Carneiro, Robert L. "A Theory of the Origin of the
State." Studies in Social Theory No 3. Menlo Park, CA:
Institute for Humane Studies, 1977. 3-21
ISSN: 0148-656X
i
A Theory of the Origin
of the State
Robert L. Carneiro
Studies in Social Theory No. 3
Born in New York City in 1927, the author earned his
doctoral degree in anthropology from the University of Mich-
igan in 1957. He has taught at the University of Wisconsin,
Hunter College, Columbia University. the University of Cali-
fornia at Los Angeles. and Pennsylvania State University.
Since 1969 he has been curator of South American ethnology
in the Department of Anthropology at the American Museum
of Natural History, New York, N.Y.
In addition to publishing a number of articles, principally
in the fields of cultural evolution and .4mazonian ethnology,
Dr. Carneiro is also the co-editor of- the Science 4-.
Ctc!tnre in No?tor of Leslie A. W??ite ( 1960), and editor of The
Evolutio/l of Society,; Selections from Herbert Spencer's
Prirzciples of Sociology. ( 1967).
A Theory of the Origin of the State
For the first 2 million years of his existence, man lived in
bands or villages which, as far as we can tell, were completely
autonomous. Not until perhaps 5000 B.C. did villages begin
to aggregate into larger political units. But, once this process
of aggregation began. it continued at a progressively faster
pace and led. around 4000 B.C., to the formation of the first
state in history. (When I speak of a state I mean an autono-
mous political unit, encompassing many communities within
its territory and having a centralized government with the
power to collect taxes, draft mtn for work or war. and decree
and enforce laws.)
This essay first appeared in Science, Vol. 169, pp.
Although it was by all odds the most far-reaching political
733-738. 21 August 1970, and is reprinted with permission.
development in human histor),. the origin of the state is still
verb' imperfectly understood. Indeed, not one of the current
theories of the rise of the state is entirely satisfactor)<. At one
point or another, all of them fail. There is one theory,
- -. - _ - - __- ___. rhough, which 1 believe does provide .a convincing .e&~lans-
tlon of how states began. IT ic a theory which I proposed
once before ( I t. and which 1 present here more fully. Before
doing so, ho\+ever. it seem\ de,ir:,ble to di\cuss. if only
brietlv. a few of the traditions1 th<ni-irs.
rz..,:; `fL.ILIiIcIL :i:ru:ieh Of tlie Q:-;giy> of- the s;a:: a r c re!st:vely
modern. Classical w,riter\ like Aribtotle. unfamiliar w.ith other
f`orm5 of political organizatii il. t;lnded to think of the state
a> "na~.~ial," and therefore ;:L ::;\I !-quiring an explanation.
5I?;v;;\?r. th: `isi; (li`r'X;Tic,i.I! `:i. `,J tlldking FLirOFt'dllS 3i'~;iTZ
. 1,....; ;:;;::x; ;-;`pj:`> !!bi, ,!,trll,l"i 7;:. "?-" .' v.,~rlil lived. not in atats5.
;bL r 1:: in&p..,-"l`JLJ.`I!{ Ql&c'S cl'- !::i!;". Tl;itiz, tile ,!iflC .4i'Cfil Its
' .: '.ir.!i. 2nd t!i;;z i?lOrt ii; I:??,! 0:. : \.pl;i:lation.
0:. lhc rn~:)! rnodr'r:; tj!r.-:~;. i.i! 5tdtc origin5 thlir h3vt'
,. .. . j`r(`?(-?\. .: \iL L.1.. ,L'!.`:.;,r tsj:I:\. J fe\v, Th05c v/it!! ::
i 37 s,;>,. . . I . . ; >I T'\.;i;:;;\`i, ,!Tr . `; XC\ t!!oroughl>, dixrsdltec!
that they need not be dealt with here. W'e can alio reject the
belief that the state is an expression of the "genius" of a
people (?), or that it arose through a "historica! accident."
Such notions make the state appear to be somrrhing meta-
physical or adventitious, and thus place it beyond scientific
understanding. In my opinion, the origin of the state was
neither mysterious nor fortuitous. It was not the product of
"genius" or the result of chance.(but the outcome of a'
regular and determinate cultural process. Moreover, it was
not a unique event but a recurring phenomenon: states arose
independently in different places and at different times.
JWhere the appropriate conditions existed, the state emerged.
Voluntaristic Theories
Serious theories of state origins are of two general types:
vollinraristic and coerciw Voluntaristic theories hs!d that. at
some point in their history, certain peoples spor.taneously.
rationally. and voluntaril!. gave up their individuii sovereign-
ties and united \vith other communities to fo- a larger
political unit deservin,(7 to he called a state. Of su:h theories
the best kr~own is.thz-.wtd Social Contract theor!. which was -
associateJ :~~pi'ci311>. \vitll ihe R~ITI~ of ROU>FCZL. II'S TION
know that :lo sLlci1 compact was ever subsxibed IC by human
groups. ;!:!i: I!~C Socl:!l Contract theory i> t&a>, ncr.i,ing more
than a hi\r<~il;,i ~.uric~~!:!
The I;:\:`. :' IL;";\ `.,I- '2; .t~;~!.eu <1, ;::`dce':`:; :~lUntar.~::; t!.c:,:ict
is the on: I c.,ii! the "3titomatic" theor?,. Accor.3ing to this
tlisory. tii: 1: l::li.Lr!i pi' dy;ulture autcniatick:.;: krought
into hei:;< ,, ,::rp!.;~ o!` food. enabling some i:;i:,:id.Lia!5 :Q
di\ c~rw r: I' .I\ :: 1. 1 fT~c)ii prOJ:I,`li:Y;: S!i.i * :tc;L':;;r'
nnfl..r.,.< ,\..,.,. ?.;. . -: . . . . . ::>L!.<`;:' ,,:,J i \ `,:I 111: -.~`d.ino in-. . . . . . . . : _. - - "`t ....
exteIis!\.e cl, - .' ,' 1.:' .`T. (,):;I Of [iI!\ o,;apar!~::.l: >;>(;]-I!-
zatinn thr`:, `. 2, ,. . . ;\oi:tiid! L1I~*~tt'~i:!~iOIl \j'!:.-F. i;niteL! 2
nlJnii-s?l i.>Y i". j :i:;~7;!IJCIii iomrxJnitir5 :: `-1 L: > ,:;.I
Ti!i\ arrl,. . . ,:i..I Y,,?.I t`!r< _I?!!ti\ `-
.
,. rl,e iaii
Bl;ll>i- + .- :' 1.3.. . . . 1 . . .i 1:; c.-!:!;,Jf. I; ,-
3
The principal difficulty with this theory is that agriculture
does not automatically create a food surplnj. We know this
because many agricultural peoples of the \\.orld produce no
such surplus. Virtually all Amazonian Indians. for example,
were agricultural, but in aboriginal times they did not pro-
duce a food surplus. That it was rechrzicall~~ feasible for them
to produce such a surplus is shown by ths fact that. under
the stimulus of Eurc'pean settlers' desire for food, a number
of tribes did raise maniac in amounts well above their own
needs, for the purpose of trading (4). Thus the technical
means for generating a food surplus were there; it was ,the
social mechanisms needed to actualize it that were lacking.
Another current voluntaristic theory of stats origins is Karl
Wittfogel's "hydraulic hypothesis." As I understand him,
\+`ittfogel sees the state arising in the following way. In
certain arid and semiarid areas of the world. where village
farmers had to stru;:gle to support themselves by means of
small-scale irrigationya time arrived when the!, saw that it
would be to the advantage of all concerned to set aside their
individual autonomies and merge their villages into a single
large political unit capable of carrying out irrigation on a
broad scale. The body of officials they crcat:d to deviseand
%lminister such extensive irrigation work5 brought the state
Into being ! 5).
this rule. Thus. in order to account for the origin of the state
vire must set a>!& voluntaristic theories and look elsewhere.
Coercive Theories
A close examination of hi~;tory indicates that only a coer-
cive theory can account for the rise of the state. Force, and
not enlightened self-interest. is the mechanism by which
political evolution has led. step by step, from autonomous
villages to the state.
`The
i
view that war lies at the root of the state is by no
eans new. Tv+.enty-five hundred years ago Heraclitus wrote
that "war is the father of all things." The first careful study
Pi9f the role of \iarfare in the rise of the state, hov+,ever. was
made less than a hundred y.i>ars ago. by, Herbert Spencer in
his Principles 0-f Sociologic t 8). Perhaps better known than
Spencer's writings on \i'ar and the state are the conquest
theories of continental writers such as Lud\vig Gumplowicz
(9): Gustav Ratzenhofer (10). and Franz Oppenheimer (1 1).
Oppenheimer. for example. argued that the state emerged
when the productive capa city. of settled agriculturists was
ranbined with ~the-energy of pastoral nomads through the
conquest of the I`ibrmer by t!ie latter (I I, pp. 51-55). This
?h?O!J': hob,ever. has two bzri ous defects. First, it fails to
account for the r&e of. stat?> in aboriginal .4merica. where
n?storal nomadism u-as unknown. Second. it is now wel!t,-.
established that pastoral nomadism did not stise in the Old
\Yor!d until after the earliest `!ates had emerged.
r
sgardless of deficiencies in pariicular coercive theories.
~~~\\~~ver there is litrle auesticJ,n that. in onz. 1% ::l: or another,.iI L . 1
X.!r play.ed a d?:i<l\e role in t1.e ri>e of tlie <i,ilc. lii~lirri~al 01
a; ;iizoiogicai 2yitiellCe 01' u';lr i, r'ound in Ihc ririy, stages 01.
>l;ite formation in Mesopotamia. Ep,pt. India. China. Japan.
"v-31-0 Ron;:. ~~s:t!;c;;; !-;:crc. <e;;:rsl .\f;iLd. p~;!:~.;~<<i;..ilLLLL.
\?iJdle Ameri;. Peru. and C`c~!cmhia. 10 name only- the most
._ , i:ii;1nent e\a;npies.
especially in mind, Edward Jenks observed that, "historically
speaking, there is not the slightest difficulty in proving that
all political communities of the modern type [that is, states]
ou'e their existence to successful warfare" (12). And in
reading Jan Vansina's Kingdom of the Savanna (13), a book
with no theoretical ax to grind, one finds that state after
state in central Africa rose in the same manner.
But is it really true that there is no exception to this rule?
Might there not be, somewhere in the world, an example of a
state which arose without the agency of war?
Until a few years ago. anthropologists generally believed
that the Classic Maya provided such an instance. The arche-
ological evidence then available gave no hint of warfare
among the early Maya and led scholars to regard them as a
peace-!oving theocratic state which had arisen entirely, with-
out war (14). However, this view is no longer tenable. Recent
archeological discoveries have placed the Classic Maya in a
very different light. First came the discovery of the Bonam-
pak murals, showing the early Maya at war and reveling in the
torture of war captives. Then, excavations around Tikal re-
vealed large earthworks partly surrounding that Classic Maya
, city, pointing clearly to a military .-ivalry with the neigh-
boring city of Uasacttin (15). Summarizing present thinking
on the subject. h
f
ichael D. Coe has observed that "the ancient
Maya were just as warlike as the . bloodthirsty states of the
Post-Classic" ( 16).
`et.
c'
though warfare is surely a prime mover in the origin
0. the state, i+ cannot be the only factor. After all, wars have
been fought in many parts of the world where the state never
emerged. Thus. while warfare may be a necessary condition
for the rise of the state. ir is not a sufficient one. Or. to put ii
a;lnother way', while vve can identify war as the ~~$ch;?lis~ of
s%ie fOrriialiGE, G'S? Iieed A150 10 Specify til? (Ci)ldilLC~!iJ U!ldC'i
u,hich it gave rise to the slate.
Environmental Circumscription
appro >;I, is to look for tt-ose factors common to areas of the
world in v,,hich states arose indigenously - areas such as the
Nile, Tigris-Euphrates, and Indus valleys in the Old World and
the VJley of Mexico and the mountain and coastal valleys of
Peru in the New. These areas differ from one another in
many. ways - in altitude, temperature, rainfall, soil type,
drainage pattern, and many other features. They do, how-
ever. have one thing in common: they are all areas of circum-
scribed agricu/ruraI lam!. Each of them is set off by moun-
tains. seas. or deserts, ar,d these environmental features sharp-
ly delimit the area that simple farming peoples could occupy
and cu!tivate. In this respect these areas are very different
from. sky, the Amazon basin or the eastern woodlands of
North America, where extensive and unbroken forests pro-
vided almost unlimited agricultural land.
But w,hat is the significance of circumscribed agricultural 1
land for the origin of the state? Its significance can best be
understood by comparing political development in two re-
gions of the world having contrasting ecologies - one a
regjon wjth circumscribed agricultural land and the other a
.regior: where there was extensive and unlimited land. The
two arr"s I have chosen to use in making this comparison are
the coastal valleys of Peru and the Amazon basin.
Our examination begins at the sta e where agricultural
comm;mtier were already present bu$where each was still
COIllpi?i:!\- autonomous. Looking first at the Amazon basin,
we 5:~ t!:nt agricultural villages there were numerous, but
wide!!, dispersed. Even in areas with relatively dense cluster-
ing. 1il.e r!?e Lrpper Xingti basin, villages bvere at least 10 or 15
miles cp;jrt. Thus. the typical Amazonian community, even
though IT practiced a simple form of shifting cultivation
w.hi<l: -:,:;;;rzd extensive amounts of land. still had around it
aii ti,: :,::. \i iand needed for its gardens i i 7i. For Xmazonia
a> a w .,-ii<. then. population density wa> low and subsistence
prcs<l:-; :\` r!:e land w2.s s!ight.
H ."`,`.. .V.ZL certd!::ly frequent in Amazonra. but it was
&-a,`- f-l..,,r-,-?... / _ ".... .._ L,! revenge. the tskmg c? w~mzn. the
f&i!-: r ,' v.,-"`rLlil&] j:r<stigs,f -A and nioiives of 2 s.,mi!4r sort.
.
There being no shortage of land. there was. by and large. no
warfare over land.
The consequences of the type of warfare thtit did occur in
Amazonia were as follows. A defeated group was not. as a
rule, driven from its land. Nor did the victor make any real
effort to subject the vanquished, or to exact tribute from
him. This would have been difficult to accomplish in an}
case, since there was no effective way to prevent the losers
from fleeing to a distant part of the forest. Indeed. defeated
villages often chose to do just this. not so much to avoid
subjugation as to avoid further attack. With settlement so
sparse in Amazonia, a new area of forest could be found and
occupied with relative ease, and without trespassing on the
territory of another village. Moreover, since virtually any area
of forest is suitable for cultivation, subsistence agriculture
cou!d be carried on in the new habitat just about as well as in
the old.
It was apparently by this process of fight and flight that
horticultura! tribes gradually spread out until they came to
cover. thinly but extensively, almost the entire Amazon
basin, Thus. under the conditions of unlimited agricultural
land and low population density that prevailed in Amazonia.
the effect of warfare was to disperse villages over a wide area.
and to keep them autonomous. With only a very few escep-
tions. noted below, t!:ere wtis no tendency in Amazonia for
villages to be held in pl ace and to combine into larger
political units.
.
In marked contrast rn the situatron in Amazoni w'erc the
event\ that transpired in the narrow r,alleys of the Pcrul.isn
coast. The reconstruction of- these events that I present is
admittedly inferential. but I think it is consistent w.ith the
ariheologi<al cv idencc.
C)
8
and flanked on either side by desert as dry as any in the
world. Nowhere else, perhaps, can one find agricultural val-
leys more sharply circumscribed than these.
As with neolithic communities generally, villages of the
Peruvian coastal valleys tended to grow in size. Since autono-
mous villages are likely to fission as they grow, as long as land
is available for the settlement of splinter communities, these
villages undoubtedly split from time to time (19). Thus,
villages tended to increase in number faster than they grew in
size. This increase in the number of villages occupying a
valley probably continued, without giving rise to significant
changes in subsistence practices. until all the readily arable
land in the valley was being farmed.
At this point two changes in agricultural techniques began
to occur: the tiiiing of land already under cultivation was
intensified. and new, previously unusable land was brought
under cultivation by means of terracing and irrigation (20).
Yet the rate at which new arable land was created failed to
keep pace with the increasing demand for it. Even before the
land shortage became so acute that irrigation began to be
practiced systematically. villages were undoubtedly already
fiirhting one another over land. Prior to this time. when
agricultural villages were still few in number and well sup-
plied with land. the warfare waged in the coastal val]elrs of
Perii had* probably been of mu& t!:e ~rne t>,pe 2:: that
described above for .4mazonis. With mcreaslng pr<>>ure of
human population on the land. howe\.et-. rh? major incenti\.e
for war changed from a deyirr' for revenge to a t~t'd 3IO
asand And. as the causes of` WIT becams prcdomi-
nantly economic. the irequenc). intenait>.. and import;lnse of
war increased.
Chnc.2 Iill\ ildcgc M~C r:J!,hfd. L' P~r!r\7Jr? \iiia@J I!i.!! jCh! a
\var faced c~:l~~!tir'ni<~ \-er! dJ~`i`~~r;~ni i`r,lm those fJL-cd t-1, a
defeatPa- ~ill~c+ in i\!l;-?-!?i-. .!-!;r`re, zb, \.t.e !>at.,e se-,`::. !!leI.. - "...t.
vanquished <~ulJ TIC:, 1C.l ;: TIC'\\ ls;.ils. cL:khiirinf t!!"r;, h!`io::t
a s ~peli 25 t!ic! h a d h:~b-:ht~;i t\=tc)r:. a n d rt'ial:;;r;g rh?~r
indrpcnden;:, I n Ptx. /Jt;v.;`? $`T tilix ci 1.' Ti? 3 t I \ r \\ :! \ q :i
longer opcr: t o t]!r ~r.:;~i\~:.!":~ <I: J~;C>tzd vl!i;<:,. T::?
mountains, the desert. and the sea - to say nothing of
neighboring villages - blocked escape in every direction. A
village defeated in war thus faced only grim prospects. If it
was allowed to remain on its own land. instead of being
exterminated or expelled, this concession came only at a
price. And the price was political subordination to the victor.
This subordination generally entailed at least the pa).,ment of
a tribute or tax in kind. which the defeated village could
provide only by producing more food than it had produced
before. But subordination sometimes involved a further loss
of autonomy on the part of the defeatsd village - namely.
incorporation into the political unit dominated by the, victor.
Through the recurrence of warfare of this type. we see
arising in coastal Peru intsgrated territorial units trsr,scrnding
the village in size and in degree of organization. Po]iti<al
evolution was attaining the level of the chiefdom.
As land shortages continued and became even mar? acute.
so did warfare. Xow, however. the competing units v.`ere no
longer small villages but. often. large chlefdoms. From this
point on, through the conquest of chiefdom b!. chicfdom.
the size of political units increased at a progressi\:]!. faster
rate. Naturally. as autonomous political units increased in
size, :h<y decreased in. r-~umbitr, v:i111. til: ;ekti.!t ~!lar Z:I e!itire
valle\- \\`a% eventualI>, unified under the !T;::-~!;c'r Jf` :?y ctrong-
es1 Ciilel~doI~~. The p~~l~ii;~l iiii,i thus ivr;:;<c': .<\`;i> `GCJOU~I-
eI! 11"' sufficiently centralized 2: j ~.i)iil~ll~.\ t o LL2rrsr.t bcinp
called ;i state.
Th;, ~nl;t;-?] Pt.nllrt,nfT I i.,..) II,,L,CI LII~.U..\-,, I Al.. .I j.2,;rl:,.\f , ': 'J!?r' \ ,lii~.~.. p!w...
Peru u'3s also taking place in cji'.t'! ! ,:!li,;. \. 1:; t!;? ]i!_rhiands as
\Vel! 2' on the coas! ! 2 1 1 (~ ):: %.;' \ ~I ! i \ - `\\ : J t'_ Lingdomi
enierg:J. t h e next s t e p v..~i :`,,.' 1. ,:I`,. .,, ,:. (I!- rr:::iti\;ll!c'\.
kir@\rna. ~ ..-~i-rp~trvi~ rjle L-,?!-.;~'.-' . i,. .,,. I :, . i-x .?r!~rn~~~!
cn1>=s 1 i,t'L ,':'!~~~.rJ;!~li\I: (1,: :I" /. . . .! t -2,
(?i ;11\ {if F'cri] >',' jt\ mc.i r.,'. L 1: .' ,'& _j :::< : "':`;,::C.::',
:-
.;f \,,2$!? _c;~::!t cmp,,Lx. A,!. ., ._ . . .
, - : j..\ ;:.:\: c',-
:;:rreL,i pi-!-c (,r t\<I;c i\~:,~.. '/'
~ _. _. .,
b I \i c: x
..;j!ir,; :'.j .W?`.! t,G,t,`h]\ .:'.:y . : . I.- ;.
. .
*
1 _`.q I.
Political Evolution
L!`hile the aggregation of villages into chiefdoms, and of
chiefdoms into kingdoms, was occurring by external acquisi-
tion, the structure of these increasingly larger political units
was being elaborated by internal evolution. These inner
changes were, of course? closely related to outer events. The
expansion of successful states brought within their borders
conquered peoples and territory which had to be adminis-
tered. And it was the individuals who had distinguished
themselves in war who were generally appointed to political
office and assigned the task of carrying out this administra-
tion. Besides maintaining law and order and collecting taxes,
the functions of this burgeoning class of administrators in-
cluded mohiliring labor for building irrigation works. roads,
fortresses. palaces, and temples. Thus, their functions helped
to weld an assorted collection of petty states into a single
integrated and centralized political unit.
These same individuals, who owed their improved social
position to their exploits in war, became, along with the ruler
and his kinsmen, the nucleus of an upper class. A lower class
in turn emerged from the prisoners taken in war and em-
ployed as servants and slaves by their captors. In-this manner _
did war contribute to the rise of social classes.
1 Iioi?d earlier that peoples attempt to acquire tlielr liei&-
bors' land before they have made the fullest possible 11s~' c.31'
their oun. This implies that every autonomo~~~.~i~lag~ h:~- .:!I__---I_.
lgntcqptd rr,2rgiI: cf !-cod pr&uc!i&y. 2nA thlt this; n\?~<,l.. :i,u . . ..A. . ..A. "..A'>"
squeezed out onI), when the village is .subjugated arid <o??-~`-
pellcd to pay taxes in kind. The surp!us food extracted !r: :Y
conquered villages through taxation. m.hich in the apgre;-:r
3!t2iRCd \`t?r\' Si~~ifKl::t FrOJVrtiKlS. U'YR:! !L'rf"!J' :? Y.::r:- "
the rdif:. I;!\ \\Jrrior\ a n d retzinc-rt. pf!`i<iz!i. pric'\:~ .i.
other iXnib<lh o f the risi!!g uj?jl-:`i i`ldss. Hl~o iiiu\ l)i.:-
corn;l:!~I!~ ct~vnr;~J from food pro2\irri3>n.
F:nal!> . those n3de ls::J!ess b! b:!r b u t n o t e2L.:. .
t,.n-l, 1,cr<u... :.' .I1"..L",.,.r,:, .t ,t. Ir., s;::]k'.y`""`, 1, iT."hlI1.l.. .`.,..`A. !y;3';\y :-; y'
ye;' .1 7c..1 ;~,in;l~:r~:;Ative L~~millt?rii:i!. 97 r~!:pw f'!:r,: ~.
I,`
were growing into towns and cities. Here they were able to
make a living as workers and artisans. exchanging their labor
or their wares for part of the economi< surplus exacted from
village farmers by the ruling class and spent by members of
that class to raise their standard of living.
The process of political evolution which I have outlined
for the coastal valleys of Peru was? in its essential features, by
no means unique to this region. Areas of circumscribed
agricultural land elsewhere in the world, such as the Valley of
Mexico. Mesopotamia, the Nile Valley, and the Indus Valley.
saw the process occur in much the same way and for essen-
tially the same reasons. In these areas: too, autonomous
neolithic villages were succeeded by chiefdoms, chiefdoms by
kingdoms? and kingdoms by empires. The last stage of this
development was, of course, the most impressive. The scale
and makmificence attained' by the early empires over-
shadowed everything that had gone before. But. in a sense.
empires were merely the logical cu!mination of the process.
The really fundamental step, the one that had triggered the
entire train of events that led to empires, was the change
from village autonomy to supravillage integration. This step
was a change in kind: everything that followed was, in a way.
only a change in degree.. - ._~ ---; +. .-if -.i.-.h.
In addition to being pivotal. the step to supracommunit?~
aggregation was difficult. for it took 2 mil!ion !`ears to
achieve. But. one? it v,.a< achieved, once village :i:;tonom!,
v,`as transcended. onI) two or three miIlennia`wr~ required
f,y r :l-,c rlje 0:` gr,:.it fmpirc-s 2nd the 00G;iShii;g Of` COmplCX
civillzat;ons.
t!iat it can be modified or elaborated to accommodate the
entire range of facts. Let us see how well the "circumscrip-
tion theory" holds up when it is brought face-to-face with
certain facts that appear to be exceptions.
For the first test let us return to Amazonia. Early voyagers
down the Amazon left written testimony of a culture along
that river higher than the culture I have described for
Amazonia generally. In the 1500's, the native population
living on the banks of the Amazon was relatively dense,
villages were fairly large and close together. and some degree
of social stratification existed. Moreover, here and there a
paramount chief held sway over many communities.
The question immediately arises: with unbroken stretches
of arable land extending back from the Amazon for hundreds
of miles. when v,ere there chiefdoms here?
To ansivrlr the question we must look closely at the en-
vironmental conditions afforded b\, the Amazon. Along the
margins of the river itself. and on islands within it. there is a
type of land ca!!ed :G~ca. The river floods this land every
year. covel-in_r ii \vith a layer of fertile silt. Because of this
annual repl~nI#!ment. IGK,U is agricultural land of first qual-
it), Lvhich can be cultiL.ated year after year without ever
in order to retain access to the ri;,er. often had no choice but
to submit to the victors. By this subordination of villages to a
paramount chief there arose along the Amazon cl-iefdoms
representing a higher step in political evolution tnan had
occurred elsewhere in the basin (24).
The notion of resource concentration also helps to explain
the surprising degree of political development apparently
attained b!: peoples of the PeruGan coast while t:ley were
still depeniling primarily on fishing for subsistence, and only
sccondaril], on agriculture (18). Of this seeming anomaly
Lanning has written: "To the best of my knowledge, this is
the only c3se in whit!! so man]' of the characteristics of
civilization have been found without a basically agricultural
economic foundation" (25).
Armed with the concept of resource concentration, how-
e\er. we can show that ihis development was not so anoma-
lous after all. The explanation, it seems to me, runs as
follows. .41t.)ng the coast of Peru \vild food sources occurred
in considerable number and variety. However, they were
restricted to a very narrow margin of Idnd (36). Accordingly.
w.hile the ailrrrzda/zce of foqd in this zone led to a sharp rise in
population. t!le resfricfedtzess of this food soon resulted in
thz almost complete occupation nf exploitable areas. And
\ihtn prescllre on the akdilable rtsotlrces reached a critical
ici<i. competition over land ensued. The resuit of this com-
p?tiIion M ;I\ io bet in motion t!lz >equence of events of
p~~ll:i<al e\-olut:on that 1 hrl\e de3crihcd.
l!lUS. i t scf':llS tliJt Iif ;an safcl) ddci rcwurcc conccntra-
tion to en\.lro:;mental cir<umscripticn as a factor leading to
udlrfare ov?r lsnd. and i!;u< to pt.-bliti;al integration beyond
the ~i!lLq$? I`\?!
8.
. ,
*
i t
Napoleon A. Chagnon (27) has introduced the concept of
"social circumscription." By this he means that a high den-' !
sity oi population in ar, area can produce effects on peoples
living near the center of the area that are similar to effects i
produced by environmental circumscription. This notion)
seems to me to be an important addition to our theory. Let
us see how, according to Chagnon, social circumscription has
operated among the Yanomamo.
The Yanomamo, who number some 10,000, live in an
extensive region of noncircumscr!bed rain forest, away from
any large river. One might expect that Yanomam6 villages
would thus be more or less even11 spaced. However, Chagnon
notes that, at the center of Yanomamd territory, villages are
closer together than they are at the periphep. Because of
this, they tend to impinge on one another more, with the
result that warfare is more frequent and intense in the
center than in peripheral areas. hioreover, it is more difficult
for villages in the nuclear area to escape attack by moving
away, since, unlike villages on the periphery, their ability to
move is somewhat restricted.
The I;let result is that villages in the central area of Yano-
mamo .territory are larger than villages in the bther areas.
__-..,since..lar~e:e~iape size is an adv;:ntagt for both attack and
defense. ,4 further effect of more intense lsarfare in the
nuclear area is that village headmen are stronger in that area.
Yanomsmo headmen are also the war leaders. and their
influence inD:ases in proportion to their vitlage's part::ipLi-
tie:: i n \var. In add!t!on. offen?i\e2nd det"en>ivc a!!!:!!?c`,-k
between villages are more common In the center of l'ano-
mamo tt;rritor) than in outl>,ing arc;:`. Thus. i{.hile still at the
autonomous village I+321 of p01iti~~l organization. th0Sc
\1',!rw:x'::?c~ st!t~!e.! tp ~l;j2] clr;:.:.:~c'rlFtr!e n:i\`t` <`i. .:ri!
m:)\?d ;! \lcp 0: !;Ic' i:: t!l? d!`~.!`\:: <`,I t:is!lir p.)! I!-`-:
A...-,..
ut t ckclpl;lCiii.
.AItl:;Lg!$ iPIL~ J',!!,!`::;,.`:#:. n .I ,: ! 1 : f i.' . : . ,%.I Lo j 2 ' i: : ;1: xl?.:;; :- i i ,.i'-
i.
where it was more fully expressed should, therefore, be clear.
First would come a reduction in the size of the territory of
each village. Then, as population pressure became more
severe, warfare over land would ensue. But because adjacent
land for miles around was already the property of other
villages, a defeated village would have nowhere to flee. From
this point on, the consequences of warfare for that village,
and for political evolution in general, would be essentially as
I have described them for the situation of environmental
circumscription.
To return to Amazonia, it is clear that, if social circum-
scription is operative among the Yanomamo today, it was
certainly operative among the tribes of the Amazon River
400 years ago. And its effect would ur-`doubtedly have been
to give a further spur to political evolution in that region.
We see then that, even in the absence of sharp environ-
mental circumscription, the factors of resource concentration
and social circumscription may, by intensifying war and
redirecting it toward the taking of land, give a strong impetus
to political development.
With these auxiliary hypotheses incorporated into it. the
circumscription theory is row better able to confront the
entire range of test cases that can be brought before it. For
examp e,
HwanB
it can now account for the rise of the state in the
Valley of northern China. and even in the PetGn
region of the Maya lowlands, areas not characterized b!.
strictly circumscribed agricultural land. In the case of the
Hwzng Valley, there is no questjon that resource concentra-
tion and socia! circumscription were present and active
forces. In the lowland Maya area, resource concentration '
seems not to have been a major factor. but soci3! circum%%p-
tion ma>' well have been.
1 7
`.
I . .
.
,I
?
.
And the size of this supporting area depends not only on the
size of the population but also on the mode of subsistence.
The shifting cultivation presumably practiced by the ancient
Maya (28) required considerably more land. per capita, than
did the permanent field cultivation of, say, the valley of
Mexico or the coast of Peru (29). Consequently, insofar as its
effects are concerned, a relatively low population density in
the PetPn may have been equivalent to a much higher one in
Mexico or Peru.
We have already learned from the Yanomamo example
that social circumscription may begin to operate while popu-
lation is still relatively sparse. And we can be sure that the
Peten was far more densely peopled in Formative times than
Yanomamo territory is today. Thus, population density
among the lowland Maya, while giving a superficial appear-
ance of sparseness, may actually have been high enough to
provoke fighting over land, and thus provide the initial im-
petus for the formation of a state.
Conclusion
In summary,`then, the circumscription theory in its elabo-
rated form goes far toward acco
1
nting for the origin of the
state, It explains why states aros where they did, and why *
the!. failed to arise elsewrhere. It shows the state to be a
predictable response to certain specific cultural. demographic,
and ecologiicai conditions. Thus. it helps to elucidate what
was undoubtedly the most importalli single step ever taken in
the political evolution of mankind.
1S
NOTES
1. R. L. Carneiro. in The E`vo/urron o/ Horriruliurc! S:,srems in ,vnrir,e Sourli
America: Causes and Consequences: A Sj'mposium. J. Wilbert, Ed., Anrro-
poldgico (I'enezuelo), Suppl. 2 (1961), pp. 47-67, see especially pp. 59-64.
2. For example, the early American sociologist Lester F. Ward saw the state as
"the result of an extraordinary exercise of the rational faculty" which
seemed to him so exceptional that "11 must have been the emanation of a
single brain or a few concerting minds." [D~nomicSociolog~] tAppleton,New
York, 1883). vol. 2, p. 2241.
3. See. for example, V. G. Childe, Man .4fukes iilnr~e/~ (Watts, London, 1936)
pp. 82-83; Town Planning Rev. 21, 3 (1950). p. b
4. 1 have in my files recorded instances of surplus food production by such
Amazonian tribes as the Tupinamba. Jevero, hlundurucd, Tucano, Desana,
Cubeo, and Canela. An exhaustive search of the ethnographic literature for
thus region would undoubtedly reveal many more examples.
5. Wrttfogel states: "These patterns [of organlzatron and social contra! - that
IS, the state] come into being when an exper,menting community of farmers
or protofarmers finds large sources of morsture in a dry but potenttally fertile
area. a number of farmers eager to conquer (agricu!turally, not militarily]
arrd lou,lands and p!ains are forced tc invoke the organizatrona! devrces which
- on the basis of premachine technology - offer the one chance of success:
they must work m cooperation with theu fellows and subordinate themselves
to a directing alrthority." [Orienral Desporirm Yale Univ. Press, New Haven,
Corm., 1957), p. is].
6. For Mesopotamia, Robert M. Adams has concluded: "In short, there 1s
nothing to subggest that the rise of dynastic authority in southern hlesopo-
tamra was linked to the administrative requirements of a major canal system."
]rn Clry Invincible, C. H. Kraeling and R. M. Adams, Eds. (Unn. of Chrcago
Press, Chicago, 1960). p. 2811. For Chrna, the prototyprcal area for W'rtt-
fogel's hydraulic theones, the French Smologist Jacques Gernet has recently
written: "although the establrshment of a system of regulation of water
course\ and irrrgation. and the control of this system. ma)' have affected the
po!it!cal conrtl!urron of the mi!rtary states and imperial Chrna. the i3,t
remsins rha:, h:s:oncaiiy, tt \vas the pre-ex:sting s'.a!p rtr,,CtU'P` and 1.hh.e*..Iv. .-.,
Idrgc, L\ e]l-trained latsiir force proi.ide.! b!, the armies tha: made !he grea!
rrrigatrcn proje:?s pcss:b!e " ].3nczn: Ckfrrr. f r o m rhe Beg!1"!`1gs f/J rhe
t.n:plre. R. Rudorff, Transl. (Faber and Faber. London. 1968). p. 921. For
\f<\i,u. Iarp~-~2le irrrga:ro:: 5) stern\ :u not appcnr to anteddie the Cl~\sl.
period. uhered~ II IS clear thd! the firs; s:a:eh arose rn !)a- F:<i`CdiRd t O:::,.:-
trve or PreClassrc pertod.
13. J. Vansma, Kiqdoms of the Savanna (Univ. of Wisconsin Press, Madison,
1966,.
14. For example, Julian H. Steward wrote: "It is possible, therefore. that the
Maya were able to develop a high civihzation only because they enJoyed an
unusually long prr~od of peace; for their settlement pattern would seem to
have been too vulnerable to warfare." (Amer. Anfhropol. 5 1, 1 (1949), see p.
171.
15. D. E. Puleston and D. W. Callender, Expedition 9 h'o. 3, 40 (1967), see pp.
45,47.
16. M. D. Coe, ??re Maya (Praeger, New York, 1966), p. 147.
17. See R. L. Carneuo, in Men and Culrurer, Selected Papers of the Flffh
Jnternational Congress of Anthropological and Ethnological Sciences, A. F.
C. Wallace, Ed. (Univ. of Pennsylvania Press, Philadelphia, 1960). pp.
229-234.
18. In early agricultural times (Preceramic Period VI, beginning ahout 2500 B.C.)
human settlement seems to have been denser along the coast than in the river
vallevs. and subsistence appears to have been based more on fishing than on
farm&. Furthermore, some significant first steps in pohtical evolution be-
yond autonomous villages may have been taken at this stage. However, once
subsistence begat; to be based predominantly on agriculture, the settlement
pattern changed, and communities Here thenceforth concentrated mure in
the river valley>, where ihe onl) :and of an) size sultable for cultivation was
located. See E. P. Lannrng. Peru Before /he Incas (Prentice-Hall. Engleuood
Clrffs, N.J., 1967), pp. 57-59.
13. In my files I find reported instances of village sphttmg among the following
Amazonian tribes: Kuikuru. Amarakaeri. Cubeo. tirubti, Tupar;. Yanomamo,
Tucano. Tene!ehara, Canela, and Nor!hern Cayapd llnder the conditrons of
easy resettlement found m Amazonla, splrttlng often takes place at a village
population level of less than 100, and village size seldom elceed, 200. In
coastal Peru, hourever. where land was severely restricted, villages could not
fission so readily, and thus greu' to population levels which, according to
Lanning [Peru Before the Incas (Prentice-Hall, Enplewood Chffa, K.J., 1967).
p. 641, may have averaged over 300.
20. See R. L. Carneiro, Erh,?ograph.-crch&ol. Forschunpen 4, 22 (1958).
21. Natural:!, this &oluiion took pk+:c in the various Pertitian valleys a: dtffcr-
ent rates and to dIfferen! deprrr,. In Fail ir ib pvz>ibir that at tllr tirnr time
that some valleys were already tinifled politically, others s:i!l had not evolved
beyond the stage of autonomous v&ges.
22. N o t e\ery s t e p in emplre buGdIng was necessaril> t a k e n throiigh ac:tiji
physlsat conquest. houever. The threat of force sometimes had the same
effect ac it: exerC,se. In this way many smaller chiefdoms and states were
probab!y coerced m!o g!ving u p then sovereignty wrthout having t o b e
defeated or! the field of battle. Indeed. It u'as an explicit pohq of the Incas.
in expandlnp their empire. to try persuasion before resortmp to fore of arms.
Se Gzrsdasc d e l a \`ep3. Roya! Ci~mcnforie! ca.' rhe jnrar lJ.J' (;tncra:
Hrrrory of Peru. P a r t I . H . V. Lwennore. Trand. (Unrv oi Te\a* Pre\<.
Aujtin* :9<>6j, p2. :os. : 11. :4:1, 14'. :zc. 264.
23 T h e eloiution o f empxv i n P e r u ~a\ t h u s b\ IIU mean5 reii,jlilirli o r
irreversible. Advance a!:e:nated WI:~ declrne. tntegratron u-a, xlmetrmet
_-.,. F___fn'!v- PT! t:, d!s!r.!r,-:3:!?:., v::b <!2:r< frq,rmefl~!lf back to rhk-*;! v-. anri
per:,`ir> e;`en 15 a'L:c':I-.Ty`s'li v,;:.i@ Bu: :he fi.;xs ~n3-::1!3n; yl::i:a!
develocmeni were srrons hnd. tr, tr,? e n d . prevalied Thu\. de-c?;:? :>c;:L.-
t;d,ni an: rei;isiv;.< ::.. . ..+.i<; i,: :`:..:;:is:. 1;. P:;L *a': :~r:*.:~i.;-!- ::
hepn wr:i, rzr! 5!%aI c-,-k s.aTiefr.2 and 3Ul'>~OrnPU? ii'.-l`lTr:!`. `. ani
endri v:::.C, ;i j1>-.& v3'.: <;bmFlex. zn' ;er.tral,zeS empire
20
24. Actually, a simdar polltical de;,einpment dtd take place in another part of
Amazonra - the basin of the hlamore River 111 the Mo~os plam oi fiolrvla.
Here, too, resource concenlratmn ap:ex< to havs Flayed a kc!,`:?!? See \i`.
Denevan. "The Aboripinal Cultural Geograph> of the Llanos dc Xfojoc of
BollvIa," Ibero-amcriccna nb. 4 5 (1966j. pp. 43-O. 104-105. l3f-110. In
native North America north of Mexico the hlghect cultural development
attalned, MiddleMIssissippi. also occurred along a major river (the Missis-
slppi) whrch, by provrdmg especratty fertrle so11 and rrverrne food resources,
comprised a zone of resource concentration. See J. B. Grlffm, Sclcnce 156,
175 (1967), F, 189.
25. E. P. Lanning. Peru Before rhe Incas (Prentice-Hall, EngleHood Chffr, N.J.:
1967). F. 59.
26. Resourcx concentration, then, was here combmed with enviro,m?ntal cir-
cumrcription. And. indeed, the same thing can be said of the great desert
r:ver valit*ys. such as the Nile, Tlprlc-Euphrates, and Induq.
21. h'. A. Chagnon. Proceedl,;gy, L'lllrh Iurcrr~ational C~uprcss qfAr;r~rrpologi.
id; 2nd .Flhri:iiogical Scietii.cs (?`ol;),o an"' E;)otO. 196s). VOI. 3 iE:l;r?O!ogJ'
orrd .4rcharohp)~), p. 249 (especially p. 251). See also N. Fock, Folk 6, 47
(1964). F. 52.
28. S. G. Merle) and G. H'. Brainerd, Thr .4ncicnt dfdjc (Stanford Cniv. Press,
Stanford.Callf..ed. 3. 1956).pp. 128-129.
29. One can assume. I thmk, that an! subs!antral increax in populat~~r: densit?
among the hla! a was accompanied by a certain mtenclflcatlon of agrlxlture.
As the population increased fields were probably Needed more tbsroughly.
and they ma! \sell have been cultivated a year or t\\o longer and fzfloxed :I
feu )`ears les,. Yet, given the nature of soils in the humrd rrop~cq. th? absence
of any evidence of fertihzatlon, and the moderate pop-latlon denzities. It
seem\ like11 that Ma)a farming remamed ext?nhl\c rather thjr, becoming
mtenslve.