restigi o u s ro l e . 38 M o re ove r, beca use p hysical stre ngt h c a n be a m p l i fied
by tra i n i ng, exc l u sio n m ea n t t hat the ove r l a p a re a was artificially red u ced
in size:
Biology can feed back o n to biology through soci a l d i sti nctions: fo r hormonal
reaso ns, women, o n the average (but o n ly o n the ave rage), have a d i ffe rent
proportion of m uscle to fat than men, and this has the conseq uence that
wom e n , on the ave rage (but o n ly on the ave rage), can exert so mewhat less
p hysical force o n objects. The d ivision of l abor between men and women
a n d the d ivision of ea rly tra i n i ng, a ctivity a n d attitu de cause a very co nsid
erable exaggeration of this s ma l l d iffe rence, so that wo men become p hysi
ca l ly weaker than men d u ri n g the i r development to an exte nt fa r in excess
of what can be ascri bed to hormo nes . 39
I n med ieval E u ro p e , as t h e h i sto r i a n Ed ith E n n e n h a s s h ow n , t h i s excl u
sio n fro m t h e ro le of wa rri o r p reserved t h e age-ol d fu n ctio n of "gu a rd i a n
s h i p" as t h e exc l u s i ve d o m a i n of t h e fat h e r or ot h e r m a l e m e m b e r of a
patri a r c h a l fami ly. I n a se n s e , t h e fu n ctio n of t h i s i n stituti o n (a n d ot h e r
rel ated o n es) w a s t o co ntro l t h e flow of ge nes, b y m e a n s of asym metrica l
regU l ati o n s rega rd i ng i n fe rti l ity, i n fidel ity, a n d own e rs h i p of offsp ri ng. It i s
i m po rta nt, however, n ot t o view re prod u ctive strata as static e ntities, b u t
t o focus i n stead o n t h e dyn a m i cs of t h e i r d efi n i n g b o rd e rs . E n n e n writes
of the s h i ft i n g bord e rs of med i eva l wo m e n 's roles:
In the h istory of women i n the M id d l e Ages there are co n sta nts and
changes - and there is permane nce wit h i n the cha nges. The most powerfu l
119
2: FLESH AND GENES
co nsta nt: woman as the rich hei ress, wo ma n as bearer of successors and
heirs. Th is is tru e fo r monarchs and peasa nts, nobles and bu rghers. The
h igher the ra nk, the more importa nt this "fu nctio n", the va l u e of which, for
the fertile and the pregnant wo ma n , is ca l cu lated in money terms in the
werengeld-regu lations of the F ran kish leges [Germanic tribal law]. The s u r
vival of the dynasty depends on her.4o
E n n e n goes o n to p o i n t o u t other co nsta nts, most i m po rta ntly, t h e p reser
vatio n of t h e fu nctio n of g u a rd i a ns h i p . B u t E n n e n a l so o bserves t h at
wo m e n 's n i c h es we re co n si d e ra b ly broad e n ed by t h e advent of u rban l ife
a n d by t h e slow re placement (i n n o rt h e r n E u rope) of G e rm a n i c l aw by
C h risti a n codes. P r i o r to t h is m i l l e n n i u m , a m a rri age co ntract was
e ntered i n to by the gro o m and the wo m a n 's g u a rd i a n ; by the year 1030,
.
a wo m a n 's co n se n t was req u i red i n E n gl a n d . By t h e twe lft h ce ntu ry, t h e
l ega l p r i n C i pl e of m a rri age b y co n s e nt w a s f u l ly esta b l is h e d , a n d i m posed
m a rriages we re barred , at least in t h eo ry.41 I n m a ny cases, of co u rse,
fam i ly po l itics sti l l dete r m i ned whom d a ughte rs wo u ld m a rry, s i n ce ad va n
tage o u s m a rriages were o n e of o n ly a f e w m e a n s fo r a fa m i ly t o rise
soc i a l ly, b u t some m ed i eval wo m e n d i d a cq u i re a d egree of freedom i n
choos i n g a h u sba n d .
I n med ieval town s wo m e n 's n iches we re wide ned i n a variety o f ways .
Wo m e n a cq u i red a re l atively h igh d egree of co m m e rcia l i nd e p e n d e n ce ( i n
fact, wo m e n were m o re t h o ro u g h ly excl uded fro m co m me rce i n t h e n i n e
tee n t h ce ntu ry t h a n t hey were i n t h e l ate M id d l e Ages42) , a n d ben efited
fro m c h a nges in the l aw of m atri m o n i a l prope rty as wel l as in i n h e rita n ce
l aws with respect to wives a n d d a ughters. M a l es a n d fem a l e s a l so
beca me e q u a l i n citize n s h i p rights, a l t h o u gh not i n pol itica l partiCi pati o n :
I n t h is way [th rough i m p roved legal status a n d hered ita ry rights] women
ga ined a share of civic freed om. I n many civic lega l codes, e.g . that of B re
men dati ng fro m 1186 and of Stade fro m 1209, the husband an d wife are
both exp l i citly mentioned in the importa nt article which states that any per
son who lives i n the town u n der m u n icipal law fo r a reaso nable period is
free. Wo me n swear the civic oath and are entered in the register of citizens.
The wife's share of the civic rights of her h u sba nd co nti n ues i n fu l l after h is
death . . . , H oweve r, the sou rces do not i n d icate that wo men played any pa rt
in the ga i n i ng of these freedoms, a n d those who fought for them were n ot
co n cerned wit h the emanci patio n of women in the modern se nse. The
med ieval co n cept is not based o n the n otio n of a perso n a l sphere of free
dom; it is seen in co rpo rate te rms, and it is the freedom of the citizen ry as
a whole, the town commun ity, that is p u rsued .43
120
BIOLOGICAL HISTORY: 1000-1700 A.D.
M e d ieva l E u ro p e a n town s were n ot o n ly isol ated as ecosyste ms ( heat
i s l a n d s and food-web i s l a n d s) but t h e i r walls made them i s l a n d s in a c u l
tu ral s e n se, pl a ces w h e re ce rta i n p rivi leges co u l d be exerc i se d , w h e re t h e
o l d feu d a l restrictio n s co u ld be re l axed , w h e re new n ic hes ( e . g. , a m i d d l e
c lass) co u l d be c reate d . U n l i k e i nd ivid u a l se rfs who we re bo u nd t o a give n
m a n o r a nd its l a n d l o rd , u rb a n citize n s h a d no s u c h i n d ivid u a l o b l igatio n s,
although cities as a whole did owe dues to bis h o ps, co u nts, o r k i n gs . T h e
relative a uto n o my of tow n s , w h i c h va ried fro m p l ace to p l a ce, te n d e d t o
be reflected i n the i n stituti o n a l n o rms a n d ru les t h a t s l owly acc u m u l ated
wit h i n t h e i r ra mparts. If after so me period of resid e n ce a town ado pted
a ru n away se rf, these i n stituti o n al n o rm s re p l aced his or her own a l le
gi a n ce to a l o rd , and t h i s made the med ieval town "a verita b l e m a c h i n e
fo r b rea k i ng u p o l d bo n d s. "44 T h i s d o e s n ot mea n , of cou rse, t h at ru ra l
i m m igra n ts we re n ot d rawn a l most i m med i ate ly i n to o t h e r pyra m i d a l
str u ctu res . I n B ra u d e l 's wo rds, " t h e peasant w h o u p rooted h i mself from
his land and a rrived in t h e town was i m me d iate ly a noth e r m a n . He was
free - o r rat h e r he had a ba nd o n e d a k n ow n and h ated servit u d e fo r
a n ot h e r, n ot a lways g u essi ng t h e exte nt of it befo re h a n d . "45
The u rban i nte n si ficati o n that pea ked by t h e l ate t h i rtee nt h ce ntu ry
c reated m a ny o ppo rt u n ities fo r s u c h esca pes. W h i l e i n 1050 a r u n away
peasa n t had nowh e re to go, s i n ce town s were seve ral d ays from each
oth e r, by 1300 most town s we re o n ly o n e d ay a p a rt. M o re i m po rta n tly,
w h i l e i n 1050 town s we re s u r ro u nded by forbid d i ng forests w h ic h acted
as ba rri e rs to m igratio n , by 1300 t h ese fo rests we re begi n n i ng to d i sap
pear.46 B u t w h at was b e ne fi c i a l from t h e perspective of m igrati ng pe as
a nts wa s pote ntially catast ro p h ic fo r the u rb a n cen te rs t h emselves. I n
two a n d a h a l f ce n t u ries, town s a n d t h e i r s u pply regi o n s h ad grown at t h e
expe n se of t h e biological meshwo rk w it h i n w h i c h t h ey h a d evol ved. T h e
ecosystem w a s greatly h o m oge n ized : ma ny p a rts of t h e fo rest had bee n
clea red a n d either co nverted i nto agri cu ltu ral l a n d o r s i m ply d estroyed
a n d u sed fo r fuel or c o n struction m a te r i a l s . As o n e a utho r p uts it, u rb a n
expa n s i o n w a s bought o n cred it, u s i n g as col late ral the co nti n e n t's n at
u ra l resou rces. Afte r 1 300, n at u re fo recl osed a n d E u rope faced its fi rst
ecol ogical crisis of the m i l l e n n i u m . P r i o r to the fo u rtee nt h centu ry, m ost
fa m i nes we re loca l ize d , w h i c h m ea n t t h at regi o n s w hose agricu ltu ra l
p rod u ctio n fa i l ed cou l d i m po rt bio mass from nea rby a reas. B u t a fter
1300, ge n e ra l fam i nes became com m o n , o n e of t h e most seve re of w h i c h
struck i n 1 3 1 5 a n d l asted seve ral yea rs.47
Defo restatio n of m o u n ta i n slopes l ed to eros i o n a n d t h e l oss of fe rt i l e
soi l . A l t hough som e of t h i s soil accu m u lated i n t h e va l leys b e l ow, i n creas
i n g t h e i r fe rti l ity, defo restatio n i nten si fied t h e fre q u e n cy of floods, lead i ng
121
2: FLESH AND GENES
to fu rt h e r soi l l oss a n d d estructi o n of crops. T h is h a p pe n e d , fo r i n sta n ce,
in certai n regi o n s of t h e U p per R h i n e Val l ey.48 Soil l oss due to care l ess
explo itatio n of the fo rests' resou rces , p a rti c u l a rly the tra n sfo rmatio n of
steep s l o pes i nto agricu lt u ra l l a n d , h as been a co n stant t h reat to u rb a n
centers t h ro ug h o u t h isto ry. I n fact, some h isto r i a n s post u l ate t h at u rb a n
l i fe bega n i n Egypt a n d M e sopota m i a p recisely beca use t h e l a n d t h e re
was flat a n d h e nce n ot s u bject to e rosio n a n d soil loss. T hey cal c u l ate
t h at most ot h e r u rb a n c i v i l izat i o n s we re a b l e to pass t h e i r ge nes fo r o n ly
seve nty ge n e rati o n s before t h ey ra n out of soi l .49 Eve n t h o ugh methods
of p reve nti ng e rosi o n we re k n own from the times of t h e a n cient P h oe n i
c i a n s (te rraci n g tech n iq ues, fo r exa m p l e), m a ny u rb a n �I i e rarchies i n t h e
p a s t fa i l ed t o i m p l e m e n t s u c h k n owl edge. T h is is a n ot h e r exa m p l e of the
practica l l i m its of bo u n ded rati o n a l ity, a n d p roof t h at, although some
m ate ri a l a n d e n e rgy "fl ows ca n be "soci a l i zed" (i.e., s u bm itted to c u ltu ra l
control), i n practice m a ny are n ot.50
I n add ition to d efo restatio n , t h e fo u rtee nth-ce nt u ry eco l ogica l crisis
i n volved d is r u pti o n s to t h e s i m p l i fied ( h e n ce u n resi l i e n t) ecosyste ms
with which cities and t h e i r regi o n s h ad repl aced t h e fo rest. By s h o rte n i ng
food c h a i ns, h u m a n p o p u lati o n s acq u i red co ntrol ove r n utrie n t cycles.
F o r i n st a n ce , cattl e a n d ce rtai n c ro ps we nt h a n d in h a n d : t h e man u re of
the cattle, which were raised on ce rea l s , cou ld be p l ugged back i nto the
system as fe rt i l izer, closing the n u trient cyc l e . I n itself, t h i s tighte n i ng of
t h e cycles was goo d . I n deed, ecosystems sponta n e o u s ly s h o rte n t h e i r
n u tri e n t cycles as t h ey co m pl ex i fy. A h ig h ly co m p l ex syste m s u c h as a
ra i n fo rest r u n s its n utrie nts so tightly, via e l a bo rate m i c roflo ra a n d m i cro
fa u n a in the tree roots, t h at the so i l i s l a rgely d e prived of n utrients .
T h i s i s o n e reaso n w hy t h e d estru ction of rai n fo rests is s o wastefu l : t h e
soil left be h i n d is l a rge ly ste ri l e . T h e te m pe rate fo rests of E u rope, o n
t h e ot h e r h a n d , d o r u n t h e i r n utrie n t cycles t h ro ugh t h e soi l , a n d t h e re
d e fo restat i o n l eaves a va l u a ble reservo i r be h i n d . B u t w h e n E u ro pe a n s
re p l aced t h is ecosystem b y ta k i n g co ntrol of the cycles t h e m se lves,
u nfo resee n glitches d is r u pted the syste m . For exa m p l e , as some agric u l
tu ra l l a n d s s peci a l ized, a n d cattl e were se nt to the h ig h l a n d s to graze ,
the m a n u re cyc l e was b ro k e n , l e ad i ng to a loss of soi l fe rti l i ty.51
Co m po n e n ts of the ecosyste m w h i c h l i e o utside soci a l contro l , s u c h
as the cl i mate , a l so co ntri b u ted t o the ecol ogical c r i s i s . Wo rldwide coo l i ng
"
tre n d s see m to h ave affl icted t h e fou rte e nth a n d seve ntee nth ce ntu ries.
Braudel n otes t h at eve n civil izati o n s at great d ista n ces from o n e another
(e.g. , E u rope a nd C h i n a) m ay h ave bee n co n nected by global cli m ate
c h a nges t h at affected t h e yield of t h e i r h a rvests a n d h e nce t h e fates of
t h e i r po p u l atio n s . T h e re is so me ev i d e n ce that t h e cycles of popu l atio n
122
BIOLOGICAL HISTORY: 1000-1700 A.D.
growt h and d ecl i n e in the Far E ast a n d the Far West we re syn c h ro n ized
befo re t h e e ighte e n t h ce ntu ry; give n t h e re l atively low i n ten sity of com
m e rcial co ntact betwe e n East and West, gl obal c l i m ate rhyt h m s wou ld
se e m fo be t h e m i ss i n g l i n k:
A gen e ra l coo l i ng-d own process occu rred in the N o rthern h e m i s p h e re i n the
fo u rteenth ce ntu ry. The n u m b e r o f glaci e rs and ice-floes i ncreased a n d
wi nters b ecame more seve re . O n e h i storia n suggests t h a t the Vi k i ngs' rou te
to Ame rica was cut off by d a ngerou s ice at the time. A noth e r t h i n ks that
some d readf u l climatic d rama fi n a l ly i nte rru pted E u ropean col o n izatio n i n
G re e n la n d , t h e evi d e nce b e i ng t h e bod i es o f t h e last s u rvivors fou n d i n the
froze n eart h . . " Si m i l a rly the " l ittle ice age" . . . d u ri n g Lou i s X I V's reign was
m o re a tyra nt than the S u n K i ng. Everyt h i n g moved to its rhyt h m : cereal
growing E u rope a n d t h e rice-fields a n d steppes of Asia . . . , A l l t h i s gives
additi o n a l m e a n i ng to the fl u ct u ation s of m aterial l ife, and possi b ly exp l a i n s
t h e i r s i m u lta n eity. The poss i b i l ity of a certa i n p hysical a n d biological h istory
com m o n to all h u ma n ity b efore the great d i scoveries, the i n d ustrial revo l u
tion or the i nterpenetrati o n of eco n o m i es . 52
T h e re was a nother co m p o n e n t of u rb a n ecosyste m s t h at d efied h i e rar
c h ical co ntrol by h u m a n c u ltu res a n d l i n ked t h e fates of East a nd West:
co ntagi o u s d isease . As we saw, u rb a n ecosyste m s on both s i des o f E u ra
sia ( a n d in m a ny places in betwe e n ) we re e pi d e m iologica l l a b o rato ries
w h e re a n i m a l d i seases evolved i nto h u m a n o n es , and w h e re t h e d e n sity
of p o p u latio n was intense e no u g h to m a ke t h e disease e n d e m i c , that is,
to a l low it to s u bsist in m o re o r l ess stable coexiste nce with its h u ma n
h osts . M a ny o f t h e c h i ld h ood d iseases t h at affl i cted medieval E u rope h a d
been " ma n u factu red" o n e o r two m i l l e n n i a e a r l i e r i n t h e fou r sepa rate
" la bo rato ri es" t h at had e m e rged by classical ti mes (t h e M e d ite rra n e a n ,
t h e M id d l e East, I n d i a , a n d C h i n a). S m a l l pox, for i n sta n ce, may h ave bee n
b ro ught to t h e R o m a n E m pi re by sol d i e rs retu rn i ng fro m a cam paign i n
M eso pota m i a . 53 A ltho u g h e a c h o f t h ese ce n ters evolved sepa rately fo r a
w h i l e, as t h e i nte nsity of trade (o r warfa re) betwe e n t h e m i n te n s i fi e d ,
t h ey b e c a m e i n te rco n necte d . 54
T h e l o n g carav a n s t h at co nti n u o u sly traversed the S i l k R oad a n d t h e
i n te nse m a ritime com m e rce across the I n d i a n Oce a n had e m e rged as
t h e main co m m u n icatio n c h a n n els co n ne cti n g t h e d i ffe rent d isease pool s.
M ic ro o rga n isms trave led with silk a n d ot h e r goods t h ro u gh th ese c h a n n e l s ,
w h i c h were s u sta i n e d b y m i l itary powe r, h a bit, a n d routi n e . T h e acce l e r
ated u rb a n izati o n of E u rope a t h o u sa n d ye a rs l ater a n d t h e co nse q u e nt
esta b l i s h m e n t of regu l a r l a n d a nd sea routes fo r co m m e rce h a d a s i m i l a r
123
2: FLESH AND GENES
effect at a s m a l l e r scale, joi n i ng t h e cities a l o ng t h e Med iterr a n e a n coast
wit h the bran d - n ew c ities in t he n o rt h i n to a s i ngle d i sease pool . 55 T h ese
h o mogen izatio n s of t h e m i c rosco p i c compo n e n t of u rb a n ecosystems
had a b e n e fi c i a l effect: h a d the d i se ase pools rem a i ned isolated, a ny co n
tact betw e e n them wo u ld h ave u n leas hed explosive e pi d e m ics.
H owev e r, u rb a n p o p u l atio n s we re n ot alone in fo ste ri ng e n d e m i c d i s
e ases. Wild a n i m a l p o p u l atio n s , too, h a rbo red co l o n ies of m icrobes, a n d
co n tact betwe e n t h ese a n i m a l s a n d h u m a n s co u l d h ave catastro p h i c
re su lts. T h at is w h at h a p pened i n 1 346 , w h e n t h e b u bo n ic plague w a s u n
l e a s hed o n E u ro pe . T h e plague baci l l u s (Pasteurella pestis) h a d beco me
e n d e m i c a m o ng u nd e rgro u nd popu l atio n s of rats and fleas at the foot
h i l ls of the H i m a l ayas. The expa n s i o n of the M o ngol E m p i re, w h i c h co n
ve rted t h e o l d low- i nte n s ity trade routes i nto a co m plex n etwo rk of
carava n sa ri e s exte n d i ng i nto the n o rt h e r n E u rasi a n ste p pes and co n nect
i ng C h i n a with E u ro pe , h ad created n ew d isease c h a n n e l s , both for
h u ma n s and fo r rats:
W hat p ro b a bly h a p p e n e d between 1331 and 1346 . . . was that as p l ague
s p read from ca rav a n s e ra i to ca rava n s e ra i across Asia a n d Eastern Eu rope,
and moved the nce i nto adjacent h u ma n cities wherever they existed , a par
a l l e l m ove m e nt i nto u n d e rgro u n d rodent "cities" of t h e grassla n d s also
occu rre d . I n h u m a n-rat-flea com m u n ities a bove gro u nd , Pasteurella pestis
re m a i n e d a n u nwelcome a n d l et h a l vis ito r, u na b l e to esta b l i s h perma n e nt
lodgment becau se of the i m m u n ity reactio n s a n d heavy d ie-off it p rovoked
a m o ng its hosts. I n the rod e n t bu rrows of the ste p p e , however, the baci l l u s
fou nd a p e r m a n e nt h o m e . . . . Befo re the B l ack Death cou ld str i ke as i t d i d
[i n E u rope], two m o re co n d itions had t o be f u l f i l l e d . F i rst of all, pop u lations
of b l ac k rats of t h e kind whose fleas we re l i a ble to carry b u bo n ic p l ague to
h u m a n s had to s p read t h roughout t h e E u ropean contin e nt. Seco n d ly, a n et
work of s h i p p i n g h a d to co n n ect the Med ite rra ne a n with n o rthern E u rope,
so as to be a bl e to carry i n fected rats a n d fleas to a l l the po rts of the Co nti
n e nt. Very l i kely the s p read of black rats i nto n o rt h e r n E u rope was itself a
res u lt of the i nte n sification of s h i p p i ng contacts between the M ed iterra n e a n
a n d n o rt h e r n ports . 56
H e nce, t h e same i nt i m ate co nta cts t h at had made m e d ieval cities i n to
a si ngle d i sease poo l , w h i c h p reve n te d t h e i r co ntagi o u s d i seases from
becom i n g e p i de m ic, n ow worked aga i n st them by a l low i n g cross-borde r
contact betwee n u rb a n p o p u l atio n s a n d d i se ase-ca r rying rats a n d fleas,
which s p re a d t h e p l ague r a p i d ly across E u rope. Acco rd i ng to Wi l l i a m
M c N e i l l , it t o o k a b o u t 1 00 t o 1 33 years (five o r six h u m a n ge n e ratio n s) fo r
124
BIOL OGICAL HISTORY: 1000-1700 A . D.
the p l ague to b eco m e e n d e m i c . 57 N evert h e l ess, beca u se e n d e m ic e q u i
l i b ri u m m ay be cyc l ica l , local ized e p id e m i c outbreaks of v a ry i n g i nten sity
conti n u ed u nt i l at l east t h e eighteenth centu ry. I n t h e fi rst m ass ive o u t
break ( 1 346-1 350), about a t h i rd of t h e E u rope a n po p u l ation was co n
su med b y t h e p lague. S u bseq u e n t wave s were a l m ost as leth a l , a n d it
seemed as i f u rb a n a n d ru ra l E u rope we re be i ng d igested fro m w it h i n by.,
weeds (rats, fleas) a n d t h e i r m i c ro p a rasites.
T h e soc i a l co nseq u e nces of t h e i nten sified m o rtal ity rate s were n u m e r
o u s . T h e peasa ntry a n d wo r k i n g classes ben efited i n t h e se nse t ha t t h e
su rvivo rs fo u n d t h emselves i n a w o r l d wit h acute l a b o r s h o rtages, n ot to
m e nt i o n t h e fact t hat t h e su rvivors i n h e rited t h e possessi o n s of those
e ate n by t h e p l ague. Wages i nc reased, broade n i ng wo r ke rs ' n ic h e s sig
n i ficantly. T h ese m ight be d e scri bed as Pyr r h i c be n efits , howeve r, s i n ce
t h e u rb a n a n d r u ra l poo r s u sta i ned t h e vast m ajo rity of casu alties. T h e
r i c h wou ld a ba n d o n a c ity a t the fi rst sign s o f e p i d e m ic, w h i l e "the poo r
re m a i ned a l o n e , pe n n ed u p i n t h e co nta m i n ated town w h e re t h e State fed
t h e m , isol ated t h e m , b l ockaded t h e m and ke pt t h e m u n d e r o bse rva
tio n . " 58 Not o n ly the in ha bita nts but the cities t h e m se lves " d i e d , " s i n ce
m a ny of t h ose w h o p layed key roles i n gove r n m e nt a n d co m m e rce fled
and key u rb a n fu n ct i o n s ( b u s i n ess and l ega l activities, re l i gi o u s services)
ceased o p e rati ng.
Despite a ge n e ral d e re l i ctio n of d u ty, gove r n m e nt h i e rarchies d i d
respo n d to t h e c h a l l e nge, t h ro u g h a vari ety o f methods, i ncl u d i ng q u a ra n
t i n es, su rvei l l a nce, i n h a l a nts, d i s i n fecti o n , b l ocked roa d s , close co n fi n e
m e nt, a n d h e a l t h certi ficates.59 P l a n n e d respo n se , h owever, re m a i n e d
i n effectu a l , n o t o n ly beca u se of t h e l i m itati o n s of bou n ded ratio n a l ity, b u t
a l so becau se t h e cau se of t h e p l ague (a baci l l u s) a n d i t s m et h o d of co nta
gio n ( rats, flea s, h u m a n s) d efied h u m a n co m pre he n s i o n u nt i l the l ate
n i n etee n t h ce ntu ry. N ev e rt h eless, in the eyes of the s u rvivors, secu l a r
a ut h o rities h a d a t least m ad e a n effo rt t o 'fight back, w h i le ecclesiastical
h i erarchies h a d rem a i n e d powe rless to cope wit h t h e e m e rge n cy. I n the
afte rm at h , t h e a utho rity of t h e c h u rc h e m e rged d a m aged (anticlerica l ism
i nte n sified) w h i l e secu l a r h i e rarch ies we re stre ngt h e n e d . 6o I n t h e e n d ,
howeve r, it w a s n ot any p l a n n ed respo n se t h at sto pped t h e p l agu e , b u t a
tria l-an d-error acco m modation to it. 61
T h e re we re ot h e r soci a l co n se q u e n ces of t h e p l agu e . After each su cce s
sive e pi d e m i c wave had passed, t h e ge n e flow betwe e n classes i n creased
in i nte n s ity. C ities fo u nd t h e m s e lves depopu lated and lowered t h e i r sta n
d a rd s fo r citize n s h i p . Ve n ice, n o r m a l ly ve ry cl osed t o fo reign e rs, n ow
gra nted free citize n s h i p to a nyo n e w h o settled t h e re fo r a yea r. 62 Soc i a l
m o b i l ity i n creased, as su rv ivi ng e l ites n eeded t o re p l e n i sh t h e i r ra n ks
125
2: FLESH AND GENES
ps a m o ng cities altered beca use of t h e e n o r
with . fre s h blood . R e l at i o n s h i
wrought by t h e p l agu e . T h e eve n t u a l e m erge n ce
m o u s -d e m ogr a p hi C s h i fts
t h e N etwo r k system was i n n o s m a l l measu re a
-of Ve n i ce as t h e core of
p h c h a nges .63
co n se q u e n ce of those d e m ogra i c
a
E
u
ropean
popu latio n t h at was a l ready affl i cted
stru
ck
T h e B l ack Death
by an ecological crisis of its own m a k i ng. Alt h o u g h the defo restatio n that
p re ci pitated t h i s crisis was t h e p rod u ct of i n te n sified u rb a n izati o n , we
s h o u ld d isti n g u i s h a variety of roles p l ayed by d i ffe re nt types of cities.
The cities of the Ce ntral P l ace syste m - that is, l a n d l ocked h i e ra rc h i es of
towns of d i ffere n t sizes - cl e a red t h e i r fo rests for fa r m l a n d , for the reser
voi r of n utrie n ts t h at the tem pe rate forests' soi l co nta i n e d . The gateway
po rts of t h e N etwo rk syste m , o n t h e other h a n d , m a r keted the i n d i
gest i b l e b i o m ass of th e fo rest (wood) as fu e l o r co n st r u ctio n m aterial fo r
s h i ps. M o re accu rate ly, t h e v a r i o u s regio n s that gave b i rt h to t h e m a r itime
m etro p o l ises of E u ro p e rose to p ro m i n e n ce by exploit i ng t h ree d i ffe rent
reservoi rs: t i m ber, salt, and fis h . 64 W h i l e some Ce n tra l P l ace h ierarch ies
exterm i n ated their fo rests with a l m ost religi o u s zeal ( i n some cases u si ng
specia l ized m o n ks w h o t h o ught of every acre c l e a red of d e m o n - i n fested
fo rest a s an acre gai n ed for God65), N etwo rk-syste m gateways had a m o re
m a n age rial attitude toward t h e i r rese rvoi rs.
T h ere we re, of cou rse, m ixtu res. Some Central Place cities, such as
Paris, ho u se d h i e ra rc h ies t h at v i ewed their fo rests as re n ewable resou rces.
F re n ch fo rests we re sta b i l ized in t h e sixteenth a n d seve nteenth centu ries,
p a rtly by d ecree (th e great o rd i n a n ce of 1573 and t h e measu res taken
by Col be rt) and p a rtly beca u se t h e rem a i n i ng forest soi l s were too poo r to
exploit.66 N eve rth e l ess, t h e re were i m p o rta n t d iffe re nces between m etrop
o l i se s and c a pita l s as ecosyste ms w h i c h i n fl u e n ced t h e i r re l ati o n s h i ps
to t h e flow of bio mass, e d i bl e a n d i n ed i bl e . M a n y of t h e seapo rts - a n d
certa i n ly a l l t h e o n es t h at served as co re of t h e N etwo r k system before
t h e n i n etee n t h centu ry (Ve n i ce , G e n oa , Amsterd a m ) - we re ecologically
deprived p l aces, i n c a p a b l e of fee d i n g t he mselves. I n t h i s se nse, they were
a l l l i ke A m alfi , a s m a l l M ed iterra n e a n port whose h i nte r l a n d s were l a rgely
i n fe rti l e , b u t t h at at t h e t u r n of t h e m i l l e n n i u m h a d se rved as a gateway
to t h e dyn a m i c m a rkets of I s lam a n d had p l ayed a key role in t h e reawa k
e n i n g of E u ro p e .
like Amalfi i n its hollow a m o n g the mou ntains, Ve n ice, scattered over sixty
or so isl a n d s a n d islets, was a strange world, a refuge perhaps but hard ly a
convenient one: there was no fresh water, no food s u p p ly - o nly salt i n
a b u n dance . . . . I s this a n exa m ple o f the town red u ced t o bare essentials,
stri pped of everyth i ng n ot ?trictly u rba n , and co ndemned, in order to sur-
126
BIOLOGICAL HISTORY: 1000-1700 A . D.
vive, to o btai n everything fro m trad e: wheat or mil let, rye, meat on the
hoof, cheese, vegeta bles, wi ne, o i l , tim ber, stone - and eve n d ri n ki n g water?
Ve n ice's entire populatio n l ived outside the "primary sector" . . . [her] activi
ties all fel l into the sectors which eco nomists would nowadays descri be as
seco ndary and te rtiary: i ndu stry, com merce, se rvices. 57
T h e s a m e is true of G e n o a , w h ic h was t h e fi n a n ci a l capital of s ixtee nth
ce ntu ry E u ro p e : the c ity a rose o n a s m a l l str i p of l a n d s u r ro u n d ed by
m o u nta i n s barre n of trees a n d eve n grass. 58 T h e extre me pove rty of t h e
l a n d s o n w h i c h the I ta l i a n m a ritime metro p o l i ses we re b u i lt was pa rtly
d u e to t h e s o i l d e p l eti o n cau sed by p rev i o u s i nte n s i fi cati o n s . I n m a ny
regi o n s i n a n d a ro u n d the Med iterra ne a n w h e re prod u ctio n h ad bee n
i nte n sified a t h o u s a n d years e a r l i e r to feed t h e cities of t h e R o m a n E m p i re ,
e ros i o n had l o n g s i n ce removed the fleshy soi l a n d exposed t h e u nd e rly
i n g l i m esto n e skeleto n . Acco rd i ng to s o m e h i sto ri a n s , o n ly t h e s o i l n o rt h
of t h e P o Va l l ey h ad bee n s p a red t h i s destructi o n , a n d these we re t h e
l a n ds t hat l ater fed med ieval E u rope. T h e regio n s t h at h ad be e n t h e stage
of ba rbaric i nvasio n s a n d war after the fa l l of the R o m a n E m p i re h ad a l s o
recove red t h e i r ferti l ity b y med ieval times, s i nce m i l ita ry tu r b u l e n ce made
co n ti n u o u s i nte nsified agricu ltu re i m possi ble .59 B u t t h e land on w h i c h
tow n s l i ke Ve n ice, G e n o a , o r A m a l fi grew sti l l bore t h e sca rs of careless
i nte n s i ficati o n . T h u s , although m a n y cities in t h e fou rtee n t h centu ry (e .g. ,
F l o re n ce) we re a l ready i m po rt i n g gra i n fro m far away, tow n s s u c h a s
Ve n ice a n d G e n oa were, fro m t h e start, condemned t o trade t o m a i n ta i n
t h e i r l i fe l i n e.
T h e re a re other i nteresti n g d iffe re n ce s betwee n Ce ntra l P l ace a nd
l\J etwo rk cities i n t h i s respect. Although t h e fo rmer were bette r e n dowed
eco l ogical ly, even fo r t h e m co nti n u o u s growt h e ntai l ed i nte n s i fi cati o n a nd
h e n ce d e p l et io n . At s o m e p o i n t, e it h e r trade o r i n vasion became n eces
s a ry to ta p i nto t h e n utrient reservo i rs of ever m o re d i sta nt s o i l s . W h i le
cities bel o ng i n g to t e rrito r i a l states i nva ded other peo p l e s ' l a n d s, gateway
po rts p e n etrated t h e i r m a rkets. I n ot h e r word s ( a n d a l lowi n g fo r co m plex
m ixtures), l a n d l ocked capita l s took ove r fe rt i l e l a n d s , at times givi n g
bi rt h to a l a n d l ocked col o n i a l city o n foreign soil a n d redi recti ng t h e flow
of biom a s s to the moth e rla n d . M et ropol ises, on t h e oth e r h a n d , took ove r
strategica l ly located a l beit barre n p i eces of rock i n t h e m i d d l e of t h e
ocea n , t o co ntrol t h e t r a d e r o u t e s t h at co n nected E u rope to l u crative fo r
eign m a r kets. As B r a u d e l s ays, " I n o rd e r to co ntrol t h e l a rge expa n se s i n
q u estio n , i t was suffici e n t t o hold a few strategic poi n ts (Ca n d i a , captu red
by Ve n ice i n 1 204; C o rf u , 1383; Cyp r u s, 1489 - o r i n d eed G i bralta r, w h i c h
t h e B riti s h took by s u rprise i n 1704, a n d Malta, w h i c h t hey ca ptu red i n
127
2: FLESH AND GENES
1800) a n d to esta b l i s h a few co nve n i e nt monopo l i e s , w h i c h the n had to
be m a i ntai n e d i n good wo r k i ng o rd e r - as we do m ac h i nes tod ay. "70
From t h ese strategic p l aces a naval powe r co u l d co ntrol the M ed iter
ra n e a n ( a n d the m a rkets of t h e Leva nt) a n d , h e n ce , t h e trade l i fe l i n e of
t h e regi o n . F ro m l i kewise eco l ogica l ly poo r stro n g h o l d s on fo re ign coasts,
or fro m fo re ign gateway cities, Eu ropean metropol ises acq u i red co ntrol of
fa raway m a rkets i n I n d i a , C h i n a , a n d the Leva nt. F ro m these entry poi nts,
t h ey capt u red and red i rected a co nt i n u o u s flow of l u xu ry goods (spices,
fo r exam pl e), with p e r h a ps n egl igi b l e n utritio n a l v al u e but ca pable of ge n
erating extraord i n ary p rofits . I t i s t r u e t h at s o m e gateways a l so e n gaged
in the co l o n ization of n e a rby l a n d s for t h e i r so ils, as w h e n Ve n ice too k
co ntrol of t h e I ta l i a n m a i n l a n d a ro u nd it ( i n c l u d i n g t h e tow ns of Pad u a ,
Ve ro n a , B rescia , a n d B eraga mo) i n t h e early 1400s . B u t eve n t h e re , t h e
l a n d w a s soon u sed not t o feed the ci ty, but to raise ca s h crops a n d l ive
stock fo r the ma rket. Amste rd a m , a n ot h e r ecologica l ly poo r gateway port,
and its sister cities in t h e U n ited P rovinces s h a pe d t h e i r l i m ited h o l d i ngs
of fert i l e l a n d i nto an efficient agricu ltu ra l m a c h i n e, t h o u g h it, too, was
o ri e n ted towa rd exte r n a l ma rkets . 71 I n m a ny respects, th ese Netwo rk
cities we re not tied to t h e land and ex h i bited the k i n d of weightl essn ess,
or lack of i n e rt i a , that we associ ate wit h tra n s n atio n a l co rpo ratio n s tod ay.
I s it any wo n d e r t h at m a riti m e m et ro pol i ses such as Genoa o r Ven i ce
(as we l l as those regi o n a l capitals closely co n n ected to t h e m , such as
F l o ren ce o r M i l a n ) we re the b i rt h pl ace of many a n t i m ar ket i n stitu tio ns?
B ra u d e l i nvites us to view the h i sto ry of t he m i l l en n i u m as th ree s e pa
rate flows moving at d iffe rent speeds. O n one h a n d , we have the l i fe of
the peasant popu latio n , m o re or l e ss c h a i n e d to the l a n d , whose c u sto m s
c h a nge w i t h t h e v iscos ity o f l a v a . Corn , w h i c h fed E u ro pe , a n d rice,
which fed C h i n a , we re tyra nts t h at forced o n the peasa ntry a rigid ad h er
en ce to we l l-wo rn ha bits a n d ro u t i n e s a n d a closed cycl e of p roduct io n .
T h i s i s w h a t B ra u d e l c a l l s " m ate ria l l ife," t h e know-h ow a n d t rad iti o n a l
tools, t h e i n h e r ited reci pes a n d c u sto m s , with w h i c h h u m a n bei ngs inte r
act with pla nts to ge n e rate the flow of biomass that s u sta i n s v i l l ages a n d
tow n s . T h is body o f k n owledge res i sts i n novat i o n s a n d h e n ce c h a nges
very s l owly, as if h isto ry barely flowed t h rough it. O n e h isto ri a n suggests
t h at o n e n ee d s o bservati o n a l t i m esca les a m i l l e n n i u m l o n g to u n d e rsta nd
the agra r i a n stru ctu res of I ta ly. 7 2 The peasa nt masses are , i n a sense,
l i k e t h e asse m b l age of flora at t h e base of n at u ra l ecosystems, an i m mo
b i l e e n gine t h at creates the e n e rgy w h i c h ma kes eve ryt h i ng a ro u n d
t h e m move.
N ext com e s the wo r l d of m a rkets a n d co m m e rcial life , w h e re the flow
of h i story beco mes l e s s vi scou s . B ra u d e l ca l l s market towns "acce l e ra-
128
BIOLOGICAL HISTORY: 1000-1700 A.D.
tors of a l l h isto rical ti m e . "73 Although peasa nts so met i m e s c a m e to t h e
city m a rket of t h e i r own acco rd , m o re often t h a n not t hey we re fo rced
to co m e , and to th at e xtent we m ay say that tow n s fed on t h e m , or p arts
of t h e m , m u c h as an h e rbivo re d oes. So a bove the botto m l aye r of
m ate r i a l l i fe
comes t he favou red terra i n of the ma rket economy with its many hori
zonta l com m u n i cations between the d iffe re nt markets : here a d egree of
automatic coord in ation u s u a l ly l i n ks s u p p ly, demand a nd prices. Then
al ongside, or rather above this l ayer, comes the zone of t he anti-ma rket,
where t he great p redato rs roam and the law of t he j u ngle operates. T h is
tod ay as in the past, before and after the i n d ustrial revolution - is the re a l
h o m e o f ca pital ismJ4
T h i s is t h e layer of maxim um m obility, w h e re l a rge a m o u nts of fi n a n ci a l
ca pita l , fo r exam ple, flowed co nti n u o u s ly fro m o ne h ig h ly profitab l e are a
to a n ot h e r, d efying fro ntiers a n d accelerat i ng m a ny h i sto rica l p rocesses.
I n s u m m a ry, acco rd i n g to B ra u d e l , t h e E u ro pe a n eco nomy com prised
t h re e s p h e res o r l aye rs: t h e i ne rt i a l peasant l aye r, w h i c h was t h e sou rce
of b i o m ass flow; t he m a rket eco n o my, w h i c h set s u rpl u ses i nto moti o n by
m e a n s of t h e flow of mo ney ; a n d t h e anti m a rket, w h e re m o n ey d etached
its e l f fro m b i o m a ss , beco m i ng a mobile m uta nt flow ca p a b l e of i nvest i ng
i n a ny a ctivity t h at i n te n sified t h e p rod u ctio n of p rofits. T h i s u lt i m ate
l ayer m ay be properly ca l l ed " pred ato ry" to e m p h asize its n o n co m petitive
a n d m o n o p o l i stic (o r o l igopo l istic) natu re. A n ti m a rket s , of co u rse, coex
i sted wit h oth e r p redators (or as M c N ei l l ca l l s t h e m , " macropa rasites" 7 5),
s u c h a s centra l states and fe u d a l h i e rarc h i e s , w h i c h also d e rived t h e i r
s u ste na nce b y ta ppi n g i n to t h e e n e rget ic flows p rod u ced b y ot h e rs, v i a
taxes, re nts, o r fo rced l a b o r.
These h i era rc h ies ( a l l u rb a n in the case of m e d i eval I ta ly) s o m eti m es
meta m o rp hosed fro m o n e type of m acropa rasite i n to a n ot h e r. We a l t hy
m e rc h a n ts a n d f i n a n ci e rs , fo r i n stance, wo u ld retire from b u s i n ess a n d
b u y l a n d , sacrifi ci ng t h e i r m o b i l ity in ho pes of acq u i ri ng access t o t h e
a ri stocracy a n d t h e o p portu n ity t o spread t h e i r genes across c l a ss ba rri
ers. Noble l a n d l o rds, on the other h a n d , wou l d so m et i m es take advan
tage of their mo nopol ies of soi l , t i m ber, and m i n eral d e posits to p l ay
a nt i m a rket ro les, a l beit l a c k i n g t h e rati o n a l izat i o n a n d ro uti n izat i o n t h at
c h a racterized big b u s i n e ss. M o re often t h a n not , however, t h e s e n o b l e
m e n co l l a bo rated i n t h e tra n sfe r of s u rp l u ses from agricu ltu ral regi o n s .
As E u ro pe 's u rban ecosystems expa n d ed a n d m u ltiplied t h e i r i nter
con necti o n s with o n e a n oth e r, they beca m e n ot o n l y a s i ngl e d i sease pool
129
2: FLESH AND GENES
but a si ngle eco n o my as wel l . Soo n t h e s i m ple re l ati o n s h i p betwee n a city
a n d its s u r ro u n d i ng s u p p ly zo n e of s m a l l v i l l ages was left be h i n d (at l e ast
o uts i d e the lower ra n ks of Central P l ace h i e ra rc h ies), a n d m a ny l a rge
town s bega n to d raw t h e i r n utrie nts l a rge ly fro m a s i ngle, vast sou rce,
re p l icati ng on a h u ge scale t h e o rigi n a l parasitic relatio n s h i p t h e i nd ivid
u al cities h ad with t h e i r cou ntrysides. I n ot her wo rd s , d u ri ng the s ix
tee nth ce ntu ry E u ro pe bega n co l o n iz i n g itself, tra nsfo r m i ng its ea ste rn
regi o n s ( Po l a n d and oth e r territo r i es east of the H a m b u rg-Vi e n n a-Ve n i ce
axis) i nto its s u p ply zo n e . As with a l l s u c h pe ri p h e ra l regio n s, t h e i r re la
tio n s h i p to t h e co re that exploited t h e m was mostly n egative: their own
ma rket town s l o st vita l i ty, h osti l i ty to i n n ovatio n i n crea sed , a n d ba rri e rs
betwe e n c l asses h a rd e n ed . T h e res u l t was t hat, u n l i ke sma l l town s i n t h e
m idd l e z o n e w h i c h co u l d trade with o n e a not her a n d eve n t u a l ly s h a ke
thei r s u bo rd i n ate positio n , t hese peri p he ra l a reas were co nd e m n ed to a
perma n e nt state of backward ness.
I n t h e case o f Easte r n E u ro pe , its red u ctio n to co l o n i a l stat u s was
brought a bo u t by t h e actio n s of seve ral h i e ra rc h i es : t h e l ocal l a n d l o rds,
w h o i ntensi fied their macro p a rasitism to a n extre me (six days a wee k of
forced l a bo r was not u n co m m o n fo r peasa nts), and w h olesa le rs i n cities
s u c h as Amsterd a m w h o p reyed o n t h e l a n d lo rd s t h emse lves, m a n i p u
l ati ng s u p p ly a n d d e m a n d t h ro u g h w a re h o u si ng a n d adva n ced p u rchases
from p rod u ce rs J 6 As this i nte r n a l col o n izatio n was ta k i ng place, E u ro p e
w a s begi n n i ng to deve l o p a core-peri p h e ry relati o n s h i p o n a n eve n l a rger
sca l e , t h is time at a global leve l . S pai n a n d Portuga l , w h ose soi l s had n ot
recovered from t h e i nt e n si ficati o n of t h e R o m a n E m p i re , s pea r h eaded
the co n q u est of l a n d s across t h e Atl a ntic, t h e co nversio n of Ameri ca i nto
a co nti n e nt-wide s u p p ly zo n e .
Med i eva l cities h ad atte m pted a fi rst ro u n d of foreign col o n izat i o n
ce n t u ries e a r l i e r, a t the t i me of t h e C r u sades, but t h i s e a r l i e r effort
had l acked stay i n g p owe r. Des pite the h u n d reds of t h o u sa n d s of E u ro
pea n s w h o h ad bee n m o b i l ized fo r the i nvasio n of t h e H o ly La nds,
E u ro p e 's col o n ies a broad (Edessa, Antioch, Tri p o l i , J e r u sa l e m ) had
p ro m ptly ret u r n ed to I sl a m i c co ntro l . M u c h as p o p u lati o n d e nsity was
t h e o n ly means to m a i n ta i n t h e d o m i n atio n of u rb a n ove r fo rest eco
systems (d rops in p o p u l at i o n a l l owed the ret u r n of ba n i s h ed p l a nts a n d
wolves), h ere , t o o , d e n s ity w a s n e eded t o s u sta i n a E u ropean p rese n ce
o n f o reign so i l . A n d yet, as o n e h i sto r i a n puts it, despite t h e o rigi n a l
m a ssive tra n sfe r of peo p l e , E u rope " l ost the p ropagatio n game . " 77 I n
additio n , t h e re was a noth e r great b i o l ogical barri e r to t h e s u ccess of t h e
Crusad e s - m ic roo rga n isms:
130
BIOLOGICAL HISTORY: 1000-1700 A.D.
When the Cru sad e rs a rrived in the Levant, they had to u n d e rgo what B ritish
settlers i n the N o rth A m e rica n co l o n ies centu ries l ater ca l l ed "seaso n i ng" ;
they had to i ngest a n d b u i l d resistance to the local bacterial ·flo ra. They h ad
to s u rvive the i n fecti o n s , wo rk out a mod u s vive n d i with the Easte rn m i c ro
l ife and parasites. T h e n they cou ld fight the Sarace n s . T h i s period of sea
s o n i n g sto l e time, stre ngth a n d efficie ncy, a nd e n d ed in death of te n s of
thousands. It is l i kely that the d isease that affected the Crusade rs the m ost
was m a l a ri a . . . . C ru sa d e rs from the Mediterra n e a n . . . had b rought with
them a d egree of resista n ce to malaria . . . . U nfortu n ately fo r [them], a p e r
son i m m u n e to o n e k i n d of m a l a ria is n ot i m m u n e to a l l , a n d i m m u n ity to
m a l a ria is n ot l o ng-lasti ngJ 8
G e n es t h a t p rovi d e resista n ce to m a l a ri a (the s i c k l e-ce l l a n d beta
t h a l asse m i a ge n es) existed in the so u t h e r n E u ro p e a n ge n e poo l , but t h ey
were ra re i n t h e no rt h . C o n s e q u e n t l y, C r u sad e rs from Fra nce, G e r m a ny,
a n d E n gl a n d w e re devou red f r o m with i n by t h e pa rticu l a rl y v i ru l e nt m a l a r
i a l stra i n s e n d e m i c i n t h e M i d d l e East. W h e n Eu rope bega n colo n i zi ng
fa raway l a nds fou r h u n d re d years later, she co n fro nte d an e n t i re ly d i ffer
ent situ ati o n . N ow h e r c h i ld h ood d iseases , p a rticu l a rly s m a l l pox a n d
measles, fought o n h e r s i d e . A s M c N e i l l says, t h ese w e r e a " biologica l
w e a p o n u rb a n co n d iti o n s of l i fe [ h a d ] i m p l a nted i n t h e b l oodstre a m s of
civ i l ized peop l e s . " 79 I n fact, w h e n ev e r e nco u nte rs took p l ace betwe e n
h u m a n pop u l atio n s t h a t h a d n o t b e e n i n close co ntact with o n e a not h e r
a n d o n ly t h e i nvad e rs possessed "civi l ized" d iseases, t h e affa i r rese m b l e d
a giga ntic food c h a i n i n w h i c h o n e m a s s of h u ma ns i ngested t h e oth e r :
Fi rst, t h e struct u ra l o rga n ization o f n eighboring com m u n ities w a s broken
d own by a combi n atio n of wa r (ct. m astication) a n d d isease (ct. the c h e m i
cal a n d p hysical actio n of sto m ac h a n d i n testi n es). Someti mes, no d o u bt, a
l ocal pop u l ation s u ffe red total exti nctio n , but t h i s was n ot typica l . M o re
ofte n , the s h atte ri n g i n itial e ncou nters with civi l ization left s u bsta ntial n u m
bers of cu ltu ra l ly d isoriente d i n d ivi d u a l s on the l a n d . S u c h h u m a n m aterial
co u l d then be i nco rpo rated i nto the tissues of the e n l a rged civi l ization itself,
eithe r as i n d iv i d u a l s o r as small fa m i ly a n d vil lage grou p i ngs.8o
As E u rope bega n reach i n g o u t i nto t h e wo r l d to create n e w su p p l y regi o n s ,
E u ropea n d iseases v isited n e a r-ext i n ct i o n o r, a lt e r n atively, d ec i m atio n
o n t h e i nd ige n o u s popu l a t i o n s . I n o n e of t h e fi rst s u ccess fu l atte m pts at
co l o n izat i o n (the C a n a ry I s l a n d s), t h e local peoples (t h e G u a n c h es) w e re
d ri v e n to t h e b ri n k of exti n cti o n , most l y by t h e i nvad e rs' d i seases. Tod ay
a few G u a n c h e ge n e s re m a i n i n t h e Ca n a ries' ge n e poo l , a l o ng w i t h a few
131
2: FLESH AND GENES
words and nine sentences from their original language. 81 The rest was
annihilated. On the other hand, in what proved to be the most su ccessfu l
and long lasting colonial enterprise, the conversion o f the American con
tinent into a huge peripheral zone to feed the Eu ropean core, only some
areas (the U nited States, Canada, Argentina) witnessed the wholesale
replacement of one gene pool by another. In the rest of the Americas ,
entire commu nities were instead cultu rally absorbed. Like those insects
that first regurgitate a sou p of enzymes to predigest their food, the con
q u erors from Spain killed or weakened their victims with smallpox and
measles before proceeding to Christianize them and incorporate them into
the colonial culture.
Earlier attempts at colonizing the N ew World had failed partly beca u se
of a lack of "predigestive enzymes." The N orse, who tried to colonize
this continent earlier in the millenni um failed beca use their motherland
(Greenland) was "so remote from E u rope that they rarely received the
latest installments of the diseases germinating in Eu ropean centers of
dense settlement, and their tiny populations were too small for the main
tenance of crowd diseases." 82 The new wave of invaders from Spain
not only were in direct contact with the epidemiological laboratories that
"manufactured" these biological weapons, they were the fleshy compo
nent of the disease factory. The local Amerindians, on the other hand,
though densely populated enough to s u stain endemic relatio ns with para
sites, lacked other components of the laboratory : the livestock that coex
isted with humans and exchanged diseases with them.83
Overall, the effects of the encounter between epidemiologically scarred
Europe and virgin America were devastating. The total popu lation of the
N ew World before the Conq uest was by some estimates as high as 1 hun
dred million people, one-third of whom bel onged to the Mexican and
another third to the Andean civilizations. Fifty years later, after its initial
enco u n ter with Cortes, the Mexican popu lation had decreased to a
mere 3 million (about one-tenth of the original).84 After the initial clash i n
Mexico i n 1 5 1 8 , smallpox traveled sou th, reaching the I nca empire by
1526, long before Pizarro's troops began their depredatio ns. The disease
had eq u ally drastic conseq u ences, making it much easier for the con
q u erors to plunder the I ncas' treas ures and resources. The measles fol
lowed smallpox, spreading through Mexico and Peru in the years
1530-1531. Other endemic diseases s u ch as diphtheria and the mumps
. soon crossed the ocean, and even some of the epidemics that still
afflicted Eu rope (e.g., ty ph u s and influ enza) may have also leaped this
ancient seawater barrier: the globe was beginning to form a single dis
ease pool.85
132
BIOLOGICAL HISTORY: 1000-1700 A.D.
The cultural advantages that the Spanish enjoyed (horses, very primi
tive firearms, metal armor) would have been q uite insufficient for the
task of conq uering a densely inhabited territory. Large animals and loud
weapons had, no doubt, a powerful psychological effect on the native
population. But after the first encounters, during which the indigenous
warriors saw their stone weapons pierce through European armor and
horseflesh and witnessed the inefficiency of the Spaniards' inaccurate,
single-shot muskets, these cultural advantages would have dissipated.
But because the majority of the native inhabitants died from disease,
draining the reservoirs of skills and know-how that sustained their culture,
that meager advantage sufficed. Culture certainly played a role here, but
it was not the most important. Cultural materials flowed together with
genes and biomass (not all of it human) across the Atlantic, and it was
the whole complex mixture that tri umphed.
An entire continent was in this way transformed into a supply region
for all three spheres of the European economy: material life, markets, and
antimarkets. Sugar and other inexpensive foodstuffs for the masses would
soon begin flowing in large q uantities from the colonies and plantations
to the homeland. A variety of raw materials to be sold in her markets also
flowed home. Finally, an intense flow of si lver (and other precious metals)
provided fuel for European antimarkets and for the European monetary
system as a whole.
We saw above that while some cities took over alien lands other cities
tapped into foreign resources by manipulating markets. Unlike the pro
cess of colonizing a territory, a mostly biological affair, penetrating for
eign markets (such as the huge I ndian or Chinese markets, which rivaled
those of Europe until the ei ghteenth century) involved large q uantities of
metallic money. Silver (rather than infectious diseases) played the role of
"predigestive enzyme" here. Thanks in part to the steady flow of metal
from American deposits, the European monetary system "was projected
over the whole world, a vast net thrown over the wealth of other continents .
It was no minor detail that for Europe's gain the treasures of America
were exported as far as the Far East, to be converted into local money or
ingots in the sixtee n th century. Europe was beginning to devour, to digest
the world."86
Central Place capitals such as Madrid, N etwork-system metropolises
such as Amsterdam, and hybrids such as London used their own biologi
cal or mineral materials to dissolve foreign defenses, break apart loyal
ties, weaken the grip of indigenous traditions. After gaining entry onto
foreign soil this way, a massive transfer of people, plants, and animals
was necessary to establish a perma n e n t European presence. I n some
133
2: FLESH AND GENES
areas of t h e wo r l d , p a rticu l a rl y those that h a d bee n u s ed a s ga teways to
e x p l o it fo re ign m a rkets, t h e n e w co l o n i e s wo u l d fa i l m u ch as t h o se estab
l i s h e d d u ri ng the C r u s a d e s h a d . B u t in ot h e r p a rts, West e r n co l o n izers
wou l d i n d e e d w i n t h e pro p aga t i o n g a m e a n d , wit h it, access to t h e most
fe rt i l e a n d p rod uctive l a n d s of t h e p l a n et.
134
Sp ecies a n d Ecosys te ms
We wou l d do we l l to pa u s e n ow
fo r a m o m e n t to co n s i d e r s o m e
of t h e ph i l oso p h i ca l q u est i o n s
ra ised by t h e f l ow of ge n es a n d
b i o m ass , a s we l l a s by t h e st ruc
t u res t h at e m e rge from t h ose
f l ows . As I a rgu ed i n t h e p rev i
o u s c h a pte r, t h e re i s a s e n se i n
w h i c h spec i es a n d ecosyste m s
a re t h e p rod u ct of st ruct u re
ge n e rat i ng p rocesses t h at a re
bas i ca l ly t h e sa m e as t h ose
135
2: FLESH AND GENES
w h i c h p rod u c e t h e d i ffe re n t typ e s of roc k s
t h a t p o p u l a te t h e wo r l d o f geo l o gy. A g i ve n
s p e c i es (or, m o re a cc u ra tely, t h e ge n e pool of
a s p e c i es) ca n be s e e n a s t h e h i stori ca l o u t
com e o f a s o rt i n g process (a n a c c u m u l a t i o n
of ge n e t i c m a te r i a l s u n d e r t h e i n f l u e n ce of
s e l e ct i o n p res s u res) fol l owed by a p rocess of
co n s ol i d a t i o n ( re p rod u ct i ve i s o l a t i o n ) , w h i c h
g i ves a l o o s e a c c u m u l at i o n o f ge n es a m o re
or t es s d u ra b l e - form by a ct i n g a s a " ratc h e t
d ev i c e ." T h e m ost fa m i l i a r for m of re p r o
d u ct i ve i s ol at i o n con s i d e re d b y b i o l og ists
has an ext e r n a l ca u s e : geogra p h i ca l c h a n ge s
i n t h e h a bitat w h e re re p rod u ct i ve co m m u
n i t i es b e l o n g i n g to t h a t s p e c i e s l i ve . Fo r
i n sta n ce , a r i ve r m a y c h a n ge i ts cou rse (ove r
m a n y yea rs) a n d r u n t h ro u g h t h e m i dd l e
of a p rev i o u s l y u n d i v i d e d t e r r i t o ry, m a k i n g
con tact betw e e n m e m b e rs of a re p rod u ct i ve
com m u n i ty d i ff i c u l t o r i m p os s i b l e . I n t h at
s i t u a t i o n , t h e two ha l ves of t h e com m u n i ty
wi l l sta rt to a c c u m u l at e c h a n ges i n d e pe n
d e n t l y of e a c h ot h e r a n d h e n c e beg i n to
d i ve rg e , u n t i l t h e d ay w h e n m a t i n g betw e e n
t h e i r res pect i ve m e m b e rs beco m e s ( m e c h
a n i ca l l y) i m p os s i b l e , o r p rod u c e s o n l y ste r i l e
offs p r i n g .
136
SPECIES AND ECOSYSTEMS
H oweve r, t h e p rocess of re p rod u ct i ve i s o l a
t i o n (a n d t h u s , of specia tion) m a y b e m o re
c o m p l e x t h a n t h a t ; i n pa rt i c u l a r, i t m a y
h a ve in ternal ca u s es a s we l l a s exte r n a l o n es .
O n e w e l l - st u d i e d e xa m p l e of a n i n t e r n a l
ca u s e i s t h e " s p e c i f i c m a te recogn i t i o n sys
te m ," or S M R S . 87 T h i s is t h e syste m of t ra its
a n d s i g n a l s (wh i c h ca n be be h a v i o ra l or
a n a tom i c a l , o r bot h ) t h a t m e m be rs of a s e x
u a l l y re p rod u c i n g s p e c i e s u s e t o re cog n i z e
pot e n t i a l m a t e s . G e n et i c c h a n ges t h at a ffe ct
t h e S M R S ( m a t i n g ca l l s , co u rts h i p r i t u a l s ,
i d e n t i fy i n g m a r k s a n d d e c orat i o n s , s m e l l s)
m a y i n d e e d a ct a s a ba r r i e r to i n t e r b re e d i n g
e ve n i f t h e two d i ve rge n t d a u g h t e r s p e c i e s
c o u l d pote n t i a l l y m i x t h e i r ge n es . I n t h i s
c a s e , s e x u a l s e l e ct i o n (t hat i s , s e l e ct i o n p res
s u res e x e rc i s e d o n a n i n d i v i d u a l by its p ot e n
t i a l m a tes) ca n ca u s e a s m a l l i n i t i a l d i ffe re n c e
to b e a nl p l i f i e d i n to a m a j o r b a r r i e r to t h e
exc h a n ge of ge n es a n d , h e n c e , res u l t i n t h e
c reat i o n of a n e w s p e c i es . 87
Th u s t h e f l ow of ge n es (w h i c h o n e m i g h t
i m a g i n e as p ote n t i a l ly c o n t i n u o u s) beco m es
e n c a ps u l a ted vi a t h es e i s o l at i n g b a r r i e rs i n to
s e pa rate pac kets , ea c h d ef i n i n g a d i ffe re n t
st rat i f i e d syst e m . H oweve r, t h e re i s a r i s k of
137
2: FL ESH AND GENES
exagge rat i n g t h e stre ngt h of t hese ba rri e rs, p a rti c u l a rly i f we p ay atte n
t i o n o n ly to t h e wo r l d of re lative ly l a rge a n i m a ls, to which we belo ng.
I n d eed , ot h e r l ivi ng creatu res may n ot be as ge n etica l ly "com p a rtme ntal
i zed" a s we a re . M a ny p l a nts, fo r exa m p le , a re able to hybrid ize w i t h
p l a nts of ot h e r species (that is, t h e isolating barri e rs reta i n a m e a s u re of
p e rm e a b i l ity), w h i l e m a ny m i croo rga n isms fre e ly exc h a nge ge nes with
oth e r species d u ri ng t h e i r l i fetimes. (As we s h a l l see, t h is seems to be the
way m a ny of the bacte r i a that c a u se i n fectious d iseases have a cq u i red
resista nce to a nti b i ot i cs . ) In s h o rt, the flow of ge n e s in the bios p h e re as
a whole may n ot be as d isco nti n u o u s (as strati fied) as one wo u l d i m agi n e
b y l oo k i n g at l a rge a n i m a ls a l o n e . I n fact, i n s o m e speci a l c i rc u m sta n ces,
even a n i m a l s in tota l r e p rod u ctive iso l a t i o n may e xc h a nge ge n etic m ate ri
als via i n h e rita b l e v i ruses (ca l l e d retroviruses). 89
Ta k i ng a l l t h is i nto a ccou nt, t h e pict u re of evo l utio n a ry p rocesses t hat
e rn e rges resem b l es m o re a m e s hwo r k t h a n a strict h i era rchy, a bush or
r h izo m e m o re t h a n a n ea t ly b ra nc h i ng tree:
There is s u bstantial evide nce that o rga n isms a re not l im ited fo r thei r evo l u
tion t o ge nes t h a t b e l o n g t o the ge ne pool o f their species. Rather it seems
m o re pla u s i b l e that i n the time-scal e of evol ution the whole of the ge n e poo l
of the bios phere is ava i l a b l e to a l l o rga n isms a n d that the more d ramatic
steps and apparent d isconti n u ities in evol utio n a re in fact attri buta ble to ve ry
ra re events i nvolving the adoptio n of part or a l l of a foreign gen o m e . O rga n
isms a n d ge nomes may thus be regarded as com partme nts of the bios p h e re
t h rough which ge nes i n ge n eral circu l ate at vari o u s rates a n d in which i n d i
vid u a l ge n es a n d opero n s m ay be i nco rpo rated if of s u fficient advantage . 9o
Eve n w i t h t h i s a d d e d com p l icatio n , t h e two a bstract m a c h i n e s d is
cussed i n t h e previous c h a pt e r ( o n e ge n e rati n g h ie ra rch ies, t h e ot h e r
m es hwo r ks) a re a d e q u ate to a ccou n t fo r l iv i n g str u ct u res, p a rt icu l a rly if
we m a ke a l lowa n ce fo r v a ryi ng m ixtu res of the two types. H owever, I
wou ld l i ke to a rgue t h at t h e re is a n ot h e r a bstract m a c h i n e i n volved i n t h e
p rod u ctio n of biologica l e n t it i e s w h i c h h a s n o co u nt e r p a rt i n t h e geo l ogi
c a l wo r l d , t h e refo re d isti ngu i s h i ng species from sed i m e nta ry roc ks . T h i s
oth e r a bstract m a c h i n e , howe ve r, m ay be fou n d i n ot h e r n o n biological
rea l m s ( i n h u m a n cu ltu re, fo r i n st a n ce) and t h e refo re does n ot co n stitute
t h e " esse n ce" of l iv i n g creatu res.
D a rw i n 's basic i n sight was t ha t a n i m a l and p l a n t s pecies a re the c u m u
l ative res u lt of a p rocess of d esce n t w i t h mod i ficatio n . Late r o n , h oweve r,
scie ntists c a m e to rea l ize t h a t any variable replica tor ( n ot j u st ge netic re p l i
cato rs) co u p l ed to any sorting device ( n ot j u st ecol ogical sel ectio n p res-
138
SPECIES AND ECOS YSTEMS
s u res) wou l d gen e rate a capacity fo r evol utio n . For i n sta nce, i n t h e 1970s,
t h e com puter sci enti st J o h n H o l l a n d d evised a s m a l l c o m p u te r p rogram
t h a t s e l f- re p l icated by fol lowi ng a set of coded i n structi o n s a n d t ra ns m it
ti n g a copy of t hose i n structi o n s to its p roge ny. H o l l a n d 's p rogram d id
very l ittl e ot h e r t h a n ge n e ra te v a r i a b l e re p l i ca t i n g copies of its e l f. H ow
ever, if a population of t h ese rep l icati ng p rogra m s was s u b m itted to s o m e
s e l ecti o n pres s u re (fo r exa m p l e , i f t he u s e r of the p rogram w e r e to weed
o u t t hose va r i a n ts that did not seem an i m p rove m e n t , l ett i n g o n ly t h e
m o re p ro m i s i n g varia nts s u rvive) , the i n d ivid u a l p rogram s d eveloped u se
ful p ro pe rties a fte r m a ny ge n e ratio n s . T h i s i s the basis fo r H o l l a n d 's
"ge n et i c algo rit h m ," w h i c h is w i d e ly used today i n some co m p u te r- based
d isci p l i nes, as an effective p robl em-solvi n g d evice.91 R i c h a rd D awk i n s
i nd e pe n d e n tly rea l ized t h at patte r n s o f a n i m a l be havior (s u c h a s b i rd
songs o r t he u se of too l s by a pes) co u l d i nd eed repl i cate t h e m selves if
t h ey s prea d a c ross a popu l a t i o n ( a n d a c ross ge n e ratio ns) by imitation .
B i rdso ngs a re t h e most t h o rough ly stu d i e d exa m p l e of t h ese re p l i cators
( " m e m e s , " as Dawk i n s ca l ls t hem), and t hey do i n deed evolve new
for m s and ge n e rate d iffe rent d ia l ects . 92
I n each of t h ese cases, t h e cou pl i ng of varia b l e rep l i cato rs wit h a selec
t i o n p ressu re resu lts i n a k i n d of " se a rc h i ng d evice" (o r " p ro be h e a d " )
t h at explores a s pace of poss i b l e forms (t h e space of poss i b l e o rga n i c
s h a pes, o r b i rdsongs , o r sol u t i o n s t o com puter p ro b l e m s). T h i s sea rc h
i ng device i s , of cou rse, b l i n d (o r m o re exactly, s ho rtsighted), fol l owi n g
t h e key p r i n c i p l e of n eo-Da rwi n i s m : evolution h a s n o foresight.93 ( I t is, n ev
e rt h e l ess, h i g h ly effective, at least in ce rt a i n c i rcu m sta n ce s . ) T h i s probe
head is the a bstract m a c h i n e we were looki n g fo r, t h e one t h at d i ffe re nti
ates the p rocess of sed i m e nt a ry-rock fo r m at i o n from the p rocess t h a t
y i e l d s biol ogica l species. A n d yet, a lt h o u g h t h e new m a c h i n e i s c h a ract e r
istic of l i fe-fo r m s , t h e s a m e bas i c d i agram a p p l ies to m e m es a n d ge netic
a l go rit h m s . I t wo u l d be i n co rrect to s ay t h a t evo l u t io n a ry con cepts are
u sed metaphorically when a pp l ied to co m p uter p rogra m s a n d b i rdso ngs,
but l ite ra l ly w h e n ta l ki n g a bo u t ge n e s . It i s true t h at scientists fi rst d i s
cove red t h is d i agram i n t h e wo rld of l i v i n g c reatu res , a n d it may eve n be
true t h at t h e l ivi ng world was the fi rst p hysi c a l rea l izati o n of t he abstract
m a c h i n e o n t h is p l a n et. H owever, t h at d oes n ot m a ke t h e a b st ra ct
m ac h i n e a n y m o re " i nt i m ately rel ated" to D NA t h a n to a ny ot h e r re p l ica
tor. H e nce, i t does n ot c o n stitu te an " esse n ce" of l i fe, in the s e n se of
b e i n g tha t which makes life what it is.94
T h e flow of ge nes t h rough re p l i catio n is i ndeed o n ly a p a rt of w h at l i fe
i s . The o t h e r pa rt is co n stitu ted by t h e fl ow of b i o m ass. I n d i vi d u a l a n i
m a l s a re n ot j u st m e m b e rs of a species, but m e m be rs of a p a rti cu l a r
139
2: FLESH AND GENES
re p ro d u ctive co m m u n ity i n h a b iting a pa rtic u l a r ecosystem a n d t h u s p a r
ticipate i n t h e e xc h a nge of e n e rgy a n d m ate r i a l s t h at m a ke s u p a food
web. As with a ny p hysi c a l system , the i nte n se flow of e ne rgy m ov i ng
t h rough a n ecosyste m p u s hes it far from eq u i l i b ri u m a n d e n d ows it with
t h e a b i l ity to ge n e r ate its own dyn a m ic stab l e states (attracto rs). The
same dyn a m i c holds true fo r t h e i n d iv i d u a l orga n i s m s evolvi ng wit h i n
t h at ecosyste m . Co n se q u e ntly, t h e space t h at t h e p robe h e a d b l i n d ly
explores is n ot co m pl etely u n structu red b ut a l re ady pop u l ated by various
types of sta b l e states (static, cycl ica l , c haotic, a u to po ietic). T h i s p restruc
t u ri ng of t h e s e a rc h s p ace by i n te n s i fi catio n s of t h e e ne rgy flow m ay
i n deed faci l i ta te t h e j o b of t h e a b stract m ac h i n e (bl i n d as it is). For exam
ple, s i nce o n e pos s i b l e e n d oge n ou sly gen e rated sta b l e state is a pe riod i c
attracto r, w h ic h wo u l d a uto m atical ly d raw gen e activity a n d ge n e p rod
u cts i n to a cyc l e , the s e a rc h i ng d e vice m ay h ave stumbled upon t h e
m e a n s to ge n e rate a p r i m itive m etabo l i s m v e r y e arly o n . F u rt h e r evol u
tio n a ry com p l exificati o n m ay h ave been a c h ieved as the probe head
moved fro m attracto r to attracto r, l i ke so m a n y ste p p i ng-sto n es .
W h e n search s paces (or " a d a ptive l a n d sca pes") we re fi rst post u l ated i n
b io logy i n t h e 1930s, t h ey were t h ought t o be prestruct u red b y a si ngle
e q u i l i b ri u m , a kind of m o u n ta i n with one pea k , w h i c h se l ectio n p re ss u res
fo rced the p robe head to c l i m b . Accord i ng to t h i s sch e m a , the top of t h e
m o u n ta i n re p rese nted t h e p o i n t of m ax i m u m fitn e s s , a n d o nce a pop u l a
t i o n h a d bee n d ri v e n t h e re , se lecti o n pressu re s wou l d k e e p it locked i nto
t h i s o pt i m a l e q u i l i b ri u m . H owever, rece n t exploratio n s of a d a ptive l a n d
scapes, u si n g sop h i sticated co m pute r s i m u l at i o n s, h av e revea l ed t h at
t h e s e search s paces a re a nyt h i ng b u t s i m p l e , t h at they m ay com p rise
m a ny m o u n ta i n s of d iffe r e n t h e ights (loca l opti m a), c l u stered in a vari ety
of ways , t h e v a l l eys a n d p e a k s rel ated n ot d i rectly to fitness b u t to u n de r
lyi ng dyn a m i c a l stab l e states. M o reover, o n ce the q u esti o n of coevo l u ti o n
i s i nt ro d u ced ( a s w h e n a n i m p rov e m e n t i n a p rey's a rm o r puts p ressu re
o n its pred ato r's fa ngs a n d cl aws to fu rt h e r s harpe n , w h i c h in turn sti m u
l ates a t h i c ke n i ng of t h e a rm o r) , it beco mes c l e a r t h at i nteract i ng species
in a n ecosystem have t h e a b i l ity to change each other's adaptive
landscapes. (T h i s i s j u st a n ot h e r way of sayi ng t h at i n a p re d ator-prey
a rm s race t h e re is n ot a fixed d e f i n ition of w h at cou nts as "the fitte st. " )95
Although the notio n of u n iq u e sta b l e states did some d a m age to evo l u . tio n a ry b i ology (by i m posi ng a n oversi m p l ified vers i o n of e vo l u ti o n w h i c h
d i s rega rded e n e rgy flow a n d t h e far-fro m -eq u i l i br i u m co n d itio n s t h e flow
of e n e rgy ge n e rates), the i d e a of the " s u rvival of the fittest" had m u c h
m o re d a m agi n g effects w h e n it w a s a p pl ie d t o h u m a n cu ltu re. T h at m i s
a p p l icat i o n d e ge n e rated a l most i m m e d i ately i nto Soc i a l D arwi n i sm a n d
140
SPECIES AND ECOSYSTEMS
t h e euge n i cs move m e n t a n d , l ater o n , i n s p i red t h e raci a l clea n s i ng poli
cies of N azi G e r m a ny. C o m i n g as it d id afte r centu ries of i nt e n se col o n i al
i s m , Socia l Da rwi n is m n atu ra l ly fostered t h e i d e a t h a t t h e Caucasian race
was su perior to all others. Of cou rse, i n a d d it i o n to t h e m i sta k e n n oti o n
o f a s i n gl e , opti m a l eq u i l i br i u m , t h e s e soc i a l move m e n ts were n u rtu red
by the bel ief t h at ge n e s determ i n e cu ltu re , t h at i s, t h at t h e re i s but a s i n
gle probe head (wh e re a s , as w e j u st saw, e v e n bi rds e m body at l e a s t two).
I n reactio n to t h i s positio n , a n u m be r of a n t h ropologi sts ( i n c l u d i ng
F ra n z Boas, M a rga ret M e a d , a n d R u t h B e n ed i ct) developed d u ri ng t h e
fi rst d e c a d e s of t h e twe ntieth c e n t u ry a co u nte rt h e o ry t h at not o n ly gave
h u m a n c u l t u re its dese rved a uto n o my from ge n etic d ete rm i n at io n , b u t
d e n i e d t h at biological evol u t i o n h a d a ny effect w h atsoeve r o n t h e deve l o p
m e n t of h u m a n societies. Acco rd i ng to t h ese a n t h ropol ogists, h u m a n
n atu re w a s co m p l etely m a l l ea b l e a n d flexi bl e , a n d h U m a n b e h avior dete r
m i n ed by cultu re a l o n e . I n t h e s ho rt ru n , "cu ltu ra l relativi sm" (as it c a m e
to be k n own) d i d us t h e co n si d e ra b l e se rvice of foste r i n g a greate r to l e r
a n ce of c u l tu ral d iffe re n ce s (a welco m e a nti dote to t h e raci st i d e a s a n d
p o l i c i e s of t h e Soci a l D a rwi n i sts a n d e u ge n icists), b u t later o n it h a rd e n ed
i nto d ogma, a n d i n some cases it eve n dege n e rated i nto e m pty c l i c h e s
(such a s t h e slogan " ev e ryt h i ng i s soci a l ly co n st ru cted").96
Fort u n ately, a nth ropo logists seem to be m ovi n g away from dogm atic
positio n s and deve l o p i n g a new interactionist a p proa c h , w h e re i n both
o rga n i c and cultu ra l evol ution a re co n s i d e red si m u lt a n e o u s ly. One version
of this n ew a p p roach (t h e one d eveloped by Wi l l i a m D u r h a m ) see m s p a r
ticu l a rly c lose to t h e view we are explo r i n g h e re : t hat both o rga n ic a n d
cultu ra l c h a nge i n vo lve rep l i cato rs a n d t h at n ew structu res a r i se b y selec
tive rete n t i o n of va r i a n ts. M o re over, D u rh a m agrees t h at t h i s does n ot
i nvolve a meta p horical u se of bio logica l co n cepts. ( H e c a l l s t h i s C a m p
bel l 's ru l e : t h e a na l ogy to c u l t u ra ! accu m u l atio n s is n ot fro m o rga n i c evo
l ution but fro m a ge n e ra l m od e l of evo l u t io n a ry c h a nge, of w h i c h o rga n i c
evo l u t i o n is but o n e i n st a n c e . )97
Befo re descri b i n g t h e five d ifferent ways i n w h i c h ge n etic a n d c u ltu ra l
re p l i cato rs i nt e ract acco rd i n g to D u r h a m , we m u st fi rst a d d ress t h e q u e s
t i o n of j u st w h at ge n etic effects we a re co n s i d e r i n g h e re . A l t h o u gh a few
i n d iv i d u a l ge n es have b e e n a d d e d to t h e h u m a n ge n e pool i n h i sto rica l
t i m e s (su c h as t h e ge n e t h at c a u se s sickle-ce l l a n e m i a but p rotects its
carriers agai n st m a l a ri a), ge n et i c evo l ution is so m u c h s l ow e r t h a n c u ltu r
a l e vo l ut i o n t h at its i n fl u e n ce i n h u m a n a ffai rs is m a rgi n a l . As Ste p h e n
J ay G o u l d poi nts o u t , "W h i l e t h e ge n e fo r s i c k l e-ce l l a ne m i a d e cl i n es i n fre
q u e ncy a m o n g black A m e rica n s [si n ce t h ey a re n ot s u bjected to t h e
m a l a ri a l sel ect i o n p ressu re], w e h a v e i n ve nted t h e rai l ro a d , t h e a uto m o-
141
2: FLESH AND GENES
b i l e , ra d i o a n d te levis io n , the ato m b o m b , the co m pu te r, the a i r p l a n e a n d
space s h i p . "98 T h u s , t h e ge netic effects w e a re co n si d e r i n g a re t h e o rga n ic
l i m itatio n s i m posed o n u s by o u r own bodies w h i c h c a n be called " h u m a n
u n ive rsals" as l o n g as w e do n ot attach a ny transce n de nta l m e a n i ng to
t h i s te rm . (O rga n i c co n stra i nts, l i ke cu ltural co n st ra i n ts, a re co nti nge n t
h isto rical p ro d u cts, t h o u g h t hey o p e rate ove r l o n ge r t i mesca l es. )
O n e way i n w h i c h ge n etic a n d cu ltu ra l rep l i cato rs i nteract (o r act o n
o n e a n ot h e r) i s as so rti n g d evices. O n t h e o n e h a n d , ge n es , o r rat h e r
t h ei r bod i ly (o r p h e n otyp ic) e ffects, m ay act as selecti o n pressu res o n t h e
acc u m u l at i o n of c u ltu ral m at e ri a ls. D u r h a m d i sc u s se s t h e exa m p l e o f
col o r percept io n , a n d i ts relatio n s h i p with c o l o r word s, p a rtly beca u se its
a n ato m ical b a s i s i s re l atively well k n ow n (both the p igme nt-based sys
tem of l ight a bso r ption i n t h e eye a n d t h e processi ng of s e n so ry i n p ut by
t h e brai n ) a n d p artly beca use m u c h a n t h ropological rese a rc h on t h i s
s u bject a l ready exists. C r u c i a l evi d e n ce o n t h e " u n iversal ity" of color per
cepti o n w a s gat h e red in the 1 960s by the a nt h ropologists Bre n t Berl i n
a n d P a u l K a y i n t h e co u rse of a n experi m en t designed t o p rove t h e o ppo
s ite hypot h e s i s : t h at each l a n g u age p e rfo rms the cod i n g o f colo r experi
e n ce in a d iffe rent m a n n e r. B e rl i n and K ay s howed a l a rge sample of
color chips to s u bjects b e l o n gi n g to twe n ty d iffere n t l i n g u i stic co m m u n i
ties a n d asked t h e m to l ocate i n t h e grid of c h i ps both w h at t h e s u bj e cts
wo u l d con s i d e r to b e t h e focal po i nt of the referent of a give n co l o r wo rd
as well as its outer b o u n d a r i e s . On the basis of the l i ngu i stic re l ativ ity
hypothesis (that t he r e is no " n at u ra l " way to cut u p t h e spectr u m ) , these
rese a rc h ers expected t he i r exp e r i m e nts to e l i cit w i d ely scattered focal
points and d i scord a n t o u te r bou n d a ri e s , but i n stead t h ey reco rded a very
tight cl u steri ng of focal points ( a n d co n co rd a nce of bou n d a ri es) rega rd
less of h ow m a ny col o r te rms existed in a given n ative voc a b u l a ry. More
recent resea rch h as s u p po rted ( a n d refi n ed) Berl i n and K ay's resu lts
a n d has fu rthe r s hown t h at even though d i fferent cu ltu res h ave acc u m u
l ated a d i ffere n t n u m b e r of co l o r l a be l s , t h e order tha t this a ccum ulation
follows exh i b i ts so m e d e f i n ite regu l a rities, with terms fo r " b l ack" a n d
"wh ite" always a p p e a r i n g fi rst , fol l owed b y terms for p ri m a ry col o rs i n
certa i n seq u e n ces (red-gree n-ye l low-bl u e , f o r exa m ple). O n e poss i b le
i n te r p retatio n i s that t h e fi rst l a bels t h at accu m u l ate (" black" a n d "w h ite" )
d esign ate b roa d , com posite catego ries ("d a r k-cool" a n d " l ight-wa r m , "
respectively), w h ich slowly d i ffe re n ti ate as n ew l a be l s a re a d d e d t o t h e
reperto i re , e a c h o n e e nte ri n g t h e s et i n a s pecific a n d h igh ly co n stra i n ed
fas h io n . O n t h i s basis, D u rh a m h as co n cl u d ed t h at t h i s is an exa m p l e of
gen etic co n strai nts o n percept i o n gu i d i ng t h e acc u m u l ation of c u ltural
re p l i cato rs (colo r wo rds).99
142
SPECIES AND ECOSYSTEMS
C u lt u ra l mate r i a l s , i n t u r n , m ay act i n t h e o p pos i te d i rectio n a n d i n fl u
e n ce t h e acc u m u l at i o n of ge n e s . U n l i ke t h e accu m u lation of co l o r te rms,
howeve r, t h e accu m u latio n of genetic m a te r i a l s h a p p e n s so slowly as to
be v i rtu a l ly u n o bse rva b l e . H e n ce, h a rd ev i d e n ce i s much m o re d i fficu l t to
o btai n in this case, and we a re forced to d i sc u ss hypothetical sce n a rios
o n t h e basis of i n d i rect evide nce, such as t h a t provi d e d by myt h s . T h e
exa m p l e D u r h a m d iscu sses i n d et a i l i s t h e ge n e t h at a l l ows s o m e I n d o
E u ro pe a n races to d i gest raw m i l k as a d u lts. F i rst of a l l , variation fo r t h i s
ge n e d o e s exist a n d i s h ighly co rre l ated w i t h certa i n cu ltu ra l patte r n s .
H igh p reva l e n ces of t h i s ge n e exist o n ly i n popu l atio n s t h at tod ay co n s u m e
co m pa ratively l a rge a m o u nts of fre s h m i l k a n d possess a n ci e n t mytholo
gies t h a t both reco rd a nd e n co u rage ad u lt fresh-m i l k co n s u m pt io n . I n
t u r n , t h ese ge n etic a n d cu ltura l m ateri a l s a re a ssoci ated with e n v i ro n
m e nts of l o w u ltraviolet r a d iatio n , w h ere vita m i n D a n d m et a bo l i c calci u m
are c h ro n ical ly d efi ci e n t , t h a t i s , with e n v i ro n me nts w h ere fres h-m i l k con
s u m ptio n c a n h ave positive health effects. D u rh a m revi ews seve ra l possi
ble sce n a rios t h at may exp l a i n t h ese corre l at io n s a n d concl u d es t h at t h e
m ost p l a u s i b l e o n e ( a s we l l as t h e o n e m o re co n s i st e n t with t h e h i sto ry
cod ed i n to myt h s) is as fo l lows :
A s ge nes fo r L A [lactose absorption] were favored a t h igh latitudes, more
people cou l d d ri n k m i l k after wean i ng, thereby spread ing the be n efits of
m i l k prod uctio n a n d i m provi ng the local cu ltura l eva l u ation of the memes
be h i n d the practice. The i ncreased ava i l a b i l ity of m i l k, in t u r n , wou l d have
conti n u ed the genetic se lection of LA ge notypes, thereby augmenti ng the
freq uency of ad u lt lactose a bsorptio n , t he be nefits of m i l k i ng, the cu ltu ra l
preference fo r m i l k, a n d s o on i n perpetu ity. . . . T h e cycle may have started
as a co nti n u ation of routine i n fa nt feed i ng practices. Early on, the m i l k of
d a i ry a n i mals may have been tried as a supplement to mother's m i l k ,
i ncreasi n g t h e vol ume o f lactatio n , its d u rati o n , or both. B y virtue o f the
(i n itially rare) LA gen otypes, some recipients wou l d h ave mai nta i ned lactose
sufficiency beyo n d its normal lapse, conti n u i ng to d r i n k m i l k a n d thereby
avoid i ng rickets i n thei r early years . . . . I n pa rtic u l a rly rachitoge n ic a reas,
the advantage to fresh milk co nsu mption wou ld have exte n ded i n to adoles
cen ce and ad u lthood . loo
I n a d d it i o n to t h ese two ways of i nteract i n g d i rectly with each ot h e r, c u l
t u re a n d ge n es m a y e nte r i n to other, m o re i n d i rect rel atio ns. I n p a rt ic u l a r,
D u r h a m poi n ts o u t t h a t o n ce certa i n cu l t u r a l m ateri a l s have accu m u l ated ,
t hey m ay h a rd e n i nto i n stituti o n a l val ues, w h i c h i n t u r n act as select i o n
p ress u res fo r fu rt h e r cu ltu ra l accu m u l ation s . H e nce, s o m e c u l t u r a l re pl i-
143
2: FLESH AND GENES
cators m ay, i n a s e n se , be self-selecting, a nd th i s g i v e s t h e m a degree o f
a u to n o my i n t h e i r evol u t i o n . U n d er t h e s e co n d itio n s , c u l t u ra l a d a ptati o n s
m ay co m e t o h a v e re l a ti o n s of e n h a n c e m e n t , o p p o s i ti o n , o r n e u t ra l ity
with res pect to ge n etic a d a ptat i o n s .
I n cest ta boos a re a n exa m p l e of e n h a n c e m e n t . Zoologists have co n
v i n c i ngly d e m o n st rated t h at i n bre e d i n g has d e l ete rio u s g enet i c e ffects
a n d t h a t m a ny a n i m a l s h a ve evolved an i nsti n ctive avoid a n ce of it. H u m a n s
m ay i n d ee d s h a re t h i s b u i lt-i n con stra i nt, a s st u d i e s o f a v e r s i o n to sex u a l
i n t e rco u rse a m o ng a d u lts w h o w e r e rea re d toget h e r i n k i b b utzim s e e m t o
s how. Howev e r, as Du r h a m p o i nts o u t, t a b o o p ro h i b itio n s a re n ot n eces
s a r i l y t h e s a m e as avo i d a nce of i n bree d i ng. He o b s e r ves t h a t " t h e re ca n
be n o n i ncest u o u s i n b re e d i n g (as w h e n sexu a l i n te rco u rs e betwe e n certai n
catego ries o f k i n i s n ot p ro h i b ited) a n d n o n i n b red i n cest (as w h e n p ro h i
b i t i o n s a p p ly betwee.n p a re nts a n d t h e i r a d o pted c h i l d re n ) . " lOl G i v e n t h e
ra nge o f v a r i a b i l ity of t h e i n cest p ro h i b i t i o n s , w h i c h o n ly p a rt i a l ly overl a p
with i n b re e d i ng, D u r h a m co n c l u d e s t h at t h e sets o f regu l a t i o n s t h at co n
stitute the taboo in d i ffere n t societies evolved u n d e r cu l t u ra l s e l ecti o n
p re s s u res (a l t h o u g h i t i s poss i bl e t h at i n st i n ctive avo i d a nce may h ave
p l ayed a role in t h e i r a ccu m u lat i o n ea rly on in h u m a n e vo l u ti o n).
The re l at i ve a u to n o my with w h i c h s e l f-selection e n d ows the evo l u t i o n of
c u lt u ra l repl icato rs a l l ows t h e m to fo l l ow a d i rect i o n t h at is n e u t ra l re l a
tive to o rga n i c a d a ptat i o n s . F o r t h e s a m e reaso n (i . e . , c u lt u ra l re p l icators'
re lative e vo l u t i o n a r y a u tono my), v a ri o u s aspects of c u l t u re may t u r n out
to ha v e m a l a d a ptive co n s e q u e n ces rel at i ve t o o u r b i o l ogy. F o r exa m p l e ,
m a ny c i v i l izati o n s i n t h e p a st carel essly i n t e n s i fi e d t h e e x p l oitati o n of t h e i r
s o i l s, fa i l i n g to i m p l e m e n t a v a i l a b l e te c h n i q u e s (s u c h a s t e rraci ng) t h at
co u l d h a ve p rotected t h i s v a l u a b l e resou rce fro m erod i n g away. Con se
q u e ntly, those societ i es i n a d v erten tly set a l i m it o n the n u m b e r o f t i m e s
t h ey co u l d p a s s t h e i r ge n e s down t h ro u g h t h e ge n e ra t i o n s . (An u p pe r
l i m it o f s e v e n ty ge n e rati o n s existed fo r m o st c u l t u re s , a cco rd i ng to o n e
h i stori a n 's ca l c u l ati o n s . ) I n t h i s case, t h e bo u n ded ratio n a l ity o f m a ny
e l i t es a n d t h e pros pect of s h o rt-te r m ga i n s p romoted t h e accu m u l at i o n
of h a b i ts a n d ro uti nes t h at, i n t h e l o n g r u n , d e stroyed t h e co n d itio n s
u n d e r w h i c h t h e ge ne poo ls o f t hose ci vi l izat i o n s co u l d r e p rod u ce t h e m
s e l v e s . D u r h a m a l so fi n d s th ese m a l a d a pt i ve cu ltu ral m at e ri a l s acc u m u
lating i n co nte m po ra ry co m m u n ities o f E I S a l va d o r a n d H o n d u ras, t h e i r
l a n d s c a p e s " l i ttered w i t h tel lta l e si gns of m a l a d a ptati o n . S l o pes of forty
o r fi fty degrees . . . we re b e i n g c u ltivated in perpetu ity . . . w i t h ste a d i l y
dec l i n i n g y i e l d s . C o r n w a s c u l t ivated i n ro ck o u tcro p s , a n i m a l s grazed i n
stee p gu l l ies, a n d t h e e rosive fo rce of tropical ra i n s c a r r i e d o ff eve r
m o re of t h e l e a c h e d a n d wo rn-o u t topso i l . " 102 I n t h i s case, h owev e r, t h e
144
SPECIES AND ECOSYS TEMS
p ro b l e m i s n ot t h e local p e a s a n t c u l t u re . R a t h e r, t h e m a n i p u l a ti o n of
l a n d t e n u re po l i ci es by the la n d e d e l i tes a nd the gove r n m e nt's s u p p o rt
fo r expo rt agri c u l tu re h ad i m posed t h es e m a l a d a pt i v e co n d iti o n s o n t h e
p e a s a nts . From t h i s a n d o t h e r ca s e s , D u rh a m co ncl u de s t hat a m a j o r
ca u s e o f o p positio n b etwe e n ge n etic a n d c u l t u ra l r e p l icators i s t h e i m po
s it i o n fro m a bove of h a bits a n d c u sto m s (or l i v i n g co n d i t i o n s l ea d i n g to
c e rt a i n h a bits a nd c u sto m s) t h at a re m a l a d a ptive.
H oweve r, one m u st not assu m e t h a t the powe r to i m pose a set o f va l u e s
o n a pop u l a ti o n (a n d h e nce to i n fl u e n ce t h e d i rect i o n of t h at p o p u l a ti o n 's
c u l t u ra l evo l u t i o n ) is a l ways stro ng e no u g h to e l i m i n ate t h e sel ective
effect of i n d i vid u a l c h o i c e . ( H e re i n l i es a n ot h e r we a k n e ss of "cu l t u ra l r e l a
t i v i s m " : n ot o n ly does it e m p h a size t h e exotic a t t h e expe n se o f t h e u n re
m a r k a b l e , w h i ch i s wh e re h u m a n u n iv e r s a l s a re to b e fo u n d , b u t i t t e n d s
t o foc u s o n t h e n o r m s o f a soci ety w h i l e i g n o r i ng t h e act u a l b e h a vi o r o f
i n d i v i d u a l age nts, wh o m ay o r m ay n o t al ways a d h e re to t h o se n o rm s .
Pe rfect o b e d i e nce ca n n ot b e ta k e n fo r g r a n t ed . 103) Acco rd i ng t o D u r h a m ,
a bs o l u t e i m p o s i t i o n a n d free i n d i v i d u a l c h o ice n e e d t o b e t a k e n a s i d e a l
i z e d p o l e s of a co nti n u u m , with m ost actu a l b e h av i o r fa l l i ng s o m ew h e re
i n betwe e n , as a m ixtu re of t h e two .
H a v i n g esta b l i s h e d t h e d i ffe rent fo r m s of d i rect a n d i n d i rect i nt e r
act i o n s betwe e n cu ltu ral a n d ge n et i c re p l i cato rs, we m u st n ow a dd ress
certa i n q u esti o ns rega rd i n g the kinds a nd n umb er o f a b st ract p ro b e
h e a d s at w o r k i n cu ltu ra l evol ut i o n . Fo r e xa m pl e , w e o bs e r ved t h at t h e
flow of ge n e s th ro u gh l a rge a n i m a l s i s q u i t e d i ffe re nt fro m t h e flow
t h ro u g h m i croorga n i s m s , the fo r m e r fol lowi n g a rig i d v e rt i c a l fo rm (fro m
o n e ge n e ratio n to a not h e r) w h i l e t h e l atte r a d d i t i o n a l ly i n vo l v e s a h o rizo n
t a l exc h a n ge of ge n e s (from one s pecies to a n ot h e r, v i a p l a s m i d s or
ot h e r vectq rs) . I n t e r m s o f the n u m be r of ch a n n e l s fo r tra n s m i ss i o n , t h e
flow o f c u ltu ra l mate r i a l s i n h u m a n societ i es i s q u ite ope n , a n d i n t h a t
s e n s e a ki n to t h e flow of ge n e s th r o u g h b a cte r i a . C u l t u ra l r e p l icato rs flow
v e rt i ca l ly in a o n e-to- o n e st ruct u re (from p a re nts to offspri ng) or in a
m a ny-to- o n e struct u re (as w h e n t h e a d u lts i n a co m m u n i ty exercise p res
s u re s o n a c h i l d). C u l t u ra l re p l i cato rs a l s o flow h o ri zo n tal ly, fro m a d u l t to
a d u l t (o n e -to-o n e) o r from l e a d e rs to fol l owe rs (on e-to-m a ny) . 104
M o reover, it may b e a rg u e d t h at cu l t u ra l evol u t i o n i nv o l v e s m o re t h a n
o n e sea rch i ng d evice: w h i l e s o m e m a te ri a l s rep l i cate t h ro u g h imitation
(a n d , h e n c e , a re a n a l ogo us to bi rdso n gs o r, m o re ge n e ra l ly, to m e m es),
ot h e rs re p l i cate th rough en forced repetition : c h i l d re n do n ot s i m p l y l e a r n
to i m i tate t h e so u n d s a n d gra m m a tical ru l es t h a t m a ke u p a l a n g u ag e ,
t h ey adopt them a s a n o rm o r repeat them a s a rule. (T h i s i s o n e m i n o r
s h o rtco m i ng o f Du r h a m 'S a n a lysi s: h e u ses t h e t e r m meme fo r a l l c u lt u ra l
145
2: FLESH AND GENES
re p l icators, eve n t h o u g h s o me of t h e m a re t ra n s m i tted as n o rm s [e . g . ,
h i s "s eco n d a ry v a l u e s " ] . ) Sfo rza obse rves t h a t l i ngu istic n o rms (exce pt
fo r i n d iv i d u a l wo rd s) d o n ot e a s i ly re p l icate ac ross d i ffere nt c u l t u res b u t
travel a l o n g w i t h t h e bod i e s t h a t se rve as t h e i r o rga n i c su bstra t u m .
( H e n ce the t i g h t corre s p o n d e nces h e fi n d s betwe e n l i ngu ist i c a n d genetic
m a p s . ) H e attri b utes this co n se r vative te nd e n cy to t h e fi rst two (ve rt i c a l )
me c h a n i sms of cu ltu ra l tra n s m i s sio n . 105 T h e f l o w t h ro u g h h o ri z o n t a l
c h a n n e l s , o n t h e ot h e r h a n d , does i n vo lve i m itat i o n a n d so m a y b e co n
sid e red a f l ow of me m e s .
A d i ffe re n t p rocess i s i n volved w h e n t h e tra n s m is s i o n i n volves n ot
fo r m a l ized k n owledge b u t em bod i e d k n ow- how. I n t h i s case, t h e i n fo r m a
t i o n i n q u esti o n c a n n ot travel by itse lf (t h ro u g h boo ks, fo r exa m p l e) b u t
n e e d s h u m a n bod i e s as i t s ve h i c l e . T h i s k i n d o f tra n s m i s s i o n m ay be
co m p a red to t h at i n volved in e p i d e m i c co ntagi o n . B r a u d e l argu es, fo r
exa m p l e , t h a t t h e p r i nt i n g p ress a n d m o b i l e a rti l l e ry d i d n ot cre ate a p e r
m a n e n t i m ba l a n ce i n t he d i stri b u t i o n of powe r i n E u ro p e beca use t h ey
s p re a d too ra p i d ly a c ross t h e C o n t i ne nt, t h a n k s to the m o b i l ity of t h e i r
p ractiti o n ers . P ri n t e rs a n d m e rce n a ries i n t h e s i xte e n t h a nd seve ntee n t h
ce n t u ries m i grated co nti n u ou sly, ta k i n g t h e i r s k i l l s a n d k n ow- how w h e r
ever t h ey went, s p re ad i n g t h e m l i k e a n e p i d e m ic. lo6
I n t h i n k i n g t h ro u g h t h e m e c h a n i s m s of c u l t u ral evol u t i o n , we m u st
take i n to co n s i d e rati o n the kinds of e n tities that may be said to evolve i n
a give n soci ety. W h e n stu dyi ng societies t h at l a c k d iv e r s i f i e d politico
eco n o m i c i n st i t u t i o n s , we may v i ew c u l tu ra l tra n s m i s s i o n i n terms of
re p l i cati o n of t h e w h o l e set of v a l u es a n d n o r m s w h i c h b i n d s a p a rt i c u l a r
society toget h e r. B u t i n u r ba n societ i e s , i n st i t u ti o n s m a y a l s o re p ro d u ce
t h e m se l v e s w i t h va r i a t i o n individua lly. T h e eco n o m i sts R i c h a rd N e l s o n
a n d S i d n ey W i n t e r, fo r i n st a n ce, es p o u se a n evo l u t i o n a r y t h eory of eco
n o m ics based on t h e i d e a t h a t o n ce the i n tern a l o p erati o n s of an o rga n i
zat i o n have beco me ro u t i n ized , t h e rou t i n es t h e m s e lves co nst i t u te a
k i n d of "o rga n izat i o n a l m e m o ry. " 107 Fo r exa m p l e , w h e n a n eco n o m i c
i n st i t u t i o n (e . g . , a b a n k ) o p e ns a b r a n c h i n a fo reign city, it s e n d s a p o r
t i o n of its staff to re c r u i t a n d t ra i n new pe o p l e ; i n t h i s way, it tra n sm its
its i nte r n a l ro u t i n e s to the new bra n c h . T h u s , i n st i t u t i o n s may be sa i d to
t ra n s m i t i n fo r m a t i o n vert i ca l l y to t he i r "offs p r i n g . " On the other h a n d ,
s i n ce m a n y i n n ovati o n s s pread t h ro u g h t h e eco n o my by i m itat i o n , i n sti
t u t i o n s m ay al so affect e a c h ot h e r i n a m a n n e r a n a l ogo u s to i n fect i o u s
contagi o n .
H e re w e h ave bee n exp l o r i n g exc l u sivel y t h e i n teract i o n s betwee n c u l
t u re a n d ge n etics, b u t n o n et h e l ess we m u st n ever lose sight of t h e fa ct
t h a t t h e flow of re p l ic ato rs (w h e t h e r ge n es , m e m e s , n o r m s , or ro u t i n e s)
146
SPECIES AND ECOSYSTEMS
constitu tes o n l y h a l f t h e sto ry. The f l ow of m atte r a n d e n e rgy t h ro u g h a
system (w h i c h ofte n m e a n s t h e flow of b i o m a s s , e it h e r l iv i ng or fo s s i l ) is
of e q u a l i m p o rt a n c e , pa rti c u l a rly d u r i n g i n te n s i ficatio n s . T h e ro l e of
ge netic a n d cu l t u r a l re p l icators (o r, m ore accu rate l y, of t h e p h e n otyp i c
effects of t h ose re p l i cators) is t o act as cata lysts t h at fa c i l itate o r i n h i b it
the self-orga n i z i n g p roces ses made possi b l e by i n t e n se m a tte r-e n e rgy
flows. I t is t h ese f l ows t h a t d eterm i n e t h e n at u re of t h e t h e r mody n a m i c
sta b l e states ava i l a b le to a syste m ; t h e catalysts act m e re l y as co ntrol
me c h a n i s m s , c h o o s i n g one sta b l e state ove r a not h e r. A n ot h e r featu re of
cata lytic act i o n is that l ow expe n d itu res of e n e rgy ca n b r i n g a b o u t h i gh
e n e rgy tra n sfo rm a t i o n s . An e n zym e, fo r exa m p l e , m a y b r i ng a b o u t a
l a rge accu m u l ation of a given s u bsta nce by acce l e ra t i n g a p a rticu l a r
c h e m i c a l reacti o n , w i t h o u t itse l f bei ng c h a nged i n t h e p rocess ( i . e . , w i t h
o u t itse l f p a rtici pati ng i n t h e l a rge r e n e rgy tra nsfers).
C u l t u ra l re p l i cators may be v i ewed as h a v i ng p h e n otyp ic effects s i m i l a r
t o catalysis. A com m a n d given by so m e o n e o f h i gh ra n k i n a h i e rarc hy,
fo r exa m p l e , can set off d i s p ro po rt i o n ately l a rge f l ows of e n e rgy, as i n t h e
case o f a d e c l a rat i o n o f wa r. H owev e r, t h e m i l it a ry o rd e r itse l f is powe r
l ess u n l ess backed up by a c h a i n of co m m a n d t h a t has bee n k e p t i n
wo r k i n g o r d e r t h ro u g h co nsta nt d ri l l a n d d i sci p l i n e (i n cl u d i n g p hysica l
p u n i s h m e n t fo r n o nco m p l i a nce), a l l of w h i c h i n vo l ves e n o r m o u s e x pe n d i
tu res of bod i ly ene rgy. T h e h i sto ry of Weste r n society i n t h e l a st few ce n
tu ries ev i d e nces an i n c reasi ng d e p e n d e ncy o n d i sci p l i n a ry fo rce to secu re
o b e d i e n c e . T h e refore, we ca n n ot be content w i t h a d e scri pti o n of soci ety
exp ressed excl us i v ely in te rms of re p l i cato rs a n d t h e i r cata lytic effects,
b u t m u st a l ways i n c l u d e the mate ri a l a n d e n e rgetic p rocesses t h a t d efi n e
t h e poss i b l e sta b l e states a v a i l a b l e to a g i v e n soci a l d y n a m i c .
147
Biologica l History:
1 700-2000 A . D.
Po p u l at i o n ex p l os i o n s te n d to
be cycl i ca l , l i ke a g i ga n t i c
b reat h i n g r hyt h m i n w h i c h t h e
a m o u nt of h u m a n f l es h co n ce n
t rated i n o n e p l ace ri ses a n d
fa l l s . Th ese r hyt h m s a re pa rtly
t h e p rod u ct of i n te n s i f i cat i o n s
i n food (o r ot h e r e n e rgy) p ro
d u ct i o n , w h i c h a re ty p i ca l ly
fol l owed by d e p l et i o n s . T h e
i n n u m e ra b l e n ew m o ut h s ge n
e rated i n t h e cyc l e 's u pswi n g
149
2: FL ESH AND GENES
eve nt u a l l y eat the a g r i c u l t u r a l s u r p l u ses c re
at e d b y p rev i o u s ge n e rat i o n s a n d p l u nge the
p o p u l at i o n i n to a d ow n sw i n g . Towa rd the
m i d d l e of the e i ghte e n th ce n t u ry, E u ro p e wa s
e m e rg i n g from a cyc l i ca l d ow n sw i n g , a h u n
d re d ye a rs of sta g n at i o n o r, a t best , very s l ow
p o p u l at i o n growth.
A ro u n d 1 7 5 0 , howeve r, seve ra l fa cto rs co n
s p i re d to i nc re a s e thi s m a s s of h u m a n bod i es
a g a i n . A cha n g i n g re l a t i o n sh i p w i th m i c robes
wa s b e g i n n i n g to t ra n s fo r m l a rge c i t i es from
d eath t ra p s i n to n et p ro d u c e rs of p e o p l e . N ew
a g r i c u l t u r a l m etho d s w e re b e g i n n i n g to m a ke
i nte n s i f i e d foo d p rod u ct i o n s o m e wha t m o re
s u sta i n a b l e . A n d , p e rha p s m o re i m p orta n tly,
m a ss i ve e m i g r at i o n ha d a d d e d a n esca p e
hatch t o the d y n a m i ca l syste m , a m e a n s to
e x p o r t h u n g ry m o uths ove rs e a s , p reve n t i ng
the m fro m d ra gg i n g the syste m i n to d e c l i n e .
M o re ove r, the ex po rtat i o n of excess p op u l a
t i o n a l l ow e d E u r o p e t o t r a n sform v a st reg i o n s
o f the wo r l d i n to i ts s u p p ly zo n e s . N o r m a l ly,
l oca l ly a v a i l a b l e re se rvo i rs of b i o m a s s i m po s e
a ce i l i n g o n p o p u l a t i o n growth (tech n i ca l l y
k n ow n a s " ca r ry i ng ca p a c i ty " ) , b u t co l o n iza
t i o n a l l ow e d E u ro p ea n u r b a n c e n te r s to s u r
m o u n t l oc a l l inl i tat i o n s a n d to cont i n u e the i r .
150
BIOLOGICAL HISTORY: 1 700-2000 A.D.
ex pa n s i o n . E u ro pe a n s m i grated ove rs e a s i n
l a rge - eve n t u a l l y e n o r m o u s - n u m b e rs , a n d
they b ro u ght w i th the m othe r, n o n h u m a n " re p
l i cators " : the i r exte n d e d fa m i l i es of d o m esti
cated a n i m a l s a n d p l a n ts. C reatu re s n ot y et
s u b m i tted to hu m a n co n t ro l u s e d the E u ro
p e a n s a s veh i c l e s fo r a great n1 i g rat i o n of
w e e d s . Fi n a l l y, i n st i t u t i o n a l o rga n i zat i o n s a l so
m i grate d , ex p o rt i n g the i r ro u t i n es a c ro s s the
o c e a n s to c re ate va r i a n t re p l i ca s of the m
s e l ves . H e re w e w i l l f i rst ex p l o re s o m e of the
co n seq u e nces that thi s co m p l ex m i x t u re ha d
o n the l a n d s that rece i ve d the m i grato ry f l ow,
s p e c i f i ca l l y the g reat o rg a n i c a n d i n st i t u t i o n a l
ho m oge n i zat i o n s that i t e ffe cte d , a n d the n
we w i l l fu rthe r a d d ress the m i g ra t i o n's effects
on the c i t i e s of E u ro p e .
B efo re 1 8 0 0 , E u ro p e ha d o n l y s e n t be
twe e n two a n d thre e m i l l i o n p e o p l e to he r
n e w t ra n s atl a n t i c co l o n i es ( " o n l y" i n com p a r i
s o n t o the s i x rTl i l i i o n Af r i ca n s who had b e e n
forced to m i grate the re ) . B u t betwe e n 1800
a n d 1 9 6 0 , s i xty- o n e rTl i l i i o n E u ro p e a n s m ove d
a c ro s s the Atl a n t i c . O f thes e , the m aj o r i ty
l eft fo r the N ew Wo r l d i n a p e r i od of s eve n ty
ye a rs . I n the wo rd s of the histori a n A l fred
C ro s by:
151
2: FLESH AND GENES
A n d so the E u ro pea n s came between the 1840's a n d Wo rld Wa r I , the great
est wave of h u m a n ity eve r to cross ocea n s a n d probably the greatest that
ever wi l l cross ocea n s . This Caucasian ts u n ami began with the starving I rish
a n d the ambiti o u s Germans a n d with the B riti s h , who n ever reached peaks
of em igration as h igh as some other n ati o n a l ities, but who have an inexti n
gu ishable ye arn i n g t o leave h o m e . T h e Sca n d i navia n s joi n ed t h e exo d u s
next, a n d then towa rd the e n d o f the centu ry, t h e southern a n d eastern
E u ropean peasantry. I ta l i a n s, Poles, S p a n iards, Portuguese, H u nga ria ns,
G reeks, Serbs, Czechs, Slovaks, Ash ke n azic Jews - fo r the first time i n pos
sessi o n of k n owledge of the opportu n ities overseas a n d , via ra i l road a n d
steams h i p , of the mea n s to leave a l i fe of an cient pove rty behind - poured
thro ugh the po rts o f Eu rope and across the seams of Pangaea. 108
Pa n gaea is J h e �cierJtific n a m e fo r t h e hypot hetica l l a n d mass t he co n
t i n e n ts of t h e N o rt h e r n a n d So u t h e r n H e m i s p he res fo r m e d w h e n t h ey
we re sti l l j o i n e d toget h e r, m a ny m i l l io n s of yea rs ago . N ew a n i m a l a n d
p l a n t species e m e rge w h e n t he i r re prod u ctive com m u n ities b eco m e iso
l ated fro m o n e a nother; t h u s t he a n ci e n t b rea k u p of Pa ngaea (a n d t h e
co n s eq u e n t s e p a rati o n of reprod u ctive co m m u n ities) trigge red a n i nte n se
period of o rga n ic heteroge n izati o n . The wo rld that witn essed the great
m igratory flow of the 1800s, however, was a l ready beco m i ng reho moge
n ized . As C ros by p u ts it, Pa nga e a was b e i n g stitched toget h e r aga i n v i a
tra n socea n ic co m m u n i cati o n s . lOg Befo re t h e 1 500s, t h e I s l a m ic peoples
we re l a rge ly respo n s i b l e fo r t h e tra n sfe r of species across ecol ogic a l
bo u nd a ries (citrus, r i c e , cotto n , s uga rca ne), b u t from 1 500 o n , t h e E u ro
pea n s wou l d be t h e m a i n d i spersants.
I n five sepa rate regi o n s of t h e globe - the tem p e rate regi o n s of t h e
U n ited States , C a n a d a , Arge n ti n a , A u stra l i a , a n d N ew Zea l a nd - t h e p ro
cess of re h o m oge n iza ti o n reached its p e a k of i nte n sity. T h ese regi o n s
beca m e , i n fact , repl icas o f t h e E u ro pea n u rb a n a n d r u r a l ecosystem s .
Crosby a rgues t h at, i n o rd e r fo r E u ro p e a n cities t o re p l i cate themse lves, to
give b i rth to d a ughte r cities s u c h as Bosto n , Q u e bec, B u e n os A i res, o r
Syd n ey, a w h o l e a rray of species ( h u m a n s a n d the i r d o m e sticate s) had to
m igrate toget h e r, h ad to col o n ize t h e n ew l a nd as a tea m . T h e e n d re s u lt
is t ha t t he te m pe rate a reas of these five cou n tries beca m e w h at he cal l s
" N eo- E u ro p e s . " llo
T h ere were, of cou rse, i m port a n t colo n i a l cities outs i d e t h e regi o n s
with strictly " E u ro pe a n " c l i m ates. H oweve r, t h ese oth e r col o n i a l u rba n
ce n ters d id n ot re prod u ce t h e s a m e "soc i a l ecosystem" as i n u rb a n
E u rope; i nste a d , t h e rel atio n s betwe e n town a n d cou n trys i d e w e r e m o re
l i ke t h ose of f e u d a l E u rope. A d d itio n a l ly, t h e neo-Eu ro pes, u n l i ke M exico
152
BIOLOGICAL HISTORY: 1700-2000 A . D.
or Peru , w h e re t he co n q u e ro rs m i xed with t h e l oca l s , we re a classic case
of re p l ace m e n t of one ge n e pool by a not h e r. F i n a l ly, t h e te n s of m i l l io n s
o f E u ro p e a n s w h o m igrated overseas begi n n i ng i n 1800 we re received
p r i n c i p a l l y by t h e u rba n cente rs of the n eo-E u ropes. T h ese m asses were
n ot o n ly p u s hed out by t h e pop u l atio n explos i o n at h o m e , b u t a l s o p u l l ed
in by t h e p rospect of movi ng to an a l m ost exact re p l ica of the u rba n
ecosyste m t h ey we re to l eave be h i n d . (H aving re l atives a b ro a d , t h e so
ca l led stock effect, was a f u r t h e r p u l l facto r. )l1l
T h e reason it wa s n ece ssa ry for a w h o l e tea m of co l o n izers to m igrate
across the oce a n s is re l at ively easy to gra s p in the case of h u m a n s a nd
t h e i r d o m esti cated crops a n d l i vestock . Fo r a n u rb a n ecosyste m to wo rk,
food c h a i n s m u st be s h o rte n ed and ce rt a i n o rga n is m s m u st be u sed to
red i rect t h e flow of biomass towa rd t h e top of t h e h i e ra rc hy. B u t i n a d d i
t i o n t o t h e s e d o m esticated s pecies, t h e E u ropean m igra n ts i n ad ve rtently
i m po rted "weeds," i n this case p l a nts with o p po rtu n i stic re prod u ctive
strategie s , w h i c h a l lowed them to co l o n ize s i m p l ified ecosystems. U n l i ke
m a n y p l a nts t h a t t h rived i n t h e n ew l a n d s o n ly with d i rect h u ma n i nter
v e n ti o n , E u ropean weeds (t h i stles, p l a n ta i n , wh ite clover, n ettl es) p ropa
gated o n t h e i r own , wi n n i ng their own " battl es" aga i n st l oca l rivals a n d
fu r n i s h i n g a key co m po n e n t o f t h e food we b as fod d e r fo r catt l e :
T h e Old Wo rld q u adrupeds, when transported t o America, Austra lia a n d
New Zeal a n d , stri pped away t h e l ocal grasses and fo rbs, and these, which
i n most cases had bee n su bjected to o n ly l ight grazi n g befo re, were often
slow to recover. In the mea n time, the Old Wo rld weeds, particu la rly those
fro m Europe and nea rby parts of Asia and Africa, swept in and occup ied
the bare gro u n d . They were tolerant of open s u n l ight, bare soi l , and close
cropping and of being co nstantly trod u po n , and they possessed a n u mber
of mea ns of propagation and spread. For instance, often their seed s were
eq u i pped with hooks to catch on the hides of passing l ivestock or were
tough enough to su rvive the tri p t h rough the i r stomachs to be de pos ited
somewhere d own the path. When the l ivestock retu rned fo r a meal the next
seaso n , it was there. When the stockman went out in searc h of his stock,
they were there, too , a n d healthy. 1l 2
E u ro p e a n fo rage grasses, w h i c h h a d coevolved wit h catt l e , wo n t h e i r own
colo n izat i o n war aga i n st m a ny l oca l weed s , w h i c h we re d efe n s e l ess aga i n st
t h e novel select i o n pressu res (su c h as i n t e n se grazi n g) b rought on by t h e
E u ropean m igrati o n . O n ly i n a reas w h e re l a rge l ocal h e rb i vo res t h ri ved
(e .g. , t h e A m erica n G reat P l a i n s with its h e rd s of buffal o) d id t h e loca l
grasses h ave a fighti ng c h a nce. 113 I n seve ra l of t h e n eo-Eu ro pes , t h e weed
"colon izatio n fro nt" raced a h ea d of the h u ma n wav e , as if p re p a ri ng t h e
153
2: FLESH AND GENES
gro u n d fo r it. I n deed , co n s i d e ri n g that t he h u ma n co l o n izers we re repeat
i ng past m ista kes by ove rinte n sifying t h e i r exp loitation of t h e new l a n d (via
careless d eforestatio n , fo r i n sta n ce), weeds p l ayed a n ot h e r key role, t hat
of resta b i l i z i n g t h e exposed soil and p reve n t i n g e ros i o n . "The weed s, l i ke
s k i n t ra n s p l a nts p l aced ove r b road a reas of a b raded a n d b u rned fles h ,
a ided i n h ea l i n g t h e raw wou n d s t h at t h e i nvaders tore i n t h e e a rt h . " 1l4
Weeds were n ot t h e o n ly o rga n i c e ntities to spread without co nscious
h u m a n effo rt. So m e p l a nts t h at h a d been d o mesticated a n d even u rb a n
i z e d a cq u i red "weedy" be h av i o r a n d bega n wi n n i n g t h e i r o w n p ropagat i o n
batt l e s . S u c h w a s t h e c a s e , f o r exa m p l e , w i t h peac h a n d o ra nge trees . 1l5
Eve n s o m e a n i m a l s ( p igs, catt l e , h o rses, a n d d ogs) esca ped h u m a n
ge netic co n t ro l a n d beca m e fe ra l a ga i n , m u lt i plyi n g expo n e nt i a l ly. T h ese
a n i m a l s l ost so m e of the q u a l it i e s t h at d o mesticatio n had i m posed on
them and reacq u i red some qf the " re p ressed" tra its of t h e i r a n cesto rs.
T hey, too , bega n col o n iz i n g t h e l a n d . I n A u st ra l i a , p igs beca m e razo r
backs, " l o n ged-l egged a n d l o n g-s n o ute d , s l a b-sid ed , n a rrow-backe d , fast
a n d vicio u s , a n d eq u i p ped with l o n g, s h a rp tusks . " 1l6 I n A rge n t i n a, cattl e
beca m e fe ra l , p ropagat i n g i n s u c h l a rge n u m be rs t h a t t hey stym ied t h e
growt h of h u m a n popu lati o n s . H e re a n d e l sewh e re , t h ese bov i n e m u lti
t u d es fo rmed " a cattle fro n t i e r [t hat] p receded t h e E u ropea n fa r m e rs as
t hey moved west fro m the Atl a ntic." 117
T h ese i n d e pe n d e n t co l o n izers ti lted t h e ba l a n ce i n t h e exc h a nge of
s pecies betwe e n E u rope a n d t h e rest of the wo rld . W h i l e some A m e ri c a n
p l a nts, i nc l u d i ng m a ize a n d potatoes, to m atoes a nd c h i l i pe ppers, d id
" i n vade" E u ro pe, t hey d id so excl u sively i n t h e h a n d s of h u ma ns , n ot o n
t h e i r own . T h e oth e r s p o n ta n e o u s exc h a n ges, s u c h as t h e exc h a n ge of
m icroorga n is m s , were a l so a sym m etrica l , despite t h e "gift" of sy p h i l i s
w h i c h A m e ri ca m ay h a ve bestowed o n h e r co l o n i a l m asters . U8 A n d , of
cou rs e , t h e exc h a nges at the top of t h e food pyra m id we re heavi ly o n e
s i d ed . Despite the i n fl ux of m i l l i o n s of Africa n s brought in by the s l ave
t rad e a n d the m a sses of Asi a n s who went ove rseas as i n d e n t u re d wo rk
e rs after s l ave ry was a bo l i s hed in the mid n i n etee n t h centu ry, by t h e
twentiet h , E u ro pe a n m igrants a ccou nted fo r as m u c h a s 80 pe rce nt o f
t he total m igrato ry flow. u9
E u ropea n s b e n efited from t h i s m a ssive t ra n sfe r of people i n seve ra l
ways. N ot o n ly d id m igrati o n se rve as an escape h atc h from t h e pop u l a
tion explos i o n at h o m e , but t h ese m asses were what gave stay i n g powe r
to E u rope's colo n i a l ventu res. Add itio n a l ly, t h e m igra n ts w h o sett l ed i n
t h e n eo-Eu ropes a c h ieved u n p recede nted fe rt i l i ty rates. B etwee n 1750
and 1930, t h e i r po p u l at i o n i n creased by a facto r of 14, w h i l e t h e pop u l a
tio n of the rest of the wo rld i n creased by a facto r of 2 . 5 . 120 N o nw h ites
154
BIOLOGICAL HISTORY: 1700-2000 A.D.
we re n ot so l u cky. Sl ave ry, w h i c h b roke up fa m i l ie s , ti lted the ge n d e r
ratio of p o p u l atio ns towa rd m a le s , a n d forced peo p l e t o l i ve i n s u b h u m a n
co n d it i o n s , m a d e p ropagati o n o f Africa n ge n e s a b ro a d very d iffi c u lt . 121
Befo re 1800, Africa n m ig ra n ts o ut n u m be red E u ropea n s t h ree to o n e , b ut
t h e i r growt h rates i n A m e rica were vastly d iffe re n t : t h e six m i l l i o n s l a ve s
rem a i n e d a l most co n sta n t i n n u m be r, w h i l e t h e roughly two m i l l i o n E u ro
pea n s sext u p l ed t h e i r po p u l atio n .
P a rt o f t he e no rm o u s po p u l at i o n boo m i n t h e n eo- E u ropes was d u e to
the extre m e fe rti l ity of t h e i r l a n d s , in terms of both s o i l n utrie n ts a va i l
a b l e a fter defo restati o n a n d p h otosynthetic pote n t i a l ( i . e . , t h e a m o u n t of
so l a r e n e rgy ava i la b l e fo r t ra nsfo rmation i n to s uga rs; the tro p i cs h a ve
p l e nty of l i ght, b ut h azi n ess a n d u nva ryi n g day l e ngt h t h ro ughout t h e
yea r m a ke it l e s s u sefu l fo r gra i n cu ltivati o n ). 122 Tod ay, t h e n eo-E uropes
feed t h e rest of the wo r l d . Eve n wh i l e n ot lead i ng in absolute food p rod u c
tivity, t hey a re t h e regi o n s with t h e greatest food su rpl u se s . I t i s no wo n
d e r t h at l o n g before t h ese co l o n ies ga i n ed t h e i r i nd e p e n d e nce t hey were
a c r u c i a l s u p p ly reg i o n for E u ro p e a n cities. On t he oth e r h a n d , the O l d
Wo rld h a d to wo rk h a rd t o create t h i s reservo i r fo r itse l f:
If the d i scovery of America bro ught Eu rope l ittle retu rn in the s ho rt ru n ,
t h i s w a s beca u se the new conti nent w a s o n ly partly apprehended a n d
settled by t h e wh ite m a n . Eu rope h a d patiently to reconstruct America i n
her o w n i mage before it bega n to correspo n d t o her o w n w i s h e s . Such a
labor of reco n struction was not of cou rse accomp l ished overn ight: i n the
ea rly days, Eu rope i n deed seemed i n s ign ificant and i m potent faced with
the s u perh u man tas k a head and as yet o n ly i m perfectly perceived . I n
fact Eu rope took ce ntu ries to b u i l d a wo rld i n her own i mage across the
Atla ntic, and then o n ly with i m mense variatio n s and d i sto rt i o n s , and after
overcom i ng a long series of obstacles one after a n other. 1 23
C reat i n g ecologica l re p l i cas of E u rope was o n ly p a rt of t h i s e n o rm o u s
t a s k . T h e E u ro pe a n po p u l atio n of i n stitutio n s - t h e whole spectru m of
gove r n m e n ta l , co m m e rci a l , eccle s i a stic, and e d u catio n a l o rga n izatio n s
a l so h a d t o b e rep l i cated o n t h e ot h e r side o f t h e ocea n . Eu ro pe 's i n stitu
tions were a co m pl ex m ixt u re of m a rkets, a nt i m a rkets , and rati o n a l ized
b u rea ucracies, and t h e i r re p l i cas across the Atl a ntic were eq u a l ly v a r i e d .
M o reove r, t h e tran sfo r m at i o n of t h e A m e ri c a n conti n e nt i nto a s u p p ly
regio n i n volved i nteracti o n s betwe e n i n stitutio n s of d i ffere n t e ra s , m o re
s pecifica l ly, a m ixtu re of d i ffe re nt st rategi es fo r t h e extraction of s u r
p l u se s , so me a n ci e n t , som e n ew, i n a p rocess a k i n to E u ro pe's e a r l i e r
self-co l o n i zati o n .
155
2: FLESH AND GENES
As u rb a n E u rope bega n to tra nsfo r m Pol a nd a n d oth er eastern regi o n s
i nto a s u p p ly zo n e , t h e most " ad v a n ced" secto rs o f t h i s popu l atio n of
i n stitutio n s (th e b a n k e rs a n d wholes a l e rs of A m sterd a m , fo r exa m ple)
acted i n col l u si o n with t h e most " b ac kward" o n e s , t h e e aste r n E u ro p e a n
fe u d a l l o r d s , to t r a n sfo r m t h e f r e e peasantry i nto se rfs agai n . 124 T h e
"seco n d s e rfd o m " w a s n o t a step d o w n t h e l a d d e r of p rogress, but rat h e r
a l ateral m o v e to a sta b l e state (a sta b l e s u rp l us-extract i o n strategy) t h at
h a d bee n l a t e n t i n (o r, ava i l a b l e to) t h e dyn a m ical system a l l t h e t i m e .
Si m i l a r ly, a n t i m a rk ets fo u n d entry i nto t h e A m e rica n colo n ies t h rough t h e
great s uga r p l a ntati o n s , a l l of w h i c h u sed s l ave l a bo r. I t w a s t h i s i n stitu
ti o n a l m ixt u re t h at u n l e a s h e d the great flows of s ugar, one of the m ost
i nf l u e nt i a l fo r m s of b i o m ass of t h e col o n i a l age .
I n 1650, s ugar was a l ux u ry a n d its co n s u m pt i o n a m a rker of stat u s ,
but b y t h e n i n etee n t h c e n t u ry B ri t i s h i n d u st r i a l a n d agricu ltu ra l workers
had "sugar p u m pe d i nto every crevice of their d iets . " 125 Su crose m a d e
it possi b l e t o i nc rease t h e calo ric i ntake of t h e u n d e rc l asses i n a re l atively
i n ex p e n sive way, co m p a red with m e at , fis h , or d a i ry prod u cts. Although
it was n ot the o n ly foodst u ff prov i d ed by t h e n ew s u p p ly zo nes, i t was
the m ost effic i e n t o n e i n terms of co nvert i n g sola r e n e rgy i nto calories.
( O n e acre of land prod u ced ro u g h l y e ight m i l l i o n c a l o r i e s . 126) I n t h i s
s e n se , s uga r w a s at l e a st a s i nf l u e n t i a l as m aize o r p otatoes, t h e m i ra c l e
crops E u rope a d opted from t h e N ew Wo rld . Large-scale s uga r prod uct i o n
a l so req u i re d a s pecifi c i n stituti o n a l m ix, as suga r p rocess i n g a n d refi n
i ng d e m a n d ed l a rge a m o u nts of c a p it a l and, h ence, a n t i m a rket o rga n iza
t i o n s . Sugar a lso ge n er ated i nten se p rofits, m ost of w h i c h accu m u l ated
n ot on the p l a ntatio n s t h e m selves but in the E u ro p e a n cities that m a r
keted t h e p rod uct a n d p rovided t h e cred it fo r t h e e nterprise. 12 7 Sugar
p rofits fired the E u ro pe a n eco n o my and l ater p l ayed an i m port a n t ro l e i n
s u sta i n i ng t h e I n d u st r i a l R evol utio n .
E u ro p e a n col o n izatio n tra n sfo rmed t h e N ew Wo rld , a n d t h e N ew Wo rld
i n turn co ntri b u te d to a tra n sfo r m at i o n u nd e r way in E u ro pe . T h ere, the
n atio n a l capitals, m etropol ises, regi o n a l c a p itals, and eve n small towns
bega n in the e ightee n t h centu ry to esca pe from the biologi c a l regi m e
of fa m i n e s a n d e p i d e m i cs t o w h i c h t h ey h ad been s u bjected si n ce b i rt h .
Access to overseas s u p p l ies, t h e s pread o f t h e m i ra c l e crops, a n d better
soil m a n agem e n t tec h n iq u es all contri buted to t h e a batem e nt of glo b a l
fa m i nes; better tra n s p o rt at i o n a n d co m m u n i catio n s a l l owed emerge n cy
a i d to re l ieve local fam i n es q u ic kly. T h e rel atio n s h i p b etwee n u rba n
m asses a n d t h e m i croo rga n i sm s t h at fed on t h e m was a l so c h a n gi ng.
N ew e p i d e m i c o utbreaks acted as catalysts fo r gove r n m e nt acti o n , a n d
u r b a n c e n te r s slowly beg a n t o d ev e l o p n ew a p p roac h es t o p u b l i c sa n ita-
156
BIOLOGICAL HISTORY: 1700-2000 A.D.
t i o n (pa rticu l a rly sewage a n d water control) a n d to e m b race the n ew
tec h n o l ogy of vacc i n at i o n ; t h at i s , t hey s l owly rej ected s po nt a n eous a d a p
t at i o n to d i sease i n favo r of co m p u lsory i m m u n izatio n . A lt h o u g h d e l i be r
ate i n ocu l atio n h a d been p r acticed as a fol k remedy s i nce a n c i e nt t i m e s
(i n Tu rkey, fo r exa m pl e), m o d e r n E u ro p e a n s we re t h e fi rst to p ra ctice
i n ocu l a t i o n o n a m assive sca l e . 128 ( I nocu lation refe rs to t h e p ractice of
i nt rod u c i n g the germs t h at cause h u m a n d iseases i nto the o rga n i s m ; vac
c i n atio n , on t h e oth e r h a n d , i n volves t h e i nt rod uct i o n of closely re l ated
non h u m a n d iseases . )
La rge cities we re t he fi rst p l aces to d evelop a n u n p l a n n e d acco m moda
t i o n wit h their m i c ro p a ra sites v i a e n d e m icity. T h i s m ay expl a i n w hy " fo l k"
i nocu latio n tec h n iq u es fi rst too k h o l d , i n Engl a n d , i n v i l l ages a n d s m a l l
town s (w h e re t h e critical h u m a n m ass t o s u st a i n t h e sta b l e state o f
e n d e m icity d id n o t exist), b egi n n i ng wit h i n ocu l atio n s aga i n st s m a l l pox i n
1 7 21. T h i s d o e s n ot m e a n , of cou rse, t h at u rba n i n h a b it a nts we re n ev e r
i n oc u l ated (t h e e l ites, i n cl u d i ng t h e roya l scio n s of E n gl a n d , we re) but
t h at, as M c l\J e i l l p uts it, the p ractice of d e l i be rately i nt rod u c i n g s m a l l pox
in the o rga n is m d id n ot "ta ke" in Lo n d o n a n d ot h e r l a rge centers. 129 Tru e
vacc i n at i o n fo r s m a l l pox ( u s i n g t he wea ke r cowpox germ) was i nt ro d u ced
in 1 7 98 by Edwa rd J e n n e r, an E ngl i s h cou ntry d octo r, a n d s p read from
t he botto m of Central P l ace h i e ra rc h i es u pwa rd . I n co nti n e nt a l E u ro p e ,
o rga n ized res i stance to t h i s p ractice l a sted l o n ge r, a n d it wo u l d t a ke t h e
death of a k i n g (Lo u i s XV) to cata lyze t h e m a i n l a n d c i t i e s i nto act io n .
U n l i k e i n B rita i n , howeve r, h e re t h e practice o f vacci n atio n s pread from
the top down : the fi rst c a m p a ign s of vacc i n at i o n too k p lace among t h e
e l ites, t he n t he arm ies ( by com m a n d from t h e top), a n d , fi n a l ly, t h e c i v i l
i a n po pu latio n . 130 I n t h e coio n i es, w h i c h lacked t h e critical h u m a n m a ss
a n d co n sta nt contact wit h t h e old wo rld e p i d e m i o logical l a bo rato ries
n ecess a ry to a c h ieve e n de m icity (and w h e re , t herefo re , a d u lt v u l n e ra b i l
i ty to d i sease was greater), u rba n a d o pt i o n of t h e new tec h n iq u es was
m u c h swifter.
R e l i a b l e sou rces of food a n d t he rise of o rga n ized m e d ici n e h e l ped
E u ropean cities a n d t he i r col o n i a l d a ug hte rs l e ave be h i n d t he o l d bio
l ogical regi m e , begi n n i ng i n t h e m i d eighteent h centu ry. B u t as t h i s bifu r
cat i o n to a new sta ble state was ta k i ng p l ace, as u rb a n c u lt u re sloWly
d etached itse l f from the o rga n i c co nstra i nts of fa m i n es and e p i d e mics,
t he population of institutions t h at i n h a bited E u ro pea n cities u n d e rwe n t a
m o m e n tous tra nsfo r m a t i o n of its own .
M i l ita ry, m e d i c a l , e d u catio n a l , a n d j u d icial i n stitut i o n s beca m e , i n a
very real s e n se , m u c h m o re " b i ological" t h a n b efo re : t h e i r h i e ra rc h ies
n ow rel i ed less o n tradition and sym bo l i c gestu res and bega n to exercise
157
2: FLESH AND GENES
power i n a fo r m i n creasi ngly t a i l o red to t h e fu n ctio n i ng of the h u m a n body.
Although t h e h u ma n pop u l at i o n exp l o s i o n t h at bega n i n t h e m i d eigh
tee n t h c e n t u ry d id n ot c a u se this t ra n sformation ( i n a rm i e s , fo r exa m p l e ,
t h e process h a d sta rted i n t h e sixteenth centu ry), it d id h e l p t h e n ew
b reed of o rga n izatio n s to s pread a m o n g t h e i n stituti o n a l pop u l at i o n .
T h e b i rt h of the m o d e r n hosp ita l is a good exa m p l e o f t h e i n stituti o n a l
tra n sfo r m ati o n s ta k i ng p l ace . Weste rn d octors h a d s i n ce A nt i q u ity
a cq u i red med ica l k n owledge a l m ost excl u sively fro m o l d a utho ritative
texts (t hose of G a l e n , fo r exa m p l e). The e m e rge n t m e d i c a l p rofessi o n , i n
co ntrast, o rga n ized itse l f a ro u nd hosp ita l s a n d cou l d fo r t h e fi rst t i m e
brea k away fro m text u a l a n d co n ce ntrate o n biologica l bod i es . 131 M o re
over, t h i s e p i stemo l ogi c a l bre a k d i d n ot p recede the creat i o n of hospita l s ,
b u t rath e r wa s p reci pitated b y it. T h e n ew hospita l s e m bodied a n ew
a n d d i ffe re n t u se of space, o n e t hat a l lowed cl ose o bse rvation of d i se ase
a n d i solati o n of its c a u se . S i n ce ocean trade routes we re c h a n n e l s w h e re
m e rc h a n d is e , m o n ey, i d e a s , a n d ge rms a l l flowed together, naval hospi
t a l s p rovi d e d t h e perfect m i l i e u fo r d i s e n ta ng l i n g t h e com p l ex com b i n a
t i o n of factors t h at c a u sed e pi d e m ics:
A po rt, a n d a m i l ita ry p o rt i s - with its circ u l ation of goods, m e n s igned
up wi l l in gly o r by force, sailors e m barking a n d d i s e m b a rk i ng, d iseases and
e p i d e m ics - a p l ac e of desertio n , s m u ggli ng, co ntagi o n : it is a crossroads
for d angero u s m ixtu res, a m eeti ng-place fo r forbid d e n c i rc u l atio n s . The
n aval h ospita l m u st therefo re treat, but i n order to d o this it m u st be a
filter, a mecha n i sm that p i n s d own a n d partitions; it m u st p rovide a hold
ove r t h i s whole mobile, swa r m i ng m ass, by d issipating the co nfu s i o n of i l l e
ga l ity a n d evi l . T h e m e d i ca l s u pervision of d iseases a n d co ntagi o n s i s
i ns e p a ra b l e from a whole series of oth e r controls: t h e m i l i ta ry co ntrol ove r
dese rte rs, fiscal control over com modities, adm i n i strative contro l ove r
remed ies, rat i o n s , d i s ap p ea ra nces, c u res, d eaths, s i m u l ations. H e nce the
need to d istri b ute a n d partition off s pace i n a rigo rou s m a n n e r. 132
N ot o n ly hos p ita l s b u t a w h o l e seg m e nt of the popu l at i o n of i n stitutio n s
c h a nged d u ri ng t h e e ightee n t h centu ry. T h e c h a nge may n everth e l e ss be
u sefu l ly d escri bed in m e d ic a l te rms. Fouca u lt p it h i ly c ha r a cte rized t h e
g u i d i ng pri n c i p l e be h i n d t h i s i n stitutio n a l tra n sfo rm atio n i n t h e p h rase:
"treat ' l e p e r s ' a s ' p l ague victi m s ' . " 133 I n E u rope, peo p l e suffering from
l e p rosy ( H a n se n 's d i se ase) h a d traditi o n a l ly bee n d ea lt wit h by co n fi n i ng
t h e m to spe c i a l b u i l d i ngs ( l e p rosaria) u su al ly b u i lt o utsi d e t h e wa l l s of
m e d ieval tow n s . T h ere were a bout n i n eteen thousa n d s u c h l e p rosa r i a by
the t h irte e n t h centu ry. 134 The peo p l e of a p l ag u e str i c k e n town , o n t h e
158
BIOLOGICAL HISTORY: 1 700-2000 A.D.
ot h e r h a n d , we re h a n d led in a very d i ffe re nt way, at least in t h e Med ite r
r a n e a n natio n s that h a d esta b l i s hed q u a ra n t i n e regu latio n s as ea rly a s
the fifteenth ce n t u ry. R a t h e r t h a n be i ng re m oved from society a nd l u m ped
toget h e r in one i so lated p l ace o u t of sight, t hey we re i n stead p i n n e d to
their res i d e n ces and obse rved ca refu l l y d ay afte r d ay by special h e a l t h
i n specto rs, who regi stered t h e i r co n d it i o n i n writi ng, creati ng a flow of
repo rts l i n ki ng the obse rve rs to a central co m m a n d . H e nce, t h ese two
i n fect i o u s d i seases e l i cited d ifferent i n stitutio n a l re spo n se s , a n d t h e
i n s ights glea n e d from o n e co u l d b e co m b i ned w i t h t hose a r i s i n g fro m t h e
other - a n d a p p l ied to n o n m e d i c a l p ro b l e ms . "The l e pe r a n d h i s sepa ra
tio n ; the p l ag u e a n d its segm e ntati o n s . The fi rst i s m a rke d ; the seco n d
a n a lysed a n d d istri bute d . . . . Two ways of exerc i s i ng powe r ove r m e n , of
co ntro l l i ng t h e i r re latio n s , of s e p a rati ng out t h e i r d a ngerous m ixtu re s . " 135
Acco rd i ng to Fouca u lt, t h e t h ree e l e m e nts e n u me rated a bove - syste m
atic spatial p a rtition i ng, ceaseless i n s pectio n , and perm a n e nt registra
tion - wh ic h had bee n put to wo rk in the open s pace of the tow n , we re n ow
co m b i n ed i n a n ovel way a n d a pp l ied to t h e cl osed s pace of t h e hospita l .
Eighte e n t h-ce ntu ry hospita l s beca m e o ptica l m ac h i n es , p la ces w h e re
t h e p e n etrati ng cl i n ical gaze co u ld be tra i n e d a n d deve l o ped , as we l l a s
writi ng m a c h i nes, "great l a bo rato ries f o r scri pt u a ry a n d docu m e nta ry
method s , " 136 w h ere eve ry d et a i l about visits, c h ec k u ps, d osages or p re
scripti o n s , wa s carefu l ly reco rde d . To t h is exte nt, these m o d e r n " l e p ro
s a r i a" h a d i n deed i nte r n a l ized t h e q u a ra nt i n e d u rba n ce n t e r. On t h e ot h e r
h a n d , b y a d m i n iste r i n g tests a n d exa m i n atio n s o n t h e b a s i s o f w h i c h i n d i
vid u a l s were compulsorily assigned to certa i n catego ries ( h e a l t hy/sick,
n o rm a l /a b n o r m a l), h os p ita l s we re a d a pt i n g t h e strategy of bi n a ry d i v i s i o n
a n d bra n d i ng t h at h a d bee n u sed i n "treating" l e p e rs. I n s h o rt, the d isci
p l i n a ry a p p roaches to d ise a se co ntrol did n ot rep resent an a d va nced
"stage" in t h e evo l ut i o n of powe r; rat h e r, t h ey we re new e l e m e nts a d d e d
t o a m ixtu re of mate r i a l s t h at h a d been accu m u l at i n g fo r ce ntu ries.
N evert h e less, what d i sti ng u i s h e s t h e seve ntee n t h and eightee n t h cen
t u ries in this rega rd i s t h e " e p i d e m ic" s p read of the p l ag u e a p proac h to
control. B efore t h i s strategy became m i n e r a l i zed in t h e form of hospita ls,
it existed a s a d i sp e rsed set of tactical co nti nge n cy p l a n s, h e u ri stic
recipes, and m o re o r l ess rati o n a l ized p o l icies, with which cou ntries bo r
d e r i n g t h e M e d iterra n e a n atte m pted to cope with t h e t h reat of b io logical
co ntagio n . T h e form a l pol icies had s p read widely in the south, b u t were
u n a b l e to p e n et rate t h e town s of t h e n o rt h e r n regi o n s beca u se a d iffer
ent t he o ry of e p i d e m i cs had beco m e " e n d e m ic" t h e re . M ed ic a l p rofes
s i o n a l s in t h ese cities b e l i eved t h at " m ia s m a s , " n o n o rga n i c e m a n a ti o n s
fro m d eco m posing o rga n i c m atte r, c a u sed i n fect i o u s d i sease, n ot ge rms
159
2: FL eSH AND GeNeS
pass i ng from o n e body to t h e n ext. Aga i n st t h i s noxious, putrid a i r, t hey
t h ought, t h e m et h od s of u rba n q u a ra n t i n e we re u s e l ess, a n d they b locked
all efforts to i m p l e m e n t q u a ra nt i n e policies u n t i l a bout 1880. I n t h at year
with t h e a i d of a much i m p roved m ic roscope, scie ntists soon esta b l i s h ed
the existe n c e of i n vi s i b l e m i c roorga n i s m s . The m i a s m a t h eo ry beca m e
exti nct a n d q u a ra n ti n e methods s o o n p e n etrated a l l t h e cities o f E u rope
and h e r col o n ies, and even some I sl a m ic tow n s. 137
T h i s is o n ly h a l f of t h e story, h owever. As Fo u ca u lt re m i n d s u s , in a d d i
tio n t o fo r m a l ized a n d rou t i n ized policies that m ay be tra n sfe rred a s a
w ho l e fro m o n e o rga n i zation to a noth e r of t h e s a m e k i n d , th ere a re a l so
methods a n d p roced u res t h at m ay d i ffuse i n d ivid u a l ly t h rough d i ffe re nt
types of o rgan izatio n s : i n fo r m a l tec h n i q u es of n otat i o n and regi stratio n ;
h e u ristic methods fo r c reati ng, co rre l ati ng, sto ri ng, a n d retriev i n g fi les;
ro uti n e s fo r co m p a ri ng d oc u m e n ts from d ifferent fi e l d s to create cate
go ries a n d determ i n e ave rages; tec h n iq u es fo r the use of p a rt i ti o n s to
o rga n ize s pace; a n d m ethods to co n d u ct i n s pecti o n s on a n d s u pe rv i se
the be havio r of t h e h u m a n bod i es d i strib uted i n t h a t s pace. T h u s , eve n
tho ugh t h e s p read of fo r m a l ized p o l i c i e s from t h e M ed iterra n e a n to t he
n o rt h was effectively b l ocked by t h e m ia sm a theo ry, t h i s i nfo r m a l co m po
n e n t co u l d sti l l s p read co ntagi o u s ly, fro m o n e i n stitutio n a l host to t h e
n ext, i n cl u d i n g n o n m e d i ca l i n stituti o n s . As n e w a rc h itect u ra l d e s i g n s fo r
a l l these i n stitutio n s a n d new exa m i n at i o n a n d doc u m e ntati o n tec h n i q u e s
we re deve loped , t h e " l e pe rs" (st u d e n ts , wo rke rs , priso n e rs , sol d i e rs)
we re i n d e e d t reated a s p l ague v icti m s : ca refu l ly ass ign ed to thei r p laces,
t he i r b e h a v i o r ( a n d m i sbe havio r) syste m atica l ly watc hed and recorded in
writing. This i s n ot to i m p ly, however, t h a t medical i n stitu tio n s we re the
sole sou rce of t h ese d isci pl i n a ry i n n ovati o n s . A rm i es we re a lso great i n n o
vato rs i n t h is a re a , as w e re some e d u catio n a l o rga n izati o n s . Fo u ca u lt
exa m i n es t h e hypoth es i s t h a t t h ese i n fo r m a l tech n i q u e s m ay h ave spon
ta n e o u s ly c o m e toge t h e r and i nte rloc ked to form a self-o rga n ized m e s h
wo r k , or a n " a n o nym o u s strategy" of d o m i nati o n . I n h i s words, w h at
fo rmed t h i s strategy was
a m u ltipl icity of often minor processes, of d iffe re nt o rigi n and scattered
l ocati o n , w h i c h overlap, repeat, or imitate o n e another, s u p port one
a n other, d i sti ngu ish t hemse lves from one a nother according to their
domain of a p plicatio n , co nverge and gra d u a l ly prod u ce the blueprint of a
ge n e ra l method. They were at wo rk i n seco ndary e d u cation at a very early
d ate , later in pri mary schools; they slowly i nvested the space of the hospi
ta l ; a n d , in a few decades, they restructu red the m i l itary o rga n ization. They
sometimes circ u l ated very rapid ly from o ne point to a n other (between the
160
BIOLOGICAL HISTORY: 1700-2000 A . D.
a rmy a n d the tech n ica l schools or seco n da ry school s), sometimes slowly
a n d d iscreetly (the i ns i d i o u s m i l ita rization of the large wo rks hops). O n
a l m ost eve ry occa s i o n , they were adopted i n respo n se to parti c u l a r needs:
a n i n d u strial i n novation, a re newed outbrea k of certa i n epidemic d i seases,
the i nvention of the rifle o r the victo ries of Prussia . . . . S ma l l acts of cu n
n i ng endowed with a great powe r of d iffus i o n , s u btle arra ngeme nts, appa r
ently i n nocent, but profo u n d ly s u spicious, mecha nisms that obeyed
eco n o m i e s too s ha mefu l to be acknowl edged, or pursued petty fo rms of
coercio n . 138
I n a d d iti o n to enta ngl i ng h u ma n bod i e s i n a net of writ i n g a n d o bse rva
tio n , so m e of t hese i n stitutio n s (mostly a r m i es , but a l so schools) cap
t u red t h e e n e rgy of t hese bod i e s t h ro ugh t h e u se of co nti n u o u s p hys ical
exercises, both fo r t ra i n i n g and p u n is h m e nt, and a system of co m m a nd s
based o n s ign a l s t h a t t rigge red i n sta n t obed i e n ce . Toget h e r, a l l t hese e l e
m e n ts p rod uced great "eco n o m i e s of sca l e . " I n t h e D u tc h a rm i es of t h e
s ixte e n t h ce ntu ry, for i n sta nce, t h e o pe ra t i o n of l oa d i ng a n d f i r i n g a
wea po n was fi rst a n a lyzed i nto its m i c roco m po n e nts (forty-two s e p a rate
acti o n s , each associ ated with a s pecific com m a n d) , then " reasse m b l e d "
i n a w a y t h a t red u ced wastefu l move m e n ts a n d i m p roved coord i n atio n .
A n a rmy o f sold i e rs w h o h a d " me m o rized" t h e se effic i e n t seq u e n ces i n
t h e i r bod ies by m ea n s o f co nti n u o u s d ri l l i ng beca m e m o re t h a n t h e s u m
o f its pa rts : a n office r's com ma n d co u l d trigge r a syn c h ro n ized series of
a ct i o n s (a l a rge n u m be r of wea po n s f i r i n g s i m u lta neou s ly) p rod u c i n g a
" sol id" w a l l o f meta l l ic p roject i l e s , w h ic h h ad a greater i m pact o n e n emy
l i n es than ra n d o m s h ooti ng. 139 Co l l ect i ve ly, t h a n ks to this d isci p l i n a ry
tech n iq u e , t h ese sol d i e rs h a d n ow i ncreased t h e i r powe r, but i nd i v i d u a l ly
t h ey h a d com pl etely lost co n t rol ove r t h e i r a ct i o n s i n t h e battl efi e l d .
" D i sci p l i n e i n crea ses t h e fo rces o f the body ( i n eco n o m i c te rms of u t i l ity)
a n d d i m i n i s hes t hese s a m e fo rces ( i n political terms of obed i e n ce)." 14o
U n l i ke s l avery o r s e rfd o m , w h e r e i n t h e body is a p p ro p r i ated as a n
u n d iffe re ntiated w h o l e , h e re t h e m ic rofea t u res o f bod i ly a ct i o n s we re
w h at m attered. The new goa l was to study bod i e s a n d b re a k down t h e i r
actio n s i nto basic tra its , a n d t h e n t o e m pty t h e m o f t h e i r k n ow- how a n d
re p rogram t h e m wit h fixed routi n es . The resu lt i n g i ncrease i n t h e " p ro
d u ctivity" of sold i e rs expla i n s why D utc h a rm i es were so s uccessf u l in t h e
battlefi e l d . A l t h o ugh d ri l l a n d d isci p l i n e d i d n o t replace t h e old e r a n d
c r u d e r a pp roaches (s lave ry, serfd om ) b u t s i m ply bec a m e a new a d d i t i o n
t o t h e grow i n g rese rvo i r o f w ays o f h a rn ess i ng t h e power o f t h e h u m a n
body, t h e i r s p read n everthel ess took o n e p i d e m i c p roport i o n s d u e t o t h e
eco n o m i e s o f sca l e t h ey ge n e rated :
161
2: FLESH AND GENES
The style of a rmy o rga n izati o n that ca me i nto bei ng in H o l l and at the close
of the sixteenth ce ntury . . . spread . . . to Swed en and the Germa n ies, to
France a n d Engl a n d , and eve n to Spain before the seventee nth cent u ry had
come to a close. D u ri n g the eighteenth centu ry, the contagio n attai ned a fa r
greater range : tra n sform i ng R u ssia u nder Peter the G reat with near revol u
tionary force ; i nfiltrating the N ew Wo rld and I ndia as a byprod uct of a global
struggle for overseas e m p i re i n which Fra nce a n d G reat B ritai n were the
protago n ists ; and i n fect i ng even such cu ltu ra l ly a l ie n pol ity as that of the
Ottom a n e m p i re. 141
T h u s far we h av e d escri bed two l i n es of biologi c a l h i sto ry. O n o n e
h a n d , t h e e ighteen t h ce n t u ry s a w E u ro pe d igesti n g t h e wo rl d , tra n sfo rm
i ng it i nto a s u pply zo n e fo r t h e p rovis i o n of e n e rgy and raw mate r i a l s , a
proce-s-s t h at, at l east -i n t h e ca-se of t h e n eo-E u ropes, i nvolved a great
eco l ogical a n d cultu ral h o m oge n izati o n . On the ot h e r h a n d , E u ropean
n atio n-states bega n d igesti ng their m i n orities, in t h e se n se that the new
d isci pl i n ary i n stitutio n s e m bo d i e d ho moge n iz i n g crite r i a of n o r m a l ity to
w h i c h eve ryo n e was n ow m a d e to co n fo r m . M u c h as sta n d a rd E ngl i s h o r
Fre n ch we re n o rmative crite r i a e m a n at i n g from capital cities a n d i m posed
o n l i n gu istic m i n o rities e l sew h e re (We l s h , Scottis h , I ri s h ; La ngu edoc,
Cata l a n , P rove n <;a l) , so the tests a d m i n istered by v a r i o u s i nstit u ti o n s to
dete r m i n e m i l i t a ry perfo r m a n ce or h e a l t h status fa i l ed to refl ect the c u l
t u ra l d ive rsity e n co m p assed wit h i n the bo rd e rs o f n at i o n -states s u c h as
Fra n ce and E n gl a n d .
A s po p u l atio n growt h i nte n sified i n E u rope after 1 7 50, t h e n ew m asses
bega n to be " processed" t h ro ugh the exa m i n i ng, regi ste ri ng, and pa rti
tio n i ng m ac h i n es t h at hospita l s , facto ries, schools, a n d o t h e r i n stitutio n s
h ad beco m e . T h ese i nstitutio ns acted as sorti ng devices, weed i ng o u t cer
t a i n i n d iv i d u a l s fro m t h e rese r vo i r of " n o r m a l " citize n s w h o were used to
fi l l h ie ra rc h i ca l stru ctu res with i ntern a l l y h o moge n eo u s ra n ks . S i m u lta n e
ously, s u rp l u s m asses we re be i ng expo rted with u n p rece d e n ted i nte n s ity
to t hose te m pe rate a re a s of t h e wo rld w h e re re p l i ca s of u rban a n d r u ra l
E u rope - u p t o t h e l ast weedy d eta i l - h ad been created. I n t hose ecologi
cal ly h o m oge n ized reg i o n s , s i m i l a r i n stitutio n s p roceeded to exa m i n e ,
d ocu me nt, a n d d isci p l i n e t h e m igrat i n g h u m a n masses.
We m u st n ot, however, lose sight of t h e fact t h at j u st as t h e creati o n of
t h e neo-Eu ropes i nvolved not o n ly h u m a n s but a l so crops a n d l ivestock,
so t h e n ew d is c i p l i n a ry i n stitu t i o n s p rocessed m o re t h a n h u ma n bod i es :
a n i m al s a n d p l a nts, too, fe l l u n d e r a n et o f writing a n d observati o n .
Exa m i n i ng t h i s o t h e r h a l f o f o u r bio logi ca l h i story, i t s n o n h u m a n h a l f, wi l l
a l l ow u s t o e x p l o re t h e ro l e t h at eco n o m i c i n stitutio n s p l ayed i n t h e
162
BIOLOGICAL HISTORY: 1 700-2000 A.D.
p rocess of o rga n i c h o m oge n izati o n . I n pa rti c u l a r, big b u s i n ess's e n t ry
i nto agri cu ltu re provided t h e i m pet u s to a p p l y d i sci p l i n a ry tec h n i q u es to
t h e m e m b e rs of t h e ext e n d ed h u m a n fa m i ly. A n t i m a rkets h ad been
i n vo lved i n t h e flow of b i o m ass to so m e exte nt ever si n ce cities s u c h as
Ve n ice and A m sterd a m switched to exte r n a l s u p p l i e rs fo r t h e i r food a nd
d e d i cated t h e i r own l a n d to a vari ety of special ized cash c rops, i n c l u d i ng
o i l , w i n e , m u l berries, h e m p , a n d flax. Trad itio n a l ly wealthy m e rc h a n ts h ad
pu rchased l a n d as a passpo rt to n o b i l ity; i n co n trast, t h e i n fi l trati o n of
t h e s o i l by a n t i m a rkets was a n eco n o m i c i n vestm e nt, a n d so b rought with
i t t h e kind of rati o n a l izati o n t h at yields eco n o m i e s of sca l e . 142 B u t n ot
u nti l t h e seve ntee n t h a n d eighte e n t h centu ries d i d a n t i m a rket i n stitu
tio n s' i nvolve m e n t in agricu l t u re i nt e n s i fy, eve ntu a l ly to t h e exte n t t h at it
sought to co ntrol not o n ly flesh but ge n e s .
A p a rt from t h e sugar i m ported f r o m colo n i a l p l a n tati o n s , t h e flow o f
bio m a ss t h at fed t h e exp lod i ng pop u l ation of n i n etee nt h-ce ntu ry Engl a n d
c a m e from regi o n s of h e r cou n t rysi d e t h a t h a d u n d e rgo n e a n " agra r i a n
revo l u tio n " betwee n 1650 a n d 1800. A n i m po rta n t co m po n e n t o f t h i s rev
o l ut i o n was t h e deve l o p m e n t of n ew tec h n iq u es fo r b ree d i n g l ivestock.
T h e ge n e s of farm a n i m al s h ad been u n d e r h u m a n co nt rol fo r a long
t i m e , of cou rse , m a n ag i n g to escape o n ly u n d e r rare ci rcu m sta nces (wh e n
d o m esti cates beca m e fer a l ) . B u t a m o re syste m at i c (if p r e sc ie nt i fic)
attem pt at m a n i p u l at i n g the flow of ge n e s t h rough ge n e rati o n s d id n ' t co m e
u nt i l t h e agra ri a n revo l utio n . T h e D utch b red m u ch l a rger cattle w h i le the
B ritish bred s h eep t h at p rod u ced s u p e r i o r woo l , a n d as t h ese b reed i ng
p ractices s p re a d , so d i d the u se of conti n uo u s observat i o n a n d registra
tio n , wh ich a l o n e m a d e m o re p recise gen etic co nt rol , and the co nseq u e nt
(someti m e s d a m ag i n g) ge netic homoge n izatio n , possi b l e :
A t the time of the I n d u strial and Agra r i a n Revol uti o n s both ped igrees a nd
eco n o m ic d ata we re reco rded . Official centralized reco rds of ped igrees we re
i ntrod uced with the fo u nd i ng of the G e n e ral Stu d Book in 1791 and Coates'
H erd Book i n 1882 . M a ny of the ge n etic advantages a n d l i m itatio n s of pedi
gree reco rd s a re o bvi o u s . The most serious l i m itation has been the grad u a l
b u ild-up of a ped igree mystiq u e , i . e. that ped igree a n imals a re " s u perior, "
" p re potent" etc. b y v i r t u e of t h e i r pedigre e . This has led m a ny breed e rs t o
con ce ntrate o n the re p rod uctio n of a ste reotype - the extreme of which ca n
be seen i n a n u mbe r of modern d og breeds where the condition has ofte n
re su lted i n the i nc i d e n ce at h ig h freq u e ncy of u nd e s i ra ble ge nes . . . . [So me
ped igree m o n o pol ies a n d regu latory acts] certa i n ly i m p roved the lowe r level
of n o n-ped igree E n gl i s h cattle by e l i m i nating cas u al mati n g with "frin ge"
b u l ls of ofte n i nferior q u a l ity. H oweve r, such l ic e n s i n g acts have te n d ed to
163
2: FLESH AND GENES
beco m e too rigid i n a p p l i cati o n , fac i l i tati ng the "foss i l i zatio n" of ce rtain
breeds i n th e face of c h a ngi ng e co n o m i c req u i re m e nts . 143
H i st o r i c a l ly, ped i g ree b reeds h ave a l ways te n d e d to beco m e h i e ra rc h i
c a l struct u res, w h e re i n a s m a l l , d o m i n a nt grou p of b re e d e rs su p p l i e s
ge n e s t o s u bo rd i n ate r a n ks, ca l l e d " m u lt i p l i e rs , " w h i c h i n t u r n p a s s t h e m
o n t o yet l o w e r ra n ks , i n a co m p l ete ly top-d ow n ge n e fl ow. T h i s t i ghtly
co nstra i n e d flow was s u pposed to gu a ra ntee u n ifo rm ity and s u p e r i o r
q u a l i ty, a n d yet t h e re i s evi d e nce t h at bottom - u p flow ca n , i n s o m e ci r
c u m sta n ce s , p ro d u ce b re e d s s u pe r i o r to h o m oge n ized ped igrees . l 44 At
fi rst, howeve r, t h e p e d igree b re e d s ' prod u ctiv ity w a s great, a n d t h i s
a l lowed t h e h i e ra rc h i c a l ped igrees t h a t e m e rged i n e ig h tee n t h-ce nt u ry
Engl a n d (e s p ec i a l ly s h e e p a n d p i gs) to t h rive a n d t h e n s p rea d , a i d e d by
l a rge agri c u lt u ra l s h ow s W h e re n ew m a c h i n e ry a n d c h a m pi o n b reed s
were e x h i b i te d . 145 T h u s, m u c h as t r a n socea n i c n avigat i o n h ad accele rated
the ge n et i c h o moge n iz at i o n of c e rta i n p a rts of the wo r l d ( by a l l ow i n g
m a s s ive tra n sfe rs of s p e ci e s) , t h e c reat i o n of m o n o p o l i e s a n d ol igopo l i es
a ro u n d the flow of l i vestock ge n e s fostered t h e dest r u cti o n of ge netic
h ete roge n eity in E u ro p e .
T h ese g e n e t i ca l ly "we l l - d i sc i p l i n e d " a n i m a l s w e r e o n ly o n e co m po n e n t
of t h e agra r i a n revo l u ti o n . T h e re were n ew crops as we l l , p a rticu l a r ly
fod d e r c r o p s , and a few new m a c h i n e s (the seed d r i l l , fo r exa m p l e), b u t
t h e m ost i m po rta nt i n n ovat i o n was t h e i n trod u cti o n of m o re routi n ized
met h o d s fo r the p rod u ct i o n of food , fo r both h u m a n s and l i vestock. A n d ,
o f c o u rse, ty p i c a l o f a n y e n d e avo r o f a nt i m a r ket i n stitu t i o n s , these m e t h
o d s w e re i m p l e m e nted o n a l a rge s c a l e . T h e new sy n e rgistic co m bi n at i o n
o f e l e m e n t s w a s c a l l ed " t h e N o rfo l k system , " afte r t h e reg i o n i n Engl a n d
w h e re it fi rst tr i u m p h e d . We m u st d i st i n g u i s h , however, two d iffe rent
co m po n e nts of t h i s syst e m . U n l i ke the case of l a rge-sca l e m a n age m e n t
a n d l a b o r d i sci p l i n e , t h e b a s i c m e s h w o r k t h a t gave t h e n e w system i t s
s e l f-s u sta i n a bi l ity was n ot i n t rod u ced by big b u s i n ess b u t was t h e creatio n
o f m a rket eco n o m i e s . T h e dy n a mic cities o f fi ftee n t h-centu ry F l a n d e rs
( B r u ges, Yp res, G h e n t) sti m u l a ted t h e i r c o u ntrys i d es i n to p rod u c i ng
the b a s i c i n n ovat i o n s . I n F l a n d e rs, a s o n e em i n e n t h i stori a n has p u t it,
u rb a n l i fe s p re a d l i k e "an i n fect i o n w h i c h roused the p e a s a n t fro m h i s
a ge- l o n g t o r p o r. " 146
At t h e t i m e of t h e N o r fol k syst e m 's creat i o n - t h at i s , before it was
a d o pted by a n t i m a rket i n st i t u t i o n s and b efo re it w a s ca l l ed t h e N o rfo l k
syste m - t h e m o st w i d e s p r e a d syste m of agri c u l t u re co n s i sted of s i m p l e
c r o p rota t i o n : a fa rm w a s d i v i d ed i nt o two (o r m o re) p a rts, o n e u sed fo r
gra i n cro p s a n d t h e o t h e r l eft fa l l ow, not to let t h e s o i l " rest" (so i l s d o
164
BIOLOGICAL HISTORY: 1 700-2000 A.D.
n ot s po n ta n e o u s ly recove r t h e i r fe rtil ity in a si ngle s e a s o n ) , but to a l low
" fa rm e rs to keep weeds at bay by i nte r r u pt i ng t h e i r n a t u ra l l i fe cyc l e
wit h t h e p I OW. " 147 D e n y i n g so i l n ut ri e nts t o we e d s a n d kee p i ng p re d ato r s
fro m e ati ng l i vestock were t h e p ri m a ry ways i n w h i c h h u m a n s s h o rte n e d
foo d c h a i n s ; c o n seq u e ntly, cro p rot a t i o n was a c r u c i a l co m p o n e n t of t h e
o l d m e t h od . T h e F l e m i s h co n t r i b u t i o n t o t h e agr i c u l t u ra l i nt e n s i ficat i o n was
to e l i m i n ate the fa l l ow period by a l t e r n at i n g gra i n crops with fo d d e r cro p s
(s u c h a s clover). A s t h e D u tc h h isto r i a n J a n De V r i e s h as a rg u e d , p o p u l a
t i o n growth ofte n t r a p p e d t h e o l d m et h o d i n to a v i c i o u s ci rcl e : as d e m a n d
fo r h u m a n foo d i n c re a s e d , m o re l a n d w a s d evoted t o gra i n p ro d u cti o n
a n d l e ss to p ast u re , w h i c h d i m i n i s h e d herd s i zes a s we l l a s t h e a m o u nt of
m a n u re av a i l a b l e , a n d t h i s in t u r n red u ced s o i l fe rt i l ity. A s y i e l d s d ecl i n e d ,
a h i g h e r p e rcentage of t h e l a n d h a d t o be u sed fo r gra i n , exace r b ati n g
t h e ove r a l l d ec l i n e . 148
Tu r n i ng t h i s v i ci o u s c i rc l e i n to a v i rt u o u s c i rc l e i n volved reo rga n i zi ng
the rotat i o n system so t h a t a ra b l e l a n d s co u l d c o n t r i bute to t h e fod d e r
s u p p ly. T h i s m e a nt p l a n t i n g clover (or, l ate r o n , a lfa l fa o r t u r n i ps) i n stead
of lett i n g land l ay fa l l ow. Feed i ng th ese crops to cattl e , i n t u rn , a l l owed
h e rd s to i nc rease in s i ze and h e n ce to m u l t i p ly m a n u re s u p p l i e s . M o re
ove r, co n ti n u o u s ly fee d i ng m a n u re back i n to t h e soi l , as we l l a s u s i n g fod
der c ro ps to b i n d the soi l and prevent i t fro m esca p i ng the syste m v i a
wate r o r wi n d e ros i o n , m e a n t tightening the n utrient cycles, a p rocess t h at
takes pl ace s po n ta n eo u s ly i n m at u re ecosyst e m s a n d gre a t ly co n tr i b utes
to t h e i r res i l i e ncy.
F l a n d e rs, a h ig h l y u r b a n i z e d area , was a m o n g t h e least fe u d a l ized
regi o n s in E u rope, w h i c h goes a l o ng w ay in expl a i n i n g w h y the n ew agri
c u l t u r a l m e t h o d s d ev e l o p e d t h e re . That t h e reg i o n was n ot fe u d a l , h ow
ever, d o es not m e a n it was " c a p i t a l i st. " As I have r e p e ated ly p O i nted o u t ,
p r ivate p ro p e rty a n d c o m m erci a l i zati o n d o n ot n ecess a r i ly i m p ly t h e p res
e nce of a n t i m a r ke ts . I n d eed , De V r i e s ex p l i cit ly m a rks t h i s d i ffe re n ce by
d eve l o p i n g two sepa rate m o d e l s to a n a lyze t he evo l u t i o n of t h i s agri c u l
t u r a l regi m e , o n e b a s e d o n m a rket i n vo l v e m e n t, t h e o t h e r a n t i m a rket. 149
T h e F l e m i s h m et h o d , fu rt h e r d e v e l o p e d i n t h e N et h e r l a n d s , s o o n fo u n d
i ts way to E n g l a n d , w h e re it was e m p l oyed on a l a rge s c a l e a n d s u bj e cted
to d i s c i p l i n a ry m a n a ge m e n t . O n ly aft e r the E n gl i s h mod i fi ed the system
was t h ere a t r u ly " c a p i ta l i st" agri c u l t u re. In e i g h t e e n t h-ce ntu ry Engl a n d ,
vast tracts o f l a n d were s u bm i tted t o t h e n ew i n t e n s i v e m e t h o d s a n d
e n c l osed on a l l s i d es w i t h h e d ges. L a n d ow n e rs a n d t h e fa r m e rs of l a rge
h o l d i ngs rea ped t h e b e n efits of t h e new p rod u ct i v ity, w h i l e co u ntrys i d e
strata ( l a n d l o rd s , t e n a nts, a n d d e - s k i l l e d l a bo r e rs) h a rd e n e d , red u c i ng
t h e n u m b e r of i n te r m ed i ate classes (s m a l l h ol d e rs, r u ral t r ad es m e n ) . l 5o
165
2: FLESH AND GENES
T h e se "we l l d i sc i p l i n e d" l a n d s fed t h e g rowing B r i t i s h po p u l at i o n , a s u b
sta n t i a l po rt i o n of w h i c h wo u l d p ro v i d e t h e raw m u scu l a r e n e rgy a n d
s k i l ls fo r t h e n ew i n d u st r i a l tow n s a n d co n u rbati o n s fo r two ce ntu r i e s .
By t h e m i d 1800s, l a rge-sca l e agricu ltu re i n Engl a n d was ecli psed by
s i m i l a r but eve n l a rg e r e n terpri ses in the ne o-Eu ro pes: the U n ited State s,
A u stra l i a , a n d Arge n t i n a . In t h e s e pl aces (as we l l a s in Si b e r i a) the m e s h
wo r k t h a t c h a ract e r i ze d t h e N o rfol k system acq u i red n e w n o d e s ( i n t h e
fo rm of n ew m ac h i n es, s u c h as McCo rm ic k's re a p e r, w h i c h a u to m ated
some a s pects o f h a rvesti n g) and m u ch greater p ro po rti o n s. 151 Mo reover,
t h e v e ry t i g h t n ut r i e n t cycl e s t h at c h a ra cterized t h e N o rfo l k system were
s u d d e n ly s p l i t wide o p e n as n a t u r a l and arti fici a l fe rt i l izers beg a n to be
use d in agricu l t u r a l prod u ct i o n . 152 I n the U n ited States, fo r exa m p l e ,
ferti l i z e r began t o f l o w i n fro m as fa r away as C h i l e . 15 3 N o t o n ly w e r e t h e
n u t r i e n t cyc l e s o pe n e d t o i n p u ts f r o m d i stant o r igi n s , t h e i r o u t p u ts
Were a l so d i v o rced from t h e soi l : t h e n i t rogen a n d p h o s p h o r o u s i n m a ny
fe rti l ize rs w e re not c o m p l ete ly a bso rbed by pla nts (al most h a l f of these
n u trie nts w a s wasted) and escap e d t h e N o rfo l k syste m , see p i n g i n to t h e
gro u ndwater a n d ove re n ri c h i n g i t i n a p rocess ca l l e d e u trophicatio n . 154
Mo reover, e v e ry n u t r i e n t flow t h at ca me fro m outs i d e t h e farm was o n e
m o re poi nt o f e n t ry fo r a n t i m a r kets , a n d , h e n c e , re p resented a f u r t h e r
l oss of c o n t r o l b y t h e fo od p rod u c e rs . A ce nt u ry l at e r, a s w e wi l l see ,
corpo ratio n s wo u l d ge n e t i c a l ly e n g i n e e r crops t h a t req u i red exces s i ve
ferti l i zati o n , t h u s etch i n g e n try poi nts fo r a n t i m a r kets i nto the crops'
ve ry ge n e s.
A l t h o u g h t h i s k i n d o f n e a r-tota l ge netic co ntrol over the flow of p l a n t
b i o m ass wo u l d not b e r e a l ized u n t i l t h e l ate twe n t i e t h ce n t u ry, t h e d i sci
p l i n i n g of pl a n t ge n e s was a l ready p racticed in t h e l ate n i n etee n t h a nd
e a rly twe n t i eth ce n t u r i e s . P l a nt ped igree h i e ra rc h i e s l agged be h i nd the i r
l i vestock co u nterp arts, b u t w h e n they fi n a l ly mate ri a l ized t h e d egree
o f h u m a n co n t rol ove r t h e m wa s m u c h greater. A n d t h at m a n i p u l a ti o n
of p l a n t ge nes wo u l d l e ad t o a p rocess of genetic ho moge n i zatio n t h a t
dwarfed a l l e a r l i e r h o m oge n i zi n g t r e n d s .
As ofte n t h e case, m o re t h a n o n e k i n d of i n stitu t i o n was i n volved i n
t h i s p rocess. I n pa rti c u l a r, cert a i n gove r n m e n t age n ci e s i n t h e n eo
Eu ropes led t h e way to the c reatio n of p l a nt ped igre e s . I n 1862, as t he
west e r n fro nt i e r was offici a l ly o p e n e d i n t h e U n ited State s, a d ep a r t m e n t
of agricu ltu re (t h e U S DA) was created for t h e p u rpose of coll ecti ng, p rop
agati ng, a nd d i stri b u t i ng seeds fo r crop p l a nts. La n d -gra nt u n i v e r s i t i e s
a n d expe r i m e nta l -agri c u lt u re stat i o n s w e r e a l so c r e a t e d to h e l p d ev e l o p
bette r p l a n t v a r i e t i e s a n d m u l t i ply t h e m ; t h a t i s , p l a n t i n g t h e m o n l y a s a
so u rce of g e n e t i c m a t e r i a l s . 155
166
BIOLOGICAL HISTORY: 1700-2000 A . D.
T h e fi rst p l a n t to be c a pt u red i n t h e ne t of o b s e r v a t i o n a n d writ i ng was
co r n , ch ose n fo r the acces s i b i l ity a n d m a n i p u l a b i l ity o f i t s sexu a l o rga n s .
By 1896, o n e o f t h e agr i c u l t u ra l stat i o n s h a d d e v e l o p ed t h e tec h n i q u e o f
in bred lin es: re peated ly cross i n g a give n st ra i n with itse l f, u n t i l c e rta i n
ge n e s we re e l i m i nated a n d o t h e rs d ri v e n t o fixati o n . D e s p i te t h e " p e d i
g r e e myst i q u e , " it soo n bec a m e o b v i o u s t h a t s u c h extre m e h o m ogene ity
actu a l ly had d a m agi ng effects on the pla nts, but by 1905 a new tec h
n i q u e h a d be e n develo ped t o co m p e n sate fo r t h i s : cross i ng two d i ffe re nt
i n bred l i n e s o f co rn k e pt t h e "desi ra b l e" tra i ts i n the i r p roge ny w h i l e e l i m
i n ati ng so m e of the u nd es i ra b l e o n es. T h i s p rocess p rod u ced w h a t c a m e
t o b e k n ow n a s " hy b rid co r n " :
Although hybrid corn was first i n trod uc ed to far m e rs i n 1926, only a bout
one p e rcent of the acreage i n the Corn Belt was p l a n ted to hybrid va rieties
by 1933 . This c h a nged ra p i d ly, however, and by 1944 m o re than eighty
eig h t pe rce nt of the Corn B e l t was p l an ted to hy brid corn. Yie l d s i n c rea sed
d ramatical ly; "corn powe r" had a rrived . . . . With hyb rid co rn , o n ly th ose who
knew the parent l i nes a n d breed i ng seq u e n ce knew how to make the hig h
yie l d i n g hyb ri ds - ca l l e d a "closed ped igree" in t h e busine ss - a n d t h i s
knowl edge w a s lega l ly protected as a trade secret. M o re i m porta n t ly from
the busi ness sta n d po i nt, fa r m e rs cou l d not save and reuse hyb rid seed the
fo l l owi n g yea r and obtain the same yie l d , si nce "hyb rid vigor" wo u l d d ec l i n e
wit h cont i n u i ng use o f the seed . F a r m e r s h a d t o retu rn to the seed co m p a
ni es t o buy new seed each yea r. 156
Hybrid co rn w a s t h e p rod u ct of o n e h o m ogen i z i n g o pe rati o n (w h i c h cre
ated the pa rent in bred l i n e s) fo l l owed by o n e or m o re h ete roge n i z i n g
o pe rati o n s (c rossi ng t h e i n b re d s to m a i nt a i n hyb rid vigor). H owe ve r, d u e
t o t h e h i e ra rc h ical stru ct u re o f ped igrees a nd o f t h e o l igopo l i stic p ractices
b e h i n d t h e i r s p read , t h e whole p rocess was crown e d with a n o t h e r (a n d
m o re powe rfu l) h o m ogen izatio n : i n t h e n i n eteenth c e n t u r y t h e ge n e pool
o f Ame rica n c o r n was r i c h i n va ri ety, b u t by Wo rld Wa r I I m o st of th ose
ge n e s h a d been driven o u t a nd re pl aced by the c l o n ed ge n etic m at e ri a l s
from a few pa rental l i n e s .
A t t h e ti m e , t h i s p rocess was co n s i d e red " p rogress, " b u t t h e h o m oge
ni zati o n of t h e C o r n Belt ( a n d ot h e r food-p rod u ci n g regi o n s) was i n d e e d
ext re m e ly d a ng e ro u s . A l t h o u g h c rops a n d l i v e stock h a ve f r o m a n c ie nt
ti m e s bee n as su scepti b l e to e pi d e m ics as h u m a n p o p u l at i o n s , a cert a i n
degree o f h e te roge n e i ty i n t h e i r g e n e t i c m a ke u p protected t h e m from
exti nctio n . W h i l e some o f t h e i n d i vi d u a l p l a nts i n a fi e l d wo u l d p e r i s h
u nd e r t h e o n s l a u ght of d i sease, o t h e rs wo u l d su r v i ve a nd co nt i n u e t h e
167
2: FLESH AND GENES
l i n e . B u t w h e n 80 p e rc e n t of t h e p l a n ts i n a give n p o p u l at i o n a re v i rt u a l l y
clo n e s , t h e m o m e nt a n ew m i croo rga n i s m h its 0 11 a " ge netic wi n d ow, "
t h e re a re no o bsta c l e s to its s p re a d . T h i s is exactly w h a t h a p p e n e d sev
eral d e cades ago, w h e n a n e w fu n g u s fo u n d an e n try po i n t that e n a b l e d
it t o e l u d e h y b r i d co r n 's d e fe n se s :
Reprod u c i ng ra p i d ly i n the u n u s u a l ly warm and mo ist weat h e r o f 1 9 7 0 ,
[t he fu n gus's] spo res ca rried on the wi n d , the n e w d i s ease bega n movi ng
no rthwa rd toward a fu l l -scale in va s i o n of America's vast corn empire . . . .
The new fu ngus moved l i k e wi l d f i re through one co rn field after another.
I n some cases it wou l d wipe out an enti re sta nd of corn in ten days . . . .
T h e fu n gus moved swiftly t h rough Georgia, Alabama, a n d Kentuc ky, an d
b y J u n e its a i rborne spores were h e a d e d stra ight fo r the nation's Corn
B e lt, where eighty-five perce nt of all American co rn is grown. I 57
As it h a p p e n e d , afte r a good p a rt of t h e ye a r 's crop h a d b e e n d e stroye d ,
a c h a n ge i n t h e weat h e r a n d e m e rge ncy m e a su res t h a t we re ta k e n saved
the d ay. B ut the e p i d e m i c had a l re a dy m a d e clear the d a n ge rs of h o m og
e n izat i o n a n d t h e l o ng-te r m co n s eq u e n ces of deci s i o n s m a d e t h ree o r
fo u r d ec a d e s befo re . M o reove r, afte r t h e i n it i a l s u ccesses with co r n ,
hyb rid izat i o n tec h n i q u e s s p read t o ot h e r p l a nts ( e . g . , a l fa l fa a n d sorgh u m )
a n d t h e n , i n t h e 1940s, to a n i m a l s - fi rst c h icke n s a n d late r on catt l e . I5 8
T h e re s u lt i n g g e n etic u n i fo r m ity h a s m a d e m a ny i n d u stri a l ized nat i o n s
"ge n e poor" co u n t r i e s t h a t n ow v i ew w i t h e n vy t h e ge n et i c resou rces o f
t h e i r "ge n e r i c h " u n d e rd eve l o p e d n e i g h b o rs.
Even befo re hybrid izat i o n te c h n i q u es h a d "ge n etica l l y d i sci p l i n e d "
co r n , t h e e a r l i e r su cce sses of l i vestock ped igree h i e ra rc h i es had i n s p i red
s o m e sci e n ti s ts to d re a m o f a p p l y i n g s e l ective breed i n g te c h n i q u e s to
h u ma n beings. In t h e seco n d half of t h e n i n etee n t h c e n t u ry, whe n Fra n
cis Ga lto n co i n e d t h e t e r m "e ugen ics," a wides p r e a d m ov e m e n t s o u g h t t o
g i v e d i sci p l i n a ry i n stitut i o n s co n trol ove r t h e flow of h u m a n ge n etic m ate
r i a l s . The m ov e m e n t ga i n e d m o m e ntu m in the ea rly twe n t i e t h c e n t u ry,
p a rti c u l a rly afte r t h e re d i scovery of M e n d e l 's wo r k on h e red ity a n d t h e
esta b l i s h me n t of ge n e s as t h e ca rri e rs of h e red ita ry i n fo r m ati o n . T h e
i d e a of " i m p rov i ng" h u m a n b e i ngs t h ro u g h selectiv e breed i n g w a s n ot
n e w (it is at l e a st as o l d as P l atoI59), but i n t h e ea r l y twe n t i e t h ce ntu ry it
m e s h ed we l l wit h t h e d e v e l o p m e n t a n d s p read of h o s p ita l s , p r i s o n s , a n d
ot h e r i n stit u t i o n s that routi n e ly p a rtit i o n e d , exa m i n e d , a n d d oc u m e nted
h u m a n be i n gs. In ot h e r wo rd s, w h i l e t h e dream of "ge n et i c hyg i e ne" m ay
be o l d , t h e too ls fo r its i m p l e m e nta tio n we re j u st rea c h i n g matu rity a n d
spr e a d i n g t h ro u gh t h e po p u l at i o n o f i n stitut i o n s . S p e c i a l o rgan izat i o n s
168
BIOLOGICAL HISTORY: 1700-2000 A . D.
s u c h as t h e E u ge n ics Reco rd Office c a m e to l i fe i n t h e U n ited States (as
we l l a s in E n g l a n d a n d G e r m a n y) and took on t h e task o f s u bj e ct i n g the
h u m a n ge n e pool to t h e syste m o f co nti n u o u s wri ti n g a n d obse rvat i o n :
Researchers at or affi l i ated with these l a b o rato rie s gat h e red i n formati on
bearing on h u m an hered ity by exa m i n i n g medical reco rds or co n d u cting
exte nded fa m i ly stu d ies, often relying u pon fiel d-wo rkers to construct trait
ped igrees in sel ected popu lati o n s - say, the re sidents of a rural co m m u n ity
- o n the basis of i n tervi ews and the exam in ati on of genea logical reco rd s . . . .
By 1926, as a res u lt of its surveys and stu d i es, the Euge n i cs Record Office
had accu mulated a bout 6 5 , 000 she ets of man uscript field re ports, 30,000
she ets of special traits reco rds, 8, 5 00 family trait sche d u les, a n d 1, 900
pri nted ge nealogie s , town histo ries, and biogra p h i e s. 16 o
A l t h o u gh t h e scie ntific val u e of m ost of th ese d a ta was m i n i m a l (o n l y
t h e r e l a t i v e l y few h e r i ta b l e t r a i ts t h at d e pe n d e d o n a s i n gl e ge n e co u l d be
tra p ped i n this n et), its so c i a l co n s eq u e n ces were n ot. I n fo rm e d by very
pri m itive t h i n k i n g a bout ge n e tics , wh ere even t h e m o st co m p l ex d is p o s i
ti o n s we re r e i f i e d i n to s i m p l e e n tities a n d l i n k ed with si n g l e ge n e s , A m e r i
can e u ge n i c i sts m a n aged to i n vo l ve seve ra l i n stituti o n s d i rectly i n t h e
co n t ro l of t h e flow of h u m a n g e n e t i c mate r i a l s. Begi n n i n g w i t h I n d i a n a i n
1907, ove r twe n ty states p a s s e d co m p u l s o ry ste r i l izat i o n l a ws i n a n ove rt
atte m pt to e l i m i n ate c e rta i n ge n e s fro m t h e po o l . D e s p ite t h e fact t h at
m ost of th ese "ge n es" we re s p u r i o u s ( e . g . , d r u n k e n n e ss, fe e b l e m i n d ed
n e s s , and vagra n cy "ge n e s"), t h o u s a n d s o f p e o p l e were ste ri l ized a n d
conti n u e d t o b e forcefu l ly d i sco n n ected fro m t h e ge ne pool ev e n afte r t h e
e u ge n ics m ove m e nt h a d d i ed . Addit i o n a l ly, fe a r i n g t h e great i n f l u x o f
so u t h e r n E u ro p e a n b l o o d , t h e t a i l e n d of t h e m a ss ive h u m a n wave t h a t
c a m e to t h e n e o-Eu ropes i n t h e n i n ete e n t h a n d twe n t i eth ce ntu r i e s , i m m i
gra t i o n a u t h o r i t i e s passed l aws to rest r i ct t h e ki nd of ge n e s that c a m e
i n to t h e U n ited St ates. Alt h o u g h t h e I m m igrat i o n R estrict i o n A c t of 1924
d i d n ot ex p l i c itly ph rase its p o l i cy i n e u ge n i c te r m s , it i s c l e a r (as Ste p h e n
J ay G o u l d h a s a rgued) t h a t it w a s i n t e n d e d t o fa vor t h e e n t ry of n o rt h e r n
E u ro p e a n " stock" at t h e expe n se of ge n e poo l s d e e m e d i n fe ri o r. 161
T h e practice of i m m igrati o n contro l is p a rticu l a rly rel eva nt h e re beca u s e
it i n vo l ved a n ew type of exa m i n a t i o n te c h n i q u e t h a t i s sti l l u sed tod ay a s
a " s o rti n g d e v i ce " : t h e I Q t e s t . O r i gi n a l ly created ( by A lfred B i n et between
1905 and 1908) as an aid to d etect c h i l d re n who m ay need special e d u ca
t io n , it was tra n sfo r m e d by A m e ri c a n e u ge n i c i sts i n to a ro uti n e d ev i ce fo r
test i n g a n d ra n k i n g a l l c h i l d re n a n d a d u lts acco rd i n g to t h e i r (su p posed l y
h e ritable) m e n ta l wo rt h . 162 A n e s s e nc e of " rat i o n a l ity" w a s post u l ated ,
169
2: FL ESH AND GENES
reified i n to a " t h i n g" i n t h e bra i n , a n d t h e n associ ated with a s i n gle " g e n e "
w h os e pre s e n ce o r a bse nce from t h e ge n e po o l was s u sce pti b l e t o i n stitu
tio n a l m a n i pu l a t i o n . R ega rd l e ss of t h e fact t h at t h e test mostly m ea s u red
fa m i l i a rity with Am e ri c a n c u lt u re , m a ste ry o f t h e "the a rc a n a of bowl i n g,
co m m e rc i a l p rod u cts, a n d fi l m sta rs , " 163 it beca m e a ro u t i n ized p roce
d u re to b r a n d i m m i gra nts accord i n g to t h e i r ge n et i c e n dowme nt. It was
a l so d i rectly co n n ected wit h the st e r i l izat i o n c a m p a i g n , s i n ce low I Q
sco res were t h o u g h t t o s i g n a l " fe e b l e m i n d e d n e s s , " a su p posedly h e r i ta
b l e co n d itio n t h at e nd a nge red t h e i ntegrity of t h e A m e ri c a n ge n e poo l .
A l t h o u g h e u g e n ics wa s e v e n tu a l ly d i scred ited w h e n N azi G e r m a ny
s h owed t h e wo r l d j u st w h at s u c h g e n e t i c " i m p rove m e nt" co u l d l e a d to i f
i m pl e m e nted o n a l a rge e n o u g h sca l e , t h i s d i d n ot m e a n t h at t h e h u m a n
b o d y esca p e d t h e n et of wri t i n g a n d obse rvatio n i n to w h i c h i t h a d b e e n
d rawn two o r t h ree ce ntu r i e s e a r l i e r; t h e re were ot h e r m e a n s of co ntrol
l i n g its c a p a b i l i t i e s w h i c h were- u n re l ated to crude g e n etic cl e a n s i n g
ca m p a i g n s . We m ay d iv i d e t h e s e i n to two types, fo l l ow i n g t h e d i sti nct i o n
b i o l ogists m a ke betw e e n s o m a a n d germ line: t h e l atte r refe rs p ri m a r i l y
t o cel l s with r e p rod u ctive ca pac ity (eggs a n d s p e r m ) , b u t m ay a l so be
said to i n c l u d e all t h e t i s s u e s and o rga n s t h at ma ke up our re prod u ctiv e
syste m , w h i l e t h e fo r m e r i n c l u d e s a l l t h e ot h e r syste m s (digestive, m u s
cu la r, n e rvo u s , etc . ) t h at fo r m t h e rest of t h e body. I n terms of soc i a l
co ntrol o v e r t h e s o m a , i t h a s p r i n c i p a l ly b e e n t h e m a l e b o d y t h at h a s
s u ffered t h e effects of d i sc i p l i n a ry te c h n i q u e s . N ot o n ly w e r e d r i l l a n d
s u r v e i l l a n ce deve l o p e d i n excl u s i v e l y m a l e a r m i e s , b u t l a rge m a s ses
of male bo d i e s were u s e d as ca n n o n fo d d e r f r o m the N a po l eo n i c Wa rs
t h ro u g h Wo r l d Wa r I . ( I n t h e latt e r, an e n t i re ge n e ratio n wa s u s ed to
" fe e d " e n e m y arti l l e ry. ) I n te r m s of t h e ge rm l i n e , on t h e ot h e r h a n d ,
t h e fe m a l e body h a s b o r n e t h e b r u nt o f i n t e n se exa m i n atio n a n d regis
tra t i o n t e c h n i q u es .
A v e ry i m p o rtant i n stitut i o n a l e n croa c h m e n t o n t h e germ l i n e occu r re d
i n t h e U n ited States d u r i n g t h e n i n et e e n t h ce ntu ry t h ro u g h t h e asce n
d a n ce of o bstet rics a n d gyn e col ogy. Betwe e n t h e m , th ese n ew s p e c i a l t i e s
m a n aged i n a f e w d e ca d e s t o acq u i re a virt u a l m o n o p o ly o v e r t h e m e t h
o d s a n d pract ices u s e d to a s s i st i n c h i l d b i rt h . " I n t h e [ea r ly] twe ntiet h
centu ry, p hys i c i a n s p u s h e d fo r ' o bstet rical refo r m , ' w h i c h l a rge l y e l i m i
nated m i dwives a n d m o ved b i rth from t h e h o m e t o t h e h o s p i ta l . W h i l e i n
1 900, fewe r t h a n 5 p e rcent o f A m e rica n wo m e n d e l i v ered i n h o s p i t a l s ,
by 1 940, a bo u t h a l f d i d a n d by 1 960, a l mo st a l l . " 164 As m e d i ca l stu d i e s
( by d octo rs) h a ve rev e a l e d , d u r i ng t h e pe riod of t i m e i n w h i c h h o s p i ta l s
too k ov e r fro m t r a d i t i o n a l p ractices t h i s c r u c i a l posit i o n i n t h e f l ow o f
ge n et i c m ate r i a l s , o b ste trici a n s were c a u s i n g m o re d a m a ge t o wo m e n
170
BIOLOGICAL HISTORY: 1700-2000 A . D.
t h a n m i d w i ve s eve r d i d . Agg r e s s i ve u s e of forceps t e n d e d to r e s u l t i n
to rn b i rth c a n a l s , a n d l a ck o f hygi e n e s p r e a d d i sea ses a m o n g t h e i n fa n ts:
I n c reased p hysician atte n d a nce at b i rth did not re sult i n i m p roved outcome
fo r mothers a n d ba bie s. As the pe rce ntage of b i rths atte nded by midwives
d e c reased from 50 to 15 percent, pe ri natal i n fant morta l ity i n crease d . D u r
i n g the fi rst de cad e of the twe ntieth centu ry, mid wives in New Yo rk were
signifi ca ntly su peri o r to docto rs in p reve nti ng sti l l b i rths a n d c h i l d b e d fever.
For exa m p l e , Newa rk's mate rnal morta l ity rate of 1. 7 per 1 , 000 from 1 914
to 1916 among mot h e rs d e l ivered by mi dwives co mpared most favo rably to
the 6 . 5 pe r 1 , 000 rate in Bosto n , where midwives were ban ned . 165
I n t h e l o n g r u n , as rat i o n a l izat i o n a n d r o u t i n izati o n gave r i s e to e c o n o
m i e s of sca l e , h o s pita l s m ay h a ve b e co m e bett e r pl aces fo r h u m a n s to
be b o r n , at l e a st in te rms of d ecreased m o rt a l ity. T h e pro b l e m , as wit h
a s s e m b ly- l i n e facto r i e s , w a s t h a t t h i s i n creased " p rod u ctiv ity" c a m e w i t h
h i d d e n costs i n t e r m s of l o ss of c ont r ol (fo r t h e wo m e n g i v i n g b i rth). As
w it h all d i sc i p l i n a ry i n st i t u ti o n s , a true acco u nt i n g m u st i n c l u d e t h os e
fo rces t h at i n crease ( i n eco n o m ic t e r m s of u t i l ity) a n d t h ose t h at d e c re a s e
(i n p o l i t i ca l t e r m s of o be d i e n c e ) . S e d ated wo m e n g i v i n g b i rt h i n h o s p ita l s
not o n l y l o st co ntro l o v e r d e c i s i o n s m a d e d u ri n g l a b o r (fo r i n sta n c e ,
w h eth e r o r n ot a ny s u rg i ca l i nt e r v e n t i o n i s req u i re d ) b u t a l s o o v e r ot h e r
fu n ct i o n s l at e r o n :
I n the 1 930s physicians bega n re p l a c i n g the wo m a n 's b reast m i l k (w h i ch a n
e a rly Ge rber adve rtise ment fo r baby fo rm u l a c a l l e d "a vari able excretion")
with fo rmu l a , a prod uct i n c reasi ngly av ai l a b l e from d rug a n d m i l k com pa
n i es . . . . To d i scou rage n u rsing o n d e m a n d , t h ey separated mot h e r and
c h i l d . Th ey esta bl i s h e d ru les req u i ri n g fe e d i ngs at i n tervals of no les s than
fo u r hou rs . . . . I n the n u rseries, babies were fed s u p p l e m ental bottles with
out the mothe r's knowledge. Conseq ue ntly, the babies were not hu ngry
when brought to the mother. Without su fficient suckl i n g the mothe r's m i l k
d ried u p . . , . B y t h e 1940s t h e p ropo rtion o f women breast-feed i ng, with o r
without s u p pleme ntal bottl es, had d rop ped t o 65 percent. B y 1 9 5 6 , it was
down to 37 pe rce nt; by 1966, 2 7 percent. 16 6
D e s p ite t h e c u rre nt reviva l of m i d w i fe ry (a n d b reast feed i n g), t h e tra ns
fe r of b i rt h fro m p r i vate h o m e s to p u b l i c spaces of o bs e r v at i o n a n d w r it
i n g w a s an i n stituti o n a l e n cro a c h m e n t on t h e h u m a n ge r m l i n e . A n d t h i s
t a k e ove r co m p l e m e n ted t h e e a r l i e r s n a r i n g o f o u r s o m a i n a s i m i l a r n et o f
co m p u l s o ry te sts a n d reco rds. T h e Fre n c h m i l i t a ry, w h i c h p i o n e e re d t h e
171
2: FLESH AND GENES
routi n izati o n of i n d u st r i a l p rod u ct i o n i n its e ighte e n t h -ce n t u r y a rse n a l s ,
was p e r h a ps t h e fi rst t o co m b i n e t h e effects of d r i l l w i t h th ose of hygi e n e
a n d m e d ici n e t o prod u ce n ot o n ly o bed i e n t b u t h e a l t hy bod i e s . T h e m a s
sive a r m i e s of u rb a n propo rti o n s w i t h w h ich N a p o l e o n co n q u e re d Eu rope
were e p i d e m i o logi c a l ly a k i n to cities. O n ly t h e co m bi n e d effects of c o m
pu l so ry vacc i n a ti o n , a rit u a l atte n t i o n to c l e a n l i n e s s , a n d a m e d i c a l co rps
with a c l e a r c h a i n of co m m a n d m a d e possi b l e t h e s e o t h e r w i s e i m pr u d e n t
m i xtu res of recru its from regi o n s n ot n o r m a l ly i n cl ose c o n tact with o n e
a n ot h e r. 167
T h u s fa r we h ave e x p l o red t h e two h a lves of our b i o lo g i c a l h i sto ry, t h e
h i sto ry o f o u r own f l e s h a n d b l o od as w e l l a s t h e n o n h u m a n ge n e s a n d
b i o m ass u n d e r ou r co n t ro l . H owev e r, a s w e have a l re a dy see n , t h e h i story
of u rb a n a l i m e n t a ry pyr a m i d s n e e d s to be com p l e m e n ted by a n a lys i s of
t h e l a rge r b i o l og i c a l m e s h w o r k of w h i c h cities and tow n s a re a p a rt. M o re
speci fica l ly, we n e e d to retu r n to t h e m ic rosco pic co m p o n e nt of t h o se
food webs, t h e w o r l d of i n fecti o u s d i seases t h a t c o n t i n u e to feed on o u r
bod i e s a n d h e n c e s h ort-c i rc u it ou r t i g htly focused b i o m ass fl ow. M o re
ov er, m i croo rga n i s m s i n te ract n ot o n ly with ou r o rga n i c bod i es but a l so
w i t h o u r i n stitut io n s , exert i n g s e l e c t i o n p ressu res o n t h e m a n d t h e reby
act i n g as sort i n g d ev i c e s for the routi n es t h a t these i n stituti o n a l re pl ica
tors tra n s m it ve rti c a l ly a n d h o rizonta l ly.
M u c h a s t h e p l ag u e sti m u l ated t h e cre a t i o n of t h e m e t h o d s a n d rout i n e s
t h a t wou l d l ater o n m i n e ra l ize i n to h os pi t a l s , t h e c h o l e ra e p i d em i cs of
the n i n ete e n t h a n d twe n t i et h ce ntu ries cata lyze d i nto existe nce a n u m be r
o f u r b a n i n stitu t i o n s c o n c e r n e d w i t h p u b l i c h e a l t h a n d hygi e n e . I n B ri t i s h
tow n s , l ocal b o a r d s of h e a l th e m e rged as a re s p o n se t o t h e fi rst o u t b re a k
i n 1 8 3 2 . A seco n d w a v e h i t i n 1848, a n d t h i s t i m e a c e n t r a l iz ed age ncy
was created to i m p l e m e nt fa r-rea c h i n g programs of p u b l i c s a n i tati o n .
C h o l e ra i s a w a t e rb o r n e d i s e a s e , a n d s o t h e re spo n s e t o i t n eces s a r i l y
i n volved n e w syst e m s o f w a t e r s u p p l y a n d sewage d i sposa l . T h e i n t r u s i ve
c h a racter of t h e i n frast r u ctu re t h a t was n e e d e d ( p i pes ru n n i n g u n d e r p ri
vate pro p e rty, fo r exa m p l e ) , as �ell as t h e t h e n -d o m i n a n t m i a s m a t h e o ry
of e p i d e m i cs ( w h i c h fav o red a i r a n d e a rt h as tra n s m i tte rs), gen e rated
res i sta n ce to the p roject, a n d it too k the i n te ns e fe ar t h a t c h o l e r a i n s p i re d
t o overc o m e t h ese obsta c l e s . S i m i l a r situ atio n s cr o p p e d u p i n ot h e r pa rts
of E u r o p e , as w e l l a s i n t h e l a n d s E u ro p e a n s had sett l e d :
Spreaq [of the new pol i cies] to ot h e r co u n tri es occurred re latively rapid ly,
though not i n freque ntly it took the same sti m u l u s of an approac h i n g
epidemic of c h o l e ra to compel loca l vested interests to yield to advocates
of sa nita ry refor m . T h u s , in the U n ited States, it was not unti l 1866 that
172
BIOLOGICAL HISTORY: 1700-2000 A.D.
a co mparable Boa rd of H eal th wa s esta b l i s hed in New Yo rk City, modele d
on the B ritish prototype a n d i n s p i red by i d e ntical a p pre h ensions of the
i m m i n e n ce of a new c h olera e p i d e m i c . In the a b sence of this sort of st i m u
l u s, such a great city as H a m b u rg persisted i n postp o n i n g costly i m prove
ments of its water s u p ply u n t i l 1892, when a vis itation of cholera p roved
beyo nd a l l reaso n a b l e d o u bt that a co nta m i n ated wate r s u p ply pro pagated
the d iseas e. 168
M c N e i l l ca l l s c h o l e ra t h e fi rst lli n d u stri a l d i sease" n ot beca u s e it o r i
gi n ated i n facto ry tow n s (it d i d n ot) b u t b e c a u s e it h a d re a c h e d E u ro p e
f r o m I n d i a th a n k s to n e w tra n s p o rtat i o n te c h n o l ogies s u c h a s t h e
stea m s h i p a n d the ra i l ro a d . Th ese c h a n n e l s a l l owed m i c roo rga n i s m s to
trave l fa rt h e r and faster t h a n eve r b e fo re : a c h o l e ra e p i d e m i c t h a t bega n
i n B e n ga l i n 1826 re a c h e d e a ste r n Eu rope in 1831, t h e U n it e d States i n
1832, a n d M ex i co i n 1 8 3 3 . 16 9 C o n se q u e n t l y, c h o l e ra a l s o cata lyz e d t h e
fi rst att e m pts at i n te r n ati o n a l c o o p e rat i o n i n res p o n d i ng to e p i d e m ics.
(As e a rl y a s 1 8 3 1 , E u ro p e a n s we re c o l l a b o ra t i n g w i t h Egypti a n a u t h o r i t i e s
i n trac k i n g t h e cou rse of t h e d i s e a s e . ) W h e n stea m s h i p s b ega n co n n e ct
i n g t h e w o r l d 's m a r iti m e gateways a r o u n d 1870, t h e ra n ge of h a b i tats
t h at c o u l d b e c o l o n i z e d n ot o n ly by ge r m s b u t by weeds (rats a n d t h e i r
fle as) i ncreased greatly. I n t h e 1890s , a n ew e p i d e m ic of b u b o n i c p l ag u e
b roke out i n C h i n a a n d b y 1894 h a d re a c h ed C a n t o n a n d H o ng Ko ng.
Fro m th ere st e a m s h i p s c a r r i e d the i n fected rats a n d fleas to ot h e r p o rts,
fro m w h i c h , in t u rn , the d i s e a se s p re a d i n to b u rrowi n g ro d e n t co m m u n i
t i e s e l sew h e re . A l t h o u g h i n te r n ati o n a l t e a m s of d octors a n d a n u m b e r of
p r o p hy l a ctic m e a s u r e s m a n aged to co nt a i n t h e sp read of p l ag u e to
h u m a n s , e v e n today n e w vers i o n s of p l ag u e a re ev o l v i n g in u n d e rgrou n d
rod e n t " c i t i e s , " s o m e capa b l e of i n fect i n g pe o p l e :
Plague was brought by s h i p to the n o rthwest of Ame rica aro u n d 1 900.
About 200 deaths we re reco rded in t h e th ree-year San Fra n c i sco e p i d e m i c
w h i c h started j u st afte r t h e eart h q u a ke in 1 906. A s a resu lt, t h e weste rn
part of the U . S . A . , pa rti cu la rly N ew Mexico, is now one of t h e two l a rgest
re s i d u a l foci of plague (in mice a n d voles parti cu lar ly) in the worl d - t he
ot her i s in R u ssia . The p l ague baci l l u s has spread ste ad ily eastwards fro m
the west coast and in 1 984 was fo u n d among a n i mals in the mid-west. T h e
wave fro nt h a s moved on average a bo u t 35 m i l e s a year. . . . I f, o r rather,
w h e n , p l a gu e reac h e s the east coast of the U . S . A . with its la rge u rban
areas, the pote n t i a l fo r a serious e p i d e mic wi l l be co nside ra bl e . N ew Yo r k ,
fo r exa m p l e , has an esti ma ted r a t popu lation o f one rat pe r h u ma n ; a n d
m i ce - also effective dis ease ca rri ers - p robably n u mber mo re. 170
173
2: FLESH AND GENES
As t h i s exa m p l e i l l u st rates, t h e fact t h at modern m e d i c i n e has ga i n ed a
l a rge r mea s u re of co n t rol over m icroo rga n i s m s d oes n ot m e a n t h at we
h ave ce ased to fo rm a mes hwo rk wit h bacte ria , v i ruses, p l asmod ia , fu ngi ,
a n d ot h e r "we e d s . " B u t t h e co m m a n d e l e me nts i n t h e ove ra l l m ixtu re
h ave i n creased , a n d t h is h as h ad i m p o rt a nt h isto rical co n seq u e n ces. To
beg i n with , t he m e d i ca l a n d p u bl i c h e a lt h i n stitu t i o n s t h a t we re ge n e rated
in our c l a s h with e p i d e m ics m a n aged to push cities a c ross a t h res h o l d
a ro u n d t h e ye a r 1900: fo r t h e fi rst t i m e i n t h e m i l l e n n i u m (a nd p e rh a ps i n
h isto ry) l a rge c i t i e s we re a b l e to re p rod u ce t h e i r h u m a n popu l atio n s with
o u t a co n sta n t flow of i m m igra n ts from t he cou ntrys i d e . The city beca m e ,
i n a sense, s e l f-re p rod u ctive .
T h e n i nte r n a ti o n a l e m igrati o n flows received a boost as m i l itary m e d i
ci n e , n ow able to i m p l e m e n t hygie n ic and i m m u n ol ogica l p rogra m s by
com m a n d , a l l owed a r m ies to bre a k away from old b i o logical regi mes a n d
o pe n e d new a reas fo r col o n izat io n . Some o f t h e great co l o n i a l enterprises
of t h e l ate n i n etee n t h ce ntu ry - t h e o pe n i ng of the Pa n a m a Canal by the
U n ited States (in 1904) and t h e carving up of the Afri c a n c o nt i n e nt by
seve ra l E u ro p e a n powers - we re m a d e poss i b l e by t h e i n cre ased control
over m a l a ri a and yel low fever a c h i eved by m i l it a ry m ed i ci n e . The vector
of bot h d iseases (mosq u itoes) was brought i nto the d isci p l i n a ry net by a
rigorous s a n it a ry pol ice " s u p po rted a n d s usta i n ed by m eticu l o u s o bse r
vat i o n of m os q u i to n u m be rs a n d patte r n s of be havi o r. " l71
B ut t he rea l breakt h ro ugh in t h e atte m pt to s u b m it m i c roorga n i s m s to
pyra m id a l co n t ro l occu rred w h e n l a bo rato ries l e a r n e d how to t u r n m icrobe
a ga i n st m i cro be o n an i nd u st ri a l sca l e . This took p lace d u ri ng Wo rld Wa r I I ,
wit h t he deve l o p m e n t of a se ries of n ew c h e m ica l s, s u c h as p e n i c i l l i n a n d
s u l fa s . W h e n t h e term a ntibiotic was i ntrod uced i n 1942, it w a s defi ned a s
a ny c h e m i ca l s u bsta nce p rod u ced b y a m i c roo rga n i sm c a p a b l e o f d i stu rb
i ng a vital l i n k i n the meta b o l i s m of a n ot h e r o n e , t h u s k i l l i ng it or i n h i bit
i ng its growt h . l7 2 (Today some a nti biotics a re c h e m i ca l ly syn t h es ized , so
the d efi n it i o n has bee n b road e n ed .) T hese n at u ra l ly occu rri ng su bsta nces
m ay be t h e p ro d u ct of arms races betwe e n m i crobes (si m i l a r to t hose
betwe e n p red ators a n d t h e i r p rey), a n d t h e i r existe n ce had been k n ow n
fo r seve ra l d ecades p ri o r to t h e wa r. B u t n ot u nti l t h e 1 940s d id t h e wa r
o n d isease possess t h e i n d ustrial met hods n eeded to fo rce a " m icro b i a l
p ro l etari at" t o m ass- p rod u ce t hese c h e m ical weapo n s .
A l t h o u g h a n t i biotics d id p rove d ecis ive i n wi n n i ng t he fi rst battles,
t h ey d i d not a l l ow m e d i ca l i n stituti o n s to w i n t h e wa r. T h e p roblem was
t hat, as i t t u r n e d out, m icrobes offe red t hese wea po n s a co n stantly m ov
i ng t a rget. T h e flow of ge n es i n m ic roo rga n isms, u n l i ke l a rge a n i m a l s
a n d p l a nts, is n ot rigi d ly h ie ra rc h i c a l ; eve n t hose m icrobes t hat re p ro-
174
BIOLOGICAL HISTORY: 1700-2000 A . D .
d u ce sexu a l ly ( a n d t h u s c h a n n e l ge n e s "ve rtic a l ly," as we d o) a lso com
m u n icate " h o rizo ntal l y" with one a n ot h e r, freely t ra n s fe rr i n g p ieces of
ge n etic i n fo r m ation across stra i ns and eve n s pecies. Soon afte r Wo rld
Wa r I I , ge nes t h a t co n fe rred resi sta n ce to a ntibiotics we re p ro m ptly t ra n s
ferred fro m o n e s pecies of bacte ri u m to a noth e r. S i n ce p e n i ci l l i n 's i n it i a l
u se i n 1941, a m ajo rity of its ta rgets (sta p hylococci) h ave beco m e res is
t a n t to it. 1 73 P u m pi ng m assive a m o u nts of antibiotics i nto a n i ma l a n d
h u ma n i ntesti n a l tracts wo rs e n e d t h e situation b y creati n g t h e pe rfect
e n v i ro n me nt fo r the se l ecti o n (on a n eq u a l ly m assive scale) of new res i s
t a n t stra i n s; Tod a y, n ea rly eve ry d i sease k n own to m e d i ci n e h a s beco m e
resista n t to at least o n e a nti biotic, a n d seve ra l a re i m m u ne to m o re t h a n
o n e . I t see m s clear n ow t h a t w e wi l l co n ti n u e t o fo rm a mes hwo r k with
the m ic rowo rld d espite all the adva nces in medical sci e nce. A s i m i l ar
poi n t a p p l i e s to p l a n t a n d i n sect "we e d s . " Beca use of t h e m assive a p p l i
catio n s of D DT ( a n d ot h e r m e m b e rs o f its c h e m ical fa m i ly) t o s h o rte n
u rb a n food c h a i ns, s o m e sci e n tists bel ieve t h a t t h e o n ly weed s th at w i l l
be a ro u n d i n u rban ized regi o n s by t h e yea r 2000 are t hose resista n t t o
t h e s e pestici d es . 174
T h u s , a n ew arms race developed, t h i s time betwe e n h i e ra rc h ical m e d
ical i nstitutio n s a n d t h e ra p i d ly evo l v i n g m e shwork of m icrobes. I n t h e
l a test ro u nd of t h is co n test, t h e v e r y m a c h i n e ry be h i n d t h e h o rizo ntal
tra n sfer of ge nes a m o n g bacteria was rec r u ited t o se rve t h e b a cte ria's
very e n e my. The mec h a n i s m i nvolves at l e a st two com po n e nts: j u m p i n g
ge n es a n d a vector of tra n sm i s s i o n (plasm i d s , tra n s poson s). T h e d iscov
e ry t h a t p i eces of ge n etic i nfo rmatio n can move a ro u n d in a c h ro mo
so m e d ates to the l ate 1 940s , but it took d ecades before the e nt re n ch e d
o rthodoxy cou l d acco m m o d ate the n ew i d e a s . Tod ay w e k now t hat ge n e s
n ot o n ly c a n move a rou n d i n s i d e t h e n uc l e u s , t h ey c a n a l so "j u m p" o u t
i n to t h e cyto p l a sm a n d becom e i n corpo rated i nto o rga n e l l e s (s u c h as
p l a s m ids), which re p rod uce o n their own wit h i n t h e cel l . Plasm i d s can
t ravel f ro m o n e ce l l to a not h e r (or one bacteri u m to a not h e r) and d e l i ve r
t h e "j u m pi ng gen e , " w h i c h t h e n i ncorpo rates itse l f i n to t h e n uc l e a r D NA
of t h e n ew ce l l a n d t h u s beco mes h e rita b l e . T h i s m e c h a n i s m m ay exp l a i n
how resista n ce t o a nt i b i otics s p read so ra p i d ly a m o n g t h e pop u l ation o f
m icrobes.
Wit h t h e d i scove ry of ge ne-s p l ic i n g and ge n e-gl u i ng e n zymes, a s we l l
a s t h e ot h e r tec h n i q u e s o f b iote c h n o l ogy, h u m a n res e a rc h e rs were a b l e
to e x p l o i t t h is m ec h a n i s m a n d ta ke ge n etic m at e ri a l s from · o n e l i vi n g
creat u re , attach t h e m to a p l a s m i d (o r oth e r vecto r), a n d t h e n i nject t h e m
i nto a d iffe re n t c reatu re, i n effect, creati n g " c h i m e ras" : a n i m a ls , p l a nts,
or m icrobes with the ge n etic c h a racte ristics of two o r m o re d i ffe re n t
175
2: FLESH AND GENES
s peciesY5 T h e p ractical v a l u e of c h i meras fo r t h e a r m s race between
m e d i ca l i n stitu t i o n s and m i c robial evol ution is this: ge n e s t h at code fo r
specific e nzymes (o r ot h e r p rotei ns) with pote nti a l m e d i ca l a p p l icati o n s
can n o w be i n co rpo rated i n to a n easy-to-c u l tivate ce l l , u si ng its own
m a c h i n e ry to "tra n s l ate" t h e ge n e i nto a p rotei n . By c l o n i n g t h i s c h i m e ri c
cel l repeated ly, l a rge po p u l atio n s of p rote i n p rod ucers c a n be created
a nd their p ro d u ct h a rvested t h rough a v a ri ety of method s .
P a radoxical ly, t h e very p roced u res e m pl oyed to d e ny m icroparasites
access to the u rb a n flow of b i o m ass a l l owed macroparasites (especi a l ly
a nti m a rket i n stitutio n s) to i n se rt t h e m se l ve s at m u lt i p l e poi nts i n t h e food
c h a i n . As we saw a bove , t h i s tre nd bega n with the i nt rod u ction of c h e m i
c a l ferti l izers (a s we l l a s h e rbicides a n d i n sect i ci des), w h i c h a re m a n u
factu red f a r fro m t h e fa rm a n d w h i c h s p l it o p e n t h e n utrie nt cycles t h at
h a d bee n closed fo r ce n t u r i e s . W h i l e a ce n t u ry a n d a h al f ago A m e rican
fa rms p rod u ced m ost of w h at t h ey n e e d e d (ru n n i ng on tight nutrient
cycles), tod ay t h ey receive u p to 70 percent of t h e i r i n p u ts ( i n cl u d i ng
seed) fro m t h e o utsid e . 1 76 B iotec h nology is accelerati ng t h is tre n d , b u t it
did n ot create it.
Take, fo r exa m pl e , the gre e n revolution of the 1950s. New p l a n t hybrids
with ge nes t h at d i rected m ost p hotosynthetic activity to t h e prod u ct i o n of
e d i b l e gra i n (as o p posed to i ne d i bl e ste m s) were i ntrod uced i n t h e T h i rd
Wo rld, with t h e a d m i r a b l e goa l of m a k i n g t h ose co u ntries n utrition a l ly self
s u fficient. A n d , i n deed, t h e m u c h h i g h e r yields of t h ese " m i racle" p l a nts
did fo r a w h i l e stre n gt h e n the food b a se of cou ntries s u c h as M exico , t h e
P h i l i p p i n es , a n d I n d i a . T h e catch w a s t h at t h e n ew breeds req u i red l a rge
a m o u nts of o utside i n p uts (fe rt i l i ze r) to perform t h e i r m i racles, a n d i n t h e
a bs e n ce of c h e m ical fe rt i l izer t h e i r y i e l d s w e r e not n e a rly as i m p ressive.
T h e situation was s i m i l a r to t h at of stea m powe r: in o r d e r to get h ig h out
p uts of m ec h a n ical e n e rgy, i nt e n se i n p uts of coa l were needed . I n oth e r
words, t h i s k i n d o f set u p p rofited f r o m eco n o mies of sca l e a n d t h e refo re
b e n efited l a rge fa r m e rs, trigge r i n g a p rocess of c o n so l i d at i o n i n w h i c h
m a ny s m a l l fa r m s d i sa p p e a red . Open n utrient cycl e s a lso m a d e fa r m e rs
vu l n e ra ble to outs i d e m o n o p o l i es : w h e n t h e Ara b oil cart e l bega n ra i s i n g
p rices i n t h e ea rly 1 97 0s, ferti lizer costs i n creased d ra m atical ly a nd t h e
gre e n revo l uti o n col la p se d . Wo rse yet , c l o n e s o f t h e n ew p l a nts n ow d o m i
n ated t h e loca l ge ne pool s a n d m a ny ge n etic mate r i a l s of traditi o n a l vari
eties (w h i c h did n ot d e p e n d o n ferti l i zer) h a d been lost, m a k i n g it very
h a rd to t u rn back t h e clock. l n
T h e h o m oge n i zation of t h e ge n eti c base of crops a n d l i vestock rea c h e d
h igh p e a k s of i ntensity i n t h e l a st few d ecad es. A n d t h e g e n e s that a re
bei ng sel ected n ow, u n l i ke d u ri n g t h e G reen Revol utio n , a re not t hose t h at
176
BIOLOGICAL HISTORY: 1 700-2000 A.D.
i ncrease the n utritio n a l v a l u e of biomass, but rath e r its adaptability to homo
geneous factory routines. For i n st a n ce , i n t h e 1950s a n d 1960s, m a n u fac
t u re rs of farm m a c h i n e ry worked toget h e r with p l a n t b re e d e rs to fit n ew
vegetable va rieties to t he d e m a n ds of routi n izat i o n a n d rati o n a l izati o n .
G e n es t h at caused vegetables t o yie l d u n iform s hapes a n d sizes, a s we l l a s
t o m at u re s i m u lta neou sly t o a l l ow h a rvest i n g a t t he s a m e t i m e , m a d e it
easier to a d a pt veget a b l e p rod u ction to mach i nes and to facto ry sched u l es:
C rops in the fiel d m u st fi rst meet the tests of yie l d , u n ifo rm growt h , a n d
sim u ltaneous matu rity. After this, their fru it or kernels m u st b e a b l e t o with
sta n d the rigo rs of mechanica l ha rvesting, re peated h a n d l in g, and various
kinds of transport fro m one poi nt to a nother. l\Jext come the trials of steam
i ng, cru s h i ng, or ca nn i ng. In some cases, the raw agricultural crop must
"sto re wel l" or "trave l wel l ," or be good fo r freezing or fryi ng. And gen es are
the keys to meeting each of these ste ps in the food-making process; the
ge nes that co ntro l the fi eld-to-table cha racte ristics of every crop fro m broc
col i to wheat. In this process the genes t h at matter are those of yield, ten
s i le stre ngt h , d u r a b i l ity, and long shelf l i fe . H owever, the genes fo r n utrition
- if co nsidered at a l l - are fo r the most part ignored . 178
I n some cases, the ge n etic m ate ri a l s be h i n d "we l l-d i sci p l i n e d " p rocessi ng
p rope rties a re in d i rect op positi o n to t hose i m p rovi ng n utriti o n a l v a l u e
(t hat i s , b ree d i ng f o r o n e e l i m i n ates t h e othe r). Co n seq u e ntly, t h e l atte r
cou l d ve ry we l l d i s a p pe a r fro m t h ese n ew p l a nts, a n d as c l o n es of t h e
new va rieties s p r e a d , t h e ge n es of o l d v a rieties wi l l b e g i n to d is a p p e a r
fro m t h e ge n e poo l . H e nce, t he evo l ut i o n o f c rops (a n d l i vestock) i s tru ly
bei ng d riven from t h e p rocessing e n d of t h e food c h ai n . A few centu ries
ago, c u l t u res ( I s l a m ic, E u ro p e a n ) were the m a i n vecto rs fo r the t ra n s m i s
s i o n of ge n e s across ecosyste m s ; tod ay, co rporat i o n s have i n h e rited t h is
h o m oge n izi ng tas k . IVI c D o n a l d s , fo r i n st a n ce, is now t h e m a i n age n t of
p ropagat i o n of the ge nes be h i nd t h e B u rba n k potato; t h e Adol p h Coors
C o m p a ny, of t he ge nes fo r t h e M o ravian I I I ba rley; a n d t h e Q u a ke r Oats
Co m p a ny, of the ge n etic base of a few v a ri et i e s of w h ite corn hyb rids. 179
B iotech n o l ogy is bo u n d to i nten sify t h is h o m oge n izat i o n even m o re .
A l t h o u g h m ost biote c h n ologi ca l i n n ovati o n s were developed by s m a l l
co m pa n i es, t hese i n n ovators a re bei ng d igested t h rough ve rti cal a nd h o ri
zo ntal i ntegration a nd i n co rpo rated i nto t h e tissues of m u lt i n at i o n a l co r
porat i o n s , i n m a ny cases t he s a m e o n es w h o a l ready own seed, fert i l i ze r,
a n d pest i c i d e d iv i s i o n s . R a t h e r t h a n t ra n sferri ng pest-resista nt ge nes i nto
n ew crop p l a nts, t hese co rpo ratio n s are p e r m a n ently fixi ng d e p e n d e nce
o n c h e m i ca l s i nto crops' genetic base. F o r i n st a nce, corporat i o n s such as
177
2: FL ESH AND GENES
D u Po nt a n d M o n sa nto, w h i c h cre ate weed k i l le rs , n e ed to devel op crops
t h at wit hsta n d t h ese c h e m i c a l atta c ks. T h us they a re t ra n sferring t h e
g e n e s fro m w e e d s t hat h ave d e v e l o p e d res ista nce to t h ese s u bsta nces to
n ew crop varieties, a n d t h ereby ge netica l ly freezi ng fa r m e rs ' d e p e n d e n ce
on exte r n a l i n p uts. 180
Farm a n i m a ls a re s u ffe ri ng a s i m i l a r fate . Fo r i n sta n ce , "we l l-d isci p l i ned"
p igs and cows - t hat i s , l i vestock t hat a re capa ble of withsta nd ing t h e
stresses of co n fi ne m e nt a n d t h at possess t h e u n i fo r m c h a racte ristics
d e m a n d e d by m e at- pac k agi ng s pecifi catio n s - are tod ay b e i n g bred o r
e ng i n e e re d . M o reov e r, t h e tec h n iq u es used t o exercise tighter control
ove r t h e flow of genes across a n i m a l ge n e rati o n s ( a rtifi c i a l i nsem i na tio n ,
i n vitro ferti l izatio n , a n d e m b ryo tran sfe r) we re soo n a p p l ied t o h u m a n s ,
o n ce t h e tech n i q u es h a d p rove n t h e m s e l ves "safe" a nd effective . Need
l e ss to say, d e s pite t h e rece nt revival of e ugen ics (exe m p l i fi e d , for exa m
ple, in the creatio n of h u m a n s pe r m ba n ks lBI) a n d the o n go i n g h u m a n
ge n o m e p rogra m (wh i c h a i ms fo r co m p l ete ge netic se l f-k nowledge b y t h e
fi rst decade o f t h e n ew m i l l e n n i u m) , t h e h o moge n iz i n g co n seq u e n ces fo r
o u r species wi l l n ot be nea rly as d ra m atic as fo r o u r crops a n d l ivestock .
G ive n t h at o u r fl esh d oes n ot flow i n t h e u rb a n food pyra m i d , w e h a rd ly
risk be i ng forcefu l ly "evolved" by food p rocessors a nd packagers. A n d
yet, as w e s a w before, t h e re a re r e a l d a nge rs i n h u m a n ge neti c m a n i p u la
tio n , t hough t h e d a ngers l i e e l sewhere.
T h e i n stituti o n a l strategi es of co nti n u o u s exa m i n at i o n and reco rd i ng
t h at h a d bee n d eve l oped to fight t h e p lagu e were fi rst a p p l ied to h u m a n s ,
a n d o n ly l ater t o p l a n t a nd a n i m a l ped igrees. G e n etic tests , s u c h as t hose
bei ng deve l o ped to scre e n us fo r h e rita b l e d iseases (t h e m a i n rat i o n a l e
be h i n d t h e h u m a n ge n o m e p rogra m), wi l l b e added to t h e growi ng a rse
nal of exa m i n ation p roced u res a l ready used by ma ny i n stitutions to
scree n a nd s o rt h u m a n bei ngs . M o reove r, m a ny of the genetic d iseases
t h at wi l l i n t h e near futu re beco m e detectable t h rough genetic testing lack
any effective medical trea tmen t or cure. U nd e r these c i rc u m sta n ces, a l l a
genetic test wi l l do is bra n d ce rta i n i n d ivid u a l s as carriers of t h e d isease.
T h u s , as s o m e critics of ge n etic test i ng h ave a rgu ed , "We risk i n crea s i n g
t h e n u m be r of people d e fi n ed as u n e m p l oya b l e , u n e d u ca b l e , o r u n i n s u r
a b l e . We risk creat i n g a b io l ogica l u n d e rclass." IB2
I n t h i s c h a pter we have fo l l owed t h e h isto ry of t h e d i ffe rent bio logical
co m p o n e n ts of u rba n dyn a m ics. These m u st be added to t h e flows of
m i n e ral m atte r- e n e rgy t h at traverse Weste rn u rba n soci eties . We h ave
noted repeate d ly t hat, in a d d iti o n to the co nstruction m ater i a l s fo r o u r
ho mes a n d bod ies (sto n e a n d ge n es , l ive a n d fossi l e n e rgy), a variety o f
"cu ltu ra l m ate rials" flow t h rough a n d a ccu m u l ate wit h i n o u r cities. H ow-
178
BIOLOGICAL HISTORY: 1 700-2000 A.D.
ever, with so m e exce pti o n s, we have u sed t h i s p h rase in a l a rge ly
meta p ho ri c a l way, to s u ggest t h at, in t h i s case too , we a re d e a l i n g wit h
n oth i ng b ut "stuff." I t i s t i m e n o w t o atte m pt t o excise t h i s meta p h o r, t o
explore cu ltu ra l accu m u l at i o n s i n d e t a i l a n d d e c i d e whet h e r t h ey, too , a re
m e rely sed i m e ntati o n s h a rd e n ed by t i m e a n d scul pted by h i sto ry, i nter
ca l ated h ete roge n eities co n n ected by t h e loca l actio n of cata lysts, re p l i
cat i n g structu res b l i n d ly expl o ri n g a s pace of pos s i b i l ities. T h e fol lowi n g
c h a pter focuses o n l a ngu age , of a l l t h e d i ffe re nt m a n i festat i o n s of h u m a n
cu ltu re , n o t o n ly beca use i t is t h e o n e struct u re t h at ma kes u s u n iq u e
a m o n g l i v i n g creatu res, b u t a l so beca use l i ngu istic structu res h a ve u nd e r
go n e a s i m i l a r p rocess of i ntense h o m oge n izatio n , i nvol v i n g a variety of
i n stituti o n s , s u c h as a ca de m ies and schools, n ews papers and n ews age n
cies. O u r explorati o n of t h e ro u t i n izatio n a n d u n ifo r m at i o n of l i n g u i stic
mate ri a l s wi l l revea l t h at an eve n wid e r segm e n t of the pop u l atio n of i n sti
t u t i o n s was i n volved in creati n g th e h om ogen ized wo rld we i n h a bit tod ay.
179
-
--
-
L inguistic History:
1000-1 700 A . D.
H u m a n l a n g u a ges a re d ef i n ed
by t h e s o u n d s , word s , a n d
g ra m m at i ca l co n st r u ct i o n s t h at
s l owly acc u m u l ate i n a g i ve n
com m u n i ty ove r c e n t u r i es .
T h ese c u l t u ra l m ate ri a l s d o
n ot acc u m u l at e ra n d o81 ly b ut
rat h e r e n t e r i nto syste m at i c
re l at i o n s h i ps wit h o n e a n ot h e r,
a s we l l a s wit h t h e h u m a n b e
i n gs w h o s e rve a s t h e i r o rga n i c
s u pport . T h e " so n i c m atte r " of
183
3: M�M�S AND NORMS
a g i ve n l a n g u age (the pho n e m es of Fre n ch o r
E n gl i sh, fo r i n sta n c e ) i s n ot o n l y st r u ct u red
i n te r n a l ly, fo r m i n g a syste m of vowe l s a n d
co n s o n a n ts i n whi ch a cha n ge i n o n e e l e m e n t
a ffe cts eve ry oth e r on e , b u t a l s o so c i oe co
n o m i c a l ly: s o u n d s a cc u m u l a te i n a s o c i ety fo l
l ow i n g c l a s s o r ca ste d i v i s i o n s , a n d , together
w i th d re s s a n d d i et , f o r m an i nte gra l pa rt
of the syste m of t ra i t s whi ch d i ffe re n t i ates
so c i a l strata . A si m i l a r p o i nt ca n b e m a d e
a bo u t l e x i ca l m ate r i a l s a n d gra m m at i ca l pat
te r n s . As the s o c i o l i n g u i st W i l l i a m La bov ha s
o b s e rve d , a l a n g u a ge com m u n i c ates i n fo r m a
t i o n n ot o n ly a bo u t the wo r l d b u t a l s o a bo u t
the gro u p - m e m b e rsh i p o f i ts hu m a n u s e rs . l
Thi s s ect i o n o u t l i n e s the b ro a d h i story of
l i n g u i st i c a cc u m u l at i o n s i n E u ro p e b etwe e n
1000 a n d 1 70 0 A . D . a n d the m o re o r l ess sta
b l e e n t i t i e s they gave r i s e to , pa rt i c u l a r ly
whe n l i n g u i st i c m ate r i a l s a cc u m u l at e d w i th i n
the wa l l s of a c i ty o r tow n . T h u s , a s the
s o u n d s , wo rd s , a n d co n st r u ct i o n s co n st i t u t
i n g spoken Lat i n s e d i m e n te d i n the e m e rg
i n g u r b a n c e n t e rs of the s o u the r n re g i o n s
o f E u ro p e , they w e re s l owly tra n s fo r m e d i nto
a m u lt i p l i c i ty of d i a l e cts , ce rta i n of whi ch
eve n t u a l l y d eve l o p e d i n to m o d e r n Fre n ch ,
184
LINGUISTIC HISTORY: 1000-1700 A . D.
S p a n i sh, Po rt u gu es e , a n d I ta l i a n . (A n d a s i m i
l a r p rocess tra n s fo r m e d the G e rm a n i c b ra n ch
of I n d o - E u ro p e a n d i a l e cts i n to v a r i o u s m o d
e r n to n g u es , i n c l u d i n g E n gl i sh, G e r m a n , a n d
D u tch . )
H e re w e w i l l e x p l o re the i d ea that the d i f
fe re n t st r u ct u re -ge n e rat i n g p rocesses that
re s u l t i n m eshwo r k s a n d h i e ra rchi es m ay a l s o
a cco u n t for the syste nl at i c i ty that d e f i n es
a n d d i st i n gu i shes eve ry l a n g u a ge . I n pa rt i c u
l a r, e a ch vow e l a n d co n s o n a n t , e a ch s e m a n t i c
l a b e l a n d syn ta ct i c patte r n , w i l l b e tho u ght
of a s a replicator, that i s , a s a n e n t i ty that i s
t ra n s m itted f r o m p a re n ts t o offs p r i n g ( a n d to
new s p e a ke rs) as a n o rm or social obligation.
A v a r i ety of soc i a l a n d gro u p d y n a m i cs p ro
v i d e s the se l e ct i o n p ress u res that s o rt o u t
thes e re p l i ca t o rs i n to m o re o r l e ss ho m o
ge n e o u s accu m u l a t i o n s . The n , othe r so c i a l
p rocesses p rov i d e the " c e m e n t " tha t ha rd e n s
thes e d e pos its of l i n gu i st i c s e d i m e n t i n to
m o re o r l ess sta b l e a n d st r u ct u re d e n t it i es .
Thi s i s n ot , o f co u rs e , a n ew i d e a . I n d e e d , i t
wou l d s e e m t o b e the b a s i c a s s u m pt i o n
behi n d s eve ra l s chool s o f hi sto r i c a l l i n gu i st i cs ,
eve n i f i t i s n ot a rt i c u l a t e d a s s u ch . Th i s i s
pa rt i c u l a rly c l e a r i n the ro l e that isolation
185
3: MEMES AND NORMS
p l ays i n t h e se t h eo ries. M u c h as re p rod uct ive isolation co n solidates l oose
accu m u l atio n s of ge nes i nto a n ew a n i m a l o r p l a n t species, communica
tive isolation t ra n sfo r m s accu m u l a ti o n s of l i ngu i stic rep l i cato rs i nto sepa
rate e ntities. I n the word s of t h e evo l ution ary l i ngu i st M. L. S a m u e l s :
I t i s . " the m e re fact of isolation o r separation o f gro u ps that acco u nts fo r
a l l s i m p l e r k i n d s of [li ngu istic] d ive rsity. Co m pl ete separatio n , whether
t h rough m igratio n o r geogra p h ical o r other barriers, m ay resu lt i n d i a l ects
being no lo nge r m ut u a l ly i ntel l igi b l e ; a n d t h u s , if t h e re is no sta n d a rd lan
gu age to serve as a l i n k between t h e m , new la ngu ages co m e i nto bei ng.
Lesser d egrees of isolatio n res u lt i n what is known as a d ia lect conti n u u m
a series of systems in wh ich those n earest a n d most i n co ntact show o n ly
s l i ght d iffe rences, w he reas t h e whole conti n u u m , w h e n co nsidered fro m
e n d to e n d , m ay s h ow a l a rge degree of total va riatio n . Dialect co nti n u a a re
normally " h o rizontal" i 6-d i lTi e n s i o n ; l : e . they occu py a regi o n i n w h ich fre s h
d i ffere nces . . . co nti n u a l ly a p pe a r as o n e proceeds f r o m o n e village to t h e
next; but i n l a rge town s t hey m ay also be "vertical," i . e . the diffe rent
groups b e l o ng to d ifferent socia l strata i n the social sca le . 2
T h u s, t h e flow o f n o rm s t h rough ge n e ratio n s ( a n d ac ross co m m u n ities)
may re s u lt i n both m e s hwo rks a n d h i e ra rc h ies. A conti n u u m of d i a l ects i s
a m e s hwo r k l i ke col lectio n of hete roge n eo u s eleme nts t o t h e exte nt t h at
each d i alect reta i n s its i nd i vi d u a l ity a n d is a rti c u l ated with t h e rest by
ove r l a p p i n g with its i m m e d i ate n e igh bors. It is t h is a re a of ove rl a p - th e
co m m o n sou n d s , word s , a n d constructio ns betwee n n e a rby d i a lects
t h at a rticu l ates t h e whole without h o moge n izat i o n : two d i a l ects o n t h e
outskirts of t h e conti n u a m ay be q u ite d i ffe re nt (o r eve n m ut u a l l y u n i ntel
l igi ble), and yet t h ey a re co n n ected to each ot her t h ro ugh i n termed i ate
d i a l ects. For i n st a n ce , t h e d i a l ect of m e d ieva l Pa ri s ( n ow refe rred to as
"Francien") was co n n ected to t h e d om i n a nt d i alect of I taly (Tu sca n) by
m a n y i nte r m e d i ate fo r m s : a w h ol e set of F re n ch , Fra nco- P rovenr;al, a n d
G a l l o- I ta l i a n d i a lects . ( R a t h e r s h a rp t ra n s itions, o r isoglosses, do occ u r i n
t h i s conti n u u m .) 3
Co n ve rse ly, t h e d o m i n a n t varia nts o f the l a ngu age of a given c ity, as
we l l a s d i a l ects t h at h ave beco m e " st a n d ard" (su c h a s written Lat i n in the
M id d l e Ages), are rel atively h o m oge neou s e ntities, in which t h e norms
h ave been fixed e i t h e r t h ro ugh t h e d e l i berate
i nte r ve nt i o n of an i n stit u t i o n (in the case of "sta n da rd s" ) or by the " pe e r
p ress u re" exe rcised by the m e m be rs of a soci a l strat u m o n e a c h oth e r.
T h e se m o re o r less u n ifo r m accu m u lati o n s of n o r m s a re ra n ked acco rd
i ng to t h e i r p restige, with the sta n d a rd l a nguage a n d the e l ite 's d i a lect
186
LINGUISTIC HISTORY: 1000-1700 A . D.
occ u py i n g t h e top of t h e pyra m i d . Of cou rse , h e re as e l sew h e re , o n ly mix
tures of mes hwo rks a n d h i e ra rc h ies a re fo u n d i n rea l ity, a n d a ny give n
d i a l ect l i kely belo ngs s i m u lta n e o u s ly to a vertical h iera rchy a n d to a h o r i
zo nta l conti n u u m .
T h e acce l e rati o n o f city b u i l d i ng i n t h e yea rs 1000-1300 affected i n
m a ny ways t h e l i ngu istic mate r i a l s t h at h a d accu m u l ated i n E u rope i n t h e
p revi o u s m i l l e n n i u m . I n t h ose t h ree ce ntu ries t h e R o m a nce l a n gu ages
were cryst a l l iz i n g i nto the fo rms wit h w h i c h we a re tod ay fa m i l i a r. T h ese
sta ble e n tities e m e rged from the conti n u u m of spoken-Lat i n d i a l e cts
which coexi sted with the sta n d a rd writte n fo rm in all t h e a reas t h at had
bee n s u bjected to t h e i m pe ri a l rule of Rome. In terms of prestige, the
ho moge n ized sta n d a rd was c l e a rly at t h e to p (a n d wo u l d conti n u e to be
u nt i l the seve nteenth centu ry), but soci a l su perio rity did n ot tra n s l ate
i nto l i ngu i stic p ro d u ctivity: the writte n fo r m , p recisely beca u se of its
m u c h-ad m i red "froze n " body of n o rm s , was l a rge ly ste r i l e , i n ca pa ble of
givi ng b i rt h to n ew l a ng u ages. The meshwork of " v u l g a r" L at i n , on t h e
oth e r h a n d , conta i n e d sou n d s , word s , a n d co n struct io n s t h at re p l icated
with variation a n d we re t h e refo re capable of fu e l i ng l i ng u i st i c select i o n
p rocesses a n d gen e rati ng n ew structu res. As t h e soci o l i ngu i st A l be rto
Va rva ro p uts it, the d i ve rgence of the d i a lects that wo u l d beco m e
R o m a nce l a ngu ages bega n centu ries e a rl i e r a n d was k e pt i n c h eck o n ly
by t h e power of the p restigio u s spoken n o r m of R o m e :
I n I m pe rial ti m es the l i ngu istic wo rld of Latin h ad several i m po rtant prop
erties: a m i n o rity e n d owed with e no rmous pol itica l , soci a l , eco n o m ic a n d
cult u ral p restige w a s a bsorb i n g a l a rge m ajo rity who we re l ess a n d less con
v i n ced of their own o rigi nal and d iverse ide ntities . . . I n fact, o n ly Basq u es
.
and B reto n s avoided Lat i n izati o n ; even the Germans, despite the fact that
they now h e l d power, gave way to this tre nd in a l l the a reas where they we re
n ot i n a majority. Yet, if we go back to the ce ntu ries of the E m p i re , the Lati n
s po k e n b y these rece ntly Lati n ized masses u n d o u bted ly tol e rated i n fringe
ment of the n o rm . . . , Like a l l n o n sta n da rd p he n o m e n a i n a l l l a nguages ,
some we re widely tole rated a n d s o m e less s o , and some we re re p ressed as
b e i n g too p o p u l ar (socia l ly a nd/or geogra p h ical ly).4
This state of affa i rs , i n w h i c h variat i o n with i n t h e m e s hwork was k e pt
from d iverg i n g too m u c h , c h a nged rad i ca l ly with t h e col l a pse of t h e
Ro m a n E m p i re a n d t h e co n co m itant wea k e n i ng o f t h e h i e ra rc h i c a l n o rm .
T h i s res u lted, a cco rd i ng t o Va rvaro, i n "the loss o f t h e centri pet a l o r i e nta
tio n of the vari atio n . " 5 I n the centu ries l e a d i ng to the seco n d m i l l e n n i u m ,
o n ly a m o n g t h e feu d a l a n d ecclesiastica l e l ites i n t h e d i ffe rent regi o n s
187
3: MEMES AND NORMS
was t h e re a ny sense of " u n iversa l i s m " with respect to t h e Lat i n l a ngu age .
The r u ra l m asses were left free to rei nvent t h e i r l a ngu ages a n d to fo rge
local i d e ntities . T h e q u e st i o n n ow i s , At what poi nt i n t i m e d id t h e speak
ers of t h e se d iverg i n g d ia l ects begi n to "feel" t h ey were u si ng d ifferent
l a ngu ages? Before the year 1000, with o n e exce ptio n , h a rd ly a ny of t h ese
low-p rest i ge d i a lects had a d efi n ite name o r i d e nt ity. " T hese fo r m s m ay
h ave been n a m e d by t h e n a m e of a v i l l age or d i strict, w h e n n eed a rose,
b u t m o re proba bly never received a n a m e at a l l ."6 M ost l i kely, all t h e se
people p e rceive d t h e ms elves as s pea k i ng t h e sa m e l a nguage , t h e spoken
version of sta n d a rd written Lati n . L i ngu i stic self-awa re n e ss (as we l l as t h e
n a m es o f t h e new e n t ities) req u i red c u l t u ra l d i st a n ce fro m t h e l i ngu i stic
mes hwo rk in which t hese Lati n ized m a sses were i m me rsed a n d viewi ng
the whole fro m a h i e ra rc h ical point of view. N ot u nt i l the yea r 813 was t h e
fi rst n a m e fo r a v u lgar v a r i a nt i ntrod u ced : " R u stica R o m a n a , " w h i c h l ater
became v e r n a c u l a r O l d F r e n c h .
T h i s i nt ro d u ct i o n , a n d t h e awa reness of l i ngu istic d iverge nce t h a t i t
i m pl i e d , ca m e i n t h e context of t h e l i ng u i stic refo r m s t h at t h e court o f
C h a rl e magne i ntrod u ced i n t h e n i nt h centu ry. T he s pecifi c a i m of t h e C a r
o l i ng i a n refo r m s was to reverse t h e " e rosion" of wri tt e n Lati n , as wel l a s
t o s e t sta n d a r d s o f p ro n u n ci ation f o r t he rea d i ng of L at i n aloud , p a rticu
l a r ly w h e n read i n g from t h e Bible. U n l ike t h e sponta n e o u s evo l ution of
d ia l ects, t h i s act of sta n d a rd izat i o n i nvolved a d e l i berate act of p l a n n i ng
a s we l l as a significant i n vestm ent of resou rces (ed u catio n a l , pol itical) to
give weight to t h e n ew sta n d a rd s :
T h e trad ition o f rea d i ng Lati n aloud as a n a rtificial l a n guage, a sound fo r
each written l etter . . . h a s the a i r of being obvious, a n d as though it had
bee n fo rever present. But someone, somewhere, had to e sta b l i s h that as a
sta n d a rd ized n o r m , fo r it co u ld not a rise n atura l ly i n a n ative R o m a n ce
com m u n ity. T h e re was a conti n u ity through the years betwee n Carol i ngia n
a n d I m pe r i a l Latin i n the voca b u l a ry a n d syntax of the e d u cated , for these
cou l d a lways be res u rrected from classical books by a ntiq uarians, but w hat
we n ow t h i n k of as trad itio n a l Lati n p r o n u nciation had no s u c h d i rect co nti
n u ity with that of the E m p i re J
T h e Carol i ngi a n reform s were i n s u fficient i n t h e m se l ves t o create sta
ble e ntities with sta b l e n a m e s out of t h e c h a ngi ng " so u p" of the d ia l ect
conti n u u m , a n d sev e ra l oth e r p l a n n e d i nte r ve ntio n s were n ecessa ry to
p reci p itate t h e evol ution of R o m a nce vern acu l a rs . I n t h e centuries a fter
the refo r m s, h i e r a rc h i e s of towns bega n to fo rm w i t h i n creasi ng i nte n
s ity from the eleventh centu ry o n , and t he loca l d i a lects of each of t hese
188
LINGUISTIC HISTORY: 1000-1700 A.D.
u rba n settl e m e nts acq u i red a d egree of p restige co m m e n s u rate to its
ra n k . The most p restigi o u s d ia l ects we re t hose of regi o n a l cap ita l s (Flo
rence, Pa ris) a n d core gateways (Ven ice). S i m u lta n eo u s ly, t h e i nt e n s i fica
tion of comm e rcial and gove r n m e nt a l activity wit h i n t hese and ot h e r
towns bega n t o create ( o r reactivate) a m u lt i p l icity of n ew uses for written
language. Lice n ses, certificates, petit i o n s, d e n u nciatio n s, w i l l s , a n d post
m o rtem i n vento ries bega n to be writte n with i n crea s i n g freq u e n cy a n d
kee p i n g reco rds beca m e p a rt o f t h e d a i ly ro uti n e o f every m e rc h a nt o r
b u rea u c rat. 8
At t h e t i m e of t h e C a rol i ngi a n refo rm s , a l l fo u r d o m a i n s of p ractical
l iteracy - b u s i n ess, gove r n m e nt, c h u rc h , a n d h o m e - we re d o m i n ated by
sta n d a rd Lati n . But t h e rise i n d e m a nd for writi ng s k i l l s fo rced u rba n
e l ites, p a rti c u l a rly t hose w h o s po k e t h e most p restigi o u s d i a lects, t o d evise
fixed o rt hogra p h ies fo r t h e i r spo ken l a nguage s and to e n fo rce them as
a sta n d a rd . Acco rd i ng to the l i ngu istic h i sto r i a n R i c h a rd Wright, writ i ng
syst e m s (s u c h as t h at of O l d F r e n c h ) d i d not evolve spo nta n eo u sly b ut
we re t h e res u l t of a p l a n ned resp o n se to specific p ro b l e m s of co m m u n i ca
tio n . 9 The deve l o p m e nt of writte n fo rms of the various ve rn acu l a rs , i n
tu r n , acted a s a co n servative p ress u re o n u rb a n d i a l ects, red u c i ng va ri a
tion a n d h e n ce s lowi ng down t h e i r evol utio n . T h i s dece l e ration may h a v e
been pe rceived b y co nte m p o ra ry spea kers of a g i v e n d i a l ect a s t h e e m e r
ge nce of a sta b l e e ntity, a n i m p ressi o n re i nfo rced by t h e m o re or less
s i m u lt a n eou s a ppeara nce of a name fo r t h e writte n fo r m . B u t it i s not t h e
case t h at spea kers o f a d ia l ect h a d beco m e awa re of its d ive rge n ce from
spoken Lat i n and t h i s awa re ness p rovo ked them to devise a l a be l fo r t h e
n ew l a ngu age. T h e d ive rge n ce d id i nd eed exist a s a n o bjective p h e n o m e
n o n , b u t it was too slow a n d fuzzy ( i . e . , Lat i n d ive rged i nto a conti n u u m
o f d i a l ects) t o b e d i rectly pe rceived without a n i n st itutio n a l i nterventio n .
T h e p rocess t h rough w h i c h t h e e m e rging R o m a nce l a nguages acq u i red
n a m es raises so m e i nterest i n g q u esti o n s rega r d i n g the n atu re of " n a m
i ng" i n ge n e ra l . Accord i n g to G ott i o b F rege's sti l l- i n f l u e nt i a l t h e o ry, t h e
co n n ecti o n betwee n a g i v e n n a m e a n d i t s refe rent i n t h e rea l w o r l d i s
effected t h rough a m e nta l e ntity (o r psyc hological state) t h at w e ca l l "t h e
m ea n i n g" o f t h e n a m e . (F rege ca l l ed it t h e " s e n se" o f a n a m e , a n d Fer
d i n a nd de Sa u ssu re, h i s contem porary, ca l l ed it t h e " sign ified .") T h i s
m e a n i ng, o n ce gra s ped b y a speaker, i s su p posed t o give h i m o r h e r
" i n st r u ct i o n s" (n ecessary a n d sufficient cond iti o n s) t o i d e ntify t h e object
or eve nt t h at the n a m e refe rs to. So, fo r exa m p l e , the m ea n i ng of t h e
word s "tige r" o r "zeb ra" a l l ows t h e i r u se rs t o gras p t h at w h i c h a l l tigers
or ze b ra s h ave in co m m o n (i . e . , t h at w h i c h m a kes them mem bers of
t h at catego ry) a n d h e nce e n d ows s pea kers with the a b i l ity to u se t h e
189
3: MEMES AND NORMS
n a m e s co rrectly ( i . e . , to a p p ly t h e m to t h e right catego ry of e n t i t i e s). l0
T h e p r o b l e m h e re i s , of c o u rse , t h a t t igers or ze b r a s do not have a n
e sse n ce i n com m o n . T h ey a re h i sto rica l co n st r u ct i o n s , m e re agglo m e ra
t i o n s of a d a pt i ve tra its t h at h a p pe n to h ave co m e toget h e r t h ro u g h evo
l u ti o n a n d acq u i re d sta b i l i ty (at l e a st, e n o u gh fo r u s to n a m e t h e m )
t h ro u g h re p ro d u ct i ve i so l a ti o n . H owe ver ge n et i ca l ly h o moge n ized t h ey
m ay be, t h e exte r n a l a p p e a ra n ce of t h e se a n i m a l s sti l l reve a l s a w i d e
ra nge o f v a r i a ti o n , a n d , h e n ce , l i ke d i a l e cts, t h ey fo r m a co n t i n u u m of
ove rl a p p i ng fo r m s .
A r i v a l t h e o ry of refere n ce h a s be e n p u t f o r t h b y severa l p h i l oso p h e rs,
i n c l u d i ng S a u l K ri p ke a n d H i l l a ry P u t n a m , w h o d e e m p h a s i ze the " i n s i d e
t h e h e a d " a s p e cts of refe re n ce a n d stress t h e h i sto rica l a n d soc i a l
a s pects of l a ngu age . T h e b a s i c i d e a i s t h at a l l n a m e s w o r k l i ke p hysi ca l
l a b e l s : t h ey do not re fe r to a n o bj ect v i a a m e n t a l e n t ity; b u t d i rectly,
t h e way t h e wo rd " t h i s" d oe s . (T h i s is tec h n i ca l l y ex p ressed by sayi ng
t h a t a l l n a m e s h ave an " i n d e x i c a l co m po n e n t" and h e n ce t h at t h ey a re
a l l l i ke p ro p e r n a m e s . ) N a m e s m a nage to " st i c k" to t h e i r refe re n ts
beca u se of t h e p res s u re s t h a t s p e a ke rs pl a ce o n o n e a n o t h e r : t h e re i s a
ca u s a l c h a i n l e a d i n g fro m my u s e of a wo rd , to t h e u se by t h e p e rs o n
who ta u g h t i t t o m e , to t h e u s e by h i s o r h e r te a c h e r, a n d so o n , a l l t h e
way to t h e o r i gi n a l " b a pt i s m a l cere m o n y" t h at i nt rod u ced t h e l a be l . ll
H e n ce , o n e 's c u r re nt u sage o f a term i s " co r rect" o n ly t o t h e exte nt t h a t
i t i s co n n ected t o t h e w h o l e history of uses of a n a m e . Acco rd i n g t o t h i s
t h eo ry, n a m e s d o n o t give every s p e a k e r t h e m e a n s t o specify refe re nt s :
fo r m a ny word s , o n ly certa i n expe rts ca n co n fi r m t h e a ccu racy of t h e
u sage . F o r exa m p l e , i f t h ro u g h ge n et i c e ngi n e e r i n g we co u l d b u i l d a n i m a l s
t h a t l oo k ed l i ke t i ge rs o r z e b r a s b u t were a ge n et i c a l l y d i st i nct s pecies,
the m e a n i n g of "tige r" and "zebra" wo u l d be of l itt l e help to esta bl i s h cor
rect refe re n ce . We wou l d h a ve to rely, as P u t n a m says, on a soc i a l d i vi
sion of l i n gu i s t i c l a b o r w h i c h gi ves gro u p s of experts (ge n e t i ci sts, in t h i s
case) t h e a u t h o r i ty t o co n fi rm w h et h e r o r not s o m et h i n g i s t h e a ct u a l ref
e r e n t of a wo rd , as d e te r m i n e d at i t s b a p t i s m a l i n trod u ct i o n .
P u t n a m d o e s n o t d e ny t h a t w e ca rry ce rt ai n i n fo r m a ti o n i n o u r h e a d s
regard i ng a ref ere n t , s u c h a s a f e w i d e n t i fyi ng t ra its fo r ti ge rs (be i ng
q u a d r u pe d a l a n d ca r n ivo ro u s , be i n g yel l ow w i t h b l a ck stri p e s , a n d so o n ) .
B u t t h ese i t e m s a re i n m a ny cases overs i m p l i ficati o n s ( h e c a l l s t h e m
"ste reotypes"), a n d fa r fro m re p res e n t i ng s o m e esse nce t hat w e gra s p ,
t h e s e stereoty p e s a re m e re ly i n fo r m a ti o n t h a t w e a re u n d e r a social oblig
a tion to l e a r n w h e n we acq u i re t h e word . 12 H e nc e , several socia l facto rs
co m e i nto p l ay i n expl a i n i n g h ow l a b e l s "sti ck" to t h e i r refe re n ts : t h e h i s
to ry of t h e a cc u m u l ated u ses of a wo rd , t h e ro le of expe rts i n determ i n -
190
LINGUISTIC HISTORY: 1000-1700 A.D.
ing its refe r e n c e , and the o b l igato ry acq u i s i t i o n of certa i n i n fo r m a t i o n
w h i c h co u nt s a s part of o u r a b i l ity to u s e t h e word .
T h e c a u s a l t h e o ry of refe re nce m ay be u se d to i n crease o u r u n d e r
sta n d i ng of l i ng u i stic h i sto ry i n two d i ffe rent ways . On t he o n e h a n d , by
e m p ha s i z i n g t h e soci a l p ra ct i c e s i n v o l ve d i n fix i n g t h e refe re nc e of a
te r m , n o n d i scu rsive p ra ct i ces t h at i nt e r ve n e i n re a l i ty beco m e e s p e c i a l ly
i m p o rta nt. T h u s , success f u l refe re n ce is not p u re ly l i n gu i s t i c a n d e n t a i l s
ex p e rtise i n t h e m a n i p u l ati o n a n d tra n sfo r m a t i o n of t h e obj e cts a n d
eve nts w h i c h serve as t h e refe re nts of wo rds - rega rd l e ss of w h e t h e r
t h i s ex p e rt i s e i s co nce n trated i n a s m a l l n u m b e r of p e o p l e d u e t o
d i v i s i o n of l a b o r. I n t h e pa rti cu l a r c a s e of t h e n a m e s of t h e R o m a nce
l a n g u ages, t h i s i n te r ve n t i o n in real ity too k t h e fo rm of expe rt gra m m a ri
a n s a sse ssi ng d e g r e e s of d i ve rge nce a m o ng d i a l e ct s a n d d e v i s i n g
s pe l l i ng sta n d a rd s . It a l so i n vo lved i n stituti o n a l e n fo rce m e n t of t h ese
sta nd a r d s , re s u l t i n g in the a rt i fi c i a l i so l at i o n of some d i a l ects a n d t h e
c o n seq u e n t i n crease i n t h e i r sta b i l ity a n d d u ra b i l ity. O n t he ot h e r h a n d ,
by s h owi n g t h a t t h e m e a n i ng o f a wo rd is n ot w h a t a l l ows its u se rs to
d ete r m i n e its co rrect refe r e n ce , i m p l i e s t h a t n ot h i n g i n t h e m e a n i ngs of
t e r m s l i ke " F r e n c h d i a l e ct" or " F r e n c h l a ngu age" (refe rri n g to t h e
d esce n d a nts of Occitan a n d F ra n ci e n , res p ect i v e ly) ca n h e l p u s e sta b
l i s h s o m e e ss e n t i a l d i ffere n c e betwee n t h e m . O u r u se of t h e t e r m
" F re n c h l a ngu age" wo u l d be correct to t h e ext e n t t h at it co n fo r m s to t h e
h i st o ry o f its u s e s , a h i sto r y w h i c h b ega n w i t h a n i n st i t u ti o n a l ba pti s m ,
a n d d oe s n ot d e p e n d o n o u r gra s p of s o m e e s s e n t i a l featu res of F r a n
ci e n . ( F ra n c i e n d i d p o s s e s s c e rta i n d i sti ngu i s h i n g feat u re s , b u t t h ese
featu res we re s h a re d by m a ny n e a rby d i a l e cts and, h e nce, did n ot
d ef i n e t h e esse n tia l i d e n ti ty of t h e d i a l e ct of P a r i s . ) I n t h i s s e n s e , w e
m ay rega rd t h e d i st i n ct i o n betwe e n " d i a l ect" a n d " l a ngu age" a s co m
p l etely a rt i f i ci a l , d ra w n by soc i a l co n se n s u s , and w h ateve r feat u re s u s e r s
a ssociate w i t h t h e l a b e l " F re n c h l a n gu a ge" ( a n esse nti a l " c l a r i ty" o r
" rati o n a l ity," fo r exa m p l e ) , a s not h i ng m o re t h a n a ste reotype t ra n s m it
ted t h ro u g h soc i a l o b l i gati o n . 1 3
T h e co n cept of soci a l o b l igati o n i s c r u c i a l to an u n d e rsta n d i ng of n ot
o n ly n a m i n g b u t l a n g u age its e l f . If sou n d s , wo rd s , a n d co n st r u ct i o n s
a re i n d e e d re p l i cato rs, a n d if, u n l i ke m e m e s , t h ey d o n ot r e p l i cate
t h ro u g h i m itati o n but t h ro u g h e n fo rced repetiti o n , t h e n t h e key q u e stio n
b e com e s , H ow exactly a re l i ngu i s t i c n o r m s e n fo rced? I n w h a t s e n s e a re
t h ey s o ci a l ly o b l igato ry? T h e s p e c i a l case of sta n d a r d i zed n o r m s offers
n o d i ffi c u lty s i n ce the e n fo rce m e n t is p e r fo r m ed by i n stitu t i o n s , i n cl u d i ng
s c h oo l s a n d cou rts a n d gove r n m e n t a l offices, w h e re t h e sta n d a rd i s u se d
t o carry o u t eve ryd ay a ct i v i t i e s . B u t w h a t a b o u t t h e p o p U l a t i o n of n o r m s
191
3: MEMES AND NORMS
that fo rm t h e d i a lect conti n u u m ? Soci ol ing u i sts answer t hat, with res pect
to d i al e cts, it is i nfo r m a l soci al networks that operate as enforcement
mechanisms. 14
To stu dy t h e social n etwo rk of a town where a p a rti c u l a r d i a l ect is spo
k e n , one wo u ld com p i l e fo r every i n h a bitant the l ist of his or her f ri e n d s ,
a s wel l as fri e n d s of f ri e n d s . Certa i n p roperties o f t h e se two c i rcles wou ld
t h e n be a n a lyze d : H ow we l l do t h e f ri e n d s of an i n d iv i d u a l ( a n d t h e
friends o f h i s o r h e r f ri e n d s) k n ow o n e a noth e r? D o t h ey i nte ract with
each ot h e r in m u lt i p l e ca pacities (as n e igh bors, co-wo r k e rs, kin) o r o n ly i n
spec i a l ized circu msta nces? H ow l i kely i s it that t h ey wi l l re mai n with i n the
n etwo r k afte r they m ove u p or d own t h e socioeco n o m i c h iera rc hy? T hose
n etwo rks w h e re t h e re is l ittle social mobil ity and w h e re the m e m b e rs
d e pe n d on each ot h e r soci a l ly or eco n o m i cally a re ca l l ed " h igh-den sity"
(o r "cl osed '�) n etwo r k s . 15 .
S m a l l m e d ieva l tow ns a n d v i l lages wo u l d l i kely h ave been po p u l ated
by one o r m o re h igh-den sity netwo rks, and cl osed netwo rks sti l l exist in
wo r k i ng-class and eth n ic com m u n ities in mod e r n cities. On the oth e r
h a n d , t h ose tow ns i n the M i d d l e Ages w h e re a m i d d le cl ass w a s fo rm i ng
a n d social m o b i l ity i n c reas i ng we re c h a racte rized by low-d ensity (o r
" o p e n " ) n etwo r k s. (N eed less to say, any given town m ay co nta i n both
extre m es and a variety of netwo rks of i ntermed i ate de ns ity.) Fo r our p u r
poses h e re , w h at m atters is that h igh-d e n s ity netwo rks a ct as efficient
m ec h a n isms fo r e n fo rc i n g soci al o b l igat i o n s . An i n d ivid u a l belo ngi ng to
s u ch a co m m u n icat i o n n et d e p e n d s on oth er m e m b e rs n ot o n ly for
sym bol ic exc ha nges b u t also fo r t h e excha nge of goods and services.
The o n ly way to prese rve o n e 's pos ition in a netwo rk, a nd h e nce to e njoy
th ese rights, is to h o n o r o n e's o b l igati o n s , a n d t h e fact that everyo n e
k n ows each ot h e r m e a n s t h at a n y violati o n o f a gro u p n o r m q u i ckly
beco m es com m on k n owledge . In s h o rt, d e n s ity itself a l lows a n etwo r k
t o i m pose n o r m ative co n se n s u s o n i t s m e m bers .
H igh-d e n s ity netwo rks are espeC i a l ly i m po rta n t to sociol i nguistics
beca u se t h ey p rov i d e rese a rc h e rs with a n swe rs to t h e q u estion of how
local d i a l ects a re a b l e to s u rvive d e s p ite t h e p ressu res of an i n stitutio n a l
sta n d a rd . ( H ow, fo r exam p l e , h a v e so m a n y d i a l ects o f F r e n c h su rvived
to this day when the mass media and the system o f co m p u lsory ed uca
tion relentl essly pro m ote sta n d ard F re n c h ?) The a n swe r is that la ngu age
co nveys n ot o n ly refere nti a l i n fo rmat i o n but i nfo r m ati o n a bout gro u p
m e m be rs h i p. T h e sou n d s , l exico n , a n d gra m mat ica l patte r n s c h a racteris
tic of a local d i a lect a re p a rt of t h e s h a red va l u es t h at b i n d t h e m e m b e rs
of a d e n se n etwo rk toget h e r a n d he nce com m u n icate i nfo rmation about
s o l i d a rity a n d loya lty. I n tech n i cal terms, th e repl icato rs that cha racterize
192
L I NGUISTIC HISTORY: 1000-1700 A.D.
t h e d i a lect of a dense netwo rk are said to be tra nsm itted as a h ig h ly
focused set of n o r m s , w h i l e t h e d i alects of t h e u pwa rd ly m o b i l e m id d le
classes flow as mo re diffuse sets of no rm s . Pa rad oxica l ly, t h e gro u ps
i n t h e very top soci a l strat u m (wh e re , by d efin iti o n , n o u pward m o b i l ity
is poss i ble) fo rm d e n s e netwo rks, too, a n d t h e n o rms of t h e i r d i a l ects
a re also h ig h ly focu sed. T h e d i ffe rence is, of co u rse, t h a t the n o r m s of
e l ite d i a l e cts a re h i g h ly prestigi o u s w h i l e t hose of local d i ale cts a re n ot,
and m ay even be soc i a l ly stigm atized . 16 The oth e r d iffere nce is that
e l ites, afte r m a ki ng t h e i r d i a l ects t h e sta n d a rd s , have access to t h e i n sti
tuti o n a l means to i m pose t h e i r norms on a m u c h wid e r s pe e c h co m m u
n i ty, parti c u l arly on t hose with aspi rat i o n s of u pwa rd m o b i l ity w h ose
d i ffuse l i ngu istic n o r m s are pro n e to s u cc u m b to sta n d a rd izatio n .
T h e not i o n of an i n fo r m a l soci al n etwo r k is also h e l pfu l i n u n d e rstan d
i ng t h e ro l e t h at i n d i v i d u a l s (a nd the styl istic v a r i a t i o n s t o w h i c h t h ese
i n d i vid u a l s give rise) p l ay in the evo l utio n of la ngu age . As La bov notes,
a given i n d ivid u a l va r i a n t d oes not e nter this evo l utio n a ry process u nt i l
it h as sta b i l ized i n a po rti o n of a com m u n icati o n n etwo rk - that i s , u nt i l i t
has beco m e collective. I n o t h e r wo rd s, the sou rce o f l i ngu istic c h a nge is
n ot t h e id iosyn c rati c h a b its of an i n d ivid u a l ( a n d certa i n ly n ot w h at goes
on i ns i d e h i s or her head) but a v a r i a nt patte r n s h a red by a gro u p a n d
u sed t o co m m u n icate w i t h ot h e r gro u p sY From t h i s poi nt of v i ew, speak
e rs a re not eva l u ated acco rd i ng to thei r i n d ivid u a l psyc h ological pro p e r
ties b u t a cco rd i ng to t h e prope rties of the l i n kages t h at b i n d t h e m to o n e
a n o t h e r. l8 G iven a n etwo r k o f a certa i n d e n sity, t h e h ig h e r t h e local pres
tige of a n i n d ivid u a l , o r the l a rge r the n u m be r of h is or her co nta cts , t h e
m o re l i kely i t is that a v a r i a nt o rigin ated b y t h at i n d ivid u a l w i l l beco m e
co l l ective a n d event u a l ly become p a rt o f t h e accu m u l ated h e ri tage.
I n s u m m a ry, we m ay pictu re med ieva l E u rope as a la rge po p u l ation of
re p l icating l i ngu istic norms u n d e rgo i ng a variety of transfo r mations a n d
selectio n pressu res : becom ing m o re focu sed i n so m e areas a n d m o re d i f
fuse i n ot hers, retain i ng a mes hwo r k of co n n ecti o n s i n some p arts w h i l e
e l sew h e re b re a k i ng down i nto h i e ra rch ies a ro u n d pro m i n ent u rban cen
ters . So m e of th ese acc u m u lations became co nsol i d ated t h rough i s o l atio n ,
beco m ing more i nte r n a l ly h o m ogeneous, w h i l e ot h e rs reta i n ed a h ig h e r
d egree of h eteroge n e ity by coexist i n g w i t h ot h e r d ia l ects i n d i ffe rent types
of contact situations. The stu dy of co ntact betwe en la ngu ages is i m po rta nt
in h isto rical l i ngu istics beca u s e it bri ngs to l ight the d iffe rent fo rms of
hori zo n ta l flow betwee n d ia l ects , as opposed to the ve rtica l flow of n o rms
t h rough ge n e rations. I n add ition to the flow of l i ngu istic mate ri a l s be
tween ne igh boring d i a lects i n a contin u u m , l a ngu age may be a ffected by
flows of n o n l i ngu istic mate ri a l s , s u c h as t h e m igration of a popu l atio n of
193
3: MEMES AND NORMS
s p e a k e rs w h o a re t h e o rga n i c s u bstrat u m of a d i a l ect. As we saw befo re,
cu rre nt m a ps of t h e geogra p h i c a l d i stri bution of l a ngu ages coi n c i d e i n
m a ny p a rts with ge netic m a ps - not beca use ge nes d eterm i ne l a ngu ages,
but beca use bot h travel toge t h e r d u ri ng m igrat i o n s , as we l l as d u ri ng col
o n izat i o n and co n q u est.
The d i ffere nt contact s i t u at i o n s created by m igrato ry moveme nts a re
exe m p l i fi e d by t h e bi rth of t h e Engl i s h l a nguage i n t h e centuries l e ad i ng
to t h e seco n d m i l l en n i u m . T h e basic l i ngu istic materials o u t of w h i c h Eng
l i s h evolved were fi rst b rought to B rita i n i n the fi ft h ce ntu ry by Te uto n i c
i nv a d e rs (J ute s , Angles, Saxo ns) w h o d i s p l aced its o rigi n a l i n h a bita nts,
t h e Celts . Although the Ce lts were not exterm i n ated (o n ly d rive n west
ward) t h ey we re l a rgely re p l aced i n most a reas of t h e i s l a n d without m uc h
i nte rm ixture. I n most cases, t h e d i rect i o n o f l i ngu i stic flow i s from t h e
co n q u e ro r to- t h e co n q u e re d 's l a nguage; co nseq u e ntly t h e flow of Celtic
norms i nto t h e l a ngu age of t h e i nv a d e rs was m i n i m a l . I n t h e fo l l ow i ng six
ce ntu ries, o n the ot h e r h a n d , t h e basic raw mate r i a l s p rovided by the
Anglo-Saxo n d i a l ects came i nto contact with seve ra l other l a ngu ages (Lati n ,
seve ra l Sca n d i n av i a n d i a l ects, N o r m a n F re n ch), w h i c h i n fl u e n ced t h e i r
evol uti o n i n a m o re d ra m at i c way. Some Lati n te rms flowed i nto Engla nd
fro m conti n e ntal E u rope as pa rt of the m i l ita ry, eco n o m ic, a n d soc i a l traf
fic betwe e n Ro m a n s a n d Te uto n s . B u t the re a l i n fl ue n ce of Lati n norms
o n t h e "sou p" of G e r m a n i c re p l icato rs ca m e at t h e e n d of the s ixt h cen
tu ry, w h e n Pope G rego ry t h e G reat co m m i ssioned Sa i nt August i n e "to
l e a d a m issio n a ry b a n d of forty m o n ks i n a peacefu l i nv a s i o n of B rita i n
fo r t h e p u rpose o f t u r n i ng t h e warl i ke Teuto n s away fro m thei r pagan cus
to m s , h e a t h e n be l i efs , a n d ve ngefu l practices . " 19 T h e C h rist i a n ization of
B rita i n (o r rat h e r, a re-C h rist i a n izat i o n , s i n ce t h e re were a l ready n ative
Celtic C h risti a n s) caused not o n ly a l a rge flow of Lati n words to O l d Eng
l i s h , but a l so promoted t h e creati o n of schools a n d a syste m of writing. 20
Convers i o n to C h ri sti a n ity was effected h e re , as on the Co nti ne nt, not by
co n verti n g e a c h i n d i vi d u a l i n h a bita n t b u t by t h e m o re efficient p roced u re
of fi rst bri ngi ng t h e ru l i ng e l ites i nto t h e fo l d . H e n ce , t h e flow of words
fro m Lat i n pe n etrated the l a ng u age fro m t h e top and fl owed downward .
T h e next great i n fl ux of a l i e n n o rm s i nto t h e sti l l m ostly G e rma n i c mes h
wo rk of d ia l e cts, too k t h e op posite route, pe netrat i ng O l d E ngl i s h fro m
t h e bottom u p . T h i s was d u e to several waves of Sca n d i n a v i a n i nvasi o n s
t h at too k p l a ce fro m t h e eighth t o t h e eleve nth c e n t u ries. A l t h o u g h a s
t u r b u l e n t m i l itari ly as t h ose staged e a r l i e r b y Te u to n i c tri bes, i n t h e e n d
t h ese i nv a s i o n s res u lted i n coexiste n ce a n d i nte r m a rriage . I n t hese cen
tu ries, Sca n d i n avi a n words such as "th ey," "th o u g h , " and about eight
h u n d red oth e rs we re a d d ed to the m ixtu re. 21
194
LINGUISTIC HISTORY: 1000-1700 A . D .
By the t u r n of the m i l l e n n i u m , Old Engl i s h had evolved t h rough seve ra l
types of contact: o n e c a u sed t h e re p l acem e n t of Celti c n o r m s , a n ot h e r
foste red coexiste n ce betwe e n d i ffere nt G e rm a n ic n o rm s , a n d , i n betwe e n ,
sti l l a n ot h e r fac i l itated a cu l t u r a l p e n etration b y Lat i n n o r m s . T h e tra n s
fo r m ati o n of O l d Engl i s h (w h i c h is closer to G e r m a n ) i nto Early M i d d l e
Engl i s h (w h i c h is recogn iza b l e as " E nglis h") too k p l ace i n yet a n ot h e r con
tact s ituatio n : t he w ho l es a l e re p l ace m ent of t h e local e l ite by a fo reign
o n e . I n t h e e l eventh ce ntu ry, a s t h e d ifferent d ia l ects of F re n c h were
fi n a l izi ng t h e i r d ifferentiation fro m Lat i n , t h e F re n ch-s pe a k i n g N o r m a n s
staged a s uccessfu l i nv a s i o n o f Engl a n d a n d ru led t h a t cou ntry fo r n e a rly
a cent u ry ( 1066-11 54) . T h e Old E ngl i s h-s pea k i ng n o b i l ity v i rtu a l ly ceased
to exist, and even t h e h ig hest offices of the c h u rc h fe l l i nto N o rm a n
h a n d s . F r e n c h beca m e t h e l a ngu age o f t h e e l ites fo r over two centu rie s ,
w h i l e O l d Engl i s h beca m e t h e low-p restige d ia l ect of t h e p e a s a nt m asses.
In t h i s way, t h e Norman Co n q u est affected Old E ngl i s h m u c h t h e way t h e
co l l a pse of t h e R o m a n E m p i re affected Lati n , as we obse rved e a rl ie r. A s
o n e h i sto r i a n puts it:
The most i m portant s i ngle i n fl u ence of the l\I orman Co nqu est u pon English
was the rem oval of the co nservative p ressu res that te nded to i m pede its
evol uti o n . As the tongue of a s u bj ugated cou ntry O l d Engl ish lost prestige .
West Saxo n was no lo nger the l ite rary sta ndard of the co nquered B rito n s,
a n d the Anglo-Saxo n scri bal trad ition was s u p presse d . Ne ither c h u rch
nor state had much time to give to the language of the Engl i s h peasa nts,
and the soci a l ly and i nte l l ectua l ly el ite co u l d not be bothered with it. U n der
s u ch co n d itions of lai ssez fai re, the language ben efited fro m a return to
ora l pri macy: col loq u ia l u se determi ned usage and variant d ial ect fo rms
co m peted for accepta nce. U n h i n d ered by ru les of prescri ption and pro
scri ptio n , the E ngl ish peasants . . . rem odeled the l a ngu age with tongue and
palate.22
T h u s , t h a n ks to t h e fo rcefu l removal of an e m e rging sta n d a rd (West
Saxo n ) , t h e flow of n o r m s th rough seve ral ge n e rati o n s of Engl i s h peas
a n ts beca m e m o re fl u i d , the a m o u n t of variation i n crease d , a n d t h e
w h o l e co nti n u u m of d i a l ects evolved faster. B y t h e t i m e t h e Engl is h e l ites
red iscove red t h e i r n ative l a ngu age in the t h i rtee n t h centu ry, it h a d
a l ready c h a nged i n d r a m atic ways. I n p a rticu l a r, it h a d b e e n tra n sfo rmed
fro m a syn thetic la nguage i nto a mostly analytic one. These te rms refer to
a l te r n ative ways i n w h i c h l a n gu ages express ce rtai n gra m m atica l fu nc
t i o n s . A synt h etic l a ngu age exp resses fu n ctions l i ke t h e ge n d e r a nd n u m
be r of n o u n s , o r th e te nse of ve rbs, v i a certa i n l i ngu i stic p a rticles ca l l ed
195
3: MEMES AND NORMS
i n flecti o n s . M od e r n E n gl i s h reta i n s a few of t hese (the -s for p l u ra l a n d
t h e -ed fo r past te n se), b u t m ost o f t h e i n fl ecti o n s from O l d Engl i s h have
bee n d ro p ped . I n flect i o n e d l a ngu ages a re free to positi o n words in sen
te n ces in seve ral a lter n ative ways (si nce t h ey carry gra m m atica l m a rke rs
with t hem), w h i le l a n gu ages t h at have l ost t h e i r i n fl ecti o n s express gra m
m atical fu n ct i o n s t h ro u g h a fixed word order (e. g. , s u bj ect-ve rb-o bject).
G i v e n that wo rd o rd e r ca ptu res ve ry eco n o m ica l ly t h e logic be h i n d a sen
te n ce, t h ese l a ngu ages a re ca l l ed a n a lytic.
Eth nocentric l i ngu i sts in t h e past ( p a rt i c u l a rly t hose studying E n gl i s h
a nd F re n c h ) d i d n ' t s e e i n t h e tra n sfo rmati o n from synt h etic t o a n a lytic a
s i m p l e switc h fro m o n e set of gra m m atical res o u rces to a not h e r equiva
len t o n e , b u t rat h e r a move up t h e l ad d e r of p rogress, as if an i nt e r n a l
d rive fo r greate r cla rity (rati o n a l ity) w e r e gu i d i n g t h e evo l ution of l a n
gu ages. B ut si m i l ar gra m matical s i mp l i fi cati o n s occ u r i n l a ngu ages t h at
c h a u v i n i stic spea kers of E n gl i s h or F r e n c h wo u ld never c o n s i d e r to be o n
t h e s a m e level a s t h e i r mother to ngue. T h ese are t h e so-ca l led trade jar
gons, or pidgins , l i ke the fa m o u s S a b i r, or M ed iterra n e a n l i ngua fra nca, a
lo n g- l ived d i a l ect w i d e ly used i n t h e Levant trade begi n n i ng i n t h e M i d d l e
Ages . T h e study o f pidgi n s i s p a rticu l a rly re leva nt h e re n ot o n ly fo r the
l ight it t h rows o n t h e d i st i n ct i o n betwee n a n a lyti c and synth etic, but a l so
beca u se it i l l u st rates yet a not h e r type of co ntact s i t u at i o n t h at a ffects l i n
gu i stic evol utio n : t h e t r a n sitory l i n gu istic co ntact created by m i l itary or
trad e e n cou nters betwe e n a l ie n c u lt u re s .
T h e o rigi n s of Sa b i r a re obsc u r e . O n e t heory post u l ates t hat it was
bo r n of the C r u sades, begi n n i ng in the yea r 1095. If so, the J e r u s a l e m
battlefi e l d s wo u l d h ave been i t s p lace of b i rt h , fro m w h e n ce it s p read fol
l owi ng m i l itary a nd m e rc h a nt m ove m e nts. 23 Critics of t h i s theory poi n t
out t h at as l ate as t h e t h i rteenth centu ry m a ny Levant t ra d e doc u m e n ts
we re writte n n ot i n S a b i r b u t i n a c h a n g i n g hybrid of I ta l i a n , Fre n c h , a n d
Lati n . Sa bi r m ay h a v e e m e rged s h o rtly afte r, a n d t h e n , t h a n ks t o i t s s i m
p l i city, re p l aced t hose e a r l y hybri d s . O n t h e ot h e r h a n d , it m ay n eve r
h ave existed as a si ngle e ntity b u t as a s e ri es of pidgi n s , each d rawi ng o n
d ifferent R o m a nce l a ngu ages fo r i t s l exical m ate r i a l s . 24 Fo r exa m pl e , i n
t h e ea rly M id d le Ages t h e voca b u l a ry o f Sa b i r m ay h ave rel i ed mostly o n
bo rrowi n gs from t h e d i a l ects o f G e n oa a n d Ve n i ce , s i nce t h ose cities d o m
i n ated t r a d e with t h e Leva nt. W h e n l ater o n t h e Portuguese fou n d a lte r
n ate routes to t h e l u x u ry m a r kets a nd bega n to bre a k t h e mon opoly of
the I t a l i a n cities, Sa b i r's voca b u l a ry c h a nged accord i ngly. At a ny event,
Sabir is ra re a m o ng p idgi n s beca u se of its l o n gevity (it d ied o n ly i n the
early twe ntieth centu ry, a s the Ott o m a n E m pi re col l a psed). Most p i dgi n s
e m e rge a nd d isappear as t h e s h o rt-l i ved co ntact s i t u ati o n s t h at give rise
196
LINGUISTIC HISTORY: 1000-1700 A . D .
to them co m e to an e n d . But p idgi n s e n d u re w h erever con tact betwee n
a l i e n c u ltu res h a s b e e n i nstitu t i o n a l ize d , a s h a pp e n e d , fo r exa m p l e , a t
s l ave trad i ng posts a n d o n s u ga r p l a ntati o ns .
O n e d i sti n ctive featu re of pidgi n s - w hat d iffe renti ates t h e m f r o m s i m
p l e m ixtu res - is that t h ey greatly s i m p l i fy t he set of n o r m s fro m w h i c h
t h ey were d e rived . M a ny red u n d a n t featu res of l a ngu ages (su c h a s
t h e v e r b " t o b e " ) a re e l i m i n ated , si nce t h e i r m a i n fu n ct i o n i s t o m a ke
speec h m o re self-co nta i n ed or red u n d a n t ( i . e . , l ess d e p e n d e n t o n contex
t u a l c l u e s fo r co rrect i n te r p retati o n ) . Without t h ese resou rces, p idgi n s
beco m e m o re d e p e n d e n t o n co n text, so t hat, i n a sen se, be h a v i o ra l
a cts s u c h a s poi nti ng t o refe re nts beco m e p a rt o f t h e "gra m m a r" o f t h e
pidgi n . Yet, far fro m be i ng d ege n e rate t o n g u e s t h a t devolved fro m t h e i r
" m a st e r" l a ngu ages, pidgi n s a re creative a d a ptatio n s of l i n gu i st i c
resou rces . 25 S l ave p i d g i n s , fo r exa m p l e , w e r e not a k i n d of " b a by ta l k"
c re a ted by the master to com m u n icate with h i s s laves, b u t a creative
a d a ptati o n by s l aves from d i spa rate l i ngu i stic backgro u n d s to co m m u n i
cate with o n e a noth e r. 26
D u e to t h e i r stigm atizat i o n as " i n ferior" l a ngu ages, pidgi n s d i d n ot
beco m e a serious s u bject of study u nti l relatively rece n tly. Tod ay, t h e
fi e l d i s grow i n g expl osively as eth n ocentric prej u d ice g i v e s way to a m o re
o bj ective a p p roac h . Si m u lt a n eo u s ly, t h e e m p ha s i s h a s c h a nged , a n d l i n
gu i sts a re l ess i nte rested i n p idgi n s as d i sti nct e ntities t h a n i n " pidgin iza
tion" a s a ge n e ra l p rocess t h at m ay o r m ay not create a sta b l e e n tity.
Befo re t h i s switch i n a p p roa c h , t h e creatio n of sta b l e e n tities was seen
as a simple p rocess co n s i st i ng of two s u ccessive stages: fi rst, a "ta rget"
l a ngu age (e.g. , the l a ngu age of t h e s l ave m a ster) was s i m p l ified a nd a
pidgin was cre ated . T h e n , w h e n t h e sl aves were set free , t h e fi rst ge n e ra
tion of c h i l d r e n who l e a rn ed the p i dgi n as a mother to ngue re-created
m a n y of the red u nd a nt featu res that had been strip ped away, and a n ew
entity e m e rged : a creole. (Of cou rse , n ot o n ly c h i l d re n partici pate i n t h is
reco m p l exification of t h e p id gi n ; ad u lt s p e a ke rs m ay a l so co ntri b u te by
bo rrowi ng ite m s fro m ot h e r d i a l ects. )2 7 A lt hough t h is p rocess of crysta l
l ization of n ew c reole l a n gu a ges vi a e n ri c h m e n t of a p i d g i n is sti l l of great
i n te rest to l i ng u i sts (si n ce it rep rese nts an acce l e rated ve rs i o n of l i ngu i s
tic evol utio n , o n e t h at is co m p ressed i nto o n e or two ge n e ratio n s) ,
tod ay's e m p hasis i s m o re o n t h e p rocesses of pi dgi n ization a n d creo l iza
tion i n ge n e ra l , whet h e r t h ey resu l t i n n ew sta b l e entities or n ot :
A l i near m o d e l of two d iscrete ste ps, as i m plied b y the sta n d a rd co nce ption
of pidgi n and creo le, m ay ove rsim p l i fy the com plexity of the h i sto rical cases
to the point of disto rtio n , and i n itself contri bute to the d i fficu lty of i nte r-
197
3: MEMES AND NORMS
preting the evide nce. Wit h i n a s i ngle regio n there may coexi st, co ntiguous ly,
m o re than o ne stage of development. And there may i ndeed be more than
two stages - a pre-pidgin cont i n u u m , a crysta l ized p i dgi n , a pi dgi n undergo
i ng de-p idgi n ization (reabso rption by its d o m i nant sou rce), a pidgin u nd e r
goi ng creol i zatio n , a creole, a c reole u n dergoi ng de-creol i zation . 28
A n u m be r of l i ngu i sts a n d p h i loso p hers of l a ngu age h ave noted t h e s i m i
l a r ity betwe e n t h e contact situati o n s giv i ng rise to t h ese p rocesses a n d
t hose be h i n d t h e e m e rge n ce of t he R o m a nce l a ngu ages a nd E ngl i s h . T h i s
i s not to s a y t ha t t h e R o m a nce l a ngu ages o r Engl i s h s h o u l d b e co nsid
ered pi dgi n s o r creo l es , but t h ey may a l so h ave u nd e rgo n e s i m p l i fi cat i o n s
a n d reco m p l ex ificat i o n s . For i n sta n ce , t h e l o s s of i n fl e ct i o n a nd t h e fix i n g
of wo rd o rd e r w h i c h d isti ngu i s h a n a lyti c l a nguages s u c h as F r e n c h a n d
E ngl i s h ca n a l so be o bse rved i n the evo l ut i o n of m a n y pi dgi n s . T h e removal
of a do m i n a nt n o rm (West Saxo n i n the case of O l d E n gl i s h , R o m a n Lat i n
i n t h e c a s e of O l d F re nc h ) , w h i c h i ncreases variatio n a n d h e n ce t h e s peed
of d iverge nt evo l utio n , i s a lso a const a nt facto r i n the d eve l o p m e n t of
pidgin ized l a ngu ages. O n the ot h e r h a n d , t he ex pa n d i ng voca b u l a ry a n d
m u lti plyi n g u ses of l a ngu age (i n e d u catio n , l aw, etc.) t h a t c h a racte rize
creoles are a l so p a rt of t h e birth p rocess of d om i n a nt l a ngu ages (as w h e n
P a r i s i a n F re n c h re p l aced Lat i n o r w h e n L o n d o n 's E ng l i s h repl aced N o r m a n
French). 29 T h u s, t h e popu l a t i o n of l i ngu ist i c repl i cators t h at i n h a b ited
E u rope i n the M id d l e Ages may be seen as h a v i n g u n d e rgo n e p rocesses
not o n ly of foc u s i ng a n d d iffu s i o n (in soci a l n etwo r ks) a n d h i e ra rc h izat i o n
(i n u r b a n ce n te rs) b u t a lso of pidgin izat i o n a n d creo l izat i o n .
S u c h i s , i n so m a ny words, t h e l i ngu istic viewpoi nt a d o pted by G i l l e s
D e l e u ze a n d F e l ix G u att a r i , w h o ca l l t hose l a ngu ages t h at have risen t o
t h e top of a h ie r a rc h y " m aj o r" l a ngu ages a nd those fo r m i ng a m e s hwo r k
of d ia l ects " m i n o r" l a ngu ages. Yet t hey d o not u se t h ese terms t o refe r
p r i m a rily to sta b l e e ntities (so m e m o re h o moge n e o u s , some m o re h ete ro
ge neous) b u t rat h e r to t h e p rocesses (beco m i ng major, beco m i ng m i n o r)
t h at a ffect t h e po p u l at i o n of n o r m s as a w h o l e :
Should w e ide ntify m ajor and m i n o r l a ngu ages on t h e b a s i s of regional situ
ations of b i l i ngua l i s m o r m u lti l i ngu a l i s m i nc l u d i ng at least one d o m i nant
la ngu age a n d o ne d o m i nated l a ngu age . . ? At least two t h i ngs p reve nt us
.
fro m adopti ng this point of view. . . . W hen [modern] F rench lost its world
wide maj o r function it lost not h i ng of its co nsta ncy and homoge neity. Con
ve rsely, Afr i kaans attai ned hom ogeneity when it was a l ocally m i no r
la ngu age struggl i ng aga i nst [modern] Engl ish . . . . I t is d i fficu lt t o s e e how
the u p hold ers of a m i no r language can operate if not by giving it (if o n ly by
198
LINGUISTIC HISTORY: 1000-1700 A.D.
writing i n it) a co nsta ncy and homoge neity making it a loca l ly major lan
gu age ca pable of fo rci ng official recogn ition . . . . B ut the o ppos ite argu ment
seems more com pe l l i ng: the m o re a la ngu age has o r acq u i res the charac
teri stics of a major langu age, the more it is affected by conti n u ous varia
tions that tra n s pose it i nto a " m i no r" la nguage . . . . Fo r if a language such as
B ritish Engl i s h o r American Engl i s h i s m ajo r o n a wo rld sca le, it i s necessar
ily worked u po n by a l l the m i norities of the wo rld, u s i ng very d iverse proce
d u res of va riation. Ta ke the way Gaelic a n d I rish Engl ish set Engl i s h i n
variation. Or the way Black Engl i s h a n d any n u m ber o f "ghetto l a ngu ages"
set Ame rica n Engl ish in variatio n , to the poi nt that New Yo rk is virtu a l ly a
city without a la nguage.3o
To ret u rn to t h e M i d d l e Ages, t h e acce l e rated u rban izat i o n t h at p ro d u ce d
regi o n a l h i e ra rc h i es of towns created seve ral h igh- p restige vernac u l a rs
for each port i o n of t h e conti n u u m of Lat i n ate d ia l ects. Each regi o n a l ca pi
ta l witn essed t h e rise of its own v a r i a nt to t h e sta t u s of a l oca l ly " m ajor"
l a ngu age, w h i c h h a d its own writ i n g system and acc u m u l ated prestige at
t h e expense of a n u m be r of " m i n o r" varia nts s po ke n i n low-ra n k s m a l l
towns a n d r u r a l s u pply a reas. T h u s, t h e co nti n u u m of F r e n c h d i a l ects was
d ivided i nto two regio ns str u ggl i ng for s u p r e m acy: a fa m i ly of s o u t h e r n
d i a l ects c a l l e d l a ngu e d ' oc a n d a not h e r fa m i ly s p o k e n i n t h e north a n d
center, k n own as l a n g u e d ' o'i l , which i n cl u d e d t h e Pa r i s i a n vernac u l a r
(Fra ncien) as we l l a s t h e v a r i a nt t h at t he N o r m a n s h a d i m posed o n B rita i n .
N ot h i ng i nt r i n sica l ly l i ngu istic was t o d ete rm i n e t h e outco m e of t h is
stru ggle between langue d ' oc and l a ng u e d ' o'i l . O n t h e contra ry, the
a sce n d a nt p restige of l a ng u e d ' o'il was the res u lt of a v a ri ety of n o n l i ngu i s
tic events. T h e s u ccessf u l co l o n izati o n of t h e B riti s h I s les by t h e N o r m a n s
w a s o n e s u c h event, as w a s t h e A l bige n s i a n C ru sade, w h i c h ben efited
F r a n c i e n at the expense of Occita n , a m e m be r of the l a ng u e d' oc fa m i ly.
A rat h e r p recocio u s pol i ti ca l ce ntralizatio n a ro u n d Paris a d d ed to t h e
m o m e nt u m , as d i d exte n s i o n s i n t h e u sage of ve r n ac u l a r, s u ch a s t h e
tra n s l at i o n of t h e B i b l e (i nto F ra n c i e n) i n t h e ye a r 1 2 50 b y sc h o l a rs a t
t h e U n iversity of Pa r i s . 31
Ot h e r e m e rgi ng R o m a nce l a ngu ages fol l owed s i m i l a r l i n e s . On t h e I ber
i a n Pe n i ns u l a , seve ra l regi o n a l varia nts d eveloped , a n d Cata l a n bega n to
d iv e rge f ro m t h e rest ( k n own col l ectively as t h e H i s p a n o- R o m a nce
d i a l ects) a rou n d t h e n i nt h ce n t u ry. T h e d i a l ect that wou l d eve nt u a l ly rise
to t h e top, Casti l i a n , was a t fi rst a rat h e r p e ri p h e ra l v a r i a n t spoken i n t h e
regi o n t h a t late r (aro u n d 1035) beca m e t h e K i ngd o m of Castil e . Casti l i a n 's
pote n ti a l riva l s , Leo n ese a n d A rago n ese, were at t h a t t i m e m o re p re sti
gio u s and m o re i n kee p i ng with t h e R o m a n ce l a ngu age s s po ke n o utside
199
3: MEMES AND NORMS
t h e p e n i n s u l a . T h e rise of Casti l i a n bega n with t h e war aga i n st I s l a m ,
w h i c h h ad col o n ized t h e so u t h e r n regio n s of the p e n i n s u l a fo r eight cen
t u ri e s . T h e K i ngd o m of Cast i l e p l ayed t h e most i m p o rtant rol e i n t h e wa r
of reco n q u est, begi n n i ng with t h e ca ptu re of Tol ed o i n 1085. T h rough t h e
p rest i ge wo n d u ri n g t h e war, as we l l as the m igratio n of Casti l i a n s t o set
t l e t h e reco n q u ered territories, t h e c u l tu ral a n d te rrito ri a l i n fl u e n ce of
Cast i l i a n grew at the expe n se of oth e r H is pano- R o m a n ce d i alects, most of
w h i c h , fo rced to the defe n sive, eventu a l ly wit h e red away.32 Afte r t h e
reco n q u est, To ledo's n ew Casti l i a n-spea k i n g el ite s , togeth e r w i t h t hose
fro m Sevi l l e , fu r n i s he d t h e m ateri a l s from w h i c h the S p a n i s h l a ngu age
eve n t u a l ly evo lved .
U n l i ke F r a n ce a n d S p a i n , w he re political central izat i o n came re l atively
early, I taly and G e r m a ny wou ld re m a i n fragme nted for centuries beca use
of t h e o p position to central. rule by their i nd e p e n d e n t city-states . T h i s
fragm e n tati o n , o r rat h e r resista n ce t o h o moge n izatio n , acted a s a l i ngu i s
tic centri peta l fo rce. C e rta i n u rb a n ve r n a c u l a rs rose to p ro m i n ence, b u t
t h e i r tri u m p h w a s less c l e a r-cut a n d l i ngu istic do m i n a nce often s h ifted
between regi o n s . For i n sta nce, the d i a l ect of the city of L u beck became
t h e sta n d a rd of the powe rfu l H a n seatic Leagu e ; b u t when the com m e rcial
s u ccess of t h e league wa n e d , oth e r G e r m a n varia nts became d o m i n a nt.33
I n I ta ly, the Tu sca n d i a lect had enjoyed a privileged statu s s i n ce the fou r
teenth centu ry; it h ad been ad o pted n ot o n ly by t h e p a p a l cou rt b u t by a
n u m be r of l itera ry writers, w h i c h greatly i n creased its p restige . H owever,
each I t a l i a n city-state reta i ned its own local vari a n t fo r centu ries (t hat is,
t h e variant used by its e l ites), and l i ngu i stic u n ification was not attem pted
u nt i l the n i n etee nt h centu ry.34
Besides t h e s e local m oveme nts i n wh i ch a few varia nts we re " becom
i ng m ajor" re l ative to the rest of the conti n u u m , t h e re was a global strug
gle betwee n t h e local m aj o r l a ngu ages a n d t h e u n d is p uted global m aj o r :
writte n Lati n . T h i s struggle , w h i c h took p l a ce betwee n t h e t h i rteenth a n d
e ig htee nt h centu ries, i s k n own a s t h e " ri se of t h e v e r n a c u l ars." Lati n ,
w h i c h i n t h e ea rly yea rs of t h e R o m a n E m p i re h ad been a m i n o r l a n gu age
in co m pa rison to G reek, bega n t h e new m i l l e n n i u m greatly stre ngt h e n e d ,
fo r seve ral reaso n s . I ts r o l e a s t h e official l a ngu age of t h e c h u rc h h ad
bee n cod i fied i n t h e yea r 526 with t h e B e n ed icti n e R u le , w h i c h gave it a
ce ntra l p l ace i n m o n astic l ite racy a n d m a n u script p rod u cti o n , a ,stat u s
rei n fo rced b y t h e Caro l i ngian refo r m s . T h e central izat i o n of religi o u s
powe r a n d co n so l idation o f eccle siastica l h i e ra rc h ies betwee n t h e years
1049 and 1216 a l l owed the i n stituti o n a l izatio n of Lati n as t h e o b l igato ry
m ed i u m fo r t h e co n d u ct of m ass, w h i le the vernacu l a rs were fo r b i d d e n
fro m p l ay i n g t h i s rol e . 35 F i n a l ly, t h e l i ngu i stic h ete roge n eity p revai l i ng i n
200
LINGUISTIC HISTORY: 1000-1700 A.D.
E u rope created the need fo r a l i ngua fra n ca fo r i nte rnati o n a l co m m u n i ca
tio n , and Lati n eas i ly e c l i psed S a b i r and t he oth e r low-statu s pidgi n s
(s u c h as M oz a r a b i c) t h a t m ay h ave perfo rmed t h i s rol e .
B u t t h e agricu ltu ral a n d co m m e rci a l i nt e n s ificatio n s t h a t bega n com
p l exifyi ng u rb a n l ife fro m the e l eventh ce ntu ry o n soon a ltered Lati n 's
stat u s . The u ses fo r writ i n g greatly d ivers i fi e d , a n d t h e d e m a n d fo r l ite r
ate i n d ivid u a l s greatly i nc reased in ad m i n ist ratio n , l aw, a n d co m m e rce.
The esta b l is h m e nt of cat h e d ra l schoo l s and u rb a n u n iversities s h i fted
the center of e d u cation towa rd t h e n ew towns a nd away from ru ra l
m o nasteries. ( I n I ta l y t h e re were even s o m e l ay schools w h e re t h e
i nstr u ct i o n w a s co n d u cted i n t h e vern acu l a r. ) L a y offi c i a l s ga i n ed i n creas
i n g i m po rta n ce at t h e exp e n se of t h e c l e rgy, at l east wit h i n t h e wo r l d of
secu l a r ad m i n i strat i o n . F i n a l ly, t h ere were p rocesses affect i n g not t h e
i n stitutio n a l but the o rga n ic s u bstratu m of Lati n , s u c h as t h e B l a c k
P l ag u e of t h e fou rte e n t h ce ntu ry. As Wi l l i a m M c N e i l l s u ggests, " T h e r i s e
of ve r n acu l a r t o n g u e s as a m ed i u m fo r serious writ i n g a n d t h e d ecay of
Latin a s a lingua franca among t he e d u cated m e n of Weste rn Eu rope was
h aste ned by t h e d i e-off of c l e ri cs a n d tea c h e rs w h o k n ew e nough Lati n
to kee p t h at a n cient to ngue a l ive. "36
The battle betwee n the d om i n a nt u rb a n vern acu l a rs a n d Lati n was n ot
a struggl e to dom i n ate t h e to ngues of t h e m asses, but rat h e r a struggl e
to d o m i n ate the la ngu age of p u bl i c i n stitut i o n s . T h e d i a l ects of t h e l owe r
strata of m e d ieval soci ety were tightly bou n d u p with t h e i r s p e a k e rs a n d
m igrated with t he m a n d t h e i r ge nes. A d i a l e ct's h i g h ly focu sed set of
n o r m s i s m o re easily k i l led (by rep l a c i n g one p o p u l at i o n of s p e a k e rs wit h
a not h e r) t h a n a bsorbed by a l i e n l a ngu ages. For t h i s reaso n , w h i l e pres
tige d eterm i n es t h e relative positio n of a d i a l ect in a h i e ra rc hy, a n d h e n ce
its s h o rt-term d esti ny, the sheer weight of n um bers d ecides i ts u lti m ate
fate . N o r m a n Fre n c h , for exa m p l e , h owever p restigio u s i t m ay h ave been
as the offi c i a l l a ngu age of the Engl i s h a ristocracy, neve r h a d a c h a n ce to
t a ke over as the l a n gu age of the Engl i s h m asses . 37
Si m i l a rly, written Lat i n was i n no pos i t i o n to co m pete with t h e vern acu
l a rs . D u ring the pe riod of rapid u rb a n izat i o n t h a t bega n in the e l eventh
centu ry, t h e popu l at i o n of E u rope dou bled , a n d with it t h e n u m be r of v e r
n acu l a r s p e a k e rs . B ut t h e French of t h e Pa r i s i a n e l ites, fo r exa m p l e , was
never i n com petitio n wit h Lat i n as a popu l a r l a ngu age fo r F ra n ce but as
t he offici a l l a nguage in Fre n c h cou rts, govern m e n t offices, a n d p l aces of
h ig h e r l e a r n i ng. Fra n ci e n , too, bega n co m peti n g with Lat i n as the l a n
gu age of i nte rnati o n a l d i pl o m acy. I n t h i s case, raw n u m be rs co u nted l ess
t h a n acc u m u lated p restige: " Fre n c h 's l o n g period of predom i n a n ce as
the major i ntern ati o n a l l a n gu age of cu ltu re a n d d i p l o m a cy l o n g a ntedates
201
3: MEMES AND NORMS
its ge n e r a l u se as s p o k e n l a ngu age i n F ra n ce : by t h e e n d of t h e seven
tee nth ce ntu ry, F re n c h had in effect rep l a ced Lat i n in the fo r m e r role . . .
at a ti m e w h e n F ra n c i e n was t h e n ative to ngue of p e r h a ps a q u a rter of
the po pu l a t i o n of F ra n ce . " 38
F ra n c i e n h a d a c h i eved t h e status of a " n o rm to a i m fo r" by t h e t h i r
tee nt h centu ry, i n te r m s of u n offi c i a l writing a nd cu ltivated s peech , but it
did not ove rta ke Lat i n u nt i l a series of fifteenth- and sixteenth-ce ntu ry
e d i cts, s u c h as t h e Ed i ct of Vi l l e rs-Cotte rets of 1539, m a d e its use o b l i ga
tory in offi c i a l writi ng.39 I n Engl a n d , too, we fi nd t h a t certa i n i n stituti o n a l
i nterventi o n s c h a nged t h e status o f t h e E n gl i s h l a n gu age th ro ugh a series
of offic i a l acts, such a s t h e Statute of P lead i ng e n acted by Pa rl i a m e nt i n
1362 , w h i c h m a d e E n gl i s h t h e offici a l l a ngu age o f t h e B ri t i s h cou rts.
Co u rt reco rd s , however, we re sti l l k e pt in Lati n , a n d the statute its e l f was
written in F re n c h . Yet, by 1489, " H e n ry V I I put an absol ute end to the
u se of F re n c h in the statutes of E ngla n d . With t h at a ct t h e l a ngu age t h at
h ad go n e u n d e rgrou n d i n 1066 e m e rged co m pl etely tri u m p ha n t over fo r
eign d o m i natio n . "40 T hese offi c i a l acts, w h i c h tra n sfo rmed the statu s of
Engl i s h , F re n c h , a n d Lati n m o re or l e ss " i n sta nta n eou sly, " a re spec i a l
cases of w h at t h e " o rd i n a ry l a ngu age" p h i l oso p h e r J . L. A u stin ca l l ed
"speech a cts" : soc i a l acti o n s p e rfo rmed by t h e very utte ra nce of a str i n g
of wo rd s . Co m ma n d s, s u c h a s t h e o rd e r t o u se Engl i s h o r F re n c h i n cer
ta i n off i c i a l contexts, a re o n e type of s peech act. T h e m a k i ng of p ro m ises
o r bets, t h e i s s u a nce of wa r n i ngs, verd icts, o r j u d i c i a l sentences, t h e
b a ptiz i ng of a n o bj ect o r a pe rso n , a n d m a ny ot h e r verbal actio n s t h at
carry wit h t h e m soc i a l o b l igatio n s a n d conseq u e n ces a re a l so exa m pl e s
of speech acts.
Accord i ng to A u sti n , s peech acts i n volve a co nve ntio n a l p roce d u re t h at
h a s a ce rta i n co nventio n a l effect, a n d t h e p roced u re itse l f m u st be exe
cuted co rrectly, co m p l etely, a n d by the correct perso n s u n d e r the right
c i rc u m stances.41 T h e d ec l a rati o n of Engl i s h as the offi c i a l l a ngu age of
gove r n m e nt , fo r i n sta n c e , h a d to be made by a person with the a u t h o rity
to i ss u e s u c h d ec l a ratio n s a n d i n t h e right i n stitutio n a l setti ng. N ot j u st
a ny utte r a n ce of t h e wo rds " I d ec l a re yo u the off i c i a l l a ngu age" ca rries
t h e i l locuti o n a ry force of a co m m a n d . T h is s i m ply e m p h a sizes t h e fact
t h at we are n ot d e al i ng h e re with a p u re l y l i ngu i stic p rocess but with
a co m plex situ ati o n i n volvi ng h ie ra rc h ies, c ha i ns of co m m a n d , a nd the
means to e nfo rce obed i e n ce . A u sti n d i sti nguishes t h ose s peech a cts
pe rfo r m ed in j u d ic i a l cou rts ( a n d ot h e r i n stituti o n a l setti ngs), where t h e
p roced u re i s so rou t i n ized t h at w h at cou nts a s "co rrect" i s clear t o eve ry
o n e , fro m t hose speech acts u sed i n everyday l i fe , w h e re t h e proced u res
a re n ot rigid o r fo rma l a nd w h e re , t h e refore, t he re i s m o re room fo r a m-
202
L INGUISTIC HISTORY: 1000-1700 A . D.
b ig u i ty. N evert h e l ess, as we saw a bove, co m m u n icat i o n n etwo rks m ay act
a s e n fo rce m en t mech a n i s m s fo r p ro m i ses o r o rd e rs even in the a b se nce
of expl icit criteria fo r t h e correct perfo r m a nce of a s peech act.
We may com pa re the i n sta n ta n eous tra nsfo rm a ti o n s in sta t u s w h i c h a
com m a n d , gu i lty verd i ct , or death sentence effect with t h e p h ase tra n si
tions t h at materi a l s u nd e rgo at certa i n critical poi nts . Much a s l iq u id
wate r s u d d e n ly swi tc h e s fro m o n e sta ble state to a n ot h e r a n d begi n s to
beco m e sol i d ice w h e n t h e te m perat u re or p ress u re reac h e s a pa rti c u l a r
t h re s h o l d , s o a g u i l ty v e rd i ct m ay a br u ptly c h a nge t h e soc i a l sta t u s o f a
pe rso n , who wi l l be switched from a state of free mot i o n to o n e of con
fi n e m e nt. H owever fruitfu l this com p a rison m ay be, at t h e v e ry l e a st i t
ca l l s atte ntion t o the fact t hat m u c h a s ge n etic re p l i cato rs i m pi nge o n t h e
wo rld a s cata lysts fo r c h em ic a l p hase tra n s i t i o n s , so l i n gu i stic repl i c ato rs
a ffect real ity by cata lyz i n g ce rta i n "soc i a l p hase t ra n si ti o n s."42
I n a d d it i o n to the officia l speech acts t h a t a br u ptly c h a nged t h e i r
statu s, t h e d o m i n a n t vernacu l a rs o f e a c h region n eeded t o e n ri c h t he i r
reservo i rs of expressive resou rces i n o rd e r t o effectively c h a l l e nge t h e
i ntern atio n a l sta n d a rd . N o offic i a l decl a ration cou l d h ave m a d e F re n c h
o r Engl i s h t h e offic i a l m e d i u m i n w h i c h t o co n d u ct gove r n m e n t b u s i ness
if their voca b u l a ri e s h a d n ot conta i ned all t h e tec h n i ca l words req u i red
i n j u d ic i a l , l egislative, d i p l o matic, m i l ita ry, a n d a d m i n i strative com m u n i ca
t i o n s . O n e m ea n s of i nc re as i n g vocab u l a ry was to u se t h ese l a ngu ages'
wo rd-fo r m i ng resou rces to ge n e rate the n eeded l exica l i t e m s . Literatu re
p l ayed a key role i n t h i s respect, e n ri c h i ng the ex p ressi ve resou rces of
the a sce n d a n t d i al ects w h i l e i n c reas i n g t h e i r cultu ra l p restige.
T h e a sce n d a nt d i a l ects a l so exp a n ded t h e i r lexico n s by borrow i n g
wo rd s f r o m ot h e r l a n gu a ge s a nd t h e n a d a pt i n g t h e bo rrowi ngs t o loca l
u sage . These l i ngu i stic flows from o n e po p u l a ti o n of n o rm s to a n oth e r
d i s p l ay so m e i n terest i n g patt e r n s t h a t i l l u m i n ate a n u m be r of t h e i nter n a l
featu res o f l a nguage. F o r i n sta nce, a l t h o ugh t h e i n d i v i d u a l words of a l a n
guage a re free to re p l i cate from o n e cu ltu re to a n ot h e r as m e mes (that
is, by i m itatio n o r bo r rowi n g), a l a ng uage's sou n d s and gra m m atical p at
te r n s , p a rticu l a rly t h ose t h at a re cent ra l to a l a nguage 's ( h i sto rica l ) i d e n
tity, t e n d t o move toget h e r w i t h i t s s peakers . F u rt h e r m o re , words re l a te d
t o q u esti o n s of everyday s u rviva l , u n l i ke tec h n i ca l o r l itera ry words, d o
not d i ffu se we l l a m o n g d i fferent l a ngu age s .
Modern Engl i s h , fo r i n sta nce, sti l l contai ns a n a rc h a i c resid u e of O l d
Engl i s h wo rd s, s u rrou n d e d b y the vast cosmopo l i ta n voca b u l a ry that i t
accu m u l ated s l owly, v i a d i ffu s i o n ( i . e . , v i a v a ri o u s flows o f m e mes). T h e
wo rd s "fat h e r, " "mother, " " c h i l d , " " b roth e r, " " m eat," a n d " d r i n k , " a s we l l
a s t hose t h a t express basic acti viti es s u c h a s "to eat," "to s l e e p , " "to
203
3: MEMES AND NORMS
love, " a n d "to fig ht, " d e rive d i rectly fro m the Germ a n ic vocabu lary of Old
Engl i s h . O n the ot h e r h a n d , most of t h e tech n ical voc a b u l a ry for eccl e si
astical m atters "!'l owed i nto Engl i s h fro m Lat i n d u ri ng the p e riod of C h r i s
t i a n izati o n . (About 450 Lati n words were i ntrod u ced i nto E ngl i s h d u ri ng
t h i s period . ) M i litary, l ega l , gover n m e ntal , a n d m e d i ca l terms (as well a s
s o m e cu l i n a ry a n d fas h i o n voc a b u l a ry) e ntered t h e E ngl i s h reservo i r i n
l a rge n u m be rs (about te n t h o u s a n d F re n c h wo rds) d u ri ng t h e N o r m a n
occ u p atio n . Soo n aft e r t h e occu pati o n e nded a n d E n g l i s h m i l itary v i cto
ries m a d e t h e Fre n c h see m l e ss of a t h reat, large q u a ntiti es of Par i s i a n
F r e n c h wo rd s bega n to flow i nto Brita i n , pe aki ng i n i nte n sity betwee n t h e
y e a r s 1350 a n d 1 400.43 T h e d i rection of t h i s flow of m e mes ra n f r o m t h e
l a ngu age t h at h a d a cc u m u l ated more p restige a n d l exica l co m p lexity t o
t h e l ess p restigio u s a n d co m p l ex o n e . T h i s i s , o f co u rs e , a relative d isti n c
tio n : w h i l e F re n c h was fo r a lo ng time more c u ltu r a l ly p restigiou s t h a n
Engl i s h , d u r i ng t h e fifte e n t h a n d s ixteenth centu ries it w a s " i nferior" to
S p a n i s h a n d I ta l i a n a n d m a ny S p a n i s h a n d I ta l i a n wo rds flowed i nto
Fra n ce from t h ose two co u ntries.44
T h e m a ny h u n d reds of Fre n c h wo rd s t h at fl owed i nto M id d l e Engl i s h
suffered d ifferent fates. Some o f t h e m we re s i m ply t a k e n a s t h ey were,
but m a ny were assi m i l ated i nto local d ia l e cts. Borrowed French and Lati n
wo rds ofte n coexiste d with their Engl i s h syn onyms , i n stead of d ispl aci ng
one a n oth e r or hyb r i d i zi ng. I n the fifteenth centu ry E ngl i s h d evelo ped a
t ri l evel system of syno nyms with d i fferent levels of p restige : co m mo n
pl ace Engl i s h (" rise , " " a s k"), l ite ra ry F re n c h ("mou nt," " q u estion"), a nd
l e a r n e d Lati n (" asce n d , " " i nte r rogate"). As o n e h istori a n p uts it, t h i s
accu m u latio n o f syno nyms a l lowed "for a greater d ifferentiation o f styl es
- in both fo r m a l and i nfo r m a l u sag e . . . . T h u s the n ative Engl i s h voca b u
l a ry i s m o re e m ot io n a l a n d i nform a l , w he reas the i m po rted Fre n c h syn
o nyms a re m o re i ntel l ect u a l a nd fo r m a l . The warmth a nd fo rce of the
fo r m e r co ntrasts with t h e cool n ess and cla rity of the l atte r. If a speaker
ca n be i nt i m ate, b l u nt, a n d d i rect in basic Engl i s h , h e c a n a lso be d is
c reet, pol ite, a nd cou rteo u sly elega nt in the d ictio n of bo rrowed F re n c h . "45
T h i s h i e ra rchy of syn o nym s is a special case of what socioli ngu ists
call " styl i st i c stratifi cati o n , " t h at i s , t h e ra n ki ng of a l a ngu age's d iffe rent
registers, w h i c h are rese rved fo r use i n partic u l a r situatio n s : a casu a l reg
i ste r, to be u sed with fri e n d s a nd fa m i ly; a fo rmal registe r, w h ic h is u se d ,
fo r exa m p l e , i n i n stitutio n a l situatio n s o r s i m ply w h e n t al ki ng t o strangers
o r su periors; and a tech n ical register, u sed at work o r w h e n co m m u n i
cati ng wit h oth e r p rofessi o n als. Of co u rs e , t h e voca b u l a ries o f t h ese regis
ters n eed not co m e fro m d iffe rent l a ngu ages. T h e d i st i n ction is d rawn
m o re in terms of the a m o u nt of c a re t h at o ne puts i nto the creation of
204
L INGUISTIC HISTORY: 1000-1700 A.D.
se nte nces d u ri ng a l i ng u i stic exc h a nge (or, in the case of tec h n ic a l regi s
ters, by the u se of s pecial voc a b u l aries o r tec h n ical j a rgo n).46
Engl i s h spea kers i n t h e M i d d l e Ages a n d R e n ai ssa n ce pres u m a b ly e n
gaged i n register switc h i ng acco rd i ng t o t h e d egree o f fo r m a l ity o f a situ a
tio n . Outside of Lo ndo n , t h ey l i kely a l so e ngaged i n a rel ated p rocess
ca l l ed code switc h i ng. Due to geograp h i c i solati o n , the flow of l i ngu i stic
repl i cato rs t h at made up O l d Engl i s h h a d ge nerated five d i ffe rent " s pecies"
of M i d d le E ngl i s h (So u t h e r n , Kentis h , East M i d l a n d , West lVI i d l a n d , a n d
l'J o rt h u m br i a n ) . W h i l e t h e d ia l ect o f Lo n d o n h a d b y t h e fiftee nth ce ntu ry
beco me the most p restigio u s fo rm of E ngl i s h , it d i d not re p l ace t h e oth e r
d ia l ects b u t , rat her, was added to t h e po p u l ation as a s uperimposed norm .
T h i s mea nt, fo r i nsta nce, t h at a speaker of Kentish w h o a l so k n ew t h e
Lo n d o n d i a l ect wo u l d i nd eed switc h codes w h e n ta l k i ng t o d iffe rent peo
p l e , usi ng a loca l code in ta l k i ng to a n e i g h bo r a n d a n i nterregi o n a l code
i n add res s i ng someo n e fro m t h e capital. Ot h e r co u ntries, such a s Ita ly
a n d Germ a ny, where po l itical u n ification came l ate, re m a i ned m u c h m o re
l i ngu i stica l ly fragm e nted ; co n seq u e ntly, t h e i r i n h a bita nts p racticed cod e
switc h i ng on a n eve n m o re exte nsiv � basis.47
Code a nd registe r switc h i ng a re fu rther exam p l es of contact betwee n
d iffe re nt d i a l ects, a k i n d o f " i nt e r n a l contact" t h at t e n d s t o m a ke t h e m
l ess i nte r n a l ly ho moge neous. I n deed, w h e n o n e co m p a res a ny a ct u a l l a n
gu age's i nt e r n a l va riety - keeping a n eye o n i t s coexi st i ng regi ste rs a nd
codes - with " l a ngu age" as i m agi ned by stru ctu ral l i ngu i sts a n d s e m ioti
c i a n s , t h e most stri k i ng d i ffere n ce i s the high d egree of h o moge n e ity
t h at l i ngu i stic t h eo r i sts take for gra nted . The s e m iotic i a n s e e m s to a l ways
h ave in m i n d a s i m p l e com m u n icatio n between a speaker a n d a l i st e n e r,
w h e rei n bot h speak p recisely t h e s a m e l a ngu age with i d e ntical s k i l l .
Th i s overs i m pl i ficat i o n beco m es a l l t h e m o re obv i o u s w h e n o n e stu d i es
cou ntries w he re sta ble b i l i ngu a l is m is t h e n o r m , s u c h as Belgi u m o r
C a n a d a , not t o menti o n I n d i a , w h i c h today recog n izes fo u rteen offici a l
l a nguages . I n t h e M id d l e Ages a n d t h e R e n ai ssa n ce i t was not u nco m
mon for peo p l e to be m u lt i l i ngu a l : C h risto p h e r Co l u m b u s , for exa m p le ,
spoke G e n oe se as h i s m ot h e r tongue, w rote so m e Lati n , a n d l ate r
l e a r n ed Portugu ese a n d S p a n i s h .48 As La bov stresses, co m m a n d of a real
l a ng u age, u n l i ke t h e s i m p l i stic c h a racte rization of l i ngu istic com pete nce
made by the struct u r a l ist school, i nvolves t h e a b i l ity to deal with great
a m o u nts of h eteroge ne ity.
H e nce, b e h i nd a ny u n i fo r m set of l i ngu i stic n o r m s t here m u st be a
defin ite h i storical p rocess t h at c reated t h at u n iform ity. T h e p rocesses of
ho m oge n izatio n t h at were at wo rk on t h e I nd o-Eu ropean d i a l ects t h a t
b e c a m e t h e R o m a n ce a n d Engl i s h l a ngu ages m ay b e s a i d t o have co m e
205
3: MEMES AND NORMS
i n two great waves. T h e fi rst wave took p lace as p a rt of the ge n era l p ro
cess of u rba n izatio n : the asce n d a n cy of the Lo n d o n a n d Paris (and
oth e r) d i a l ects to t h e top of the l i ngu i stic h i e ra rchy, lead i ng to thei r ad op
t i o n as offi c i a l l a n gu ages of gove r n m e n t co m m u n icati o n a n d l owe r ed u
catio n . This fi rst wave i n vo lved both u n p l a n ned p rocesses ( i n cl ud i ng
positive feed back; fo r i n sta nce , the m o re l ite ratu re a p pe a red in a give n
d i a l ect, t h e m o re v i a b l e a l itera ry med i u m that d i a l ect seemed to ot h e r
writers) a n d i n stitut i o n a l s p e e c h acts that trigge red s h a r p tra n siti o n s i n
the statu s of certa i n ve r n acu l a rs. Ot h e r t h a n t h e effo rt t o c reate writi n g
syste m s fo r t h e e l ite d i a lects, t h e first wave d i d n ot i n volve great
a m o u nts of l i n gu istic "self-awa r e n ess, " t h at is, co n sc i o u s a n alysis of
the i nte r n a l resou rces of a l a ngu age a n d d e l i be rate pol i cies to extend or
fix th ose resou rces. The sixteenth and seventee n t h ce n t u ries, however,
witnessed t h e e m e rge n ce of t h e fi rs! e ffo rts at w h at we wou l d tod ay c a l l
" l i n gu i stic e n g i n ee ri ng." T h e seco n d w a v e of ho moge n izatio n i n vo l ved
i n stituti o n a l pol icies a i med at the d e l i be rate "slowi n g d own o r co m p l ete
sto p p age of l i n gu i stic c h a n ge," o r, i n ot h e r wo rd s, " t h e fixati o n fo rever
of a u n ifo r m n o r m . " 49 T h at t h i s goa l has tu rned out to be u n atta i n a ble
in p ractice (to t h is d ay m i n o rity l a ngu ages t h rive a l o ngs i d e the sta n
d a rds) does n ot m e a n t h at t h e i nstituti o n a l e nterprises t h at Spa i n , I ta ly,
a n d F ra n ce e m ba rked u po n d u ri n g t h i s p e riod d i d n ot h ave great h isto ri
cal co n se q u e n ce s .
T h e seco n d w a v e m ay b e said to h a ve begu n i n Spai n , w h e n f o r the
fi rst t i m e t h e gra m m a r of a R o m a n ce d i a l ect (Casti l i a n ) was syste m ati
ca l ly set fort h . U n l i ke written Lati n , w h i c h as a " d e ad " l a n g'Jage had to
be t r a n s m itted i n schools by m e a n s of explicit rules, the various regi o n a l
d ia l ects o f S pa i n were l ea r n e d at h o me as o n e's m ot h e r tongue. T h e
gram m a r i a n s o f t h e R e n a issa n ce d i d n ot d i scove r t h e " real" ru les o f l a n
gu age ( n ot even C h o m s kya n s tod ay h a ve a c h ieved t h i s), a n d they d i d not
c l a i m to have d o n e so. E l i o A nto n i o d e N e brija, who p u bl i s hed the fi rst
gra m m a r of C asti l i a n fifte e n d ays after Col u m b u s h a d s a i l ed to " d iscover"
A m e rica, was q u ite conscio u s t h at h i s i nvention was a n a rti fact (" a rtific i a l
Casti l i a n " h e c a l l e d it50) , b u t o n e t h at h a d great pote n ti a l as a n i n stru
m e nt of h o moge n izatio n . As t h e soci o l i n gu ist E i n a r H a ugen writes, "T h e
c l ose co n n ecti o n o f gra m m a r a n d politics i s s h own i n t h e fact t h at t h e
first Spa n i s h gra m m a r a pp e a red i n 1 4 9 2 a n d w a s d ed icated t o Q u e e n
I sa b e l l a ; it was i n te nded t o be a co m p a n i o n of t h e E m p i re , t h e author wrote,
a n d s h o u l d s p read S p a n i s h [i . e . , t h e Casti l i a n d i a l ect] a l o n g with the r u l e
o f t h e S p a n i a r d s . " 51
Acco rd i ng to I va n l i l i c h , both Co l u m b u s a n d N e b rija c a m e to the q u ee n
t o p ro pose co m p l e m e nt a ry p rojects : o n e t o exte n d royal power i nto n ew
206
L INGUISTIC HISTORY: 1000-1700 A . D .
l a n d s , the ot h e r to i nc rease the i n ne r co h esiveness of the sove reign
body v i a a ho m oge n eo u s l a n gu age . U n l i ke classical Lat i n , w h i c h h ad
bee n " e n gi n ee red" so t h a t t h e speech patte r n s of R o m a n s e n ators a n d
scri bes co u l d be regu l ated , t h e ta rget of N e b rija's p ro posed re fo r m s
w a s n ot t h e l a ngu age of the S p a n i s h e l ites b u t t he u n bo u n d a n d u n
gove rned l a nguage of t h e m asses. M o reove r, to t h e exte n t t h a t t h e m u l ti
p l icity of d i a l ects l e a rned i n fo rm a l ly at home were s u perseded by a n
a rti fi c i a l ("Casti l ia n " ) l a ngu age taught fo r m a l ly, l i ke L ati n , as a s e t o f
r u les, N e b rjj a 's gra m ma r was t h e fi rst ste p toward w h at centu ries l ate r
wou ld beco m e a co m p u l so ry ed u ca t i o n syste m based o n a sta n d ard ized
l a n gu age . I n a way, as I I l i c h rem a rks, t h i s m e a n t re p l a c i n g the a u t o n o
m o u s l i n gu i stic re s o u rces of d ia l ect s p e a k e rs with a reservoi r co n t ro l led
by i n stitu tio n s a n d given to t h e m asses a s a gift fro m a b ove . 52 I n the
end, N e brij a 's p roject fai l e d to ga i n i n stituti o n a l s u p port fro m the roy a l
cou rt , b u t t h e same concern with c reati n g a rtifi c i a l l a ngu ages t h a t wo u ld
be " p u re" a n d " l o n g l a sti ng" wou l d rea p p e a r e lsew h e re i n d i ffe ren t
fo r m s .
I n I ta ly, f o r exa m p l e , t h e Tu sca n (i . e . , F l o re n t i n e) d i a l ect h a d come t o
p l ay t h e s a m e dom i n a nt role a s t h e Casti l i a n , Pari si a n , a n d L o n d o n d i a
l ects. Tu sca n h ad bee n "creol ized" (e n riched) b y seve ra l writers ( D a nte,
Boccaccio, Petrarch) w h o not o n ly e n l a rged its reservo i r of expressive
resou rces b u t a lso i nc reased its prestige rel ative to t h e d i a l ects of ot h e r
i m po rta nt cities (Ve n ice, G e n oa , M i l a n). I n 1 582, t h e fi rst i n stitutio n
specifica l ly d esigned to a ct as a brake o n l i ngu i stic c h a nge was b o r n i n
F l o re n c e : t h e Aca d e my o f L a n gu age , a n o rga n izati o n ded i cated t o t h e
creatio n a n d d i sse m i n atio n of a rtific i a l Tusca n t h ro u g h t h e p u b l ication
of gra m m ars, d icti o n a ri es , orthogra p h ies, and oth e r fo r m a l cod ificatio n s
o f l a ngu age . 53 T h i s p roject, l i ke N e brija's, p roved h a rd t o a c h ieve i n
p ra ct i ce, p a rti c u l a rly beca use t h e pol itical stre ngt h o f t h e city-states
reta rded n ati onal u n i ficatio n u nti l the n i n etee n t h centu ry.
Sti l l , t h e F l o renti n e Aca d e my of La ngu age h ad a m o re concrete i n fl u
e nce, i n s p i r i n g the creatio n o f s i m i l a r i n stituti o n s i n n asce nt n at i o n
states s u c h as Fra n ce, w h e re a n o rga n izati o n mode led o n t h e I t a l i a n p a r
adigm was born i n 1637 as p a rt of R i c he l i e u 's p l a n to u n ify t he cou n try.
The F re n ch Acad e my h a d as its explicit m a n d ate t h e p u rificati o n a nd
p e r petu at i o n of the F r e n c h l a ngu age , or as o n e of its m e m be rs p ut it, to
"fix l a n gu age som e h ow a n d re n d e r it d u ra b l e . " 54 By 1 70 5 t h e a ca d emy
co u ld boast that if o n ly the words i nc l u ded in its offic i a l d icti o n ary were
u se d , French wo u ld re m a i n fixed fo r all t i m e .
T h i s seco n d wave of h o moge n izati o n , l i ke the fi rst o n e , d i d n ot p rod uce
m aster l a nguages t h at co m p letely rep l aced the d i a l e ct conti n u a of t h e i r
207
3: MEMES AND NORMS
respect i ve co u ntries. T h e acad e m ies s i m ply added o n e m o re set of n o r m s
t o t h e exist i n g po p u l atio n , a n ew set wit h a h i e ra rc h ical structu re s u pe r
i m posed on t h e m e s h wo rk of d i a l ects. As t h e Fre n c h l i n g u i st Anto i n e
M e i l let s a i d , sta n d a rd F re n c h " h as n eve r bee n the l a ng u age of a n y but a
few peo p l e a n d is tod ay not t h e spoken l a ngu age of a nyo n e . "55 The new
a rtificial ru les of gra m m a r and spel l i ng, the pyra m i d a l voca b u l a ries co n
tai n ed in d i cti o n a ries, and t h e ot h e r devices of " l i ng u i stic e ngi neeri n g"
(s u c h as books o n r h eto ric a n d poeti cs) affected most of a l l the fo r m a l
registe r of the l a nguages i n q ue sti o n , l eaving the cas u a l registe r mostly
u nto u c hed . (The tec h n ical registe r of F r e n c h wo u l d n ot be affected u nt i l
the e ig h te e n t h ce ntu ry, w h e n Lavo i s i e r a n d o t h e r s h e l ped f i x the w a y i n
wh i ch s u ffixes a n d prefixes s h o u ld b e u sed t o coi n new sci e n ti fi c te r m s . )
H oweve r, it was p recisely t h e fo r m a l registe r t h at needed t o be sta n d a rd
ized_ if t h e ve r n acu l a rs we re t o triu m p h over Lati n . H e n ce , i n t h e ge n e ra l
p rocess o f t he r i s e of t h e ve rnacu l a rs , sta n d a rd izat i o n d id h ave a l asting
i m pact. The o t h e r d ecisive e l em e n t in this l i nguistic war was p rovided
by tec h n o l ogy: the pri n t i n g press.
A lt h o u g h t h e co ncept of m ova b l e type m ay not have o rigi n ated with
J o h a n nes G ut e n berg (t h e re a re C h i nese, Kore a n , and even D utc h a nte
ced e nts), he was ce rta i n ly t h e fi rst to i m p l e ment a p ractical way of
a uto m at i n g writi ng. Seve ral tec h n i ca l p ro b l e m s were solved d u ri ng the
1440s (ad j u st a b le m o l d s fo r cast i n g d u ra b l e type a nd a special ink s u it
a bl e fo r m eta l type we re d eve l o ped), w h i c h e na bled G u ten berg to create
a m a c h i n e t h at, w h e n m e s h ed with the b u rge o n i n g p a p e r i nd ustry,
b rought d own t h e cost of re p rod uci n g texts co nsid e ra bly a n d a l l owed t h e
true m a s s d i sse m i n at i o n o f t h e written word . Of t h e twe nty-fo u r t ho u s a n d
n o n-Greek w o r k s pri nted i n E u rope befo re 1 500, a b o u t 7 7 perce n t we re
in Lat i n , t h e rest in ve r n acu l a r. B u t t h e n u m be r of wo r ks p r i n ted i n t h e
vern ac u l a rs i n creased o v e r t h e yea rs a n d t h e ve rn acu l a rs p redo m i n ated
by the end of the seve ntee nth centu ry. 56 The P rotestant R e fo rm atio n , by
c h a m pi o n i ng the tra n slation of the B i b l e i nto ve rnacu l a rs , d e a lt a powe r
f u l blow to Lat i n 's d o m i n at i o n of ecclesiastical ritu a l s a n d , m o re i m po r
ta ntly, e d u cati o n . T h u s, i n o n e sen se, the pri nting p ress a id ed some m i n o r
l a n gu ages i n t h e i r struggle aga i n st a m aj o r l a ngu age . A n d yet, given t h at
t h e major- m i n o r d i sti n ct i o n is enti re ly re l ative, the pri nti ng p ress s i m u lta
neou sly a i d ed l oc a l ly major l a nguages (t h e r i s i n g sta n d a rd s) i n th e i r
struggles aga i n st pote n t i a l l oca l riva l s .
M o reove r, s i n ce t h e very existe nce o f a w r i t i n g syste m exe rts a homog
e n iz i n g i n fl u e n ce on a l a ng u age a n d acts as a bra ke o n l i ngu istic c h a nge,
the m ec h a n ical re prod u ct i o n of texts a m p l ified in seve ra l ways this con
servative tre n d . I n Engl a n d , whe re Wi l l i a m Caxto n i ntrod u ced the p r i n t i n g
208
LINGUISTIC HISTORY: 1000-1700 A . D .
p ress in 1476, the pri n ted wo rd p ro moted the writt e n sta n d a rd of t h e
e l ite Lo n d o n d i a l ect as a brake o n l i n g u i st i c variati o n . As t h e h isto ria n
J o h n N ist has writt e n , " A l o n g with exte n d i ng lite racy a nd expa n d i n g p o p
u l a r ed u catio n , t h e p ri n ti n g p ress beca m e a powe rful cu ltu ra l fo rce t hat
put back i nto the l a ngu age w h at had bee n lost with the N o rm a n C o n q u est
- t h e co n s e rvative p ress u res of self-awa re n ess a nd soci a l s n o b b e ry. " 57
E n g l i s h p ri n te rs , o n t h e o t h e r h a n d , locked i n to typ e ce rt a i n s p e l l i ng r u l e s
t h at d i d n ot e nti re ly co rre s p o n d t o t h e p h o n e mes of E ngl is h , s o u n d s t h at
were , at a ny rat e , c h a ngi n g as t h ese n o r m s were b e i n g froze n . A n d yet,
as N ist p uts it:
M o re important than either the o rthogra phic con servatism o r the p ho no
logical i nconsisten cy wrought by the p ri nting p ress was the m ista ke n
notio n t h at English is prima rily the writte n word . The gra pheme a n d the
visu a l morpheme began to d o m i n ate the l itera ry i m agin atio n , and the
raw power of the o ra l tra d iti o n grad u a l ly gave way to the elega nt refi ne
ment of the si lent l itera ry. I n time, the d ivorce between the spoken a nd
the written was lega l i zed by the a u tho rita ria n gra m m a ri a ns of the eigh
teenth century and their heirs . 58
I wo u ld l i ke to co n c l u de t h i s sectio n with a brief d escri p t i o n of those
p rocesses affecti ng l i n g u i stic evol ution which a re internal to l a n gu a ge .
F o r exa m p l e , a t t h e v e ry s a m e t i m e t hat pri n te rs a n d gra m m a ri a n s were
atte m pting to freeze set co rrespo n d e n ces betwe e n s o u n d s a n d writt e n
s i g n s i nto a s pe l l i n g sta n d a rd , t h e E ngl i s h l a n g u age w a s u nd e rgo i n g a
d ra matic c h a nge i n its so u nd syste m . T h i s tra nsiti o n , w h i c h i nvolved sev
e ra l ge n e rat i o n s of s p e a k e rs , goes by t h e n a m e of t h e G reat Vow e l S h i ft :
When C h a u ce r died i n 1400, people still p ro n o u n ced the e o n t h e e n d
o f wo rd s . O n e h u n d red yea rs l ate r n o t o n ly h a d it becom e silent, but
scho l a rs were evi d ently u n aware t h at it ever had bee n p ro no u nced . . . .
[Th us] i n a rel atively short period the l o ng vowel sounds of English . . .
c h an ged their val ues i n a fu n da mental a n d seemi ngly systematic way,
each of them movi ng fo rwa rd a n d u pwa rd in the mouth. There was evi
dently a c h a i n rea ction in which each s h ifting vowel pushed the next
one fo rwa rd : The " 0" sou nd of spot became the " a" sou n d of spat, while
spat became speet, speet became spate, a n d so o n . The " aw" sou n d of
law became the " o h" so u n d of close, which in turn became the "00" sound
of food. C h a u cer's Iyf, p ro n o u n ced " Ieef," became S h a kes pea re's life,
pro n o u n ced " I afe , " beca me o u r " l ife. " Not a l l vowel s were affected. The
short e of bed and the short i of sit, fo r i n sta nce , were u n moved, so that
209
3: MEMES AND NORMS
we pronou nce those word s today just as the Venerable Bede said them
twelve h u n d red years ago. 59
N o o n e is exactly s u re w h at started t h is " c h a i n react i o n " of s h i fti ng
vowe ls. It co u l d have bee n an a rti c u l ato ry s h o rtcut, in w h i c h the " l east
effo rt" pri n c i p l e favo red the sta b i l izatio n of a n ew s o u n d in a give n speech
co m m u n ity; it co u l d have a l so bee n a m e re m i sta ke i n pro n u nciatio n
w h i c h s p read by i m itatio n ; o r, fi n a l ly, i t co u ld h av e been a n ew variant
so u n d i n trod u ced i nto a com m u n ity t h ro ugh o n e of t h e m a ny d iffere n t
ki nds of c o ntact situ ati o n . I n a way, t h e trigger for t h e G reat Vowe l S h i ft
is its l e ast i m po rta n t aspect com p a red with t h e dyn am i ca l c h a nges
u n leas hed by the cata lyst. G iv e n t h at t h e re is n o i ntri n s i c co n n ectio n
betwe e n t h e sou n d s t h at m a k e u p a wo rd a n d t h e me a n i ng (o r o b l i gatory
se m a ntic i n fo rmation) carried by the word, t h e u sefu l ne ss of a give n set
of so u n d s is g u a ra nteed by the m o re o r l ess syste m atic co ntrasts t h at
t h ey h ave with o ne a nother. I f o n e of t h e sou nds m oves towa rd a n oth e r,
t h e reby red u c i n g t h e contrastive power of bot h , t h e seco n d sou n d m u st
move as wel l . T h i s " p u s h -c h a i n" dyn a m i c t h e n co nti n u es u nt i l a w h o l e
series of so u n ds has a cq u i red a n ew positi o n that prese rves t h e o rigi n a l
co ntrasts. S i m u lta n eo u s ly, t h e " e m pty s pace" left be h i n d b y t h e very fi rst
move m e n t m ay n ow trigger a n ot h e r series of moti o n s by an u n re l ated
series of so u n ds to "fi l l " t h at e m pty s l ot . Li ngu ists ca l l t h is seco n d a ry
react i o n " d rag c h a i n " dyna m ics.6o
T h e fact t h at t h ese i nt e r n a l rea rra n ge m e n ts occu rred l a rgely u nco n
sciou sly over several gen e r ati o n s cou l d m i s l ead u s i nto t h i n ki ng t h at t h ey
were t h e prod u ct of a n i nte r n a l d rive i n l a ngu age . A l t h o ugh com pl etely
ci rc u l a r s h i fts l i ke t h i s o n e m ay be co n si d e red " ho m eostatic mec ha
n i sms" (a n d m ay be said to e n d ow the system of so u n d s with a certai n
d egree o f a uto n o my fro m gra m m a r, voca b u l a ry, a nd soci a l p ressu res),
t h ey can be exp l a i n ed u s i n g the s a m e m e c h a n i s m t h at exp l a i ns oth e r
(less a uto n o m o u s) c h a n ges i n l a n gu age: a n i nterp l ay of va r i a b l e l i n gu istic
repl i cators a nd the sort i n g device co n stituted by selecti o n p ress u res (i n
t h i s case, t h e n eed to preserve t h e fu n cti o n a l ity of l a ng u age i n eve ryd ay
co m m u n icatio n tasks).61 M o reover, p u s h- a n d d rag-c h a i n dyn a m i cs a n d ,
m o re ge n e r a l ly, s l ow switches from o n e sta b l e state to a n ot h e r m ay occ u r
n ot o n ly i n t h e s o n i c s u bst a n ce of t h e s p o ke n c h a i n , but a l so i n t h e rea l m s
of voca bu l a ry a nd syntax.
For exa m p l e , cert a i n words (su c h as the ve rbs "to get" or "to do") m ay
become slow ly e m ptied of t h e i r l exical mea n i ng a n d beco me "gra m m ati
cal ized , " t h at is, se l ected to become rel atively " m ea n i ngless" pa rticles
u sed to exp ress gra m m atica l fu n ct i o n s . T h e desema ntizatiol1 of wo rds as
210
L I NGUISTIC HISTORY: 1000-1700 A . D .
a means of recr u iti ng n ew gra m m atical d evices is a slow and u n conscio u s
process a. n d p rovides us w i t h yet o n e m o re sou rce of hete roge n e ity.
T h i s is, in fact, the type of h ete roge n e ity t h at La bov stresses t h e m ost:
t h e exist e n ce i n a l a ng u age of variable rules.62 A good exa m p l e is p rovided
by t h e gra m matical izati o n of t h e verb "to do," which was recru ited as a
d evice to express n egative a n d i nte rrogative c l a u ses. I ts desema ntizat i o n
occu rred s lowly, begi n n i ng i n t h e t h i rtee nth centu ry, but it re m a i ned
o n ly a p e r i p h e ra l gra m m atical device u nt i l t he end o f the fi ftee n t h . T h e n ,
d u ri ng t h e years 1535-16 2 5 i t w a s pressed i nto service t o perfo rm a n
i ncreasing n u m ber o f syntactical fu n ctio n s, l ater o n d ecreas i n g i n ra nge
u ntil sett l i n g i nto t h e ro l e it p l ays tod ay. T h e i m portant p o i n t h e re is t h at,
des pite its growi ng ra nge of fu n ctio n s , " it was by n o m e a n s obl igato ry i n
t hem a t t h e e n d o f t h e sixtee n t h centu ry (e.g. goest thou, h e goeth not
were sti l l co m m on), w h i l e in aHi rmative c l a u ses it was . . . in free variat i o n
w i t h t h e s i m p l e v e r b fo rms fo r t h e exp ress i o n of tense. "63
Tod ay, of co u rse, t h e u se of "to do" is o b l igato ry to express some gram
m atical fu n cti o n s in Engl i s h , which means t h at over a pe riod of several
ce ntu ries the gra m m atical ru l es fo r t h e use of this desema ntized pa rti c l e
tra nsm uted from o pti o n a l a n d vari a b l e to catego r i ca l . Acco rd i n g to Labov,
l i ngu i st i c co m pete nce s h o u ld be d efi n ed in s u c h a way as to i n cl u d e t h e
a b i l ity t o h a n d l e t h ese va r i a b l e ru les, a t d i fferent states of t h e i r evol utio n .
M o reover, h e attacks t h e trad iti o n (among S a u ssu rea n s a nd C ho m s ky
a n s) of co n ce ntrat i ng o n a study of sta n d a rd l a ngu ages p recisely beca use
their a rtificial h om oge n e ity obsc u res t h e existe n ce of n o n u n ifo rm, c h a ng
i ng gra m matical d ev i ces. (La bov, fo r i n st a n ce, finds a vari ety of varia b l e
ru l es i n h i s study of B l ack E n gl i s h - r u l es t h at do n ot exist a t a l l i n sta n
d a rd A m e r i c a n Engl i s h . 64) W h e n we add t h is i ntern a l , systematic sou rce
of variati o n to a l l t h e ot h e r sou rces t h at we h ave exa m i ned so far, t h e
p i ct u re of l a nguage t h at e m e rges is o ne of a h ete roge n eo u s m ixtu re of
n o rms in co n stant c h a nge, very d iffe rent fro m t h e traditi o n a l view of a
t i m e l ess, u n iversal stru ct u re isol ated i n its "sy n c h ro n i c" h eave n fro m a l l
t h e tu rm o i l a ro u nd it. A s D e l euze a nd G u attari p u t it: "Yo u wi l l n ever fi n d
a ho moge n o u s system t h a t i s n ot a l ready affected by a regu l ated , c o n
t i n u o u s , i m m a n ent p rocess of va riatio n (why d oes C ho ms ky prete nd n ot
to u n d e rsta n d t h is?). " 65
F u rt h e rm o re, t h i s varia b l e sou p of l i ngu istic (re p l i cati ng a nd cata lyz i ng)
m aterials was con sta n tly i nterm i ng l i ng with a l l t h e oth e r m ateri a l a nd
e n e rgetic flows that we h ave exa m i n ed i n t h i s book. Cities, pa rti c u l a rly
l a rge cities, were the p l aces w h ere the strangest m i xt u res of food a n d
ge n es, m o n ey a n d wo rd s, were co n cocted . T h e i nten sity of trad e , w h i c h
contrib uted to soci a l m o b i l ity (and t h e creatio n of a m i d d l e cl ass), d e-
211
3: MEMES AND NORMS
tached so me people fro m t h e i r o rigi n a l co m m u n icatio n netwo rks (a nd
fro m d e pe n d e n ce o n rel atives a n d n e i g h bo rs for their l ive l i hood), decre as
i ng t h e co nservative p ressu res t h at gro u p loyalty p u t on l i ngu istic c h a nge,
and al l owi ng t h e downwa rd p e n etratio n of the sta n d a rd . Also, m i d d l e
c l ass s pea kers, i n t h e i r a nx i o u s u sage of the h igh-p restige variant i n t h e i r
now m o re i m pe rso n a l a n d fragme nted social n etwo rks, te nded t o " hyper
co rrect" t h e i r d i a l ectal speech, add i ng an additi o n a l so u rce of va riatio n
a nd h ete roge n e ity.55 O n t h e oth e r h a n d , t h e co nsta n t f l ow o f rural i m mi
gra nts which k e pt cities a l ive a nd grow i n g a lso bro ught i n l i nguistic mate
r i a l s that co n t ri b u ted m u c h to the fo rmati o n of ghetto d i a l ects.57 La rge
cities, t h e refo re, co ntrib uted n ot o n ly to a defoc u s i n g of t h e n o rms (by
p ryi ng open soci a l n etwo rks via u pward mobil ity) b u t a l so to the creatio n
of n ew closed n etwo rks a n d , h e nce, n ew focused eth n i c varia nts:
La rge cities b ri ng together the critica l mass of s i m i l a r people needed to
fou nd co m m u n ities. W h i l e the I rish i n sma l l Leiceste rs h i re v i l l ages were
fo rced to blend in with the native Engl i s h , those in G l a sgow bega n Catholic
c h u rc hes and clu bs, b u i l d ing co m m u n ities a ro u nd their eth n ic loya lties . . . .
La rge cities . . . p rod uce stro ngly a rticulated val u e systems rather t h a n iso
l ated i n d ivid u a l s. They a re not melti ng pots, but mosa ics of d is pa rate
gro u ps, each of which fights to m a i ntain its own identity. At fi rst glance,
this view of cities is puzzli ng, fo r h ow can a pl ace be bot h i m pe rson a l a nd
cultu ra l ly i ntense? How ca n an i n d ivid u a l be both a n o nymou s a nd closely
i n volved i n a s pecific su bcu ltu re? The a n swe r is that cities co ntai n both
l a rge-scale and s m a l l-sca le envi ro n ments. Although i n p u blic p laces - the
sto res, offices, streets, a nd l a rge i n stitutions - co ntacts are rel atively b rief
a nd a n o nymo u s , there is a sepa rate, private socia l life to be fou n d on the
level of fa m i ly, neigh bo r hood, c l u b , and et h n i c gro u p that o perates with
d i ffe rent ru les.58
U rb a n ce nte rs , by h o u s i n g dynamical m ixtu res of e n e rgy, matter, a n d
catalytic re p l icato rs of d iffe re nt k i n d s (ge n es, m e m e s , n o rms, ro uti n es),
greatly i n fl u e n ced l i ngu istic evol u t i o n befo re the seve ntee n t h ce ntu ry.
Afte r t h at t hey wou ld co nti n u e to p l ay i m p o rta nt roles, b u t n ow as part
of l a rge r soc i o pol itica l e ntities: as t h e capitals of t h e e m e rgi ng nati o n
states. W h i l e befo re t h e F re n c h Revo l u t i o n a rgu me nts in favo r of d eve lo p
i ng a n d exte n d i ng t h e powe r of sta n d a rd F re n c h were made i n t h e n ame
of " rati o n a l ity, " d u ri ng a n d after t h at great t u rn i n g point t h e sta n d a rd
bega n to be defe n d ed i n terms of " n atio n a l ism" : o n e n atio n a l l a n gu age ,
o n e h o moge n e o u s ide ntity fo r a l l citizens, o n e set of l i n gu istic resou rces
to a l l ow ce ntral gove r n m e nts to tap i nto the rese rvo i rs co n stituted by
212
L INGUISTIC HISTORY: 1000-1700 A.D.
t h e i r grow i n g po p u l at i o n s . I wi l l ret u rn to t hese " n atio n a l ist" waves of
ho moge n izati o n w h i c h , in the latter p a rt of the m i l le n n i u m , bega n to
affect the l i ngu i sti c "stu ff" t h at had accu m u l ated n ot o n ly in E u ro pe , b ut
i n m a n y pl aces outs i d e of it.
213
A rguments and Ope rators
I have argued that structures
as different as· sedimentary
rock, animal species, and
social classes may be viewed
as historical products of the
same structure-generating
processes. (Or more accu
rately, of different concrete pro
cesses em bodying the same
abstract machine or engineer
ing diagram. ) Does language
embody an abstract machine
215
3: MEMES AND NORMS
too? T h e a cc u m u l at i o n s of l i n gu i st i c m a te ri a l s
t h a t a re s o rt e d i n to h o m oge n e o u s s ets a n d
c e m e n te d t o get h e r t h ro u g h i s o l a t i o n a re
exa m p l e s of st rat i f i ed syste m s , a n d , h e n c e ,
l a ngu a ge c a n b e s a i d t o e m body t h i s (d o u b l e
a rt i c u l a t i o n ) a b st r a ct m a c h i n e . S i m i l a rl y, i n s o
fa r a s t h e so u n d s , wo rd s , a n d co n st r u ct i o n s
o f a l a n g u a g e a re v i e w e d a s re p l i c a t o r s , l a n
g u a g es a l s o e m body a n a b stract p ro b e h e a d ,
o r sea rc h i n g d ev i c e . B u t t h e q u e st i o n 'we
m u st a d d ress n ow is t h i s : Is t h e re an a b st r a ct
m a c h i n e t h a t i s s pe c i f i c t o l a ngu a ge ? I n ot h e r
word s , d o t h e p rocesses res po n s i b l e fo r t h e
ge n e ra t i o n o f p h r a s es a n d s e n te n ce s e m body
an e n g i n e e r i n g d i a gra m t h a t d i st i n gu i s h e s t h e
st r u ct u re of l a n g u a ge f ro m t h e st r u ct u re of
roc k s , p l a n t s , a n d a n i m a l s ?
C h o m s ky be l i eves t h a t t h i s d i a g ra m
d ef i n e s a n abs tra c t robot e m bod i e d i n o u r
b ra i n s , a n a u t o m a t o n ca pa b l e of p rod u c i n g
eve ry v a l i d s e n t e n c e i n a g i ve n l a n g u a ge . I n
1 9 5 9 , C h o m s ky post u l ated t h e ex i ste n c e of
fou r d i ffe re n t ty pes of a b st r a ct a u to m ata
w h i c h d i ffe r i n t h e i r d e gree of com p l e x i ty :
f i n i t e - state a u t o m ata a re t h e s i m p l e st ty p e ,
fol l ow e d b y co n t e x t - s e n s i t i ve ro bots , c o n t e x t
f re e robots , a n d f i n a l l y Tu r i n g m a c h i n es . 69
216
ARG UMENTS AND OPERATORS
C h o m s ky a rg u ed t h at a l a n g u a ge c o u l d be
s e e n as m a d e u p of two co m p o n e n ts , a d i c
t i o n a ry (or res e rvo i r of wo rd s) a n d a set o f
rules d eterm i n i n g h ow t h o s e word s m ay b e
com b i n e d to m a ke l eg a l s e q u e n ces (w e l l
fo r m e d s e n t e n ces) . Th u s , g i ve n a s et of s e n
te n ces, t h e robot (a con text- free a u tom ato n )
cou l d te l l w h et h e r t h ey b e l o n ge d t o a g i ve n
l a n g u a ge s i m p l y by a p p lyi n g t h e r u l es . To t h e
robot, a s e nte n c e wa s n o m o re t h a n a s tring
o f inscriptio ns (wh et h e r t h e i n s c r i pt i o n s we re
o n c l ay, pa p e r, o r a i r wa s i m m ate r i a l to i t) ,
a n d t h e r u l e s w e re rec i p es t o test t h e s e
stri n gs fo r m e m b e rs h i p i n t h e set o f va l i d
st ri n gs . Th i s m o d e l wa s s u p p o s e d to ca pt u re
t h e g ra m m at i ca l i n t u i t i o n t h at a l l ows s p ea k
e rs of E n gl i s h t o te l l t h e d iffe re n c e betw e e n
" C o l o r l es s gre e n i d eas s l e e p fu r i o u s l y" a n d
" S l e e p gre e n co l o r l e ss f u r i o u s ly i d e a s " (o n e a
gra m m at i c a l l y va l i d st ri n g , t h e ot h e r i n va l i d ) ,
eve n t h o u g h b ot h st ri ngs a re s e m a n t i c a l ly
m e a n i n g l ess .
W h e n it ca m e t i m e to produce n e w s t r i n gs
( a s opposed to c h e c k i n g t h e m fo r va l i d ity) ,
t h e r u l e s w e re d i v i d e d i n to two types : o n e s et
ge n e rated t h e b a s i c l o g i c a l s ke l eto n of a s e n
te n c e ( i ts d e e p st r u ct u re) , w h i l e seve ra l ot h e r
217
3: MEMES AND NORMS
sets tra n sfo rmed t h i s n a k ed s e n t e n c e , fl e s h i n g it o u t with t h e mate r i a l s
of a re a l l a ngu age . ( T h e s e two co m po n e nts of a gra m m a r a re ca l l e d
"ge n e rative" a n d "tra n s fo r mati o n a l , " respective ly.) T h e ge n e rative com
po n e n t of the a u to m ato n was as s u m e d to be i n b o r n a n d to c a pt u re a l l
t h at i s u n iv e rs a l a b out l a ngu age (t h a t i s , a l l th at rema i n s co n sta nt across
d i ffe re nt l a n g u age s a n d i s u n a ffected by t h e i r p a rtic u l a r h i sto ries). C o u l d
w e co n s i d e r t h i s ro bot t h e a b stract m a c h i n e of l a ngu age? D e l e uze a n d
G u atta r i , a m o n g ot h e rs, a n swer t h i s q u estio n negative ly:
O u r criticism of th ese l i ngu i stic models i s not that they a re too a b stract
but, on the co ntra ry, that they a re not a b stract e n o u g h , that they do not
rea ch t h e abstract machine that conn ects l a n guage to the sema ntic a n d
pragmatic co nte nts o f statem en ts, t o collective asse m b lages of e n u n cia
t i o n , to a whole micrppol itics of the soc i a l fie l d . . . . [T] h e re i s no l a ngu age
in itse lf, nor a re t h e re a ny l i n gu istic un ive rsa ls, o n ly a t h ro n g of d i a l ects,
patois , s l a ngs, and spe c i a l ized l a ngu ages. There is no i d e a l spea ker-listener,
any more t h a n there is a hom oge neo u s l i n gu istic commu n i ty. Langu age
is, i n We i n re i c h 's wo rds, "an essenti a l ly hete rogeneous rea l i ty." T h e re is no
mot h e r to n g u e , o n ly a power ta keove r by a d o m i nant l a n g u age wit h i n a
political mu l t i p l ic ity' ?o
I n esse n c e , w h at D e l e u ze a n d G u att a r i o p pose is t h e postu l ati o n of a
" u n ive rsa l co re" (or syn c h ro n i c d i m e n s i o n ) of la nguage, si nce th i s rel egates
so c i a l p rocesses (su ch as p i d g i n izatio n , cre o l i zatio n , o r st a n d a rd i zati o n )
to a seco n d a r y ro l e , affect i n g at mo st t h e tra nsfo r m ati o n a l co m po n e n t of
t h e gra m m a r. W h at t h ey p r o pose i n stead is to give h i sto r i c a l p rocesses
a m o re fu n d a m e n tal role by mo d e l i ng t h e a b stract m a c h i n e of l a ngu age
n ot as an a u to m atic m ec h a n ism e m b o d i e d i n i n d i v i d u a l b ra i n s but a s a
.d i agram gove rn i n g t h e dyn a m i cs of co l l ective h u m a n i nte ra cti o n . T h e
m a i n p ro b l e m t o be solved i f w e a re t o i m p l e m e n t t h e i r p ro posal l i es i n
fi nd i n g a v a l i d m e a n s o f tra nsfe r r i n g t h e combinatorial productivity of t h e
a u t o m a to n , its a b i l ity t o p rod u ce a n i n fi n i te n u m b e r of se nte n ces o u t of
a fi n ite sto ck of wo rds a n d co m b i n at i o n ru l e s, to the patte r n s of b e h a v i o r
ge n e rated by d i ffe re nt soci a l dyn a m ics. O n e poss i b l e so l u t i o n m ay b e
t o assu m e t h at t h e post u l ated gra m m ati ca l r u l e s do n ot exist i n ou r
b ra i n s b u t are i n ste ad e m b o d i e d i n soci a l i n stitut i o n s . T h e p ro b l e m with
this so l u ti o n is t h a t, as is we l l k n ow n , h u ma n b e i ngs d o n ot l e a rn t h e i r
mot h e r to n gu e as a set o f ru l e s. I n d eed , it w a s t h e wel l-docu me nted a b i l
ity of c h i l d re n to l e a r n l a n gu age by b e i n g exposed to a d u l t con ve rsat i o n
(t hat i s , w i t h o u t b e i n g ex p l i citly t o l d w h a t t h e r u l es a re) t h a t motiv ated
the postu l a tio n of a n i n b o r n a u tom ato n in the fi rst pl ace. But if a set of
218
ARGUMENTS AND OPERATORS
ru l e s i s not the sou rce of t h e co m bi n ato r i a l pro d u ctiv ity of l a ngu age, t h e n
w h a t i s?
O n e possi b l e a n swe r is t h at words ca r ry with t h e m , as p a rt of t h e i r
m e a n i n g, " co m b i na to r i a l co n strai nts" t h at a l l ow t h e m t o restr ict t h e k i n d s
o f words with w h i ch t h e y m ay b e co m b i n e d . T h at i s , i n t h i s v i e w i n d i v i d
u a l words ca rry i n fo r m a t i o n a b o u t t h e i r fre q u e ncy of co -occ u rre nce with
ot h e r words, so t h at, as a give n wo rd i s a d d e d to a s e n t e n c e , this i n fo r
mat i o n exe rts d e m a n d s on t h e word or k i n d of wo rd t h a t m ay occu r n ext.
( F o r exa m p l e , afte r a d d i n g a d e f i n ite a rt i c l e to a stri n g, t h e follow i n g p o s i
t i o n i s co n stra i n e d t o be occu p i e d by a n o u n . ) Co m b i n ato r i a l p rod u ctivi ty
wou ld not re s u l t fro m a c e n t r a l ized body of ru l e s , b u t fro m a d e c e n t r a l
i zed p rocess i n wh ich e a c h word locally restricts t h e s pe a ke r's c h. o i ces a t
e a c h po i n t i n th e co n stru ctio n . O n e v e rs i o n of t h i s a l ter na tive w a y of
h a n d l i ng t h e prod u ct i o n o f se nte n ces was p ro posed long ago by t h e l i n
gu i st Geo rge K. Z i pf, who was p e r h a p s t h e fi rst to st u dy l a ngu age as
"stu ff, " t h at i s , a s a l a rge b o dy of m ate r i a l i n scri ptio n s ex h i b i t i ng c e rta i n
stati sti c a l regu l a r iti es. Z i pf cal l e d t h e t e n d e n cy o f words to occ u r n e xt to
e a c h ot h e r t h e i r degree of crysta l l izati o n : " To i l l u s trate t h e co m pa rative
d egrees of d e pe n d e n ce of wo rd s in s e n te n ce-st r u ct u re , l et us pe rfo r m
a n i m ag i n a ry expe ri m e n t . We m a y t a k e a s m at e r i a l a vast n u m b e r o f
Engl i s h se nte n ce s , j u st as t h ey a re s p o ke n , s a y a m i l l i o n o f t h e m . Fi gu ra
tively s pea k i n g we s h a l l now d a s h th ese se nte n ces on the fl o o r with s u ch
fo rce t h a t t h ey will b r e a k , and p i eces of t h e m wi l l scatter. Of co u rse,
so m e o f t h e wo rds, b e i n g m o re crysta l l ized i n a r r a n ge m e n t than o t h e r s ,
wi l l co h e re . Defi n ite a n d i n d efi n i te a rt i c l e s wi l l ad h e re to th e i r n o u n s ,
a u x i l i a r i e s to t h e i r ve rbs, p re positi o n s to fo l l ow i n g o bjects . "71
T h e l i ngu ist Ze l l ig H a r r i s , w h o i n trod u ced t h e noti o n of "tra n s fo r m a
tio n" i n to l i n gu i stics in t h e ea rly 1950s ( a n d so is no stranger to t h e
C h o m s kya n p a ra d igm), h a s d ev e l o ped a way to t a k e m eta p ho r i c a l
de s c r i pti o n s l i k e t h i s a n d tra nsfo r m t h e m i n to a ma t h e m a t i c a l t h e o ry of
l a ngu age t h at co m e s ve ry close to t h e a b stract m ac h i n e we a r e l o o k i n g
fo r. Acco rd i ng t o h i s t h e o ry, t h e co n stra i nts o r d e m a n d s t h at wo rds p l ace
o n one a n ot h e r a re t r a n s m itted as soci a l ly o b l igato ry i n fo rmati o n . (" I n fo r
m atio n" is b e i n g u se d h e re in t h e s e n s e of " p hys i c a l i n fo r mat i o n , " t h e
k i n d m e a s u red i n b i t s , n o t t h e s e m a nt i c i n fo r m at i o n u s ed i n d i ct i o n a ry
d e fi n i t i o n s . ) H a r ris expl i c itly d e v e l o p s h i s mo d e l of t h e soc i a l t ra n s m i s
s i o n of co m b i n ato ri a l co n st r a i nts i n ev o l u ti o n a ry t e r m s , w i t h d i ffe r e n t
co n st r a i nts (or rat h e r, t h e se ntences co n st r u cted wit h t h e i r h e lp) co m pet
i n g fo r the s a m e " i n fo r m atio n a l n i c h e s . " 72 He rejects the co n c e pt of a n
u n c h a n gi n g, h o m oge n eo u s co re o f l a ngu age , a n d t h e re fo re h i s t h e o ry
a l l ows us to a p p roach t h e q u est i o n of d i a l ecta l v a r i a t i o n (a n d t h e essen-
219
3: MEMES AND NORMS
t i a l h ete roge n e ity of l a ngu age) d i rect ly: n ot o n ly is l a ngu age i n co n st a n t
c h a n ge , wit h t h e stre ngt h o f t h e co n st ra i nts va ryi n g a l o n g a co n t i n u u m
fro m o pti o n a l t o o b l igato ry, b u t t h e rates o f ch a n ge t h e mse lves may be
d i ffe re nt fro m d i a l ect to d i a l e ct. H i s v i ew of l a ngu age i s co m plet e l y h i sto r
i ca l ; t h e s o u rce of t h e c o n st r a i nts t h e m s elves is t h e grad u a l sta n d a rd i za
t i o n (o r co n v e n tio n a l i zat i o n ) of c u sto m a ry u s age . T h u s , d e s p ite the fact
t h at c h a n ges in syn t a x may occ u r m u c h mo re s l owly t h a n c h anges i n
ot h e r a s pects o f l a n g u age, t h e synta ct i c a l e l e m e n t is n ot i so l ated from
sema ntics and p ragm aticsJ3
H a r r i s c l a s s i f i e s th ree m a i n types of co m b i n ato r i a l co n stra i n ts. The
s i m p l e st one i s w h at h e cal l s " l i ke l i h o od co n stra i n ts, " i n fo r m a ti o n c a r r i e d
by words a bo u t t h e w o r d s w i t h w h ic h t h ey te n d to co m b i n e more fre
quen tly as a m atte r of act u a l u s a ge . T h at i s , a wo rd l i k e "tiger" c a r r i e s
i n fo r m at i o n to t h e effect t h at it typ i c a l l y co-occu rs w i t h ot h e r wo rd s (s u c h
a s "fie rce" o r " h u n t i ng") b u t n ot ot h e rs (" p o l i te" o r " d a n c i ng"). N o t t h at
t h e re is a s pe c i fic r u l e b a r r i n g the se co m b i n at i o n s ; ra t h e r, as a m atter of
sta tistical fact, in a g i v e n s peech co m m u n ity th ese words occu r in certa i n
com b i nati o n s m u c h m o re fre q u e n tly t h a n i n ot h e rs . (T h e p h rase " d a nc
i ng tige rs" does occu r in c h i l d re n 's boo k s , but co m p a red with t h e ove ra l l
u s age o f t h o se two word s i n act u a l s p e e c h , t h i s co m b i n at i o n i s ra re . ) Fo r
a give n wo rd , t h e set of its m o st fre q u e n tly co-occ u r ri ng wo rd s (a fuzzy
set s i n ce it is i n co nst a n t c h a n ge, contracti n g a n d expa n d i ng) is cal l ed its
"sel ecti o n , " a n d in H a r r i s's m o d e l it is t h i s s e l e ct i o n set t h at fo r m s t h e
" co re mea n i n g" of t h e wo rd . ( H e n ce, t h e m e a n i n g o f wo rds wo u l d be
d ete r m i n e d by t h e i r co m b i n a b i l ity, n ot t h e i r i d e n t i ty. Fo r m a l d i ction a ry
d e fi n i tio n s a n d i n fo r m a l ste re otypes e m e rge fro m c o n v e n t i o n a l i zati o n of
l i ke l i hood co n st r a i nts .)74
A seco n d type of co nst r a i n t , t h e most f u n d a m e n t a l to t h e stru ctu re of
. l a ngu age, acco rd i n g to H a r ris, is t h e ope rato r- argu m e n t co nstra i nt, w h i c h
mod e l s t h e a ct i o n t h at v e r b s , adve rbs, adj ect i ves, p re po s i t i o n s , a n d ot h e r
l i n g u ist i c m o d i f i e rs h a v e o n t h e i r o bjects . U n l i ke t h e l i ke l i h ood co nst r a i nt,
the ope rato r-a rgu m e n t co nstra i n t b i n d s toget h e r n ot i n d i vid u a l wo rd s
b u t cl asses of w o r d s . A give n o p e rator, o n ce i n cl u d e d i n a sente n ce,
dema n ds a n a rgu m e n t of a certa i n c l ass. This co nstra i nt, too, a d d s i n fo r
m a t i o n to t h e s e nte n ce : t h e m o re u n fa m i l i a r t h e argu m e nt su p p l i ed for a
give n ope rato r, t h e m o re i n fo r m a tive it w i l l be. Of a l l t h e d i ffe re nt l i ngu i s
t i c fu n ctio ns t h at t h i s co nstra i n t m ay be u s e d to mo d e l , H a r r i s stresses
t h e o p e r at i o n t h at v e r b s p e r form on t h e n o u n s that serve as t h e i r su b
jects a n d objects, s i n ce t h i s o p e rat i o n yields t h e basic st r u ctu re of sen
t e n c e s . As i s we l l k n ow n , s e n te n ces affo rd t h e i r us e rs t h e means to
pe rfo rm two d i ffe re n t fu n ct i o n s : to identify fo r an a u d i e n c e the o bjects or
220
A RGUMENTS AND OPERATORS
eve nts to w h i c h t h e s pe a ke r is refe r r i n g a n d to say s o m et h i n g about t h o se
objects o r events. The o p e rato r-a rgu m e n t co n stra i n t , w h e n used to l i n k
v e r b s a n d n o u n s , a d d s t o a se nte nce t h e m e a n i n g o f " a b o u t n e s s , " t h e
a b i l ity to refe r n o t o n ly to i n d i vi d u a l o bje ct s a n d e v e n t s b u t a l so to co m
p l ex situations . ?5
F i n a l ly, H a r r i s post u l ates a t h i rd type of co n stra i n t, w h i c h he ca l l s " re
-d u ct i o n . " W h e n e v e r t h e l i ke l i ho o d t h at two wo rds wi l l co-occ u r beco m e s
v e ry h i g h , t h e a m o u nt of p hysica l i n fo r m atio n t h e i r co-occu r r e n c e a d d s t o
a s e n t e n c e i s co r res po n d i ngly l o w ; t h at i s , it a d d s v e ry l itt l e i n fo r m at i o n
t h at ca n n ot be s u p p l i e d b y t h e s p e a ker o r l i ste n e r. I n t h o s e co n d i ti o n s ,
o n e of t h e two wo rd s m ay be red u ced i n fo rm ( b e co m i n g a s u ffix o r prefix
atta c h ed to the ot h e r wo rd) o r eve n e l i m i n ated a l toget h e r. H oweve r, eve n
w h e n a wo rd h a s b e e n "ze roed , " t h e l itt l e i n fo r m a t i o n it u se d to ca rry i s
sti l l t h e re (o r m ay be reco n st r u cted b y t h e s pea k e r o r l i ste n e r) , so t h at
aft e r s u ccessive red uct i o n s t h e re su l t a n t s i m p l e r fo rms may ca rry (i n a
v e ry co m pressed way) a ra t h e r co m pl ex m e a n i ng. H a r r i s u se s t h i s t h i rd
k i n d of co n st r a i n t to exp l a i n t h e o rigi n of s o m e c l asses of wo r d s (s u c h as
a d v e r b s , p ro n ou n s , and s o m e co nj u n ct i o n s) as we l l as o f t h e d i f fe rent
a ffixes . ?6 In ot h e r w o r d s , t h e red u ct i o n co n stra i n t a l l ows H a r r i s to give a
h i sto r i c a l a cco u n t of t h e o r igi n of t h e m a i n wo rd c l a s s e s , cl asses wh i c h
a r e t a k e n as give n ( a s u n e x p l a i n ed p r i m itives) i n t h e C h o m s kya n t h e o ry.?7
T h i s is o n e o f t h e reaso n s why D e l e u ze a n d G u att a r i v i ew t h e C h o m
s kya n a u to m ato n as " n ot a bst ra ct e n o u g h . " T h e ro bot i s c a p a b l e of
e x p l a i n i n g the p rod u ct i o n of one set of fo rms (t hose of s e n t e n ce s) but
o n l y by assu m i n g a n ot h e r set of fo rm s (t hose of ru l es and p r i m itive wo rd
cl asses). I n H a r r i s 's m o d e l , o n the ot h e r h a n d , l a ngu age i s a t h o ro u g h ly
h i st o r i c a l p rod uct (t h e c u m u l ative resu lt of rest ricti o n s i n t h e occu r r e n c e
of wo rd s re l ative t o o n e a n ot h e r), a n d co m bi n a to r i a l co n stra i nts a r e tru l y
m o r p hoge n et i c : as n ew co n strai nts em e rge fro m co n v e n t i o n a l i zat i o n o f
c u sto m a r y u sage, ch a n gi n g t h e p ro ba b i l it i e s t h at wo rds wi l l co-o ccu r, l a n
gu age structu re s e l f- o rga n i zes as a proce ss i n vo l v i n g s uccessive depar
tures from equiprobability (i . e . , ra n d o m n e ss) in t h e co m b i n at i o n s fo r m ed
by re pl icati n g n o r m s . ? 8
T h i s sce n a ri o m e s h e s wel l wit h s o m e of t h e i d e a s we d e v e l o ped e a r l i e r.
I n p a rticu l a r, t h e e m erge n c e of l a ngu age m ay n ow be s e e n as t h e res u l t
of a d o u b l e a rt i c u l ati o n : a n accu mu l a t i o n fo rme d b y a s o rt i n g d ev i ce co n
s o l i d ated t h ro u g h a n a ct (o r s u cces s i o n of acts) of co n v enti o n a l i zat i o n o r
i n stitut i o n a l izat i o n . H owev e r, t h i s d i agram m a y be too s i m p l e eve n t o
acco u n t fo r s ed i m e ntary r o c k s , w h i c h a l so g r o w a n d d e v e l o p t h ro u g h
accretio n , t h at i s , t h e a m as s i n g o f fu rt h e r m ateri a l s a n d t h e pro l i fe rati o n
o f exi st i n g stru ctu re. Langu age, too, i n H a r r i s ' s v i ew, i s a n accreti o n a r y
221
3: MEMES AND NORMS
str u ct u re J9 I n particu l a r, o n ce certa i n h igh freq u e n cy co-occu rre n ces
h ave become o b l igato ry c o n stra i nts, spea kers begi n to c o n struct new
patte r n s by analogy to p reviously i n stitutio n a l ized o n es . P ri o r struct u res
co u ld, a l so p r o l iferate by recursion : o pe rato r-argu m e n t p a i rs, fo r exa m p l e ,
t h emse lves co u ld be made t h e a rgu m e n t of a I-l ig h e r-I eve l o pe rator.
H e nce, positive-feedback loops deve l o p w h e re struct u re (co n so l idated
acc u m u l ati o n s) favors accret i o n s , w h i c h in t u r n ge n e rate f u rt h e r struc
t u re . M o reover, t h e c reatio n of n ew patte r n s by a n a l ogy to p revi o u s ly
acc u m u l ated o n es (o r by recu rsive a p p l icati o n of exist i ng co nstrai n ts) is
what ge n e rates a system t h at , in retros pect, m ay a p p e a r to co n sist of a
set of ru les.80 (Of cou rse, so me l a ngu ages, s u c h as sta n d a rd E ngl i s h o r
F re n c h , are sets of r u les, a n d t h ey a re taught t o gra m m a r school c h i l d re n
as s u c h . T h e q u esti o n i s w h et h e r t h e l a n gu age t h at t h ose c h i ld re n l e a r n
at h o m e i n a n u nt uto red way i s a l so a s e t of ru l es o r rat h e r a s e t of n o r
mative co m b i n ato r i a l co n stra i nts.)
A noth e r feat u re o f H a rri s's t h eo ry m ay help u s m eet Dele uze a n d
G u atta r i 's d e m a n d t h at t h e a bstract d iagram b e " a bstract e nough . " I d e
a l ly, the a bstract m ac h i n e post u l ated to acco u nt fo r t h e ge n e rat i o n of l i n
gu istic fo rms s h o u l d n ot be t h e a bstract mach i n e of language ( i n w h i c h
case it wo u l d be h a rd to d i sti ngu i s h it f r o m a n "ess e n ce" of l a n gu age),
m u c h as the a bstract p ro be head we d i scu ssed befo re i s n ot the a bstract
mac h i n e of life (si n ce it m ay be " i nca r n ated" in a ny p o p u lati o n of repl ica
tors, n ot o n ly ge n es). S i m i l a rly, an " a bstract e n o u g h " d i agram t h at
exp l a i n s t h e ge n e ratio n of stri ngs of l i n gu i stic i n scri ptio n s s h o u l d i d e a l ly
expl a i n t h e m o r p h ogenesis of oth e r ( n o n l i ngu istic) stri ngs. I n ot h e r
w o r d s , l a ngu age m ay n ot be t h e o n ly structu re t h at ca n be viewed as a
syste m of d e m a n d s o r of req u i red repetiti o n s . W h i l e t h e struct u re of l a n
gu age is u n i q u e , t h e co n stra i nts t h at ge n e rate it a re n ot . ( B e i n g t h e s u b
ject of a ve rb is u n iq u ely l i ngu istic; h avi ng t h e occ u rrence of certa i n
t h i n gs d e pe n d o n t h e occu rre nce of ot h e r c l a sses of t h i n gs , is n ot . )
H a rris s hows h ow b y m a k i n g t h e co m b i n ato ri a l co n stra i n ts m o re rigid
we ca n ge n erate stri ngs of i n script i o n s l i ke t hose b e l o n g i n g to system s of
l ogic o r m at h e m at i cs , w h i l e by m a k i ng t h e m m o re flexi b l e we ca n p ro
d u ce m u sical stri ngs. F o r exa m p l e , wea k co nve rsat i o n a l (or discu rsive)
d e m a n d s co n stra i n t h e s u ccessive o rd e r of sente n ces in o rd i n a ry l a n
guage. I f we stre n gt h e n t hose d e m a n d s , so that s e n te n ces m u st n ow fo l
l ow one a n ot h e r in a p re scribed m a n n e r (and i f we fu rt h e r demand t h at
t h e seq u e n ce begin with se l f-ev i d e n t t r u t h s a n d co n c l u d e with a sente n ce
as t r u e as t h e prev i o u s o n es), t h e resu lt is a l ogical o r m a t h ematical p roof
struct u re . If we c h a nge the o p e rato r-argu m e n t h i erarchical co n stra i n t a nd
d e m a n d t h at o n ly t h e o p e rato r carry co nstrai nt-based i nformatio n , we
222
ARGUMENTS AND OPERATORS
t h e re by tra n sfo rm t h e a rgu m e n t i n to a variable a nd t h e o p e rator i nto a
function . (Th at a rgu me nts i n m a t h e m atics exercise n o co n strai nts is what
m a kes it a science o f re lati o ns , t h at is, of ope rato rs.)81 O n t h e o t h e r h a n d ,
if i n stead o f fix i n g t h e o p e rato r-argu m e nt re lati o n w e m a ke it v a r i a b l e , s o
t h at " m a ny varied re l ati o n s exist betwee n a l o nge r m u sical l i n e a n d its
s u bsegme nts," we can ge n e rate structu res l i ke t h ose ex h i b ited in m u sical
co m positi o n s .82 T h i s i s n ot to d e ny t hat exp l icit r u l e s exist in m a t h emati
c a l o r m usical syste ms, m uc h as t h ey d o i n sta n d a rd ized la ngu ages. The
q u estio n i s whether m a t h e m atics o r m u sic co u ld have o rigi n a l ly d evel
oped as a d ecentra l ized system of co n straints that o n ly l ate r was fo r m a l
i z e d as a ce n t ra l ized b o d y o f ru les.
In addition to prov i d i n g u s with an " abstract e n o ug h " d iagra m o f l a n
g u age , H a rri s's t h e o ry a l so meets t h e ot h e r req u i re m e n t we fo u n d l ack
i ng i n C h o m s ky's robot: that the a bstract mach i n e be d i rectly co n n ected
to a soci a l dyn a m ics. S pecifical ly, the co re o f H a rri s's model i n vo lves a
p rocess t h ro ugh w h i c h statistical regu l a rities i n u sage a re g ra d u a l ly tra n s
fo rmed t h ro u g h sta n d a rd izatio n i nto req u i red co n strai nts. B u t t h ese i n sti
tuti o n a l req u i reme nts wo u l d h ave no real ity i f t h e re was n o m ec h a n i s m
t h ro ugh w h i c h soci a l o b l igati o n s co u ld be e n fo rced . I t may be a rg u e d t h at
to be co m p l ete Ha rri s's t h e o ry d e m a n d s some k i n d of n o rm-e nforce m e n t
mecha n i s m , s u c h as t h at p rovided b y soc i a l n etwo rks. We s a w befo re
t h at, in socio l i ngu istics, the d egree of d e n sity of a n etwo rk (rough ly, t h e
degree to w h i c h , fo r eve ry m e m be r o f a co m m u n ity, t h e fri e n d s o f h i s o r
h e r fri e n d s k n ow each oth e r) a n d i t s degree of m u lt i p l exity (t h e degree to
which h i s or h e r l ife-s u p po rt activities depend on t h ose fri e n d s and frie n d s
o f "fri e n d s) a re viewed as t h e paramete rs t h at d efi n e i t s efficacy as a
n o rm-e n f o rcement d evice. I n a s e n se , t h ese parameters d efi n e t h e in ten
sity of our attachment to a give n c o m m u n ity or gro u p , a nd the n o rm s
e n fo rced wit h i n a n etwo r k d raw t he bo u nd a ries t h at d efi n e t h e i d e ntity o f
t h at co m m u n ity o r gro u p . T h u s, a v i ew of l a ngu age i n terms of co n st ra i n ts
o n wo rd c o m bi nati o n d i rectly i nvolves q u est i o n s of t h e effects t hat gro u p
m e m be rs h i p has o n i n d iv i d u a l s , a nd , i n that se nse, it meets Dele uze
and G u atta ri 's req u i re m e n t t h at "col lective asse m bl ages o f e n u nciat i o n "
b e m a d e a n i nt ri nsic c o m po n e nt o f t h e a bstract mac h i n e o f l a ngu age .
I s it poss i ble to exte n d ( o r co m p l e m e nt) H a rris's m o d e l so t h at a s i m i
l a r a bstract d i agram expl a i n s n ot o n ly t h e fo rm a n d fu n ct i o n o f i n d ivid u a l
se nte n ces b u t a l so t h e h i st o rical o rigi n of l a rger l i ngu i stic str u ct u res, s u c h
a s d iscou rses? O r m o re s pecifica l ly, i s t h e re a n a bstract m ac h i n e that ca n "
exp l a i n i n sociodynam ical terms t h e e m e rge n ce of d iscou rses exp ress i n g
worldviews (co h e re n t sets of va l u es a n d b e l i efs)? A m o d e l c reated b y t h e
a n t h ro p o l ogist M a r y D o uglas c o m e s close to defi n i ng s u c h a n a b stract
223
3: MEMES AND NORMS
mach i n e , a n d it may be l i n k ed with H a rris's t h e o ry of l a ng u age si nce i n
Dougl as's mod el t h e i nte n sity w i t h w h i c h i n d ivid u a l s a re attached to a
gro u p a l s o defi nes an i m portant fe at u re of "co l l ective asse m b l age s."
Anot h e r eq u a l ly i m portant trait of gro u p dynamics defi n e s not whom we
inte ract wit h , b u t ho w we i nteract; it does n ot be stow grou p-me m bers h i p
b u t contro l s be h av i o r i n t h e wid e r soci al context wit h i n w h i c h t h e g ro u p
fu nct i o n s. Do uglas, w h o ca l l s t h ese two a spects o f soci a l dynam ics "grou p"
and "grid , " o n e m e a s u r i n g the i nte n s ity of gro u p a l legi a n ce, the ot h e r
t h e i nte nsity of centra l i zed reg u l at i o n , has created a t h eory o f the se l f
o rga n izat i o n of wo r l d v i ews, i n w h i c h t h e kin d of cos m o l ogies th at e m e rge
in d i ffe re nt co m m u n ities d e p e n d d i rectly on t h e va l u es of the "gro u p"
a n d "grid" p a ramete rs. W h e n a p p l ied to specific so cial grou ps ( D o u gl as's
model d oes n ot a p p ly to e nt i re societies), t h ese two pa ramete rs d e fi n e a n
a bstract d i agram wit h fo u r poss i b l e sta b l e states t h at act a s " attracto rs"
fo r be l iefs a n d va l u es as they o rganize i nto a coh e re n t set. Or rat h e r
(s i n ce s h e m o d e l s n ot t h e d y n a m ics of bel i efs b u t t h e dyn a m i cs of groups
of believers ) , t h e two p a ra m ete rs d efi ne a l i festyle ( m o re o r less h i erarc h i
ca l , m ore o r l ess grou p-de p e n d e nt) a n d peo p l e coerce one an other to fu l ly
develop t h e i m p l icatio n s of t h at l i festyle. The res u ltant worldviews act as
attractors i n t h e sense t h at " t h e fo u r extre me gri d /gro u p positi o n s on the
d i agram a re l i a bl e to b e sta b l e states , stead i ly recr u it i n g mem bers to
their way of l i fe, w h i c h is at t h e same t i m e i n evita b ly a way o f Jtto u g �t: "83
W h e n both t h e gro u p a n d grid para m eters have h igh va l u es, the com
m u n ity in q u estio n not o n ly has a stro ng sense o f self-i d e ntity (t he gro u p
m ay s pe n d m u ch e n e rgy policing bo u nd a ries a n d e l a bo rati n g ru les of
ad m i ssion) but it is also we l l i ntegrated i nto l a rge r soc i a l grou ps. L ife
wit h i n a go ve r n m ent m i l ita ry i n stitutio n s u c h as t h e ar my or navy wou ld
serve as a good exa m p l e of this l ifestyl e , but so would the cu ltu re of a ny
h i e r a rch ical b u re a u c racy. Kee p i ng t h e v a l u e of gro u p a l l egia nce high but
l owe r i n g the v a l u e o f regu l at i o n (and integrati o n i nto a l a rger w hole)
res u l ts in sectar i a n l i festyles with stro ng gro u p i d e n tity b u t a we a k s e n se
of resp o n sibil ity to conform to a ny n o r m s t hat h o l d outside the grou p . I f
both param ete rs a re set at a low i nte nsity, gro u p m e m be rs refra in fro m
d rawi ng stron g bou n d a ri e s a ro u nd t h e m (they rat h e r e ngage in netwo rk
i ng; given the loose gro u p d e m a n d s , everyt h i ng seems o pen fo r negotia
tion), a n d t h ey tend to p a rtici pate in th ose areas of p u blic l i fe t h at are
less ce ntra l ized a n d h i e ra rc h i ca l . (A s m a l l - b u s i ness ent re p re n e u r wou ld
be a good exa m p l e h e re, but n ot t h e m a n age r of a l a rge corpo rati o n , par
ticu l a rly if he or s h e p a rti ci pates i n t h e corpo rate cu ltu re. ) F i n a l ly, t h e re
a re those w h o do not b e l o n g to closed g ro u ps b u t n evert h eless have l ittl e
ro o m t o m a n e u ver a ro u n d reg u l at i o ns a n d a re , i n d e e d , b u rde n e d by t h e m :
224
A RGUMENTS AND OPERATORS
As I see it, three corners exert a magnetic p u l l away from the midd le; i nd i
vid u a l i sts exto l l i ng a cu ltu re of in divi d u a l i sm ten d to become more a nd
more u n comm itted to each ot her and more co mm itted to the exciting gam
ble for big prizes. Ega l itari an idea l i sts committed to a secta rian cu lture
stro ngly wa l led aga i n st the exterior, become more a n d more en raged
aga i n st the outside society and more jea l o u s of each ot her. The su pportive
fra mewo rk a n d i ntel lectu al coherence of a hierarchical a n d co mpartmental
ized society n u rses the m i nd in cogent meta physical s pecul ations vul nera
ble to d isorder and i n dependence . . . . The fou rth co rner, the fu l ly reg u l ated
i nd ivi d u a l s u n affi l i ated to any grou p , is plentifu l ly i n h a bited in any complex
society, but not necessarily by peop l e who have chosen to be th ere. The
gro u p s [bureaucracies or sects] expel a nd downgrade d isse nters; the com
petition of i ndividu al ists . . . pu shes those who are weak into the more regu
lated areas where thei r opti o n s a re restricted a n d they end by d o i ng what
they are tol d . 84
Althoug h Dougl as's m o d e l m ay have to be e n ric hed in seve ral ways ,
even i n t h i s s i m p l e fo rm (with two pa ramete rs ge n e rati n g fo u r possi b l e
states) it m e s h e s we l l with t h e ideas w e h ave e x p l o red i n t h i s boo k . F i rst
of a l l , it atte m pts to capt u re some of t h e feat u res of gro u p d y n a m i cs
be h i n d t h e genesis of form at t h e l evel of co h e rent d i sco u rse . T h a t t h i s
m o rp hoge n etic process may t u r n out t o be more co m plex d oes n ot
d e p rive h e r hypothetical mod e l of va l id ity as a fi rst a p p rox i m atio n , part i c
u l arl y i f t h e model is given a n o n l i n e a r dynamic fo rm u lat i o n so that t h e
fi rst th ree co r n e rs o f the d i agra m become t r u e attractors . (A catastro p h e
t h eo ry versio n of Dougla s 's model d oes exist a n d p o i n t s i n t h e d i rect i o n
t h at t h i s refo rm u l at i o n wou l d h ave to take .85) Add itio n a l ly, t h e model i s
i n te nded to be u sed i n a botto m - u p way, to be a p pl i ed to t h e stu d y of
s pecific co m m u n ities, w h e re t h e co n stra i nts t h at t h e holde rs of a wo rld
view exert o n o n e a n ot h e r c a n be fu l ly specifi e d . In ot her wo rd s , t h e
s c h e m e i s not s u p posed t o a p p l y to societ ies a s a w h o l e b u t o n l y to
s m a l l e r s u bsets th ereof, wit h cities or natio n-states modeled as com plex
m i xt u res of several types of wo r l d vi ew.86 O n t h e other h a n d , Dougl as's
model has l i m itati o n s : it o n ly ca pt u res processes t h at take p l ace within
o rgan izati o n s o r col l ectivities, a n d h e nce ca n n ot acco u nt fo r t h e e ffects of
the t ra n s m i ss i o n of i d e a s and routin e s betwe en the mem bers of an ecol
ogy of i n stituti o n s or, i n d e e d , fo r a ny effect on the fo rm of d iscou rses
w h i c h the i nteractions between i n stit u t i o n s m ay have (e.g., the i n terac
t i o n s betwee n h ospita ls, schools, priso ns, a n d facto ries).
R etu r n i n g to the q u estion of the a bst ract mac h i n e of l a ngu age, both
H a rris and Douglas have co ntri buted cruci a l i n s ights i nto the e sse n t i a l ly
225
3: MEMES AND NORMS
collective character of t h i s m a c h i n e . I n bot h l i n g u i st i c evo l u t i o n a n d wo r l d
v i ew d ev e l o p m ent t h e re a re, no d o u bt, m a ny co n t r i b u t i o n s a n d i n nova
tions by i n d i v i d u a l s . But in m a ny cases it is the posit i o n of a n i n d i v i d u a l
i n a co m m u n i cation n etwo r k t h a t d e te rm i n es t h e fate of h i s or h e r co n t r i
b u t i o n . Co ns eq u e ntly, t h e accu m u l at i o n a n d co n s o l i d at i o n of l a ng u ages
and wo r l d v i ews i s a co l l ective e n t e r p ri s e , not the res u lt of i n d i v i d u a l s e l f
e x p ressio n . Mo reov e r, to t h e extent t h at t h e res u l t i n g l i n gu ist i c a n d d i s
cu rsive fo rms a re t r a n s m itted to n ew ge n e ratio n s (or n ew m e m be rs)
t h ro u g h e n fo rced repetiti o n , t h e se fo rms a re re p l i cato rs ; h e nce we n e e d
to u s e " po p u l atio n t h i n k i n g" t o d e scri be t h e i r evo l u tio n a ry dyn a m i cs.
Th is, too , fo rces o n u s the n e ed to a p p roach t h e s u bj ect in t e r m s of co l
l e ct i v i t i es ra t h e r t h a n i n d i v i d u a l s . O n t h e other h a n d , the co l l ective
d y n a m ics m ay be such ( l ow grou p/low grid) that i n d iv i d u a l s may p l ay sig
n i fica nt·rol e s i n t h e fate oft hese acc u m u l at i o n s . B u t eve n so , it m ay be
a rg u e d t h at t h i s extra roo m to m a n e u ve r is affo rd ed to i n d i vid u a l s by the
sta b l e state gov e r n i ng t h e co l l ective d y n a m ics, and i n a n y case t h ose i n d i
v i d u a l s owe t h e i r s u r p l u s fre ed o m to t h e fact t h a t t h ey are co n n e cted to
d e centra l i zed struct u res (s u c h as m a r kets), w h i c h a re every bit as co l lec
t i ve as t h e m o st ro u t i n i zed h ie r a rc hy. B?
We may now p i ct u re t h e struct u re-ge n e rati ng p rocesses be h i nd i n d iv i d
u a l se n t e n ces a s e m bo d y i n g a n a bstract ma c h i n e o p e rati ng o n t h e basis
of co m b i n a to r i a l co nst r a i nts t ra n s m i tted as r e p l icators. T h e p rocess of
t ra n s m i s s i o n itse l f i n v o l ve s co l l e ctive m e c h a n i s m s of e n fo rce m e n t , w h i c h
a re a l so p a rt o f t h e a bstract ma c h i n e of l a ngu age a n d w h i c h m ay be
u s ed to acco u n t fo r t h e e m e rge nce of co h e rent struct u res m a d e o u t of
m a n y s e n te n ces ( d i scou rses e m bod y i n g specific wo r l d v i ews). N ow we
m u st ret u rn to t h e h i sto rica l d e v e l o p m e n t of both t h e se co m po n e n ts of
t h e a bstract m ac h i n e a n d exa m i n e t h e h i story of t h e i r m u lti p l e a n d
co m p l e x i n te racti o n s .
226
L inguistic History:
1 700-2000 A . D.
T h e e i ghtee n t h ce n t u ry wit
n essed two d ra m at i c d eve l o p
m e n ts t h at we re t o a ffect
p rofo u n d ly t h e fate of t h e l i n
gu i st i c m i xt u res of E u ro pe :
t h e rise of n at i o n a l i s m a n d
t h e g rowt h a n d s p read of d i s
c i p l i n a ry i n st i t u t i o n s . O n o n e
ha n d , t h e p roj e ct o f n at i o n
b u i l d i ng wa s a n i ntegrat i ve
m ove m e nt , forg i n g bo n d s t h at
we n t beyo n d t h e pri m o rd i a l
227
3: MfMfS AND NORMS
t i es of fa m i ly a n d l o ca l ity, l i n k i n g u r b a n a n d
r u ra l p o p u l a t i o n s u n d e r a n ew s oc i a l co n t ract .
O n t h e ot h e r h a n d , com p l e m e n t i n g t h i s p ro
cess of uni fication , t h e re was t h e l ess co n
s c i o u s p roj ect of uni formation, of s u b m i tt i n g
t h e n ew p o p u l a t i o n of free c i t ize n s t o i n t e n s e
a n d co n t i n u o u s t r a i n i n g, test i n g , a n d o b se r
vat i o n to y i e l d a m o re o r l ess u n i f o r m m a ss
of o b e d i e n t i n d i v i d u a l s . T h i s wa s n ot to b e ,
h oweve r, a n u n d i ffe re n t i ate d m a s s , b u t o n e
w h os e com po n e n ts w e re s u ff i c i e n t ly i n d i v i d u
a l ize d to t h e n be sorted o u t i n to t h e ra n ks
of t h e n e w m e r i t o c ra c i es , w h e re a chi eve d sta
t u s re p l a c e d a s c r i b e d sta t u s a s t h e c r ite r i o n
fo r esta b l i s h i n g ra n k . A l t h o u g h u n i f i cat i o n
a n d u n i f o r m at i o n d i d n ot a l ways go to get h e r
( a n d , i n d e e d , t h e i r re q u i re m e n ts s o m et i m es
c l a s h e d 88) , c e rta i n cou n t r i es u n d e rw e n t bot h
p rocesses s i m u l ta n e o u s l y. As Fo u ca u l t w r i tes :
H isto r i a n s of i d e a s u s u a l ly att r i b u te t h e
d rea m of a p e rfect soc i ety to t h e p h i l o so
p h e rs a n d j u r i sts of t h e e i g h te e n t h ce n
t u ry; b u t t h e re w a s a l so a m i l i t a ry d rea n1
of s o c i ety; its fu n d a m e n ta l refe re n ce was
n ot to t h e state of n at u re , but to t h e
m et i c u l o u s l y s u b o rd i n ate d cogs o f a
228
LINGUISTIC HISTORY: 1 700-2000 A.D.
m a c h i n e , n ot to t h e p r i m a l s oc i a l co n t ra ct ,
b u t to p e rm a n e n t co e rc i o n s , n ot to fu n d a
m e n ta l r i g hts , b u t t o i n d ef i n i t e l y p rogres
s i ve form s of t ra i n i n g , n ot t o t h e ge n e ra l
wi l l b u t to a u to m at i c d oc i l i ty. . . . T h e
N a p o l e o n i c reg i m e wa s n ot fa r off a n d w i t h
i t t h e fo r m o f state t h at wa s to s u rvi ve i t
a n d , we m u st n ot forget , t h e fou n d at i o n s
o f w h i c h w e re l a i d n ot o n ly by j u r i sts , b u t
a l s o b y s o l d i e rs , n ot o n l y cou n c i l l o rs of
stat e , b u t a l s o j u n i o r off i c e r s , n ot o n l y t h e
m e n of t h e cou rts , b u t a l so t h e m e n of t h e
ca m p s . T h e Ro m a n refe re n c e t h at a cco m
pa n i e d t h i s fo r m a t i o n c e rta i n ly b e a rs w i t h
it t h i s d o u b l e i n d ex : c i t i z e n s a n d l e g i o n a r
i es , l a w a n d m a n o e u v res . W h i l e j u r i sts o r
p h i l os o p h e rs w e re s e e k i n g i n t h e p a ct a
p r i m a l m o d e l fo r t h e co n s t r u ct i o n o r re co n
st r u ct i o n o f t h e soc i a l body, t h e s o l d i e rs
a n d w i t h t h e m t h e te c h n i c i a n s of d i s c i p l i n e
w e re e l a bo rat i n g p roc e d u res for t h e i n d i
v i d u a l a n d co l l e ct i ve co e rc i o n of bod i e s . 8s
I n Fra n ce , n ot o n l y d i d u n i f i cat i o n a n d u n i
fo rm at i o n co e x i s t , b u t t h ey rea c h e d a h i g h e r
p e a k, of i n te n s i ty d u r i n g t h e R evo l u t i o n of
1 789 t h a n i n ot h e r E u ro p e a n n a t i o n s . I n pa r229
3: MEMES A ND NORMS
ticu l a r, the revo l u ti o n a ry a r mies, l ate r to become t h e c o re of the N a po
l e o n i c war m a c h i n e , were the perfe ct e m bo d i m e n t of both p rojects. T hese
were citize n a rm ie s , u n l i k e t h e mostly m e rc e n a ry armies t h at h a d h ereto
fore d o m i n ated E u ro p e a n warfare, a n d t h e refo re l a rger and stro nge r i n
m o ra l e . T h ey were a m a n ifestatio n o f t h e fact that t h e new social pact
had transfo r m e d t h e grow i n g po p u l atio n of Fra n ce i nto a vast reservo i r of
m a n power, to be ta p ped n ot o n ly for pol itical pa rtici patio n in the new
d e mocratic i n stitut i o n s , but a l so as a m assive sou rce of n ew recru its. I n
o rd e r to fu n cti o n as p a rt of a l a rger mach i n e , howeve r, t h e se masses
wou ld need to b e " p rocessed" by m e a n s of novel m et h od s of d r i l l a n d
exercise a n d co nti n u o u s o bse rvati o n a n d exam i n ati o n , w h ic h a l o n e cou l d
tra n sfo rm t h e se h u m a n r a w m ate rials a l ready possessed of n at i o n a l istic
fe rvo r i nto e ffici e nt co m po n e nts of a n ew co m b i n at o r i a l ca lcu l u s in t h e
battlefi e ld (e.g. , t h e tactical syste m of J acq u es-A ntoi n e d e G u i b e rt).9o
Both t h e m e s hwo rk of d i a l ects a n d t h e s u p e r i m posed h i e ra rc h i ca l
sta n d a rd l a nguages were affe cted i n a vari ety of ways b y t h ese two soc i a l
p roje cts . A ro u nd 1 760 ( i n F ra n ce as well as i n ot h e r co u ntries), d i a l e ctal
variat i o n c a m e to be s e e n n ot as a q u estion of i n fe r i o r rat i o n a l ity relative
to the sta n d a rds, b u t as a p ro bl e m of the state : a n o bstacle to u n i fi ca
tio n and n atio n a l co n so l i d ati o n , a pote nti a l sou rce of local resista n c e to
i nt egrati o n i nto t h e l a rger soc i a l body. D u ring the F re n c h R evol utio n , t h i s
n ew attitude toward l a nguage led t o i nt o l e ra nce, n ot o n ly towa rd aristo
cratic Lat i n , but a l so towa rd t h e d i a l e cts a n d patoi s (d i a le cts without a
writing system) t hat t h e m ajo rity of F re n c h citizen s spoke, but w h i c h now
represented p rov i n c i a l ism and backwa rd n ess to the Pa r i s i a n e l ites. T h i s
l i ngu i stic c h a u v i n is m w a s exp ressed t h u s b y a revo l u ti o n a ry i n 1 794:
" F e d e ra l i s m and s u p e rstitio n speak B reto n ; emigratio n a n d hatred of t h e
R e p u bl ic s p e a k G e rm a n ; t h e cou nterrevo l u t i o n spea ks I ta l i a n , a nd fa n ati
cism spea ks Basq u e . " 91 D u r i n g t h e se t u r b u l e n t yea rs , spea k i ng F re n c h
ca m e t o be s e e n as a pol itical a ct, a n expression of pat rioti sm. R evol u
tio n a ri es were d ivided as to w h at co u nted as " po l itica l ly co rrect" French
(t h e s a n scu l ottes wanted it " brutal a n d v u lgar, " while the l e a d e rs of the
French natio n a l ass e m b ly p re fe rred it "free, bold and m a n ly"), b u t t h ey
we re u n ited i n t h e i r co m m o n d i strust of t h e d i a l ects , w h i c h t hey bel i eved
the e n emy m ight u se to fragment and m a rgi n a l ize the m asses.92
T h e study of G re e k a n d Lati n i n school was viewed by revol utio n a ri es
as a t ra n sm ission of d e ad k nowledge t h ro u gh dead l a nguages a n d was
eve ntu a l ly fo r b i dd e n . ( N a po l eo n , a classicist h i m se l f, wou ld rei n state t h e
i n st r u ction of Lati n i n s c h o o l s late r o n .) T h e cou nterrevo l ut i o n , o n t h e
ot h e r h a n d , d efe n d e d Lati n o n t h e gro u nds t h at it a l lowed the dead t o
speak t o t h e l ivi ng, t h u s p rovid i ng co nt i n u ity w i t h t h e c l assical past, a
230
LINGUISTIC HISTORY: 1 700-2000 A . D .
conti n u ity t h re ate ned by the ris i n g vern acu l a rs. B e h i n d this st ruggle ove r
t h e re l ative m e rits of major l a ngu ages (both sides d espised m i n o r l a n
gu ages), t h e re was a p h i loso p h ical attit u d e towa rd l a nguage in ge n e ral
t h at fou nd exp ressi o n in t hese yea rs and l aid the fo u ndation of the d i s
pute. T h e i d e a t h at t h e structu re of l a nguage d ete rm i n es t h e str u ct u re of
p e rce pti o n m ay h ave o rigi nated wit h D i d e rot and Co n d i l lac, a n d it fi rst
acq u i red po l itica l overto nes d u ri ng t h e F r e n c h R evoluti q n . Bot h sides
too k this idea very seriou sly. The revo l u t i o n aries fou n d covert, o p p res
sive m e a n i ngs h i d i n g be h i n d old words (especi a l ly b e h i nd aristocratic
titles and n a m es) and a d d ed to t h e i r pol itical age n d a the "rela ngu agi ng"
of eve ryt h i ng, from t h e F r e n c h ca l e n d a r to p l ace- n a m es. T h e cou nte r
revo l utio n , on its sid e , saw its e n e m i es as "d ru n k on syl l a bles; rioting i n
a n o rgy o f wo rd s, iss u i ng from su ffocat i n g rive rs o f speech e s, boo ks
and pam p h l ets. "93 A fu n d a m e nta l m i s u n d e rsta n d i ng of the m ea n i ng of
ce rta i n wo rd s (e.g. , egaJite, volonte), the roya l i sts bel i eved, had s h a ped
t h e revo l utio n a ri es' t h o ug ht p rocesses a n d d i sto rted their p e rceptio n
of t h i n gs.
Whatever the m erits of t h i s v i ew of the n atu re of l a nguage and pe rce p
tio n , a n atio n a l l a ngu age was felt n ecessa ry beca u se o n ly t h ro u g h l i ngu i s
t ic u n ity co u ld t h e e m e rg i n g e l ites m o b i l ize t h e m asses fo r peace a n d fo r
w a r. A u n ifo rm m ea n s of co m m u n icati o n was n e ed ed to t ra n s m it t h e n ew
pol itical ideals to t h e peo p l e a n d a l low t h e i r p a rtici patio n i n a n atio n a l
pol itica l process. I t w a s a lso n e cessary as a m e a n s of exhortat i o n (to t a p
i nto t h e h u m a n reservo i r b y m a n i p u lati ng natio n a l istic fee l i ngs) a n d as a n
i nstru m e nt o f co m m a n d i n t h e a rmy. T h is latte r task beca m e even m o re
i m po rta nt as N a po l e o n tra n sfo rmed wa rfa re from t h e dyn astic d u e l s
typical of t h e eighte e n t h centu ry t o t h e k i n d of "total war" w i t h w h ic h w e
a re fa m i l i a r tod ay, a fo rm of wa rfa re i nvolvi ng t h e co m p l et e m o b i l izatio n
of a n ati o n 's resou rces. I n t h i s rega rd, o n e of t h e m ost i m po rta nt " i n n o
vati o n s" of t h e R evol ut i o n was t h e c reatio n of a recru itm e n t system t h at
a m o u nted to u n iversal co n sc r i pti o n o r co m p u l so ry m i l itary se rvice.94
The tran sfo r m ati o n of the F re n c h po p u lati o n i nto a h u m a n reservo i r to
be m o b i l ized fo r tota l war was i n itiated by a n i n stitutio n a l speech act, a
d ecree issued by t h e N atio n a l Convention i n August 1793:
. ' . a l l F re n chmen a re p e rm a n e ntly req u isiti o n ed for se rvice i nto the armies.
You ng m e n w i l l go fo rth to battle; ma rried m e n w i l l forge wea p o n s and
tra n spo rt m u nitions; wom e n w i l l make te nts a n d clot h i ng a n d serve i n hos
p ita l s ; c h i l d re n w i l l ma ke l i n t from old l i n e n ; a n d old m e n will be brought to
the pu b l ic s q u a res to a rouse the cou rage of the sold i e rs , w h i l e p reachi ng
the u n ity of t h e R e p u b l ic a n d hatred aga i n st k i ngs.95
231
3: MEMES AND NORMS
Of co u rse, as with a l l speec h acts, t h i s d ecree's powe r to cata lyze a
m ajo r soci a l c h a nge d e p e n d ed on m a ny n o n l i ngu istic facto rs , s u c h as t h e
existe n ce of a grow i ng u rb a n po p u l atio n w i t h o u t c l e a r eco n o m i c p rospects
and an ad m i n istrative a p paratus c a p a b l e of h a n d l i n g the bu rea ucratic
tasks d e m a n d ed by such a m assive m o b i l izati o n . 96 The efficacy of t h e
d ecree a l so d e pe n d ed o n a n i nte n s i fi catio n of t h e u ses of d isci p l i n e ,
s u pervis i o n , a n d exa m i n atio n . A s i m i l a r remark can be m a d e a bo u t t h e
i n stitutio n a l s peech acts that a b o l i s hed the u se of L at i n a n d no n-Pa ri s i a n
d i a l ects d u ri ng the R evol utio n . I n particu l a r, the " F ren c h ificatio n" o f t h e
p rovi n ces was not a p roj ect t h at co u ld be real i stica l ly ca rried out at the
e n d of t h e eighte e n th ce ntu ry, becau se t h e re was yet a n i n s u fficie nt n u m
b e r of teac h e rs . (T h i s p rocess wo u ld have to wait a b o u t a h u n d red years,
u n til 1881-1884, when pri m a ry ed ucation in sta n d a rd F re nc h was made
cO m p u l so ry.97) Add itio n a l ly, schools had to be tra nsfo rmed i nto d isci pli
n a ry i n stit u t i o n s , a slow p rocess t h at had begu n befo re the Revol u ti o n .
T h roughout t h e eighte e n t h a n d n i n eteenth ce ntu ries, schools evolved with
i n a co m pl ex i n stituti o n a l eco logy (th at i n cl uded hospitals a nd b arracks,
prisons and facto ries), i n creasi ng their u se of writing to reco rd i n d ivid u a l
d i ffe re n ces, of repetitive exe rcises fo r both tra i n i ng a n d p u n is h m e nt, a n d
o f a syste m of co m ma n d based on sign a l s that trigge red i nsta nt obed i
e n ce . As Fouca u lt observes, "The trai n i ng o f school-c h i l d re n w a s to b e
ca rried out i n t h e s a m e way [ a s i n t h e a r my] : few wo rds, no exp l a n at i o n ,
a total s i l e nce i n terru pted o n ly b y signals - be l l s , c l a p p i ng o f h a n d s , ges
t u res, a m e re g l a n ce from the teach e r. "98
O n e s ho u l d be ca refu l , h owever, a bo u t extra pol ati ng F o u cau l t's fi n d i ngs
to oth e r cou ntries, becau s e e ig htee nth-ce ntu ry F ra n ce was a pioneer i n
t h i s rega rd . H e r a rs e n a l s a n d a r m o ries we re a t t h i s t i m e d eve l o p i n g o n e
o f t h e k ey e l e m e nts o f m ass prod uctio n ; h e r l a ng uage academy was t h e
wo rld 's lead i n g sta n d a rd i zing i n stituti o n ; a n d , fi n a l ly, m ost othe r n ati o n s
i m pl e m e nted d e mocratic i n stituti o n s a n d re pl aced t h e i r a ristocracies with
m e ritocracies wit h o ut pai nfu l revo l u ti o n s a n d ove r m u c h l o nger periods
of t i m e . E n g l a n d (w here t hese cha nges were effected o n ly afte r seven
d ecad es of social refo r m , 1832-1902) is i l l u strative h ere precisely beca use
it i nvolved such d i fferent co nd itio ns. In particu l a r, a key e l e m e n t of the
process of nation b u i ld i ng - o n e t h at Fra nce was late i n i m pl e m e n t i n g
w a s t h e creati o n of a n ationwide m a rket. As we o bserved i n t h e fi rst c h a p
ter, u n l i ke local a n d eve n regi o n a l m a rkets, n atio n a l m a r kets were n ot
self-o rga n i zed mes hwo rks b u t i n vo lved a good d e a l of co m m a nd e l e m e nts
e m a n ati ng fro m the capital c ity. If Paris played the rol e of i ntel l ect u a l hot
house, w h e re t h e id eas a n d e n e rgy be h i n d the Revo l ution acc u m u l ated
and synth e sized , Lo n d o n pl ayed the ro l e of a h uge eco n o m i c mach i n e
232
L INGUISTI C HISTORY: 1700-2000 A . D .
a n i m ati n g t rade fl ows t h ro ughout Engl a n d . Bot h c a p ita l s were u lt i m ately
parasitic, and yet t h ey we re a lso esse ntial to the process of fo rg i n g a u n i
fie d , h i e ra rc h i ca l n at i o n a l entity out of a m e s hwo rk of p rovi nces a n d
regio ns:
T h ese tow n s . . . re p re s e nte d e n o r m o u s expe n d itu re . T h e i r eco n o my w a s
o n ly ba l a nced b y o utside re s o u rce s ; ot hers h a d t o pay fo r t h e i r l u x u ry. W h at
u s e w e re t h ey t h e refo re, in t h e West, w h e re t h ey s p r a n g u p a n d a s s e rted
t h e m s elves so powe r f u l ly? The a n sw e r i s t h at t h ey p rod u ce d the m o d e r n
stat e s , a n e n o r m o u s tas k req u i ri n g a n e n o r m o u s effort. T h ey p ro d u ce d t h e
n at i o n a l m a r kets , w it h o u t w h i c h t h e m o d e r n state wo u l d be a p u re ficti o n .
F o r, i n fact, t h e B r itis h m a rket w a s n ot b o r n s o l ely o f t h e p o l it i c a l u n i o n o f
E n gl a n d with Scotl a n d ( 1 707), o r t h e Act o f U n i o n with I re l a n d ( 180 1 ) , o r
beca u s e o f t h e a b o l i t i o n o f s o m a ny t ol l s . . . o r beca u s e o f t h e s p e ed i ng u p
o f tra n s p o rt. . . . I t was p r i m a ri ly t h e re s u lt o f t h e e b b a n d flow o f m e r c h a n
d i se to a n d fro m L o n d o n , a n e n o r m o u s d e m a n d i n g c e n t r a l n e rvo u s system
which c a u se d eve ryt h i n g to m ove to its own rhyt h m , overtu r n e d eve ryt h i n g
a n d q u e l l ed everyt h i ng.99
H e re, too , we fi nd t h e s a m e co m bi n at i o n of i n stituti o n a l speech acts
i n sta ntly creati ng po l itical u n i o n s or d e stroy i n g econ o m i c o bstacles (tol ls),
and a n e n e rgetic and m ate ri a l p rocess (i nte nsified trade fl ows) s u stai n i ng
the effi c i e n cy of those l i n g u i stic catalysts. T h e m ost i m portant fo rm of
m e rc h a n d i se flowi ng fro m L o n d o n i n the eighteenth centu ry, i n te rms of
its effect o n l i ngu istic m ateri a l s , were the " l i ngu istic engi n e e r i ng" d evices
co n stituted by a ut ho ritative (and a ut h o rita r i a n ) d i ctio n a ri e s , gra m m a rs ,
a n d g u ides t o prope r p ro n u n c i atio n . U n l i ke i n F ra n ce , t hese wo u l d n o t be
t h e p rod u ct of gove r n m e n t i n stitut i o n s (acad e m ies) b u t of i n d ivid u a l s ta k
i ng adva ntage of the e m e rgi ng n atio n a l m a rket, w h i c h a m p l ified t h e i r
effo rts a s m u c h , o r m o re, t h a n any n ationwide o rga n ization cou l d . T h ese
d evices, p e r h a ps best i l l u strated by Sa m u e l J o h n so n 's d ictio n a ry of 1 7 5 5 ,
h ad a lo ng- l asting effect o n t h e Engl i s h sou p o f l i ngu istic repl icators,
i nc reasi ng its ho mogen izat i o n and the s u b o rd i n at i o n of a l l ot h e r d i a l e cts
to the written sta n d a rd of Lo n d o n . T h e soci al dyn a m ic of Lo n d o n a n d
ot h e r l a rge tow n s , w h e re t h e m i d d l e c l ass w a s growi ng i n n u m be r a n d
i m po rta nce, greatly faci l itated t h e penetrati on o f t he se devices, s i n ce , a s
w e o bse rved earl i e r, it i s i n SOCia l ly m o bi l e classes t h at t h e press u res
from soc i a l n etwo rks to prese rve l ocal l i ngu istic patte r n s a s badges of
i d e ntity are at t h e i r we a k est.
W h e n Dr. Jo h n so n p u bl i shed the fi rst ed itio n of h i s d ictio n a ry, Lo n d o n
had a l ready experie nced a w h o l e centu ry of a u t h o rita rian attitudes
233
3: MEMES AND NORMS
towa rd l a n g u age, mostly i n spi red by write rs such as J o h n D ryd e n ,
D a n i e l Defoe , a n d J o n at h a n Swift. T h ese writers p u b l i c ly d ecried t h e
"co rru ptio n " of t h e E n gl i s h l a ngu age by s po nta n e o u s l i n g u i stic c h a nge
a n d l a m e nted the l ac k of an acad e my on the F re n c h mod e l to p rotect
t h e " p u rity" of t h e l a nguage by fixi ng it i n its p u re state fo r a l l t i m e .
(Defoe, fo r i n sta n ce , wanted t o m a ke t h e co i n i n g of new wo rds as cri m i
n a l as co i n i ng m o n ey. ) lOO B u t n ot h i ng ca m e of t h ese ca l l s fo r l i ngu i stic
refo rm u n t i l D r. J o h n so n 's d icti o n a ry cod i fied the l exical featu res of E n g
l i s h , that is, recorded " re p utable" voca bu lary a n d exh i bited "correct"
p ro n u nciati o n patte r n s :
So stro ng was t h e social i nfl ue nce o f D r. J o h n so n that h i s work became
synonymous with the wo rd dictionary itse lf, and the dicti o n a ry domi nated
Engl i s h letters fo r over a ce ntu ry and re mai ned in u se u ntil 1900. One mea
s u re of the dictato rial powe r of lithe D ictionary" is the fact that a B i l l was
thrown out of Parl iament in 1880 sim ply beca use one of its wo rd s had not
bee n recorded by D r. J o h nso n . Th is mystical power soo n exte nded to ot her
dictionaries i n the latter half of the eighteenth ce ntu ry, es pecia l ly with
regard to proper pro n u nciati o n . Speakers of middle-class dialect, eagerly
engaged i n social c l i m bi ng, wanted autho ritative keys to the articu l atio n s of
pol ite soc iety. As a res u lt of this ready-made ma rket, pro n u n ciatio n d ictio
naries th rived d u ri ng the last three decades of the eightee nth ce ntu ry. 10l
A few yea rs afte r D r. J o h n so n 's d i ctio n a ry was u n l e a s h e d on t h e popu
lation of l i ngu i stic repl icato rs, d ecreasi n g t h e i nten sity of their va riati o n , a
se ries of n o r m ative a n d p resc r i ptive gra m m a rs began to be pu b l i s h e d
w i t h t h e a i m of red u ci ng t h e syntactic h a bits of L o n d o n 's u p p e r c l asses t o
a s e t of cod ified pri n ci ples. Alt hough b y tod ay's sta n d a rd s t h e i r effo rts
were n ot scie ntific (t h ey used synt hetic Lati n gra m m a r as a k i n d of " u n i
versal gra m m a r" to cod i fy E n gl i s h , w h i c h h a d a l ready become an a n a lytic
l a ngu age), the e a rly gra m m a rs had a great i m pact in t h e i r t i m e and m a ny
of t h e i r p rescri pti o n s a n d p rosc r i pt i o ns (e.g. , d i scou ragi ng the e n d i ng of
sentences wit h prepOSiti o n s and the spl itting of i n fi n itives) are sti l l wit h
u s tod ay. 102 Toget h e r with d icti o n a ries, t hese m e c h a n i ca l ly re p rod u ced
sets of n o rm s fu rt h e red the Lo n d o n sta n d a rd 's d o m i n at i o n of ot h e r d i a
lects. H owever, m u c h as sta n d a rd F r e n c h wou ld n eed to wait for c o m p U l
so ry p ri m a ry school t o beco m e a true h omoge n izing fo rce, s o wou ld
sta n d a rd Engl i s h rem a i n a coexisti ng (if m o re p restigi o u s) n o rm u ntil
1870, w h e n p r i m a ry s c h o o l i n g was d e c l a red " u n i v e rsal" a n d c h i ld ren
bega n to learn E ngl i s h twice: o n ce as a l i ving l a ngu age at home and aga i n
as a set of cod ified r u l e s a t schoo l .
234
LINGUISTIC HISTORY: 1700-2000 A . D.
T h u s , i n t h e eighte e nt h a n d n i n etee nt h ce ntu ries, sta n d a rd F r e n c h a n d
E n gl i s h co nti n ued t o w i d e n t h e i r powe r base a t h o me . T h ey a l so bega n ,
v i a colo n i a l ism a n d co n q u est, t o s p read a ro u nd t h e wo r l d . A t t h i s po i nt,
des pite the growing size and powe r of t h e B riti s h E m p i re , Engl i s h was sti l l
i nfe r i o r t o F re n c h (a n d eve n t o I ta l i a n a n d S p a n i s h ) i n te rms o f i nt e r n a
tio n a l p restige . B ut t h i s wo u l d soo n c h a nge , a n d d u ri ng t h e fo l lowi ng cen
t u ry the n u m be r of E n gl i s h s p e a k e rs i n the wo r l d wo u l d rise s h a rply
(al most tri p l i ng between 1868 a n d 1912), as wo u l d its ra n k i n t h e global
pyra m i d of col o n i a l ist stand ard s . 10 3 Eve ntu a l ly ( i n ou r own centu ry), E n g
l i s h wou ld c h a l l e nge F re n c h fo r t h e ro l e of "world sta n d a rd . " B u t eve n
befo re t h e twe ntieth ce ntu ry, t h e co l o n i a l com petitio n a m o n g the E u ro
pean powe rs - and the co n co m ita nt s pread of t h e i r l a nguages t h ro u g h o u t
t h e wo r l d - was a l ready a n i m po rta nt e l e me nt of a p rocess t h at wo u ld
eventu a l ly l ead to global co n fro ntatio n .
Western co l o n i a l ism was r e p ro d uci ng, o n a wo r l dwide sca l e , t h e co n d i
t i o n s i n w h i c h E u ro pe fo u n d itself at t h e t u r n of t h e m i l l e n n i u m . I n stead
of o n e i m perial sta n d a rd (writte n Lati n) i m m e rsed i n a co m plex m ixture
of ve rnacu l a rs, n ow a vari ety of sta n d a rd s (fi rst S pa n i s h , Portugu ese, a n d
D utch a n d l ate r o n Engl i s h a n d F r e n c h ) coexisted a n d i nte racted w i t h a n
even m o re v a r i e d co m b i nation of l oca l la nguages. T h e situ atio n w a s n ot,
of co u rse, exactly a n a l ogous s i n ce the sou p of l i nguistic mate r i a l s s u r
ro u n d i ng writte n Latin was l a rgely made u p of d iverge nt forms of s p o k e n
Lati n , w h i l e i n the ce n t u r i es betwe e n 1 5 0 0 a n d 1900 Eu ro p e a n l a ngu ages
came i nto contact with p o p u l atio n s of n o rms w h i c h had b e e n s h a ped a n d
scu l pted b y d i sti nct a n d d ive rse h i sto rical forces. F u rt h e rm o re , t h e n u m
b e r of d iffe rent conta ct situ ati o n s that were created d u ri ng these cen
tu ries exceeded t hose t h at existed w h e n t h e R o m a nce l a ngu ages were
fo r m i ng. T h u s , w h i l e c o m m e rc i a l con tacts in bot h periods p rod u ce d trade
p id gi n s (Med iterra n e a n S a b i r and C h i nese p idgi n E n gl i s h , respective ly),
o n ly t h e seco nd period p rod u ced sit u ati o n s w h e re new sta b l e l a ngu ages
co u ld crysta l l ize. I nd e e d , as D e l l Hymes has said of m o d e r n pidgins a n d
cre o l es :
Their very existe nce is large ly d u e t o the processes - d iscove ry, expl o rati o n ,
trade, co n q u est, slavery, migratio n , col o n ia l ism, natio nal ism - that have
brought the peoples of E u ro pe and the peoples of the rest of the world to
share a common desti ny. More tha n a ny variety of language, they have
bee n part of these activities and tra nsfo rmations . . . . And wh ile these lan
gu ages have come i nto being and exi sted largely at the margins of h isto rical
consciousness - o n trad i ng sh ips, o n plantati o n s , i n m ines and col o nial
armies, often u nder the most l i m iting o r hars hest of cond itio n s - their very
235
3: MEMES AND NORMS
origi n and development u nder such con d itions attests to fu n dame ntal char
acte ristics of langu age and h u man nature . 104
S l ave p l a ntati o n s a re p e r h a ps u n i q u e amo ng t h e d i fferent co ntact situ
ati o n s ge n e rated by the expa n s i o n of E u rope. Pla ntati o n s became ve rita
ble " l i ngu i stic l abo rato ries" w h e re b r a n d - n ew la ngu ages were p ro d u ced
out of e l e m e nts of Africa n d i a l ects a n d a strea m l i n ed v e rs i o n of a major
E u ropea n la ngu age . As we a rgued a bove, far fro m b e i n g "co rru pt i o n s" of
the maste r's la ngu age, pi dgi n s m u st be vi ewed as creative adaptat i o n s
d evelo ped b y t h e s l aves t h e mselves i n o rd e r to co m m u n icate w i t h e a c h
ot h e r. As o n e l i ngu ist p o i n ts out, "A l l t h e ea rly acco u nts (dat i n g fro m t h e
e ig hte e n t h centu ry i n J a m aica, fo r exa m p l e) re p o rt t h at t h e wh ite p la nt
e rs and t h e i r fa m i l i es w e re l e a rn i ng the c reo l e from t h e s l aves, n ot vice
ve rsa . " 10 5 S laves n eeded to i nvent t h e i r own l i ng u a fra n ca beca use pla nta
tion own e rs d e l i be rately p u rc h ased Africa ns with d i fferent l i nguist i c back
gro u n d s to p reve nt t h e m from co m m u n icati ng with o n e a n ot h e r, h e n ce
red u c i n g t h e risk of i n su rrectio n .
S o far I have b e e n u s i ng t h e term pidginization t o refe r t o a n y p rocess
of red u ctio n or s i m p l ificati o n of l i ngu i stic reso u rces, i n cl u d i ng the co nver
s i o n of a synt h etic i nto an a n a lytic la ngu age . A l t h o u g h t h e re a re l i ngu ists
who u se the term in t h i s sense (e.g. , Wi l l i a m S a m a ri n l06 ), Hymes has
o bjected t h at s i m p l i fi catio n alone ca n n ot accou nt fo r the b i rt h of ( m o re or
l ess) sta b l e e ntities, s u c h as t h e p recu rso rs of J a m a i c a n E ngl i s h a n d H a it
i a n F re n c h . Hymes adds t h e req u i reme nts that t h e n ew, s i m p l i fied pidgi n
be used by seve ral gro u ps (eac h with its own m ot h e r to n g u e d i sti n ct from
the pidgi n ) a n d t h at t he re be an a d m ixtu re of l i ngu ist i c m aterials from
d i fferent so u rces. To t h is it s h o u l d be added t hat the l a nguage bei ng
pidgi n ized - in the case of pla ntati o n s , t h e master's l a nguage - m u st be
a bsent bot h as a sou rce of stigmatizat i o n a n d as a reference m od e l . T h at
is, t h e c rysta l l izat i o n of a pidgin i nvolves a barri e r (geogra p hical o r socia l)
t hat d i sta n ces t h e e m e rgi ng e ntity fro m t h e co n se rvative t e n d e n c i es of
the prestigi o u s ta rget l a nguage. O n ly u n d e r t h ese co n d itio ns ca n a pi dgi n
a c h i eve a uto n o my from t h e d o m i n a nt n o rm , a n d it is t h is a uto n o my t h at
d efi nes it as a sepa rate e ntity. 10 7
A n ot h e r d ifference betwee n t h e p idgi n s gen e rated by E u ropean colo
n i a l is m a n d t h ose t h at e m e rged (befo re a n d after) as t rad e j a rgo n s is t h at
t h e p l a n tati o n p i dgi n s , after t h e i r s l ave spea k e rs bec a m e free, soo n
evolved i nto m o re d u ra b l e e ntities cal led "creoles." O n e way i n w h i c h pid
gi n s avoid exti n ct i o n i s p recise ly by ree n ri c h i n g t h e m se lves with m a n y of
the red u n d a n t feat u res e l i m i n ated d u ri n g the s i m p l ificat i o n p rocess a n d
b y d iversifyi ng i n t h e n u m be r a n d type o f u s e s t h ey can be put t o . Acco rd-
236
LINGUISTIC HISTORY: 1 700-2000 A . D.
i n g to o n e i m portant t h eo ry of c reol izati o n , recogn izi ng t h at m a ny p l a nta
tion creo les a re a o n e-ge n e ratio n p rocess, c h i l d re n p l ay a c r u c i a l role i n
a c reo l e 's reco m p l exificatio n . C h i l d re n 's a b i l ity t o d o t h is m ay b e e xp l a i n ed
as d e riv i ng from i nt e r n a l l i ngu istic structu res ( i . e . , C h o m sky's ro bot) t h at
a re u n iversal to a l l la nguages a n d exp ressed most fu l ly i n t h e critical
yea rs of c h i ld h ood w h e n l a nguage acq u i sit i o n is easi e r. (T h i s i s the cu r
re nt expla nation fo r t h e c reol izat i o n of H aw a i i a n pidgi n , fo r exa m p l e . ) 108
O n t h e ot h e r h a n d , t h e ro l e of c h i ld re n i n t h e creo l izatio n of p l a ntat i o n
p idgi n s m ay be exp l a i n ed i n t e r m s of sOcio l i ngu i stic co n st ra i nts. G ive n
t h at a d u lts w h o have j u st u nd e rgo n e t h e tra nsition fro m s l av e ry to free
dom ca n n ot be expected to feel a great deal of l oya lty to t h e i r p idgi n
(w h ic h was not a badge of loca l i d e ntity), t h ey do n ot be have towa rd it as
a t ra d it i o n a l n o rm to be p rese rved . T h e re fore, as t h ey t ra n s m it t h ese
no rms to t h e i r offs p r i n g t h ey exert very l ittl e effo rt to s u p p ress novel
utte ra n ces, so that many n o n st a n d a rd wo rds o r p h rases s u rvive and a re
eve ntu a l ly used to ree n ri c h t h e pi dgi n . 109 As u s u a l , we may expect com
plex a n d va ryi ng m ixtu res of t h ese a n d ot h e r facto rs to be respo n s i b l e for
s pecific creoles a ro u n d the wo rld . M o re i m po rta ntly, vary i n g m ixtures of
facto rs will be active in d i fferent regi o n s of the same cou nt ry, as in t h e
separate p l a ntatio n s of J a m a ica. W h e n o n e speaks of t h e crysta l l izati o n
of a c reole (o r a pidgi n ) as a sepa rate e ntity, o n e m u st a l s o k e e p i n m i n d
t h at t h ese novel e ntities a re sti l l part o f a co nti n u u m o f d i a l ects, m u c h
as n o n st a n d a rd Engl i s h o r F r e n c h a re i n t h e i r h o m e cou ntries. T h e refo re,
to speak of J am a ic a n o r H aiti a n creole is to refer to t h at segm e nt of a
co nti n u u m of variat i o n w h i c h ex h i bits t h e maxi m u m d ivergence "from t h e
sta n d a rd b u t w h i c h is sti l l co n n e cted t o ot h e r port i o n s of t h e m e s hwo rk. l1o
Tod ay, t h e m ajo rity of c re o l e speake rs l ive i n t h e C a r i b b e a n I sl a n d s
(about six m i l l i o n), a l t h o u g h t h e re a re a l s o sm a l l e r po p u l at i o n s i n weste rn
a n d sout h e r n Africa a n d so u t h e r n a n d sout h east Asi a . T h e Caribbean is
n u merica l ly d o m i n ated by F r e n c h-based creoles, but a m i l l io n a n d a half
J a m a ica n creo l e spea k e rs speak a n E nglis h-based d i a l ect. T h e a bs e n ce
of S p a n i s h a nd Po rtuguese creo les i n t h is regio n is p uzzl i n g, give n t hat
t h ey a re w i d e ly spoken in Asia and that S pa i n and Po rtuga l 's p rese n ce i n
t h e C a r i b be a n a ntedates by m o re t h a n a centu ry t h e a rrival o f t h e F r e n c h
a n d B ritis h . ( P a p i a m e nto i s t h e o n ly exa m p l e of a S p a n i s h-Po rtuguese
creol e , but it i n co rp o rates so m a n y Dutch and E n gl i s h e l e m e nts t h at it is
a l m ost a creol ized Esperanto . ) 111
T h e h i sto r i a n Sid n ey W. M i n tz offe rs o n e expla n atio n fo r t h i s a pp a r e n t
a n o maly i n terms of t h e d e m ogra p h i c a n d social co n d itio n s t h at sus
ta i n e d j h e s peci a l co ntact situat i o n outl i n ed a bove. As he says, p l a n ta
tio n s we re n ot real co m m u n ities but soc i a l ly a rtificial co l l ocat i o n s of
237
3: MEMES AND NORMS
s laves a n d m a ste rs t h e pol itical basis of w h i c h was raw p hysical fo rce .
I n t h e C a ribbea n , p l a n tati o n s we re p a rt of a repe o p l i n g of " po p u lati o n
vacu u m s" created b y E u ro p e a n wea po n s a n d d i seases. A l l pla ntatio n s i n
A m e ri ca h ad t h i s i n co m m o n . B u t t h e re were d iffe r e n ces a s wel l : " G e n e r
a l ly spea k i n g, t h e H i s p a n o-Ca ri b b e a n col o n ies w e re n ev e r d o m i n ated
d e m ogra p h ical ly by i n h ab ita nts of Africa n o rigi n ; m o reover, i n t h ose
col o n ies move m e nt from the soc i a l catego ry of ' s l aves' to that of ' f ree
m e n ' was a l m ost a lways relatively ra pid and relatively co nti n u o u s . " 1l2 By
t h e ti m e t h e n u m b e r of African s l aves i nc reased sign i ficantly in Spai n 's
col o n ies ( I ate-e ighte e n t h-centu ry C u ba a n d P u e rto R i co), the i s l a n d s
had a l ready c e a s e d to be popu l ati o n vac u u m s a n d were n ow peopled by
s p e a k e rs of S p a n i s h .
T h ese d i fferences (d e m ogra p h i c com pos itio n a n d d egree o f soc i a l
m o b i l ity) d i rectly affected t h e c o n d itio n s u n d e r w h i c h sta b l e e ntiti es a rose.
The m o re n u m e ro u s the s l ave popu l atio n rel ative to the m aste rs a nd t h e
s l owe r t h e " p h ase tra nsition" fro m s l avery t o freed o m , the m o re d i stant
a n d i na ccess i b l e the d o m i n a n t l i ngu istic n orm wo u l d be for t h e sl aves,
a ci rcu m st a n ce t h at p ro m oted the a uto n o my of the p i dgi n s and creoles.
Ot h e r ci rc u m st a n ces w e re also " ba rrie rs" to the n o r m , s u c h as t h e atti
tude of the w h ite co l o n i sts towa rd t h e i r h o m e l a n d . " W h e reas the S pa n i s h
sett l e rs i n C u ba a n d P u e rto R ico s o o n ca me t o v i e w t h emselves as
C u ba n s or P u e rto R icans, t h e F re n c h and B ritis h c ol o n ists a p p a re ntly
te n d ed to see t h em se lves as E u ro p e a n s in tempo rary exi l e . " II3 One facto r
affect i ng t h is attitude was t h e rigid ity of ad m i n istrative co ntrol exe rcised
by t h e ca pitals and m etro pol i ses of E u ro p e : t h e m o re rigid a n d u n co m
p ro m i s i n g t h e co l o n ia l p o l i cy, t h e e a s i e r fo r t h e col o n i sts t o esta b l i s h a
local i d e n tity. T h i s i n t u r n m ay h ave affected oth e r facto rs, such as t h e
growt h of a n i ntermed i ate m u l atto c l a s s , w h i c h d e p e n ded o n t h e read i n ess
of the colo n i sts to m ix racia l ly ( h ighest a mong the S p a n i s h , lowest a m o n g
t h e B ritis h , w i t h t h e F re n c h i n a n i nter m e d i ate positi o n). T h ese i nte rmedi
ate classes ( a n d their l i m ited b u t real soci a l m o b i l ity) affected t h e soci
o l i ngu i stic s it u ati o n , d ecreasi ng the foc u s of the t ra n s m ission of l i ngu istic
re p l i cato rs and h e nce the ease with w h ich the e m e rge nt n o rms cou ld
beco m e a uto n o mo u s .
I n su m m a ry, w h i l e t h e d i a l ects of P a r i s a n d Lo n d o n w e r e b e i n g a rtifi
c i a l ly froze n t h ro u g h sta n d a rd izatio n in t h e i r home cou ntries, elsew h e re
t h e i r c o n stitutive n o r m s w e re b e i n g o p e rated o n by t h ose u nd e r E u ro pe 's
co l o n i a l r u l e , p rod u c i n g t h e o pposite result. T h at i s , w h i l e acad e m i e s ( o r
t h e c o m bi n at i o n of n ati o n a l m a rkets a n d l i ngu istic e ngi n e e ri ng devices)
w e re co n so l i d ati ng a pyramid of d i a l e cts in E u ro p e , the major E u ro p e a n
la ngu ages at t h e top of t h ose h i e ra rc h ies w e r e b e i n g resc u l pted a n d
238
LINGUISTIC HISTORY: 1 700-2000 A.D.
a d a pted for d i ffe re nt p u rposes by m i n orities a ro u nd the wor l d , resu lti n g
i n a co nti n u u m of variatio n of w h i c h t h e c rystal l ized c r e o l e s re p rese nted
o n ly one ( m axi m a l ly d ive rge nt) segm ent. As we m ove on i nto the n i n e
teenth ce ntu ry, oth e r co ntact situati o n s created m ixtu res of facto rs a n d
i nte ractio ns betwe e n l o ca l a n d E u ro p e a n l a n guages w h i c h res u lted i n d i f
ferent a p p ro p riati o ns of E ng l i s h a n d F re n c h . D u ri n g t h e n i n e te e n t h ce n
tu ry, t h e co nti n e n t t h at u nd e rwent t h e m ost i ntense f o r m of col o n i a l i s m
w a s Africa, w h i c h w a s ca rved u p betwe e n B rita i n , F r a n c e , G e rm a ny, a n d
oth e r E u ro p e a n powe rs. T h e se cou ntries ass u m ed control of d i ffe re nt
regi o n s , m ost of which w e re l i ngu istica l ly h ete roge n eo u s , e n closed t h e m
wit h i n a rbitrary bord e rs (that i s , fro nt i e rs c utti n g across p reexisti n g
eth n i c a n d tribal bou n d a ries) , a n d i m posed t h e i r la nguage as t h e offic i a l
tongue of col o n i al ad m i n istrati o n .
M uc h a s d i ffering attitudes towa rd ad m i n i strative pol i cy resu lted i n
d iffe rent l i ngu istic o utco mes i n t h e case o f p l a ntat i o n creoles, so, too, i n
t h e co n q u est o f Africa : E ngland ( a n d G er m a ny) fol l owed a policy o f " i nd i
rect ru l e , " accord i ng to w h i c h exist i n g i n stituti o n s w e r e a l lowed to s u r
vive a n d w e re used to govern t h e colo ny; F ra n ce , on t h e oth e r h a n d , was
m o re i n cl i n e d to ex po rt h e r own i nstitut i o n s i nto h e r col o n ies. T h e se d i f
ferent attitudes were a l so refl e cted i n t h e (expl i cit o r i m p l i ci t) l i ngu i stic
policies of t h e co n q u e ri n g powers. The F re nc h p rojected their l a ngu age
(w h i c h t h ey bel ieved to e m body u n ive rsal va l u es of c l a rity and rat io n al ity)
with m issio n a ry zea l , w h i l e t h e G e r m a n s were contem pt u o u s t h at " less e r
b reeds" wo u ld exp ress t h e m selves i n G e rm a n a n d t h e re fo re d i d n ot exp o rt
t h e i r l a ngu age to t h e col o n ie s . E ngla n d was i nte rmed i ate betwee n t h e
two , n ot actively promoti ng E n g l i s h b u t w i l l i n g to bestow it o n t h e e l ites o f
t h e regi o n s u n d e r h e r ru l e . Fo r t h e s a m e reaso n s , t h e F r e n c h e m p h a
sized assi m i lation a n d h e nce we re m uc h less tol e ra n t of l ocal l a ngu ages
(and c u ltu re), w h i l e t h e B riti s h and G e r m a n s stressed soc i a l d i sta nce a n d
a l l owed t h e i r l a nguages to coexist w i t h l oc a l varieties. 1l4
T h e m a i n d i ffe r e n ce betwee n t h e l i ngu istic contact sit u ati o n s t h at a rose
i n n i n eteenth-ce nt u ry Africa and t hose that occ u rred e a r l i e r o n C a r i b b e a n
s l a v e p l a ntations i s t h at t h e former d i d not occ u r i n a po p u l ati o n a l ( a n d
t h e refore l i ng u i sti c) vacu u m , b u t rat h e r i nvolved a coexi sten ce of d i ffe r
e n t p e o p l es a nd l a nguages. I n particu l a r, t h e co n q u e ri n g l i ng u i stic n o r m s
f r o m E u ro p e faced t h re e stro ng riva l s i n Africa : Ara b i c ( mostly i n t h e
n o rt h ) , H a usa (th e p restigio u s l a ngu age associated with t h e pom p a n d
s p l e n d o r of t h e ru l i ng e l ite i n n o rt h e r n N igeri a), a n d fi n a l ly Swa h i l i (a l a n
gu age of creol e o rigi n s w h i c h had b y t h e n beco m e a l i ngua fra n ca o n s o
l i nguistically h ete roge n e o u s a conti n e nt). Writte n Arabic had , at t h i s
poi nt, t h e solid ity of a sta n d a rd la nguage, give n t h e te n d e n cy of its users
239
3: MEMES AND NORMS
to i m itate t h e l a ngu age of t h e K o ra n , w hose eve ry wo rd was su pposed
to have co m e d i rectly from the m o u t h of God . H a usa and Swa h i l i we re
a lso " I s l a m ized" to a ce rta i n exte nt, a n d yet Swa h i l i , d u e to its role as a
l i ngua fra n ca ( a n d h e n ce t h e te n d e n cy of its co n stitutive n o rms to re p l i
cate across et h n ic a n d t r i b a l fro ntiers), was m o re ecu m e n ical t h a n H a u sa
o r Arabic . li5
F ro m t h e p e rs pe ct ive of t h e co n q u e ri ng powe rs t h e re w e re two reaso n s
t o g e t i nvolved i n l i ngu istic m atters. O n o n e h a n d , gove r n m e nt i nstitu
tio ns were i nt e rested in t a p p i n g i nto the reservo i r of African peoples fo r
m e n ia l cl erical positi o n s . (Later o n , d u ri ng t h e two wo rld wa rs, t h e i r i nter
ests wou ld s h ift to co nvert i n g t h is res e rvoir i nto a sou rce of recru its fo r
Weste rn a rm ie s . ) T h e co l o n i a l gove r n m e nts needed , t h e refo re, a l a n
gu age of a d m i n istrati o n a s we l l as a l a ngu age of co m ma n d . On t h e ot h e r
h a n d , Afr i c a u n d e rwe nt t h e -m ost i ntense C h risti a n izat i o n of any conti
n e nt afte r 1800, a p rocess t h at i nvolved eccl esi astica l i n stitutio ns (or
their m i ss i o n a ry rep rese ntatives) n ot o n ly i n t h e e ffo rt to d i ffuse t h e i r
s p i ritu a l v a l u e s a m o n g t h e su bject p o p u l ati o n , but a lso to s p read a West
e r n -style e d u cati o n a l syste m . H e re t h e need was twofo l d : a com m o n l a n
gu age of i n st r u ct i o n (typica l ly a Weste rn o n e) was n e cessa ry, b u t so too
was the e l a bo rati o n of l ocal l a ngu ages i n o rd e r to tra nsfo r m them i nto
v e h icles fo r s p i ritu a l co m m u n icati o n . (M iss i o na ries, fo r exa m p l e , devised
o rt hogra p h ies, gra m m a rs, a n d d ictio n a ries fo r m a ny Afric a n ve rn acu l a rs
i n o rd e r to tra n s l ate t h e B i b l e i nto t h e m a n d p re a c h to t h e l ocals i n t h e i r
mot h e r t o n gu e . ) T h ese two d i fferent fo rms of cu lt u ra l assi m i lat i o n oft e n
ca m e i nto c o n f l i ct : t h e B ritis h a n d G e rma n policy of u s i ng exist i n g i n stit u
t i o n s to gove r n m e a n t t h at, w h e rev e r t hose i nstitu t i o n s w e re I slam ic,
the regio n s u n d e r t h e i r control w e re off- l i m its to the C h ristia n izers. 1l6
Bot h B rita i n a n d G e r m a ny picked Swa h i l i ( i n add ition to Engl i s h o r
G e r m a n ) a s t h e i r l a ngu age o f a d m i n ist ratio n a n d co m ma n d . U n l i ke
H a u sa , w h i c h was strongly i d e ntified with a specific tribal e l ite, Swa h i l i
was a m o r e eth n ical ly n e u tral d i a le ct . I t was l i k e ly t h e G e r m a n s i n Tan
ga nyi k a who gave Swa h i l i the greatest i m petus. G e r m a n m iss i o n a ries
h e l ped cod i fy some of its feat u res and extend its uses. By 1888, n ews
p a p e rs we re b e i n g p u bl i s hed in Swa h i l i . T h e B riti s h , on t h e ot h e r h a n d ,
a d o pted Swa h i l i i n a m o re s u bo rd i n ate rol e (fo r i nsta nce, fo r u se i n t h e
lower cou rts, w h ile E n gl i s h st i l l d o m i n ated t h e h ig h e r cou rts). 117 T h e soci
o l i ngu istic situation of the d iffe re nt African territo ries a l so i n f l u e n ce d
gove r n m e n t pol icy o n l a n gu age . I n Ta nga nyika, w h e re t h e re was m o re
l i ngu istic fragm e ntat i o n (t h e re were no l a rge k i n gd o ms a ro u nd w h i c h l i n
gu i st i c loya l t i es m ig ht h ave coa l esced), Swa h i l i see med to be t h e o n ly
c h oice. I n Kenya, t h e p o p u l ati o n was m u c h m o re co ncent rated i nto l i n -
240
L INGUISTIC HISTORY: 1 700-2000 A . D.
gu istica l ly h o m oge n eo u s b l ocks i n the wel l-wate red h i g h l a n d s (each block
sepa rated by l a n d e co l ogica l ly u n rece ptive to E u ro p e a n sett l e m e nt), so
t h e d o m i n a nt local d i a l ect, w h ateve r it h a p p e n ed to be, was as good a
c h o i ce as Swa h i l i as t h e l a ngu age of a d m i n istratio n . (T his a m bigu o u s ro l e
wo u ld l ate r o n h ave co nse q u e n ces fo r Swa h i l i . After i n d e p e n d e nce, Ta n
ga nyi ka , now re ba ptized as Ta nza n ia, a d o pted it as a n atio n a l l a n g u age .
Ke nya d i d not.)1l8
R egard less of th ese loca l variati o n s , Swa h i l i was always s u bo rd i n a te to
E ngl i s h . Eve n i n posti n d e p e n d e nce Ta nza n i a (wh e re street signs, co i n age,
pu b l i c notices , and tow n m e eti ngs use Swa h i l i), this c re o l e is used o n ly
fo r p r i m a ry e d u cati o n , w h i l e E n g l i s h re m a i n s t h e v e h i c l e fo r h ig h e r e d u
cation a n d i nte rnat i o n a l co m m u n i cati o n ( h e n ce , it is t h e l a nguage associ
ated wit h soci a l m o b i l ity). Although o n ly a few e l ites (e.g. , in Li beria)
s p e a k English as t h e i r fi rst l a nguage , it has become t h e m ost i m po rta nt
seco n d l a n g u age i n two-t h i rds of Africa . U n d e r t h ese c i rcu msta nces, it
has beco m e im po rta nt fo r Angl o p h o n e Afri ca ns to a p p ro p riate Engl i s h fo r
t h e mselves a n d set it i n variat i o n so t h at it ca n evolve i nto a c re o l e
u n i q u ely s u ited t o t h e i r l i ngu istic need s . 119
I n t h e l i ngu istic co n q u est of Afri ca , Engl i s h d i d bett e r t h a n F re n c h ,
w h i c h became t h e seco n d la ngu age o f o n ly o n e-th i rd of African spea k e rs.
B u t as i m porta nt as Africa was in t h e co ntest between t h ese two l a n
gu ages, t h e decisive battles i n t h i s riva l ry wo u l d be fought o n oth e r co nti
n e nts. I n p a rtic u l a r, E ngl i s h beca m e t h e l a ng u age of fo u r o u t of five
neo-Eu ropes (t hough it s h a red the fo u rt h , C a n a d a , with French). Beca u se
of t h e extreme fert i l ity of t hese te m pe rate zo n es , E ngl i s h spea ke rs m u lti
p l i ed at a signi fica ntly faster rate than F re n c h s p e a k e rs. As in ot h e r
co l o n i es, sett l e rs i n t h e U n ited States, Aust ra l i a , a n d N ew Ze a l a n d re i n
jected t h e i r co l o n i a l la ngu age w i t h h ete roge n e ity, as t h ey e ntered i nto a
n u m be r of d i ffe re nt contact situatio n s t h ro u g h w h i c h l i ng u istic ite m s
fro m foreign to ngu es p e n et rated Engl i s h . Sett l e rs a d o pted a n u m b e r of
terms, p a rt i c u l a rly n a mes of places and u n fam i l i a r pla nts and a n i m a l s,
from N ative A m e rica n s and A u st ra l i a n Abo rigi n es. Yet, as h a p pe n e d to
Celtic in relatio n s h i p to Old E n gl i s h , t h e n o rms bo rrowed from t h e s u bj u
gated peoples had a ve ry h igh d e a t h rate (e.g. , of t h e 1 30 terms A m e r i
ca n E ngl i s h bo rrowed -From t h e Algo n q u i a n fam i ly of Ind i a n l a ngu ages,
o n ly a fo u rt h h ave s u rvived to the p resent d ay). 120 Contact with col o n ists
from ot h e r co u ntries (France, Spai n , a n d H o l l a n d , in t h e case of t h e
U n ited States) a lso p rod u ced a flow of l i ngu istic l o a n s o f va ryi n g d u ra b i l
ity, as d i d t h e l a ngu ages swept i n b y seve ra l waves of i m m igrati o n . (Ger
m a n seems to h ave been t h e fi rst i m m igrant l a n gu age to have had a
m a r ked i n fl u e n ce o n A me ri c a n E ngl i s h .)
241
3: MEMES AND NORMS
H owever, by t h e m i d n i n ete e n t h centu ry, tec h n ological d evelopme nts
we re wo r k i n g aga i n st t hese h ete roge n iz i n g forces. I n part i c u l a r, t h e i nten
s i ficati o n i n the speed of local a n d global co m m u n i cati o n s b rought about
by ste a m powe r ( i n loco m otives and tran socea n ic s h i ps) and e le ctricity
(te l egra p h s) m ea nt t h at o n e i n d i s p e n s a b l e e l e m e nt i n t h e creati o n of new
l a n g u ages, i so l at i o n a fte r co ntact, was n ow h a rd e r than eve r to a c h i eve.
As we h ave o bserved, the e ntities t h at form out of a flow of replicato rs
(wh et h e r ge n e s , m em es , or n o rm s) t h at h a s b e e n sorted by selectio n
p ressu res n e e d t o b e isolated from ot h e r repl i cative flows i n o rd e r t o co n
so l i d at e i nto a n ew e ntity. T h e barrie rs t h at create t h ese isolated pockets
of r e p l icato rs can be of d i fferent types. To d ista n ce and geogra p h i c i n
accessi b i l ity, we m u st a d d t h e e m ot io n a l barrier co n stituted by l oya lty to
a l ocal vari a nt ( i n d e nse soc i a l n etwo rks), the m e c h a n ical barrier of d i ffe r
e nt a rticu l ato ry syste m s ( h a rd -to- p ro n o u n ce fo reign wo rd s), a n d eve n
co n c e pt u a l barri e rs (wo rd s a re n ot read i ly tra n sferred to o r from a l a n
gu age t h at h a s n o "wo rd s" i n t h e I nd o- E u ropea n s e n se). T h e l i ng u i st
Keith W h i n no m a rgues t h at t hese fou r types of obstacles to l i ngu istic d if
f u s i o n h ave c l ose co u nte rpa rts i n t h e case of genetic repl i cato rs (ecologi
cal, b e h a v i o ra l , m ec h a n i ca l , and genetic barriers). 121
I n t h e case of A m e ri c a n a n d C o m m o nwea lth E ngl i s h , o n ly t h e fi rst two
b a rriers ( d i st a n ce a n d l oya l ty) c o u l d h ave p l ayed a ro l e in t h e ge n e ratio n
of n ew e ntities, m u ch a s t h ey d id centu ries befo re w h e n M i d d l e E ngl i s h
d eveloped i nto f i v e d i st i n ct d i a l e cts. B ut as s h i ps , t ra i n s , a n d telegra p h s
bega n to " s h o rte n" geogra p h ical d ista n ces, o n ly l oyalty t o l ocal varia nts
rema i n ed as a d efense aga i n st h o m ogen izati o n . U n d e r t he se c i rcu m
sta n ces, A m e rican E n gl i s h d i d not d evelop its own strongly i n divid u ated
d i a lects, but o n ly wea kly d i ffe rentiated " regio n a l is m s . " 122 On a m o re
global leve l , t h e i nt e n s i fied speed of co m m u n icat i o n s m e a n t that B ritis h ,
A m e rican , a n d C o m m o n we a lt h Engl i s h (at l east i n t h e i r sta n dard ver
s i o n s) wo u ld fro m now on tend to co nve rge rat h e r t h a n d iverge . In a
s e n s e , ste a m t r a n sfo rmed Engl i s h i nt o a single " n o r m pool" m u c h as it
h e l ped m icroo rga n i s m s fo r m a si ngle d isease poo l . A l o ngs i d e t h is lo ng
term p rocess, h owev e r, t h e re were s h o rt e r-te r m p rocesses t h at rei nj ected
h ete roge n eity i nto the d i ffe rent pools of l i ngu istic repl icators, ta k i n g
adva n tage of t h e o n e ba rri e r t h at had n ot co l l a psed u n d e r t h e weight of
i nd u stri a l i zatio n : e moti o n a l attach m e n t to v a r i a nts t h at se rved as l ocal
i d e ntity badge s .
I n t h e U n ited States t h e re w e r e d iffe rent versio n s of t h i s e motio n a l
atta c h m ent, ra nging fro m t h e n at i o n a l i s m of N o a h We bster, who betwee n
1 783 a nd 1828 p u b l i s h e d gra m m a rs a n d spel l e rs a !l d t h e local e q u i va l e nt
of D r. J o h nso n 's a u t h o ritative d icti o n a ry, to t h e e m e rge n ce of bl�ck ver-
242
LINGUISTIC HISTORY: 1 700-2000 A.D.
n a c u l a r Engl i s h , pe r h a ps t h rough creol izati o n of a p l a ntati o n pidgi n . To
t h is a l ready co m p lex m ixtu re of r e p l i cato rs, t h e n i n etee n t h ce ntu ry wo u l d
a d d yet a n ot h e r e l e m ent, w h i c h h ad both h o m oge n izi ng a n d h ete roge n iz
i ng effects : the fi rst m ass m e d i u m , t h e l a rge-ci rcu l atio n n ews p a pe r.
Although t h e o n e-pe n ny n ewsp a p e r was born i n E ng l a n d i n 1816, t h e
t e n d e n cy of t h e B riti s h gove r n m e n t t o control t h e press t h rough taxes
made it h a rd fo r t h i s new m ed i u m to s p read in Lo n d o n as fast as it did i n
N ew Yo rk C ity, w h e re n u m e ro u s c h e a p newspapers bega n t o a ppear i n
t h e 1830s . (Freed o m of t h e p ress, a pri n ci pl e fi rst cod ified i n t h e U n ited
States C o n stituti o n , was pa rtly a res ponse to effo rts by the British co l o
n i al ad m i n i strati o n to tax prerevo l ut i o n a ry A m e rican n ewsp a pe rs.) 123 I n
o n e- pe n ny pa pers s u c h as t h e New York Sun ( 1 833) o r t h e New York Her
ald ( 1835), "crime a n d sca n d al" jou r n a l ism fi rst fou nd exp re ssio n . G iven
t h e pop u l a r a p pe a l of t he se t h e m es a n d of t h e pe rso n a l ized , sen sati o n a l
istic style of p rese ntati o n , t h ese papers were t h e fi rst t o bri ng massifica
tion of o p i n i o n a n d co m m e rc i a l adve rti s i ng toget h e r. T h e p r i n c i p l e o f
freedom of t h e p ress w a s co n ceived to e n co u rage a n o l d e r type of n ews
p a p e r, servi ng as "the m e a n s of co m m u n i cati o n betwee n t h e gove r n m e n t
a n d i m po rtant gro u ps i n society, o r betwe e n mem bers of t h e s a m e gro u ps
c h a l l e ngi ng fo r pol itical powe r, " 124 and yet i n the end it was the co m m e r
cial type t h at came to preva i l . ( H e n ce , t h e p r i n c i p l e d i d n ot l ead to a "free
m a rketpl ace" of i d eas, but to a ge n e ra l co ntraction of o p i n i o n . )
T h e v e ry i d e a of m assified advert i s i n g meant t h at l a rge-c i rcu l ati o n
n ews p a pe rs were n ot i n t h e busi n ess of sel l i n g i nform ati o n t o p e o p l e , b u t
rat h e r of s e l l i ng the a ttention o f their readers t o co m me rc i a l co n c e r n s . I
h ave a l ready menti o n ed s everal ways i n w h i c h l a n gu age was u sed i n t h e
n i n eteenth centu ry to ta p i nto t h e reservo i r of resou rces co nstituted by
t h e grow i ng u rban p op u l at i o n s in o rd e r to m o b i l ize t h e m fo r p o l itical p a r
tici p at i o n o r m i l ita ry service. M ass advertisi ng added yet a n ot h e r way
of exp l oiti ng t h i s reservo i r, by m o b i l izi ng t h e i r atte nti o n . At fi rst, bot h
m a rkets a n d a ntima rkets used t h i s new reso u rce, b u t o u r experi e n ce i n
t h e twe ntieth ce n t u ry clearly i n d icates t h at b i g b u si n ess was soon t o be
the m a i n b e n eficia ry of t h is n ovel way to ta p popu l ati o n a l rese rvoi rs.
The new m ass m ed i u m itse l f wo u l d soon join the ra n ks of the a nti
m a rket. I n d eed the o n ly clear tend e n cy t hat one ca n d i scer n in its two
h u nd red-yea r history i s p recise ly a t e n d e n cy toward i n creased co n ce n
t rati o n of own e rs h i p a n d i n c reased sca l e of prod u ction (bot h of w h i c h
t h reaten t h e freedom of t h e press). 12 5 T hese t e n d e n cies w e r e a l ready d i s
c e rn i bl e i n t h e n i n ete e n t h centu ry. On o n e h a n d , t h e p rod u ctio n of l a rge
c i rcu l at i o n pa pers d e p e n d e d on access to expensive tech n o l ogy, s u c h
as t h e rotary press (ca p a b l e of pri nti ng twe nty t h o u s a n d p a p e rs i n o n e
243
3: MEMES AND NORMS
h o u r), n ew pa per- p rod uct i o n te c h n i q u e s (wood p u l p re p l aced rags as t h e
p r i n c i p a l r a w m a te r i a l b y t h e 1880s), a n d e v e n page com position v i a key
boa rds (the Li n oty pe of t h e 1890s). T h i s m e a n t t h a t as a b u s i ne ss, n ews
p a p e r p u b l i s h i n g beca me h e av i ly c a p i t a l ized , w h i c h acted as an e n try
b a r r i e r fo r new e n t r e p re n e u rs. Also, t h e fi rst casu a l t i es of c i rc u l at i o n
wa rs , s u c h as t h e o n e fo u g h t b y P u l itze r a n d H e a rst i n t h e 1890s, we re
ofte n s m a l l ne ws p a p e rs. 1 26
F u rt h e r m o re, so m e segm e n ts of t h e i n d u stry beg a n to e ngage ove rtly
in a nt i co m p et i tive p ract i ce s , s u c h as the fo rmation of a c a rt e l by six N ew
Yo rk pa p e rs, w h i c h re su lted i n t h e fo r m a t i o n of t h e Associated P ress i n
t h e 1860s, a n ews age ncy t h at m o n o po l ized access t o two o f t h e l a rgest
E u ro p ea n n ews age n c i e s , the F r e n c h H a vas a n d the B ri t i s h Re ute rs.
T h ese two age n c i e s i n t u r n h a d s i g n e d an agree m e n t i n 1 8 5 9 (toget h e r
w i t h t h e G e r m a n news age ncy Wo l ff) t o ca rve u p t h e w o r l d i n to sp h e res
of i n fl u e n ce, w i t h e a c h age ncy having a v i rt u a l m o n o p oly to sell i n te r n a
tio n a l n ews se r v i ces t o t hese c a p t i ve m a r kets. R e u te rs g o t t h e B ri t i s h
E m p i re p l u s C h i n a a n d J a p a n . H avas acq u i red co ntrol over t h e F re n c h
e m p i re a n d S p a i n , I t a ly, a n d Lat i n A m e ri c a , w h i l e Wo l f f m o n o p ol ized
access to G e r m a ny, R u ss i a , a n d Sc a n d i n av i a . 12 7 A l t h o ugh the profits t h a t
t h ese age n c i es ge n e rated we re n ev e r great ( a s co m p a red with o t h e r a n ti
m a rket i n stit u t i o n s at the ti me), the age n c i e s n eve rt h e l ess accu m u l a ted
a great d e a l of powe r, w h i c h t h ey exe rcise d , fo r exa m p l e , by p rotecti n g
t h e i r t u r f fro m t h e n u m e ro u s n ati o n a l n ews age ncies t h a t were d ev e l o p
i n g at t h e t i m e .
T h e overa l l effect of m a ss n ewspa p e rs a n d news age n c i e s w a s ho mog
e n i z i ng. N ewspa pers a i med t h e i r p rese ntat i o n to t h e lowest co m m o n
d e n o m i n ator, w h i l e n ews age n cie s att e m pted t o cre ate a p rod uct t h at
wou ld be accepta b l e to a l l t h e i r s u bscri bers ( i . e . , news p a pers wit h vastly
d i ffe rent ed ito r i a l po l i c i e s), w h ich m e a n t that rat h e r than a i m i ng fo r
obj ectivity t h ey a i m e d fo r w i d e ly acce pta b l e n e u tra l ity. " T h e age n cies
assu m e t h at a u n ifo r m ed ito r i a l a p p ro a c h is not o n ly poss i b l e b u t a l s o
de si ra b l e . A gove r n m e nt c r i s i s is cove red i n t h e s a m e way w h e t h e r it h a p
p e n s i n N i geria or H o l la n d . S i m i l a r sta n d a rd s a re a p p l i e d w h e t h e r t h e
story i s b e i n g s e n t t o P a k i sta n or A rge n ti n a . A si n g l e , obje ctive ly v e r i f i
a b l e acco u n t of each eve nt [w h i ch i n most cases m e a n s q u oti ng a re l i a b l e
offi c i a l so u rce] i s t h e bed roc k o f age ncy r e p o rt i n g . " 1 28 I t is t h i s ho moge- .
n izati o n of p o i n t of v iew, a m p l i fi e d by t h e n ews age n c i e s ' g l o b a l re a c h ,
t h at is t h e re a l p ro b l e m w i t h t h e age n c i e s tod ay, not so me overt co n s p i r
acy to d i ff u se "ca pita l i st i d e ol ogy" t h ro u g h t h e T h i rd Wo r l d . I n l i ngu i stic
terms, by spre a d i n g sta n d a rd En gl i s h and French (a n d , to a lesser
d egree, G e r m a n , S p a n i s h , and A ra b i c), news age n c i e s a l so i n t e n s i f i e d t h e ·
244
LINGUISTIC HISTORY: 1700-2000 A.D.
re p l icat ive power of t h e n o r m s t h at m a k e u p t h o se l a ngu ages. To d ay, fo r
exa m p l e , t h e l i ngu istic f l ow from t h e Assoc i a ted P ress is a b o u t seve ntee n
m i l l io n wo rds a d ay, mo st i n Engl i s h but so me i n S p a n i s h . Re u t e rs e m its
six m i l l i o n wo rds a d ay, the m a j o r i ty in Eng l i s h b u t so m e in F re n c h a n d
A ra b i c , w h i l e Age n c e F ra nce P resse (t h e s u c cesso r o f H avas) p u ts o u t
a b o u t t h ree m i l l i o n F r e n c h wo rds a day. 1 29
On t h e o t h e r h a n d , l a rge ci rcu la tio n n ews pa p e rs (as we l l as a d v e rt i s i n g
age n c i es a n d to a l esse r exte nt t h e " t e l egra p h ic style" of t h e n ews age n
ci es) a l s o i n je cted h ete roge n e ity i n to the sta n d a rd l a ngu ages. This i s o n ly
a n a p p a re n t p a ra d o x , s i n c e t h e sta n d a rd s t h a t t h e po p u l a r p ress te n d to
" s u bve rt" have a l w ays b e e n u p p e r-c l a ss d i a l e cts, a n d , in t h e i r se a rc h fo r
w i d e n ed a p p e a l , n ews p a p e rs te n d to u se wo rds a n d sy ntax t h a t a re n ot
n ecessa r i ly accepted as co r rect by t h at cl ass. " L a rge-ci rc u l a t i o n jo u r n a l
i s m p ro v i d e d t h e m e a n s n o t o n ly o f re n ewi ng t h e l a ngu age b u t a l so of
s a n cti o n i n g its co l l oq u i a l u sage a n d of e l ev a t i n g the s p o k e n sta n d a rd to
the writte n . J o u r n a l ists . . . keep close to the acc e n ts of the h u m a n voice
a n d a n o ra l tra d i t i o n co nst a nt ly i n fo r m s t h e i r writi ng. " 1 3o T h e d y n a m ics of
t h i s hete roge n izat i o n revo l ve a rou nd the fact that even the sta n d ard l a n
g u age h a s d i ffe re nt registers (t he fo r m a l , t h e co l l oq u i a l , t h e te c h n i c a l ) ,
a n d w h e n t h ey m e et " i n t e r n a l co ntact situ at i o n s" a r i s e . T h e co l l oq u ia l
regi ste r o f t h e sta n d a rd , fo r i n st a n ce , i s i n cl ose co n tact with n o nsta n d ard
segme nts of l a ng u age , such as sla ngs anq j a rgo n s . Due to t h e se "co n
tact s u rface s , " l i n g u i s tic m a teri a l s e l a bo rated as s l a n g ca n flow u p wa rd
t h ro u g h t h e i n fo r m a l regi ste r i n to t h e fo rm a l . O n e l i ngu i st p r e d i cts, fo r
exam p l e , t h at as a re s u l t of t h e mass m e d i a " s l a n g wi l l ra p i d ly r i s e to t h e
l e v e l of t h e co l l oq u i al a n d t h e co l loq u i a l to t h e l e v e l of t h e st a n d a rd . As a
co nseq u e n c e of t h e s p eed- u p of acce p t a b i l ity . . . a m o d e r n cava l i e r atti
t u d e tow a rds n ew wo rd fo r m a t i o n s , sy ntacti c a l id i o m s , a n d speci a l ist j a r
go ns wi l l al so i nte n sify. " 131
H e re we s h o u l d b r i n g t h e sepa rate l i nes of o u r a rgu m e n t toget h e r.
Co l o n i a l i s m , on o n e h a n d , a n d te ch n o l ogy, on t h e ot h e r, greatly i nte n s i
f i e d t h e re p l icative powe r o f t h e sta n d a rd n o r ms. M a ny regi o n s t h a t h a d
fo r m e rly h o u s ed t h ei r ow n co m p l ex m i xtu res o f l i n gu i stic m a te r i a l s we re
n ow ho mogen ized to a c e rta i n exte n t by the i n v a s i o n of power f u l sta n
d a rd re p l icators. F o r t h e s a m e reas o n , however, t h e st a n d a rd rep l i cato rs
c a m e i n to co n tact with ot h e rs t h at , d e s p ite th e i r low p restige , we re ca p a
b l e of i n j ecti ng t h e m wit h a d egree of h eteroge n e ity. W h et h e r t h e co ntact
situ atio n s we re exte r n a l o r i nte r n a l , the effect was the sam e : a p o rtio n
of t h e froze n sta n d a rd was set i n to v a ri a t i o n aga i n . F u rt h e r k i n d s of co n
tact wo u l d soo n a pp e a r as n i n ete e n t h-ce ntu ry tec h n o logy bega n to affect
the soci a l stru ctu re of E u ro p e . I n p a rti c u l a r, the growt h of i n d u st r i a l
245
3: MEMES AND NORMS
co n u rbat i o n s i n E n gl a n d (a nd e l sew here) a n d t h e m igrato ry move m e nts
from t h e r u ra l a reas t h at p rovided coa l-d riven tow n s with workers created
n ovel m ixt u res of d i a l ects a s wel l as a n ew social strat u m : the i n d u st ri a l
p ro l eta riat . T h e l i m ited socia l m o b i l ity of t h ese wor k e rs a n d t h e i r need t o
d evelop a local i d e ntity i n ev ita bly affected t h e i r tra n s m i ss i o n of l i ngu i stic
n o rms, creat i n g new va rieties of spoken Engl i s h .
I n t h e last de cades o f t h e ni neteenth centu ry, t h ese i n d u strial m a sses
ca m e to be seen a s a da nge ro u s cl ass, t h e barba r i a n s at the gate , "crea
t u res with stra nge a ntics a n d m a n n e rs [who] drifted t h ro u g h the stre ets
h o a rsely c h e e ri ng, b rea k i ng i nto fat u o u s i rritati ng l a u ghte r, si ngi n g q u a i nt
m i l ita nt s o n gs . " 132 T h e la ngu age of t h ese " b a r ba ri a ns" was perceived by
sta n d a rd s pea k e rs as a n o n la ngu age , n o i sy a n d d i sa rticu l at e d , with a
s u pe ra b u n d a nce of negatives a n d a s i m p l i fied gra m m a r a nd voca b u l a ry.
( I n s h o rt, t h e s a m e tra its t h at co u l d be u sed to i d e ntify a n y creol e a rou nd
t h e wo r l d . ) Yet, t h ese s a m e m a sses wo u l d co me to be perceived a s poten
t i a l al l i es (and wou l d e ve nt u a l ly be granted t h e right to vote) when Wo rld
Wa r I t ra n sfo rmed t h e n ew co n u rbat i o n s (as we ! 1 as t h e older u rban cen
ters) i nto reservo i rs of recru its to be co n scripted.
Two ed u cati o n acts (o n e in 1870, the ot her i n 19 18) m a de scho o l i n g i n
t h e sta n d ard o b l igato ry (a n d were co rrectly perceived by de fen d e rs of
l oca l d i ale cts as a n exte r m i nati ng fo rce, a l o ng with the p ress, rai l roads,
to u r ism , a n d later rad io). Both acts were i n stitutio n a l res p o n se s to the
n eed to assi m il ate t h e m asses i nto soci ety, to m a ke t h e m " a rticu l ate , " so
t h ey m ight bette r partici pate in de mocrati c i n stitutio n s a n d u n d e rsta nd
the l a ngu age of co m m a n d in the arm e d forces. The d i sc i p l i n a ry m ea
s u res e n visage d by refo r m e rs i n c l u ded system atic tra i n i ng i n sta n d a rd
so u n d s (lea d i ng to u n ifo rm pro n u nciation), lexica l t ra i n i n g (to secu re
c l a rity a n d co rrect n ess), a n d tra i n i n g in re ad i ng a l o u d (to secu re pro p e r
i nto nation). S l a n g a n d j a rgo n w e r e v i ewed as d a nge ro u s , a " m e a n s o f
concea l i ng secrets o r as i ntenti o n a l l y u n d ign ified s u bstitutes . " 133 How
ever, t h e effect of co m p u l s o ry e d u catio n was not to e rase l i ngu istic class
d iffere nces: rat h e r t h a n learning t h e "classless" sta n d a rd a s t h e i r excl u
sive new l a n gu age, st u d e nts o f wo rki ng-class backgro u n d s i m p ly l e a r n ed
to switch cod es; that i s , t h ey l e a r n ed to d e pl oy the sta n d a rd in ce rtai n
s ituatio n s , w h i le switc h i n g back to t h e i r n ative variety i n t h e i r own ho mes
and n e i g h b o r h ood s . 134
T h u s , u n ivers a l schoo l i ng, co lo n i a l i s m , a n d early m ass m ed i a, w h i l e
exte n d i ng t h e reach o f t h e sta nd a rd , a l so b ro ught it i n to co n tact with
ot h e r l a n g u ages, codes, or regi ste rs, e n s u ring th at it wo u l d be re i n jected
with hete roge n eo u s e l e m ents and set i n to va riation agai n . G i ve n t hat n o n
sta n d a rd s p e a kers s h ow a greater creativity i n the coi n i ng of n ew wo rds
246
LINGUISTIC HISTORY: 1700-2000 A . D.
a n d syntactical co n struct io n s , t h e co ntact betwee n sta nda rd and n o n
sta n d a rd spea kers preve nted sta n d a rd la ngu ages fro m beco m i ng " d ea d
tongues," l i ke writt e n Lati n , a n d co n n ected t h e m to fres h re servo i rs o f
l i ngu istic resou rce s . H owever, t h e m e re fact t h at a vari ety of l i n gu i st i c
re p l i cators existed d id not m e a n t hat t h e exist i ng s e le ctio n p ressu res
wou l d a l l ow these n ovel va ria nts to ree n te r t h e sta n d a rd . I n pa rticu l a r,
stigmatizat i o n by s pe a k e rs of t h e prestigious sta n d a rd (a nd by t h e i n st i
tutio n s t h ey contro l l e d ) ofte n kept e v e n badly n e e d e d re p a i rs f r o m b e i n g
selected i n :
Social i n flu e n ces o n gram matical fo rm may lead to situati ons s i m i l a r to
th ose arisi ng from taboo in lexis . . . [with the d ifference th at] the fo rms
are rejected o n ly in the sta ndard langu age , and less i n dialects . Si nce the
stan dard la ngu age is thus automatica l ly cut off from its n o rmal sou rces of
re plen ishm ent, its grammatical system may be left i ncom plete. The best
known example is the pro n o u n of the seco nd pe rso n : the fa m i l i ar and less
pol ite fo rm tho u was rep l aced by the origi nally p l u ra l yo u, and the gram
matical system has, ever si nce, l acked the means of disti n gu i s h i ng si ngular
and plural in the seco nd perso n . The reason for this is not the lack of slot
fil lers, si nce new forms l i ke youse, youse 'uns, you all, y'all have arise n to
co m p lete the system in d ia l ect. B ut th ese forms are rejected as vu l gar, a n d
i n pol ite En gl ish t h e l ack h a s therefore t o b e remedied by various lexical
mea n s acco rd ing to context and register, e .g. you people, my friends, you
chaps, those presen t. 135
Des pite th ese s h o rtco m i ngs, it is obvio u s t h at t h e sta n d a rdizat i o n of
a la ngu age does offe r "eco n o m i e s of scal e . " O n e eco n o m i st a rg u e s , fo r
exam ple, t h at i n an i n stituti o n a l sett i n g b i l i ng u a l i sm a n d its need fo r
tra n s l ation can be h ig h ly i n efficie nt, i nvolving d u pl icatio n of perso n n e l
a n d p ri nted materi a l . T h is i s particu l a rly t r u e o f co u ntries with a com plex
d iv i s i o n of labor (with its m u lt i p l icat i o n of tec h n ical regi ste rs) and a high
d egree of i n d u strial izati o n . 1 36 Sta n d a rd izat i o n a l l ows a more effi cient
accu m u lat ion of tec h n ical voca b u l a ry a n d a faste r d i ss e m i n ation of n ew
lexical items across t h e eco no my. Po l itical ly, a sta n d a rd l a ngu age a l so
offers a n efficient m e d i u m fo r the u n ificat i o n of a cou ntry a n d t h e t a p
p i n g of its h u m a n reso u rces . As t h e sociologist of l a nguage Jos h u a F i s h
m a n p u t s i t , a stan d a rd l a ngu age offers n at i o n b u i l d e rs t h e pro m i se of
rapid integrative returns o n a large scale. 137 It is beca use of t h ese eco no
m ies of scale th at l i nguistic sta n d a rd izatio n beca m e a central i s s u e
a mo n g nati o n s l ate i n a c h i evi n g pol itical u n ificatio n , whet he r i n t h e n i ne
teenth ce ntu ry (e. g . , I taly a n d G e r m a ny) o r i n t he twe ntiet h , w h e n t h e
247
3: MEMES AND NORMS
colo n ia l wo r l d broke d ow n a n d t h e searc h fo r nati o n a l u n i ficati-o n beca m e
i nternatio n a l .
F i s h m a n d i sti ngu i s h e s seve ra l roads t o n atio n h ood. O n o n e h a n d , t h e re
is t h e road that France, E n gl a n d , a n d S pa i n fol l owed , w h i c h he ca l ls t h e
" State-to-Nation" strategy. 138 T h i s i s t h e strategy fo l l owed b y territo ries
w h e re a n u m be r of central ized (a n d ce ntra l izi ng) i n stitutio n s h a p p e n e d to
accu m u l ate ove r the centu ries (a roya l h o u se , ce ntra l ized gove r n m e nt tra
d itio ns, e d u cati o n a l syste ms, certa i n co m m e rcial and i n d u strial patte r n s,
a stro ng u rba n capital to syn t h esize centu ries of s h a red experi e n ces i nto
a "gra n d trad itio n " ) . Th ese a re t h e cou ntries t ha t c a l l e d t h em se lves " h is
to ric n atio n s , " a c l a i m to l egiti macy used to j u stify the d igesti o n of t h e i r
m i n o rities: Wel s h , Scots, a n d I rish i n E ng l a n d ; B reto n s , N o rm a n s , Gasco ns,
a n d Occita n s i n Fra nce; G a l ic i a n s , Cata l a n s , a n d Basq u e s i n S pa i n . O n
t h e ot h e r h a n d , t h e re are those te rrito ries t h a t accu m u l ated i n stitutio ns,
but i n a dece ntra l ized patte rn ( I ta ly a n d G e r m a ny, a n d a lso G re ece,
H u nga ry, a n d Po l a n d ) . T h ese cou ntries fol lowed what F i s h m a n calls the
" N at i o n -to-State" strategy. H e re, rat h e r than a s h a red i n stitutio n a l past,
eth n ic u n i q u e n ess and co h e re nce was e m p h asized as a fo rm of l egiti m a
tio n . The peo p l e of t h ese te rrito ries a l ready thought of t h e m selves as a
nati o n (et h n i ca l ly) i n t h e p rocess of b u i ld i ng ce ntra l ized i n stituti o n s .
W h i l e t h ose w h o fo l l owed t h e fi rst road te nded t o e m p h asize l ogic a n d
rati o n a l ity as t h e i r criteria fo r l i ngu istic sta n d a rd i zati o n , t h ose w h o fo l
l owed the seco n d route s p o ke of "act u a l u sage" and " a u t h e nticity" as t h e
o n ly l egit i m ate m e a s u ri n g r o d f o r a n at i o n a l l i ngu i stic sta n d ard. 139 With
t h e co m i ng of t h e twe nti eth centu ry n atio n b u i ld i ng ceased to be a West
e r n p h e n o m e n o n a n d beca m e t h e goa l of every co l o ny t h at h ad a c h i eved
its i n d e pe n d e nce, of territo rial e ntities that had n eve r been co l o n ized
(e .g. , Tu rkey after Wo rld Wa r I ), and eve n of those m i n o riti es with i n a
state w h o m c e ntral izati o n h a d n ot m a n aged to s u pp ress ( I ri s h , B reto n s).
I n a l l cases, the " q u esti o n of l a ngu age" p l ayed a c r u c i a l ro l e , and local
l a ngu ages (Tu rk i s h ), l i ngua fra n cas (Swa h i l i , M a l ay), and even pidgi n s
( N ew G u i n ea Pidgi n , n ow k n ow n as n eo-M e l a n esian) beca m e targets fo r
l i ngu istic engi n e e r i n g a n d sta n d a rd izati o n .
Acco rd i ng t o F i s h m a n , w h i c h m ixtu re of strategie s p reva i l e d d e p e n d e d
o n w h et h e r t h e n ew cou ntries h a d a s i ngle u n i fying trad iti o n t o use fo r
t h e l egit i m at i o n of t h e i r e l ite 's p rojects o r w h et h e r t h ey had seve ral o r n o
t raditio n s to rely o n . Those w h o cou l d a p p e a l t o a si ngle gra n d trad itio n
(Tu r key, I srae l , T h a i l a n d , So m a l i a , Eth i o p i a)140 e m p hasized a u t h e nticity;
th ose with n o trad itio n (th e P h i l i p p i n es, I ndo nesia, Ta nza n ia , C a m e roo n), 141
ratio n a l ity a n d i n stru m e nta l ity; w h i l e t hose with seve ral com peting tradi
tio n s ( I n d i a , M a l aysia), some co m p ro m ise betwee n the twO. 142 In a l l these
248
LINGUISTIC HISTORY: 1 700-2000 A . D.
cases, t h e p rocess of sta n d a rd i zatio n (fi rst, "cod i ficatio n , " o r t h e m i n i
m i zati o n of variati o n , t h e n " e l a b o rati o n , " t h e d ive rsificatio n of t h e i n stitu
tio n a l u ses of t h e sta n d a rd), w h i c h had taken centu ries to ac h i eve in
England a n d France, was c o m p ressed i nto a few d ecades. 143
Rega rd less of t h e i r d i fferent situ ati o n s , t h e se cou ntries faced a si m i l a r
c h a l l e nge as t h ey e ngaged i n nati o n b u i l d i ng: h o w t o tra nsfo rm t h e i r pop
u l ati o n s i nto a reservo i r t h at cou ld be ta p ped fo r political, m i l ita ry, a n d
eco n o m i c mobi l izatio n . I n t h e p rocess of i ntegrat i n g t h e i"r m a s s e s i nto a
u n ified natio n , t h ey n ee d ed t h e "eco n o m i es of sca l e" offe red by sta n d a rd
l a ngu ages . T h ey a l so n eeded to catch u p with t h e West as fa r as e n rich
i ng t h e i r voca b u laries to co nfro nt t h e co m pl exities of n ew tec h n o logies
a n d o rga n izatio n a l strategies (especia l ly in t h e m i l ita ry, but a l so in co rpo
rati o n s), a n d t h i s t h ey co u l d do e i t h e r by bo rrowi ng words (as Engl i s h d i d
centuries e a r l i e r, w h e n it w a s a m i n o r l a n g u age) o r b y d evelo p i n g t h e
i n d ige n o u s wo rd-fo r m i n g resou rces of th e i r o w n sta n d a rd s .
W h i l e t h e o l d co l o n ies w e r e tryi ng t o ac h i eve t h e same effi c i e n cies o f
sta n d a rd izatio n as t h e i r ex-co l o n i a l m aste rs, t h e l a ngu ages of t h e two
" l i ng u i stic s u pe rpowers" (Fre n c h a n d Engl i s h ) were co m peti n g to beco m e
t h e fi rst global s u pe rsta n d a rd . Befo re Wo rld Wa r I I , F r e n c h w a s without
q ue stio n t h e i nternatio n a l sta n d a r d , h av i n g a l ready become t h e l a nguage
of m a ny e l ites a ro u n d t h e world a n d h e n ce t h e m ost p restigi o u s m ed i u m
fo r d i p l o matic a n d c u l t u ra l co m m u n icatio n . Although certa i n setbacks i n
t h e l ate n i n eteenth centu ry had d i m i n is hed F r e n c h p restige (s u c h a s t h e
d efeat to P r u ssia i n 1870-187 1 ), France h a d aga i n e m e rged afte r Wo rld
Wa r I as t h e cu ltu ral cente r of t h e wo r l d . Because of its lo ng-sta n d i n g l i n
g u i stic pree m i n ence, F ra nce had n ot f e l t the need to c reate special i nsti
tutio n s to d i ss e m i n ate its sta n d a rd a ro u n d the wo rld, wit h the poss i b l e
exce pti o n o f t h e Al l i a nce F ra n t;aise, w h i c h w a s esta b l i s h e d i n t h e 1890s.
Yet, afte r t h e i r a r m i e s we re s h atte red by the N azis and t h e i r cou ntry was
isol ated from the o u ts i d e wo rld for several yea rs , F r e n c h s p e a k e rs
e m e rged i n 1945 to co n fro n t a d i ffere nt l i ngu i stic s it u atio n : E ng l i s h was
now the l a nguage of sci e n ce and tech n o l ogy, a nd it was begi n n i ng to c h a l
l e nge F re n c h as t h e c h osen la nguage of t h e wo rld's e l ites. ( R uss i a n , too,
bega n to repl ace F re n c h a m o n g the Easte rn Eu ropean e l ites w h o had
been p u l led i nto t h e Sov i et s p h e re of i n f l u e nce. )l44
Fran ce's l oss of its fo r m e r co l o n i es (Leba n o n a n d Syria by 1946, I n do
c h i n a by 1954, Tu n isia and Mo rocco by 1 956, Alge ria by 1962) was a n
added blow to t h e gl obal p restige o f its l a nguage, although E n gl i s h was
a l so s u ffe ri ng s i m i l a r setbacks a ro u n d t h e wo rld . A m e rica n i sms, wh ich
had begu n to i n fi ltrate B ritish English afte r Wo rld Wa r I, we re now i n vad
ing F ra n ce at w h at seemed to the French a n a l a r m i n g rate. "Areas of
249
3: MEMES AND NORMS
greatest i n fe ctio n were spo rts, t h e wo rld of bea uty parlo rs (magazi nes
such as £lIe), toy sto res a n d d a n ci ng." 145 F rench gra m m a r itsel f was bei ng
penetrate d : k and y e nte red some s pe l l i ngs, the fo rm of the pl ural beca m e
somew h at i nco n sistent, a n d a ffixes s u c h as "-ra m a , " " s u per-," a n d " a uto
" e njoyed great d i ffu s i o n a m o n g t h e F r e n c h pop u l ati o n o f repl icat i ng
n o rms. By t h e e a rly 1 950s, ove r 20 percent of a l l books were p u b l is hed i n
E ngl i s h (l ess t h a n 10 p e rc e nt i n F re nch), a n d 5 0 p erce nt o f t h e wo rld's
n ewspa pers a n d 60 p e rce nt of t h e world's broadcasts were in Engl i s h . 146
I n respo n s e to t h ese ci rcu m st a n ces, w h e n C h a rles d e Gau l le retu rned
to powe r, " F r a n ce bega n to e m ba r k u po n a positive and aggressive pol i cy
i n rega rd to t h e rad iation of F re n c h . " 147 I n 1966 a p u bl i c o rgan izat i o n
w a s fo rmed s pecifica l ly to pro m ote t h e d i ffusion o f F re n ch ( H a ut Co m ite
po u r la Defe nse d e l a Langue F ra n \;a ise), a yea r a fter Lyn d o n J o h n so n
i n a ugu rated a n official cam p a ig n t o teach America n E ng l i s h a b road . Doc
u m e nts fro m t hese yea rs a rticu l ate t h e offic i a l sta n ce toward l i ngu istic
rad iati o n in the same terms i n w h i c h the F r e n c h l a nguage had been
viewed s i n ce Lou is X I V: a l angu age e m bodying "ete r n a l valu es" (such as
clarity and lack of a m bigu ity) and " u n ive rsal ity" (refe rri ng to a h u m a n
co n d itio n beyo n d t i m e a n d s pace). H en ce , i m posi n g F r e n c h o n oth e r
peoples was n ot a fo rm of l i ngu i st i c i m perial ism b u t p a rt of t h e civ i l izi ng
m issi o n of F ra n ce , a l i b e rati o n of t h ose peo ples from t h e i r backward
p rovi n c i a l i s m . 148 Of cou rse, given t h at F r e n c h is a hybrid (of Med iterra n
e a n a n d G e rm a n i c m ateria ls) a n d t hat t h e Parisia n d i a l ect won i t s p l a ce
t h rough powe r, t h i s l egit i m iz i n g n a r rative was a fabricati o n by t h e e l ites.
N evert h e l ess, the p o l i cy paid off: in 1967, t ha n ks to the votes of Fra n ce's
fo r m e r Afric a n col o n ies, F r e n c h was accepted on t h e s a m e l evel a s
Engl i s h i n t h e U n ited N at i o ns. ( I n 1 945, to t h e great e m ba rrassment a n d
s hock of F re n c h s p e a k e rs, t h e i r l a ngu age had been a c k n owl edged b y t h e
U . N . as one a m o n g many, b y a m a rg i n of o n ly o n e vot e . )149
We h ave a l ready d iscussed t h e d i fferent colo n i a l ist attitudes towa rd
l oca l l a ngu ages, a n d n oted t h at t h e F r e n c h ge n e ra l ly ass u m ed a m o re
aggressive sta nce t h a n t h e B ritish o r G e rm a ns. R o b e rt P h i l l i ps o n 's a n a ly
sis of l i ngu i stic i m p e ria l i s m accepts t h is to be t r u e i n t h e case of Africa
but wa rns aga i n st ove rsi m p l i fyi n g the q u esti o n . (For exa m p l e , i f one co m
p a res F r e n c h I nd oc h i n a to B ritish I nd i a , the roles seemed to be reve rsed ,
with t h e F re n c h d is p l ayi n g m o re tol e ra nce of i n d ige n o u s l a ngu ages t h a n
t h e B ritis h . )150 P h i l l i pson a lso a rgues t h at, e v e n t h o ug h t h e two l i ng u i st i c
s u p e rpowers h ave ceased t o d o m i n ate t h e i r f o r m e r colo n i e s political ly,
t h ey sti l l h ave h o moge n izing e ffects o n t h e i r cu ltu res t h ro u g h t h e ed u ca
t i o n a l systems bot h s u p e rpowe rs a re s p read i ng t h ro u g ho u t the d evelop
i n g nati o n s with fu nds from t h e i r gove r n m e nts. "J u st as schools we re t h e
250
LINGUISTIC HISTORY: 1700-2000 A . D .
pri nci pa l i n stru m e nt fo r a l i e n at i ng i n d i ge n o u s m i no rities fro m t h e i r l a n
gu ages a n d traditi o n a l cu ltu res ( a s i n t h e case o f t h e We l s h , t h e A m e ri ca n
n ative peoples, a n d t h e A u st ra l i a n A bo rigi n es), i t i s schools i n Africa
w h i c h a re stifl i n g local l a n gu ages a nd i m po s i n g a l i e n tongues a n d va l
u e s . " 151 A l t h o u g h P h i l l i ps o n a d m its t hat, u n l i k e F r e n c h , n o " m aste r p l a n"
fo r t h e s p read of Engl i s h was ever a rticu l ated i n B ritish o r A m e ri ca n i n sti
tuti o n s, the growt h of E ng l i s h t ea c h i ng as a p rofessio n , " mo no l i n g u a l a n d
a ngloce ntric, a n d [te n d i ng] to ign o re t h e wid e r co ntext of i t s o p e ratio n s , "
p rod u ced h o moge n izi ng e ffects i n w h i c h Engl i s h t e n d e d to repl ace o r d is
p l ace ot h e r l a ngu age s . 1 5 2
I n a d d iti o n to t h e e d u cati o n a l p u s h , big b u si n ess fostered t h e s p re a d
of Engl i s h a nd French , b o l st e ri ng t h e i r stat u s as i nte rn at i o n a l sta n d a rd s .
I h ave a l ready m e ntio n e d t h e i nte r n atio n a l n ews age n cies, t h e " b ig fou r"
w h o l es a l e rs of l i n gu i st i c mate r i a l s : R e u t e rs, AP, U P I , a n d t h e F re n c h AFP.
(These co r po rat i o n s a lso m a n age l a rge flows of i m ages, b u t text u a l n ews
co nti n ues to be t h e i r co re b u s i n ess.) To grasp t h e i nt e n sity of t h e l i n g u i s
tic flow t h ey h a n d l e o n e n eed o n ly l e a r n t h at a su bscri b e r to a l l fo u r n ews
s ervices wou l d receive on average 300, 000 words a d ay. And tec h n o l ogy
is fu rt h e r i nten s i fying t h i s flow: w h i l e t h e o l d Te l etype d e l ive red 60 words
per m i n ute, tod ay's com p uters and sate l l ites a l l ow 1 , 200 words per m i n ut e
t o c ross co nt i n e nts i n a fo rmat t h at ca n be f e d d i re ctly i nto a n ews p a p e r's
co m p ut e rized typesetter. 153
S i n ce t h e n i n eteenth centu ry, n ews age ncies have d ivided t h e w o r l d
a m o n g t h e mselves: at p resent, fra n co p h o n e Africa belo ngs to A F P; a n glo
p ho n e Africa to R e ute rs; Lati n A m e ri ca to A P a n d U P I . E lsew h e re they
e n gage in fi e rce riva l ry, but o f cou rse this i s o l igo p o l i stic com petiti o n , n ot
real m a rket co m p etiti o n . T h e n ews age ncies h ave com e to e mbody a t r u e
a nt i m a rket str u ct u re , that is, o n e d o m i n a ted b y m a n age r i a l h i e ra rc h i e s
a n d n ot b y owne rs o r t h e i r rep resentatives. 154 Alt h o u g h t h ey a re n ot
e n gaged i n a co n spi racy to p ro m ote "capita l i st v a l u es" a ro u nd t h e w o rl d ,
t h ey d o h ave a stro n g h o moge n izi ng e ffect, arisi ng from t h e routi n izatio n
a n d sta n d a rd izat i o n of poi nt of view (wit h t h e co ncom ita nt d isto rt i n g s i m
p l i fi cati o n ) a n d , u lt i m ate ly, from t h e very form of the flow, t hat i s , a flow
e m a n at i ng fro m very few p l a ces to a l a rge n u m be r of su bscri b e rs. T h i s
type of "floW ( a " o n e-to-ma ny" f l ow) g u a ra ntees t h at t he re w i l l be a s m a l l
n u m be r of p rod u cers of t h i s typ e of " l i ngu istic p ro d u ct" a n d a l a rge n u m
b e r of co n s u m e rs. T h e o n e-to-m a ny str u ct u re o f n ews d e l ive ry wa s e v e n
t u a l ly b u i lt d i rectly i nto t h e tec h no logica l i n frastructu re u s e d to m a n age
the flow. In the 1 950s, fo r exa m p l e , R euters' fi n a n ci a l services d ivisi o n
began t o b u i ld its own (Te l etype-based) com m u n i cat i o n s netwo rk fo r t h e
d e l i ve ry of its p rod u ct (co m mod ity a n d stock m a rket n ews). B y 1 963, t h e
251
3: MEMES AND NORMS
I nte r n ati o n a l F i n a n c i a l Pri nte r bega n o p e rati o n s, b u t the rea l ta keoff d i d
not occ u r u nt i l t h e s l ow, b u l ky, a n d n o isy tele pri nte rs w e r e repl aced by
video term i n a l s i n t h e 1970s. ( By 1982 , R e ute rs a l o n e h a d over t h i rty
t h o u sa n d te r m i n a l s i n eig hty- o n e cou ntries . )155
H owever, by t h e t i m e t h i s o n e-to- m a ny n etwo rk m at u re d , oth e r n et
works bega n offe r i n g t h e poss i b i l ity of a radically d i ffe re nt paradigm: t h e
ma ny-to-m a ny d e l iv e ry system m a d e poss i b l e by t h e I nt e r n et, t h e l a rgely
self-o rga n ized i nt e r n atio n a l m e s hwo rk of co m p ute rs w h i c h fo rmed ove r
t h e past two decades. Although t h e I nte r n et (or rat h e r its p recu rso r, t h e
A r p a n et) w a s of m i l itary o rigi n ( a n d its d ecentra l ized d esign a way t o
m a k e it res i sta nt t o n u cl e a r attack), t h e growth of i t s m a ny-to- m a ny struc
t u re was n ot so m et h i ng co m m a n ded i nto existe nce from a bove b u t a n
a p pro p r i ati o n of a n i d e a whose m o m e n t u m sprang from a d ecentra l ized ,
l a rgely grassroots move m e nt. H owa rd R h e i ngol d , i n h i s h i sto ry of t h e
I nte r n et, has b ro u g h t to l ight t h e way i n w h i c h geogra p h i ca l ly d is p e rsed
c o m m u n ities e m e rged as com puterized co m m u n icatio n s , origi n a l ly
i nt e n d ed fo r tec h n ical (scie ntific o r m i l ita ry) co m m u n i catio n , we re tra n s
fo rmed i nto a m ed i u m s u p p o rt i ng a variety of d i ffe rent fo rms of con versa
tio n . O n e exa m p l e is t h e so-ca l l ed U s e n et, a d i sc u s s i o n syste m o rigi n a l ly
designed fo r tec h n i ca l s u p po rt but q u i ckly a d a pted by its u s e rs fo r m a ny
ot h e r p u rposes:
U se net is a pl ace fo r co nversation o r p u b l icatio n , l i ke a giant coffee house
with a t h o u s a n d roo m s ; it i s also a wo rldwi d e digita l vers i o n of the
Speake r's C o r n e r i n Lo n d o n 's Hyde Pa rk, a n u n ed ited col lection of l etters
to the ed ito r, a floati ng flea m a rket, a h uge van ity p u b l i s h e r, a n d a coa l i
tio n of every odd s pecial-i nte rest gro u p in the wo r l d . I t is a mass med i u m
beca u se a ny piece of i nfo rmation p u t o nto t h e Net h a s a pote ntial wo rld
wide reach of m i l l io n s . But it d i ffers from conventio n a l mass med ia i n
seve ra l respects. Every i nd ivid u a l w h o has the a b i l ity t o read a U se n et post
i ng has the a bil ity to reply or to create a n ew posti ng. I n te levisio n , news
papers, m agazi n e s , fi l ms , a n d rad io, a s m a l l n u m b e r of peo ple have the
powe r to d ete r m i n e w h ic h i nfo rmati o n s ho u ld be m a d e ava i l a b l e to the
mass a u d i e nce. In U se n et, every m e m be r of the a u d i e n ce is also pote n
tially a p u b l is h e r. Stud e nts at u n iversities i n Taiwa n who had U se net access
a n d tel e p h o n e l i n k s to relatives i n C h i n a became a n etwo rk of co rrespon
d e nts d u ri n g t he 1989 Tia n a n m e n Sq u a re i n cident. . . . U se net is a n e n o r
m o u s volu nteer effort. The people who created it d i d so volu nta rily and p u t
t h e software i n the p u b l i c d o m a i n . The growi n g m egabytes o f co nte n t are
co ntri b uted by volu nteers. 156
252
LINGUISTIC HISTORY: 1700-2000 A.D.
The m a i n effect of t h e I nte r n et's m a ny-to-m a ny str u ctu re, in te rms of
t h e fate of l i ngu istic rep l i cato rs, m ay be its pote ntial fo r a d e m assi ficati o n
of t h e po p u l atio n , t h at i s , its pote ntial t o create s m a l l , geogra p h i ca l ly
d iverse co m m u n ities l i n ked by com m o n i nte rests a n d i n fo r m a l co nve rsa
t i o n s . H ad the traffic in co m puter n etwo r ks been d o m i n ated by t h e
excha nge of m i l itary o r scie ntific i n fo rm atio n , w e wo u l d expect t o s e e a
m u ch h ig h e r d egree of fo r m a l ity i n t h e n o r m s c i rcu l ati n g t h ro u g h com
p ute rs. But beca use t h e n e two rk was tra n sfo rmed i nto a co n ve rsati o n a l
m ed i u m by its own u se rs ( n ot o n ly E ng l i s h spea k e rs b u t F r e n c h s p e a k e rs
too, w h o tra n sfo rmed a o n e-to-many d ata d e l ive ry s e rvice, M i n ite l , i nto a
m a ny-to-m a ny chat system 1 57), we m ay specu l ate that t h e col l oq u i a l regis
ter wi l l be strengt h e n e d by the n ew m e d i u m , and t h i s despi te the fact
t h at the I nte r n et tra n s po rts mostly writte n text. (For i n sta nce, o n o n e
rea l-ti m e chat syste m , t h e I R C , co rrecti ng m i sspe l l i ngs as o ne w rites i s
co n s i d e red bad form ; h e n c e t h e e n fo rceme nt of sta n d a rd s pe l l i ng, a n d
even gram m a r, is wea k o r n o n existe nt.)
W h i l e the vast amou nts of l i ngu istic re p l i cato rs that c i rcu l ate t h ro u g h
t h e I nte r n et are t h e re fo re bou n d t o be co l loq u i a l Englis h , t hey a re never
t h e l ess English, w h i c h raises a n u m be r of q u esti o n s . On o n e h a n d , t h e re
is noth i ng s u rprising a bo u t t h i s si nce E n gl i s h l o n g ago (si nce at l east
Wo rld Wa r I I ) beca m e t h e i nt e r n ati o n a l l i ngu a fra n ca of high tech n o l ogy.
As o n e a u t h o r p uts it, " W h e n a R u ss i a n p i lot seeks to l a n d at a n a i r fi e l d
i n At h e n s , Cai ro o r N ew De l h i , h e ta l ks t o t h e co ntro l towe r i n E n gl i s h . " 158
Sim i l a rly, fo r reaso n s havi n g v e ry l ittl e to do with its l i ngu i stic p ro p e rties,
Engl i s h beca m e the l a ngu age of co m puters, both i n t h e s e n se that fo r
m a l co m p uter l a ngu ages t h at use sta n d a rd wo rds as m ne m o n ic d evices
(su ch as Pasca l o r F o rtra n) use Engl i s h as a so u rce a n d in t h e se n se t h at
tec h n ica l d iscussio n s a bo u t com pute rs tend to be co n d u cted i n Engl i s h
(aga i n , n o t su rprisi ngly, s i n ce Brita i n a n d t h e U n ited States p l ayed key
ro l es i n t h e d evelopm e nt of t h e tec h n o l ogy) . On t h e ot h e r h a n d , cou nte r
i n g t h e l i ngu istic ho m ogen izati o n that t h i s i m p l i es , d u e to its role as a l i n
gu a fra nca, English is b e i n g c h a nged a n d ada pted by fo reign u s e rs i n
m a ny d i fferent ways , p a rticu l a rly w h e n i t i s tak e n a s a sou rce o f l o a n
wo rd s . T h e J a p a nese a re fam o u s fo r t h e way t h ey m i n i atu rize w h at t h ey
bo rrow from Engl is h : "mod e r n girl" beco mes " m oga , " "wo rd p rocesso r"
is s h o rt e n ed to "wa-pro," and " m ass co m m u n i cati o ns" to " m a s u - ko m i . " 159
T h e i nternati o n a l co m m u n ities t h at tod ay fl o u ri s h o n t h e I nte r n et m ay
o n e d ay create a not h e r E n gl i s h , o n e w h e re J a p a nese m i n iatu rizat i o n s
a re welco m ed (a n d so eve ryo n e e ngages i n masu-koming i n stead o f mass
co m m u n i cati ng) , w h e re p r i d e of t h e sta n d a rd is s e e n as a fo reign e mo
tio n , w h e re a co nti n u u m o f n eo-Engl i s h es fl o u rish es, p rote cted from t h e
253
3: MEMES AND NORMS
h ie ra rc h i ca l weight of " received p ro n u nciatio n s" a n d offici a l crite ria of
correct n e ss. This wo u l d , of cou rse , depend o n how m a ny oth e r cou ntries
e m brace t h e I n t e r n et as a means to b u i l d n o n n ati o n a l ( a n d n o n n atio n a l
istic) com m u n ities. 160 B u t it w i l l a l so d e p e n d on w h at kind of international
ism beco m es p red o m i n a n t on the I nte r n et itse lf. As we o bserved in t h e
fi rst c h a pte r, as a n t i m a rket i n stituti o n s became i nt e r n ati o n a l t hey
l a u n c h e d an attack on nati o n a l gove r n m e nts. T h e central state, a c h e r
i s hed p a rt n e r of a n t i m a rkets fo r so l o ng, sud d e n ly became a rival a n d
a n o bstacle t o i nte r n ati o n a l expa n si o n . Although a ntima rket i n stituti o n s
had a n e a rly p rese n ce i n the co m p ute r meshwo rk , today t hey a re set
to i nvade the I nte r n et with u n precede nted fo rce . 161 I t i s possible t h at
t h e mes hworks t h at h ave a l re ady accu m u l ated wit h i n t h e I nte r n et wi l l
prove resi l i e nt e n o u g h to s u rvive t h e attack a n d conti n u e to flo u ri s h . I t i s
a l so poss i bl e i n t h e n ext d ecades t h at h i e rarchies wi l l i n stead accu m u
l ate , pe r h a ps eve n c h a nging t h e n etwo rk b a c k i nto a o ne-to-many syste m
of i n fo rm at i o n d e l ivery.' T h e o utco m e of t h is struggle has certa i n ly n ot
b e e n settled .
Pe r h a ps t h e m ost i m p o rta nt lesso n to be l e a r n ed from t h e I nte r n et
experi e n ce m ay be t h at t h e poss i b i l ities of d e m assificati o n w h i c h it has
ope ned u p h ave , i n a s e n se , v e ry l ittl e to d o wit h futu rist i c tech n o l ogy.
Although m a ny see t h i s co m p ute r m es hwork pri nci p a l ly as a val u a b l e
reservo i r of i n fo r m ati o n , its m a i n co ntribution m ay o n e d ay b e s e e n as a
cata lyst fo r t h e fo r m ation of co m m u n ities (a nd h e n c e as a reservo i r of
e m otio n a l , tec h n ica l , a n d ot h e r types of support). S i n ce co m m u n ities
bou n d by co m m o n i nte rests existed l o ng befo re co m p uters , it i s n ot as if
we have n ow e ntered the n ext stage in the evo l utio n of society (the " i n fo r
mati o n age"). R at h e r, co m p ute r mes hworks h ave c reated a bridge to a
sta b l e state of soc i a l l ife w h i c h exi sted befo re m assi fi cati o n a n d co nti n u es
to coexist a l o ngside it. T h e e ffects of o n e-to-many m ass m ed i a made t h i s
adjace nt sta ble state h a rd t o reac h , but t h ey did not l eave it be h i n d as a
" p ri m itive" fo r m of o rga n izatio n . H u m a n ity has never been moving "ve rti
cal ly" up a l a d d e r of p rogress, but s i m p ly exp l o ri ng " h o rizontal ly" a s pace
of poss i b i l ities p restru ctu red by sta b l e states .
N o d o u bt, t h e d i ffe rent dyn am ical p rocesses t h at have s h a p e d h u ma n
h i sto ry a re c h a ngi ng t h i s space as we move, n ew sta ble states a pp e a r i ng
w h i l e ot h e rs d is a p p e a r o r l ose sta b i l ity. T h e sta b l e state d efi n i ng a com
m u n ity of m ut u a l ly s u p po rti ng m e m b e rs o bviou sly h a d n ot d isap peare d ,
rat h e r w e h ad drifted away f r o m i t , a n d co m pute r n etwo rks m a y n ow
bri dge t h at ga p . On t h e ot h e r h a n d , if t h e val u e of co m pu te r n etwo rks i s
t h i s ( n o n futu ristic) cata lytic rol e , t h e i r fut u re wo rt h w i l l d e p e n d e ntire ly
o n t h e quality of t h e co m m u n ities t h at d evelop wit h i n t h e m . M o reove r,
254
L INGUISTIC HISTORY: 1 700-2000 A.D.
t h e se co m m u n a l mes hworks w i l l e m b race people with d ive rse pol itical
i n c l i natio n s (i n c l u d i ng fascistic co m m u n iti es), so that the m e re exi ste n ce
of "vi rtu a l co m m u n ities" w i l l not gu a rantee soci a l c h a nge i n t h e d i rectio n
of a fai re r, l ess o p p ressive society. To p a ra p h rase D e l e u ze a n d G u attari ,
never b e l i eve t h at a m e s hwo rk w i l l su ffice to save U S . 16 2
255
Con clusion a n d
Specula tions '
I n t e r m s of t h e n o n l i n ea r
dyna m i cs of o u r p l a n et , t h e
t h i n rocky c r u st o n w h i c h
w e l i ve a n d w h i c h w e ca l l o u r
l a n d a n d h o m e is pe r h a ps
t h e ea rt h 's l east i m po rta n t
com po n e n t . T h e cru st i s , i n
d e ed , a m e re h a rd e n i n g wit h i n
t h e g reate r syste m of u n d e r
g ro u n d l ava f l ows w h i c h , o rga
n i zi n g t h e m s e l ves i n to l a rge
" co n veyor be lts " (co n ve ct i ve
257
A THOUSAND YEARS OF NONLINEAR HISTORY
ce l l s) , a re t h e nl a i n fa cto r i n t h e ge n es i s of
t h e m o st s a l i e n t a n d a p pa re n t l y d u ra b l e
st r u ct u res o f t h e c r u sty s u rfa ce . E i t h e r
d i re ctly, v i a vo l ca n i c a ct i v i ty, o r i n d i re ct ly, by
forc i n g co n t i n e n t a l p l ate s to col l i d e , t h e re by
c reat i n g t h e g re at fo l d e d m o u n ta i n ra n ge s , i t
i s t h e se l f- o rga n i z e d a ct i v i ty o f l a va f l ows t h at
i s at t h e o r i g i n of m a n y ge o l og i ca l fo r nl s . I f
we co n s i d e r t h at t h e ocea n i c c r u st o n w h i c h
t h e co n t i n e n ts a re e m be d d e d i s co n sta n t ly
be i n g c reated a n d d est roye d ( by s o l i d i f i cat i o n
a n d re m e l t i n g) a n d t h at eve n co n t i n e n ta l
c r u st i s u n d e r co n sta n t e ros i o n s o t h at i ts
m ate r i a l s a re re cyc l e d i n to t h e o c e a n , t h e
ro c k s a n d m o u n ta i n s t h at d ef i n e t h e m ost
sta b l e a n d d u ra b l e t ra i ts of o u r rea l i ty wou l d
m e re ly re p rese n t a l oca l slowing do wn of t h i s
f l ow i n g rea l i ty. I t i s a l m o st a s i f eve ry p a rt
of t h e m i n e ra l wo r l d cou l d be d ef i n e d s i m p l y
by s p e c i fy i n g i ts c h e rn i ca l com p os i t i o n a n d
its speed o f flow: ve ry s l ow for roc k s , fa ste r
fo r l a va .
S i m i l a r ly, o u r i n d i v i d u a l bod i e s a n d m i n d s
a re m e re coa g u l at i o n s o r d e ce l e rat i o n s i n t h e
f l ows o f b i o m a ss , ge n es , m e m e s , a n d n o r m s .
H e re , too , w e m i g h t b e d ef i n e d b ot h by t h e
m ate r i a l s w e a re t e m p o ra r i ly b i n d i n g o r c h a i n 258
CONCLUSION AND SPEC ULATIONS
i n g to o u r o rga n i c b o d i es a n d c u l t u ra l m i n d s
a n d by t h e t i m es ca l e of t h e b i n d i n g o p e ra
t i o n . Ove r t h e m i l l e n n i a , i t i s t h e f l ow o f b i o
m a s s t h ro u g h food we b s , a s we l l a s t h e f l ow
of ge n es t h ro u g h ge n e rat i o n s , t h at m a tt e rs ,
n ot t h e bod i e s a n d s p e c i e s t h at e m e rge from
t h e s e f l ows . O u r l a n gu a ges m ay a l s o b e s e e n
ove r t i nl e a s m o m e nta ry s l ow i n g d ow n s o r
t h i c ke n i n gs i n a f l ow o f n o rm s t h at g i ves r i s e
to a nl u l t i tu d e o f d i ffe re n t st r u ct u re s . A n d a
s i m i l a r p o i n t a p p l i e s to o u r i n st i t u t i o n s , w h i c h
m ay a l so b e co n s i d e re d t r a n s i t o ry h a rd e n i n gs
i n t h e f l ows of m o n ey, ro u t i n e s , a n d p rest i ge ,
a n d , i f t h ey h a ve a cq u i re d a p e r m a n e n t b u i l d
i n g t o h o u se t h e m , i n t h e m i n e ra l f l ows f ro m
w h i c h t h e co n st r u ct i o n m ate r i a l s d e r i ve .
T h i s b o o k h a s co n c e r n e d i ts e l f w i t h a h i s
t o r i ca l s u rvey o f t h e s e f l ows o f "stu ff," a s w e l l
a s w i t h t h e h a rd e n i n gs t h e m s e l ve s , s i n ce
o n ce t h ey e m e rge t h ey re a ct b a c k o n t h e
f l ows t o co n stra i n t h e m i n a va r i ety of ways .
A l t h o u g h t h i s s i m p l e sta te m e n t ca pt u res t h e
g i st o f t h e boo k , i t m u st b e q u a l i f i e d i n s e v
e ra l ways . O n o n e h a n d , t h e f l ows of m ate r i
a l s w h os e h i st o ry w e d e s c r i b e d i n vo l ve d m ore
t h a n j u st m a tte r- e n e rgy. T h ey a l so i n cl u d e d
in formation, u n d e rsto o d n ot i n stat i c t e r m s
259
A THOUSAND YEA RS OF NONLINEAR HISTORY
as m e re p hysical patte r n s (meas u red in bits) but in dy n a m ic te r m s , as
patte rns ca pa ble of se l f-re pl i cati on a n d cata lys is. T h at is, we have co n
s i d e red not o n ly ge n e s , memes, a n d n o rm s , but a lso t h e " p h e n oty pic"
effects of t h e se re p l i cators, t h e i r a b i l ity to trigge r i nt e n s i ficat i o n s o r
d i m i n ut i o n s i n t h e fl ows o f m atter-e n e rgy a n d t h e i r a bi l ity t o switch fro m
o n e sta b l e state to a n ot h e r t h e st r u ct u res t h at e m e rge out of t h ese flows .
On t h e oth e r h a n d , amo ng th ese structu res we d isti ngu i s hed coagu lations
that h ave u n d e rgo n e a p rocess of homoge n izati o n , w h i c h we ca l l ed hierar
chies (o r m o re ge n e ra l ly, strata), from th ose where i n hete roge n e o u s com
pone nts we re articu l ated as s u c h , w h i c h we refe rred to as mesh works (o r
m o re ge neral ly, self-consistent aggregates).
We repeatedly saw t h at h i e ra rch ies a n d mes hwo rks occ u r mostly in m ix
t u res, so it i s co n ve n i ent to h ave a label to refe r to t h ese c h a nging com
bi n ati o n s . I f the h i e ra rch ica l co m po n e nts of the m ix d o m i nate over t h e
mesh wo rk co m p o n ents, we may s p e a k of a h ig h ly stratified str u ct u re,
while t h e o p posite co m b i n ation will be refe rred to as havi n g a l ow d egree
of strati ficatio n . M o reove r, si nce m e s hwo rks give rise to h i e ra rc h i es a n d
h i e ra rch ies t o m e s hwo rks, w e may spea k o f a give n m ixtu re a s u n d e rgo
i ng p rocesses of destratification as we l l as restratification , as its propo r
t i o n s of ho m oge n e o u s a n d h ete rogen e o u s com po n e nts c h a nge . Fi n a l ly,
s i n ce what tru ly defi ne s the rea l wo rld (acco rd i ng to t h i s way of view i n g
t h i ngs) a re n e i t h e r u n iform strata n o r va ri a bl e mes hwo rks but t h e
u n forme d a n d u n struct u red fl ows f r o m w h i c h these two d e rive, it w i l l a lso
be u sefu l to h ave a l a b e l to refe r to this special state of matte r-e ne rgy
i nfo rmat i o n , to t h i s flow i n g real ity a n i m ated from wit h i n by self-o rga n i z i ng
processes co n stit u t i n g a ve rita b l e n o n organic life: t h e Body without
O rga n s ( BwO). As G i l l es D e l e u ze a n d Fe l ix G u atta ri write :
The organ ism is not at a l l the body, the BwO; rather it is a stratum on the
BwO, in other wo rd s, a phe nome non of accumu lati o n , coagu lation , a n d
sed ime ntation that, i n o rder t o extract usefu l labor from t h e BwO, i m poses
upon it fo rms, fu nctions, bonds, d o m i nant and hiera rchized orga n izations,
orga nized tra nscendences . . . . [T] he BwO is that glacial rea l i ty where the
all uvions, sed imentations, coag u latio ns, fol d i ngs, and reco i l i ngs t hat com
pose an o rgan ism -a n d also a sign ificati on and a su bject - occ u r. l
The l a be l itsel f is, of co u rse, i m m ate r i a l a n d i n s ign ifi ca nt . We cou ld as
we l l refe r to this ca u ld ro n of n o n o rga n i c l i fe by a d i fferent name . (Else
w h e re , fo r i n stance, we ca l l ed it the " m a c h i n ic p hyl u m . ")2 U n l i ke t h e
n a m e , howeve r, t h e refe re nt o f t h e l a be l i s o f extreme i m po rta n ce, si nce
t h e fl ows of lava, biomass , ge nes, m e mes, norms, m o n ey (a n d ot her
260
CONCLUSION AND SPECULATIONS
"stuff") a re the sou rce of j u st a bout eve ry sta ble str u ct u re that we cher
i s h and va l u e (o r, on t h e co ntrary, that o p p resses or e n s l a ves u s). We
co u ld defi n e t h e BwO i n te rms of these u nfor m e d , destratified flows, as
l o n g as we keep i n m i n d that what co u nts a s d estratified at a ny give n
t i m e a n d in a ny given s pace i s e nt i rely re lat i ve . The flow of ge n e s a n d
biomass a re " u nfo r med" i f w e com pare t h e m t o a ny i n d ivid u a l o rga n i s m ,
b u t the flows themselves have i nte r n a l fo rms a n d fu n ct i o n s . I nd e e d , i f
i n stead o f ta k i ng a p l a n eta ry pe rspective w e adopted a cos m i c viewpoi nt,
our e nt i re pla net wo u l d itself be a m e re prov i s i o n a l h a rde n i n g in t h e
vast fl ows of p l a sma w h i c h permeate the u n ive rse.
Pl asmas, c l o u d s of e l ectrified e l e m e nta ry particl es that ha ve l ost
even t h e i r ato m i c fo rms, a re (as fa r as we know) t h e state of matte r
e n e rgy with t h e least a mo u nt of i nte r n a l struct u re , a n d yet they are
ca pable of s u p po rti n g a variety of self-o rga n iz i n g p rocesses. H oweve r,
rat h e r t h a n i d e ntify i n g t h e BwO with t h e p l a s m a that fi l ls o u r u n iv e rse,
we s h o u l d t h i n k of it as a limit o f a given process o f destratifica tio n : pl as
mas may i n deed be such a l i m it when we t h i n k of m i n e ral str u ct u res,
b u t n ot i f we t h i n k of ge netic mate r i a l s . The more or less free and
u n fo rmed flow of ge n e s t h rough m i croorga n isms may be a bette r i l l u s
tration of w h at the BwO of a flow of re p l i cators m ay be . On t h e other
hand, a n egg (and all t h e self-o rga n iz i n g p rocesses t h at a n i m ate its cyto
p l a sm ) is a good im age of a BwO in t h e flow of biom ass: a n u n fo r m e d
body o f e n e rgetic a n d m i n e ra l m ateri a l s havi ng t h e pote ntial t o give rise
to a vari ety of o rga n s o n ce it is ferti lized a n d b egi ns d eve l o p i n g i nto
a n e m b ryo.3
I t wo u l d , of co u rs e , be poss i bl e to fra m e my co ncl u d i n g re marks with
out u s i n g t h ese te rms, and t h ro u g h o u t this book I h ave attem pted to
ca rry on my a rgu ment with a m i n i m u m of stra nge-so u n d i n g j a rgo n .
T h e re are , howeve r, two adva ntages to i ntrod u ci n g t h es e t e r m s a t t h i s
point. F i rst, t h ey a l low fo r a m o re co m pact descriptio n : a ny struct u re
t h at matte rs as fa r as h u m a n h i story is co n ce r ned m ay be defi n e d by its
,
degree of stratificat i o n , and changes in com position betwee n co m m a n d
a n d m a rket co m p o n e nts m a y be d efi ned as move m e nts of d e stratifi
cat i o n and restratificat i o n . Seco nd, havi ng esta b l i s hed the p l a u s i b i l ity of
t h i s p h i loso p h ical sta nce t h rough an a n a lysi s t hat never strayed fa r from
h i storical real ities, t h is co m pact set of terms wi l l a l low me to co ncl u d e
t h i s d iscu ss i o n i n a m o re specu l ative ve i n w h i l e k e e p i n g it fro m d rifti n g
away from t h e ideas w e h ave a l ready explored .
H u m a n h i story has i nvolved a variety of Bod ies wit hout Orga n s . F i rst,
the s u n , t h at gi ant s p h e re of plasma whose i nte n se flow of e n e rgy d rives
m ost p rocesses of self-o rga n izat i o n o n our pla n et and, i n t h e fo rm of
261
A THOUSAND YEARS OF NONLINEAR HISTORY
gra i n a n d foss i l f u e l , of o u r civil izat i o n s . Seco n d , t h e lava "co n veyo r belts"
that d rive pl ate tecto n i cs a n d a re respo n s i ble fo r t h e most ge n e ral geo
pol itica l featu res of o u r p l a n et, s u c h as the brea kdow n of Pa ngaea i nto
o u r cu rrent co nti n e nts, a n d t h e su bseq u e nt d istri b u t i o n of d o m esticable
s pecies, a d i stri b u t i o n t h at b e n e fitted E u rasia ove r A m e rica, Africa, and
Oce a n ia.4 T h i rd , t h e BwO con stituted by t h e cou pled dyn a m ics of t h e
hyd ros p h e re a n d atmos p h e re a n d t h e i r w i l d variety o f self-o rga n ized e nti
ties: h u rrican es, ts u n a m is , p ress u re b l ocks, cyc l o n es, and wind c i rcu its.
As we saw, the co n q u est of the wind c i rcu its of the Atl a ntic (t h e trade
wi n d s and the weste rl ies) a l l owed the tra n sfo rmation of the A m e ri ca n
co nti n e nt i nto a vast su pply zo n e t o fuel t h e growt h of t h e E u ro p e a n
u rb a n eco n o my. Fo u rt h , t h e g e n e t i c BwO constituted b y t h e m o re o r l ess
free flow of ge n e s t h rough m ic ro o rga n i sms (via plasm ids a n d ot h e r vec
to rs), w h i c h , u n l i ke t h e mo re strati fie d ge n etic flow i n a n i m a l s a n d p l a nts,
h a s avoided h u m a n control even a fter the d eve l o p m e nt of anti biot ics.
F i ft h , t h ose port i o n s of the flow of sol a r e n e rgy t h ro u g h ecosystems
(fle s h c i rc u l at i ng i n natu ral food we bs) w h ich have escaped u r ba n izati o n ,
p a rticu l a rly a n i m a l a n d vegetable weeds, o r r h izomes (th e BwO fo rmed
by a n u n d e rgro u nd rod e n t city, fo r exam ple).5 F i n a l ly, our l a ngu ages also
fo rmed a BwO w h e n t h ey fo rmed d i a l ect co nti n u a and circu msta n ces
co n s p i red to remove a n y strat i fy i n g p ressu re, as when t h e N o r m a n
i nvad e rs of Engla n d i m posed F r e n c h as t h e l angu age of t h e e l ites, a l l ow
i n g t h e peasa nt m asses to create t h e English la ngu age out of an a m o r
p h o u s sou p of G e r m a n i c n o rm s with Sca n d i n av i a n a n d Lati n spices.
(Beca u se all five of these BwOs, u n l i ke p u re plasmas, retai n forms and
f u ncti o n s , t h ey m ay be co n s i d e red exa m pl es of a l oca l BwO, t h at i s , l ocal
l i m its of a p rocess of d estrati ficat io n , and n ot the BwO, ta k e n as a n
a bsol ute l i m it . H oweve r, fo r s i m p l icity, I w i l l conti n u e t o refer t o t h ese
l i m it states in the si ngu l a r. )
I h ave attem pted h e re to d escri be Western h i story i n t h e last o n e t h o u
sand yea rs as a se r i es of p rocesses o cc u rri ng i n t h e BwO : pidgi n izat i o n s ,
c re o l izat i o n s , a n d sta n d a rd izat i o n s i n t h e flow of n o rms; isolati o n s , co n
tacts, a n d i n stituti o n a l izat i o n s in the f l ow of m e me s ; d o m esticat i o n s , fe r
a l izat i o n s , a n d hybri d izatio n s i n t h e flow of ge nes; a n d i nte nsifi cati o n s,
accele ratio n s , and dece l e ratio n s in t h e flows of e n e rgy and mate ri a ls.
Cities a n d t h e i r m i n e ra l exos ke leto n s , t h e i r s h o rte ned food c h a i ns, and
their d o m i n a nt d i a l ects a re among t h e structu res we saw e m e rge fro m
these n o n l i n ea r flows. O n ce i n place, t h ey reacted back o n the fl ows,
e it h e r to i n h i bit t h e m or to fu rt h e r sti m u l ate t h e m . I n ot h e r wo rds, cities
a ppea red n ot o n ly a s structu res o pe rati ng at a certa i n d egree of strati fi
cat i o n (wit h a ce rta i n mix of m a rket and c o m m a n d co m po n e nts), but t h ey
2 62
CONCLUSION AND SPECULATIONS
t h e mse lves performed d estrati ficat i o n s a n d restratifi cati o n s on t h e fl ows
that t rave rsed t h e m . A n d a s i m i l a r poi nt a pp l i es to the pop u l at i o n s of
i n stituti o n s that i n ha bited t h ese u rban centers as we l l as to t h e i r p o p u la
tio n s of h u m a n mi n d s and bod ies.
T h e co n ce pt of t h e BwO was c reated i n a n effo rt to co nceive t h e ge n e
sis of fo rm (i n geologica l , biologica l , a n d cu ltu ral str u ctu res) as re l ated
exc l u s ively to immanent c a pa b i l ities of the fl ows of m atte r-e n e rgy i n fo r
m atio n a n d n ot to a ny transcenden t facto r, w h et h e r plato n i c o r d ivi n e . To
exp l a i n t h is i n h e re nt m o r p hogen etic pote ntial without s n ea k i ng t ra n s
ce n d e nta l essences t h rough t h e back door, D e l e uze a n d G u attari d evel
o ped their t h e o ry of a bstract m ac h i n es, engi n e e ri ng d iagra m s d e fi n i n g
t h e struct u re-ge n e rati n g processes t h at give rise t o m o re o r l ess p e r m a
n e nt f o r m s but a re n ot u n i q u e to t h ose fo rms; t h at is, t hey d o n ot rep
resent (as an esse nce d oes) t h at w h i c h d e fi n es the identity of t h ose
fo rms. Attracto rs a re t h e s i m pl est type of a bstract m ac h i n e , o p e rati n g at
t h e l evel of n o n l i n ea r, d estrat i fied flows. Attracto rs re p resent patt e r n s of
sta b i l ity a n d beco m i ng t h at a re i n h e re n t i n a bstra ct dyna m ica l systems
a n d may be " i n ca r n ated" in a variety of actu a l p hys ica l syste ms. F o r
exa m p l e , o n e a n d t h e s a m e pe riod i c attracto r m ay be i n sta ntiated b y l ava
or wi n d in a convectio n ce l l , t h e sponta n eo u s rhyt h m ica l b e h a v i o r of c rys
ta l rad i os, periodic b e h avior in e l ectro n i c c i rcu its or c h e m i ca l reactio n s ,
a n d even t h e be havi o r of a n eco n om ic system d u ri ng a busi n ess cycl e .
A dyn a m i c a l system w h ose b e h avior is gove rned b y t h ese e n d oge n o u sly
ge n e rated sta b l e states is f u rt h e r c h a racterized by a certa i n n u m be r of
key para m eters. At a ny o n e m o m ent in the system's h isto ry it i s t h e
degree of intensity of t h ese para m et e rs (t h e d egree of te m pe ratu re, p re s
s u re , vol u me , s peed , d e n s ity, a n d so o n ) t h at d e fi n es t h e attracto rs ava i l
a b l e to t h e system a n d , h e nce, t h e typ e of fo rms it may give rise to.
(T h at is, at c ritical v a l u e s of these para m et e rs , bifu rcat i o n s occ u r w h i c h
a bru ptly cha nge o n e set of attracto rs i nto a n ot h e r. )
S i m i l a r co nsiderat i o n s a p ply to t h e m o re co m p lex a bstract m a c h i nes
t h at e m e rge fro m t h ese simple o n es. T h e two m ost ge n e r a l a bstract d i a
gra m s that we exa m i ned we re t hose be h i n d the fo rmatio n of strata a n d
self-co nsistent aggregates. T h e h ie ra rc hy-ge n e rating mach i n e i nvolved a
p rocess of d o u bl e a rticu lati o n , t h at i s , a so rti n g o p e rati o n t h at y i e l d s a
h o moge n e o u s d i stri b u t i o n of e l e m e nts a n d a co n so l idation o p e rati o n that
d efi nes m o re o r less perma n e n t structu ra l l i n kages betwee n sorted mate
rials. T h e mes hwo r k-ge n e rati n g m ac h i n e , o n t h e ot h e r h a n d , a rtic u l ates
d iverge nt but p a rti a l ly ove rl a p pi ng co m po n e nts by t h e i r fu n ctio n a l co m p l e
m e ntarities, u s i ng a vari ety of loca l i nterca lary e l e m e nts as well as e n dog
e n o u s ly ge n e rated sta ble states. T h e n we d i scov e red t hat, if a n d w h e n
263
A THOUSAND YEA RS OF NONLINEAR HISTORY
the materi a l s on w h i c h a sort i n g dev ice operates a cq u i re the a b i l ity to
re pl icate with variat i o n , a new a bstract mac h i n e e r,n erges, in t h e fo rm of a
b l i n d probe h e ad c a pa ble of e x p l o r i n g a s pace of poss i b l e fo rms. F i n a l ly,
with t h e creat i o n of social n etwo rks c a p a b l e of acti ng as en fo rce ment
m ec h a n isms for t h e t ran smission of n o rms, a n a bstract mac h i n e o pe rat
i n g by m e a n s of com b i n ato r i a l constrai nts was m ad e poss i b l e , defi n i ng
the str u ctu re-ge n e rati ng p rocess be h i n d so me l i n g u i stic structu res.
Th ese o t h e r a bstract m ac hi n e s m ay a l so be viewed as e q u i p ped with
" k n o bs , " control l i ng p a ra m eters w hose i nten s ity defi n e s the dyn a m i cal
state of the structu re-ge n e rating process. For i n stance , we saw that i n
M a ry Dougl as 's t h e o ry of t h e ge nesis o f d i scu rsive fo r m (co herent wo rld
views) t h e i nte n s ity of a l l egia nce to a grou p, as we l l as t h e i nte n sity of
outside reg u l at i o n to w h i c h the gro u p m u st conform (t hat is, t h e v a l u es of
t h e grou p-a n d-grid paramete rs), d efi nes t h e sta ble states to which a col
l ectivity of b e l iev e rs (and t h e i r beliefs) will be d ra w n . I n Zellig H a rris's
theo ry of l a n g u age, on t h e oth e r h a n d , the degree of va r i a bi l ity of the
o pe rato r-a rgu ment co nst ra i nt, as we l l as t h e stre ngth of co n stra i nts o n
se q u en ces o f i n scripti o n s , d eterm i n es whet h e r t h e seq u e n ces ge n e rated
wi l l be of the logico-m ath e m ati ca l , l i n gu isti c, or m u s i c a l type. Ot h e r k ey
param ete rs a re those contro l l i ng t h e stren gt h a n d t h o ro u g h n ess of t h e
so rt i n g p rocess a n d t h e d egree o f co nsol i d ation o r re prod u ctive isolation
of t h e d o u ble-arti c u l at i o n m ac h i n e; o r the deg ree of co n n ectivity that
d ete r m i n e s w h e n a mes hwo r k beco mes self-su stai n i ng ; or t h e rates of
m u tatio n a n d reco m b i n ati on t h at defi ne the speed of the probe head , as
we l l as t h e stre n gt h of t h e flow of b i o m ass a n d of the co u p l i ng betwe en
coevo l v i n g speci e s - p a ra m eters t h at d ef i n e the kind of space that t h e
p robe h e a d e x p l o res. H e n ce , u s i n g t h ese a bstract d i agrams t o re p resent
w h at goes o n i n t h e BwO is e q u ivalent to using a syste m of represe nta
tion in terms of intensities, s i n ce it is u lt i m ate ly t h e i nten sity of each pa ra
m eter t h at d ete r m i n es the k i n d of dyn a m ic i nvo l ved a n d , he nce , t h e
cha racte r o f t h e str u ct u re s t h at a re ge n e rate d . I n d e e d , o n e way of pictu r
i n g t h e BwO is as t h e "gl acial" state of matte r-e n e rgy i n fo rmation resu lt
i n g fro m t u r n i ng a l l t h ese k n obs to zero, that is, to t h e ab.sol ute m i n i m u m
va l u e o f i n ten sity, bringing a ny production o f structured form t o a ha lt. As
Del e uze a n d G u attari write :
A BwO is made in such a way that it ca n be occupied , pop u lated only
by i nten s ities. Only i ntensities pass and circulate . Sti l l , the BwO is n ot a
scene, a pla ce, or even a s u p port u pon which somethi ng comes to
pass . . . . It is not s pace, nor is it in space; it is matter t hat occu pies space
to a given d egree-to the d egree co rres pond i ng to the intens ities prod u ced.
264
CONCLUSION AND SPECULATIONS
It is nonstratified, u n fo rmed , i nte n se matter, the matrix of i nte ns ity, i nten
sity
=
0
. . . .
Production of the real as an inten s ive magnitu d e sta rting at
zero. 6
To view h u m a n h i story as u nfol d i ng i m m e rsed in t h i s cau l d ro n of
n o n o rga n i c l i fe i s one way to e l i m i n ate noti o n s of progress o r u n i l i n e a l
deve l o p ment. I n d eed , t h e th ree na rratives I u sed to a p proach t h e geo log
ica l , biologica l , and l i ngu istic h i sto ries of t h e West were fra m ed not i n
te rms o f " m a n " a n d h i s m a n ifest d esti ny, b u t i n te rms of stuff u n d ergo
i n g d iffe re n t k i n d s of intensification. I n t h ose th re e n a r ratives we u sed
t h e yea r 1000 as a d egree ze ro of i nte n s ity fo r t h e West, w h i l e t h e powe r
ful agricu ltu ra l i n te nsification that occu rred be fo re t h e t u r n of the fi rst
m i l le n n i u m was seen as h avi ng j u m p-sta rted t h e abstract ma ch i n es a n d
beg u n t h e process of stru ctu re fo rmation aga i n . T h i s i ntensif icati o n i n
t u r n acted a s a t rigger fo r a whole series o f fu rth er i nten sificat i o n s :
o f d e n s ity of sett l e m e n t a n d degree of rn i n e ra l izati o n ; of t h e velocity a n d
q u a ntity o f m o n ey i n ci rcu lat i o n ; o f t h e accu m u l at i o n o f k n ow-how a n d
fo r m a l k n owledge; of the fo rmati o n of u rban h i e rarc h i es a n d t he p rol i fe r
ation of l i n ks am ong m ari t i m e gateways; of the d iverge nce of spoken
Lati n varieties a n d t h e sta n d a rd ization of writing and spel l i ng syste m s .
Later o n , i n te n sified co lo n i a l i sm a n d co n q u est, ro uti n izat i o n a n d rati o n a l
izatio n , m o n ey and k n owledge acc u m u l at i o n , and fossi l- e n e rgy flow
resu l ted i n t h e self-su sta i n ed i n te n s i ficat i o n k n own as t h e I n d u stri a l R ev
olutio n . I n both periods, t h e re we re cata lysts of d iffe rent k i nds ( m o n ey,
te c h n o l ogy, k n ow- h ow) effect i ng a n d s u sta i n i n g t h e i n t e nsificatio n s . A n d
i n both period s , t h e ve ry f l ows t riggered b y o n e cata lyst beca me triggers
fo r yet ot h e r flows, the w h o l e asse m bl age of t rigger flows acq u i ri ng a u to
catalytic dy n a m ics. (O n ly in the seco n d period , it was a rgu ed, d id t h ese
trigge r flows fo rm a closed ci rc u it of e n o ugh co m p lexity to beco me a s e l f
s u sta i n i n g a utocata lytic l o o p . )
Alt hough both m es h wo rks a n d h i e rarc h ies a rose fro m t h e fi rst u rb a n
i ntensificat i o n ( 1000-1 300 A . D.), t h e ove r a l l effect of t h e acce l e ratio n o f
city b u i l d i ng i n E u rope wa s d estratifyi ng. As B ra u d e l ob served , u rb a n
ce nters i n t h e West we re verita b l e accel e rato rs o f h i storica l t i m e as wel l
as m a c h i nes fo r t h e brea k i ng of o l d bo n d s ( s u c h as those c h a i n i ng peas
a n ts to t h e i r fe u d a l l o rd s). But here we m u st be ca refu l i n ou r eva l u a
tio ns, si nce at a l l poi nts t h e re we re coex i st i n g h isto ries m oving at
d i ffe re nt speeds or with d iffe re nt d egree s of d e st ratificati o n : the r u ra l
m asses moved at o n e speed , t h e u rb a n ma rkets a t a faste r r hyt h m , w h i l e
co m m e rcia l a n d fi n a nc i a l a nt i m a rkets achieved t h e greatest deg ree of
m o b i l ity. For exam ple, the flows of m o n ey t h at m a rkets u sed to m o b i l ize
265
A THOUSAND YEARS OF NONLINEAR HISTORY
t h e food s u r p l u ses p rod uced i n r u ra l regi o ns acq u i red n ew p ro p e rties i n
t h e h a n d s o f a nt i m a rket i nstituti o n s , d etac h i ng t h e mse lves fro m a ny p a r
ticu l a r flow of m atter-e n e rgy a n d i nvad i ng a ny eco n o m i c activity w h e re
p ro fits we re pa rtic u l a rly i n te n se.
M o re ove r, befo re the I n d ustrial R evol utio n , the c u tti n g edge of a nti
m a rket d ev e l o p m e nt was r e p rese nted by the m a ri t i m e gateways (Ve n ice,
G e n oa , Amste rd a m ) t h at were the most d estratified - t h at is, t h e l east
attached to t h e l a n d fo r its agricu ltu ra l resou rces (t h ey were a l l ecologi
c a l ly d e p rived) - as well as the least co ncerned with the gove r n m e n t a n d
control of l a rge territories. A s Pa u l M . H o h e n be rg a n d Lyn n H o l l e n Lees
n ote , t h ese gateways had c l os e r ties to overseas colo n i es a nd to o n e
a not h e r t h a n t o t h e te rrito ries a t t h e i r backs. O n t h e ot h e r h a n d , wh e n
t h e d estratified f i n a n c i a l flows t h at these gateways ( a n d t h e regi o n a l capi
ta ls closely associ ated with them) ge n e rated were i nvested i n m i n es or
p roto i n d ustrial a ctivities, t h e stru ctu res ge n e rated were extre m e ly strati
f i ed and h i e ra rch i ca l , riva l i ng t h ose of conte m p o r a n e o u s m i lita ry i n stitu
tio ns (s u c h as the a rs e n a l of Ve n i ce) in t h e i r degree of ce ntral co ntrol and
i n d u strial d i sci p l i n e. D e l e uz e and G u atta r i , n oti c i n g this a ppare nt p a ra
d ox, write t h at it was " p recisely beca use the bou rge o i s i e was a cutt i ng
edge of d eterritori a l i zati o n , a ve rita b l e p a rticle acce l e rato r, t h at it also
p e rfo rmed a n ove ra l l rete rrito rial izati o n . " 7 Alt h o u g h t h e i r exp l a n at i o n of
this para d ox i s rat h e r co m p l ex, we ca n s u m m a rize it in a gen e ra l hypoth
esis: that the creatio n of n o vel h i e ra rc h ical str u ct u res t h rough restratifica
tion is performed by the m ost d estratified e l e m e n t of the previous p hase.
We m ay agree wit h t h is i m p o rtant hypot hesis as l o ng as we do n ot view
t h e restrati fied res u lt of t h e powe rfu l d estratificat i o n t h at m o b i l e a nti
m a rkets r e p rese nted as a societywide syste m (ca p ita l i sm), but s i m ply as
a n ew b reed of o rga n izatio n s (and i n stituti o n a l n o rms) t h at added t h e m
se lves t o t h e existi ng ecology of i nstitutions, i nteract i ng w i t h t h e m a n d
t h e t rigger fl ows u n d e r t h e i r contro / . R esist i ng t h e t e m ptation to red u ce
c o m p l ex i n stitutio n a l dyn a m ics to a si ngle facto r (e.g., a n t i m a rket eco
n o m i cs) is even m o re i m p o rtant w h e n co n s i d e r i n g t h e great ci rcu it of trig
ge r flows t h at fo rmed t h e basis for t h e I nd ustri a l R evol utio n . No d ou bt,
a n t i m a rkets pl ayed a key ro l e i n t h e co nju nction of trigge r flows (coal,
ste a m , cotto n , i ro n , raw labor, s k i l ls) that made up t h e facto ry towns and
t h e i nd ustri a l co n u rbat i o n s . B u t h e re , too, ot h e r d estratified e l e m e nts,
oth e r p a rticle acce l e rato rs were n ecess a ry: the B ritish gove r n m e nt
d est ratify i n g its te rrito ry by a bo l i s h i ng tol l s and ta riffs a n d creat i n g a
n atio n al m a rket, a n d d est ratifyi ng its taxation a n d fiscal system by creat
i n g t h e B a n k of Engla n d a n d t h e v e ry n otio n of n at i o n a l d e bt. I n F ra n ce ,
t h e a rmy w a s beco m i ng t h e most d estratified i n E u rope, leadi ng n ot o n ly
266
CONCLUSION AND SPECULATIONS
to N a po l e o n 's fantastica l ly m o b i l e war mach i n e but si m u lta n e o u sly to a
greater restratificatio n : t h e conve rs i o n of wa rfare from t h e l i m ited dynas
tic d u els of t h e e ighte e n t h c e n t u ry to t h e "tota l war" wi t h w h i c h we are
fa m i l i a r tod ay, i nvo lving t h e c o m p l ete m o b i l ization of a co u ntry's
reso u rces by a centra l ized gove r n m e n ta l age n cy.
M o reove r, not o n ly were t h ere several p a rticle acce l e rato rs m o b i l iz i n g
trigger flows of d i fferent k i n d s , t h e re w e r e coexist i n g m oti o n s of d estrati
fication of intermediate intensity w h i c h co n n ected these flows , ge n e rati n g
m es hworks of d iffe rent k i n d s : peasant a n d smal l-town m a rkets ; sym b iotic
n ets of s m a l l p rod u ce rs e ngaged in vol ati l e trade and i m po rt s u bstituti o n ;
l a rge cities a n d i nd u strial h i nterlands o p e rati ng v i a e co n o m i e s o f agglom
e rati o n ; a l p i n e regi o n s e l a b o rati ng i nd ustri a l paradigms d i ffere n t from
t hose o f t h e coa l co n u rbatio n s , in w h ic h s k i l ls a n d c rafts we re m e s h ed
togeth e r i n stead of being re pl aced by routi nes a n d centra l i zed m a c h i n e ry.
W h at use is t h e re i n moving o u r l evel of d escription to t h e BwO if we a re
n ot going to take adva ntage of t h e h ete roge n eous m ixtu res of e n ergy a n d
ge n e s , ge rms a n d words, w h i c h it a l lows u s t o conceive, a world i n w h ic h
geol ogy, biology, a n d l i ngu istics a re n o t s e e n a s t h ree s e pa rate s p h e res,
each m o re advanced o r p rogressive than the previ o u s o ne , b u t as t h re e
pe rfectly coexisting a n d i n te racting flows of e n e rgeti c, r e p l icative, a n d
cata lytic materia ls? W h at u s e is t h e re i n m a k i n g t h i s m ove , if we a re t o
c rown t h e w h o l e exe rcise w i t h a retu rn to t h e great m aster co n ce pt, t h e
great h o m oge n izatio n i n volved i n the n otio n of a "cap ita l ist system " ?
O n t h e co ntra ry, we m u st be ca utious w h e n d e pl oyi n g o u r co nce pts , not
o n ly w h e n we p e riod ize h u m a n histo ry, but a l so when we t h i n k of o u r
evo l ut i o n from geologic a n d o rga n ic strata :
It is difficu lt to elu cidate the system of the strata without seem ing to
i ntrod u ce a k i nd of cosmic or even s p i ritual evol ution from one to the ot her,
as if they were arranged in stages and ascending degrees of pe rfectio n .
Nothin g of the so rt. . . . I f one begi ns b y considering the strata in them
selves, it can not be said th at one is less organized than the ot her. . . .
[T] h ere i s no fixed order, and one strat u m can se rve d i rectly as a substra
tum for another without the inte rmedi a ries one wou ld expect from the point
of view of stages and degrees . . . . Or the apparent order may be reve rsed ,
with c u l t u ral or tec hn ical p henomena p rovid i ng a ferti le soi l , a good sou p,
for the deve lopment of i n sects, bacte ria, ge rms or even particles. The
i n d u strial age defi ned as the age of i n sects . . . . [On the other ha nd] if we
consider the plane of consistency [t he BwO at the absol ute l i m it of destrati
fication] we note th at the most disparate things and signs move u pon it: a
semiotic "fragment rubs shou lders with a chem ical i nte ractio n, an electro n
267
A THOUSAND YEARS OF NONL INEAR HISTORY
clas hes i nto a l a nguage . . . . There is no " li ke" here, we are not sayi ng " l i ke
an el ectro n , " " l ike an inte racti o n , " etc. The p l a ne of co nsiste ncy is the abo
lition of a l l meta p hor; a l l that consists is Rea l .8
T h u s , acco rd i n g to D e l e u ze a n d G u atta r i , in te r m s of t h e stratified
and the d e stratifi e d , h u m a n h i sto ry is not m a rked by stages of progress
but by coexistences of accu m u lated m ateria l s of d i ve rse k i nds, as we l l a s
b y the p rocesses of strati fication a n d dest ratification t h at t hese i n teract
i ng a cc u m u l at i o n s u n d e rgo . I n t h i s s e n se , we co u l d c h a ra cterize o u r
e ra as t h e " age o f i n fo r m ation" or, eq u a l ly val i d ly, a s t h e "seco nd age of
i n sects a n d ge r m s , " given t h e s ign ifica n t accu m u lations of i nsecticide
a n d a nt i b i otic-resista n t genes w h i c h o u r agricu ltu r a l a n d med ical p rac
tices have in adverte ntly fost e red s i n ce Wo rld Wa r I I . And as I attem pted
to s h ow i n t h i s boo k , t h e se m ixtu res of coexist i n g " ages" are not som e
t h i n g new b u t have a l ways c h a racterized h u man h i sto ry. Medieval towns
we re both l i n gu i stic a n d e p i d e m iological l a bo rato ries, a n d many t h i ngs
accu m u l ated with i n t h e i r wa l l s : m o n ey, s k i l l s , weed s , catt l e , m a n u scripts,
p restige , powe r. In the n i n eteenth centu ry, as cholera e pi d e m ics were giv
i n g rise to p u b l i c healt h o rga n izati o n s , the i n a n i mate powe r of coa l a n d
steam w a s transfo rm i n g t h e wo rld n ot o n ly i nto a si ngle d isease pool , b u t
a l so i nto a s i n g l e n o r m p o o l ( a t least fo r s o m e m a j o r l a n g u ages , s u c h a s
Engl i s h a n d French), a n d , of co u rse , a s i ngle wo rld-eco no my. R ats a n d
t h e i r f l e a s a n d ge rms w e r e trave l i ng i n t h e s a m e t r a n soce a n ic s h i ps t h at
brought to t h e neo-Eu ro pes m i l l io n s of peo p l e , as wel l as a great vari ety
of ot her st u ff: raw mate r i a l s , si lve r, l u x u ry ite m s , d o m esticated species,
i n vestm e n t capita l , we a p o n s , a n d so o n .
I n t u r n , t h e n i netee nth ce ntu ry witne ssed t h e p rol iferation o f i n stitu
tions ded icated to d i se ntangl i ng t h ese d a'nge rou s m ixt u res: naval hospi
tals and schools, priso n s , and facto ries. These i n st it u tio n a l so rt i ng
d evices bega n to process pa rticu l a r flows a n d to ass ign each geol ogical ,
biological , a n d l i ngu istic co m po n e nt its " p roper" p lace . A s Fou ca u lt has
show n , t h e sorting o pe ration was ca rried out in t hese i n stituti o n s via spa
t i a l p a rtitio n i ng and sta n d a rd ized tests of d ifferent ki n d s , as we l l a s by
an e l a bo rate reco rd -kee p i ng system to sto re t h e re su lts of t hose exa m i
nations. I n t e r m s of abst ract d iagra m s , t h e re is no d iffe re nce betwee n
t h ese i n stitu tio n s a n d t h e rive rs t h at s o rt out the sed i me nt t hat fo rms
ce rta i n rocks, or t h e ecological sel ect i o n p ress u res t h at s o rt ge nes in to
s pecies. (That i s, in a l l t h ree cases we h ave an o pe rati o n of sorti ng, c l as
sifying, o r "territo r i a l izi ng.") But w h at wou l d corre s po n d to the seco n d
operatio n , t h e ce m e nti ng toget her of t h e sed i me n t or t h e reprod u ctive
isolat i o n of the s pecies acti ng a s a ratchet mech a n i s m ? (Th at i s , the "cod-
268
CONCLUSION AND SPECULATIONS
i n g" of pe rm a n e nt a rc h itectu ral re l ati o n s betwee n pe b b les, or t h e " cod
i ng" of a s pecies as a sepa rate re p rod u ct ive e n tity t h rough c h a nges i n its
mati n g cal ls , sce nt, o r v i s u a l m a rki ngs . )
I n h i s read i ng o f Fo u c a u lt, D e l e u ze has give n u s so m e c l u es regard i ng
t h i s seco n d a rt i c u l at i o n . He u ses t h e terms "content" a n d "ex pressio n " to
refe r to t h e two a rticu lati o n s a n d warns u s n ot to co nfuse t h e m wit h the
old p h i loso p h ical d i st i n ctio n betwee n s u bsta n ce a nd fo r m . I nstea d , each
a rticU l at i o n i nc l u d es bot h fo rms and su bst a n ces: sed i m e nt is not o n ly a n
accu m u l at i o n of pe b b l e s (su bstan ce), it i s a n accu m u lation d i stri b uted i n
ho moge n eo u s layers (fo rm); i n t u r n , cem e nt i n g t h ese p e b b l es toget h e r
esta bl is hes s patial l i nks a m o n g pe b bles (fo rm) a n d creates a m aterial
e n tity of a l a rge r sca le, a sed i m e nta ry rock (su bstan ce). The same holds
t r u e fo r i n stituti o n a l en tities, such as hospit a l s , sc hools, a n d priso n s :
Strata a re h i sto rica l fo rmations . . . . A s "sed i m e nta ry beds" they a re m a d e
o u t fro m t hings and wo rd s, from s e e i n g a n d s peaking, from the v i s i b l e a n d
the saya b l e , from b a n d s of vis i b i l ity and fi elds of rea d a b i l ity, from co nte nts
and expressions . . . . The content has both a fo rm a nd a su bsta nce: fo r
exa m ple, the fo rm is the prison a n d the su bsta nce is those who a re locked
u p, the prison ers . . . . The express ion also has a fo rm and a su bsta nce: fo r
exam p l e , the fo rm is p e n a l law and the s u bstance is " d e l i n q uency" in so fa r
as it is the o bject of state ments.9
Alt hough t h e so rt i n g ope ratio ns carried out in hospita l s, schoo l s , bar
racks, a n d priso n s i n vo lved d iffe re nt types of exa m i n at i o n (not j u st v i s u a l
exam i n at i o n s), the h o m oge n izatio n s t h ey effected o n t h e flow o f h u ma n
bod ies were i n deed i nte n d e d not to fuse t h o se bod ies i n to a n u n d iffe re n
t i ated m ass but, o n the co ntra ry, to make visible t h e i r i n d ivid u al d i ffe r
e nces so t h at t h ey co u ld be p rope rly d i strib uted i nto t h e r a n k s of t h e new
me ritocracies. At t h e same time - i n a distinct and separate o pe ratio n , par
ticu l a r d i scou rses (med ica l , ped agogical , p e n a l ) we re ge ne rated i n a n d
a ro u n d t h e s e i n stit u t i o n a l set u ps a n d cod ified a n d co n s o l i d ated the
resu lts of t h e so rti ng p rocess i n to l a rger-sca le entities: o rga n ized m e d i
c i n e a n d t h e ed u cati o n a l a nd pe n a l syste m s . (Th ese e n tities were i s o m o r
p h i c with sed i m e ntary roc k , u s i ng "visi b i l ities" as t h e i r pebble s a nd
"saya b i l ities" as t h e i r ce m e nt.)
But it wo u ld be wro n g to th i n k t h at strata a re the l a st wo rd i n t h i s
res pect. Eve n if we agree t h at ce rta i n i n stitutio n s pl aye d t h e rol e of fi rst
a rtic u l at io n , a n d that cert a i n types of k n owledge pe rfo r med t h e seco n d
o n e , t h i s wou l d o n ly give u s a n a cco u nt o f o n e fo rm o f power a n d k n owl
edge, formal power and k n owledge. B ut in add it i o n to stratified , fo r m a l
269
A THOUSAND YEA RS OF NONLINEAR HISTORY
powe r, t h e re rs powe r of t h e mes hwo rk ty pe , t h at is, d e stratified powe r
o p e rat i n g v i a a m u lt i p l i city of i n fo r m a l co n stra i nts. I n t h i s book we treated
these co n stra i n ts a s cata lysts, o r trigge rs, that p l ay t h e ro l e of i n te rca l a ry
e l e m e nts in t h e fo rm at i o n of m e s h works. A l t h o u g h i n c h e m i stry t h e fu nc
t i o n of catal ysts is v i ewed s i m p l y i n terms of i n h i b itio n o r sti m u l a ti o n , i n
t h e m o re a b st ract s e n s e i n w h i c h I h a ve u s ed t h e term t h e n u m b e r o f d i f
ferent co n st ra i n i n g fu n ct i o n s t h at a trigge r may pl ay s h o u l d be co n ce i v ed
" a s a n e cessa r i l y o p e n l i st of var i a b l e s express i n g a re l at i o n between
fo rces . . . co n stitu t i n g acti o n s u po n actio n s : to i n cite , to i n d u c e , to sed u ce ,
t o m a ke e a sy o r d i ffi c u l t , t o e n l a rge o r l i m it, t o m a ke m o re o r l e ss prob a
b l e , and so o n . " l0
Ot h e r a bstra ct m a c h i n es m u st be a d d e d to t hose b e h i n d t h e ge n e s is of
mes hwo r k s a n d h i e ra r c h i e s to give a fu l l e r c h a racterization of t h e com
p l ex h i sto ry of Weste rn i n $titutio n a l ecol ogi es . As we n ote d , many h i e ra r
c h i c a l o rga n izat i o n s with ro u t i n ized activit i e s may u s e t h e s e ro u t i n e s as
a k i n d of " o rga n izat i o n a l m e m o ry. " When th ese o rgan izatio ns re p rod u ce
( L e . , w h e n a co m m e rc i a l o rga n i zati o n o p e n s a n e w b ra n c h o r a gove r n
m e n t i n stit u t i o n re p l i cates i n i t s o v e r s e a s co l o n i e s), t h e se ro u ti n es a r e
p a ssed o n to t h e i r proge ny wit h v a r i atio n , a n d t h i s a l l o ws p o p u l ati o n s o f
s u c h o rga n izat i o n s to e m b ody a n a bstract probe h e a d . A s i m i l a r p o i n t
a p p l i e s to i n st i t u ti o n a l n o rm s (lega l , co m m e rci a l , l i n g u istic) tra n s m itted
t h ro u g h soci a l o b l i gat io n a n d to i n fo r m a l be hav i o ra l patte r n s ( m e m es)
re p l i cated t h ro u g h i m itati o n . A d d i t i o n a l ly, mod e l s l i k e t h ose created by
D o u g l a s s u ggest t h at yet ot h e r st r u ct u re-ge n e rati n g processes m ay o p e r
ate within fo r m a l o rga n izatio n s a n d i n fo rm a l n etwo rks, a ffecti ng t h e way
in w h i c h t h e i r co n stit u e n t i n d i v i d u a ls i nte ract, a n d t h e w o r l d v i ews t h ose
i n te r a ct i o n s ge n e rate .
T h i s l i st of a b stract m a c h i n e s is p r o b a b l y n ot ex h a u st i v e ; th e re m a y
c e rta i n ly be oth e rs , gove r n i n g dyn a m i cs i n are a s o u t s i d e t h e sco p e of t h i s
boo k . A n d , i n d e e d , e v e n i n t h e a r e a s w e d id e x p l o re t h e r e m ay be a lte r
n atives (o r a d d itio n s) to t h e d i agrams h e re p ro pos ed . B u t whet h e r t h ese
or ot h e r d i agra m s a re u s ed to m o d e l t h e stru ct u re-ge n e rat i n g processes
i n vo lved i n the ge n es i s of soci a l fo r m s , w h at m atters i s ex p l a i n i n g t h i s
ge n e s i s i n a n e n ti rely botto m-u p way. T h at i s , n ot s i m ply t o as s u m e t h at
soci ety fo rms a syste m , b u t to acco u n t fo r t h i s syst e m ati c i ty as an e m e r
gent prope rty of so m e dyn a m i c a l p rocess. T h i s is v e r y d i ffe rent fro m
t h e to p-down m et h o d t h at o rt h o d o x sociol ogi sts a n d ot h e r soc i a l sci e n
t i sts u s e w h e n t h ey begi n t h e i r a n alysis a t t h e l ev e l o f soci ety a s a w h o l e ,
j u stifyi ng t h at a p pro a c h e it h e r b y u s i n g t h e i n d iv i d u a l o rga n i s m as a
meta p h o r fo r soci ety, as in fu nctio n a l i st sociol ogy, or o n t h e b a s i s of a n
i m agi n a ry dyn a m i cs, as i n M a r xist sociol ogy's d i a l e cti c s . O n t h e ot h e r
270
CONCLUSION AND SP�CULATIONS
h a n d , the o p po s i te m i stake ( i l l u strated by o rt h odox m icroeco n o m ic s)
m u st a l so be av o i d e d : ato m i z i n g soci ety i n to a set of i n d e p e n d e ntly act
i n g i n d i v i d u a l s . Rat h e r, we m u st t Cl k e i n to acco u n t t h at the l a rge r-sca l e
st ructu res t h at e m e rge from t h e actio n s of i n d i v i d u a l de ci s i o n m a k e rs,
such as fo r m a l o rga n i zat i o n s o r i n fo rm a l n etwo rks, h a ve a l i fe of t h e i r
own . T h ey a re w h o l e s t h at a re m o re t h a n t h e s u m of t h e i r p a rts, b u t
w h o l e s t h at add themselves to an existing population of individual structures,
o p e rati n g at d i ffe rent sca l e s (i nd i v i d u a l i n stituti o n s , i n d i v i d u a l cit i e s , i n d i
v i d u a l co m pl exes of c i t i e s , a n d so o n ) . As D e l e u ze a n d G u attari p u t it:
We no lo nger bel ieve i n a p r i m o rd i a l tota l i ty that once existe d , o r i n a f i n a l
totality that awaits u s a t some futu re da te . We no longer be l ieve i n t h e d u l l
gray outl i n es o f a d rea ry, colorl ess d i alectic o f evo l u t i o n , aimed at fo r m i n g a
harmonio us whole out of heterogen eous bits by rou nd i n g off t h e i r rough
edges. We be l i eve o n ly in tota l ities that are peri p h era l . And i f we d iscove r
such a tota l i ty a l o ngsi d e va rious separate parts, it is a whole of the se partic
u l ar pa rts but does not tota l i ze them; it is a u n ity of all those particu l a r
parts b u t does not u n ify t h e m ; rather it is a d d e d t o them a s a new part fa b
ri cated se parate ly. ll
F ro m t h e p e rs pective of a botto m - u p m et h od o l ogy, it i s i n co r rect to c h a r
acte r i ze conte m po ra r y soc i et i e s as " d i sci p l i n a ry, " or as "ca pita l i st," o r,
fo r t h at m atte r, " patri a r c h a l " (o r a n y ot h e r l a b e l t h at red uc es a co m p l e x
m i xt u r e of processes to a si ngle fa cto r), u n l e ss o n e can give t h e d eta i l s of
a structu re-ge n e rati n g process t h at resu lts i n a soci etywide syste m . C e r
ta i n i n stitut i o n a l fo rms m ay i n d e ed p ro l i fe rate i n a popu l ati o n , b u t e v e n
w h e n t h i s l e a d s t o t h e ext i n ctio n of p r i o r fo r m s th i s s h o u l d not be t r e a t e d
a s t h e a c h ieve m e n t of a n e w u n i f i e d stage of d eve l o p m e nt . Mo reover, a
given p rol i fe rati o n of i n st i t u t i o n s m ay be t h e resu lt of an i n ten s i f icat i o n of
pre vio u s l y e x i st i n g p roce sse s. I n t h e case of ut i l ita r i a n ratio n a l i zat i o n , a s
F o u ca u lt says, " t h e c l a s s i c a l a g e d i d n ot i n iti ate i t ; rat h e r it acc e l e rated i t ,
c h a nge d i t s sca l e , gave it p recise i n stru m e n ts. " 12 N o d o u bt , an i nte n s i fi
cat i o n m a y l e a d to t h e cross i n g of a t h res h o l d , a s i n t h e critical po i n t o f
co m pl e xity a t w h i c h a u tocata lytic l o o p s beco m e s e l f-s u sta i n i n g, l e a d i n g to
i n d u st r i a l ta keoff. Or it may l e a d to the c re a t i o n of t r u ly n o v e l ty pes of
i n stitut i o n . But t h e res u lt i n g e m e rgent st r u ct u res s i m p l y a d d t h e m s e l v e s
t o t h e m i x of p r e v i o u s l y exist i n g o n e s , i n teract i n g w i t h t h e m , but n e v e r
l e a v i n g t h e m b e h i n d a s a p r i o r stage o f d e v e l o p m e n t (a l t h o u g h , p e r h a p s ,
creati ng t h e co n d it i o n s fo r t h e i r d i s a p p e a ra nce).
T h i s bri ngs u s to the q u est i o n of the pragmatic us es of th ese i d e a s .
T h e l a st t h ree o r fou r cent u r i e s h ave wit n e s sed a n i n t e n se ho mogen iza-
271
A THOUSAND YEA RS OF NONLINEAR HISTORY
tio n of t h e world ( b i o l ogical ly, l i ngu istical ly, econ o m ica l ly), a fact t h at i n
its e l f wo u ld s e e m t o reco m m e n d t h e i nj ecti o n o f a h e a lthy dose o f h etero
ge n e ity i nto the m ix. O r, in the s h o rt h a nd we h ave b e e n u s i ng, the world
h a s beco m e so greatly st ratified t h at the o n ly way o u t i s to d e stratify it.
B ut t h e re a re seve ral t h i ngs wrong with t h is k n ee-j e rk response.
F i rst, a l t h o u g h it is true t h at n atio n-states swa l lowed th e i r m i no rities
a n d d igested them by i m po s i n g n atio n a l sta n d a rd s fo r l a nguage , c u rre n cy,
e d u cati o n , a n d h ea l t h , t h e sol u ti o n to t h i s is not si m ply to bre a k u p t hese
la rge socio p o l itica l e ntities i nto s m a l l e r o n es (say, one fo r eac h m i no rity:
fo r i nsta nce, t h e way Yugoslavia was b roke n up i nto te r rito ries fo r Se rbs,
C roats, a n d oth e r m i n o rities). To s i m ply i ncrease heteroge n e ity wit hout
a rt i c u lati n g t h i s d i ve rs ity i nto a m e s hwork n ot o n ly resu lts i n fu rth e r
co n fl i ct a n d frictio n , it ra p i d ly creates a s e t of sm a l l e r, i nter n a l ly h o m o
ge n e o u s n a t i o n s . ( H e n ce , t h e b a l k a n izatio n of t h e wo rld wou ld i n crease
h ete roge n eity o n ly in a pp e a ra n ce . )
Seco n d , even i f w e m a n age t o c re ate l oca l c o n n ecti o n s between h ete ro
g e n e o u s e l e m e nts, t h e m e re p rese n ce of an e m e rge nt m es hwo rk d oes not
in itself mean that we h ave give n a segment of soci ety a l ess o p p ressive
str u ct u re . T h e n at u re of t h e res u lt w i l l d e p e n d on t h e c h a racter of t h e
h ete roge n eo u s e l e m e nts m e s h e d toget h e r, as we obse r ved of c o m m u n i ties
on the I nte r n et: t h ey a re u n d o u bted ly m o re d estrati fied t h a n t h ose s u b
jected to m assificatio n by o ne-to-ma ny m e d i a , b u t s i n ce eve ryo n e of a l l
political stripes - e v e n fascists - can ben efit from t h i s d estratificat i o n , t h e
m e re exist e n ce of a co m p uter mes hwo rk is no g u a rantee that a bette r
world w i l l develop t h ere. Fi n a l ly, i n creasi n g t h e p ro p o rt i o n of mes hwork i n
t h e m i x i s i n deed d e stratifyi ng, b u t w e sti l l n ee d t o b e cautious a bo ut t h e
s p e e d a n d i nte n sity o f t h is d e stratificatio n , pa rtic u la rly i f it t u rn s o u t to
be tru e that "the m ost destratified e le m e n t in a m i x effects t h e m ost rigid
rest ratificatio n " late r o n :
You d o n 't reach the BwO, a n d its p l a n e o f consistency, by wi ldly destratify
i n g . . . I f you free it with too violent a n acti o n , if you blow apart the strata
.
without ta k i n g p reca utions, then i n stead of d rawi n g the plane you wi l l
be k i l led, p l u nged i nto a b l a c k hole, o r eve n d ragged towa rds catastro p he.
Stayi n g stratified - o rga n ized , sign ified , su bjected - i s n ot the wo rst
t hat ca n happen; the wo rst that ca n happen i s i f you throw the strata i nto
deme nted or s u i c i d a l col l a pse , w h i c h bri ngs them back d own on u s
heavier t h a n ever. T h is is how it s h o u l d be d o n e : lodge you rself o n a stra
t u m , experi ment with the o p po rtu n ities it offers , find an adva ntageous
pl ace o n it, fi n d pote ntial movements of deterrito ria l izatio n , poss ible l i n es
of flight, expe rie n ce them, p rod u ce flow co nju n ct i o n s here a n d t here, try
272
CONCLUSION AND SPECULATIONS
out cont i n u u ms of i ntensities segment by segm ent, have a sma l l p l ot of
n ew land at a l l times. 13
A l l these p recaut i o n s a re n e cessary in a wo rld t h at does n ot possess a
l ad d e r of p rogress, o r a d rive towa rd i n creased pe rfectio n , o r a p ro m ised
l a n d , o r eve n a soc i a l i st pot of gold at the e nd of the ra i n bow. M o reove r,
t hese wa r n i n gs d erive from a recogn iti o n t h at o u r world is gove r n ed n ot
o n ly by n o n l i n ea r dyn a m ics, w h ic h makes d eta i led p red i cti o n a n d co n trol
i m poss i b l e , but also by n o n l i n e a r co m b i n atorics, w h ich i m p l ies t h at t h e
n u m be r of possi ble m ixtu res of mes hwo rk a n d h i erarc hy, of co m m a n d
a n d m a rket, of central izat i o n a n d dece ntral izat i o n , a re i m m e n se a n d t h at
we s i m p ly ca n n ot p red i ct w h at t h e e m e rge n t p ro p e rties of these myri ad
co m b i n at i o n s wi l l be. T h u s the ca l l fo r a m o re experimen tal attitude
towa rd rea l i ty a n d fo r a n i n c reased awa re n ess of t h e pote ntial fo r se l f
o rga n izatio n i n h e re n t i n even t h e h u m bl est fo rms of matte r-e n e rgy.
W h e n we t h i n k t h a t t h e majority of eq u atio n s used i n sci e n c e a re l i n
e a r a n d t h at a l i n e a r co ncepti o n of ca usal ity d o m i n ated Weste r n t h o u g h t
fo r ove r two m i l le n n ia , we m ay be i n cl i n ed to t h i n k that o u r l a c k of fa m i l
i a rity with q u esti o n s of self- o rga n ized h ete roge n e ity a n d o u r te n d e n cy to
t h i n k a bout co m p lexity i n terms of h o m oge n e o u s h i e ra rc h i e s d e rive fro m
t h e way we represen t the world to ourselves. 1\1 0 d o u bt, t h e e ntre n c h m e n t
i n t h e a ca d e m i c a n d sci entific wo rlds of ce rta i n d i sc u rsive p ractices
i n formed by l i n ea r t h i n k i n g a n d l i n e a r re p resentatio n is i nd e ed p a rt of
our p ro b l e m . B u t to t ry to red uce a co m pl ex situati o n to a q u estio n of
re p rese ntat i o n s is, i n t u r n , a ho moge n izi ng fo rce very m u ch a l ive tod ay
a m o n g soci a l critics. H e re we have a rgued that both the world of objective
referen ts and the world of labels and con cepts ha ve undergon e processes o f
uniformation and stan dardization, so that bot h d i sc u rsive a n d n o n d iscu r
sive p ra cti ces n eed to be ta ke n i nto accou n t w h e n traci ng t h e h isto ry of
o u r h o m oge n izat i o n .
I n s h o rt , as o u r i n d u stri a l , m e d i ca l , a n d ed u cati o n a l syste ms beca m e
routi n ized , as t h ey grew a n d began to p rofit f r o m eco n o m i e s of scal e , l i n
e a r eq u at i o n s accu m u lated in t h e p hysical sci e n ces a n d eq u i l i bri u m t h eo
ries flou ris h ed i n the soc i a l sci e nces. 14 I n a sense, even t h o u g h the world
i s i n h e re ntly n o n l i n e a r a n d fa r from e q u i l i b ri u m , its h o m oge n i zati o n
m e a n t t h a t t hose areas t h a t h a d be e n m a d e u n ifo r m bega n beha ving
objectively as l i n e a r eq u i l i b ri u m structu res, with p red icta b l e a n d co n t rol
l a b l e p ro p e rties. In ot h e r words, Weste rn societies tra n sfo rmed t h e o bjec
tive world (o r so me a reas of it) i n to t h e type of str u ct u re t h at wou ld
"co rres p o n d " to their t h eo ries, so t h at t h e latte r beca m e , in a se n se , self
fu lfi l l i ng proph ecies.
273
A THOUSAND YEARS OF NONLINEAR HISTORY
To d ay, o u r t h eo r i e s a r e begi n n i n g to i n co rpo rate n o n l i n e a r e l e m e n ts,
,
and we a re s t a rt i n g to t h i n k of h ete roge n e ity as s o m et h i n g v a l u a b l e , n ot
as a n o bstacl e to u n i fi c a t i o n . N egat ive a n d positive feed b a c k h ave b e e n
a d d e d to o l d e r l i n e a r n ot i o n s of c a u s a l ity, e n ri c h i n g o u r co n c e pt u a l rese r
v o i r. E v e n so m e m ate r i a l s (s u c h as fi bergl ass a n d ot h e r co m posi tes) h a ve
i n c re a sed o u r awa r e n e s s of the l i mi tat i o n s i m posed by u n i fo r m ity and o u r
aware n e s s of t h e great a d v a n t ages of m e s hworks i n i n d u st r i a l d e s i gn . 1 5
I n s h o rt, o u r t h e o ri e s a r e s h e d d i n g s o m e of t h e i r h o mogen e ity. A l t h o u g h
t h i s i s a welc o m e d e v e l o p m e n t, we st i l l h a ve t o d e a l w i t h t h e wo r l d of ref
e re nts, w i t h t h e t h o u s a n d s of ro u t i n ized o rga n izat i o n s t h a t h a ve accu m u
l ated over t h e ye a rs, w i t h t h e s p re a d o f sta n d a rd i zed l a ngu ages, a n d
w i t h t h e h o m ogen ized ge n e poo l s o f o u r d o m estic p l a n t s a n d a n i m a l s , to
m e n t i o n o n ly t h e e xa m p l e s d i sc u s sed i n t h i s book. C h a n gi n g o u r way of
t h i n king a bo u t t h e w o r l d i s a n ec e s s a ry fi rst ste p, but i t is by no m e a n s
s u ffi c i e nt: w e w i l l n e e d to destra tify reality itself, a n d w e m u st d o s o with
out t h e gu a r a n t e e of a go l d e n age a h e a d , k n ow i n g fu l l we l l t h e d a n ge rs
a n d poss i b l e rest ratifi catio n s we m ay fa c e .
I t i s i m porta nt, howev e r, n ot to co n f u s e t h e n e e d fo r c a u t i o n i n o u r
e x p l o rat i o n of t h e n o n l i n ea r poss i b i l i t i es of (eco no m i c , l i ngu i stic, b i o l ogi
cal) re a l i ty, a n d the co n com i t a n t a b a n d o n m e n t of u to p i a n e u p h o r i a , w i t h
d es p a i r, rese n t m e n t , o r n i h i l i s m . T h e re i s , i n d e e d , a new k i n d of h o pe
i m p l i c i t i n t h e s e n ew v i ews. Aft e r a l l , m a ny of t h e m ost b e a u t ifu l a n d
i n s pi r i n g t h i ngs o n o u r p l a n et m ay h a v e b e e n created t h ro u g h d estratifi
cat i o n . A good exa m p l e of t h i s m ay be the e m e rge n ce of b i rd so n gs: t h e
m o u t h beca m e d e strati"f i ed w h e n i t ceased t o be a strictly a l i m e n t a ry
o rga n , ca u ght u p i n t h e d ay-to-d ay e a t i n g of fl e s h , a n d bega n to ge n e rate
ot h e r flows ( m e mes) and st r u ct u res (so n gs) w h e re t h e m e s hw o r k e l e m e n t
d o m i n ated t h e h i e r a rc h i c a l . 16 T h e e m e rge nc e of o rga n i c l i fe itse l f, w h i l e
n ot re p re s e n t i n g a m o re p e rfect stage of develo p m e n t t h a n rocks, d i d
i n vo l ve a greater c a p a c i ty t o g e n e rate s e l f-co n s i st e n t aggregate s , a s u r
p l u s of co n s i st e n cyY T h e h u m a n h a n d m ay a l so h a ve i n vo l v e d a d e st rat i
ficat i o n , a co m pl ete d et a c h m e n t fro m l o co m ot i ve f u n ct i o n s a n d a n e w
co u p l i ng w i t h t h e e xt e r n a l e n v i ro n m e n t, its e l f fu rt h e r d e st ratified w h e n
t h e h a n d bega n co n v e rt i n g p i eces o f i t (rocks, bo n e s , b ra n c h es) i n to
to o l S . 18 T h u s , d e sp ite a l l t h e c a u ti o n a ry t a l e s a bo u t s i m p l i st i c ca l l s fo r
a n a rc h i c l i b e rati o n , t h e re i s i n t h ese n ew t h e o r i e s a p o s i t i v e , even j oyfu l
co n c e pt i o n of re a l ity. A n d w h i le t h ese vi ews d o i n d e e d i n vo k e t h e " d e a t h
of m a n , " it i s o n ly t h e d ea t h of t h e " m a n" of t h e o l d " m a n i fest d e sti n i es, "
n ot t h e d e at h of h u m a n ity a n d its pote n t i a l fo r d e st r at i f i ca t i o n . 19
274
Notes
I NT R O D U C T I O N
1 . S e e I lya P rigogine a n d I sa be l l e Ste ngers, Order O u t o f Chaos: Man 's New
Dialogue with Nature (New Yo rk:
B a nta m , 1984). P rigogi n e a n d Ste nge rs write :
"We have seen new aspects of time bei ng progressi vely i nco rpo rated i nto p hysics,
w h i l e the am biti o n s of o m n iscie nce i n h e re nt in classical science we re progressively
rejected . . . . I n deed, histo ry bega n by conce ntrat i ng m a i n ly o n human societies,
after which atte ntio n was given to the temporal d i m ensions of l i fe a n d geol ogy. The
i n corporatio n of time i nto p hysics t h u s appea rs as the l ast stage of a progressive
re i n sertion of histo ry i nto the natu ral and social sciences" (p. 208) .
On the role of minor fluct u atio ns in determi n i n g the futu re hi story of a system
after a bifu rcatio n , see ibid. , ch. 6.
2. The term "f itness" has in fact c h a n ged in mea n i ng with n eo-Da rwi n i sm. I n
the n i n eteenth ce ntu ry it d e noted a set of a ptitud es a nd ad aptive traits n ecessary
fo r s u rvival; today it sim ply means fertil ity o r, rather, t he n u m be r of offs p r i ng
rea red to re prod u ctive age. T h i s has ta ken away the heroic co n n otati o n s of t h e
t e r m "fittest," w h i c h i s w hat Social Darwi n ists exploited i n t h e i r racist t h eo ries. I t
h a s a l s o m a d e it rel atively straightforwa rd ( i f somewhat tautologica l) t o defi n e opti
mal fit: the ge nes that su rvive a re the ones that create more re prod uci ble co pies
of themselves. I n t h i s s e n se, optimal ity (a nd the l im ited rol e fo r h i story that it
i n vol ves) may sti l l h ave a pl a ce in evol utio n a ry theo ry. B ut when it co mes to opti
m a l ity of adaptive traits not directly related to reproduction, the idea that n at u ra l
sel ecti o n c a n scu l pt p l a n t a n d a n i mal bodies that a re optima l ly ada pted to their
e n viro n ments has been l os i ng gro u n d . In part ic u l a r, the i n t rod uction of theo ries of
self-orga ni zatio n a n d noneq u i l i b ri u m , n o n l i near dynam ics i nto the fo rmalism of
n eo-Da rwi n i sm, has made it clear that sel ection press u res cannot ach ieve opti m a l
results, particula rly i n c a s e s o f coevo l utio n , as i n pred ato r-p rey a rms races. O n the
ot her hand, some sci enti sts ( B ri a n Goodwin and F ra n cisco Varel a , fo r exa m ple) a re
275
A THOUSAND YEARS OF NONLINEAR HISTORY
so i m p ressed by s p o n t a n e o u s m o r p h ogenesis t h at t h ey e r r i n t h e o p posite d i rec
t i o n , d e ny i n g any i m porta n t ro le to natu ra l s e lectio n . H e re I will adopt the position
that both s e l ecti o n and self-orga n izat i o n matter i n the accu m u l at i o n of a d a ptive
traits, as a rg u ed in Stu a rt K a u ffm a n , The Origins of Order: Self-Organ iza tion and
Selection in Evolution ( N ew Yo rk: Oxford U n iversity Press, 1993), esp. c h . 3.
It i s from K a u ffman t h at I take t h e te rm " m es hwork," which figu res pro m i n e ntly
t h roughout t h is boo k . The term a p p e a rs in St u a rt K auffm a n , " R a n d o m G ra m mars:
A N e w C l ass of M o d els fo r F u n ctio n a l I ntegrat i o n a n d Tra n sformati o n i n t h e B i o l ogi
c a l , N e u ra l a n d Social S c i e n c e s , " i n 1990 Lectures in Complex Systems, eds. Lyn n
N ad e l a n d D a n i e l Ste i n ( R ed wood City, C A : Add ison�Wesley, 1 9 9 1 ) , p. 428.
'
As i m po rta nt a s K a u ffm a n 's work has been i n gi v i n g s e l f-orga nizati o n a p l ace i n
evol uti o n a ry t h e o ry, K a u ffm a n sti l l see ms married t o a n o l d ph i l oso p hy o f sci e nce
acco rd i n g to wh ich s c i e n t i sts d i scov e r " u n ive rsal laws" t h at, toget h e r wit h a
d escri pti on of i n it i a l a n d bou n d a ry cond itio ns , can t h e n be u s e d to de rive pre d i c
t i o n s p u rely m e c h a n ica l ly ( L e . , by m e a n s of d e d u ction). T h i s p h i loso p h ical i n h e ri
ta nce from the now-defu n ct positivist move ment (ca l l ed the n o m ological -d ed uctive
mod e l of sci e ntific expl a n at i o n ) n ee d s to be rejected to take fu l l adva ntage of t h e
n ew k n owledge ge n e rated b y n o n l i n e a r scie n ce . On a l l t h is , a n d for a f u l l e x p l a n a
t i o n of w h a t t h e n ew p a rad igm m e a n s f o r biology a n d p h i losophy of s c i e n c e , see
David J. Depew a n d B ruce H. Web e r, Darwinism Evolving: Systems Dynamics and the
Genea logy of Natural Selection (C a m b ridge, MA: M I T P ress, 1 9 9 5 ) , esp. chs. 1 3-18.
3.
Art h u r I bera l l , "A P hysics for the Study of C i v i l izatio n s , " in Self-Organizing
Systems: The Emergence of Order, e d . E u ge n e Yates ( N ew Yo rk: P l e n u m , 1987), p p .
53 1-3 3 .
4.
Art h u r I b e ra l l , Toward a General Science of Via ble Systems ( N ew Yo rk: McGraw
H i l l , 1 9 72), pp. 211 a n d 288. I n t h i s wo rk, I be rall views the t r a n s i t i o n from agri c u l
t u r a l to u rban h u m a n ity as a bifurcati o n from a " l i q u i d-d ro p l et" ph ase t o a
" p l astic-sol id" o n e ( p. 2 1 1 ) . I n h i s l ater wo rk, t h is tra nsition is viewed d iffe rently.
T h e switch to u rb a n l ife is v iewed less as a re s u l t of the crysta l l ization of a bu re a u
cratic e l ite a n d i n stead as cau sed b y the se lf-orga n ization of trad e flows betwe e n a
s m a l l n u m b er of sett l e m e n t s . Or, in p hysical terms, trade a m o n g a s m a l l n u m b e r of
l iq u i d settl e m en ts is viewed as creati n g a se lf-susta i n i n g convection cell, s i m i l a r to
t h e o n es t h at give rise to per iod ic wi n d s (e . g. , tra d e w i n d s , m o n soo n s) . I n s h o rt,
while i n his ea rly wo rk I be r a l l viewed t h e co m i n g of u rb a n l i fe as a n eq uilibrium
phase transition (al beit i nvol v i n g n oneq u i l i b r i u m structu res, s u c h as e l ites playing
the ro le of d is locati o n s [ibid . , p . 208]), he late r th ought of i t as a noneq uilibrium
transition : " B ut sim p ly beca u se t h at m atter co n d e nsatio n p h ase tra n sition took
p l ace [e.g. , the a p pe a ra n ce of sed e nt a ry agricu ltu ral co m m u n ities], that did not
co n stitute t h e tra n sition to c i v i l izati o n . That represented a seco nd tra nsiti o n , no
lo nger a p h ase t r a n sitio n , b u t a hyd rod y n a m i c tra nsiti o n , a t ra n sition l i k e the tra n
s itio n fro m l a m i n a r to tu rbu l e n t flow, and fo r the same reaso n , fl ow co n vecti o n , a
276
NO TES
n o n l i n e a r dyna m i c process" (Art h u r I bera l l , "The B i rt h of C i v i l izat i o n s , " i n The
Boun daries of Civilizations in Space and Time, e d s . M att hew M e l ko a n d Leighton R .
Scott [La n h a m , M D : U n ivers ity P ress o f America, 1987], p . 2 1 7 ) .
5.
J . D . Becker a n d E . Z i m m e rm a n , " O n the D u a l ism of Dy n a m ics a n d Struc
t u re , " in The Paradigm of Self-Organ ization , ed. G. J . D a l e n oort (Lo n d o n : G o rd o n
a n d B reach S c i e n ce P u b l i s h e rs , 1 989) , p . 100. T h e a ut h o rs c i te a c l a ss ificati o n o f
se lf-o rga n iz i ng p h e n o m e n a i n th ree sepa rate cl asses, accord ing to t h e type (o r
a bs e n ce) of e n e rgy flow t h rough a syste m : (a) co n se rvative (cryst a l l izati o n , poly
me rizati o n ) , (b) d i s pers i ve (solitons), and (c) d i ssi pative (ch e m ical clocks). A good
d iscussion of t he d i spersive type may be fo u n d in D avid C a m p b e l l , " N o n l i n e a r Sci
e n ce: F ro m Pa rad igms to Tec h n ica l ities," i n From Cardinals to Chaos, ed. N ac i a
G ra nt Coo p e r (C a m b ridge, U K : C a m b ridge U n iversity P ress, 1989), p. 2 2 5 . T h e
work of P rigogi ne ( s e e n ote 1 a bove) i s esse n t i a l t o u n d e rsta n d i n g t h e d i ssi p ative
type. The mathematics of attractors a n d bifu rcations a re best expl a i ned in I a n
Stew a rt, Does God Play Dice? The Mathema tics o f Chaos (Oxford , U K : B a s i l B l ackwe l l ,
1989), c h . 6.
6.
T h e m a i n critiq u e of the atte m pt to red u c e self-orga n ization to t h e t h ree
types m e n t i o n e d in note 5 i s George K a m p i s , Self-Modifying Systems in Biology and
Cognitive Science (Oxfo rd , U K : Perga m o n , 1991 ) , ch. 5. K a m p i s correctly a rg u e s
t h at e v e n t h o u g h the t h ree o rthodox types of self-orga n i zati on g i v e rise to e m e r
ge nt or synergistic prope rties, t h ey c a n not d e a l with novel emergent properties. T h i s
is pa rticu l a rly c l e a r in t h e case of dyn am ical systems gove rned by attractors s i n ce
these sta b l e states a re topo logical p ro p e rties of p h ase space, a n d p h ase spaces (by
def i n it i o n ) i ncl u d e all the possible states fo r a given syste m . It fol l ows t h at ( by d efi n i
t i o n) no truly novel states ca n be represented in p h a se s paces. T h i s criticism is not
fatal to th ose b r a n ches of n o n l i n e a r sci e n ce that deal with t h e first t h ree types of
self-orga n ization , s i n ce n ovelty and in n ovat i o n are i n d e e d rare phen omena. H ow
ever, it does point out t h e i r l i m itati o n s a n d ca l l s for a n ew m ethod (com po n e n t sys
tems) t h at ca n d e a l with novelty in terms of co m b i n at i o n s of b u i l d i n g blocks, a n d
t h e co m b i n at o r i a l p rod u ctivity o f d iffe rent blocks. T h i s i s w h y I use t h e t e r m " n o n
l i n e a r co m b i n atorics" to d es ign ate t h is fo u rth type of self-orga n i zati o n . W o r k i n t h i s
d i rectio n is a l so b e i ng d eveloped at t h e Sa nta Fe I n stitute, as i n F o n ta n a 's Tu r i n g
g a s e s or K a uffm a n 's r a n d o m gram m a rs. S e e Walter F o n ta n a , " F u n cti o n a l S e l f
Org a n izat i o n in Complex Syste m s , " in N ad e l a n d Ste i n , 1 9 90 Lectures in Complex
Sys tems, p. 40 7 ; Stu a rt K a u ffm a n , " R a nd o m Gramm a rs," in ibid. , pp. 428-2 9 .
7.
S e e , e.g. , C hristo p h e r G. La ngto n , "Artific i a l Life , " i n Artificial Life, ed. Ch ris
top her G. La ngto n ( R edwood City, CA: Ad d i so n-Wesley, 1 989). T h e re L a n gto n writes:
Biology has trad itio n a l ly started at the top, viewing a l iving orga n ism as a co m p l ex bio
c h e m ical mac h i n e , and worked analytically downward s from t h e re - t h rough orga n s,
tissues, cel l s , orga nelles, mem bra n e s , a n d fi n a l l y molecu les - in its p u rs u it of the
277
A THOUSAND YEARS OF NONLINEA R HISTORY
mechanisms of l i fe. Artificial Life starts at the bottom , viewi ng an o rgan ism as a l a rge
popu l ation of simple m a c h i n es, a n d works upwards syn thetically fro m there, construct
i ng l a rge aggregates of simple, ru l e-governed objects which i nteract with o n e a n other
n o n l i n ea rly i n the support of l ife-l i ke, global dynam ics. The " key" con cept i n Artificial
Life is emergent beh a vior. N atural l ife eme rges out of the o rga n ized i nteractions of
a great n u m b e r of n o n livi ng molec u l es, with n o global contro l l e r respo nsi ble fo r the
behavior of eve ry part. . .
.
I t i s this botto m-up, distri buted, local dete r m i n ation of
b e h avior that Artificial Life employs i n its pri m a ry methodo l ogical approach to the
ge n eration of l i fe-like behaviors. (p. 2)
8.
O n the n ew syn t h e s i s of econom ics a n d sociol ?gy (a n d t h e reasons why
neoi nstitutio n a l i s m i s n ot a form of "eco n o m i c i m p e r i a l i s m " ) , see V i ktor J. Va n berg,
Rules and Choice in Economics ( Lo n d o n : R o u t l edge, 1994) , ch. l.
V i kto r Va n b e rg a n d J a m e s [3 u c h a n a n seem very aware of the i m porta nce of t h e
ideas of n o n e q u i l i b r i u m , n o n l i n ear sci e n ce fo r the futu re of b o t h econom i cs and
sociol ogy. These a ut h o rs i n d eed use ce rt a i n i ns ights fro m Prigogi n e to a rgue fo r a
new, n o nteleol ogical t h e o ry of m a rkets a nd b u re a u c racies, o n e w h i c h a s s u m e s a n
open wo rld of possi b i l ities. They d o not give proper e m p h a s is , however, t o t h e i nter
p l ay betwee n n o n h u m a n matter-e n e rgy a n d h u m a n i n stit u t i o n s , an e m p h as i s that
i s n ecessary to tru ly i n corpo rate Prigogi n e 's i n s ights i nto t h e study of human h is
tory. See J a m e s M. B u c h a n a n a n d Vi kto r J. Va n b e rg, "The M a rket as a Creative
P rocess , " in Philosophy o f Economics, ed . D a n i e l M . H a u s m a n ( N ew Yo r k : C a m b ri dge
U n iversity Press, 1994), p p . 3 1 5-28.
The co ncept of "tra nsact i o n cost" i s traced by Ol iver Wi l l i a ms o n ( p e r h a ps its
best- k nown, a l t h o u g h by n o m e a n s o n ly, contem pora ry d e f e n d e r) to t he work of the
o l d i n stituti o n a l i st schoo l . S e e O l i v e r E . W i l l i a m s o n , "Tra nsact i o n Cost Eco n o m ics
and Orga n izatio n T h e o ry," in Organization Theory, ed. Oliver E . Wi l l i a m so n ( N ew
Yo rk: Oxford U n ivers ity P ress, 1995), p p . 207- 1 1 .
Eval uatio n s of t h e research p rogram of n e o i n stituti o n a l i s m fro m t h e poi nt o f
view of t h e p h i losophy of scie nce m ay be fou n d i n U s k a l i M a k i , " Econom ics w i t h
I n stitut i o n s : Age n d a for Method o l ogical E nq u i ry," i n Rationality, Institutions and Eco
nomic Methodology, e d s . U s k a l i M a k i , Bo G ustafsso n , and C h ri sti a n K n u d s e n (Lon
don: Routledge, 1993), a n d , i n t h e s a m e vol u me, C h ristia n K n u d s e n , " M ode l l i ng
R at i o n a l ity, I nstitutions a n d P rocesse s . "
F o r a more g e n e ra l review of m ethod w h i c h i n cl udes a l so t h e w o r k of "old i n stitu
t i o n a l i sts" (t h e fo l l owe rs of Ve b l e n a nd C o m m o ns), see W i l l i a m Dugger, " M ethod
o l ogica l D iffe rences betwee n I n stitut i o n a l and N eoclassical Eco n o m ics," in
H a u s m a n , Philosophy of Economics, p p . 336-43.
9.
S u c h a synt hesis i s h i nted at in R o b e rt C rosby, "As k i n g B ette r Q u esti o n s , " i n
Cities a n d Regions a s Nonlinear Decision Systems, ed . Robert C ros by (Wa s h i ngto n ,
DC: AAAS, 1983), p p . 9-12.
278
NOTES
C H APTER O N E : LAVAS A N D M AG M A S
1.
See F e r n a n d B ra u d e l , Capitalism a n d Material Life, 1400-1800 ( N ew Yo r k :
H ar p e r a n d Row, 1 9 7 3 ) . B r a u d e l writes: "Geogra p hy i n co nju nction w i t h the speed
or rat h e r the s l own ess - of tra n s p o rt at the t i m e a l so acco u nts fo r the very m a ny
s m a l l towns . . . . So tru e was it that every town welcomed movement, recreated it,
scattered peo p l e a nd goods i n o rd e r to gat h e r n ew goods a nd new peo p l e , and so
on. It was this movement in and out of its walls that indicated the true town" (p. 389;
e m p ha s i s a d d e d ) .
See a l so G i l l e s D e l e uze a n d F e l i x G u atta ri, A Thousand Plateaus ( M i n n e a p o l i s :
U n i v e rsity of M i n n e sota Press, 1987). D e l e uze a n d G u atta ri re m a r k : " T h e town i s
the correl ate of t h e roa d . T h e town exists o n ly as a fu ncti o n of circ u l at i o n , a n d of
c i rc u its; it i s a re m a r k a b l e poi nt [a s i n gu l a rity] o n t h e ci rcu its that c reate it, a n d
t h a t it creates . I t i s defined b y entries a n d exits; so meth i n g m u st e nter it a n d exit
from it. I t i m poses a freq u e n cy. I t effects a pola rizati o n of m atte r, i n ert, l iv i n g or
h u m a n ; it causes the p hyl u m , the fl ow, to pass t h rough s pecific p l aces, a l o ng h o ri
zonta l l i n es" (p. 432).
2.
I ndeed , the m i neral i zat i o n s t h at created our e n do- and exo s k e l etons were
bifu rcat i o n s triggered by two great i nt e n s ificati o n s in the flow of e n e rgy. The f i rst
o n e occu rred w h e n nove l fo rms of e n e rgy storage were " d i scove red" by o rga n i c
evol uti o n . New molecu l e s c a l l e d phosphagens a l l owed f o r t h e i m med i ate p ro v i s i o n
of e n e rgy to excita b l e t i s s u e s ( m uscle a n d ne rye), a n ecessary ste p i n t h e devel op
ment of m u ltice l l u l a r mot i l ity. I t was this flow of e n e rgy, further intensi fied by
i m p rove ments i n " p hosp hagen tec h n o l ogy," that made the u se of bone as a control
e l e m e nt v i a b l e . See R o n a l d F. F ox, Energy and the Evolution of Life ( N ew Yo r k : W. H .
F re e m a n , 1988), p p . 94-100.
3.
R ic h a rd N ewbold A d a m s, The Eighth Day: Social Evolution as the Self-Organiza
tion of Energy (Au sti n : U n i v e rs ity of Texas P ress, 1988), p p . 102- 1 0 5 .
4.
R o be rt C a r n e i ro, " F u rt h e r R eflect i o n s o n Reso u rce Co nce ntrat i o n a n d Its
R o l e i n the R ise of the State," i n Hun ters i n Transition: Mesolithic Societies o f Temper
ate Eurasia and Their Transition to Farming, e d . M a re k Zve l e b i l ( L o n d o n : C a m b ri dge
U n i v e rsity Pre ss , 1986), pp. 250-5 1 .
5.
Lyn n Wh ite, J r. , "The Life of the S i l e nt M ajo rity," i n Medieval Religion a n d
Techn ology ( B e r k e l ey: U n ivers ity of Cal ifornia Press, 1978), p p . 137-42.
6.
S p i ro Kostof, The City Shaped: Urban Patterns and Meanings Through History
( L o n d o n : B u l fi n c h , 199 1 ) , p. 30.
7.
Pa u l M . H o h e n be rg a nd Lyn n H o l l e n Lees, The Making o f Urban Europe,
1000-1 950 (Ca m b ridge, M A : H a rvard U n iversity P ress, 1985), p. 101.
8.
Kostof, The City Shaped, p p . 46-47.
9.
Ibid . , p. 103.
10.
I u se the term " d i stri b u t i o n system" h e re i n a v e ry l oose way to d e s ig n ate
a ny i n stituti o n a l a rrange m e nt that affects the flow or a l l ocat i o n of matter-e n e rgy
279
A THOUSAND YEA RS OF NONLINEAR HISTORY
resou rces in a given society. K a r l Po l a nyi cl assified three types or modes of soc i a l
i ntegratio n : a l l ocat i n g resou rces via redist r i b u t i o n , reciprocity, a n d excha nge.
These t h ree fo r m s o f i ntegrati o n a re d e fi n ed i n terms of d iagrams t h at plot the
i n stituti o n a l ized patte rn o f flow o f resou rces i n a given soci ety. If t h e pattern has
a ce n ter, it is a " red i stri b u t i o n system" ; i f it i s sym metrica l , it i s a system of reci
procity; and i f it co n nects ra n d o m poi nts, a system of m a rket exc h a nge. I do n ot
s u bscribe to Po l a nyi's t heory a n d t h e refo re s i m p ly adopt t h e i d e a t h at t h e re a re
d i agrams that d ef i n e these flow patte r n s . Des pite h i s i ns iste n ce t h at h i s v i ews a re
"va l u e free" a n d " o bject i v e , " Polanyi c l e a rly vi ews m a rkets in a n egative l ight
( ba sed o n s e l fi s h ga i n , with a n i n v i d i o u s e l e m e n t t hat m i l itates agai nst soci a l soli
d a rity) and v i ews central ized regimes i n a positive l ight. See K a r l Po l a nyi, "Forms
o f I ntegrat i o n and S u p p o rt i n g Struct u re," i n The Livelihood o f Man: Studies in Social
Discontin uity, e d . H a rry W. Pearson ( N ew Yo rk: Aca d e m ic, 1972), p p . 35-6l.
B r a u d e l h as severe ly criticized Po l a nyi's typol ogy fo r its a l most "tota l i n d i ffer
e n ce to h i story" a n d fo r its " a l most t heological taste for d efi n itio n . " See Fern a n d
B ra u d e l , The Wheels o f Commerce ( N ew Yo rk: H a rp e r a n d Row, 1983), p p . 225-28.
11 .
Peter Sawyer, " Ea rly F a i rs and M a rkets in E n gl a n d a n d Sca nd i n a v i a , " i n
The Market i n History, e d s . B . L. A n d e rson a n d A . J . H . Lat h a m ( Lo n d o n : C room
Helm, 1986), p p . 62-64.
I m u st stress t h at I use t h e word " ma r ket" p r i m a r i ly to refer to wee kly (or oth er
wise pe riod ic) asse m b l ages of people at a p a rticu l a r pl ace in town . T h e reason
fo r t h is i s t h at, a s B r a u d e l e m p h a s izes, it i s o n ly i n th ese co n d it i o n s that there is
e n o ug h "tra n s p a r e n cy" fo r t h e p a rt i c i p a nts to perceive s u p p ly a nd d e m a n d co n d i
t i o n s a n d , h e nce, fo r p rices t o s e t t h e mselves. The m o m e n t co n s u mers beco m e
d i s persed a n d l i n ked o n ly t h ro u g h c h a i n s o f m i d d l e m e n , t h i s tra ns p a re n cy is lost.
B ra u d e l sti l l t h i n ks t h at s e l f- regu lation m ay occ u r t h ere ( s i n ce p rices do oscil late in
u n i s o n over t h es e l a rger and d i s persed m a r kets), but the exact dyn a m ics t h at o p e r
ate sti l l need to be e l u ci d ated ( p e r h a ps v i a botto m-u p s i m u lations). See Brau d e l 's
d i sc u s s i o n of "tra n s pare ncy" in The Wheels of Commerce, p p . 28-47 ; on t h e co m
p l exity of netwo rks of m i d d l e m e n , see ibid. , pp. 147-68.
Pe r h a ps t h e best way to c h a ra cte rize the d i ffere n ce betwe e n " ma rkets" a s
local ized p laces i n town a n d " m a rkets" as d is p e rsed sets of co n s u m e rs is b y go i ng
beyo n d the n otio n of "exc h a n ge" i nto that of "tra n saction" with its associated
"transactio n costs" (wh i c h i n crease as d i spers i o n i n c reases and i n form ati o n
beco mes h a r d e r to o bta i n) . ( S e e my exp l a nati o n of t hese t e r m s i n t h e mai n text
and in the fol lowi n g refere n c e . )
T h e re i s a not h e r cruci a l d i ffere nce between t h e two types o f m a rkets: i n the
case of the wee kly m a rket p l ace, the e n ti re dyn a m i cs m ay be d isaggregated i n to a
m u lti p l i city of dyadic transactions, w h i l e a m o re d is persed set of co n s u mers m ay
give rise to more co m p l ex network effects. The exe m p l a ry case ( i n m od e r n t i m es) i s
t h at of t h e " b attle" betwee n V H S a n d B eta vid eota pe fo rmats. A l t hough B e t a was
280
NOTES
ge n e ra l ly a c k nowledged to be s u pe ri o r o n p u rely tech n ical gro u n d s , V H S wo n t h e
batt l e d u e to s e l f-rei nforcing dynam ics : a ny s m a l l adva ntage a ccu m u lated by o n e
fo rmat e a rly o n i n the co m petiti o n w a s a m p l i fi e d b y " n etwork effects" ( i n t h i s case ,
v i d eo-rental sto res stoc k i n g more movies in V H S) , l e a d i n g to t h e e n t i re i n d u stry
beco m i ng locked in o n e sta n d a rd . T h i s p h e n o m e n o n ( k nown as " pat h d e p e n d e n ce")
i s w i d e s p read i n the h istory of tec h n o l ogy and has beco m e o n e of t h e ways in
w h i c h a ctu a l h i story i s i nt rod u ced i n neoi nstitutio n a l i st a n d n o n l i n e a r econ o m i cs .
S e e , fo r exa m p l e , B r i a n A rt h u r, " S e l f- R e i n fo rci n g M e c h a n i s m s i n Eco n o m i cs , " i n
The Economy a s a n Evolving Complex System, eds. P h i l i p A n d e rso n , K e n n et h Arrow,
a n d David P i nes ( Redwood City, CA: Add iso n-Wesl ey, 1988), p p . 1 0- 1 1 .
For t h e i d e a t h at " i n v i s i b l e h a n d " e co n o m ics s i m ply a s s u m e s t h at su p p ly a n d
d e m a n d cancel e a c h ot h e r out ( i . e . , t h at m a rkets c l e a r) without e v e r s p e ci fy i n g t h e
dyn a m ics t h at l e a d t o t h i s state , s e e P h i l i p M i rows ky, More Heat Than Light: Eco
nomics as Social Physics, Physics as Nature 's Economics ( N ew Yo rk: Ca m b ri dge U n i
ve rsity P ress, 1991 ) , pp. 238-41. M i rowsky s h ows how t h e co ncept of t h e " i n v i s i b l e
h a n d " w a s fo r m a l ized i n t h e n i n eteenth ce n t u ry b y s i m p ly copying t h e form of eq u i
l i b ri u m t h e rmody n a m ics. ( H e nce, in h i s o p i n i o n , t h i s b r a n c h of p hysics p rovided
m o re heat than l ight.) El sew h e re h e wa rns t h at recent attem pts to a p ply I Iya Pri
gog i n e's t h eo ries to eco n o m ics a re making the same m istake - for exa m p l e , a s s u m
i n g the existence of attractors without specify i n g j u st what it is t h at is b e i n g
d issi p ated ( i . e . , o n ly e n e rgetica l ly d is s i p ative o r " l o ssy" systems h a v e attractors).
See P h i l i p M i rows ky, "Fro m M a n d e l b rot to C h aos in Eco n o m i c Theory," Southern
Economic Journal 57 (Octo ber 1 990), p. 302.
12.
Vi kto r J. Van berg, Rules and Choice in Economics ( L o nd o n : Routledge, 1 994),
p p . 1 5 3-5 5 . K a rl M a rx was p e r h a ps the fi rst to see the i m po rta nt co n n e ct i o n
betwee n eco n o m ic activity a n d soc i a l i n stituti o n s ( h i s " re l ations o f p rod u cti o n " ) .
H e w a s a l so the first t o re late t h ese two a n d the wo r l d of tec h n o l ogy ( h is " m e a n s of
p ro d u ct i o n " ) . H owever, t h e re a re at l east two t h i ngs that prevent m e fro m u s i n g
M a rxist co ncepts i n t h i s b o o k : t h e l a bo r t h eo ry o f va l u e (wh i c h P i e ro S c h raffa has
cle arly s hown to be a red u n d a nt pa rt o f M a rx ist eco n o m i c theo ry, a k i n d of fift h
w h e e l) a n d t h e b u i l t- i n teleol ogy i n t h e tra d i t i o n a l M a rxist pe riod i zati o n of h i story a s
a p rogressive s u ccessio n of m o d e s o f prod u ctio n (fe u d a l ism-ca pita l i s m-soci a l i s m ) .
I b e l i eve t h at the e l e m e nts e x i s t tod ay t o ca rry out M a rx's o ri gi n a l p roject i n a way
t h a t avo i d s t h ese a n d ot h e r p ro b l e m s . The id eas expressed in t h i s c h a pte r a re a n
atte m pt t o c h a rt t h i s n e w ter rito ry, t h o u gh cle arly a v e ry p re l i m i n a ry o n e .
13.
Ibid., p p . 127-38. Va n b e rg co m pa res h i s own "co n stituti o n a l " a p p roach to
t h e q u esti o n o f co rpo rate actors to a p reva l e n t sociological a p proach (based on t h e
notion t hat h a v i n g goal s i s w h at g i v e s o rga n izations co h e re n ce) a n d eco n o m i c
a p p roach ( b a s e d o n the not i o n t h a t exc h a n ge s of i n d u ceme nts a n d con tri b u t i o n s
a re w h at g i v e s organ izati o n s t h e i r co h e r e n ce). I b e l i eve t h at V a n berg's sol uti o n ,
co m b i n i ng m ethodo logi c a l i n d iv i d u a l is m a n d o ntological h o l i s m v i a ru l e-gu i d e d d eci-
281
A THOUSAND YEARS OF NONLINEAR HISTORY
s i o n m a k i ng, i s t h e m ost c o m p ati b l e with the p h i l osoph i c a l sta nce taken in t h i s
b o o k a n d the m ost co herent m e a n s of avoid i ng the "fu nct i o n a l i st" f a l l acy, accord
ing to w h i c h ce rta i n i n stit u t i o n s exist because they serve the n eeds of an o rgan iza
tion o r of society.
A revi ew of t h e h istory of t h e "go a l " a p p roach to orga n izatio ns, wh ich revea l s its
d e p e n d e nce o n the " o rga n i s m " m eta p h o r, m ay be fou n d i n J o h n H assard , Sociol
ogy and Organization Theory: Positivism, Paradigms, and Postmodern ity ( N ew Yo r k :
Cam b ri dge U n iv e rs ity Press, 1993), c h s . 1 a n d 2 .
14.
B ra u d e l , The Wheels o f Commerce, p . 9 1 .
15.
B ri a n Tiern ey, The Crisis o f Church and State, 1050- 1 3 0 0 (To ro nto: U n ivers ity
of To ro nto Press, 1 988), p. 7.
16.
A. R . B r i d b u ry, " M arkets a n d F reedom i n t h e M id d l e Ages," in A n d e rson a nd
Lath a m , The Market in History, p. 1 08.
17.
H o h e n b e rg a n d Lees, The Making of Urban Europe, pp. 5 1 -53.
18.
Ibid., p. 54.
19.
B ra u d e l , Capitalism and Material Life, p p . 394-95.
20.
W i l l i a m H. M c N e i l l , The Pursuit of Power: Technology, Armed Force, and Soci-
ety since A. D. 1 000 (Ch icago: U n iv e rsity of C h icago P ress, 1 982), p. 49.
21 .
B ra u d e l , Capitalism a n d Material Life, pp. 396-97.
22.
W h ite, " T h e Life of t h e S i l e n t M ajo rity," p. 144.
23.
H owa rd T. Od u m and E l izabeth C . Od u m , Energy Basis for Man and Nature
( N ew Yo rk: McG raw- H i l i , 1981), p. 41.
24.
R ic h a rd H odges, Primitive a n d Peasan t Markets (Oxfo rd , UK: B a s i l B l ackwe l l ,
1988), p . 102. S e e a l so D e l e u ze a n d G u atta ri, A Thousand Plateaus, p . 442 .
25.
H o h e n b e rg a n d Lees, The Making of Urban Europe, p p . 47-48.
26.
B ra u d e l , Capitalism and Material Life, p. 332.
27.
W i l l i a m Wisel ey, A Tool o f Power: The Political History o f Money ( N ew Yo rk:
J o h n W i l ey a nd Sons, 1 9 7 7 ) , p p . 3-4.
28.
B ra u d e l , Capitalism and Material Life, p. 329.
29.
Ibid. , pp. 351 and 354-56.
30.
O n the role of ratio n a l ity and t h ri ft, see B ra u d e l , The Wheels of Commerce,
p p . 5 7 2-80.
31 .
D o u gl a s C. N o rt h , Institutions, Institutional Change, and Economic Perfor
mance ( N ew Yor k : C a m b ridge U n iversity P ress, 1995), pp. 120-31. N o rt h d escri bes
this i n stitutio n a l evo l ut i o n a s occu rri ng a l o ng t h ree main fro nts: those that i n creased
t h e m o b i lity of c a p ital (cred it i n stitut i o n s); t hose t h at l owered i n fo rm atio n-acq u isi
tio n costs (the p ri nti ng o f p rices a n d exc h a nge rates, the sta n d a rd ization of u n its of
m e a s u re); and those t h at a l l owed the tran sformation of u n ce rtai nty i nto risk a n d
fo r t h i s r i s k to be s p read a mo n g several age nts ( i n s u ra n ce sche m es).
32.
Ibid. , p . 1 27.
33.
Gateway cities have p l ayed a key role in h i story s i nce a ncient times a n d
282
NO TES
coexisted with both " p ri m it ive" a nd state soci eties, s u p plyi ng t h e i r e l ites with l u x u ry
items. See H odges, Primitive a n d Peasant Markets, p p . 42-5 l .
34.
H o h e n b e rg a n d L e e s , The Making o f Urban Europe, p . 240 .
35.
Ibid. , p. 64.
36.
F e r n a nd B ra u d e l , The Perspective of the World ( N ew Yo rk: H a rp e r and Row,
1 986), pp. 27-3 l .
37.
H o h e n be rg a n d L e e s , The Making of Urban Europe, p . 1 6 5 . The t e rm i n o l ogy
"core , " "se m i pe ri p hery," a nd " peri p h e ry" a re typ i c a l l y associ ated with I m m a n u e l
Wal l e rste i n 's h i g h ly regarded t he o ry of world-eco n o m ies. T h e s e a re t h e l a rgest u n its
of a n a lys i s i n eco n o m i c h i story, l a rge a reas of eco n o m i c co h e rence i n vo l v i n g tra ns
n at i o n a l trade netwo rks a n d h e nce e ncompass i ng territories l a rge r t h a n cou ntries
(altho ugh n ot n ecessa rily of p l a n etary proportio ns, l i ke today's wo rld-eco n omy) .
A l t h o u g h I ack n owledge t h e i m portance of Wa l l e rste i n 's wo rk as a co ntri b u t i o n to
the e m p irical study of e m e rge nt structu res at t h i s sca l e , the teleol ogy i n vo l ved i n
h i s t h e o ry of stages (eve n though it i s a n i m p rovement ove r t h e l i n e a r seq u e n ce
fe u d a l i sm -c a p ita l i sm-soci a l i sm) and his i nte n s i fied methodological hol ism (now tak
i n g as its p o i n t of d e p a rt u re fo r a top-down a n a lysis a m u c h l a rger e n tity t h a n a
s i ng l e society) p revent me from u s i n g h i s t h eories in t h i s boo k . See, for exa m p l e ,
h i s sta nce o n "stages" a n d the n e e d t o begi n o n e's study w i t h the l a rgest "tot a l i
t i e s , " i n "The R i se a n d F u t u re D e m is e of the Wo rld C a p ita l i st System : Co ncepts fo r
C o m p a rative A n a lysis," in I m m a n u e l Wal l e rste i n , The Capitalist World-Economy
( N ew Yo rk: C a m bridge U n ivers ity P ress, 1993).
Fortu n ately, Wa l l e rste i n 's a p p roach is not the o n ly one avai l a b l e . B ra u d e l h as
d e v e l o ped an a lter native t h eo ry of wo rld -eco n o m i e s t hat is (at l east pote nti a l ly) v e ry
va l u a b l e fo r a m o re botto m-u p a p p roac h . As I said before, t h e i d e a h e re is to com
b i ne methodological i n d ivi d u a l ism and o nto logical holism. That i s , to start at the
bottom with i nd iv i d u a l d ec i s i o n m a kers a n d tra n sactors a n d t h e n d e rive s u bseq u e nt
entities o n l a rge r sca l e s ( i n stitutio n a l o rga n izati o n s , cities, states , world-eco n o m ies)
one l aye r at a time. H e nce, this a p p roac h s h a res Wa l l e rste i n 's o ntological hol i s m
( i . e . , the i d e a t h at t h e s e l a rger entities h a v e a n a uto n o m o u s existence i n rea l i ty)
b u t n ot h i s top-down m et h odol ogy. B ra u d e l 's a p p roach seems an i ntermed i ate o n e .
H is m a i n sou rce of d i sagre e m e nt wit h Wa l l e rste i n i s o v e r t h e tem pora l a n d spat i a l
l i m its of wo rld-eco n o m i e s . W h i l e fo r Wa l l e rste i n o n ly E u rope gave r i s e t o t h is p he
nomenon (ot h e r a reas of t h e wo r l d , s u c h as C h i n a o r I sl a m , created world e m p i res
i n stead), fo r B ra u d el these areas had worl d-eco n o m i e s as rea l and powerfu l as t hose
o f E u ro p e , altho ugh wit h some m ajo r d i ffe rences, such as the a bse nce of a nti m a r
kets a n d t h e p re s e nce of a s e m i p e r i p he ry: " F ro m e a r l i est t i m es, the co re or ' he a rt'
of Eu rope was su rrou n d e d by a n e a rby s e m i - p e ri p h e ry and by an outer p e ri p h e ry.
A n d t h e s e m i- p e ri p hery, a pe ricard i u m so to s pe a k e n c l o s i n g t h e h e a rt a n d fo rci n g it
to beat faster - n o rt h e r n Italy a ro u nd Ve n ice in the fou rteenth and fiftee nt h cent u r i es ,
the N et h e r l a n d s a ro u n d A ntwerp - was p ro b a b ly t h e e ss e n ti a l feat u re of t h e struc-
283
A THOUSAND YEARS OF NONLINEAR HISTORY
t u re of E u ro p e . T h e re does n ot seem to have been a s e m i - p e r i p h e ry a ro u n d Pe k i n g
o r D e l h i , I sfa h a n , I sta n b u l o r Moscow" ( B ra u d e l , The Perspective of t h e World, p . 56).
B e s i d es d i sagre e i n g o n t h e s p at i a l d istr i b ution of wo rld-eco n o m i e s i n h i story,
these a u t h o rs a l s o d i ffe r in the tem pora l l i m its of t hese l a rge-sca le e ntities. For
Wa l l e rste i n the E u ro p e a n wo rld-economy begi n s i n the sixte e n t h centu ry, with the
fa i l u re of t h e H a p s b u rg E m p i re to c reate a world e m p i re. T h i s i s , o f course, n eces
sary fo r his a rg u m e nt, s i nce h e needs to co nvi nce us that t h e re has bee n o n ly
o n e wo rld-eco n omy, a n d t h a t that wo r l d -eco n o my may be i d e n t ified w ith "ca p ita l
i s m . " H owever, B r a u d e l d isagrees:
I a m therefore i n clined to see t h e E u ropea n world-eco nomy as having taken shape
very ea rly on; I do n ot share with I m m a n u el Wa l l e rstei n's fascination with the six
tee nth century. . . . For Wa l l e rstein, the Eu ropean world-eco n o my was the matrix of
capitalism. I do n ot dispute this poi nt since to say centra l zo ne [i . e . , what I refer to
here as "core of the N etwork system"] o r capital ism is to ta l k a bout the same rea l i ty.
By the same to ken, however, to a rgue t h at the world-eco n o my b u i lt i n the sixteenth
ce ntury o n its Eu ropean site was n ot the fi rst to occupy this sm a l l but extraord i n ary
co nti n e nt, a m o u nts to saying t h at capital ism did n ot wait u ntil the sixteenth ce ntu ry to
make its first appea rance. I a m t herefore in agreement with the M a rx who wrote
(although he l ater went back on th is) that Eu ropean capitalism - in deed he even says
capitalist production
-
began in thirtee nth-centu ry I taly. This debate is a nyth i ng but
acad emic. (ibid., p. 57)
Clea rly, Braudel h i m s e l f does n ot com p l etely reject M a rx ist a p p roaches to this
q u esti o n . (See h i s d i sc u s s i o n a n d c riticism of Wa l l e rste i n 's c o n c e pt, i n ibid. , pp.
5 1-57.) I fee l m o re i ncl i n ed to start t h e a n a lysis of wo rld-eco n o m i e s from scratch
and bottom- u p , u s i ng n o n l i n e a r m o d e l s to exp l a i n t h e i r t e m p o r a l co h e re n ce (e. g. ,
eco n o m i c waves of d i ffe re nt d u rati o n s) a n d u rb a n dyn am ics (e.g. , t h e a n a lysi s of
the N etwo r k system of H o h e n b e rg a n d Lees) to acco u nt fo r its spatial co h e rence.
T h i s seems to m e the o n ly way to get rid o f teleological (o r stage l i ke) acco u nts of
h istory sti l l very e v i d e nt i n M a rxist terms such as " l ate ca p ita l is m . " I am aware,
howeve r, that such a s ketchy acco u n t a s I have been able to give h e re will h a rd ly
seem convi n c i n g to a nyo n e who a l ready o p e rates with i n t h e Wa l l e rstei n i a n p a ra
d igm . A s e r i o u s acco u n t of t h i s and other rel ated iss ues wi l l have to wait fo r
a n ot h e r occas i o n .
38.
H o h e n b e rg a n d Lees, The Making of Urban Europe, p . 281 .
39.
Ibid. , p. 282.
40.
Descri pt i o n s and criticisms of C h r ista l l e r's t h eory m ay be fou nd in ibid . , p p .
49-50 , a n d H odges, Primitive and Peasant Markets, p p . 16-34.
41 .
D i m itrios De n d ri nos, Urban Evolution (Oxfo rd , U K : Oxfo rd U n iversity Press ,
1 985), p p . 31 a n d 45-46; Peter M. A l l e n , "Self-Orga n izat i o n in t h e U rb a n Syste m , "
284
NOTES
in Self-Organization and Dissipative Structures: Applications in the Physical and Social
Sciences, e d s . Wi l l ia m C. S c h i eve a n d Pete r M. A l l e n (A u sti n : U n i ve rs ity of Texa s ,
1982), p p . 135-36; Pete r M . A l l e n , " S e l f-Orga n izati o n a n d Evo l u t i o n i n U rba n Sys
t e m s , " in Cities and Regions as Nonlinear Decision Systems, e d . R o b e rt C rosby
(Wa s h i ngto n , DC: AAAS, 1983), p p . 39-45.
42 .
H e rb e rt S i m o n , The Sciences of the Artificial (Ca m b ridge, MA: M IT P ress,
1 994), p p . 32-36.
43 .
R ic h a rd Day, "Ada ptive Eco n o m i cs , " in Cros by, Cities and Regions as Nonlin
ear Decision Systems, p p . 103-39; R ic h a rd Day, "The G e n e ra l T h e o ry of D iseq u i l i b
ri u m Eco n o m ics a n d of Eco n o m i c Evo l ut i o n , " in Economic Evolution and Structural
Adjustment, eds. D. Batte n , J. Casti , a n d B. J o h a nsson ( B e rl i n : S p ri nger Ve rl ag,
1987), pp. 46-6 1 ; S i ro Lo m b a rd i n i , " R ati o n a l ity in Diseq u i l i b r i u m ," in Nonlinear and
Multisectoral Macrodynamics, ed. K u m a raswamy Ve l u pi l l a i ( N ew Yo rk: New York U n i
versity P ress, 1990), pp. 207-22.
For h i storica l evidence t h a t " s k i l ls" and n ot some ge n e ra l "ratio n a l ity" a re what
d rove d e c i s i o n making i n t h e ea rly ce ntu ries of the modern E u ro p e a n eco n o my,
a n d that these ski l l s needed to be l ea r n e d v i a a system of a p p re n t ice s h i p (se n d i ng
sons to trad i n g posts), see B ra u d e l , The Wheels of Commerce, p p . 405-408.
44.
T h i s i s a we l l - k nown res u l t in n o n l i n e a r e co n o m i cs at l east s i n ce the work of
R i c h a rd Goodwi n in t h e 1940s and 1950s. See, fo r exa m p l e , R i c h a rd M. Goodw i n ,
" O n Growth a n d Form i n a n Eco n omy," i n Essays i n Nonlinear Economic Dynamics
(Fran kfu rt: Ve rlag Peter La ng, 1989), p. 24. See a lso rema rks on se l f-regu lation a n d
n o noptim izatio n , i n S i m o n , The Sciences of t h e Artificial, p . 43.
45.
B ra u d e l , The Wheels o f Commerce, pp. 227-28, and The Perspective o f the
World, pp. 7 1 -87.
46.
T hat d ata from several eco n o m i c i n d i cators ( G N P, u n e m pl oyment rate,
aggregate p rices, i nterest rates), beg i n n i ng in the ea rly n i n etee nth centu ry, d i s p l ay
an u n e q u ivocal pe riod i c m ot i o n of a p p roxi m at e ly fifty yea rs' d u ratio n (ca l l e d Kon
d ratieff cycles) i s wel l k nown at l ea st s i n ce t h e wo rk of J o s e p h Sch u m pete r. Several
poss i b l e m e c h a n i sm s to exp l a i n this cycl ica l be havior have been offered s i n ce t h e n ,
b u t n o n e has ga i n ed co m plete acce ptance ( most of t h e m o d e l s a re to p-down) . A
botto m-u p M I T model e n doge n o u sly ge n e rates t h i s periodic osci l l atio n , with t h e
b e h a v i o r e m e rging spo nta n e o u sly f ro m the i nteract i o n of d i ffe re n t segm e nts of t h e
popu lation of orga n izat i o n s , as we l l as n o n l i n ea rities (s u c h as d e l ays). See Jay W.
Fo rreste r, " I n n ovation a n d Eco n o m i c C h a nge," in Long Waves in the World Economy,
ed. C h ri sto p h e r F reem a n ( B osto n : B utte rworth, 1983), p . 1 28. (T h i s vo l u me a l so
offers a su rvey of the d ifferent t h e o ries of the l o n g wave . ) On t h e M IT model a n d
t h e co nstructive ro le t h at d e l ays m ay p l ay, see J . D . Ste r m a n , " N o n l i ne a r Dyn am ics
in t h e Wo rld Eco nomy: T h e Eco n o m i c Lo ng Wave," in Structure, Coherence and
Chaos in Dynamical Systems, eds. Pete r L . C h ri stia nsen and R. D . Pa r m e n t i e r ( M a n
ch este r, U K : M a n chester U n i ve rsity P ress, 1989).
285
A THOUSAND YEARS OF NONL INEAR HISTORY
47.
T h o m a s F. G l i c k , "Science, Tec h no logy a n d the U rba n E n v i ro n m e nt : The
G re a t Sti n k of 1858," i n Historical Ecology, e d . Lester J . B i l s ky ( N ew Yo rk: Ken n i kat,
1 980), p . 1 28. A m o re g e n e ra l t h eo ry of b u re a u cracies in m o d e r n d e mocratic soci
eties w h i c h s hows the p rocesses t h ro ugh w h i c h t h e i r effic i e n cy is c o nsta ntly co m
p ro m ised by q u estio n s of p ower and power struggles may be fo u n d in Terry M.
M o e , "The Po l it i c s of Struct u ra l C hoice: Tow a rd a Theory of P u b l i c B u reaucracy," in
Organization Theory, e d . O l i ver E . W i l l i a m s o n ( N ew Yo r k : Oxford U n iversity P ress,
1 995), p p . 1 1 6-49.
48.
T h e re a re severa l exceptio ns to t h i s " ru le" ( i n d ivid u a l d e c i s i o n m a k i ng
affects o n ly o n e l eve l of sca le). O n e of t h em i nvolves s pe c i a l situati o n s w h e re t h e
l evel i m m e d i ately h ig h e r (the l evel of i n stituti o n s) i s n e a r a b i f u rcat i o n poi n t i n
its own dynamics. H e re t h e d e ci s i o n s a n d acti o n s o f i n d i vi d u a l s m ay b e am plified
a n d have effects beyon d their sca l e . I have often q uoted P rigogi ne a n d I sa be l l e
Stengers o n t h i s p o i n t :
F r o m the physicist's p o i nt of v i e w t h is i nvolves a d i sti n ct i o n betwee n states of t h e
system i n w h i c h a l l i n d i vi d u a l i n iti ative i s doo med to i n sign i fi c a n c e o n o n e h a n d , a n d
o n t h e o t h e r, bifurcatio n regio n s i n w h i c h an i nd ivid u a l , a n id ea, o r a n ew be havior
c an u pset the global state. Eve n in those regio n s, a m pl ificat i o n obvio u s l y d oes not
occu r with j u st a ny i nd ivid u a l , idea, or behavior, but o n ly with t hose that are "da nger
o u s" - that i s, t h os e that c a n exploit to thei r advantage the n o n l i n ear relatio n s guaran
t ee i n g t h e stab i l ity of t h e prece d i n g regi me. T h u s we a re l ed to co n c l u d e that the
same n o n l i n e a rities m ay prod uce an order out of t h e chaos of e l e mentary proce sses
and stil l , u n d e r d i ffere n t ci rcu mstances, be respo n s i b l e fo r t h e d e struction of t h i s
same order, eve n t u a l ly prod u c i n g a n ew cohere n ce beyon d a n other b i f u rcati o n . ( l lya
Prigog i n e and I sa b e l l e Ste ngers, Order Out of Chaos: Man's New Dialogue with Nature
[ N ew Yo rk: B a ntam , 1984], p. 190)
49.
Bra u d e l , The Wheels of Commerce, p. 3 1 5 .
50.
J a n e J a c o b s , Ci t ies and t h e Wealth o f Nations ( N ew Yo rk: R a n d o m H o u se,
1984), p . 40.
51.
Ibid. , p . 5 0 .
52.
Ibid. , p . 144.
53.
N o r m a n H. Packard , " Dy n a m i cs of Development: A S i m p l e Model for
Dyn am ics Away from Attracto rs," i n A n d erson et a I . , The Economy as an Evolving
Complex System, p. 1 7 5 . I n t h e s a m e vol u m e , oth e r properties of eco n o m i c m e s h
works a re explo red i n St u a rt A. K a u ffm a n , "The Evol u t i o n of Eco n o m i c We bs,"
a n d John H . H o l l a n d , "The G lo b a l Econ o my as a n Ada ptive P roces s . " B e s i d e s t h e i r
i n sights o n m e s hwork d y n a m i cs , t h e s e essays i l l u strate t h re e d i fferent a p pro a c h e s
to " no n l i n e a r com b i n atorics," t h at i s , dynam ics a way from global a ttrac tors .
54.
286
Jacobs, Cities a n d the Wealth of Nations, p. 43.
NOTES
55.
B ra u d e l , The Wheels of Commerce, p . 3 7 9 .
56.
B ra u d e l , The Perspective of t h e World, p. 630; a n d J o h n K e n n et h G a l b ra it h ,
The N e w Industrial State ( B o sto n : H o u ghto n M i ffl i n , 1 978), p. xvi i .
57.
B ra u d e l , The Perspective o f the World, p . 6 3 1 .
58.
T h e t y p e of com petit i o n i n w h i c h o l igo pol ie s e n gage i s of t h e t y p e stu d i e d
by g a m e theory. H e re every acto r ( l a rge f i r m ) m u st t a k e i nto accou nt t h e pote n t i a l
react i o n s of oth e r actors t o each o n e o f its m o v e s , as i t p l a n s n ew strategie s for
fut u re a ct i o n . (For e x a m p l e , a l a rge firm c a n not u n i l at e ra l ly l ow e r p r i c e s w i t h o u t
fe a r of trigge ri ng a price wa r. ) I n a rea l m ar ket, however, t h e re a re s o m a ny actors
t h at no one can plan f u t u re cou rses of act i o n w h i c h take i nto accou nt every pote n
tial riva l . See J o h n R. M u n k i rs and J a m es I . Stu rgeo n , " O l igo p o l i st i c Coo pe ratio n :
C o n ce pt u a l a n d Empi rical Evid e n ce o f Ma rket Structure Evo l u t i o n , " i n The Economy
as a System of Power, e d s . M a rc R. Too l a n d Warren J. Sam u e l s ( N ew B ru n swick,
N J : Tra n sacti o n , 1989), p . 338.
B u t beyo n d t h i s d i ffe re nce , t h e main feat u re d ist i n gu i s h i ng s e l f-regu l ati ng m a r
kets from o l igo po listic com petiti o n is that t h e a ctors i n volved in the for m e r a r e price
takers, t hat i s , t h ey h ave no co n t ro l w h atsoever over price d eterm i n atio n , w h i c h i s
b a s i ca l ly au tomatic. T h e l atter, o n t h e oth e r h a n d , a re price makers, s in c e t h ey
esta b l i s h t h e i r own prices by some h e u ri stic proc e d u re, s u c h as add i ng a m a r k u p
t o t h e costs o f prod u ctio n . Ort ho d ox eco n o m i sts, accepti ng that o l igo po l ie s s e t t h e i r
o w n prices, att e m pt t o resc u e t h e i r t h e o ry b y assert i ng t h at t h e p r i c e b i g c o r p o ra
t i o n s a rrive a t i s t h e o n e t h a t m a x i mizes t h e i r profits, a n d si n c e t he o pt im a l ity o f
t h i s p r i ce i s o bjectively d ete r m i n e d by o u t s i d e forces, i n a s e n se , t h i s p ri ce i s sti l l
setti ng itself. For a n o n o rthodox reply a n d fo r t h e h i story of t h i s controversy s e e ,
fo r e xa m p l e , D e n n i s C . M u e l l e r, "The Corpo rat i o n a n d t h e Eco n o m i st," i n Philosophy
of Economics, ed . Da n i e l M. H a u s m a n ( N ew Yo r k : C a m b ridge U n iversity P r e s s ,
1 9 9 4 ) , p p . 293-98.
Orthodox econ o m ists have fo u n d a n e q u i v a l e n t to t h e " i n v i s i b l e h a n d " i n ol igopo
I i st i c c o m p etitio n : N as h eq u i l i b r i u m s , d e fi n ed a s a set of strategies, one fo r e a c h
p l ayer, s u c h t h at n o p l ay e r c a n im prove h i s expected u t i l ity b y u n i late ra l ly c h a nging
his strategy. H owever, as M a rio H e n ri q u e S i m o n s e n s hows , this ideal o utco m e may
be, fo r a variety of reaso n s , i m poss i b l e to a c h ieve . ( P r u d e n c e , for exa m p l e , o n the
p a rt of one of t h e com peti ng o li go p o l i stic firms, may get in t h e way. To a c h ieve a
N as h state a l l fi rms m u st gam b l e o n t h e a ss u m pt i o n that t h e rest a re s h ooti ng for
a N as h strategy.) O n ly the " v i s i b l e h a n d " of gov e r n m e n t i nterve n t i o n (in the fo rm of
o l d-fa s h i o n e d Keyne s i a n m a n agem e n t of aggregate d em a n d ) can solve t h i s. See
M ario H e n ri q u e S i mo n se n , " R at i o n a l Expectat i o n s , Game T h e o ry a n d I n flat i o n ary
I n ert i a , " in A nd erso n et a i . , The Economy as an Evolving Complex System , p p .
205-208.
M a rket powe r, i n its d iffere nt m a n ifestat i o n s, seems a l so t h e weak p o i n t of t h e
n eoi n stitu t i o n a l i st eco n o m ics o n w h i c h I h a ve re lied u p to t h i s p o i n t . O n t h e ot h e r
287
A THOUSAND YEARS OF NONLINEAR HISTORY
h a n d , " o l d " i nstitut i o n a l e c o n o m i sts ( e . g. , t h e modern-day fo l lowers of Ve b l e n ) h ave
never lost sight of powe r. As t h ey poi nt out, t he re a re seve ra l ways in which o l i go po
l istic c o m petiti o n may be t u r n e d i nto coope rati o n , which i n t h i s case is n ot some
t h i n g to be va l u ed positively s i nce it i s e q u i v a l e n t to a monopol istic state of affa i rs .
( I f Ford , G M , a n d C h rysl e r "coope rate" i n setti n g p rices, f o r exa m p l e , they become
o n e b i g m o n o po ly. ) One way in which this tran sformation may occ u r i s i f the board
of d i rectors of e a c h f i r m i n cl u d es m e m b e rs of the same ba n k i n g or i ns u r a n ce com
panies. This i s the p h e n o m e n o n k n own as " i nterlock i n g d i rectorates" fo r which
much i n d i rect e v i d e n ce exists. (Such a struct u re wou l d be, in effect, a meshwork of
h i e ra rch ies, in my term i n o l ogy.) See J o h n M u rk i rs, "Centra l ized Private Secto r
P l a n n i ng: An I n stitut i o n a l i st Pe rspective on t h e Co nte m po r a ry U . S . Eco n o my," i �
Tool a n d S a m u e l s , The Economy a s a System o f Power, p p . 285-96.
Des p ite the a bsol ute n e cess ity of d isti n gu is h i ng between the m a rket-theoretic
a n d t h e game-t h e o retic m e a n i ngs of t h e word "com petitio n , " t h e d isti n ct i o n i n
p ractice c a n not be a p p l ied i n t h i s strongly d ichoto m ized way, s i n ce i t i s clear t hat
some s m a l l firms grow i nto l a rge o n es, that eve n o l igo pol ies sti l l d e a l with m a r kets
for some of t h e i r i n puts, and so o n . H e nce the need to stress the i d e a of "co m p l ex
m ixtu res , " a dyn a m ics t h at m ay n ot be a n a lytica l ly tracta b l e a n d h e n ce may need
botto m - u p s i m u l at i o n s to be stu d ie d .
59.
B r a u d e l , The Perspective o f the World, p p . 103-104 a n d 124-28.
60.
B ra u d e l writes, " I am t e m pted to agree with D e l e u ze a n d G u attari t h at
' a fter a fas h io n , c a p i t a l i s m has been a spectre h a u nt i n g every fo rm of soc iety'
c a p ita l i s m , t h at i s , as I have d e f i n e d it [ i . e . , as anti m arkets]" (ibid., p. 581 ).
61 .
Ibid. , p . 5 5 9 .
62.
O n t h e a n alysis of n o n - E u ro p e a n wo rld-eco nomies, see B ra u d e l , The Per
spective of the World, p p . 523-29. See a lso n ote 37 a bove.
63.
Ad hoc redef i n it i o n of terms i s one of the strategies t h at may i m m u n ize a
t h eo ry aga i n st falsificatio n , a ccord i n g to Pop p e r i a n p h i losophy of s c i e n ce . H owever,
o n e does not have to be a strict Po p p e ri a n ( i . e . , to see falsifi a b i l ity as the l a n d m a rk
of scientific k n owledge) to re a l ize t h e d a n ge rs i nvolved in ad h oc red efi n it i o n s . O n
t h e v i rt u e s a nd l i m itati o n s o f Popper's a n d Lakatos's a p proac h e s w h e n a p p l i e d t o
e co n o m ics, s e e , f o r exa m p l e , M a r k B l a ug, "Why I Am N ot a C o n structivist: C o n fes
sions of a n U n re p e ntant Pop pe r i a n , " in New Directions in Economic Methodology,
ed . R oger E. B a c k h o u s e ( Lo n d o n : R o utl edge, 1994), p p . 1 09-1 5 .
B ra u d e l h i m s e l f p refers to k e e p t h e word "capita l i sm" a n d c h a nge i t s m e a n i ng
(so that it refers excl u s ively to n o n - m a r ket-co m petit i o n , i . e . , b i g b u s i n ess). How
ever, s u c h an e ntre n c h e d m ea n i ng ca n n ot be c h a n ged so e a s i ly. T h i s is why I prefer
to use a d iffe rent term a ltogeth e r, and one which bears its i nte n d ed mean i ng o n
its s l eeve. A term l i ke " a nti ma rket" i s p recisely what i s n e e d e d h e re to wrest the
n ot i o n of " m a rket" both fro m t h e right ( i n v i s i b l e h a n d e rs) a n d t h e left (co m m o d i
fiers). T h is , it s e e m s to m e , i s a cruc i a l m o v e , ot herwise we w i l l be confi n e d , w h e n
288
NOTES
th i n ki ng a bout possi b l e routes fo r soci a l developme nt, betwee n two c h oices t h at
a re eq u a lly h i e ra rchica l : c a p i t a l i s m a n d soci a l i s m . On the h i story of t h e word "capi
ta l is m , " see B ra u d e l , The Wheels of Commerce, p p . 232-38.
64.
B ra ud e l , The Wheels of Commerce, p. 419.
65.
Ibid., p . 405.
66.
Ibid., p p . 97-100 a n d 390-95. B i l ls of excha nge a n d ot her fo rms of p r i m i
tive p a p e r m o n ey, s u c h as ba n k n otes, a rose m o re o r less s po n ta n e o u sly out of
t h e d a i ly activities of big m e rcha nts, a nd w h e n ev e r meta l l i c mo n ey was not p l enti
f u l e nough to cata lyze tra d e . Si m i l a rly, b a n ks and stock exc ha n ge s e m e rged fi rst
as i n fo r m a l p ra ctices, becom i n g i n stitut i o n s as the ru l es that gove rned t h e m
h a rd e n e d i nto fo r m a l p roced u res. O n ly l ater o n d id these i n stitu ti o n a l p racti ces
beca me " m i n eral i zed , " as ba n k s and exc h a n ges acq u i red t h e i r own p e rm a n e nt
b u i ld i ngs. For exa m p l e , stocks on gov e r n m e n t l o a n s c i rcu l ated t h ro u g h t h e top of
co m mercial h i e ra rc h i e s ( i . e . , b i g fai rs) as e a rly as t h e fou rteenth centu ry. Ea rly
stock exc ha nges were l i ke the u p p e r e c h e l o n s of fa i rs , o n ly o p e rati ng p e r m a n e ntly,
o rigi n a l ly s i m ply as d a i ly m eeti ngs of wealthy m e rc h a nts and b ro k e rs at a give n
s pot in m a ny med ieval cities. By t h e t i m e s p e c i a l b u i l d i ngs were b u i lt to h o u s e
t h ese meeti ngs, they h a d a l ready d e v e l o ped fo r m a l ru l es for cond u ct i n g t h e i r
transact i o n s . T h u s , w h i l e t h e exc h a nge at Antwe rp w a s i n existence by 1 4 6 0 , its
m i n e ra l izat i o n d id n ot occ u r u nt i l 1518. A nd a s i m i l a r point can be m ad e a bout
b a n ks, which e m e rged as d i s pe rsed p ra ctices, whether of m o n ey l e n d e rs o r the
serv ices t h at merchant co m p a n ies perfo rmed fo r one a not her, later evol v i n g i nto
sepa rate i n stituti o n s in F l o re n ce a ro u nd the fou rteenth centu ry. A b a n k i ng system ,
however, wou l d ta ke l o n ge r to d e v e l o p a n d can n ot be s a i d to h ave been in pl ace
u nt i l the e ighteenth centu ry, centered in Amsterd a m , the core of the N etwo rk sys
tem at the t i m e .
O n t h e b a n k i ng syste m's d iffic u l ty i n esta b l i s h i ng itsel f, a nd o n t h e co nti ngent
h istory of ba n ks a n d b a n k i ng, which does n ot reflect a ny u n d e rlyi ng rat i o n a l ity, see
John K e n neth G a l bra i t h , Money: Whence It Came, Where It Went ( B osto n : H o u ghton
M iffl i n , 1 9 7 5 ), chs. 3-8.
67.
A n n e Q u er rie n , " T h e M etro p o l i s a n d t h e C a p i ta l , " i n Zone 1/2: The Contem
porary City ( N ew Yo rk: Z o n e , 1 986), p . 2 1 9 .
68.
H o h e n be rg a n d Lees, The Making o f Urban Europe, p . 70.
69.
Pa u l K e n n edy, The Rise a n d Fall o f t h e Great Powers ( N ew Yo rk: R a n d o m
H ou se , 1 987), p p . 22-23.
70.
B ra u d e l , Capitalism and Material Ufe, p. 386 .
71 .
K e n n edy, The Rise and Fall of the Great Powers, p p . 1 1 - 1 2 .
72.
M c N e i l l , The Pursuit o f Power, p . 44.
73.
Ibid. , p . 45. On C h i na 's m i ssed o p po rt u n ity to " d i scover" E u ro p e , see a l s o
B ra u d e l , The Wheels o f Commerce, p . 581, a n d K e n n edy, The Rise and Fall o f the
Great Powers, p . 7.
289
A THOUSAND YEARS OF NONLINEAR HISTORY
74.
B ra u d e l , The Perspective o f the World, p. 3 2 .
75.
A lfred W. C ros by, Ecological Imperialism: The Biological Expansion o f Europe,
900-1900 ( N ew Yor k : C a m br i d ge U n i ve rs ity P re s s , 1989), p. lOt
76.
Ibid. , pp. 1 13-14.
77.
H o h e n b e rg and Lees, The Making o f Urban Europe, p. 1 6 1 .
78.
C ity h ie r a rc h i e s i n te racted i n ways t h at p ro m oted a u tocatalyt i c dyn a mi c s .
U rb a n a nt i ma rkets, fo r exa m p l e , prov i d ed c red it to f i n a nce t h e wars t h at d e feated
every effort to m a ke E u ro p e i nto a h o m oge ne o u s h ie ra rc hy (for exa m pl e , A m ste r
d a m 's fi n a n c i e rs s u p p l ied t h e fu n d s t h at L o n d o n needed to d e fe at N apo l e o n a n d
t h u s k e e p t h e conti n e n t a h et eroge n e o u s m e s hwork). O n t h e f i n a n ci a l a s p ects o f
wa r, a n d t h e d iffe rences betwee n F r a n c e a n d E n gl a n d i n t h is respect, see Ken n edy,
The Rise and Fall of the Great Powers, pp. 80-8 5 .
79.
M a l a ko n d avya C h a l l a a n d R i c h a rd L . Pfeffe r, "Formation of Atl a ntic H u rri
ca nes fro m C l o u d C l u sters a n d D e p re s s i o n s;" i n Journal o f Atmospheric Sciences
(Ap r i l I, 1990), p. 909.
80.
H a rvey B l att, G e ra rd M id d leto n , and Raym o n d M u r ray, Origin of Sedimen
tary Rocks ( N ew Yo r k : P re ntice- H a l l , 1972), p. 102.
81 .
Ibid. , p . 353.
82.
D e l e u ze and G u att a r i , A Thousand Plateaus, p . 41. D e l e u ze a nd G u att a r i ca l l
t h e s e two o p e ra t i o n s "co ntent" a n d " e x p re s s i o n" a n d wa r n u s a ga i n st co n fu s i n g
t h em w i t h t h e o l d p h i lo so p h ic a l d isti n ct i o n betwee n s u bsta n ce a n d fo rm. Conten t
a n d exp ress i o n e a c h i n vo lves s u bsta nce a n d fo r m : s ed i m e ntat i o n i s n ot j u st a b o u t
accu m u l a t i n g p e b bles (su bstance) b u t a l so a bo u t sort i n g t h e m i nto u n i fo r m l aye rs
(fo rm); w h i l e co n so l i d a t i o n n ot o n ly effects n ew a rc h itecto n ic co u p l i ngs betwee n
p e b b l es (form) b u t a l so y i e l d s a n ew entity, a s e d i mentary roc k (su bsta nce). I t i s
t h i s fo rm o f t h e d i agram ( o n e operation i nvolv i n g s u bsta nces a n d forms, a not h e r
o p e ratio n i nv o l v i n g for m s a n d s u bstances) t h at i s t h e most a bstract a nd , h e nce, t h e
most usefu l . T h e p a rticu l a r i nsta nti at i o n that I wil l be u s i n g i n t h is b o o k (sort i n g +
consol i d at i o n ) m a y be s e e n as a partic u l a r fo rm of t h i s m o re ge n e ra l d iagra m .
A ct u a l ly, h e re D e l e u ze a nd G u atta r i i nc o r rectly c h a ra cte rize t h e two a rti c u l a t i o n s
i n volved i n roc k p ro d u ct i o n a s " s e d i m e ntatio n-fo l d i ng." T h e c o r rect s e q u e nce i s
" sed i m e ntat i o n-cem entatio n . " T h e n , on a different spatial scale, "cyc l i c sed i me n t a ry
roc k acc u m u l at i o n-fo l d i n g i nto m o u nt a i n . " I n o t h e r word s , t h ey col l a ps e two d i ffer
ent d o u b l e- a rtic u lations (one uti l iz i n g as its sta rt i n g point the p rod u cts o f the p re
v i o u s o n e) i nto o ne . I b e l i e v e t hi s co rrectio n d oes not affect t h e i r u n d e rlying
a rg u m e n t and i n d ee d strengt h e n s it ( s i nce it s h ows t h at t h e same p rocess m ay
occ u r o n two d iffe rent scales).
83 .
N i les E l d ridge, Macroevolutionary Dynamics: Species, Niches, a n d Adaptive
Peaks ( N ew Yo r k : M cG raw- H i l i , 1989), p. 1 2 7.
84.
M a rv i n H a rr i s , Cannibals a n d Kings ( N ew Yo rk: Vi ntage, 1991), p. 104.
85 .
S . N . E i s e n stadt, "Conti n u ities and C ha nges i n Systems of Stratification , " i n
290
NOTES
Stability and Social Change, eds. B e r n a rd B a rber a n d Alex I n keles ( B osto n : Litt l e ,
B row n , 197 1 ), p . 6 5 .
86.
Ibid. , p p . 66-71.
87.
H u m berto R. M at u ra n a and F r a n cisco J. Vare l a , The Tree of Knowledge: The
Biological Roots o f Human Understanding (Bosto n : S h a m b h a l a , 1 992), pp. 47 a n d
1 1 5 . Ot h e r researc h e rs h a v e d i scove red t h at as t h e l oo p a d d s n ew n o d e s it m ay
reach a critical t h res h o l d of com p l exity a n d u nd e rgo a bifu rcat i o n , a t ra nsitio n to a
n ew state w he re com p l exificat i o n accel e rates. (What I referred to a bo ve as " i n d u s
trial takeoff . " ) S i n ce t h e states to w h ic h a p h as e tra nsition l e a d s a re in no way
" d i rected" o r " p rogressive," c h a ng i n g and deve l o p i ng by cro s s i n g b i f u rcat i o n s a re
ot h er ways of growin
g by d ri ft.
88.
Prigog i n e and Ste ngers, Order Out o f Chaos, p . 147.
89.
Fra ncisco J. Vare l a , "Two Pri n c i p l es of Self-Orga n izati o n , " in Self-Organ iza
tion and Management of Social Systems, e d s . H. U l r i c h a n d G. J . B. Probst ( B e rl i n :
Spri nger Ve rlag, 1984), p . 2 7.
90.
D e l e uze a n d G u atta ri , A Thousand Plateaus, p. 329.
91 .
M ic h a e l B isacre, Encyclopedia o f the Earth 's Resources ( N ew Yo rk: Exeter,
1984), p. 7 9 .
92.
D e l euze a n d G u attar i , A Thousand Plateaus, p . 3 2 8 . T h e a ut h o rs con sta ntly
refer to cata lysi s in t h e i r t h eo r i es o f m es hwork l i k e structu res (rh izomes, smooth
s paces, etc.). They tend to v i ew catalys i s in terms o f one specific ( a l beit very i m p o r
t a n t) type of catalyst: t h e a l l oste r i c e n zymes d i scovered by J a q u e s M o n od , w h i c h
a re l ik e p rogra m m a b l e catalysts, wit h two h e a d s . " W h a t h o l d s h et e roge ne ities
toget h e r without their ce a s i n g to b e heteroge n e o u s . . . a re i ntercal a ry osci l l a t i o n s ,
synt hesizers with a t l east two h eads" ( p . 329).
W h at i s needed here i s to make the notion of a "cata lyst" more a bstract s o t h at
t h e specific f u n ctions of a c h e m i c a l catalyst (to p e rform acts of recog n it i o n v i a a
l oc k-and -key mecha n i s m , to acce l e rate or d ec e l e rate c h em ic a l reactio ns) a re n ot
what m atte rs, but t h e m ore general notio n of aid i n g growth " fro m wit h i n " or " fro m
in betwe e n . " O n e step i n t h i s d i re ct i o n h a s been t a k e n by Art h u r I be ra l l , w h o m I
m e ntio n ed in t h e i ntrod ucti o n as a p i o n e e r in " no n l i n e a r h i story," by d e fi n i n g cat
a lytic activity as the a b i l ity to force a dyn a m i c a l system from o n e attractor to
a noth e r. I n the case o f a c h e m ic a l catalyst the d y n a m i c a l system wou ld be the t a r
get m o l ec u l e (t h e one to be catalyzed ) a n d t h e two sta b l e states wou l d be its " u n re
a ctive" a n d " re active" states , so t h at b y switch in g m o l ec u l es from o n e state t o
a n ot h er t h e catalyst accel erates t h e reactio n . See A rt h u r I be ra l l a n d H a rry Sood a k ,
"A P hysics fo r C o m p l e x Syst e m s , " i n Self-Organizing Systems: The Emergence o f
Order, ed . E u g e n e Yates ( N ew Yo rk: P l e n u m , 1 987), p . 5 09 .
E l sewhere, I be ra l l n otes t h at , i n t h is s e n s e , n uc l e at i o n events a n d d i s l ocat i o n s
m ay b e co n s i d e red to i n volve " acts of cata lys i s . " Nucleation refers to t h e p rocess
t h ro u g h which the structu res that a pp e a r after a phase tra n s itio n (crysta l s j ust
291
A THOUSAND YEARS OF NONLINEAR HISTORY
aft e r t h e b i f u rcat i o n to t h e s o l i d state, fo r exa m ple) co nso l i d ate a n d grow, as
o p posed to reve rt i n g back to t h e previous state ( by cross i ng the bifu rcation in the
o p pos ite d i rect i o n ) . Typ i c a l ly, somet h i ng has to catalyze the growth of structu re to a
critical mass ( n u cleation t h res hold), after w h ich growth may p roceed more or less
s p o nt a n e o u sly. T h i s " s o m e t h i ng" m ay be a nyt h i ng from a d u st particle to a d e fect
in the co nta i n e r in w h i c h the crysta l l izati o n i s h a p pe n i ng. If o n e carefu l ly removes
all p a rticles and d e fects , one can i n d ee d cool down a l i q u id past the b i f u rcat i o n
p o i nt w i t h o u t crysta l l izatio n t a k i n g p l ace. (Eve n t u a l ly, as we c o o l d o w n furt h e r, e v e n
a m i croscopic t h e r m a l f l u ct u at i o n can a c t as catalyst a n d t rigge r the n ucleati o n . )
Dislocations, o n t h e ot h e r h a n d , a re l i n e defects wit h i n the body of t h e grow i n g crys
ta l s w h i c h h e l p t h e m grow by sto ring mecha n ic a l e n e rgy in t h e i r m is a l igned ( h e nce
n o n eq u i l i br i u m ) co m po s i n g ato m s . This stored e n e rgy a l lows them to pro mote crys
tal growth by l owe r i n g n u cleation t h re s h o l d s . T h u s , in t h i s a bstract sense of "cata l
ys i s ; " -t he i nterca l a ry eve nts i n volved i n t h e creatio n of igne o u s rocks a re of the
mes hwork-ge n e rati n g typ e . O n t h is see A rt h u r I be ra l l , Toward a General Science o f
Viable Systems ( N ew Yo r k : M c G raw- H i l i , 1 9 7 2) , p . 208.
But we can go fu rt h e r. Defi n ed t h i s way, "cata lys is" beco m es a true a bstract
o p e rat i o n : a nyt h i ng t hat switc hes a dyn a m i ca l system (a n i nteract i n g popu lation of
m o l e c u l es , a nts, h u m a n s , o r i n stitutions) from one sta b l e state to a nother i s literally
a cata lyst i n t h i s se nse. H e nce, we m ay u se t h i s d e f i n ition not o n ly to move d own
from c h e m i st ry (t h e field of t h e l iteral a pp l ication of the term ) to p hysics, without
metaphor, but a l so up, to b i o l ogy, sociology, a n d l i ngu i stics. I n this book I will u se
t h e term to refer to t h i s a b stract o pe rator c a p a b l e of con stra i ni ng m atter- e n e rgy
flows of d i ffe rent k i n ds , by switc h i ng t h e m from attractor to attractor. Cities a n d
i n stitutions, for exa m p l e , wou l d be i n sta ntiat i o n s of t h i s o pe rato r t o t h e exte nt t hat
t hey a r i se form m atter-e n e rgy flows and d e c i s i o n -m a k i ng p rocesses but t h e n react
back o n these flows and p rocesses to co nstra i n t h e m in a variety of ways (sti m u l at
i n g t h e m or i n h i b i t i n g t h e m ) . On t h e oth e r h a n d , as I be ra l l h i m se l f notes, catalytic
constra i nts m ay co m b i n e with one a not her and form l a nguage l i ke systems. A n ot h e r
p hys icist, Howa rd Pattee, h a s further e l a bo rated t h e noti o n of e n zymes (orga n i c
catalysts) as syntactical co nstrai nts, o p e rati n g o n a s e m a ntic w o r l d defi ned b y its
sta b l e states. T h i s wi l l be i m porta nt in C h a pter T h ree, where I wi l l d iscuss a rece nt
m at h e m atical t h e o ry of l a ngu age (by Z e l l ig H a r r-is) based p recisely on t he n ot i o n of
co m b i nato r i a l co nstra i n t (wh i c h repl aces t h at of "gra m m atical ru le"). O n b i ologica l
catalysts as syntactic constra i nts, see H oward Pattee, " I nsta b i l i t i es a n d I nfo r m at i o n
i n B i ological S e l f-Orga n izati o n , " i n Yates, Self-Organizing Systems, p . 334.
93.
Grego ire N icol i s and I lya P rigogi n e , Exploring Complexity ( N ew York: W. H .
Free m a n , 1989), p . 29.
94.
D e l e u ze a n d G u atta r i , A Thousand Platea us, p. 335 .
95 .
See, for exa m pl e , R u ss e l l D . Vetter, "Sym biosis a n d t h e Evol ution o f N ovel
Tro p h ic Strateg i e s , " i n Symbiosis as a Source o f Evolutionary Innovation, eds. Lyn n
292
NO TES
M a rgu l i s a nd R e n e Feste r (Cam b r i dge, M A : M I T P ress, 1991 ) , p p . 219-40, a n d
Peter W . Price, " T h e Web of L i f e : Deve l o p m e nt o v e r 3 . 8 B i l l i o n Years o f Tro p h ic
R e latio n s , " in ibid. , p p . 262-70.
96.
I n the o p i n io n of the ecol ogist Stu a rt P i m m , i nterviewed in Roger Lew i n ,
Complexity: Life a t the Edge o f Chaos ( N ew Yo rk: Macm i l l a n , 1992), p . 126.
97.
S i m o n , The Sciences o f the Artificial, p. 41.
98.
N o rt h , Institutions, Institutional Change, and Economic Performance, p . 108.
I n rea l m a rkets beyo n d a certa i n level o f sca l e a nd c o m pl exity, p ri m itive m o n ey a n d
i n fo rm a l co nstra i nts a re n ot e n o ugh t o a rticu l ate hete roge n e o u s d e m a n d s . M o n e
tary systems (with a stro ng h i e ra rc h i ca l struct u re) as we l l as fo r m a l co n strai nts a re
n e e d ed to keep transaction costs down . Acco rd i ng to N o rt h , fo r m a l r u l e s often
fo rm h i e ra rch i es , too , with the ru l es at the top of the pyra m i d c h a ngi ng very s l owly
and t hose at the bottom c h a ngi ng more swiftly: " F o r m a l rules i n c l u d e p o l itical ( a n d
j u d ic i a l ) ru l e s , eco no m i c r u l es , a n d contracts. The h i era rchy of s u c h r u l es , from
constitut i o n s , to statute and com m o n l aws, to s pecific bylaws, a nd fi n a l ly to i n d i v i d
u a l contracts, d e fi nes co nstrai nts, from ge n e ra l r u l es to p a rticu l a r s pecificat i o n s .
A n d typ i ca l ly co nstitutio n s are d e signed to b e m o re costly t o a lter t h a n statute
l aws, j u st as statute law i s m o re costly to alter t h a n i n d iv i d u a l contracts" ( p . 47).
99.
S i m o n , The Sciences o f the Artificial, p . 38.
100.
As D e l e u ze and G u attari write:
Stati ng the distinctio n i n its m o re general way, we could say that it is between strati
fi ed systems or systems of stratificatio n on the one h a n d , and co nsistent, sel f
co nsistent aggregates o n the other. . . . There is a coded system of stratificati o n when
ever, horizo ntal ly, there a re linear causalities between eleme nts; a n d , ve rtical ly, hier
a rc hies of o rd e r between gro u p i ngs; a n d , holding it a l l toget her in depth, a successi o n
of fra m i n g forms, each of w h i c h i n fo rms a su bsta nce a n d in turn serves a s a sub
sta nce for a n other form [e.g. , the succession pebbl es-sedimentary rocks-fo l d ed m o u n
tains a bove] . . . . On t h e other h a n d , we may speak of aggregates of consistency when
instead of a regu lated succession of forms-substances we a re presented with con
sol id ations of very heteroge neous elements, o rd e rs that have been short-circuited o r
even reverse causalities, a n d captures between m aterials a n d forces o f a diffe rent
n atu re. (Dele uze and G u attari, A Thousand Plateaus, p. 335; emphasis added)
I take it that h e re the expressio n " reve rse c a u sa l iti es" refers to ci rcu l a r c a u s a l ity or
feedback m e c h a n i s m s .
101 .
M ago roh Maruya n a , " Symb iotizat i o n of C u lt u r a l H eteroge n e ity: Sci e ntifi c,
E p i stemological a nd Aesthetic B a se s , " i n Cultures o f the Future, e d s . M ago roh
M a ruya n a and A rt h u r M . H ra k i n s (T he H ag u e : Mouto n , 1 978), p p . 457-58; a n d
M agoroh M a ruya n a , " Fo u r D i ffe rent Ca u sa l Metatypes i n B i ologi c a l a n d Soc i a l Sci
e n ces," in Sch ieve and A l l e n , Self-Organization and Dissipative Structures, p . 355.
293
A THOUSAND YEARS OF NONLINEAR HISTORY
102.
A n exa m p l e of t h e use of the term " a n t i-G a i a n " to refer to positive feed:
back is P e n e l o p e J . Bosto n and Sta rley L. T h o m pso n , " Terrestr i a l M icrobial a n d
Vegetation Co n t rol o f P l a n et a ry E n vi ro n ments," i n Scientists o n Gaia, e d s . Ste p h e n
H . S c h n e i d e r a n d Pe n e lo pe J . Boston (Ca m b ridge, M A : M I T P ress, 1993) p . 99.
,
A critici s m of t h e u s e of " G a i a n " terms as a mere re l a b e l i n g of positive a n d nega
tive feed back m ay be fo u n d in J a m e s W. K i rc h n e r, "The Gaia Hypot h eses: Are T h ey
Te sta b l e ? Are T h ey Usefu l ?" in ibid. , p. 38.
103.
M a ruya n a , "Sym b iotizatio n of C u lt u ra l H eteroge n e ity," pp. 459-60.
104.
Ibid . , p . 470.
105.
J o h n D. Ste i n b r u n e r, The Cybernetic Theory of Decision ( P ri n ceto n , NJ:
P r i n ceto n U n ivers ity P ress, 1 9 74), p p . 47-5 5 . This book i s about t h e ro le t hat n ega
tive feed back m ay p l ay in i n stit utio ns as a k i n d of h o meostati c mech a n i s m . I n eco
n o m i cs, negative fee d b a c k a p p e a rs mostly in the fo rm of " d i m i n i s h i ng ret u rn s . "
106.
M ic h a e l J . Radzi c k i , " I nsti t ut i o rl a l Dyn a rlJ ics, Dete r m i n i st i c C haos a n d Self
O rga n iz i ng Syst e m s , " Journal of Economic Issues 24 ( M a rc h 1990). T h e a u t h o r pro
poses a mod el of i n stituti o n a l d y n a m ics as "a mathematical pattern of positive a n d
n egat ive feed b a c k loo p s , co nta i n i n g acc u m u l ati o n s or n u merical i n tegrat i o n s that
a r e j o i ned toget h e r by n o n l i n e a r cou p l i ngs" ( p . 59).
107.
George K a m p i s , Self-Modifying Systems in Biology and Cognitive Science:
A New Framework for Dynamics, In forma tion and Complexity (Oxfo rd , U K : Perga m o n ,
1991 ), p . 2 3 5 . Ka m p i s writes: " T h e notion o f i m m e n s ity tra n slates a s i rred u c i b l e
variety of t h e c o m p o n ent-types . . . . T h i s k i n d of i m m e n sity is a n i mmed i ate ly com
p l exity-re lated property, fo r i t i s a bout variety and h ete roge n e ity, and not s i m p ly as
n u m e ro u sn e s s . "
1 08.
J o s e f W . K o n vitz, Cities a n d t h e S e a : Port City Planning i n Early Modern
Europe ( B a l t i m o re, M D : J o h n s H o p k i n s U n iversity P ress, 1978), p. 7 3 .
109.
H o h e n berg a n d L e e s , The Making o f Urban Europe, p. 185.
110.
T h i s i d e a , that t h e re may b e fo rt u itous acc u m u lati o n s of co mp l exity b ut
not a ge n e ra l d rive toward c o m p l exificat i o n has been d efe n d ed most e l o q u e ntly by
Ste p h e n J ay Go u l d . See, fo r e x a m p l e , "Ti res to S a n d a l s , " i n Ste p h e n Jay G o u l d ,
Eight Little Piggies ( N ew Yo r k : W.W. N o rto n , 1994), pp. 318-24. S e e a l so t h e o p i n
i o n s expressed b y G o u l d a n d R i c h a rd Dawk i n s, q u oted i n Lew i n , Complexity: Life a t
the Edge o f Chaos, p p . 145-46.
As fa r as the evol u t i o n of tec h nology i s c o n c e r n e d , fo r the i d e a t h at tec h n ol ogical
d e v e l o p m e n t does not fol l ow a s i ngle l i ne, t h at m a ny poss i b l e l i n e s a re l e ft u ndevel
o p e d , and t h at t h e re have a l ways b e e n d i ffere nt alternatives (some m o re o p p res
sive a n d co ntrol l in g t h a n ot h e rs ) , eve n fo r m a s s prod ucti o n , see Seym o u r M e l m a n ,
" T h e I m pact o f Eco n o m ics o n Tech n o l ogy," i n Tool a n d Sam u e l s , The Economy a s a
System of Power, p p . 49-61.
T h i s is a t h e m e related to B ri a n A rt h u r's t h eo ry rega rd i ng n etwork exte r n a l it i e s
d u e to positive fee d ba c k (t h e p h e n o m e n o n i s referred to a s " path d e pe n d e n ce").
294
NOTES
O n e of t h e poss i b i l ities is a lways t h at a p a rti c u l a r tec h n ology w i l l become locked i n
t h e i n fe r i o r sta n d a rd . A s i m i l a r poi n t may a p p l y to i n stituti o n a l evol utio n . See N o rt h ,
Institutions, Institutional Change, and Economic Performance, c h . 1 1 .
111 .
H o h e n b erg a n d L e e s , The Making of Urban Europe, p. 185 .
112.
Ibid . , p. 197.
113.
I a n G. S i m m o n s , Changing the Face of the Earth: Culture, Environment, His-
tory (Oxfo r d , U K : B a s i l B l ackwe l l , 1989), p. 216.
114 .
H o h e n b e rg a n d Lees, The Making of Urban Europe, p. 243.
115.
S i m m o n s , Changing the Face o f the Earth, p. 201.
116.
R i c h a rd N ewbol d A d a ms , "The E m e rgence of H i erarch i c a l Soci a l St r u c t u r e :
T h e Case of L a t e Victo ri a n Engl a n d , " i n Sc h i eve a n d A l l e n , Self-Organ ization and Dis
sipative Structures, p. 1 24.
117.
Ad a ms , The Eighth Day, p. 1 33 .
118.
G e o rge F. Ray, " I n novat i o n a n d Lo ng Term G rowt h , " i n F ree m a n , Long
Wa ves in the World Economy, p . 184.
119.
B ra u d e l , The Perspective of the Wo rld, p . 548.
120.
Ibid., pp. 548-49.
121 .
Ibid . , p p . 5 52-5 3 .
122.
Ibid. , p . 560.
123.
Lyn n W h ite , J r. , " P u m p s and Pe n d u l a ," in Medieval Religion and Technology,
p. 130.
124.
Euge n e S. Ferguso n , Engineering and th e Mind's Eye (Ca m b ridge, M A : M I T
Press, 1993), p p . 58-59. On t h e role of i n fo rmation a n d s k i l l s i n t h e I n d u st r i a l
R evol utio n , see I a n I n k ster, Science a n d Techn ology i n History ( N ew B r u nswick, N J :
R u tgers U n ive rsity Press, 1991), c h . 3 .
125.
B ra u d e l , The Perspective of the Wo rld, p p . 2 7 7 a n d 294-9 5 .
126.
Ibid. , p . 385.
127.
Ibid., p. 588.
128 .
Carl W. C o n d i t , " B u il d i n gs and C o n st r u ctio n , " in Techn ology in Western
Civilization, 2 vols. , e d s . M e l v i n K ra nzberg a n d Ca rrol W. P u rs e l l ( N ew Yo rk: Oxford
U n iverSity P ress, 1967), vo l . 1, pp. 374-7 5 .
129.
H o h e n berg a n d Lees, The Making o f Urban Europe, p p . 241-42 . There, t h e
a u t h o rs write:
Rail ju nct i o n s such a s Crewe a n d Vierzo n joined river and canal ports and tow n s at the
mouth of valleys as commerc i a l ly strategic p l aces . . . . T h e Network System i n the ni n e
t e e n t h a n d twentieth centuries broke f r e e of the constra i nts h e retofore i m posed o n i t
by ports a n d strategic crossroa d s . A l t h o u g h m a ny trad itio n a l nodes a n d gateways c o n
t i n u e d t o flo u ri s h , t h e p u l l of territorial ca pita l s o n trade, fi n ance a n d e nte rprise cou l d
grow u n c hecked . With t h e i r concen trat i o n o f power a n d wea lth , t h e se cities com
m a n d ed the design of the rail n etworks and later of the motorways, and so secu red
295
A THOUSAND YEARS OF NONL INEAR HISTORY
t h e l i n ks on w h i c h futu re n o d ality d e p e n d e d . Where o n ce the trade routes a n d water
ways had d eter m i n ed u r b a n l ocati o n and roles in the u r ban n etwo rk, rail tra n s p o rta
t i o n now acco m m o d at e d the expa n s i o n needs of t h e great cities for both local traffic
and d i st a nt co n n ect i o n s .
130. Eugene S . Fergu s o n , "Stea m Tra n s po rtati o n , " in K ra nzberg and Pursel l ,
Tech n ology in Western Civiliza tion, vol. 1 , p p . 296-97.
131 .
Jacobs, Cities and the Wealth of Nations, p. 145. See also Braud el, The
Perspective of the World,
pp. 409-10 a n d 426, on the rol e of ma ritime gateways i n
eightee nt h-ce ntury American colo n ies.
132.
Roger B u r l i nga me, " Loco motives, Rai lways, and Stea m s h i ps," i n
K ra nzberg a n d P u rsell , Technology in Western Civilization, vol . 1 , p . 429 .
133. Ch arles F. O ' Co n n el l , J r. , "The Corps of Engi neers and the R i se of Modern
M a n age ment, 1827-1856," i n Military Enterprise: Perspectives on t h e A merican Expe
rience, ed . Me rrit Roe Smith (Ca m b ridge, MA: M I T Press,
1 987), p p . 88-89.
134. Ro bert C. Davis, Shipbuilders o f the Venetian Arsenal: Workers and Workplace
in the Preindustrial City (Ba ltimore , M D : J o h n s H op k i n s U n iversity Press , 1991 ) , p. 44 .
135.
H a rry B raverm a n , Labor and Monopoly Capital (New Yo rk: Mo nthly R eview
P ress, 1 974), p. 89.
136.
M errit Roe Smith, "Army O rd n a nce and the ' America n System of M a n ufac
turing,' 1815-1861," in Smith, Military Enterprise, p. 79. The classical work in t h i s
a r e a i s David A. H o u n s h e l l , From the American System t o Mass Production,
1 800-1932 (Baltimore, M D : J o h n s H o p k i n s U n iversity Press, 1984), c h . 1. See also
n ote 175 below, o n t h e h i story of automatio n , a n d the discussion of this a n d ot her
i n teractio n s between mil ita ry and eco nomic i n stituti o n s in M a n uel De Landa, Wa r in
the Age of Intelligent Machines ( !'J ew Yo rk: Zone,
1 992), ch. 1.
Recently, the pu rely m i l itary origin of the Ame rica n system has been c h a l l e nged
in Donald R . Hoke, Ingenious Yankees: The Rise of the American System of Manufac
turers in the Private Sector ( N ew Yo rk: Col u m b i a U ni versity P ress,
1990). However,
it seems to me that Hoke's criti cisms fa l l short. He acknowledges that the basic
idea b e h i n d the system (a sta n d ard mod el to be copied exactly) was born i n French
eighteenth-ce ntu ry arse n a l s a n d adopted later in the U . S. t h rough i m itatio n - for
exa m ple, by the early wooden-clock m a n u factu re rs operat i ng o n the " p utting out"
system (which a ntedated co ncentrated factory prod u ctio n). H i s other exa m ples
are a l l big busi n ess a n d so are not really cou nterexa m pl es b ut si mply exa mples of
convergence toward d i sci p l i n a ry methods by la rge hierarchical o rgan izatio ns. To
prete nd that those la rge orga nizat i o n s were being dr iven by "Ya n kee i nge n u ity" is
nai ve, given t h e h i e rarchi cal n atu re of those i n stitutio ns.
137. B ra u d e l , The Wheels of Commerce, pp. 322-25 .
1 3 8 . S o m e rece nt n o n l i near models o f eco nomi c evo l ution stress the i nte racti o n
between two d ifferent processes, i n n ovation a n d routin ization - t hat i s , between the
296
NOTES
s po nta neous prol iferation of flexible s k i l l s a n d proced u res a n d t h e i r grad u a l co n
ve rsio n i nto rigid, u n ifo rm routi nes. Accord i ng t o t h e s e mod els, the p rocess of i n no
vation p ushes eco n om ic evolution fa r fro m eq u i l i b ri u m , toward the mu ltiple fo rms
of sta bility that cha racterize self-orga n izat ion, while the process of routi n izati o n
bri ngs the eco n o my b a c k to eq u i l i bri u m . S e e , fo r exa m p l e , D. B atte n , J . C asti, a n d
B . J o h a n so n , " Eco nomic Dyn am ics, Evolution a n d Structu ral Adjustme nt," i n Eco
nomic Evolution and Structural Adjustment, eds. D. Batte n , J. Casti, a n d B. J o h a n s o n
(Berl i n : Springer Ve rlag, 1 987) , pp. 19-20.
139.
H o h e n berg and Lees, The Making of Urban Europe, p. 203.
140. Ibid., p. 202. See also A . E . A n derso n , "Creativity a n d Eco n o m i c Dyn a mi cs
Model l i ng," in Batte n et a I . , Economic Evolution and Structural Adjustment, pp.
27-44. A n d erso n menti o n s several wel l-stu d i ed cases of "creative exp l osio n s" in
u rb a n centers d u e to eco nomies of aggl omeratio n (deep knowledge i n a n u mber of
fields a n d i nten sive local i nteracti on). In addition to this, he m e ntio n s the need fo r
a sponsoring i n stituti o n a n d a perceived social di seq u il ibrium as factors i n the
explos i o n s . The cities and periods stu d ied a re: F l o re nce ( 1 400-1500), Vie n n a
( 1 880-1930), a n d l'J ew York (1950-1 980). S e e e s p . p . 36.
141 .
H o h e n berg and Lees, The Making of Urban Europe, p. 207.
142.
N o rth, Institutions, Institutional Change, and Economic Performa nce, p . 1 2 1 .
143 . O l iver E. Will iamso n , "C hester Barnard a n d the I n cipient Sci e nce o f O rga n i
zatio n , " in W i l l iamso n , Organization Theory, pp. 190-99.
144. T h i s po int follows from the a sset-specificity ve rsio n of tra nsactio n cost
theory, but it is n ot o n e which W i l l iamson himself e m p h asizes. He follows Bar nard
in h i s co nceptio n of the e m p l oyees of a firm being there by conse n s u s (at l e a st
with i n a certa i n "zo ne of i n d i fferen ce" within which they do n ot m i nd obey i ng com
m a n d s). It is Douglas l'J orth who mentions the d ecreased barga i n ing power of de
s k i l led wo r kers as a d ecreased tra nsaction cost fo r m a n agers, in Nort h , Institutions,
Institutional Change, and Economic Performance, p. 65.
145.
M i chael Dietric h, Transaction Cost Economics a n d Beyond (Londo n : R out
l edge, 1 994), p p . 20-28. See a l so h i s a n a lysis of the evol ution of prod uctio n meth
ods from the putti ng-out system to the factory, i n terms of his modified transaction
cost theo ry, in c h . 4.
146. G a l b raith, The New Industrial State, chs. 7 and 15. The classical stu dy of
the mod ern co rpo rati o n , and of the q u esti on of the separatio n of owners h i p from
co ntrol, i s Adolf A. Berle and G a rdi ner C. M e a n s , The Modern Corporation and Pri
vate Property ( N ew Bru nswick, N J : Tra n saction,
1 991).
147. N o rt h traces the o rigin of t h i s orga n izat i o n a l form to the Com menda, of
J ewi s h , Byza nti ne, a n d Muslim o ri gi n s . Nort h , Institutions, Institutional Change, a n d
Economic Performance, p. 1 2 7. On the Compan ies of I nd i as as states wit h i n the
state, see for example B ra ud e l , The Perspective of t h e World, p . 213 .
148. William Lazo n i ck, Business Organization and the Myth of the Market Economy
297
A THOUSAND YEA RS OF NONLINEAR HISTORY
( N ew Yo r k : C a m b r i dge U n ivers ity Press, 1 994), p. 5. L i k e M i c h a e l D i etrich (see note
145 a bove), Lazo n i c k is critical of Wi l l i a mso n's version of tra nsacti o n cost theo ry,
a nd offers a n e x p a n d e d vers i o n . See a l so h i s a n a lysis of why M a rxist eco n o m ic h i s
tor i a n s fa i l e d fo r a l o ng t i m e to u nd e rsta n d t h i s pa rticu lar orga nizat i o n a l fo rm (t he
j o i n t-stock c o m p a ny wit h its s e p a rat i o n of control fro m ow n e rs hi p), in c h . 8.
149.
B ra u d e l , The Perspective of the World, p p . 128-31.
150.
R oy L u b ove, " U rb a n Pl a n n i ng a n d D evel op m e nt," in K ra nzberg a n d
P u rsel l , Technology in Western Civilization, vol . 2, p . 462 .
151 .
Ibid. , p . 465 .
152.
Ibid. , p. 466.
153.
J e a n - Francois H e n n art, "The Tra nsacti o n Cost T h e o ry of the M u lti nati o n a l
E nte rpris e , " i n The Nature of the Transnational Firm , eds . C h ristos N . P itel i s a nd
R oger Sugd e n (Lo n d o n : R o ut l e dge, 1991), p. 85.
154.
H er m a n E. K rooss a nd C h a rl es G i l bert, American Business History ( E ngle
wood C l i ffs, NJ: P re ntice- H a l l , 1 9 7 2), p. 149.
155.
Ibid. , p. 1 5 5 .
156.
O n t h i s f o r m o f i nte r n a l izatio n , see H e n n art, " T h e Tra nsactio n Cost T h eory
of the M u lt i n at i o n a l E nte rprise," pp. 93-9 5 . I nte r n a l ization of m a rket tran sacti o n s
was p racticed b y e a rly i ntern ati o n a l f i r m s . Tra ns n atio n a l corporat i o n s before World
Wa r I, w h et h e r based in L o n d o n , A m sterd a m , Paris, o r Berl i n , m a i nta i n ed a s m a l l
head office i n those citi e s w h i l e keep i ng a l l t h e i r prod uctive assets a b road . T h e s e
firms were i n t h e b u s i n e s s of export i ng m o n ey, a n operat i o n t h at c a n be p e rfo rmed
in a d ecentralized way by b a n k l o a n s and corpo rate bo n d s . H owever, t h e tra nsactio n
costs i n cu rred h e re (scre e n i ng borrowers fo r re putation or credit hi sto ry, d e m a nd
ing col l aterals, e n f o rci ng p ayme nts) m ay b e bypassed by i n te r n a l i z i n g t h e b o rrow
i n g fi rm. T h i s a l so i ncreased t h e power of tra n sn a t i o n a l firms, si nce by sim ply
l e n d i n g m o n ey t hey h a d n o co ntrol over how t h e capital wou l d be spent.
157.
H a ro l d I. S h a rl i n , " E l ectri cal G e n e rati o n and Tra n s m i s s i o n , " i n Kranzberg
a n d P u rs e l l , Te chnology in Western Civilization, vo l . 1, p. 584.
158.
H e n n a rt , "Th e Tra n sact i o n C ost T h eo ry of t he M u lti nati o n a l Enterprise,"
pp. 87-88.
159.
Pete r F. Drucker, "Tec h n ological Tre n d s in t h e Twentieth C e ntu ry," i n
Kra nz berg a nd P u rsel l , Techn ology in Western Civilization, vol . 2 , p p . 14-15.
160.
T h i s poi nt a p p l i e s regardl e ss of w h et h e r e l ectrical power was ge n e rated
u s i ng the fa l l i n g wate r of N i agara F a l l s o r ste am t u r b i nes:
Almost at once the turbine began to d e m o nstrate the outsta n d i ng eco n o m ic character
istic of el ectrical power ge n e rati on and tra n s m ission, the red u ctio n of u n it costs wit h
larger size . . . . It was the greater eco n o my of the l a rger turbi n e s that e roded the origi
nal cost adva ntage to the m a n u facturer to ge nerate his own el ectri city. Along with the
opportu nities fo r greater eco n o m i c efficiency t h rough l a rger size were those fo r
298
NOTES
greater p hysica l effi cie ncy t h ro u g h higher steam p ressu res a n d tem p eratures, a s
esta b l i s hed i n the l aws of therm odyn a m ics . . . . U n it and stati o n s i z e , te m p erat u re a n d
press u re a l l increased w i t h the accu m u lation of experie nce, the deve l o p m e n t o f
i m p roved mate ria l s a n d tec h n i q u es, a n d t h e growth i n power c o n s u m pt i o n wit h i n t h e
sepa rate powe r syste m s . ( B r uce C. N etsc h ert, " D eveloping the E n e rgy I n h e ri ta nce , " i n
K r a n z be rg a n d P u rs e l l , Techn ology in Western Civilization, v o l . 2 , p . 248)
161 .
A cotton m i l l in t h e U n ited States was the fi rst to be c o m p l etely elect rified
in 1894, w h e n a central e l ectric motor re p l aced its ce ntra l stea m m oto r; t h i s s i m pl e
s u bstituti o n , however, was n o t i n itself e n o u g h for t he n ew e n e rgy form t o take
over. See H a rold I. S h a rl i n , "Appl icati o n s of El ectric ity," in Kra nzb e rg a n d P u rse l l ,
Techn ology i n Western Civilization , vol . 1, p. 5 7 8 .
162.
J . A . Duffie, " E n e rgy R es o u rces fo r t h e F u t u r e , " i n K r a n zb e rg a nd P u rsel l ,
Techn ology i n Western Civilization, vol . 2, p. 288 .
163.
H o h e n berg a n d Lees, The Making of Urban Europe, p. 316.
164.
Lu bove , " U rban P l a n n i n g and Devel o p m e nt," p p. 474-75 .
165.
S h a r l i n , " E l ectrical G e n e ratio n a n d Tra n s m i s s i o n , " p . 585. S h a rl i n t h e re
writes: " F i n a ncial backing fo r t he N i agara project c a m e largely from A m e ri c a n
sou rces, t h o ugh m o st of t he n i n e te e n t h ce ntury A m e ri c a n e nterprises h a d b e e n
l a rgely d e pe n d e n t o n fo re ign c a p i t a l , fo r t h e most part B riti s h . By 1890 A m e r i c a n
c a p i t a l w a s w e l l o n i t s way to i n de p e n d ence from fo reign s o u rces."
166.
B ra u d e l , The Perspective of the World, p. 629.
167.
J acobs, Cities and the Wealth of Nations, p p . 183-98. T h e re are oth e r
"tra nsact i o n s of d ec l i n e " b e h i n d t h e k i l l i n g o f citi es, i n w h i c h b o t h gove r n m e nt a n d
a nt i m a rket h i e ra r c h i es a re i n volved: t h e w a r i n d u stry. The great i nte n s ificati o n rep
rese n ted by w a rs, at l e ast by t h e k i n d of tot a l m o b i l izat i o n of a co u ntry's res o u rces
which began with N apoleo n ic warfare, h a s b e e n wid ely recognized a s a trigge r fo r
tec h n o l ogica l d e v e l o p m e nt. Wa rs, of co u rs e , a re a l so a major fo rm of d e structio n
a n d d e p le t i o n of resou rces, w h i c h is w hy t h e n at i o n s that b e n efit fro m t h e greatly
i nt e n s i fi e d flows of m atte r, e n e rgy, and i nfo rm ati o n are those away fro m the fro nt,
l i ke t h e U n ited States and J a p a n after Wo r l d Wa r I. O n t h is poi nt, see K e n n edy,
The Rise and Fall of the Great Powers, p. 279.
H owever, when m i li t a ry b u i l d u ps d o n ot occ u r a s s h o rt, t u rb u l e n t spasms, but
a s a pro l o nged process d u r i ng pe aceti m e , t hey i nte rfere i n s evera l ways with
eco n o m i e s of aggl o m e ratio n . For exa m p l e , t hey red i rect t h e flow of goo d s fro m
s m a l l tow n s i nto garriso n cities, l i ke J acksonvi l l e , N o rth C a ro l i n a . J acobs a rg u e s
t h a t d es pite t h e fact t h at t h e post exc h a nges t h at reta i l t h e se g o o d s i n m i l itary
town s are t h e t h i rd l a rgest m e rc h a n d i s i n g e nterprise in t h e worl d , t h e flow of goo d s
t hey m o b i l ize is basica l ly ste r i l e ( i . e . , n ot p a rt of a ny a u tocata lytic dyn a m ics), a n d
i t s co n su m pt i o n i s f i n a nced by tax i n g wealth-produ cing cities. T h u s t h e e co n o m i e s
o f aggl om erat i o n of big, h eteroge n eo u s u rb a n ce nte rs are m i l ke d b y n at i o n a l gov-
299
A THOUSAND YEA RS OF NONL INEAR HISTORY
e r n m e nts to fi n a nce h o m oge n ized a rmy towns, w h i l e s m a l l cities a re exc l u d e d fro m
the flow of potentially replaceable i m p o rts t h ey n eed to ge n e rate t h e i r own aggl om
e ratio n eco n o m ies. See J acobs, Cities and the Wealth of Nations, pp. 184-87.
168.
Drucker, "Tec h n ol ogical Tre n d s i n the Twe ntieth C e n t u ry," p. 11.
169. G i l be rt Ryle, The Concept o f Mind (C hicago: U n iversity of C hicago P ress,
1984), pp. 27-32 . H e re Ryle d isti nguishes betwee n two fo rms of k n owledge, which
h e calls " kn owing t h at" a n d " k n owi ng how. " With the poss i b l e exce pti o n of Jean
P i aget, t h e study of skill a n d oth e r fo rms of em bod ied k n owl edge has been n egl ect
ed by scientists as well as p h i l os o p h e rs. A few stud ies were co n d u cted in the 1920s,
and d u ri ng Wo rld Wa r I I , when a great need a rose fo r sold i e r t ra i n i ng tec h n i q ues,
m o re work was d o n e i n t h e 1940s. Yet t h e field re m a i n e d fragm e n ted u n t i l the
1 970s. See H . T. A. W h it i ng, Concepts i n Skill Learning (Lo n d o n : L,epus, 1975) , i n tro .
a n d p p . 3-6.
Econ o m i sts are fi n a l ly catc h i ng up with k now-h ow a n d rep l ac i n g homoge neous
ratio n a l i ty with h eteroge n eo u s p ro b lem-so lving skills. See for exa m p l e , R ic h a rd
N e l so n a n d Sid n ey Wi nter, An Evolutionary Theory of Economic Change (Ca m b ridge,
M A : B e l k n a p , 1982), pp. 88-90.
1 70.
G a l braith, The New Industrial State, p p . 66-67.
1 71 . A n n a l e e Saxe n i a n , " Lesso n s fro m S i l i co n Va l ley," in Tec h nology Review 9 7. 5
(J u ly 1994), p . 44.
1 7 2 . Ibid. , p. 47.
173.
H um be rto M at u r a n a , " Everyt h i ng I s Said by an Observer, " in Gaia, a Way o f
Knowing: Political Implications of t h e New Biology, e d . W i l l i a m I rw i n T hom pson ( H u d
so n , N Y : L i n d i sfarne, 198 7), p . 7 3 .
1 74. A good exa m p l e of t h i s u n critical attitude toward so-ca l l e d scientific m a n
age m e nt is Pete r F. Drucker, "Te c h n o logy a nd Society in the Twe ntieth Centu ry," i n
K ra nzberg a n d P u rsel l , Technology in Western Civilization, vol. 2 , p . 2 5 . A s Drucker
observes, ro u t i n izati o n d id create eco n om i es of scale, w h i c h resu lted i n both l ower
costs a n d cheaper p ri ces for p rod u cts, as well as i n higher wages fo r u n skil led jobs
(so that both co n s u m e rs a n d d e-s k i l led workers ben efited somewh at) . What h e
d oes n o t co n s i d e r ( o r rat h e r, does n ot va l u e) i s t h e loss o f co n trol o f t h e p rocess by
t h e worker a n d the fu rth e r d e-s k i l l i n g t h at went with it (see ibid . , p. 26). B u t as
Foucault rem i n d s us, a fu l l cost-benefit acco u nting of routi n ized , d isci p li n a ry opera
tio ns needs to be pe rfo rmed not o nly in terms of eco nomic util ity but a lso i n terms
of pol itica l obed ie nce. And the gains (in terms of eco n o m ies of scale) may be offset
by the costs (i n terms of l oss of control a n d d e-ski l l i ng). I e l a b o rate on this in C h a p
ter Two, b u t at t h i s poi n t w h at matters is to e m p hasize that t h e " p rogressive" c h a r
acter of scie n ti fi c m a nage m e n t tech n iq u e s seemed self-evid e n t not o n ly to people
like D rucker b u t even to those who c l a i m ed to be t h e c h a m p i o n s of t h e wo rki ng
class. I t took M a rxists a l most a century to rea l ize that Taylorism m e a n t the m i l ita
rization (not the " scie ntifizatio n " ) of the pro d u ctio n process. Le n i n , for exam p l e ,
300
NOTES
welcomed scientific m a n agem e nt i nto revol utio n a ry R u ssia, as o n e of t h e "good
t h i ngs" t h at "capital i sm" had c reated . See V l ad i m i r Le n i n , The Immediate Tests of
the Soviet Government, in Collected Works, vol . 2 7 (Moscow, 1965).
175.
O n t h e h i story of a utomati o n , see J ames R. B right, " T h e Deve l o p m e n t of
Automatio n , " i n K ra nzberg a nd P u rsel l , Technology in Western Civilizatio n , vol . 2 .
T h e evolution of t h e co m p o n e nts of the automated factory t o o k p lace i n t h e last
two centu ries, along with t h e i nte nsificati o n of t h e p rocess of routin izati o n , a n d ,
as with the l atte r, it i nvolved a const a n t i nterplay betwee n m i l it a ry a n d i n d u strial
h i e rarchies. B right d isti n guishes t h ree d i ffe rent com p o n e n ts of automat i o n :
mach i n es t h at p e rfo rm t h e p rod ucti o n operati o n s , m a c h i n e s that m o v e m ateria l s
f r o m mach i n e to m a ch i n e i n a conti n u o u s flow, a n d a system t hat co ntro l s a n d
coord i n ates flows a n d m a c h i nes. Eac h of t h ese t h ree co mpo n e n e nts evolved m o re
or less i n d e p e n d e n tly, fi n a l ly co m i ng togeth e r i n t h e 1940s a n d 1950s i n t h e U n ited
States. The fi rst compo n e nt, m ach ines t h at perform operat i o n s l i ke cutti ng, rol l i ng,
or mixing, i s p e r h a ps the oldest. B right writes:
A uto m atic machi nes fo r prod uction actions can be traced back at l ea st to the early
1800's in m a ny fields, a n d were co m m o n p lace in a l most every fi eld of m a n ufactu ri ng
by the 1870's. I n texti les, for exa m ple, the i n d u stry's history begi n n ing in the ea rly
1700's, reflected m ec h a n izati o n , the a pplicatio n of powe r to i ntegrati o n of s uccess ive
o pe rati o ns, and a uto m atic co ntro l . . . . Perhaps the earli est system of a utomatic
m achi nes . . . for parts m a n ufactu re, as d i sti nct fro m bulk m ateri a ls, was the p u l ley
block machi nery b u i lt by M a rc B r u n e i fo r the B riti s h Adm iral ity [1802-1808]. (p. 642)
T h e seco n d co m po n e nt, t h e a utomatic h a n d l i ng of a conti n u o u s flow of materials
at d i fferent stages of p rod u ctio n , is a l so very old . Although without a m e c h a n ical
co n veyo r belt, some pa rts of the arse n a l of Ve n ice as e a rly as t h e fifte e n t h century
h a d a prim itive conti n u o u s-move m e n t p rod u ction l i n e . An i n d u strial process u s i n g
a utomatic h a n d l i ng w i t h a powe red co nveyor l i n e "was fi rst i d e ntified i n the biscu itb a k i ng . . . p rocess at the De ptford Vict u a l l i ng Department of t h e English N avy,
1804--33 . . . . F ro m t he 1830's o n t h e re were m a ny atte m pts at conti n u ou s p rocessi n g. Feed i n g h i d es, sew n toget h e r as a co nti n uous s heet, t h rough ta n n i ng baths,
co nti n u ou s brickm a k i n g a n d s u gar-ca n e p rocessing are exa m ples. P rocessi n g w h i l e
mov i n g grad u a l ly became a recogn ized i n d u strial p ri n ciple co ntri buting to a u to
matic operatio n " (ibid., p. 647) .
Fi n a l ly, t h e co ntrol of t h i s conti n u o u s flow, a n d i t s syn c h ro n izati o n w i t h t h e
m ach i n es t h at o perate o n i t , evolved from devices l i ke t h e cam, w h i c h fo rces
m ac h i nes to perform a fixed series of operations. Sop h i sticated versions of d evices
like this were used i n t h e 1820s i n some American arse n a l s to co ntrol t h e p rod u c
tion of weapon pa rts. T h e u se of pu n c h ed ca rd s , as i n the loom d evelo ped by
J a q u ard i n 1804, a l lowed t h e storage of t h ese fixed routi n es . By Wo rld Wa r I , a
301
A THOUSAND YEA RS OF NONLINEAR HISTORY
v a r i ety of e l ectric, hyd ra u l i c , a n d p n e u m atic d evices had b e e n c reated to perform
so p h i st icated con trol operat i o n s , a l t h o u g h sti l l i n rigid seq ue nces. Add i n g flexi b i l ity
to t h i s co n t ro l l i ng m a c h i n e ry c o u l d be a c h ieved eith er by u s i ng n egative feed back
a lt h o u g h s e rvo m e c h a n i s m s were not rea l l y c o m m o n o u ts i d e c he m ical a n d e l ect rica l
p l a nts - o r by u s i ng progra m m a b l e comp uters, but t h i s wou l d h ave to wait a few
d e c a d e s m o re (ibid. , p. 645).
R o u t i ni z atio n is precisely the process t h ro u g h w h i c h these t h ree series of o p e ra
t i o n s (to process, to move , to co ntrol) were d e rived in t h e fi rst p l ac e . H u m a n
beings, t h ro u g h t h e d a i ly exercise o f t h e i r s k i l l s , a re t h e s o u rce o f t h ese o p e ratio n s .
B u t w h i l e e a rly- n i n et e e n t h-ce nt u ry s k i l led workers created a n d co ntro l l ed t h e i r own
o p e r at i o n s , t h e i r cou n t e r p a rts a h u nd red yea rs later wou l d b e executing a fixed ,
rout i nized s e r i e s of acti o n s t h at s o m e o n e e l se had d evised fo r t h e m . I n t h i s s e n s e ,
t hey were no d i fferent from t h e m a c h i n e s t h at wou ld soo n replace them. I n a s l owly
i nt e ns ifyi n g process of ro u t i n izatio n , fi rst the p ro d u ctio n , l at e r the control opera
to rs were t a k e n out of t h e a u tocatalytic loop a n d red uced t o i t s exte r n a l trigge rs, a
set of com p l etely d e- s k i l l e d bu tto n p u s h e rs . T h e d evelop m e nt of " scie ntifi c m a n
age m e n t" b y F red e ri c k Tayl or a t t h e t u rn o f t h e centu ry, i n w h i c h a worke r's o p e ra
t i o n s were ca refu l ly b ro k e n down i nto t h e i r co m p o n e nts a n d put back together
aga i n i nto a s e r i e s of optim ize d , h o moge nized o p e rati o n s , represe nts t h e p e a k of
t h is i nte n si ficat i o n . See, fo r exa m p l e , B raverm a n , Labor and Monopoly Capital, ch. 8.
1 76.
See, fo r e xa m p l e , Thomas W. M a l o n e a n d John F. R o c k a rt, " C o m p uters, N et
works and the Co rpo rat i o n , " in Scien tific American 265 . 3 (Se pte m b e r 199 1 ), p . 1 3 l .
O n e o f t h e exa m p les o f agglo m e ra t i o n e co n o m i e s m e n t i o n e d i n t h i s artic l e , a series
of text i l e firms n e a r Prato, Ita ly, stud i ed by M ic hael P i o re and C h a rles Sabel, is a l so
m e nt i o n ed (as a l te r n ative to a nt i m arkets a n d eco n o m ies of sca le) i n B ra u d e l , The
Perspective of the World, p. 630, a n d Jacobs, Cities and the Wealth of Nations, p. 40.
177.
Jacobs, Cities and the Wealth of Nations, pp. 45-49.
178.
R i c h a rd J. B a r n ett and R o n a l d E. M u l l e r, Global Reach: The Power of the
Multinational Corporations ( N ew Yo r k : S i m o n a n d S c h u ster, 1 974), p. 40. H owev e r,
t h e a u t h o rs assu m e t h at a l l t h i s is ex p l a i n a b l e in terms of t h e " l aws of capita l ism"
a n d neglect to mention t h e ro l e of m i l it a ry i n stituti o n s i n t h e d eve l o p m e n t of o p e ra
t i o n s res e a rc h d u ri n g Wo rld Wa r I I . On t h at poi nt, see Ste p h e n P. Wa ri ng, Taylorism
Transformed: Scien tific Manageme n t Theory since 1 945 (C h a p e l H i l l : U n ivers ity of
N o rt h C a ro l i n a Press, 1991 ), c h . 2 .
C H A P T E R Two : F L E S H A N D G E N ES
1.
I a n . G. S i m m o n s , Biogeography: Natural and Cultural (Lo n d o n : Edwa rd A r n o l d ,
1 9 7 9 ) , p . 79.
2.
Ibid. , p p . 70-7 2.
3.
P a u l C o l i n v a u x , Why Big Fierce A n imals Are Rare ( P ri nceto n , NJ: P r i n ceto n
U n iv e rsity Press, 1978), p p . 26-27.
302
NOT£S
4.
S i m m o n s , Biogeography, p. 67.
5.
J a m e s H . B rown , "Co m pl e x Ecologi c a l Systems," in Complexity: Metaphors,
Models and Reality, eds. G e o rge Cowa n , David P i n es , a n d D a v i d M e ltzer ( R ead i ng,
M A : A d d i s o n -Wesl ey, 1 994), p. 424.
6.
C. S. H o l l i ng, " R e s i l ie nce and Sta b i l i ty of Ecosyst e m s , " in Evolution and Con
sciousness, eds. Erich Ja ntsch and Co n ra d Wad d i ngton ( N ew Yo rk : A d d i s o n -Wes ley,
1 9 7 6), p p . 81-82.
7.
On cities as " h eat i s l a n d s , " see Joseph M. M o r a n a n d M ic h a e l D. M o rga n ,
Meteorology ( N ew York: M a c mi l l a n , 1986), p p . 274-76.
8.
T h o m a s F. G l ick, "Scie nce, Tec h n ology and the U rb a n E n v i ro n m e nt," in His
torical Ecology, e d . Lester J. B i l sky ( N ew Yo rk: K e n n i kat, 1980), p. 1 2 6 .
9.
F e r n a n d B ra u d e l , Capitalism and Material Life ( N ew Yo rk: H a rper a n d Row,
1 97 3), p. 3 7 6 .
10.
Ibid. , p . 3 7 7.
11 .
S i m m o n s , Biogeography, p p . 192-9 3 .
12.
Ibid. , p p . 1 96-97. See also A lfred W . C ro s by, Ecological Imperialism: The Bio
logical Expansion of Europe, 900-1 9 00 ( N ew Yo r k : C a m b ri dge U n ivers ity P ress,
1 989), p p . 1 7 3-74.
13.
B ra u d el , Capitalism and Ma terial Life, p. 34.
14.
W i l l i a m -H . M c N e i l l , Plagues and Peoples (Gard en City, NJ: A n c h o r/Dou b l e d ay,
1 9 76), p . 45 .
15.
C l a u d e Lev i-St ra u s s , The Ra w and the Cooked ( C h i cago : U n iversity of C h icago
P ress, 1983).
16.
B r a u d e l , Capitalism and Material Life, p. 39.
17.
R ic h a rd Dawk i n s , The Selfish Gene ( N ew Yor k : Oxford U n ive rsity P ress,
1990), p p . 19-20.
18.
J a m es D . Watso n , Molecular Biology of the Gene ( M e n l o Park, CA: W. A. Bem
j a m i n , 1 9 7 0), p . 1 4 5 . H e re Watson observes: " E n zy m e s neve r affect t h e n atu re o f
a n e q u i l i b ri u m : T h ey m e rely speed u p t h e rate at w h i c h it is rea c h e d . T h u s , if t h e
t h e rmody n a m i c e q u i li bri u m i s u n favo u ra b l e for t h e formatio n of a m o l ecu l e , t h e
p re s e n ce of a n e nzyme c a n i n n o w a y b r i n g a b o u t i t s accu m u l ati o n ."
The d ep e n d e n ce catalysts ( a n d h e n ce gen es) exh i b it with respect to e n e rgy flows
beco m e s even m o re p ro n o u n ce d w h e n the t h e rmodyn a m ics i nvolved a re far from
e q u i l i bri u m . That is, in t h e s e c o n d itio n s ge n e s (o r t h e i r p h e n otypi c effects) beco me
m e re switc h i ng d evices to p i ck one among m u lt i p l e coex i st i ng eq u il ib r i u m s . M o re
over, the cata lysts themselves a re s u bject to a n o n l i n e a r com b i n ato r i c s ; t h at i s ,
t h ey m ay e n t e r i nto s e l f- s ustai n i ng a utocatlytic loops, w i t h t h e i r o w n i nte r n a l c o h e r
e n c e . A l l t h i s is p a rti c u l a rly c l e a r i n t h e case of t h e e m b ryo logical p rocess: t h e
tra n sformation of a s i ngl e-ce l l egg i nto a com p l ex m u lt i ce l l u l a r organ i s m .
B a s i c a l ly, a t the begi n n i n g o f t h e trans formation t h e egg m ay be s e e n a s a n
e n closed p o rt i o n of t h e flows of gen e s a n d b i o m a s s , t h a t i s , as a n uc l e u s a n d a
303
A THOUSAND YEARS OF NONLINEAR HISTORY
cyto p l a s m . The latter i s a sou rce of food , as we l l as a c o m p l ex n o n l i n e a r dyn a m ica l
system with m u lt i p l e e q u i l i b r i u m s . It is t h i s e n e rgeti c f l e s h t hat is the seat of
p rocesses of s e l f-orga n izatio n . For exa m p l e , if the ge n etic i nformati o n in the
n uc l e u s i s removed from a fert i l ized egg (or n e utra l ized), t h e c e l l sti l l u n d e rgoes
some of its b i f u rcat i o n s betwe e n sta b l e states ( i . e . , gastru l a t i o n ) . See Vlad i m i r
G l i s i n , " M olecu l a r B io l ogy i n E m b ryol ogy: T he S e a U rc h i n E m b ryo, " i n Self-Organiz
ing Systems, e d . E uge n e Yates ( N ew Yo rk: P l e n u m , 1987), p . 163.
The rem a i n i ng sta b l e states, t h e f i n a l fo rm cel l s fro m d iffere nt tissues ta ke (e.g, .
b o n e , m u s c l e , or n e rve c e l l s), m ay a l so be n o n l i n ea r sta b l e states, t h i s t i m e of t h e
dynam ics of m e s hwo rks of ge n e p ro d u cts (enzym es) o r m e s hworks of regu l ator
ge n es . See Stua rt K a u ffm a n , The Origins o f Order: Self-Organization and Selection in
Evolution ( N ew Yo r k : Oxford U n ivers ity P ress, 1 993) , p . 5 2 5 .
At h ig h e r levels - t i s s u es, orga n s , o rga n is m s - attractors a re a l s o post u l ated .
H e re it is " m o r p h oge n etic f i e l d s" t hat do the attract i n g. ( T h e co ncept of t h i s k i nd of
f i e l d d e rives, in fact, fro m very early i nte ractions betwe e n n o n l i n ea r m a t h e m atics
[ R e n e T h o m s's catastro p h e t h eo ry] a n d e m b ryology [Wa d d i ngto n ] . ) T h e t h rust of
t h i s ea rly cu rre nt of n o n l i n e a r b i ol ogy is now p rovided by people s u c h as B ri a n
Goodwi n . S e e B r i a n Goodwi n , " Deve l o p i ng Orga n i sms as S e l f-Orga n iz i n g F i e l d s , " i n
Yates, Self-Organizing Systems, p . 1 76 .
19.
H owa rd Pattee, " T h e P ro b l e m of B i o logica l H ie ra rc hy," i n To wards a Theoreti
cal Biology, e d . C. H . Wad d i ngton (Ed i n b u rg h : Ed i n bu rg h U n iversity Press, 1 968).
20. As the p h i losop h e r of science E l l i ot Sober puts it, n a t u ra l a n i m a l p o p u l a
t i o n s a re i nt r i n s i ca l ly vari a b l e : " U n i fo rm ity . . . ta kes s o m e work. Natura l S e l ecti o n is
o n e m e c h a n i s m that c a n destroy variat i o n . For it to act at a l l t h e re m ust be va riation
(in fit ness). B ut once a select i o n p rocess begi ns, it gra d u a l ly d estroys t h e co n d i
t i o n s n e e d ed fo r its co nt i n u i ng o p e rati o n . S e l ectio n e l i m i n ates va riati o n in fitness,
a n d t h e re by b ri ngs itself to a h a lt" ( E l l iot Sober, The Nature o f Selection: Evolutionary
Theory in Philosophical Focus [Ca m b ri dge, M A : M I T P ress , 1987], p. 1 59).
21 . Wi l l i a m H. D u rh a m , Coevolution: Genes, Culture, and Human Diversity (Sta nfo rd , CA : Sta n fo rd U n i ve rsity Press, 1991), c h s . 3 a n d 6.
22.
R i c h a rd Lewo n ti n , Human Diversity (Scie ntific A m e ri c a n Books, 1 982) , p. 1 2 3 .
23. Ibid . , p p . 1 1 5-17.
24.
D. F. R o b e rts, " M igration in t h e R ecent Past: Societies with Record s , " in Bio
logical Aspects of Human Migratio n , eds. C. G. N. M a sci e-Taylo r a n d G. W. Lasker
(Ca m bridge, M A : C a m b ri dge U n i v e rsity Press, 1988), p. 6 7.
25.
K e n n et h M. We iss, " I n Searc h of Ti mes Past: G e n e F l ow a n d I n v a s i o n i n t h e
G e n erat i o n of H u m a n D i v e rsity," i n ibid., p . 148.
26.
Lu igi Cava l l i Sforza , " D i ff u s i o n of C u l t u re a n d G e nes," in Issues in Biological
An thropology, e d . B. J. W i l l i a m s ( M a l i b u , CA: U nd e n a , 1986), p p . 13-14. On the ge n
e ra l issue of t h e com pet i t i o n b etwe e n " d i ffu s i o n of i d ea s" and " m igrat i o n of bod ies
a n d cu ltu re" a s expl a n atory p a ra d igms in a nt h ropology, see Wi l l ia m Y. A d a m s , " O n
304
NOTES
M igratio n a n d D iffu s i o n as R ival Parad igms," i n Diffusion and Migra tion: Their Roles
in Cultural Development, eds . P. G . D u ke, J . Ebert , G . Langema n , a n d A. P. B u c h n e r
(Ca lgary: U n ive rsity o f Calga ry, 1 978), p p . 1 -5 . These q uestions a re related to t h e
issue of "cultural relativism , " w h i c h I criticize below (particula rly i n its modern
c l i c h e versio n : "everyt h i ng i s soci a l l y co n st ructed"). T h e same a n t h ropol ogists who
wrongly b a n i s h ed a l l biologica l issues from co n s i d e rati o n a l so p romoted " d i ffusio n
ism" as the o n ly v a l i d explanati o n . See be low, n ote 96.
27. Weiss, " I n Search of Ti mes Past," p . 149.
28.
Roberts, " M igrat i o n in the Recent Past, " p . 62.
29.
Lewo nti n , Human Diversity, p . 113.
30.
Ba rry Bogi n , " R u ra l -to- U rba n M igratio n , " in Mascie-Taylo r a nd Lasker, Bio
logical Aspects of Human Migration , p. 93.
31.
Pa u l M. H o he n be rg and Lyn n H o l l e n Lees, The Making of Urban Europe,
1 000-1950 (Ca m bridge, MA: H a rva rd U n iversity P ress, 1985), p. 89.
32.
Pa u l Co l i n va ux, The Fates of Nations: A Biological Theory of History ( N ew Yo rk:
Simon a nd Sch u ster, 1980), p . 70. I ad opt here a few of Col i nva ux's views (e .g., his
t h e o ry of social n ic hes) but by n o mea ns h is e nt i re outlook, which is too d eterm i n is
tic. H e attem pts to red u ce t h e d iversity of forces o p e rating in h u m a n history to a
few ecologi cal d eterm i n a nts, a n d t h i s im pove rishes his theory.
3 3 . Ibid. , p p . 39-44.
34.
H o h e n berg a n d Lees, The Making of Urban Europe, p p . 86 a n d 97.
3 5 . Ibid. , pp. 79-80.
36.
B ryant Robey, S hea O. R u ste i n , a nd Leo M o rris, "The Fertil ity Dec l i n e i n
Deve l o p i ng Cou ntries," i n Scientific American 269.6 (Dece mber 1993) , p. 60 .
3 7 . M ic h e l e Wilson a n d F ra nces A. B o u d rea u , "The Sociological Pe rs pective," i n
Sex Roles and Social Patterns, ed s . Fra nces A . Boud rea u , R oger S . S e n n ott , a nd
M i chele Wi lso n ( N ew Yo rk: P raege r, 1 986), p. 8.
38.
M a rvi n H a rris, Cannibals and Kings ( N ew Yo rk: Vi ntage, 1 99 1 ) , c h . 6 . I d o not
m e a n to i m p ly t h at t h is is the o n ly, o r best, theory of the o rigi n of re p rod uctive
strata . I t is, however, the one most re l eva nt to my s u bject here (t h e u rban M i d d l e
Ages), si nce it is p recisely t h e excl u s i o n from wa rrior roles t h a t is be h i n d t h e fu nc
t i o n of guard i a n s h i p .
39.
Lewonti n , Human Diversity, p . 109.
40.
Edit h E n n e n , The Medieval Woman (Oxfo rd , U K : Basil B lackwe l l , 1 989) , p.
267.
41 .
Ibid. , p. 36.
42. Ibid. , p . 279.
43. Ibid. , p . 101.
44. B ra u d e l , Capitalism and Material Life, p . 410. N ot o n ly cities affected class
structu re; the l atte r often i n f l u e n ced u rban ization as wel l . As B ra ud e l poi nts out:
305
A THOUSAND YCARS OF NONLINCAR HISTORY
T h e socia l struct u res of both I nd i a a n d C h i n a automatica l ly rejected the town a n d
offered , a s it were, refracto ry, su b-st a n d a rd materia l fo r it. T h e refo re i f t h e town did
not w i n its i n d ep e n d ence i t was not o n ly beca u s e of the m a n d a ri n s ' beat i n gs or t h e
pri nce's crue lty to merchants a n d o rd i nary citizens. I t w a s becau se society w a s wel l
a n d truly frozen i n a s o rt o f i rred u c i b l e system, a previ o u s crystal l izatio n . I n t h e I nd i es
the caste system a utom atic a l ly d iv i d e d a n d broke u p every u rb a n comm u n ity. I n C h i na
the c u l t of t h e gentes was o p posed to a mixture compara b l e to t h at which created the
Western town - a ve rita ble mac h i n e fo r b re a k i n g u p old b o n d s . (p. 410)
45 .
Ibid. , p. 403 .
46 .
C h a rles R . Bowl u s , " Ecological C r i s i s i n Fou rtee nth-Ce ntu ry Eu rope," i n B i l-
s ky, Historical Ecology, p. 94.
47.
Ibid. , p. 96.
48.
Ibid., p . 89.
49.
Ver n o n H i l l Ca rt e r a n d Tom D a l e , Top Soil and Civiliza tion (N orma n : U n i ve r
s ity of O k l a hom a P re s s , 1 9 7 4), p p . 7-8.
50.
Ibid. , p p . 138-45 ; a n d J . Do n a l d H ug h e s , Ecology in A ncient Civilizations
(Al b u q u e rq u e: U n ive rsity of N ew M exico P ress, 1975), pp. 116-17.
51.
Bowl u s , " Ecological C r i s i s i n Fo u rt e e nth-Century E u ro pe,
52.
B ra u d e l , Capitalism a n d Material Life, p. 19.
53.
M c N e i l l , Plagues and Peoples, p . 103.
54.
Ibid., p . 97. H e re M c N e i l l w rites:
"
p. 96.
We may i nfer that by a bout the begi n n i ng of the C h risti a n e ra, at l east fou r d i verge n t
civil ized d i s e ase pool s h a d com e i nto existence, each su sta i n i ng i n fectio n s t h at cou l d
b e lethal i f l et loose a m o n g popu l at i o n s l a c k i n g a n y k i n d of p ri o r exposu re o r a cc u m u
l ated i m m u n ity. A l l t h a t w a s n e e d e d to provoke a s p i l lover f r o m o n e pool to a n other
was s o m e acc i d e nt of comm u n ication permitti ng a chain of i n fecti o n to exte n d to new
gro u n d w h e re p o p u l atio n s were a l s o s u fficiently d e n se to s usta i n the i n fe ct i o n either
perm a n e ntly, or at l east for a seaso n o r two. . . . When . . . travel across the breadth of
the O l d World from C h i n a to I ndia to t h e Med iterra n ean became regu larly orga nized o n
a rout i n e basis . . . t h e poss i b i l ity o f homogen ization of those i n fections . . . o pe n ed u p.
It is my contention t h at s o m et h i ng a p p roximating this c o n d ition d i d in fact occ u r,
begi n n i ng in the fi rst ce n t u ry A. D.
55.
Ibid. , p . 1 1 6 .
56.
Ibid., p . 146.
57.
Ibid. , p . 150.
58.
B r a u d e l , Capitalism and Material Life, pp. 48-49.
59.
Ibid., p . 48
60.
M c N e i l l , Plagues and Peoples, pp. 163-64.
306
NOTES
61 .
Ibid . , p . 152. T h e re M c N e i l l w rite s :
After t h e Great Plague o f Lo n d o n , i n 1665, Pasteurella pestis wit h d rew from n o rthwest
ern E u ro pe . . . . Quara nt i n e a n d other p u b l i c health meas u re s p roba bly had less d eci
sive overa l l effect in l i m it i ng the outbreaks of p lague, whether before o r after 1665,
than other u n i nten ded c h a n ges in the m a n ner i n w h ich E u ro p e a n p o p u l at i o n s co
existed with fleas a n d rodents. For i n stance, i n m uch of western E u rope, wood s h o rt
ages l e d to stone and brick h o u se co nstruct i o n , a n d t h i s tended to i ncrease t h e
d i stance between rod ent a n d h u m a n occ u p a n ts o f t h e dwe l l i ng, m a k i n g it fa r m o re d i f
ficult for a flea to tra n sfer fro m a d yi ng rat to a s u sce ptible h u m a n . Th atch roofs, i n
parti c u l a r, offered ready refuge f o r rats; a n d it w a s easy f o r a f l e a to fa l l fro m s u c h a
roof o n to someone be neat h . When t hatch roofs were rep laced by t i l e s . . . o p p o rt u n ities
for this k i n d of transfer of i n fectio n drastica l ly d i m i n i s h e d .
62.
B ra u d e l , Capitalism a n d Material Ufe, p . 3 8 .
63.
F e r n a n d B ra u d e l , The Perspective o f the World ( N e w Yo rk: H ar p e r a n d Row,
1986), p. 117.
64.
A rc h i ba l d Lewi s , " Ecology a n d t h e Sea i n t h e M e d i ev a l T i m e s (300-1500
A . D . ) , " i n B i l s ky, Historical Ecology, p . 74.
65.
I a n G. S i m m o n s , Changing the Face of the Earth: Culture, Enviro n m e n t, His-
tory (Oxfo rd , U K : B a s i l B la c k w e l l , 1989), p . 166.
66.
B ra ud el , Capitalism and Material Ufe, p. 268.
67.
B r a u d e l , The Perspective of the World, p . 108.
68.
Ibid . , p. 1 5 7.
69.
C arte r a n d Da l e , Top Soil and Civilizatio n , p p . 1 5 1 a n d 1 74.
70.
B ra u d e l , The Perspective o f the World, p . 89.
71 .
Ibid., p . 177.
72.
E l io Co n t i , m en t i o n e d i n F e r na nd B ra u d e l , The Wheels of Commerce ( N ew
Yo rk: H a r p e r a n d Row, 1983), p. 256.
73.
B r a u d e l , Capitalism and Material Ufe, p. 373.
74.
B ra u d e l , The Wheels o f Commerce, p p . 229-30.
75.
M c N e i l l , Plagues and Peoples, p. 6. O n t h e t h e m e of m i c ro- a n d m a c ro p ara
sites, see a l s o Wi l l i a m H. M cN e i l l , The Human Condition: An Ecological and Historical
View ( P ri n ce to n , N J : P r i nceto n U n ive rsity P r e s s , 1980).
76.
B ra u d e l , The Wheels of Commerce, p p . 265-7 2 .
77.
C rosby, Ecological lmperiaJism, p . 6 3 .
78.
Ibid. , p. 6 5 .
79.
M c N e i l l , Plagues and Peoples, p . 6 2 .
80.
Ibid. , p. 6 3 .
81 .
C ros by, Ecological Imperialism , p . 9 9 .
82.
Ibid. , p . 5 2 .
307
A THOUSAND YEARS OF NONLINEAR HISTORY
83 .
M c N e i l l , Plagues and Peoples, p. 1 78.
84. Ibid., p . 180. See a l so Pie rre C h a u n u , q uoted i n P i e rre Cl astres , Society
against the State ( N ew Yo rk: Zo n e , 1987), p. 99. T h e re Cl a stres q uotes C h a u n u 's
c l a i m : " I t a p pears t h at o n e-fo u rth of m a n k i n d was a n n i h i l ated by t h e microbic
s hocks of t h e s ixteenth centu ry. "
85.
M c N e i l l , Plagues and Peoples, p. 185.
86.
B ra u d e l , Capitalism and Material Life, p . 344.
87.
N i les Eld ridge , Macroevolutionary Dynamics: Species, Niches, and Adaptive
Peaks ( N ew Yo rk: McGraw- H i l i , 1989), p p . 104-105; a n d J a mes L. G o u l d a n d Carol
G . Gou l d , Sexual Selection ( N ew Yo rk: Scie ntific American L i b rary, i 989), pp. 80-105.
88. O n t h e rol e of sexua l selectio n , see R i c h a rd Dawki ns, T h e Selfish G e n e , p . 1 58.
89. O n the ro l e of retrovi ruses in evol utio n , see E. J. Ste e l e , Somatic Selection
and Adaptive Evolution (Ch icago: U n i versity of C h i cago P ress, 1981 ) , pp. 47-50.
Dawk i n s accepts t h e exi ste nce of t h ese h o rizontal ge ne tra n s m i ssio n s but rejects
the idea that t h ey i m ply L a m a rkism ( i n h e rita nce of acq u i red traits) as opposed to a
k i n d of "somatic D a rwi n i s m . " See R ic h a rd Dawki ns, The Extended Phenotype
(Oxfo rd, U K : Oxford U n iversity P ress, 1990), p p . 166-72. G i l les Deleuze a n d F e l ix
G u atta ri a lso m e ntion t h i s p he n o m e n o n , w h ich to them p rovi d es evidence t h at t h e
evol utio n a ry "tree" is m o re l i ke a r h izo m e . S e e Gi l l es Deleuze a n d Fe l ix G u atta ri, A
Thousand Plateaus ( M i n neapolis: U n ive rsity of M i n nesota P ress, 1987), p. 10.
90.
K . W. Jeon and J. F. D a n i e l l i , q uoted i n R ichard Dawkins, The Extended Phe
notype, p p . 159-60.
91 . J o h n H. H o l l a n d , Adaptation in Natural and Artificial Systems (Ca m b ri dge,
MA: M I T Press, 1992), chs. 9 a n d 10.
92. T h e term " m e me" was i ntrod uced in Dawki ns, The Selfish Gene, ch. 11.
H owever, t h e conce pt needs further e l a bo ratio n n ot o n ly to d isti ngu i s h it from other
repl icato rs (such as l i nguistic n o rm s) but eve n fo r a ppl icat i o n to a n i m a l protocu l
tu res, si nce it i s h a rd to s how t h at "true" i m itation occ u rs i n t h e wild. See Kev i n N.
La l a n d , Pete r J . R i c h a rd s o n , a n d Robert Boyd , "Animal Soc i a l Lea r n i ng: Towards a
New T h eo retical A p p roac h , " in Perspectives in Ethology, eds. P. P. G. B ateso n , Peter
H. K l o pfer, and N i choloas S. T h o m pson ( N ew Yo rk: Pl e n u m , 1993). On the use of
me mes to i nvestigate a n i m a l protocu ltu res, see J o h n T. B o n n e r, The Evolution o f
Culture i n A n imals ( P ri n ceto n , NJ: Princeto n U n iversity P ress, 1980), c h . 2 .
93. Dawki n s , The Selfish Gene, p. 2 4 . H e re Dawk i n s observes: "Ge nes have n o
fo resight. They d o n ot p l a n a h e a d . G e n e s j u st are, s o m e g e n e s m o r e so t h a n oth
ers, and t h at i s all t h ere is to it." T h at is, ge nes a re j u st replicators, and some re p l i
cate m o re t h a n ot h e rs.
94.
P h i loso p h i cal ly, besides s howi ng that one a n d the same a bstract m a c h i n e is
b e h i n d m a ny d i fferent types of p h e n o m e n a and t h at the refo re it i s not w h at gives a
given p h e n o m e n o n its i d e ntity ( i . e . , it does not co nstitute t h e esse nce of tha t p h e
n o m e n o n ) , we a l so need to s how t h at t h e relati o n between an a bstract m a c h i n e
308
NOTES
a n d the co n crete asse m b l ages t h at i n stantiate it is not o n e of "tra nsce n d e nce" but
one of " i m m a n e n ce." I n ot h e r words, we n eed to s how t h at abstract machines d o
n ot exist i n s o m e t ra n sce n d e ntal h e a v e n waiti ng t o be i ncarnated i n co ncrete mech
a n isms, but t h at t hey are intrinsic featu res of matter-e n e rgy flows su bject to n o n l i n
e a r dynam ics a n d n o n l i n e a r co m b i n atorics. T h is is, I bel ieve, t h e pos ition ad o pted
by Dele uze and G u atta r i . See, fo r exa m p l e , Deleuze a n d G u atta r i , A Thousand
Plateaus, pp. 266-67.
T h e s i m pl est exam ples of a b stract m ac h i nes, such as periodic attractors (capa
ble of very d iv e rse i nsta n ti ati o n s : crystal rad ios, chem ica l clocks, Ko n d ratiev waves
i n t h e eco no my, etc.) a re the easier to exp l a i n in these no ntra nsce n d e ntal terms.
See, fo r exa m p l e , Grego i re N i col i s a n d l Iya P rigogi n e , Exploring Complexity ( N ew
Yo rk: W. H . F re e m a n , 1989), p. 100.
9 5 . Stu a rt K a u ffm a n , The Origins of Order: Self-Organization and Selection in Evo
lution ( N ew Yo r k : Oxford U n iversity P ress, 1993), chs. 3 a n d 6.
96.
I n t h e 1980s many of t h e o rigi n a l "d iscove ries" of cu ltural a n t h ropologists
were fo u n d to be overs i m p l i ficati o n s o r even d i sto rti o n s of the social rea l ities t h ey
h a d stud ied. (T h e most fa mous debu n k i ngs were perhaps of M a rgaret M e a d 's
c l a i m s t h at adolescents in Samoa d i d not go t h rough s i m i l a r a nxieties as t h e i r West
ern co u nterparts a n d t h at males a n d females i n C ha m bri ex h i bited an o p pos ite pat
tern of d o m i n a nce as in most ot h e r soci eties.) O n all t h i s , and the p rocess t h rough
w h i c h c u l t u ra l relativism became e ntre n c h ed i n acad emic circles, see Do n a l d E .
B rown , Human Un iversals ( N e w Yo rk: McG raw- H i l i , 1 9 9 1 ) .
T h e " d e b u n ker, " i n t h e c a s e of Mead's obse rvations o n S a m o a , w a s t h e a n t h ro
pologist Derek F reem a n . H oweve r, t h is ca n n ot be boi l e d d own to a q u esti o n of d i f
ferent i nterp retatio ns of t h e d ata, each h a v i ng an e q u a l cha nce of bei ng v a l i d . As
B rown puts it, " M ead's book was based on 9 m o nt hs of fieldwo rk w h e n s h e was 2 3
years o l d . Derek F reem a n . . . co n d u cted 6 years of fieldwo rk i n Samoa" (ibid. , p.
16). H e t h e n a d d s : "One can o n ly ask how Mead cou l d h ave bee n so wro ng . . . .
Mead went to Samoa without a k n owledge of t h e l a ngu age a n d with u n fo rt u n ate
gaps in her fa m i l i a rity with the exten sive l ite ratu re on Samoa . . . . W h e n s h e reac hed
Samoa s h e did n ot u n d e rta ke a ge neral study of the Samoan ethos and c u l t u re b ut
l a u n c h ed d i rectly i nto h e r study of adolesce nce. H e r i n forma nts were adol esce nt
gi rls; n either boys n o r a d u lts were stud ied" (ibid. , p p . 18-19).
T h e l ist of criticisms cont i n u es . O n e can o n ly wo n d e r how the mod ern left (or
rath e r, t h at i n fl u e nti al segm e n t of it, the "social co nstructi o n ists") can p rete n d to
offe r a cohere nt strategy of resista nce based o n s u c h fli msy fo u n d ations. I n any
eve nt, the fo rtress wa l l s of c u lt u r a l relativism wi l l p rove a poor d efe nse aga i n st t h e
new d a ngers posed b y h u m a n sociobio logists. I n deed, t h e old sta nce may act u a l ly
be cou nte rprod u ctive s i n ce it wi l l m a ke a ny revelation of its i n adeq u acies (as i n t h e
case of t h e u n iversal ity of c o l o r perceptio n o r facial expressi o ns) s e e m l i ke a tri
u m p h fo r the op positi o n .
309
A THOUSAND YEA RS OF NONLINEAR HISTORY
Although n e it h e r o n e of t h e se two u n ivers a ls makes a d i ffe rence in term s of t h e
sta nce t a k e n i n t h i s boo k , t h ere is a not h e r o n e t h at d o e s . I n C h a pter One I a d o pted
the rev ised fo r m of " m et h o d o l ogical i n d iv i d u a l ism" created by n e o i n stitutio n a l i st
eco n o m i sts . U n l i k e t h e n e o c l assical eco n o m ics vers i o n (w h i c h is "ato m i stic"), the
n ew vers i o n is com pat i b l e with "o nto logic a l h o l i s m . " H e nc e , it rejects the v i ew of
isol ated i n d iv i d u a l s as d e c i s i o n m a k e rs a n d bri ngs i nto t h e p ictu re c o l l ective e nti
ties such as i n stitut i o n a l rules g u i d i ng decision m a k i ng. What does s u rvive fro m the
o l d view, however, i s t h e idea t h at h u ma n i n d iv i d u a l s a re b a s i c a l ly " s e l f- i n terested . "
T h i s i s , of co u rs e , a basic t h e m e i n h u m a n a n d a n i ma l soc i o b i o l ogy. ( D awk i n s, i n
h i s b o o k on "selfi s h g e n e s , " d e m o l i s h e s t h e c l a i m s o f gro u p s e l ecti o n i s m , w h i c h
a s s u mes n at u r a l ly occ u rring " a lt r u i st i c t e n d e nci es" i n a n i m a l s.) Self- i n terest, how
ever, s h o u l d in no way be c o n st r u ed as an " esse n ce" but rat h e r as a m u ltitrack
d i s position with evol utio n a ry- h i storical (a n d h e n ce continge nt) origi n s . To p u t it
b l u ntly, if h u m a n s rep�od u ced by c l o n i ng (o r eve n , a$ a nts o r bees d o , t h ro u g h a
s peci a l c aste of reprod u cers ) t h i s s e l fi s h n ess wo u l d not exist as it does. A n d , at
a n y rate , t h e p o i nt h e re is not t h at we m u st accept t h i s as a b i o l ogical d esti ny, b ut
that we m u st face t h e respo n s i b i l ity that t h i s orga n ic c o n stra i nt i m poses on u s :
c h i l d re n do not come eq u i p p e d with " a l t r u i s m " a n d m u st be taught t o s h a re a n d to
resp ect ot h e rs . F i n a l ly, s e l f- i nte rest is pe rfectly com pat i bl e , i n bot h a n i m a l s a n d
h u m a n s , w i t h reciprocati ng b e h a v i o r. (An d , c l e a rly, c u lt u ra l co n stra i nts m a y over
w h e l m the b i o l ogical o n e s , in s p e c i a l c i rc u m sta n c e s . ) See a l s o my re ma rks i n note
103 bel ow.
97.
D u r h a m , Coevolution , p. 187.
98.
Ste p h e n J ay Gou l d , The Mismeasure o f Man ( N ew Yo rk: W.w. N o rto n , 1 981 ),
p . 324. This book sta n d s o u t as a perfect exa m p l e of how criticism of scie nce (in
this c a s e , scientific racism) should be made. T h i s v a l i d l i n e of c r it i c i s m m u st be
o p posed to the c l a i m t h at a c r it i q u e of sci e n ce c a n be ca rried o u t with empty asse r
t i o n s s u c h as " s c i e nce is soc i a l ly c o n structe d , " w h i c h is e i t h e r red u n d a nt (eve ry
t h i ng prod uced by h u m a n b e i ngs is a social p rod uct) or fa lse (if ta k e n to i m ply t h at
t h e e p i stemolog i c a l stat u s of scie ntific state ments i s t h e s a m e as t h at of ot h e r c u l
t u ral prod u cts, s u c h as re l igio n ) .
99.
D u r h a m , Coevolution , p p . 2 1 3-23 .
100.
Ibid. , p . 283.
101 .
Ibid. , p . 289.
102.
Ibid. , p . 362.
103.
Ibid., p . 1 64, and B row n , Human Universals, p. 66. T h e q u e sti o n of " i n c l u
s i ve fitn e ss" serves a s a good e xa m p l e t o i l l u strate t h i s p o i n t . T h e t e r m is u s e d i n
a n i m a l ( a n d h u m a n) soci obiology to expla i n t h e s i m p l e D a rwi n ia n logic be h i n d the
a l t r u istic behavior of p a re nts toward their offs p ri ng. Basical ly, t h e i d ea i s t h at m u c h
a s ge n e s co n n ected to b e h a v i o r t h a t i n creases t h e reprod uctive s u ccess o f t h e i r
ca rriers w i l l tend to a cc u m u l ate i n a p o p u l a t i o n , s o w i l l ge n e s that p romote t h e
3 10
NOTES
re prod u ctive success of o n e 's offs p ri ng. I f we view genes s i m ply as m aterial re p l i
cators, t h e n , s i m ply in terms of i nt e n s ity of flow, h a l f of t h e ge n es that p a re nts
passed to t h e i r c h i l d ren wi l l also be passed to t h e i r gra nd c h i l d re n , so w h atever
s o rt i ng p rocesses be nefit t h e sed i m e ntati o n of the fo rme r w i l l a l so favor ( p ro po r
t i o n a l ly) t h e latter. H owev e r, a cu l t u ra l re lativist cou ld d is m i s s t h i s l ogic by a rg u i ng,
q u ite correctly, t h at k i n s h i p structu res (t hat i s, the social ru l es dete rm i n i n g w h at
cou nts as a " c l os e relative") v a ry ac ross c u l t u res a n d that t h ey determ i n e k i n s h i p
rel atio n s i n ways that n ot o n ly do not corre s p o n d t o t h e expectatio ns of t h e i n c l u
s ive fitness hypot hesis but eve n w o r k aga i n st it somet i m e s . H owev e r, as the a n t h ro
p o l ogist N ap o l e o n Chagnon puts i t , "the struct u ra l ist a p p roach to k i n s h i p tends to
view t h e system as an ' i d e a l ' o r ' perfect' system of c l a s s i ficatio n and it i s not con
cerned w i t h i n d iv id u al co nfo rm ity o r d ev i a n ce . . . . M ost a n t h ro p o l ogi sts a re awa re,
however, t h at t h e re a re a l ways some d i scre p a n ci es betwee n ' ru les' and ' be h av i o r'
i n a l l re a l m s of c u ltu re . . . . M a n i p u l at i ng or fudgi ng of ge n e a l ogies, for exa m p l e , is
com m o n ly reported i n t h e eth n ogra p h ic l iterat u re . " See N a p o l e o n C hagno n , " M a l e
Ya n o m a m o M a n i p u l a ti o n s of K i ns h i p C l a s s i ficatio n s of F e m a l e K i n fo r R e p ro d u ctive
Advantage ," in Human Reproductive Behaviour: A Darwinian Perspective, eds. Lau ra
Betzig, M o n i q u e Borge rhoff M u l d e r, a n d Pa u l Tu rke (Cam b ridge, U K : Cam bri dge
U n ivers ity P ress, 1988), p. 25. C h ag n o n s hows how, w h e n we take i nto acco u nt t h i s
m a n i pu lation o f t h e c u l t u ra l r u l e s t h a t d efi n e k i n s h i p, the act u a l be h av i o r o f h u ma n
bei ngs i s closer to w h at i n c l u sive fit ness wou l d pre d ict (or, rat h e r, t h e re s u lt o f a n
i nteract i o n betwe e n cu ltu ra l a n d orga n ic c o n stra i nts).
104.
Sfo rza , " D i ffu s i o n of C u lt u re and G e n e s , " p. 30.
105.
Ibid. , pp. 31 -3 2 .
106.
B ra u d e l , Capitalism a n d Material Life, p p . 294-98.
107.
R ic h a rd N e l so n a n d S i d n ey Wi nter, An Evolutionary Theory of Economic
Change (Cam bri dge, MA: B e l k n a p , 1 982), p p . 98-100.
1 08.
C ros by, Ecological Imperialism, p . 300.
109.
Ibid. , p. 1 2 .
1 1 0.
Ibid. , p p . 148-49.
111 .
On the stock effect, see W i l l i am J. Smyt h , " I ri s h Em igrat i o n , 1 700- 1 9 2 0 , "
i n European Expa nsion and Migration, e d s . P . C. E m m e r a n d M . M o r n e: r (Oxfo r d , U K :
B e rg, 1 992), p . 58. For a criticism o f too m ec h a n ic a l a view of p u s h (fa m i nes) a n d
p u l l facto r s (stock effect), s e e M a g n u s M o r n e r, " D i vergent Perspectives," i n ibid. ,
p . 2 7 7.
112.
Cros by, Ecological Imperialism, p p . 288-89.
113.
Ibid. , pp. 290-9 1 .
114.
Ibid., p. 1 70 .
115.
Ibid. , p. 1 5 1 .
116.
Ibid . , p. 1 7 6 .
117.
Ibid., p p . 1 7 7-79.
311
A THOUSAND YEARS OF NONL INEAR HISTORY
118.
M c N e i l l , Plagues and Peoples, p. 193.
119. P. C . E m m e r, " E u ropea n Ex p a n s i o n and M igratio n : T h e E u ropea n C o l o n i a l
Past a n d I nte rco nti n e nt a l M igratio n ; An Ove rview," i n E m m e r a n d M o r n e r, European
Expansion and Migration , p p . 1 0-1 2 .
120. C ros by, Ecological Imperialism, p . 302 .
12 1 . E m m e r, " E u ropea n Expa n s i o n a n d Migratio n , " p. 8.
122. C rosby, Ecological Imperialism, p . 305.
123.
B ra u d e l , The Perspective o f the World, p . 388.
124.
B ra u d e l , The Wheels o f Commerce, pp. 265-72.
125. Sid n ey W. M i ntz, Sweetness and Power: The Place o f Sugar in Modern History
( N ew Yo rk: Vi ki ng, 1985), p. 188.
126.
Ibid. , p. 1 9 l .
127.
B r a u d e l , The Wheels o f Commerce, pp. 277-78.
128.
M c N e i l l , Plagues and Peoples, p . 223 .
129.
Ibid., p. 221.
130.
Ibid. , p . 223.
131 .
Ibid., p . 210; a n d M ic h e l Foucau lt, Discipline a n d Punish: The Birth o f the
Prison ( N ew Yo rk: Vintage, 1 9 79), p. 186.
132.
Fouca u lt, ibid. , p . 144.
133. Ibid., p . 199.
1 34.
M c N ei l l , Plagues and Peoples, p . 1 5 5 .
135. Fouca u lt, Discipline a n d Punish, p . 198.
136. Ibid. , p . 190.
137.
M c N e i l l , Plagues and Peoples, p p . 234-3 5 .
1 38.
Fouca u lt, Discipline and Punish, pp. 138-39. Orga n ization t heorists h a v e
u n cove red seve ral ways i n w h i c h ro u t i n e s may s p read con tagio u s ly t h rough a n ecol
ogy of i n stitutio n s :
The first is t he diffusion i nvolving a si ngle sou rce broadcasting a d isease to a pop u l a
tion of pote nti a l , but not necessarily eq u a l ly vul nerable, victims. Orga nizatio nal examples
i n c l u d e ru les p ro m u lgated by gove rnmental agencies, trade a ssociations, professi o n a l
associati ons, a nd u n io n s . The seco nd p rocess is diffusion i n volving the s p read of a
d i sease t h rough contact between a member of the po pu lation who is i n fected a n d o n e
who is not, so meti mes mediated b y a h o s t carrier. Orga nizati o n a l exa m ples i n c l ude
routi nes diffused by co ntacts a mo ng o rga n izatio n s , by co n S U ltants, and by the move
ment of pers o n n el . The t h i rd process is two-stage d iffu sion i n volving the s pread of a
disease with i n a s m a l l gro u p by co ntagion a n d t h e n , by bro adcast fro m them to the
rem a i nder of the popu l atio n . O rgan izatio n a l examples i n clude ro utines com m u n icated
t h rough fo rmal and i n fo rmal e d u cat i o n a l i n stitutions, experts, and trade and popu l a r
p u b l ications. I n the o rga nizati o n a l l iteratu re, these three processes have been labe l ed
coercive, m i metic, a n d no rm ative. (Barbara Levitt a n d J a mes G. M a rc h , "Cheste r I .
312
NOTES
B a r n a rd a n d the I nte l l ige nce of Lea rni ng," i n Organization Theory, ed. Oliver E. William
so n [New York: Oxfo rd U n iversity P ress, 1995], p. 25)
O n the ot h e r h a n d , d e pe n d i ng o n the pa rticu l a r mix of tec h nological and i n stitu
tional factors i n t h e form of a give n i n d iv i d u a l orga n izat i o n , t h e motivati o n fo r t h e
i n co rporatio n of outside ro u t i n e s m a y va ry, fro m a strict eco n o m ic motivatio n
fra med in terms of i ncreased efficiency to o ne fra med in terms of i ncreased l egiti
m acy. One a ut h o r bel ieves t hat it was p recisely t h i s searc h fo r l egiti macy (of a giv e n
o rga n izatio n a l fo rm in a n o rga n izatio n a l ecology) that may acco u nt fo r the u n ifo rm
tra n sfer o f i n stituti o n a l i n n ovatio n s i n schools, h ospita ls, and ot her i n stitutio n s . See
W. R i c h a rd Scott, "Sym bols and O rga n izatio n s : F rom Ba rnard to the I n stitutio n a l
i sts, " in ibid. , p. 49.
139.
Wi l l i a m H. M c N e i l l , The Pursuit o f Power: Technology, Armed Force, and Soci
ety since A. D. 1 000 (C h i cago : U n ive rsity of C h icago P ress, 1982), p. 129.
140. Foucau lt, Discipline and Punish, p . 138. T h i s i n stitut i o n a l tra nsfo rm ati o n
can be f u rther cha racte rized a s i n vol v i n g a d o u b l e i n ve rsion of rel atio n s of visi b i l ity.
W h i l e the old i n stituti o n s (the l e p rosaria or the d u ngeo n s) v a n i s hed i n d iv i d u a l s
fro m s ight, m o d e r n hospitals a n d p riso n s made t h e i r bod ies m u c h m o re visi b l e a n d
a n alyza b l e . O n t h e oth e r h a n d , w h i l e the old forms of powe r m a n ifested t h emsel ves
t h ro ugh specta c u l a r d i s p l ays, such as p u b l i c executions, t h e new strategi es made
the a p p l icatio n of powe r a l most i n v i s i b l e . Control ove r t h e h u m a n body now took
the fo rm of d ri l l s and exercises, e n d l essly rep eated ro utines t h rough w h i c h co n fo r
m ity a n d obedie nce to a norm were e l icite d . A n d if p u n i s h m e nt was i n vol ved , it was
n ot in the h ig h ly visible fo rm of tortu re, but i n less obvious and yet m o re effect ive
ways - l ight p hysical p u n i s h m e nt and m i n o r dep rivati o n s - but used constantly to
p e n a l ize even sl ight departu res from routines and n o rm s .
141 .
M c N e i l l , The Pursuit o f Power, p . 147.
142.
B ra u d e l , The Wheels o f Commerce, p p . 284-86.
143. Clyd e M a nwe l l and C . M. Ann Baker, Molecular Biology and the Origin o f
Species: Heterosis, Protein Polymorphism and Animal Breeding (Seatt l e : U n ivers ity o f
Was h i ngto n P ress, 1970), p . 3 1 5 .
144.
Ibid. , p . 3 1 7.
145 .
G. E. Fusse l l , " T h e Agricu ltu ral Revo l ut i o n , 1600-1850," in Techn ology in
Western Civilization, 2 vol s . , eds. Melvi n Kranzberg a n d C arrol W. P u rs e l l ( N ew Yo r k :
Oxford U n iversity P ress, 1967) , vo l . 1 , p. 1 3 7.
146 .
H e n ri P i re n n e q u oted in J a n De Vries, The Dutch Rural Economy in the
Golden Age,
1500-1 700 ( N ew H av e n , CT: Ya l e U n ive rsity P ress, 1 9 74), p. 3 .
147. M c N e i l l , Plagues a n d Peoples, p . 34.
148. D e Vri es, The Dutch Rural Economy in the Golden Age, p. 149 .
149.
De Vries offers an a rgu m e nt for t h e n o n ca pital istic c h a racter of t h e new
system i n t h e case of t h e n o rt h e r n N et h e r l a n d s , where a modified version was
313
A THOUSAND YEA RS OF NONLINEAR HISTORY
developed before it beca m e the core of t he Engl i s h revol utio n . He develops two
s i m p l e models to captu re t h e dynam ics of fa rmer response to i n creased r u ral popu
l atio n . T h e fi rst o ne (wh ic h h e ca l l s t h e " peasa nt model") c a n be d e scri bed t h u s :
greater n u m bers of farmers a re accommodated b y d i vid i n g u p t h e l a n d i nto s m a l l e r
plots, e a c h cu ltivated i ntensively (ca refu l plowing, weed i ng, a n d fe rtilizi ng) b u t sti l l
a i m i ng a t s e l f-suffi cie n cy ( a s op posed t o co n n ecting with t h e m a rkets). T h e labor
i ntensive c h a racte r of t h i s strategy, however, m e a nt t hat fa rm e r p rod uctivity actu
a l ly decl i n ed in the t ra n s iti o n period, m a king them m o re v u l nerable to fam i n e s a n d
to t h e macropara s itism of a nt i m a rkets a n d aristocracies, w h i c h took advantage o f
t h e sit u ation to a m a s s l a n d a n d revise l e as i ng contracts. A seco n d sce nario (wh ic h
he ca l ls t h e " s pecial ization mode l") i n volves tu r n i ng t o special ized c rops aimed at
u rban m a rkets w h i l e the fa rmers t h e m se l ve s keep co ntrol of the p rocess. "The
p redatory role o f capit a l i sts a n d noblemen i n t h e peasant model h a s n o co u nte r
part in the special izati o n m o d e l s i n ce peasa nts themselves reo rga n ize prod u ction
i n res p o n s e to m a rket opport u n ities a n d t h e m se lves rea p t h e ben efits" (De Vries,
The Dutch Rural Economy i n t h e Golden A g e , p . 8).
De Vries a rgu es t h at it i s t h i s seco n d mod e l t hat applies to the N et h e rl a n d s fro m
the sevente e n t h ce ntu ry o n , even if a l a rge n u m b e r of oth e r factors (field patte r n s ,
legal syste m , fa m i ly structu re) need to be taken i nto co n s i d e rati o n to acco u n t fo r
regi o n a l variati o n s . AI·so, the n ew farms offered opport u n ities for i n vestme nt by
Amsterd a m 's we althy classes, so s u btler fo rms of a ntima rket i n fi ltrati o n also took
p l ace . Yet, d e s p ite t h e i r many m ixtu res in p ractice, m a rkets and a ntimarkets m u st
be kept as separate e l e m e nts in o u r h i storical reco n struct i o n s .
150.
F u s s e l l , "The Agric u lt u ra l Revolutio n , " p . 142.
1 5 1 . Georg B o rgstrom , "Food and Agri cultu re in the N i nete e n t h Centu ry," i n
Kranzberg a n d P u rs e l l , Techn ology i n Western Civilization, vol. 1 , p . 409 . There
B o rgstrom writes:
By the e n d of the War of 1812, the l a n d a l o ng the easte rn seaboard was u nder cu ltiva
tio n and m a ny n ew em igra nts were sett l i ng between the Appa l a c h i a n s and the M issis
sippi. The d rive co nti n u ed with i n creasi ng force u ntil the entire a rea a l o n g the
M ississi ppi River fro m the Great Lakes to the Gulf was u n der cu ltivatio n . It was the
ferti le prairies, however, a l ready encou ntered i n I l l i nois, that e n couraged the begi n
n i ngs of l a rge-scale farm ing operations which have become characteristic of our own
time. This movem e nt was sti m u l ated in the seco nd half of the centu ry by emerging
urba n izati o n , swe l l i ng i m m igratio n , stro ng pop u l atio n growth , l i ve ly i n d u strial expa n
sion, i ntense rai lroad co nstruction, and the final settlement of the western fro ntier.
On the ecological im pact of t h i s d eforestatio n, see C a rl H. M o n eyho n , " En v i ro n me n
ta l C risis a n d A m e rican Politics, 1860-1920," in B i l s ky, Historical Ecology, pp.
141-42.
314
NO TES
1 5 2 . S i m m o n s , Changing the Face of the Earth, p . 243.
153. See, fo r exa m p l e , B o rgst ro m , " Food and Agric u l t u re in the N i netee n t h C e n
tu ry," p. 413 .
154. S i m m o n s, Biogeography, p . 2 3 1 .
1 5 5 . J a c k Doyl e , Altered Harvest: Agriculture, Genetics and t h e Fate o f t h e World's
Food Supply (New Yo rk: V i k i ng, 1985), p p . 34-37.
156.
Ibid. , p. 42. Hybrid vigor is a n o n l i n e a r, e m e rge nt p rope rty of certa i n
ge n etic com b i n ations that c a n occu r spontaneou sly, n ot j u st i n the co ntro l l ed
l a bo ratory co nditions that gave rise to t h e new corn varieties. I t i s , i n deed, a mesh
work effect: it i n volves a n a u tocatalytic loop of e nzymes wit h i n the p l a nt o r a n i m al
body, a loop t h at h as barely crossed t h e t h reshold of self-s u st a i n a b i l ity. I n t hose c i r
c u m stances t h e loss of a ge n e t h at codes for o n e of t h e e n zymes can lead to t h e
co l l a pse o f t h e enti re loo p . H owever, a n d f o r the same reaso n , m ati ng w i t h a n i n d i
v i d u a l w h i c h carries that o n e ge n e leads to a s u d d e n reassem b ly of t h e loop a n d of
t h e a n atomical a n d p hys io logical tra its t hat d e pe n d , di rectly or i n d i rectly, on t h e
acti vity a n d p rod u cts o f the m ut u a l ly sti m u l ati ng s e t of e n zymes. See Ma nwe l l a n d
B aker, Molecular Biology a n d t h e Origin o f Species, p p . 265-66.
1 5 7. Doyle, Altered Harvest, p . 2.
1 58.
Ibid. , p . 43 .
1 59 . G e n a Corea, The Mother Machine: Reproductive Technologies from Artificial
Insemination to A rtificial Wombs ( N ew York: H arper a nd Row, 1986), p p . 1 7-18.
160. D a n i e l J . Kevles, "Out of Euge n i cs: The H i storical Pol itics of t h e H u m a n
G e n o m e , " i n The Code o f Codes: Scientific and Social Issues in the Human Genome
Project, eds. D a n i e l J. Kevles and Le roy H ood (Ca m b ri dge, MA: H a rva rd U n ive rsity
P ress, 1992), p. 6.
161 .
G o u l d , The Mismeasure of Man , p p . 231-32. On the homoge n e ity of h u m a n
ge n e pools, G o u l d observes: "the re m a rkable l a c k o f gen etic d ifferentiation a mo ng
h u m a n gro u p s - a m ajor biologica l basis for d e b u n k i n g d eterm i n is m - is a contin
ge n t fact of evoluti o n a ry h istory, n ot a n a priori o r n ecessary tru t h . T h e wo rld m ight
h ave been o rd e red d iffe rently. Su ppose, fo r exam ple, that one or severa l species of
ou r a n cestral ge n u s Australopithecus had su rvived . . . . We - t hat is, Homo sapiens
wou l d t h e n have faced a l l the m o ra l d i l e m mas i n volved in treati ng a h u m a n species
of d i sti n ctly i n fe ri o r mental capacity" (pp. 322-23).
162.
Ibid. , p . 1 5 5 .
1 6 3 . Ibid., p . 229.
164. Co rea , The Mother Machine, p . 305.
1 6 5 . Ibid . , p . 3 1 5 .
1 6 6 . Ibid. , p . 306.
167.
McN e i l l , Plagues and Peoples, p . 239.
168.
Ibid., p . 240 .
169.
Ibid. , p p . 2 31-3 3 .
315
A THOUSAND YEA RS OF NONLINEAR HISTORY
170.
J. D. M u rray, Mathematical Biology ( B e rl i n : Spri nger Verlag, 1989), p. 657.
171 .
M c N e i l l , Plagues and Peoples, p. 248.
172.
J e a n F l o re nt a n d Pi er re- Eti e n n e Bost, "The G reat Tu r n i n g Poi nt: A n t i b i ot i cs
a n d Seco n d a ry Metabol ite s , " in Biotechn ology, e d s . El iza bet h A nte bi a n d David
F i s h lock (Ca m b ridge, M A : M I T P ress, 1986), p. 20.
Pe n i c i l l i n , fo r exam p l e , is prod uced by ferme ntatio n, a n utriti o n a l strategy m o re
a n cient t h a n p h otosy n t h e s i s . H u m a n bei ngs have l o ng used ferme ntation to create
a wide variety of foodstuffs (cheese, yogurt, bread , bee r, and wi ne), and they d i d
t h i s b y ( u n k nowingly) recru iting biological catalysts (e nzym es) t o perform t h e nec
ess a ry operati o n s . A p i ece of t h e mac hi nery of food webs was l iterally detached a n d
c o n v e rted i nto a s o u rce of en zymes, as when goat or s h e e p sto m a c h s were used
to create c h e ese. Pen ici l l i n is not a n e n zyme but rat her a seco n d a ry s u bstance
(metabolite) prod u ced by a fungus to i n terfere with the acti o n of the enzymes of
ot her m i croorgan i s m s . M a ss-prod u c i ng p e n ici l l i n mea nt d o m esticati ng these f u n g i ,
t h at i s , scree n i n g c a n d idates fro m a heteroge neous po pu lati o n (from s o i l o r wate r
sam ples) a n d t h e n i m proving stra i n s by i n d ucing mutat i o n s a n d promot i n g t h e
propagati o n of the usefu l o n e s .
173.
Ibid. , p. 2 2 .
1 74.
S i m m o n s , Changing the Face of the Earth, p. 262.
175.
El izabeth A nte bi and David F i s h lock, "The Engi n e e rs of Life and T h e i r
C h i m e ras: R ecom b i n a nt D N A," i n Ante bi a nd F i s h l ock, Biotechnology, p. 54.
176.
Doy l e , Altered Harvest, pp. 116-17.
177.
Ibid. , p p . 26 1-63.
178.
Ibid., p. 138.
179.
Ibid., p . 2 0 5 .
180.
Ibid., p . 2 1 6.
181 .
Corea, The Mother Machine, p p . 22-2 3 .
182.
Do rothy N e l k i n a n d L a u re n ce Ta nc red i , Dangerous Diagnostics: The Social
Power of Biological Informa tion ( N ew Yo rk: Basic, 1989), p. 1 7 6 .
C H A PTER T H R E E : IVI E M E S A N D N O R M S
1.
Wi l l i a m La bov, " T h e Soc i a l Sett i ng of L i ngu istic Cha nge , " i n Wi l l i a m La bov,
Sociolinguistic Patterns ( P h i la d e l p h i a : U n i v e rsity of Pen nsyl ;a n i a Press, 1972), p.
271.
2.
M . L. S a m u e l s , Linguistic Evolution (Lo n d o n : C a m b rid ge U n iversity P ress,
1972), p . 90.
3.
M a rt i n Ha rris, "The R o m a n ce La ngu ages," in The Romance Languages, e d s .
M a rt i n H a rris a n d N i gel Vi ncent ( N ew Yo rk: Oxford U n iv e rsity P ress, 1988), p . 5 .
4.
A l b e rto Va r v a ro, " Lati n a n d R o m a nce: F ragm e ntatio n o r R estructu ri ng?" i n
Latin a n d the Romance Languages i n the Early Middle Ages, e d . Roger Wright (Lon
don: Routledge, 1 991 ), p. 47.
316
NOTES
5.
Ibid., p. 48 .
6.
To re J a n s o n , " La ngu age C h a nge a n d Metali n g u i stic C h a nge: Lat i n to
R o m a nce a n d Other Case s , " in Wright, Latin and the Romance Languages in the Early
Middle Ages, pp. 21-2 2 .
7.
Roge r Wright, " T h e Concept u a l D i sti nctio n between Lati n a n d R o m a nce:
I n ve ntion or Evol ution?" i n Wri ght, Latin and the Romance Languages in the Early
Middle Ages, p. 109.
8.
Pete r B u rke, "The U s e s of Lite racy in E a rly Modern I ta ly," in Social History of
Language, e d s . Pete r Bu rke and Roy Porter (C a m b ridge, U K : C a m b r i dge U n i v e rsity
Press, 1987), p p . 22-2 3 .
9.
Wright, "The Concept u a l D i st i n ct i o n between Lat i n a n d R o m a n ce , " p p .
104-1 0 5 .
10.
Gottlob Frege, "O n Sense a n d M e a n i n g," i n Translations from t h e Philosophi
cal Writings of Gottlob Frege, e d s . Peter Geach a n d M ax B l a c k (Totowa , N J : Row ma n
a n d Littlefi e l d , 1980), p . 6 0 . On Frege's th eo ry, s e e C h ri sti a n T h i e l , Sense a n d Refer
ence in Frege 's Logic ( D o rd rec ht, H ol l a n d : D. R e i d e l , 1968), c h . 5 .
O n its c o n nect i o n with t h e c a u s a l t h eo ry of reference, s e e N at h a n U . Sa l m o n ,
Reference a n d Essence ( Pr i n ceto n , N J : Pri nceto n U n iversity P ress, 1981 ), p p . 11-1 3
a n d 31-3 2 . "Accord i n g to the t h e o ry of si ngu l a r d i rect refe rence, p rope r n a mes
and i n dexical s i ngu l a r terms a re e it h e r n o n d es c r i ptio n a l o r descriptio n a l in terms of
the h aecce ity of t h e te rms' d e n otati o n , the property of being this very individual"
(ibid. , p. 39). This is one of the m a ny poi nts of c o n nect i o n between the new a n a lyti
cal p h i l os o p h e rs and G i l les D e l e uze a nd F e l ix G u atta r i , who a l so propose a theo ry of
me a n i ng i n terms of ha ecceities (t he "th i s n ess" of a n i n d iv i d u a l ) a n d p roper
na mes. See G i l l e s Deleuze and Felix G u atta ri , A Thousand Plateaus ( M i n ne apol i s :
U n i ve rsity of M i n n esota P ress, 1 9 8 7 ) , p p . 262-63.
11 .
Sa ul A . K ri p ke, Naming and Necessity (Ca m b r i dge, MA: H a rvard U n i vers ity
Pre s s , 1980), p p . 97-98. H e re K r i p ke d evelops not o n ly his contri b u t i o n to the
th eory of d i rect refe re n c e , but also a sepa rate arg u m e nt that i m p l i e s a certa i n fo rm
of "essent i a l i s m . " T hat the theo ry of d i rect refere nce do es n ot have to come b u n
d l ed with a bel i ef i n essences i s s h own b y S a l m o n , Reference and Essen ce, c h . 5 .
12.
H i l a ry P u t n a m , " T h e M e a n i n g of ' Me a n i ng ' , " i n Mind, Language a n d Rea lity:
Philosophical Papers, 2 vol s . (Ca m b r i d ge , U K : Cam bridge U n ive rsity Press, 1 980),
vo l . 2, pp. 225-27. W h i l e both the "Tw i n Eart h " arg u m e nt a n d the sociol i n gu i stic
hypothesis about d iv i s i o n of labor a n d l i nguistic o b l igati o n s take ca re of the noti o n
of " d e n otation ," one m a y wo n d e r i f the co ncept of "con notation" ( s o d e a r t o s e m i
otic i a n s s i nce R o l a n d B a rt h es) c a n also be exp l a i ned in terms of mate rial l a be l s .
I n t he l ate 1960s N e l s o n Good m a n developed j u st s u c h a the ory ( h i s t h e o ry of
"exempl ifi cati on" as a form of " reverse refere nce"). See Nelson Good m a n , Lan
guages of Art: A n Approach to a Theory of Symbols ( N ew Yo rk: B o b b s Me rri l l , 1 968),
ch. 2.
317
A THOUSAND YEARS OF NONL INEAR HISTORY
13.
On t h e role of n o n d i scu rsive p ractices in fixing refe re nce, see I a n H acki ng,
Representing and Intervening (Cam bridge , U K : Cam bridge U n ive rsity Press, 1992),
ch. 6 . O n the relation of causal refe rence and l i n gu istic h i story, see Pa u l M . Lloyd ,
" O n t h e N a m es of Languages (and Ot h e r T h i ngs)," in Wright, Latin and the Romance
Languages in the Early Middle Ages, pp. 10-lL
14.
Les l ey M i l roy, Language and Social Networks (Oxfo rd , U K : Basil Bl ackwe l l ,
1 980), p p . 47-50.
15.
Ibid. , p p . 21 a n d 5 1 -5 2 . Social n etwo rks capable of acti ng as e nforcement
mec h a n is m s m u st have t h e a d d itio n a l property of " m u lti p l exity"; t hat is, the mem
bers of t h e netwo rk i nte ract wit h each ot her i n m u ltiple ca pacities (kin, wo rkmates,
n eigh bors, part n e rs). This means t h at their l iveli hood d e p e n d s o n one a not her
more than if t h ey i nte racted more i m perso n a l ly.
16.
Ibid., p. 1 7 9 .
17.
Labov, " T h e Social Sett i ng of Li ngu istic C h a nge," p . 2 7 7 ; a n d Sam u e l s , Lin
guistic Evolution, p. 89.
18.
M i l roy, Language and Social Networks, p . 46.
1 9 . J o h n N ist, A Structural History o f English ( N ew Yo rk: St. Marti n 's, 1976), p.
89.
20.
Ibid. , p . 9L
21 .
Ibid. , p. 1 00-10L
22. Ibid. , p . 148. I nteresti ngly, t h e switch fro m synthetic Old E nglish to a n a lytic
M i d d l e English was partly effected t h rough co m p o n e nts of l a ngu age t hat are usu
a l ly ignored by fo rmal t h eories as u n i m portant: stress a n d i nto natio n . The Engl i s h
peasa nts' habit of stress ing t h e first syl l a bles ( a s i n " l o v e , " "love r, " " l oveli ness,"
of Germanic orig i n , as o p posed to " fa m i l y, " " fa m i l i a r," "fa m i l iarity," w h ich are bor
rowed fro m Lat i n ) was a powerfu l sel ection force in the p rogressive loss of the
syl l a bl es at t h e e n d of word s , w h i c h in m a n y cases were i n flexi o n s . See ibid. , p p .
149-50.
23.
I a n F. H a n cock, " R ecovering P idgi ngenesis: Approaches a n d P roblems," i n
Pidgin a n d Creole Linguistics, e d . Al bert Va l d m a n ( B loomi ngto n : I nd ia n a U n iversity
Press, 1977), p. 283.
24.
Keith W h i n n o m , " L i ng u a Fra nca: H isto rical Problems," i n Va l d m a n , Pidgin
and Creole Linguistics, p p . 297-99.
25.
Del l Hymes, P reface to Pidginization and Creolization o f Languages, ed . D e l l
H y m e s (Lo n d o n : Cam bridge U n ive rsity Press, 1 9 7 1 ) , p. 3. There Hymes rem arks:
" T h ese l a ngu ages have been co nsidere d , n ot creative a d a ptati o n s , but d ege n e ra
t i o n s ; n ot systems in t h e i r own right, but d eviations from ot her syste ms. T h e i r o ri
gins have been exp l a i n e d , n ot by h istorical a n d social fo rces, but by i n herent
ignora nce, i n d o l e n ce and s u perio rity."
26.
David Decam p , "I ntro d u ctio n : T h e St u dy of Pidgin a n d Creo l e Languages,"
i n Hymes, Pidginization and Creolization of Languages, p p . 19-20.
318
NOTES
27.
D e l l Hym es, " I ntro d u ction to C h a pter 3," in Hymes, Pidginization and Cre-
olization of Languages, p. 79.
28. Ibid. , p . 78.
29.
Ibid. , p . 79.
30.
Deleuze a n d G u attari, A Thousand Plateaus, p . 102.
31 .
H a rris, "The R o m a nce La ngu ages," p p . 13-14. O n t h e early rise of F ra n c i e n
a n d i t s rivals, see a l s o I a n Parker, "The R ise of the Ve r n a c u l a rs i n E a r l y Mod e rn
E u rope: An Essay in t h e Pol itical Eco n o my of Language , " i n The Sociogenesis of Lan
guage and Human Conduct, e d . B r u ce B a i n ( N e w Yo r k : P l e n u m , 1983), p p. 342-43,
a n d David C. G o rd o n , The French Language and National Iden tity: 1 930-1 9 75 (T h e
H ague, N etherla nds: Mouto n , 1978), p p . 22-2 3 .
32.
H a rris, "The R om a n ce Languages," p p . 6-7.
33.
Parker, "The R i se of t h e Ve r n ac u l a rs in Early Modern E u ro p e , " p. 344.
34.
H a rris, "The R o m a nce Languages," p. 18.
35.
Parker, "The R i se of the Ve rnaculars in Early Modern E u rope," pp. 337-38.
36. W i l l i a m H. M c l'J e i l l , Plagues and Peoples (Garden City, N J : Anchor/ D o u b l ed ay, 1976), p. 162.
3 7 . S a m u e l s , Linguistic Evolution, p p . 94-95 .
38. H a r r i s , "The R o m a nce La ngu ages , " p . 14.
39.
Ibid., p . 16; a n d Gordo n , The French Language and National Iden tity, p . 24.
40.
N i st, A Structural History o f English, p. 171.
41 . J . L. A u sti n , How to Do Things with Words (Cam bridge, M A : H a r v a rd U n iver
sity P ress, 1 975), p. 26.
42.
D e l e uze and G u attari, A Thousand Plateaus, pp. 80-81. T h ey d o n ot u s e t h e
wo rd " p hase tra n siti o n " b u t rat h e r " i n co rpore a l tra n sfo rmat i o n , " w h i c h amou nts to
t h e same t h i ng.
43 .
N i st, A Structural History o f English, p. 162.
44. Gord o n , The French Language and National Iden tity, p . 2 3 .
45.
N ist, A Structural History o f English, p . 1 6 5 .
4 6 . La bov, "The Stu dy of Language i n I ts Socia l Co ntext," i n La bov, Sociolinguis
tic Patterns, p p . 207- 1 2 . Soci o l i n g u i sts attem pt i ng to study t h e casual register using
tape reco rde rs consta ntly r u n i nto t h e following d i l e m m a : the ve ry presence of a
m icro p h o n e tends to p rovoke the speaker u nd e r study to use t h e formal register.
H e nce, Labov suggests t hat to break t h e constra i nts of t h e i nterview sit u at i o n o n e
n e e d s to d ivert attenti o n from speech (by reco rd i ng s a m p l es i n sit u at i o n s w h e re
e m ot i o n s r u n high, a n d hence where self- m o n itori ng of speech is obstructed) to let
t h e casual register emerge.
47. J o n a t h a n Stei n be rg, "The H i sto r i a n and the Questione Della Lingua , " i n
B u r ke a n d Porter, The Social History o f Language, p . 204.
48.
I va n I I l i c h , "Ve r n a cu l a r Va l u es and Ed u cati o n , " in B ai n , The Sociogenesis of
Language and Human Conduct, p . 467.
319
A THOUSAND YEARS OF NONLINEAR HISTORY
49.
E i n a r H a uge n , " Di a l ect, L a nguage, N atio n," in Sociolinguistics, e d s . J. B .
Pride a n d J a net H ol m es ( M i d d l esex, U K : Pe ngu i n , 1 972), p p . 1 0 7-108.
50.
I I l i c h , "Ve r n ac u l a r Val u e s and Ed ucatio n , " p . 470.
51 .
E i n a r H a uge n, " N at i o n a l and I ntern atio n a l La nguage s , " in The Ecology of
I
Language: Collected Papers, e d . Anwar S. Dil (Sta nford, CA: Sta n fo rd U n iversity
P ress, 1972), p . 260.
52.
I I l i c h , "Ve r n a cu l a r Va l u es a nd Ed ucat i o n , " p . 47l.
53.
Pa rker, "T h e R i s e of t h e Ve r n ac u l a rs i n Earl y Modern E u ro p e , " pp. 341-42.
54.
B i s h o p B o s s u et, q u oted in Gord o n , The French Language and National lden
tity, p. 26.
55.
Anto i n e M e i ll et, q u oted in H a uge n , " N atio n a l and I nt e r n atio n a l Languages,"
p. 260.
56.
Parker, "The R i s e of t h e Ver n acu l a rs i n Ea rly Modern E u ro pe , " pp. 347-48.
57.
N ist, A Structural History of English, p. 213.
58.
Ibid . , p. 214.
59.
Bill B ryso n , The Mother Tongue ( N ew Yor k : W i l l i a m Mo rrow, 1990), p . 93.
60.
S a m u els, Linguistic Evolution, p. 3l.
61 .
Ibid. , p. 144. S a m u e l s 's accou nt o f t h e evo l ution of l i ngu i stic no rms may
be e a s i ly fit i nto the m od e l I i ntrod uced in the previo u s c h a pte r; that is, l a ngu age
may be co n s i d e red to e m body a probe h e a d or searc h i ng d evice . H owever, we saw
that as i m po rtant as the probe head was, an a n alysis of t h e sp ace t h at it b l i n d ly
expl ores was also c r u c i a l . Yet, t h i s i nvolved b r i nging i nto co n s i d e rat i o n ( i n t h e case
of o rg a n i c evo l ut i o n ) mate r i a l a n d e n e rgetic q u e st i o n s t h at wo u l d not se e m to have
a co u nterpart i n t h e world of l a ngu ages . In oth e r word s , I a rg u e d t h at t h e sp ace
t h at the probe head explores is pre structu red by attractors fo r m i ng so m a ny
dyn a m ic a l l y sta b l e states (ste ady state s, cycl ical states, c h a otic states). So t h e key
q u est i o n h e re wo u l d be, W h at correspo n d s to attractors in l i ngu i stics? On o n e h a n d
( i n t h e case o f p h o n e m e s), o n e m ay a rgue t h at t h e n o n l i n e a r dyn a m ics o f t h e artic
u l ato ry system itself is t h e actu a l p hysica l a n d e n ergetic s u bstrat u m t h at em bod i e s
t h e attracto rs . H e r e , t h e pri nci p l e o f " l e a st effort" w o u l d correspo nd to t h e o l d
t h e rmodyn a m i c eq u i l i b ri u m s , w h i ch a r e u n i q u e a nd optim a l ; but fu rt h e r s t u d i e s o f
t h e m o uth-te eth-to n g u e - I a ry n x system m ay be n e e d e d t o a n a lyze i t s op erat i o n far
from e q u i l i b ri u m . S e e , fo r exa m p l e , H. H e rz e l , I . Ste i n ecke, W. M e nd e , and K.
We rmke, " C h ao s a n d B i f u rcat i o n s d u ri n g Voiced Speec h , " i n Complexity, Chaos, and
Biological Evolution, eds. E r i k M o s e k i l d e a n d Lis M ose k i l d e ( N ew Yo rk: P l e n u m ,
1991 ). At t h e s e m antic a n d syntactic leve l s , t h e q u esti o n m ay be a p proached i n
t e r m s of the attractors g u i d i n g t h e co m p utat i o n s a nd oth e r processes i n t h e bra i n ,
w h i c h i s h o w t h e co n n ect i o n i st s c h ool of Artifi cial I nte l l ige nce fra m e s t h e q u estio n .
(Co n n ectio n i sts o ft e n ta l k o f " s e m a ntic spaces" structu red by attracto rs .)
62.
La bov, "The Stu dy of L a n gu age i n Its Soci a l Co ntext," pp. 221-23.
63.
S a m u e l s , Linguistic Evolution, p. 1 73. T h is q u ote co nta i n s t h e expression
320
NOTES
"free v a r i ati o n , " w h i c h fo r l i n gu i stic repl icato rs carries t h e s a m e m e a n i ng t h at
"ge netic d rift" does for ge nes, t h at i s , r a n d o m variat i o n . T h is, however, goes
a ga i n st t h e treatm e n t of variati o n by La bov in t h e note a bove , for whom ce rta i n
fo rms o f l i ngu i stic variat i o n (e.g. , vari a b l e rules) are n e it h e r r a n d o m n o r d u e to
accide nts of contact situ atio ns, but inherent a nd systematic (what D e l e u ze a n d
G u atta ri c a l l " i m m a n ent"). S e e D e l e uze a nd G u attar i , A Thousand Plateaus, p. 93.
On t h e ge n e ral s u bject of t h e recr uitm e n t of l exical m ateri a l to play gra m m atica l
fu nctio ns, see al so the d e s e m a ntization a n d gra m m atica l izat i o n of "to get , " i n
S a m u e l s , Linguistic Evolution , p . 58.
64.
La bov, "The Stu dy of La ngu age in I ts Soci al Co ntext , " pp. 2 1 7-18.
65.
D e l e uze and Gu atta r i , A Thousand Plateaus, p. 103.
66.
Labov, "The Soc i a l Sett i n g of Linguistic C h a nge , " p. 298.
67.
Ibid . , p. 299.
68.
Pa u l M. H o h e n b e rg and Lyn n H o l l e n Lees, The Making of Urban Europe,
1 000-1950 (Ca m b ri dge , MA: H a rv a rd U n i versity Press, 1 985), p. 265 .
69.
R i c h a rd Y. K a i n , Automata Theory: Machines and Languages ( N ew Yo rk:
McGraw- H i l i , 1 972), pp. 4-14.
70.
D e l e uze and Gu atta r i , A Thousand Platea us, p. 7. T he a ut h o rs' d e n i a l of t he
exi ste nce of " l i ngu i st i c u n iversa ls" n e e d s to be t a k e n with a gr a i n of salt. S u rely
t h e exi stence (or n o n ex i ste n ce) of u niversals in l a ngu age i s a n e m p i rical q u e st i o n
n ot to be settled b y p h i l o s o p hical fiat. P h i loso p h ical a n alysis h e re i s n ecessa ry,
of co u rs e , so t h at u n ive r s a l s as e m pi rically fo u nd a re not tran sfo r m ed i nto tra n
sce n d e nta l e ntities. The fact t h at m a ny u n i versals are "statistical u nive rs a l s , " t hat
is, com m o n traits s h are d by l anguages with a bove-ch a nce freq u e n cy, s hou l d
a l ready i n d icate t h at a l l we h ave h e re i s comm o n attractors fo r a dynam ics a n d not
p l ato n ic essences. See J ose p h H. Green berg, "So me U n ivers a l s of G ra m m a r with
Particu l a r R efe re nce to t h e Ord e r of M e a n i ngfu l E l e m ents," i n Universals of Lan
guage, ed. J ose ph H. G r e e n berg (Ca m b r i d ge , MA: M I T Press, 1966). M a ny of t h e
u n iversal s m e n t i o n e d b y G r e e n b e rg a re o f t h e statistical typ e . Oth e rs a re o f t h e
" i m pl icatio n a l " type (th at i s , i f a l a ngu age h a s feature x t h e n it m u st a l so h ave
fe at u re y). T h i s l atte r type of u n iversal m ay be exp l a i n e d a l o n g Zel l ig H a rris's l i n e
o f t h o u ght, acco rding to w h i c h l i ngu i stic struct u re grows by accret i o n : n ew fo rms
a r i se by a n a l ogy with o l d o n es. M o re ge n e ra l ly, u n i versals of structu re may de rive
fro m u n ivers a l s of b e h avior (e.g. , co m m o n strategi es for the exploitatio n of red u n
d a ncy in co m m u n icatio n). This i s particu l a rly clear in the case of p i dgi n s a n d
creoles a n d t h e i r co nve rgence toward u n i versals. S e e E lizabeth Cl oss Traugott,
" P i d g i n izatio n , C reol izat i o n , a nd Language , " in Val d m a n , Pidgin and Creole Linguis
tics, p. 82; a n d Robert Le Page, " P rocesses of P idgi n izat i o n a n d C reol izati o n , " i n
ibid. , p p . 2 2 9 a nd 233-34. See a l so n ote 108 below.
71.
Geo rge K. Zi pf, The Psycho-Biology o f Language: An Introduction to Dynamic
Philology (Ca m b ridge, MA: M I T P ress, 1 965), p. 247.
321
A THOUSAND YEA RS OF NONLINEAR HISTOR Y
72.
Zel lig H a rri s, A Theory of Language and Information: A Mathematical Approach
(Oxfo rd , U K : C l a re n d o n , 1981 ) , p. 363. H a rris's ap proac h co n n ects d irectly with
the oth e r theoretical a p p roaches that I h ave used h e re . D e l e u ze and Gu attari, fo r
exa m p l e , also d ef i n e l i nguistic strata in terms of frequency as a fo rm of red u n
d a n cy. See D e l e u ze a n d G u atta r i , A Thousand Plateaus, p. 79. A n d the fo rma l i zati o n
of La bov's vari a b l e r u l e s i s a l so d o n e i n t e r m s of fre q u e n c i e s o f occurre n c e . See
La bov, "The Stu dy of La ngu age in Its Social Co ntext," p. 2 3 1 .
73.
H a rris, A Theory of Language and Information, p . 4 0 2 .
74.
Ibid. , p p . 3 29-3 2.
75.
Ibid. , pp. 332-34.
76.
Ibid., p. 3 3 9 .
77 .
H i l a ry P ut n a m , "So m e I s s u e s i n the Theory o f Gra m m a r, " i n Mind, Lan-
guage and Reality, p. 98.
78.
H a rris, A Theory o f Lang uage and Information, p. 346.
79.
Ibid . , p p . 392-94.
80.
Ibid. , p . 3 7 2 .
81 .
Ibid. , p. 307.
82.
Ibid. , p. 309.
83.
M a ry Douglas, "I ntro d u ction to G ro u p / G ri d A n a lys i s , " i n The Sociology of
Perception , ed . M a ry Douglas (Lo n d o n : Routledge a n d Kega n Pa u l , 1 982), p. 5.
84.
Ibid., p . 6 .
85.
M ic h a e l Tho mpso n , " A T h ree-D i m e n s i o n a l M o d e l , " i n Douglas, The Sociology
of Perception , p . 3 5 .
86.
D a v i d Ostra n d e r, " O n e- a n d Two- D i m e n s i o n a l M o d e l s of the D i stri b u ti o n of
B e l iefs , " i n Doug l a s , The Sociology of Perceptio n , p . 1 5 .
87.
Although M a ry Dou glas's t h e o ry is th erefore u sefu l i n studying the co l l ective
c h a racter of l a nguage's a bstract m a c h i n e , it is i m portant not to see her sch eme as
prov i d i n g a mm u n ition for the cu ltu ra l relati vism th at I criticized in the previo u s
c h apte r. W h i l e it is true that d i ffe re nt i nte n sities of the gro u p a n d g r i d parameters
yield d i ffe ri ng wo rld views, this s ho u l d be se en as the ge nesis of " m o ral pe rcept i o n "
a n d n o t (as D o u g l a s s o m et i m es suggests) of s e n s o ry-motor pe rce ptio n . C u lt u ra l
a nt h ropologists a r e not the o n ly o n es t o b l a me fo r stres s i ng re prese ntatio n a l kn owl
edge (wo r l d v i ews) a n d ignori ng e m bo d i e d k n ow-how (e.g., s k i l l s); some l i n gui sts a re
gu i lty of t h i s , too.
W h i l e it is clear that the avai l a b i l ity of l i nguistic labels does affect somewhat how
peo p l e relate to t h e world (for exam p l e , by making it easier to remember and a p ply
certa i n catego r i e s , i . e . , by acting as catalysts), t h is i s a fa r cry from the c l a i m t h at
we " c u t out" the world of perce ptio n a l o n g p u rely li ngu istic l i n e s, as asse rted in the
S a p i r/W horf hypothe s i s . In s h ort, it is not t h e case th at E s k i mos perceive sixty (or
w h atever) d iffe rent types of s now because they have sixty d i ffe rent words fo r s n ow.
Rather, gi ven the key ro l e t h at s now p l ays in t h e i r n o n d iscu rsive d a i ly practi ces,
322
NOTES
m a ny syn o nyms fo r it c a n be expected to acc u m u l ate a n d t h e n part i a l ly d iverge ,
acq u i ri n g s u bt l e s hades of m e a n i ng. Th us, they have so m a ny wo rd s fo r s n ow
because they d i scrim i n ate m a ny d iffe rent p hysically sta b l e states for snow, u s i n g
e m bod ied i nte l l ige n c e . Besi des, I h a v e attempted t o s h ow i n t h i s boo k that t h e
wo rld itself i s su bj ect t o proce sses o f i n d i v i d u at i o n w h i c h do n o t d e p e n d o n h u m a n
b e i ngs. I n ot h e r words, real ity d o e s n o t h a ve t o wait f o r h u m a n s to sort it o u t i n to
catego ri es. Sorti ng processes that prod uce m o re or less ho mogen eous c l a sses of
i n d iv i d u a l s ( rocks, species) occ u r i n d e p e n d e ntly of l a ngu age .
88.
Jos h u a F i s h m a n , "The I m pact of N atio n a l i s m in La ngu age Pl a n n i ng , " i n
Language a n d Society: Collected Papers, e d . A nwa r S . D i l (Sta nford , CA : Sta n ford
U n ivers ity Pre s s , 1972), p p . 224-27.
89.
M i c h e l Foucau lt, Discipline and Punish: The Birth of th e Prison ( N ew Yo rk:
Vi ntage, 1979), p . 169.
90.
Steven Ross, From Flintlock to Rifle: Infan try Ta ctics, 1 740-1866 (Cra n b u ry,
N J : Associated U n iversity P resses, 1979), pp. 35-39.
91 .
G o rdo n , The French Language and National Identity, p. 3 0 .
92.
Steven B l a kemore, Burke and t h e Fall of Language: The French Revolution as
a Linguistic Event ( H a nover, N H : U n iversity Press of N e w Engl a n d , 1988), pp. 83--84.
93 .
Ibid., p. 86 .
94.
Pete r Paret, " N apoleon a n d the Revo l u tion in War," in Makers of Modern
Strategy: From Machiavelli to the Nuclear Age, e d . Peter Pa ret ( P r i nceto n , N J : Pri n ce
to n U n i versity P ress,. 1986) , p . 1 24.
95.
Excerpt from the text of the levee en mass of 17 93, q u oted i n W i l l i a m H.
M c N e i l l , The Pursuit of Power: Techn ology, Armed Force, and Society since A. D. 1 000
(Ch icago: U n iversity of C h i c ago Press, 1982), p. 192.
96.
Ibid. , pp. 194-97.
97.
G o rd o n , The French Language and National Iden tity, p p . 30-3 1 .
98.
F o u ca u l t , Discipline and Punish, p. 1 6 6 .
99.
F e r n a n d Bra u d e l , Capitalism and Material Life, 1400-1800 ( N ew Yo rk: H a r per
and Row, 1973), p. 414.
100.
N i st, A Structural History of Englis h , pp. 272-7 5 .
101.
Ibid. , p. 278.
102.
Ibid. , pp. 280--81.
103.
Ibid., p . 305.
104.
Hymes , Preface to Hymes, Pidginization and Creolization of Languages, p. 5.
105.
Deca m p , " I ntrod u cti o n : The Study of P idgi n a n d C reole La nguage s , " p . 1 9 .
106.
Wi l l ia m Sa m a ri n , " S a l i e n t a n d Su bstantive Pi dgi n izati o n , " i n Hymes,
Pidginization and Creolization of Languages, pp. 124-27.
107.
Hymes, " I ntrod u ct i o n to C h apter 3," in Hymes, Pidginization and Creoliza
tion of Languages, pp. 67-73; a n d Keith W h i n n o m , " L i n gu istic Hyb rid izat i o n a n d t h e
Special Case of P i d g i n s a n d Cre o l e s , " i n ibid. , p . 104.
323
A THOUSAND YEARS OF NONLINEAR HISTORY
108.
Derek B ic k e rto n , " P idgin izati o n a n d Creo l i zati o n : L a n g u age Acq u i s itio n a n d
L a n g u age U n ivers a l s , " i n Va l d m a n , Pidgin a n d Creole Linguistics, p p . 63-64.
109.
Traugott, " P i dg i n izati o n , Creolization a n d L anguage," p. 8 7 ; a n d Le Page ,
" P rocesses of Pidgi n izati o n a n d C reol izati o n , " p p . 237-43. O n e of t h e p u zzles of
pidgi n l i ng u i st i cs i s the close (typologi cal) s i m i l a rities of all t h e d i ffe rent pi dgi n s
( a n d creol es) a ro u n d t h e w o r l d . T h e co nvergence toward s i m i l a r structu res is p a r
tic u l a rly i ntrigu i n g give n t h e va riety of m ajor a n d m i n o r l a n g u ages that we re
i n volved in t he i r d iffe re n t ge neses. An ea rly the ory proposed to solve t h i s mystery
is the so-ca l l ed m o noge n e s i s hypot h e s i s , accord i n g to which a l l p i dgi n s were real ly
de rived fro m a s i ngle o n e : S a b i r. As t h e Eu ropean global co n q u e st bega n , t h e l atest
i n st a l l m e nt of S a b i r had a l a rge Po rtuguese com p o n e n t (refl ecting the exp a nded
p rese nce of Lisbon in oce a n ic n avigatio n ) , and it was this vers i o n t h at it is s u p
posed to have b e e n brought to West Africa by Portugu ese sla ve t ra d e rs , a n d t h e n
by tb_� sJaves tb e m s_e lves Jo plantat i o n s alLover the wo rld . S a b i r (or a n ot he r Por
tuguese trade pidgi n) did i n d e e d re p l a ced Arabic a n d M al ay as the trade l a ngu age
of t h e F a r East d u ri ng t h e s ixte e n t h centu ry, a n d some Spa n i s h c reo l e s ( a n d eve n
C h i n e se pidgin E n gl i s h) of t hat region h ave b e e n s h own to de rive fro m that u r
pidgi n . Yet many o t h e r pidgi n s ( P itca i r n e se, Ameri n d i a n p idgi n Engl i s h) clearly do
n ot d erive from Sa b i r, and so at least some of these l i ng u i stic crysta l l izat i o n s m u st
h ave occu rred i n d e p e n d e ntly. Besides, one may w o n d e r why p l a ntatio n own e rs
wou l d bot h e r p u rc h a s i n g s l aves fro m d iffe rent l i ngu istic regio n s in Africa, if t h e
s l aves cou l d a l ready com m u n i cate with o n e a not h e r i n S a b i r.
Another ex p l a n a t i o n fo r t h e wo r l d w i d e conve rge nce i nvolves post u l at i ng e i t h e r
l i ngu istic u n ive rs a l s (so t hat the s i m p l i fication p rocess wo u l d become attracted
tow a rd s o m e "fixed p o i nts" in l a ng u age space) o r be h avioral u n ivers a l s , s u c h as
com m o n strategies to exploit red u n d a n cy or s i m i l a r ways to d e a l with situat i o n s i n
w h i c h o n e o f t h e p a rt i e s d o e s n ot s p e a k t h e l a ngu age we l l ( b a b i e s , deaf peo p l e ,
fore ign e rs). I n t h i s c a s e it wou l d not be a d y n a m i c a l situati on attracted t o fixed
p o i nts but an o s c i l l atory dyn a m ic ( e c h o-re s p o n se patte rn) i n w h i c h two or m o re
p a rt i e s i n a h e ighte n e d state of atte ntion i nteract u s i ng re d u nd a ncy-ex p l oitation
strategies in a co nstant search of s e rvicea b l e co m m o n e l e m e nts. B e s i d es this, we
m u st a d d the i n stitutio n a l co ntext of the s l av e p l a ntation itse l f, in w h i c h very srm i
l a r socio l i ng u istic contact s i t u a t i o n s were ge n e rated .
110.
Me rvyn C. Al leyne, " T h e C u l t u ral M atrix of Creol izatio n , " in Hymes,
Pidginization and Creoliza tion of Languages, p p . 182-83.
111 .
Deca m p , " I ntrod u ct i o n : The Stu d y of P i d g i n a n d Creole L a ngu age s , " p. 1 7.
112.
S i d n ey W. Mi ntz, "The Socio- H i storica l B ackgro u n d to Pidgi n ization a n d
C reol izatio n , " i n H y m e s , Pidginization a n d Creolization o f Languages, p. 48l .
113.
Ibid. , p . 487.
114.
A l i A. Maz r u i , The Political Sociology of English: An African Perspective (Th e
H ague, N et he r l a n d s : M o u to n , 1 9 7 5 ) , p p . 57-58.
324
NOTES
115.
Ibid. , p p . 59-63. I n t h i s regard , a d i sti nctio n ca n be m a d e betwee n "com
m u n a l i st" a n d "ecu m e n ic a l " l a ngu ages. T h e fo rm e r a re bo u n d by t r i b a l , regi o n a l ,
o r natio n a l cu ltu re a n d a re t h e refo re highly absorptive: s pe a k i ng t h o s e l a ngu ages a s
a mot h e r tongue i n co r p o rates t he s p e a k e rs i nto a give n c u ltu re. S u c h is t h e case
of Arabic, fo r i n st a n c e , w h i c h m a ke s a nyo ne w h o s p e a ks it as a first l a ngu age an
" A ra b , " regard l e ss of race o r col o r. On t h e ot h e r h a n d , spea k i ng E ngl i s h does not
by itself tra nsfo rm a person i nto a Brit i s h citize n , w h i c h m a ke s t h i s l a ng u age l e s s
" race b o u n d " (regard less o f t h e fact that the Brit i s h are m o re ra c i a l ly exc l u s ive
than the Arabs), o r, in ot her words, m o re e c u m e n ica l . F re n c h occ u p i e s a n i nterme
d i ate positi o n betwe e n E n gl i s h a nd Arabic. Co m m u n a l i st l a ngu ages t e n d to foster
cl ose r l i n kages among t h e d i ffere nt cou ntries that u se them: s i nce i n d e p e n d e nc e ,
Afri c a n col o n ies t h at were F r a n co p h o n e h ave te n d e d to m a i nta i n closer ties a mo n g
o n e a n ot h e r tha n have A n gl o p h o n e co l o n i e s . (Engl i s h-spea k i n g co l o n i e s , however,
seem to ha ve p roduced m o re natio n a l i sts t h a n t h e F re nc h -spea k i ng o n e s , who
d eveloped closer emoti o n a l ties with t h e E u ro p e a n mot h e rl a n d . ) E c u m e n ical l a n
g u ages, on the other h a n d , precisely beca u se t h e i r adoption carries few n atio n a l o r
ra c i a l co n notat i o n s ( a n d h e n ce faces fewer obsta c l e s from l o c a l l oyalties), t e n d to
s p re a d faster a m o ng fo reign s pea kers t h a n co m m u n a l i st l a ngu ages do (ibid. p p .
70-74).
116.
Ibid. , p. 58.
117.
Ibid. , p. 136.
118.
Wilfred H . Wh i te l ey, "Some F a ctors I n fl ue n c i ng La ngu age Po l i c i e s in Ea st
e r n Africa , " in Can Language Be Planned: Sociolinguistic Theory and Practice for the
Developing Nations, eds. Jaan R u bi n and Bjo rn H . J e r n u d d ( H o n o l u l u : U n ivers ity of
H awa i i P ress, 1 9 7 1 ) , pp. 142-5 5 .
119.
Ma zru i , The Political SoCiology o f English, p p . 1 3-14; a n d G o rd o n , The
French Language and National Identity, p. 89. Co nte m p o rary African writers w h o a re
e ngaged in dea ngl icizi ng Engl i s h (if not Africa n iz i n g it, at l e a st d e raci a l iz i ng it, e. g. ,
ri d d i ng it of t h e racist co n notat i o n s attac h e d to the word " b l ack") a n swe r t h e for
m e r colo n ia l ists w ho d ecry w h at is h a p pe n i ng to t h e i r l a nguage t h a t it is not their
l a ngu age a nymore : t h e very fact t h at it has a cq u i re d u n iv e rsal cu rre n cy m e a n s it
has beco m e everybody's prope rty. F re n c h , too, has been a p prop ri ated , by Africa n
F r a n co p ho n es, p a rti c u l ar ly t hose b e l o n g i n g to t h e N egrit u d e move m e nt (a n at i o n a l
i st l itera ry move m e nt , as o p posed to P a n - N egro i s m , a n E n g l i s h-based p o l itical
move m e nt). Afri c a n write rs i n volved i n this move ment attacked F r e n c h claims to
so m e p roprieta ry right over F re n c h , a n d , as o n e a ut h o r p uts it, t hese writers tra n s
fo rmed F re n c h by " k n ea d i ng, tortu ring, d is a rt i c u l ati ng" it, t h e re by g i v i n g it a new
r hyt h m a n d a n ew d e n s ity. Aga i n , a s Dele uze a n d G u atta ri s a i d , t h e mo re a l a n
gu age beco m e s maj o r (e.g., Engl is h a n d F re n c h as gl obal sta n d a rd s), t h e more it is
a p p ro p ri ated a n d wo rked over by various popu latio ns who tra n sform segm ents of
it i nto a mi nor l a nguage. (That i s , t hey "d efreeze" its re pl icati ng norms a n d set
325
A THOUSAND YEARS OF NONLINEAR HISTOR Y
t hem in variatio n aga i n , to p rovide the raw m aterials out of w h i c h future la ngu ages
may evolve.)
120.
N ist, A Structural History o f Englis h , p. 336 .
121 . Keith W h i n n o m , " L i ng u i stic Hybrid ization a n d the Speci a l Case of Pidgi n s
a n d C reo l es," p p . 92-97.
122.
N i st, A Structural History of English, p p . 347-50 a n d 366-67. T hese region
a l isms
n ow co n stitute th ree major speech a reas i n the U n ited States: N o rthern, Midland,
a n d Southe r n . Th ese speech a reas foster their own regional s u bdivisions, which at
times have little to d o with geogra p h ical location. T h u s th e pro n u n ciation hab its of the
Southwest a rea of Arizo na, N evad a, a n d Cal ifo rn i a a re genera l ly of N o rthern deriva
tio n , wh ereas the speech patte rns of the N o rthwest (Montana, I da h o , O rego n , a n d
Was h i ngton) a r e basica l ly of M id l a nd o rigi n . West Texas shows t h e d o m i n a nce o f
Appalac hia n ; East Texas s peech is a n outgrowth of Southern. Since Appalachi a n is a
regi o n a l versio n of M i d l a n d , the di fferences between the p ro n u nci ati o n s of East a n d
West Texas a re m a rked. ( p p . 366-67)
T hu s , eve n t hough each of the m a i n regi o n a l va ri a nts had a d efi n ite geogr a p h i
cal center ( Bosto n fo r N o rt h e r n , New Yo rk City fo r M id l a nd , a n d cities l i ke R i c h
mo n d , Atl a nta, a n d N ew Orlea n s fo r Southe rn), t h e ro le of rai l roads in the sett l i ng
of t h e ce ntral a n d weste rn areas of t he co u ntry, as we l l as t h e i r co ntribution to
postsettlement m igratory flows a n d to the ge n e ra l m o b i l ity of t h e p o p u l atio n ,
mea nt t h at geogra p hy a l o n e w a s not t o dete rm i n e t h e d istri bution a n d accu m u la
tion of l i ngu i stic va ria nts in the U n ited State s .
1 2 3 . Ke n Wa rd, Mass Communica tions a n d the Modern World (Lo n d o n : Macm i l l a n
Ed ucatio n , 1989), p . 3 6 .
1 24. Ibid. , p . 2 3 .
125.
Ibid. , pp. 91, 97-98, a n d 12 1-23.
126.
Ibid. , p . 33.
1 2 7 . Jonathan F e n by, The International News Agencies (New Yo r k : Schock e n ,
1986), pp. 24-25 a n d 33-37.
128. Ibid . , p p . 62-63.
129.
Ibid. , p. 88.
130.
N i st, A Structural History o f English, pp. 306-307.
131 . Ibid. , p. 383 .
132. To ny C rowl ey, Standard English a n d t h e Politics of Language (C h am paign:
U n iversity of I l l i n o i s P ress, 1989), p p . 2 1 5-17.
1 3 3 . Ibid. , p. 2 5 2 .
134.
Ibid. , p . 1 5 9 .
135. S a m u e l s , Linguistic Evolution, p . 108.
326
NOTES
136.
Bjorn H . J e r n u d d , " N otes on Eco n o m i c A n a lysis fo r Sol v i n g Langu age
Problems," in R u b i n and J e r n u d d , Can Language Be Planned, pp. 2 7 2-7 3 .
1 3 7 . F i s h m a n , " N ati o n a l La ngu ages a n d Languages o f Wider Com m u n icatio n i n
t h e Deve l o p i n g Nati o n s , " i n D i l , Language a n d Society, p . 197.
138.
F i s h m a n , "The I m pact of Natio n a l ism in Langu age P l a n n i ng," pp. 228-30.
139.
F i s h m a n , " Nati o n a l La ngu ages a n d Languages of Wider Com m u n icatio n i n
t h e Deve l o p i n g Nati o n s , " p p . 192-93 a n d 222.
140. T h e case of Tu rkey is pa rticu la rly i nteresti ng beca u se , i n its pre-World Wa r I
i n carnati o n (the Otto m a n E m p i re), Tu rkey was by no m e a n s a peri p h e ry to E u rope,
but a partici p a n t o n eq u a l terms o n the i nternatio n a l sce ne ( l i ke Japan late r on, b ut
u n l i ke I n d i a or C h i na). Tu rkey h a d u n d e rgo n e a first "civil ization rite of passage" i n
med ieva l times as it became a n I sl a m i c cou ntry. Tu rkish h a d beco me t h e l a n g u age
of the peasan try, w hile the u rb a n e l ites spoke Osm a n l ica, an a m algam of Arabic,
Pers i a n , and Tu r k i s h . In t he n i neteenth centu ry, the Otto m a n s became aware of a
growi ng voca b u l a ry ga p betwee n Osma n l ica a n d the E u ropean l a ngu ages, particu
l a rly i n the m i l ita ry a n d i nd u strial tec h n i ca l registers. B ut t h e Arabic e l e m e nts in
their l i ngu i stic m ixtu re made t ra n s l ation a n d a d a ptation of t he n ew wo rd s h a rd , a n d
press u res fo r t h e d e-A rabizat i o n a n d de- Pe rsiaficati o n o f t h e i r l a nguage bega n to
be felt. The i nten sification of national ist fee l i ngs after the 1908 revolution a n d the
shock of Wo rld Wa r I acce l e rated the p rocess, a nd Tu rkey u n d e rwe nt a seco n d rite
of pa ssage, t h i s time to cut off all ties to its I sl a m i c past and to co m p l etely sec u l a r
ize (a n d sta n d a rd ize) a revived Tu rkish l a nguage. Although Tu rkey d i d possess a
gra n d t ra d itio n to legit i m ate the p roces s, t h e p resence of I s l a m i c eleme nts in t hat
tradition m e a nt t h at the el ites wo u l d h ave to m a n i p u l ate h i sto ry to j u stify the rad i
cal c h a nges t h e i r n ati o n a l l a nguage wo u ld h ave to u nd e rgo, s u c h as ro m a n ization
of its scri pt and e n richme nt of its lexical rese rvo i r t h rough bo rrowi ng. A l i ng u i stic
t h e o ry was concocted (t he "sun la ngu age" theory), accord ing to w h i c h Tu rkish was
the mother of all l a ngu age s, and h e nce the borrowing of fo reign words co u ld be j u s
tified on the gro u n d s t hat t hose l exica l ite ms h a d o nce belo nged to a n ci e nt Tu rki s h .
S e e C h arles F. G a l l agher, " La ngu age Reform a n d Social Mobil izatio n i n Turkey," i n
R u b i n a n d J e r n u d d , Can Language B e Planned, p p . 16 1-66.
141 . T hose co u ntries lack i ng a u n i fying tra d ition h a d to face a m o re d i ffic u l t set
of choices. In p a rticu l a r, i n selecti ng a ca n d i d ate fo r sta n d a rd izatio n , t hey co u l d
e it h e r p i c k t h e la nguage of o n e of t h e i r e l ites o r w hat is called a " l a ngu age of wider
c i rcu l atio n , " w h i c h ca n be t h e la ngu age of t h e ex-colo n i al masters ( E ngl i s h , F re n c h ,
Spa n i s h , o r Dutch) o r a l o c a l l i ngua fra nca (Swa h i l i , M a l ay). T h e fi rst c hoice m e a n t
favo ring the m e m bers of a pa rticu lar p restigious gro u p at the expense o f other,
p e r h a ps e q u ally p restigio us o n es, a n d so it i m me d i ately co n fro nted o p positio n from
the excl u d e d e l ites. P ic k i ng a colo n i al l a ngu age co ntradicted some of the goa l s of
natio n a lism (yet t h is c h oice was made by q u ite a few co u ntries), so w h e n ever a l i n
gua fra nca was ava i l a b l e it became a serio u s conte n d e r fo r a natio n a l sta n d a rd .
327
A THOUSAND YEARS OF NONLINEAR HISTORY
I nd o n esia offers a good exam ple of this strategy. This a rchipelago provi d es m a ny
geogra p h ical barriers to the spread of l i ngu istic re plicato rs, a n d t h u s , by favo ring
i solation over co ntact, it gave rise to over two h u n d red sepa rate l a ngu ages. In these
co nditions a l i ngua fra nca ( M alay) emerged early o n for trade and pol itical i nteractio n .
M u ch as the B r itish a n d Germ a n s p ic ked Swa h i l i a s o n e o f thei r col o n i a l a d m i n i stra
tion l angu ages, so the D utc h here sel ected M a l ay, further e n h a ncing its popula rity.
Although efforts at sta n d a rd izati o n bega n ea rly i n the 1930s, it was the Japan ese
who i n stituti o n a l i zed the project w h e n t hey occupied the isl a n d s d u ri n g World War I I ,
ba n is h i ng Dutc h , esta b l i s h i n g a co mm ittee with the aim of creating a gram mar a n d
a d i cti o n ary, and m a k i ng M a l ay a med i u m of i n structi o n . H e nce, i n t h i s case, i n stru
m e nta l ity and " ratio n a l " p l a n n i ng (routin ization) outweighed a uthenticity as a sel ec
tion criterion fo r the sta n d a r d , s i n ce a l ess prestigious variant was pi cked over a n
elite vari ety on t h e grou n d s o f its efficiency a n d cu rrency i n co m m u n ication. S e e S .
Tad k i r Alissahbana, " S o m e P l a n n i ng Processes i n the Develop m e nt o f the I ndonesia n
M a l ay Language," i n R u b i n and J e r n u d d , Can Language Be Planned, pp. 180-84.
142 . W h i l e Tu rkey a n d I nd o nesia, in their different ways, arrived at a single
national sta n d a r d , other co u ntries faced with several rival traditions we re forced to
m a ke co mpromises. Ethio p i a , for exa m p l e , today has five majo r la ngu ages, i nclud
ing A m h a ric (an i n digenous sta n d ard, wit h a writing system a n d l iterature d at i n g
b a c k t o t h e fo u rteenth ce ntu ry) and E ngl ish ( t h e l a n guage o f i n structi on a n d inter
n ational co m m u n ication). It also h as special lit u rgical l a nguages (Ara bic and Geez,
each a sacred l a n gu age for a d i ffe rent gra nd trad ition) that e njoy as m u ch prestige
as the major o n es. See C . A. Fergu so n , "The Role of Arabic in Eth iopia: A Sociolin
gu istic Perspectiv e , " i n Pri d e a n d H ol m es , Sociolinguistics, p. 114.
I nd i a, o n its side, a l so has two co m peti n g gran d traditi o n s ( I slam a n d H i n d u ism)
a n d sixteen d iffe rent l a n gu ages cutt i n g across religi o u s bo u nd a ries: H i n d i and
U rd u , for exa m p l e , belong to the same l i ngu istic fami ly, but the l atte r i s more
I s l a m ized , making use of m a ny Pe rsian words, while the form e r reta i n s its ties to
Sanskrit. To t h i s day their riv a l ry co ntin ues, a n d I nd i a has been forced to recogn ize
several sta n d a rds. See Jyoti ri n dra Das G u pta, " R eligi o n , La nguage and Pol itical
M o b i l izati o n , " in R u b i n and Jer n u d d , Can Language Be Planned, pp. 5 5-60.
143.
The d efi n iti o n of " stan d a rd ization" as com posed of "cod ification" a nd
"elaboratio n" a p pears i n H a uge n , " Dial ect, La ngu age , N atio n , " p p . 107-108.
144. Gord o n , The French Language and National Identity, p. 42.
145. Ibid . , p. 45.
146. Ibid., p . 48.
147. Ibid. , p. 5 6 .
148.
Ibid. , pp. 97-98.
149.
Ibid. , p. 42.
150.
Ro bert P h i ll i pso n , Linguistic Imperialism (Oxfo rd, U K : Oxford U n iversity
Press, 1993), p. 111.
328
NOTES
151.
Ibid. , p. 28 (on Engl i s h school i ng) and pp.
1 1 3-14 (o n French).
1 52. Ibid. , pp. 300-302.
1 5 3 . Fen by, The International News Agencies, p . 3.
1 54.
Ibid. , p.
1 59.
1 5 5 . Ibid. , p. 1 1 7.
1 56.
H oward R heingold , The Virtual Community: Homesteading on the Electronic
Frontier ( N ew Yor k : Har per Pere n n i al,
1994) , p. 1 30 .
1 5 7 . Ibid. , ch. 8 .
1 58 . M azru i , The Political Sociology of English, p . 7 5 .
1 5 9 . B ryson , The Mother Tongue, p . 184.
This i nc l i n ation to hack away at English words u ntil they become so meth i n g l i ke
native prod ucts i s n ot restricted to the J a p a n ese. In Singapore tran svestites a re
known as shims, a co ntracti o n of she-hims. I ta l i a n s d o n't go to a n ightc l u b , but just
to a night (often spelled nihgt), w h i l e i n Fra nce a self-servi ce resta u rant is sim ply Ie
self. Euro pea n la ngu ages al so show a curi o u s tende ncy to take E ngl i s h pa rtici ples
and give them e ntirely n ew m e a n i ngs, so that t h e French d o n ' t go r u n n ing or jog
gi ng, they go footi ng . . . . The Germ a n s are parti cu l a rly i nventive at taking thi ngs a
ste p further than it ever occu rred to anyo ne i n English. A yo u ng pe rso n i n Germany
goes from being i n his teens to bei ng i n his tweens, a book that doesn't q u ite
become a best-se l l e r i s i n stead ein steadyseller, and a person who i s mo re rel axed
t h a n a n other i s relaxter.
160.
Rhei ngo l d , The Virtual Community, p. 234. The French and J apane se, h av
ing expe rimented with thei r own national co m p uter n etwo rks, m ay not welcome the
potential heteroge nizi ng effects of o p e n i ng u p to the i nternati o n a l mes hwork.
R h e i ngold o bserves:
T h e c h a l l e nge now confro nti ng France, after m o re t h a n a d ecade of this experiment
[i . e . , M i n i tel), has some of the c h a l l e nges n ow faci ng J a p a n . Beca u se of J a p a nese
restrict i o n s o n the i r own co m m u n i cat i o n s m a rket, they were late to deve l o p ; now
they a r e faced with the growth of I nte r n et and t h e c u l t u ra l co nfl icts t h at fu l l I nte r n et
access wou l d precip itate. Fra n ce closely g u a rd s aga i n st cu l t u r a l i nt r u s i o n , as in its
dirigiste attem pts to co ntrol the French l a ngu age t h ro u g h the Acad e m i e . Fear of A m e r
ican co m p etit i o n a n d d i stru st of t h e I nter net experim ent colo red the d ecisio ns t h at
went i nto t h e o r igi nal Teletel d e s i g n . The tiny scre e n s a n d a l m ost u nw o r k a b l e key
boa rd s of t h e m i l l i o n s of M i n itels n ow i n u s e a re c l e a rly i n ad e q u ate in the age of h i gh
bandwidth com m u n icati o n s and powe rfu l desktop co m p ute rs . W i l l Fra nce red e s i g n
i t s u s e r i nte rface, a n d t h u s l e a p fo rwa rd aga i n , or w i l l it be c h a i n e d to the i nvestment
in cr u d e te rmi n a l s that was revol uti o n a ry ten yea rs ago? And if Fra n ce l ea p s a h ead . . .
w i l l t h at French network w a l l itse l f off from t h e N et, the way it has d o n e i n the past?
329
A THOUSAND YEARS OF NONLINEAR HISTORY
Or wi l l it j o i n the Net and give it more of a F rench flavo r - a n d i nevitably, d iscover that
the Net has cha nged F r e n c h cu lture, in ways that a r e not all p l e a sa nt? (p. 234)
161 .
Ibid. , p. 88.
162.
Dele uze a n d G u atta r i , A Thousand Plateaus, p. 500. The or igi n a l se n te n ce
co n ta i n s the words " smooth s pace" not " m e s hwork," but, a rgu a b ly, both refe r to
basica l ly the s a m e t h i ng. Also see n ote 2 below.
C O N C L U S I O N A N D S P E C U LA T I O N S
1.
G i l les Dele uze a n d Fe l i x G u atta r i , A Thousand Plateaus ( M i n nea pol i s : U n iv e r
sity of M i n n esota P ress, 1987), p. 1 5 9 .
2.
W h i l e t h e term " B ody without Orga n s" was first used i n a p h i loso p h i c a l con
text by G i l l e s D e l e u ze (bo rrow i n g fro m Arta u d ) , t h e a l m ost syn o nymous "ma c h i n ic
p hyl u m " seems to have b e e n co i n ed a nd. first u sed by G u atta r i , i n Felix G uatta r i ,
" T h e P l a ne of C o n s i stency," i n Molecular Revolution ( N ew Yo r k : Pe ngu i n , 1984),
p. 120. I do n ot c l a i m t h at the two terms a re strictly syn o nymous (although I use
t h e m t h at way). R a t h e r, t h ese p h i loso p h ers , i n stead of b u i l d i ng one theory, are
atte m pti ng to cre ate a mesh work of theories, t h at is, a set of pa rt i a l ly overla ppi ng
theories. H e nce, n e a rly syn o nymous key co n cepts (B wO, phyl u m , smooth s p ace,
r h izome) do not exactly coi n c i d e in mea n i ng but a re s l i g htly d i s pl aced from o n e
a n other to create t h i s overl a p p i ng effect. T h e p o i n t re ma i n s t h at the refere nts of
these l a b e l s , not the l a b els t h e m s e l ves, a re w h at matte rs.
3.
Deleuze a n d Gu atta ri, A Thousand Plateaus, p. 164.
4.
O n t h e co n s e q u e nces for h u m a n h i story of the b rea k u p of Pa ngaea a n d t h e
con seq u e nt d istri b u t i o n of d o m estica ble s pecies, s e e J a red D i a m o n d , The Third
Chimpanzee ( N ew Yo rk: H a r p e rCol l i n s , 1982), p p . 237-39. D i a m o n d e n u merates the
pr eco n d itio n s for d o m estica b i l ity which a p ply to most dom esticates, except cats
( l i v i n g in h e rds, l ow-i ntensity territori al be h a v i o r a n d f l i ght reflexes, etc.), a n d d i s
cus ses the effects of t h i s biogeogra p hical accid ent on the colo n i a l confro ntations
betwe e n E u ra s i a and t h e rest of t h e wo rld . For i n sta nce, of t h e horse he writes:
" T h e m i l itary v a l u e of the h o rse is s p e c i a l ly i nteresting i n i l l u strat i n g what seem
i ngly sl ight d iffe r ences make o n e species u n i q u ely p rized and a n ot h e r usel ess . . . .
Of the sevente e n l i v i n g species [belo ngi ng to the s a me ord e r as t h e h o rse] a l l fo u r
ta pirs a n d a l l five r h i nos, p l u s eight o f t h e eight w i l d h o rse s pecies, h a v e never
been d o m esticated . Africa n s o r I n d i a n s m o u nted o n r h i nos o r t a p i rs wo u l d have
tra m p l e d a ny E u ro p e a n i n v a d e rs, but i t never h a p pe n ed" (ibid. , p. 2 39).
5.
D e l e u ze a n d G u attari , A Thousand Plateaus, pp. 6-7. H e re D e l e u ze and G u at
tari write: " R ats [in t h e i r pack fo rm] a re rh izomes. B u rrows a re too, in all th e i r fu nc
t i o n s of s h e l te r, s u p p ly, move me nt, evas i o n , and bre a kout. . . . W h e n rats swa rm
ove r each ot h e r."
6.
330
Ibid., p. 1 5 3 .
NOTES
7.
Ibid. , p p . 220-2 1. H e re D e l e u ze a n d G u atta ri write :
[W]e m u st i nt roduce a d isti nction between the two noti o n s of conn ection a n d conjuga
tion of fl ows. "Co n n ecti o n " i n d icates the way in which d ecod ed and deterrito r i a l ized
flows boost o n e another, accele rate t h e i r s ha red escape . . . . [T] he "conj ugation" of
these same flows , on the ot h e r h a n d , i n d icates thei r relative stoppage, l i k e a p o i nt of
acc u m u lati o n t h at pl ugs or seals the l i nes of fl ight, pe rforms a general reterrito r i a l iza
t i o n , and bri ngs the flows u n d er the d o m i n a nce of a si ngle flow capa b l e of ove rcod ing
them. But it i s precisely the most dete rritor i a l ized flow, u nd e r t h e first aspect, that
always bri ngs about the acc u m u l at i o n or co nj u n ction of the processes, d eterm i n e s
t h e overcod i ng, a n d serves as the b a s i s for a reterrito rial izati o n u n d e r the seco nd
aspect. . . . For exa m p l e , t h e m e rchant b o u rgeo i s i e of the cities conj ugated o r capital
ized a d o m a i n of k n owledge , a tec h n ology, assemblages and circuits i nto whose
d e p e n d e ncy the nobility, C h u rc h , a rt i s a n s , and eve n peasa nts wo u l d e nter. It is pre
cisely beca use the bou rgeoi sie was a cutting edge of d eterrito rial izatio n , a verita b l e
part i c l e accele rator, that i t a l so perfo r m ed a n ove ra l l reterrito rial izat i o n .
Desp ite t h e fact t h at their p h i l o s o p h i c a l work re pre s e n ts a n i n te n s e mov e m e n t of
destratificatio n , D e l e uze a n d G u atta ri seem to h ave p reserved t h e i r own stratu m ,
M a rx i s m , w h i c h t h ey h a r d l y to u c h or criticize (except i n t h e o b v i o u s ways - i . e . ,
p arty-o rie nted versions of it). T hey reta i n t h e co ncept o f "mode of prod u ct i o n " a n d
o f "ca p ita l i st system" defi n ed i n a top-down way as an a x i o m of d ecoded flows . I t
s e e m s to me t h a t it wo u l d be u seful t o p u s h t h e i r o w n l i n e o f fl ight e v e n fu rt h e r,
a b a n d o n i n g m o l a r co nce pts a n d d e a l i n g excl us ively with m u lt i p l icities, i n t h i s case,
po p u l atio n s of i nstitutions w h ic h d o not form a n overa l l system .
8.
Ibid. , p. 69 .
9.
G i l l e s Del e u ze, Foucault ( M i n n e a po l is : U n iversity of M i n nesota P re ss, 1986),
p. 47. G i ven t h at the develop m e n t of l a ngu ages (v ia s o rt i n g a nd c o n s o l i d a t i o n ) m ay
embody the s a m e abstract d i agram as rocks a n d biol ogi c a l species, it fol l ows that
both l i ng u i stic structu res and their referents i n rea l ity may be isomorphic. M o reover,
if t h i s d o u b l e a rticu l at i o n a l so l i n ks i nstitut i o n a l orga n izatio n s (act i ng as sorting
d e v i ces for h u m a n bodies) and t h e d i scou rses generated i n a nd by t h ese i nstitu
tions (as s u ggested by D e l e u ze's reading of Fo ucau lt) , t h e n this isomo r p h i s m m ay
be said to exist a l o n g seve ra l d i m e n s i o n s . T h i s suggests t h e poss i b i l ity of a rat h e r
novel a p p roach t o t h e a n a lysis of theories of t r u t h . S pecifica l ly, se nte nces wou ld
not co n n ect to re a l ity via corre s p o n d e nces but i s o m o r p h i s m s :
N o t o n ly do l i ngu istic vari a b l e s of expression e nte r i nto relati o n s of for m a l o p positi o n
or d i sti nction favo rabl e fo r t h e extraction o f c o n stants; non-li ngu istic v a r i a b l es o f con
tent do also. As H j e l m s l e v notes, an expre ssion i s divided, for exa m p l e , i nto pho n i c
u n its i n the same way a co nte nt is d ivided i nto soc i a l , zoologi c a l , o r physical u n its . . . .
331
A THOUSAND YEARS OF NONL INEAR HISTORY
The netwo rk of b i n a rities, or a rborescences, is a ppl icable to both s ides [L e . , content
a nd expression]. T here is, h owever, n o a n a lytic resem b l a n ce , correspo nde nce o r c o n
formity betwee n the two p l a n es . But their i n depende nce does n ot p reclude isomor
p hism . . . . (Dele u ze a nd G uattari, A Thousand Platea us, p. 108)
10.
Ibid., p. 70.
11 . G i l l es D e leuze and Felix G u atta ri, A nti-Oedipus ( N ew Yor k : V i k i n g, 1 9 7 7),
p. 42.
12.
Michel F o u ca u lt, Discipline and Punish: T h e Birth o f the Prison ( N ew Yo rk: Vin
tage, 1979), p . 139.
13.
D e leuze and G uatta ri, A Thousand Plateaus , p p . 160-6 1 .
14. O n t h e system atic d isrega rd fo r a n yt h i n g b u t l i ne a r e q u at i o n s i n science,
see for exa m p l e Ian Stewart, Does God Play Dice? T h e Mathema tics o f Chaos (Oxfo rd,
U K: Basil B l ackwe l l , 1989), p . 83. T h e re Stewart writes:
So docile a re l i n e a r eq u ations that the classical m athematicians were wi l l i ng to com
pro m i se their p hysics to get them. So the classical theo ry deals with shallow waves,
low-am plitude vi b ratio n s , small te m pe ratu re gradients . So i ngra i ned became the l i n e a r
ha bit that b y the 1940's a n d 19 50's m any scientists a nd e ngi n ee rs k n ew l ittl e e l s e . . . .
Linearity is a trap. The be havior of l i n e a r eq u ations . . . is fa r from typical. B ut if you
decide t h at o n ly l i n e a r eq u at i o n s a re worth t h i n k i ng, self-ce nsors h i p sets i n . You r text
books fi l l with t h e tri u m p h s of l i n e a r a n a lysis, its fai l u res b u ried so deep that the
graves go u n m a rked a n d t h e existence of the graves goes u n re m a rked.
F u rt h e r d i scussion of t h i s cruci a l aspect of t h e sociol ogy o f science (su p p l e m e n ted
with som e a n ecdotal e v i d e n ce) m ay be fou n d in J ames G le i c k , Chaos (New Yor k :
V i k i ng, 1 987), p p . 35-3 9 . A m o re p h i l os o p hica l d i s c u s s i o n a n d some h a rd e r evi
d e nce of "repression of the n o n l i n e a r" m ay be fou nd in Ste p he n H. K e l l e rt, In The
Wake o f Chaos (C h icago: U n iversity o f C h icago P ress, 1993), c h . 5. O n the p rol i fe ra
tion of eq u i l i b ri u m mod e l s in the social sciences, see Cyn t h i a Eagle R u ssett, The
Concept of Equilibrium in A merican Social Thought ( N ew H av e n , CT: Ya l e U n iversity
P ress, 1968).
15.
J . E. G o rd o n , The Science o f Structures and Materials ( N ew Yor k : Scientific
Am erican Books, 1 988), p. 200.
16.
D e l e uze and G u atta ri, A Thousand Plateaus, p . 330.
17.
Ibid. , p . 336.
18. Ibid. , p . 61.
1 9 . D e leuze, Foucault, p . 9 3 . T h e re D e l euze writes: "[FJor Fou cau lt as m u ch a s
N i etzsche, it i s i n m a n h i ms e l f t hat we m u st look f o r t h e set of forces a n d fu n ctions
which resi st t h e d eath o f man. S p i n oza sa id t h e re was n o tel l i ng w h at the h u m a n
body m ight a c h ieve, o n ce freed from h u m a n d is c i p l i n e . To w h i c h Fou ca u lt re p l i e s
332
NOTES
t hat t h e re is no t e l l i n g w hat m a n might a ch ieve ' a s a l iv i n g b e i ng , ' as t h e set of
forces t h at resist."
H owever, i n a footnote elsew here, Dele uze a n d G u attari d isagree with the idea
t hat t h i s d estratifying potential m ay be red uced to acts of pol itical "resista n c e " :
" O u r o n ly poi nts of d isagre e m e n t with Foucau lt a re t h e fol iowing[:] t h e d i agram a n d
t h e a bstract m a c h i n e have l i n es of fl ight w h i c h a re p r i m a ry, w h i c h a re not p h e n om
ena of resistance o r cou nterattack in an asse m b l age, but cutting edges of c reation
a nd d eterritorializatio n" ( D e l euze and G u attar i , A Thousand Plateaus, p . 5 3 1 ) .
333