我们需要解释什么

这是一组可怕的批评攻势。如果这被证明是正确的，那么斯宾塞学派的社会进化论传统，以及通过一种社会发展指数来解答“为什么西方主宰世界”这个问题的所有希望，似乎都存在致命缺陷。

准备与批评者辩论以捍卫进化论的人并不少。 ^[78] 不过，在本书中，我打算改弦易辙。过去半个世纪里出现的很多批评意见是很有道理的，值得认真对待，然而这并不意味着20世纪八九十年代出现的完全摒弃社会进化论的倾向也是正确的。在第二章中，我试图证明，如果我们认真对待这些批评，是有可能建立一种更具针对性、更具说服力的指数的。这个指数将能够避免新进化论的许多缺点，真正为我们提供一种工具，让我们看到如果我们想要知道为什么（目前）西方主宰世界，我们需要解释什么。

[1] 以下作品探讨了这些观点的历史：David Gress, From Plato to NATO: The Idea of the West and Its Opponents (New York: Free Press, 1998)。

[2] 近期在关于希腊罗马根源的文献中，以下作品得到广泛关注：Victor Davis Hanson, Carnage and Culture: Landmark Battles in the Rise of Western Power (New York: Anchor, 2001)；Roger Osborne, Civilization: A New History of the Western World (New York: Pegasus, 2008)。与此同时，以下作品支持印欧是西方文明的根源：Ricardo Duchesne, The Uniqueness of Western Civilization (Leiden: Brill, 2011)。而下述作品则赞成中世纪的欧洲人为根源：Francis Fukuyama, The Origins of Political Order: From Prehuman Times to the French Revolution (New York: Farrar, Straus and Giroux, 2011)。

[3] 以下作品可能是最具影响力的例证：Eric Jones, The European Miracle: Environments, Economies and Geopolitics in the History of Europe and Asia , 3rd ed.(Cambridge, UK: Cambridge University Press, 2003)。

[4] For example, David Landes, The Wealth and Poverty of Nations (New York:Norton, 1998).

[5] Oded Galor and Omer Moav , “Natural Selection and the Origin of Economic Growth,” Quarterly Journal of Economics 117 (2002): 1133–91; Gregory Clark,“Genetically Capitalist? The Malthusian Era and the Formation of Modern Preferences,”http://www.econ.ucdavis.edu/faculty/gclark/papers/capitalism%20genes.pdf.

[6] Gregory Cochran and Henry Harpending, The Ten Thousand Year Explosion: How Civilization Accelerated Evolution (New York: Basic Books, 2009).他们的网站为：http://westhunt.wordpress.com/。

[7] For example, Andre Gunder Frank, ReOrient: Global Economy in the Asian Age (Berkeley: University of California Press, 1998); John Hobson, The Eastern Origins of Western Civilisation (Cambridge, UK: Cambridge University Press, 2004).

[8] 关于国家结构：Bin Wong, China Transformed （Ithaca, NY: Cornell University Press, 1997）和Jean-Laurent Rosenthal and Bin Wong, Before and Beyond Divergence: The Politics of Economic Change in China and Europe (Princeton: Princeton University Press, 2011)；关于自然禀赋：Kenneth Pomeranz, The Great Divergence: China, Europe, and the Making of the Modern World Economy (Princeton: Princeton University Press, 2000)；关于自然地理和政治地理：Jared Diamond, Guns, Germs, and Steel: The Fates of Human Societies (New York: Norton, 1997)；关于思想潮流：Jack Goldstone, Why Europe? The Rise of the West in World History, 1500–1850 (New York:McGraw-Hill, 2009)。

[9] Robert W. Fogel and Stanley Engerman, Time on the Cross: The Economics of American Negro Slavery , 2 vols. (Boston: Little, Brown, 1974).

[10] Ian Morris, Why the West Rules — For Now: The Patterns of History, and What They Reveal about the Future (New York: Farrar, Straus and Giroux, 2010); http://www.ianmorris.org.

[11] Peter Turchin, Historical Dynamics: Why States Rise and Fall (Princeton:Princeton University Press, 2003), 1.

[12] 见Debraj Ray, Development Economics (Princeton: Princeton University Press, 1998)；Yujiro Hayami, Development Economics: From the Poverty to the Wealth of Nations (Oxford: Oxford University Press, 2001)；以及众多其他文献。

[13] Kenneth Pomeranz, “How Big Should Historians Think? A Review Essay on Why the West Rules — For Now by Ian Morris,” Cliodynamics 2 (2011): 307–9; Michael Mann, The Sources of Social Power I: A History of Power from the Beginning to AD 1760 (Cambridge, UK: Cambridge University Press, 1986).

[14] 这是John Gerring的表达方式，见John Gerring, Social Science Methodology (Cambridge, UK: Cambridge University Press, 2001), 80。

[15] 如我在以下文本中所阐述的：Morris, Why the West Rules , 144。

[16] 对我影响尤其深刻的有：Marvin Harris, The Rise of Anthropological Theory (New York: Crowell 1968); Adam Kuper, Anthropology and Anthropologists , 2nd ed.(London: Routledge Kegan Paul, 1983); Stephen Sanderson, Social Evolutionism: A Critical History (Oxford: Blackwell, 1990)；Bruce Trigger, Sociocultural Evolution (Oxford: Blackwell, 1998)； A History of Archaeological Thought , 2nd ed. (Cambridge, UK: Cambridge University Press, 2006)。

[17] Herbert Spencer, “Progress: Its Laws and Cause,” Westminster Review 67(1857): 445–85.在以下文本中可见精彩论述：Mark Francis, Herbert Spencer and the Invention of Modern Life (Ithaca, NY: Cornell University Press, 2007)。

[18] Herbert Spencer, The Principles of Sociology , 3 vols. (New York: Appleton,1874–96).

[19] Edward Tylor, Primitive Culture: Researches into the Development of Mythology, Philosophy, Religion, Language, Art and Custom, 2 vols. (London: John Murray,1871); Lewis H. Morgan, Ancient Society, or Researches in the Lines of Human Progress from Savagery through Barbarism to Civilisation (1877; repr., Gloucester,MA: Peter Smith, 1974); Friedrich Engels, The Origins of the Family, Private Property and the State, in the Light of the Researches of Lewis H. Morgan (1884; repr., London:Lawrence & Wishart, 1972).

[20] Kristian Kristiansen, “Genes versus Agents: A Discussion of the Widening Theoretical Gap in Archaeology,” Archaeological Dialogues 11 (2004): 77–132.

[21] For example, Arthur Radcliffe-Brown, A Natural Science of Society (1936;repr., Glencoe, IL: Free Press, 1957).

[22] Bruce Trigger, Gordon Childe: Revolutions in Archaeology (London: Thames& Hudson, 1980).

[23] V. Gordon Childe, The Dawn of European Civilisation , 1st ed. (London: Kegan Paul, 1925).

[24] V. Gordon Childe, Man Makes Himself (London: Watts & Co., 1936); What Happened in History (Harmondsworth, UK: Penguin, 1942); Social Evolution (London:Watts & Co., 1951).

[25] William Peace, “Vere Gordon Childe and American Anthropology,” Journal of Anthropological Research 44 (1988): 417–33.

[26] Walt W. Rostow, The Stages of Economic Growth: A Non-Communist Manifesto ,1st ed. (Cambridge, UK: Cambridge University Press, 1960).

[27] Talcott Parsons, “Evolutionary Universals in Society,” American Sociological Review 29 (1964): 339–57; Societies: Evolutionary and Comparative Perspectives (Englewood Cliffs, NJ: Prentice Hall, 1966); The System of Modern Societies (Englewood Cliffs, NJ: Prentice Hall, 1971).

[28] For example, Anthony D. Smith, The Concept of Social Change: A Critique of the Functionalist Theory of Social Change (London: Routledge Kegan Paul, 1973),135–45; Christopher Lloyd, Explanation in Social History (Oxford: Blackwell, 1986), 213.

[29] Leslie White, “Energy and the Evolution of Culture,” American Anthropologist 45 (1943): 335–56; The Science of Culture (New York: Grove Press, 1949); The Evolution of Culture (New York: McGraw-Hill, 1959).

[30] White, Science of Culture , 390–91.

[31] Sebald Steinmetz, “Classifi cation des types sociaux,” L’Année Sociologique 3(1898–99): 43–147.

[32] Hans J. Nieboer, Slavery as an Industrial System (The Hague: Nyhoff, 1910);Leonard Hobhouse et al., “The Material Culture and Social Institutions of the Simpler Peoples,” So ciological Review 7 (1914): 203–31, 332–68, 同名书籍由Chapman and Hall, London于1930年出版。

[33] Carleton Coon, A Reader in General Anthropology (New York: Holt, 1948),612–13; Raoul Naroll, “A Preliminary Index of Social Development,” American Anthropologist 58 (1956): 687–715.

[34] http://www.yale.edu/hraf/; Melvin Ember, “Evolution of the Human Relations Area Files,” Cross-Cultural Research 31 (1997): 3–15; Carol Ember and Marvin Ember, Cross-Cultural Research Methods (Walnut Creek, CA: AltaMira, 2001).

[35] Charles Darwin, Voyages of the Adventure and Beagle , vol. 3 (London: Henry Colburn, 1839), chap. 10.

[36] Robert Carneiro, “Scale Analysis as an Instrument for the Study of Cultural Evolution,” Southwestern Journal of Anthropology 18 (1962): 149–69.

[37] Robert Carneiro, “The Measurement of Cultural Development in the Ancient Near East and in Anglo-Saxon England,” Transactions of the New York Academy of Sciences Series 231 (1969): 1013–23.

[38] For example, Edgar Bowden, “A Diensional Model of Multilinear Sociocultural Evolution,” American Anthropologist 67 (1969): 864–70; Robert Carneiro, “Ascer taining, Testing, and Interpreting Sequences of Cultural Development,” Southwestern Journal of Anthropology 24 (1968): 354–74, and “Scale Analysis, Evolutionary Sequences, and the Rating of Cultures,” in Naroll and Cohen, Handbook of Method in Cultural Anthropology , 834–71; Edwin Erickson, “Other Cultural Dimensions: Selective Rotations of Sawyer and LeVine’s Factor Analysis of the World Ethnographic Sample,” Behavior Science Notes 7 (1972): 95–155; Linton Freeman and Robert Winch,“Societal Complexity: An Empirical Test of a Typology of Societies,” American Journal of Sociology 62 (1957): 461–66; Charles McNett, “A Settlement Pattern Scale of Cultur al Complexity,” in Naroll and Cohen, Handbook of Method , 872–86, “A Cross-Cultural Method for Predicting Nonmaterial Traits in Archeology,” Behavior Science Notes 5(1970): 195–212, and “Factor Analysis of a Cross-Cultural Sample,” Behavior Science Notes 8 (1973): 233–57; George Murdock and Caterina Provost, “Measurement of Cul tural Complexity,” Ethnology 12 (1973): 379–92; Raoul Naroll, “The Culture-Bearing Unit in Cross-Cultural Surveys,” in Naroll and Cohen, Handbook of Method , 721–65;Jack Sawyer and Robert LeVine, “Cultural Dimensions: A Factor Analysis of the World Ethnographic Sample,” American Anthropologist 68 (1966): 708–31; Terrence Tatje and Raoul Naroll, “Two Measures of Societal Complexity,” in Naroll and Cohen, Handbook of Method , 766–833.

[39] 关于丧葬情况，见：Arthur Saxe, “Social Dimensions of Mortuary Practices”(PhD thesis, University of Michigan, 1970); Lewis Binford, “Mortuary Practices:Their Study and Their Potential,” in James Brown, ed., Approaches to the Social Dimensions of Mortuary Practices (New York: Memoirs of the Society for American Archaeology 25, 1971), 6–29; Joseph Tainter, “Social Inference and Mortuary Practices:An Experiment in Numerical Classifi cation,” World Archaeology 7 (1975): 1–15 and“Mortuary Practices and the Study of Prehistoric Social Systems,” Advances in Archae ological Method and Theory 1 (1978): 105–41。关于定居模式，见：Kent Flannery,“The Cultural Evolution of Civilizations,” Annual Review of Ecology and Systematics 3 (1972): 399–426; Gregory Johnson, Local Exchange and Early State Development in Southwest Iran (Ann Arbor, MI: Museum of Anthropology Occasional Papers 51, 1973);Henry Wright and Gregory Johnson, “Population, Exchange, an Early State Formation in Southwestern Iran,” American Anthropologist 77 (1975): 267–89。

[40] Robert Carneiro, Evolutionism in Cultural Anthropology (Boulder, CO:Westview, 2003), 167–68.

[41] Elman Service, Primitive Social Organization: An Evolutionary Perspective ,1st ed. (New York: Random House, 1962); Morton Fried, The Evolution of Political Society: An Essay in Political Anthropology (New York: Random House, 1967).

[42] 关于新制度经济学，见：Douglass North, Structure and Change in Economic History (New York: Norton, 1981); Douglass North et al., Violence and Social Orders: A Conceptual Framework for Interpreting Recorded Human History (Cambridge, UK: Cambridge University Press, 2009), 以上都是经典之作。关于苏联集团，见Don Karl Rowney, ed., Soviet Quantitative History (Beverly Hills, CA: Sage, 1984)。

[43] Michael Rowlands, “A Question of Complexity,” in Daniel Miller et al., eds., Domination and Resistance (London: Allen & Unwin, 1988), 29–40.

[44] Carneiro, Evolutionism , 286.

[45] Robert Dunnell, “Evolutionary Theory and Archaeology,” Advances in Archaeological Method and Theory 9 (1980): 50.

[46] Robert Boyd and Peter Richerson, Culture and the Evolutionary Process (Chicago: University of Chicago Press, 1985)，和William Durham, Coevolution: Genes, Culture, and Human Diversity (Stanford: Stanford University Press, 1991) 对于开启这一进程尤为重要。

[47] Diamond, Guns, Germs, and Steel .

[48] 在众多例证中仅列举少量。政治学方面：Fukuyama, Origins of Political Order 和Daron Acemoglu and James Robinson, Why Nations Fail (New York: Crown Books, 2012)。经济学方面：Geerat Vermeij, Nature: An Economic History (Princeton: Princeton University Press, 2004) 和 The Evolutionary World: How Adaptation Explains Everything from Seashells to Civilization (New York: Thomas Dunne/St. Martin’s, 2010)。宗教哲学方面：David Sloan Wilson, Darwin’s Ca thedral: Evolution, Religion, and the Nature of Society (Chicago: University of Chicago Press, 2002), Daniel Dennett, Breaking the Spell: Religion as a Natural Phenomenon (New York: Simon & Schuster, 2006) 和Richard Dawkins, The God Delusion (New York: Houghton Mifflin Harcourt, 2007)。心理学方面：Susan Blackmore, The Meme Machine (Oxford: Oxford University Press, 1999) 和Steven Pinker, The Blank Slate: The Modern Denial of Human Nature (New York: Viking, 2002) 及 The Better Angels of Our Nature: Why Violence Has Declined (New York: Penguin, 2011)。考古学方面：Stephen Shennan, Genes, Memes and Human History: Darwinian Archaeol ogy and Cultural Evolution (London: Thames & Hudson, 2002)。人类学方面：Peter Richerson and Robert Boyd, Not by Genes Alone (Chicago: University of Chicago Press, 2005)。历史学方面：David Christian, Maps of Time: An Introduction to Big History (Berkeley: University of California Press, 2004), Albert Crosby, Ecological Imperialism , 2nd ed. (Cambridge, UK: Cambridge University Press, 2003) 和 Children of the Sun: A History of Humanity’s Unappeasable Appetite for Energy (New York:Norton, 2006), 以及Charles Mann, 1491: New Revelations of the Americas Before Columbus (New York: Knopf, 2005) 和 1493: Uncovering the New World Columbus Created (New York: Knopf, 2011)。

[49] Samuel Bowles and Herbert Gintis, A Cooperative Species: Human Reciprocity and Its Evolution (Princeton: Princeton University Press, 2011); Alex Mesoudi, Cultural Evolution: How Darwinian Theory Can Explain Human Culture & Synthesize the Social Sciences (Chicago: University of Chicago Press, 2011).

[50] Randall McGuire, “Breaking Down Cultural Complexity,” Advances in Archaeological Method and Theory 6 (1983): 91–142.

[51] See Ian Hodder, Symbols in Action (Cambridge, UK: Cambridge Univer sity Press, 1982), 163–70, Ellen Jane Pader, Symbolism, Social Relations and the Interpretation of Mortuary Remains (Oxford: British Archaeological Reports, 1982),Michael Parker Pearson, “Mortuary Practices, Society and Ideology,” in Ian Hodder,ed., Symbolic and Structural Archaeology (Cambridge, UK: Cambridge University Press, 1982), 99–113, and Christopher Carr, “Mortuary Practices: Their Social,Philosophical-Religious, Circumstantial, and Physical Determinants,” Journal of Archaeological Method and Theory 2 (1995): 105–200.

[52] See Ernest Gellner, Nations and Nationalism (Oxford: Blackwell, 1983).

[53] Charles Tilly, Big Structures, Large Processes, Huge Comparisons (New York:Russell Sage Foundation, 1984), 46–50.

[54] Ian Morris, “Economic Growth in Ancient Greece,” Journal of Institutional and Theoretical Economics 160 (2004): 709–42 and “The Greater Athenian State,” in Morris and Scheidel, Dynamics of Ancient Empires , 99–177; Josiah Ober, Democracy and Knowledge: Innovation and Learning in Classical Athens (Princeton: Princeton University Press, 2008) and “Wealthy Hellas,” Transactions of the American Philological Association 140 (2010): 241–86.

[55] Ian Morris, Death-Ritual and Social Structure in Classical Antiquity (Cambridge, UK: Cambridge University Press, 1992), 108–55.

[56] Tilly, Big Structures , 48; Anthony Giddens, The Constitution of Society: Outline of the Theory of Structuration (Stanford: Stanford University Press, 1984), xxxvi–xxxvii, 263–74.

[57] For example, Per Bak et al., “Self-Organized Criticality,” Physical Review 38(1988); Murray Gell-Mann, The Quark and the Jaguar (New York: Freeman, 1994);John Holland, Hidden Order: How Adaptation Builds Complexity (Cambridge, MA: Perseus Books, 1995); Harold Morowitz, The Emergence of Everything: How the World Became Complex (New York: Oxford University Press, 2002).

[58] For example, John Miller and Scott Page, Complex Adaptive Systems: An Introduction to Computational Models of Social Life (Princeton: Princeton University Press, 2007); Scott Page, Diversity and Complexity (Princeton: Princeton Universit y Press, 2010).

[59] 仍然只从大量文献中选取一小部分。人类学方面：Peter Richerson and Robert Boyd, “Complex Societies: The Evolutionary Dynamics of a Crude Superor ganism,” Human Nature 10 (2000): 253–89。考古学方面：Alexander Bentley and Herbert Maschner, eds., Complex Systems and Archaeology (Salt Lake City: Uni versity of Utah Press, 2003) 和Arthur Griffi n, “Emergence of Fusion/Fission Cycling and Self-Organized Criticality from a Simulation Model of Early Complex Polities,” Journal of Archaeological Science 38 (2011): 873–83。管理学方面：Dennis Tafoya, The Effective Organization: Practical Application of Complexity Theory and Organi zational Design to Maximize Performance in the Face of Emerging Events (London:Routledge, 2010) 和Wanda Curlee and Robert Gordon, Complexity Theory and Project Management (New York: Wiley, 2010)。经济学方面：Eric Beinhocker, The Origin of Wealth: Evolution, Complexity, and the Radical Remaking of Economics (Cambridge,MA: Harvard Business School, 2010)。历史学方面：Christian, Maps of Time 和Turchin, Historical Dynamics 。国际关系学方面：Neil Harrison, ed., Complexity in World Politics (Albany: State University of New York Press, 2007) 和Alexander Wendt, “Why a World State Is Inevitable,” European Journal of International Relations 9 (2003): 491–542。

[60] Giddens, Constitution , 231–36.

[61] Quoted in Mesoudi, Cultural Evolution , 46.

[62] For example, Patrice Teltser, ed., Evolutionary Archaeology (Tucson:University of Arizona Press, 1995), Herbert Maschner, ed., Darwinian Archaeologies (New York: Academic Press, 1996), and Shennan, Genes.

[63] Robert Leonard, “Evolutionary Archaeology,” in Ian Hodder, ed., Archaeological Theory Today (Oxford: Blackwell, 2001), 72.

[64] See, for example,Robert Dunnell, “What Is It That Actually Evolves?” in Teltser, Evolutionary Archaeology , 33–50.

[65] Michael Shanks and Christopher Tilley, Archaeology and Social Theory (Oxford: Polity, 1987), 164.

[66] Colin Renfrew, “Monuments, Mobilization and Social Organization in Neolithic Wessex,” in Colin Renfrew, ed., The Explanation of Culture Change (London:Duckworth, 1973), 539–58; Christopher Peebles and Susan Kus, “Some Archaeological Correlates of Ranked Societies,” American Antiquity 42 (1977): 421–48.

[67] 夏威夷酋邦就是一个很好的例证：Timothy Earle, “A Reappraisal of Redistribution,” in Timothy Earle and J. Ericson, eds., Exchange Systems in Prehistory (New York: Academic Press, 1977), 213–29, and “Chiefdoms in Archaeological and Ethnohistorical Perspective,” Annual Review of Anthropology 16 (1987): 279–308; R.H. Cordy, A Theory of Prehistoric Social Change (New York: Academic Press, 1981)。Patrick Kirch, How Chiefs Become Kings: Divine Kingship and the Rise of Archaic States in Ancient Hawai’i (Berkeley: University of California Press, 2010), 以上文本描述了学者们目前对夏威夷酋邦的看法。

[68] Gary Feinman and Jill Neitzel, “Too Many Types: An Overview of Sedentary Prestate Societies in the Americas,” Advances in Archaeological Method and Theory 7(1984): 77.

[69] Robert Drennan, “Regional Demography in Chiefdoms,” and Stedman Upham,“A Theoretical Consideration of Middle Range Societies,” both in Robert Drennan and C. Uribe, eds., Chiefdoms in the Americas (Lanham, MD: University Press of America, 1987), 307–23, 345–67.

[70] For example, Robert Chapman, Archaeologies of Complexity (London:Routledge, 2003), 41–59.

[71] Elman Service, Origins of the State and Civilization (New York: Academic Press, 1975), 3–4.

[72] Norman Yoffee, Myths of the Archaic State (Cambridge, UK: Cambridge University Press, 2005), 22–31.

[73] Mann, Sources of Social Powe r, 17; Giddens, Constitution, 164; cf. Giddens, A Contemporary Critique of Historical Materialism , 2nd ed. (Stanford: Stanford University Press, 1995), 42–48.

[74] Akhil Gupta and James Ferguson, “Culture, Power, Place,” in Akhil Gupta and James Ferguson, eds., Culture, Power, Place (Durham, NC: Duke University Press, 1997), 4.

[75] David Clarke, Analytical Archaeology , 2nd ed., revised by Robert Chapman(London: Methuen, 1978), 247.

[76] Michael Shanks and Christopher Tilley, Re-Constructing Archaeology: Theory and Practice , 2nd ed. (London: Routledge, 1992), 58.

[77] Mark Granovetter, “Economic Action and Social Structure: The Problem of Embeddedness,” American Journal of Sociology 91 (1985): 481–510.

[78] 对此，以下作品发出了尤其强烈的捍卫之声：Trigger, Sociocultural Evolution , and Carneiro, Evolutionism 。 SwV1BdzMEtSaMyzMSnvje19lJ5De0qbbB3pE45kPhqg7ObMXOZl7EtH5ImDy1CGA