Why,
within Eurasia, were European societies, rather than
those of the Fertile Crescent or China or India, the
ones that colonized America and Australia, took the lead
in technology, and became politically and economically
dominant in the modern world?
A historian who had lived at any time between 8500 B.C.
and A.D. 1450, and who had tried then to predict future
historical trajectories, would surely have labelled
Europe's eventual dominance as the least likely outcome,
because Europe was the most backward of those three Old
World regions for most of those 10,000 years. From 8500
B.C. until the rise of Greece and then Italy after 500
B.C., almost all major innovations in western
Eurasia—animal domestication, plant domestication,
writing, metallurgy, wheels, states, and so on—arose in
or near the Fertile Crescent. Until the proliferation of
water mills after about A.D. 900, Europe west or north
of the Alps contributed nothing of significance to Old
World technology or civilization; it was instead a
recipient of developments from the eastern
Mediterranean, Fertile Crescent, and China. Even from
A.D. 1000 to 1450 the flow of science and technology was
predominantly into Europe from the Islamic societies
stretching from India to North Africa, rather than vice
versa. During those same centuries China led the world
in technology, having launched itself on food production
nearly as early as the Fertile Crescent did.
Why, then, did the Fertile Crescent and China eventually
lose their enormous leads of thousands of years to
late-starting Europe? One can, of course, point to
proximate factors behind Europe's rise: its development
of a merchant class, capitalism, and patent protection
for inventions, its failure to develop absolute despots
and crushing taxation, and its Greco-Judeo-Christian
tradition of critical empirical inquiry. Still, for all
such proximate causes one must raise the question of
ultimate cause: why did these proximate factors
themselves arise in Europe, rather than in China or the
Fertile Crescent?
For the Fertile Crescent, the answer is clear. Once it
had lost the head start that it had enjoyed thanks to
its locally available concentration of domesticable wild
plants and animals, the Fertile Crescent possessed no
further compelling geographic advantages. The
disappearance of that head start can be traced in
detail, as the westward shift in powerful empires. After
the rise of Fertile Crescent states in the fourth
millennium B.C., the centre of power initially remained
in the Fertile Crescent, rotating between empires such
as those of Babylon, the Hittites, Assyria, and Persia.
With the Greek conquest of all advanced societies from
Greece east to India under Alexander the Great in the
late fourth century B.C., power finally made its first
shift irrevocably westward. It shifted farther west with
Rome's conquest of Greece in the second century B.C.,
and after the fall of the Roman Empire it eventually
moved again, to western and northern Europe.
The major factor behind these shifts becomes obvious as
soon as one compares the modern Fertile Crescent with
ancient descriptions of it. Today, the expressions
"Fertile Crescent" and "world leader in food production"
are absurd. Large areas of the former Fertile Crescent
are now desert, semi desert, steppe, or heavily eroded
or salinized terrain unsuited for agriculture. Today's
ephemeral wealth of some of the region's nations, based
on the single non-renewable resource of oil, conceals
the region's long-standing fundamental poverty and
difficulty in feeding itself.
In ancient times, however, much of the Fertile Crescent
and eastern Mediterranean region, including Greece, was
covered with forest. The region's transformation from
fertile woodland to eroded scrub or desert has been
elucidated by paleobotanists and archaeologists. Its
woodlands were cleared for agriculture, or cut to obtain
construction timber, or burned as firewood or for
manufacturing plaster. Because of low rainfall and hence
low primary productivity (proportional to rainfall),
regrowth of vegetation could not keep pace with its
destruction, especially in the presence of overgrazing
by abundant goats. With the tree and grass cover
removed, erosion proceeded and valleys silted up, while
irrigation agriculture in the low-rainfall environment
led to salt accumulation. These processes, which began
in the Neolithic era, continued into modern times. For
instance, the last forests near the ancient Nabataean
capital of Petra, in modern Jordan, were felled by the
Ottoman Turks during construction of the Hejaz railroad
just before World War I.
Thus, Fertile Crescent and eastern Mediterranean
societies had the misfortune to arise in an ecologically
fragile environment. They committed ecological suicide
by destroying their own resource base. Power shifted
westward as each eastern Mediterranean society in turn
undermined itself, beginning with the oldest societies,
those in the east (the Fertile Crescent). Northern and
western Europe has been spared this fate, not because
its inhabitants have been wiser but because they have
had the good luck to live in a more robust environment
with higher rainfall, in which vegetation regrows
quickly. Much of northern and western Europe is still
able to support productive intensive agriculture today,
7,000 years after the arrival of food production. In
effect, Europe received its crops, livestock,
technology, and writing systems from the Fertile
Crescent, which then gradually eliminated itself as a
major center of power and innovation.
That is how the Fertile Crescent lost its huge early
lead over Europe. Why did China also lose its lead? Its
falling behind is initially surprising, because China
enjoyed undoubted advantages: a rise of food production
nearly as early as in the Fertile Crescent; ecological
diversity from North to South China and from the coast
to the high mountains of the Tibetan plateau, giving
rise to a diverse set of crops, animals, and technology;
a large and productive expanse, nourishing the largest
regional human pop¬ulation in the world; and an
environment less dry or ecologically fragile than the
Fertile Crescent's, allowing China still to support
productive intensive agriculture after nearly 10,000
years, though its environmental problems are increasing
today and are more serious than western Europe's.
These advantages and head start enabled medieval China
to lead the world in technology. The long list of its
major technological firsts includes cast iron, the
compass, gunpowder, paper, printing, and many others
mentioned earlier. It also led the world in political
power, navigation, and control of the seas. In the early
15th century it sent treasure fleets, each consisting of
hundreds of ships up to 400 feet long and with total
crews of up to 28,000, across the Indian Ocean as far as
the east coast of Africa, decades before Columbus's
three puny ships crossed the narrow Atlantic Ocean to
the Americas' east coast. Why didn't Chinese ships
proceed around Africa's southern cape westward and
colonize Europe, before Vasco da Gama's own three puny
ships rounded the Cape of Good Hope eastward and
launched Europe's colonization of East Asia? Why didn't
Chinese ships cross the Pacific to colonize the
Americas' west coast? Why, in brief, did China lose its
technological lead to the formerly so backward Europe?
The end of China's treasure fleets gives us a clue.
Seven of those fleets sailed from China between A.D.
1405 and 1433. They were then suspended as a result of a
typical aberration of local politics that could happen
anywhere in the world: a power struggle between two
factions at the Chinese court (the eunuchs and their
opponents). The former faction had been identified with
sending and captaining the fleets. Hence when the latter
faction gained the upper hand in a power struggle, it
stopped sending fleets, eventually dismantled the
shipyards, and forbade oceangoing shipping. The episode
is reminiscent of the legislation that strangled
development of public electric lighting in London in the
1880s, the isolationism of the United States between the
First and Second World Wars, and any number of backward
steps in any number of countries, all motivated by local
political issues. But in China there was a difference,
because the entire region was politically unified. One
decision stopped fleets over the whole of China. That
one temporary decision became irreversible, because no
shipyards remained to turn out ships that would prove
the folly of that temporary decision, and to serve as a
focus for rebuilding other shipyards.
Now contrast those events in China with what happened
when fleets of exploration began to sail from
politically fragmented Europe. Christopher Columbus, an
Italian by birth, switched his allegiance to the duke of
Anjou in France, then to the king of Portugal. When the
latter refused his request for ships in which to explore
westward, Columbus turned to the duke of Medina-Sedonia,
who also refused, then to the count of Medina-Celi, who
did likewise, and finally to the king and queen of
Spain, who denied Columbus's first request but
eventually granted his renewed appeal. Had Europe been
united under any one of the first three rulers, its
colonization of the Americas might have been stillborn.
In fact, precisely because Europe was fragmented,
Columbus succeeded on his fifth try in persuading one of
Europe's hundreds of princes to sponsor him. Once Spain
had thus launched the European colonization of America,
other European states saw the wealth flowing into Spain,
and six more joined in colonizing America. The story was
the same with Europe's cannon, electric lighting,
printing, small firearms, and innumerable other
innovations: each was at first neglected or opposed in
some parts of Europe for idiosyncratic reasons, but once
adopted in one area, it eventu¬ally spread to the rest
of Europe.
These consequences of Europe's disunity stand in sharp
contrast to those of China's unity. From time to time
the Chinese court decided to halt other activities
besides overseas navigation: it abandoned development of
an elaborate water-driven spinning machine, stepped back
from the verge of an industrial revolution in the 14th
century, demolished or virtually abolished mechanical
clocks after leading the world in clock construction,
and retreated from mechanical devices and technology in
general after the late 15th century. Those potentially
harmful effects of unity have flared up again in modern
China, notably during the madness of the Cultural
Revolution in the 1960s and 1970s, when a decision by
one or a few leaders closed the whole country's school
systems for five years.
China's frequent unity and Europe's perpetual disunity
both have a long history. The most productive areas of
modern China were politically joined for the first time
in 221 B.C. and have remained so for most of the time
since then. China has had only a single writing system
from the beginnings of literacy, a single dominant
language for a long time, and substantial cultural unity
for two thousand years. In contrast, Europe has never
come remotely close to political unification: it was
still splintered into 1,000 independent statelets in the
14th century, into 500 statelets in A.D. 1500, got down
to a minimum of 25 states in the 1980s, and is now up
again to nearly 40 at the moment that I write this
sentence. Europe still has 45 languages, each with its
own modified alphabet, and even greater cultural
diversity. The disagreements that continue today to
frustrate even modest attempts at European unification
through the European Economic Community (EEC) are
symptomatic of Europe's ingrained commitment to
disunity.
Hence the real problem in understanding China's loss of
political and technological pre-eminence to Europe is to
understand China's chronic unity and Europe's chronic
disunity. The answer is again suggested by maps.

Europe
has a highly indented coastline, with five large
peninsulas that approach islands in their isolation, and
all of which evolved independent languages, ethnic
groups, and governments: Greece, Italy, Iberia, Denmark,
and Norway / Sweden. China's coastline is much smoother,
and only the nearby Korean Peninsula attained separate
importance. Europe has two islands (Britain and Ireland)
sufficiently big to assert their political independence
and to maintain their own languages and ethnicities, and
one of them (Britain) big and close enough to become a
major independent European power. But even China's two
largest islands, Taiwan and Hainan, have each less than
half the area of Ireland; neither was a major
independent power until Taiwan's emergence in recent
decades; and Japan's geographic isolation kept it until
recently much more isolated politically from the Asian
mainland than Britain has been from mainland Europe.
Europe is carved up into independent linguistic, ethnic,
and political units by high mountains (the Alps,
Pyrenees, Carpathians, and Norwegian border mountains),
while China's mountains east of the Tibetan plateau are
much less formidable barriers. China's heartland is
bound together from east to west by two long navigable
river systems in rich alluvial valleys (the Yangtze and
Yellow Rivers), and it is joined from north to south by
relatively easy connections between these two river
systems (eventually linked by canals). As a result,
China very early became dominated by two huge geographic
core areas of high productivity, themselves only weakly
separated from each other and eventually fused into a
single core. Europe's two biggest rivers, the Rhine and
Danube, are smaller and connect much less of Europe.
Unlike China, Europe has many scattered small core
areas, none big enough to dominate the others for long,
and each the center of chronically independent states.
Once China was finally unified, in 221 B.C., no other
independent state ever had a chance of arising and
persisting for long in China. Although periods of
disunity returned several times after 221 B.C., they
always ended in reunification. But the unification of
Europe has resisted the efforts of such determined
conquerors as Charlemagne, Napoleon, and Hitler; even
the Roman Empire at its peak never controlled more than
half of Europe's area.
Thus, geographic connectedness and only modest internal
barriers gave China an initial advantage. North China,
South China, the coast, and the interior contributed
different crops, livestock, technologies, and cultural
features to the eventually unified China. For example,
millet cultivation, bronze technology, and writing arose
in North China, while rice cultivation and cast-iron
technology emerged in South China. For much of this book
I have emphasized the diffusion of technology that takes
place in the absence of formidable barriers. But China's
connectedness eventually became a disadvantage, because
a decision by one despot could and repeatedly did halt
innovation. In contrast, Europe's geographic
balkanization resulted in dozens or hundreds of
independent, competing statelets and centres of
innovation. If one state did not pursue some particular
innovation, another did, forcing neighbouring states to
do likewise or else be con¬quered or left economically
behind. Europe's barriers were sufficient to prevent
political unification, but insufficient to halt the
spread of technology and ideas. There has never been one
despot who could turn off the tap for all of Europe, as
of China.
These comparisons suggest that geographic connectedness
has exerted both positive and negative effects on the
evolution of technology. As a result, in the very long
run, technology may have developed most rapidly in
regions with moderate connectedness, neither too high
nor too low. Technology's course over the last 1,000
years in China, Europe, and possibly the Indian
subcontinent exemplifies those net effects of high,
moderate, and low connectedness, respectively.
Naturally, additional factors contributed to history's
diverse courses in different parts of Eurasia. For
instance, the Fertile Crescent, China, and Europe
differed in their exposure to the perennial threat of
barbarian invasions by horse-mounted pastoral nomads of
Central Asia. One of those nomad groups (the Mongols)
eventually destroyed the ancient irrigation systems of
Iran and Iraq, but none of the Asian nomads ever
succeeded in establishing themselves in the forests of
western Europe beyond the Hungarian plains.
Environmental factors also include the Fertile
Crescent's geographically intermediate location,
controlling the trade routes linking China and India to
Europe, and China's more remote location from Eurasia's
other advanced civilizations, making China a gigantic
virtual island within a continent. China's relative
isolation is especially relevant to its adoption and
then rejection of technologies, so reminiscent of the
rejections on Tasmania and other islands (Chapters 13
and 15). But this brief discussion may at least indicate
the relevance of environmental factors to smaller-scale
and shorter-term patterns of history, as well as to
history's broadest pattern.
The histories of the Fertile Crescent and China also
hold a salutary lesson for the modern world:
circumstances change, and past primacy is no guarantee
of future primacy. One might even wonder whether the
geographical reasoning employed throughout this book has
at last become wholly irrelevant in the modern world,
now that ideas diffuse everywhere instantly on the
Internet and cargo is routinely airfreighted overnight
between continents. It might seem that entirely new
rules apply to competition between the world's peoples,
and that as a result new powers are emerging—such as
Taiwan, Korea, Malaysia, and especially Japan.
On reflection, though, we see that the supposedly new
rules are just variations on the old ones. Yes, the
transistor, invented at Bell Labs in the eastern United
States in 1947, leapt 8,000 miles to launch an
electronics industry in Japan—but it did not make the
shorter leap to found new industries in Zaire or
Paraguay. The nations rising to new power are still ones
that were incorporated thousands of years ago into the
old centres of dominance based on food production, or
that have been repopulated by peoples from those centres.
Unlike Zaire or Paraguay, Japan and the other new powers
were able to exploit the transistor quickly because
their populations already had a long history of
literacy, metal machinery, and centralized government.
The world's two earliest centres of food production, the
Fertile Crescent and China, still dominate the modern
world, either through their immediate successor states
(modern China), or through states situated in
neighbouring regions influenced early by those two
centres (Japan, Korea, Malaysia, and Europe), or through
states repopulated or ruled by their overseas emigrants
(the United States, Australia, Brazil). Prospects for
world dominance of sub-Saharan Africans, Aboriginal
Australians, and Native Americans remain dim. The hand
of history's course at 8000 B.C. lies heavily on us.
AMONG OTHER FACTORS relevant to answering Yali's
question, cultural factors and influences of individual
people loom large. To take the former first, human
cultural traits vary greatly around the world. Some of
that cultural variation is no doubt a product of
environmental variation, and I have discussed many
examples in this book. But an important question
concerns the possible significance of local cultural
factors unrelated to the environment. A minor cultural
feature may arise for trivial, temporary local reasons,
become fixed, and then predispose a society toward more
important cultural choices, as is suggested by
applications of chaos theory to other fields of science.
Such cultural processes are among history's wild cards
that would tend to make history unpredictable.
As one example, I mentioned in Chapter 13 the QWERTY
keyboard for typewriters. It was adopted initially, out
of many competing keyboard designs, for trivial specific
reasons involving early typewriter construction in
America in the 1860s, typewriter salesmanship, a
decision in 1882 by a certain Ms. Longley who founded
the Shorthand and Typewriter Institute in Cincinnati,
and the success of Ms. Longley's star typing pupil Frank
McGurrin, who thrashed Ms. Longley's non-QWERTY
competitor Louis Taub in a widely publicized typing
contest in 1888. The decision could have gone to another
keyboard at any of numerous stages between the 1860s and
the 1880s; nothing about the American environment
favored the QWERTY keyboard over its rivals. Once the
decision had been made, though, the QWERTY keyboard
became so entrenched that it was also adopted for
computer keyboard design a century later. Equally
trivial specific reasons, now lost in the remote past,
may have lain behind the Sumerian adoption of a counting
system based on 12 instead of 10 (leading to our modern
60-minute hour, 24-hour day, 12-month year, and
360-degree circle), in contrast to the widespread
Mesoamerican counting system based on 20 (leading to its
calendar using two concurrent cycles of 260 named days
and a 365-day year).
Those details of typewriter, clock, and calendar design
have not affected the competitive success of the
societies adopting them. But it is easy to imagine how
they could have. For example, if the QWERTY keyboard of
the United States had not been adopted elsewhere in the
world as well— say, if Japan or Europe had adopted the
much more efficient Dvorak key-board—that trivial
decision in the 19th century might have had big
consequences for the competitive position of
20th-century American technology.
Similarly, a study of Chinese children suggested that
they learn to write more quickly when taught an
alphabetic transcription of Chinese sounds (termed
pinyin) than when taught traditional Chinese writing,
with its thousands of signs. It has been suggested that
the latter arose because of their convenience for
distinguishing the large numbers of Chinese words
possessing differing meanings but the same sounds
(homophones). If so, the abundance of homophones in the
Chinese language may have had a large impact on the role
of literacy in Chinese society, yet it seems unlikely
that there was anything in the Chinese environment
selecting for a language rich in homophones. Did a
linguistic or cultural factor account for the otherwise
puzzling failure of complex Andean civilizations to
develop writing? Was there anything about India's
environment predisposing toward rigid socioeconomic
castes, with grave consequences for the development of
technology in India? Was there anything about the
Chinese environment predisposing toward Confucian
philosophy and cultural conservatism, which may also
have profoundly affected history? Why was proselytizing
religion (Christianity and Islam) a driving force for
colonization and conquest among Europeans and West
Asians but not among Chinese?
These examples illustrate the broad range of questions
concerning cultural idiosyncrasies, unrelated to
environment and initially of little significance, that
might evolve into influential and long-lasting cultural
features. Their significance constitutes an important
unanswered question. It can best be approached by
concentrating attention on historical patterns that
remain puzzling after the effects of major environmental
factors have been taken into account.
WHAT ABOUT THE effects of idiosyncratic individual
people? A famil¬iar modern example is the narrow
failure, on July 20, 1944, of the assassination attempt
against Hitler and of a simultaneous uprising in Berlin.
Both had been planned by Germans who were convinced that
the war could not be won and who wanted to seek peace
then, at a time when the eastern front between the
German and Russian armies still lay mostly within
Russia's borders. Hitler was wounded by a time bomb in a
briefcase placed under a conference table; he might have
been killed if the case had been placed slightly closer
to the chair where he was sitting. It is likely that the
modern map of Eastern Europe and the Cold War's course
would have been significantly different if Hitler had
indeed been killed and if World War II had ended then.
Less well known but even more fateful was a traffic
accident in the summer of 1930, over two years before
Hitler's seizure of power in Germany, when a car in
which he was riding in the "death seat" (right front
passenger seat) collided with a heavy trailer truck. The
truck braked just in time to avoid running over Hitler's
car and crushing him. Because of the degree to which
Hitler's psychopathology determined Nazi policy and
success, the form of an' eventual World War II would
probably have been quite different if the truck driver
had braked one second later.
One can think of other individuals whose idiosyncrasies
apparently influenced history as did Hitler's: Alexander
the Great, Augustus, Buddha, Christ, Lenin, Martin
Luther, the Inca emperor Pachacuti, Mohammed, William
the Conqueror, and the Zulu king Shaka, to name a few.
To what extent did each really change events, as opposed
to "just" happening to be the right person in the right
place at the right time? At the one extreme is the view
of the historian Thomas Carlyle: "Universal history, the
history of what man [sic] has accomplished in this
world, is at bottom the History of the Great Men who
have worked here." At the opposite extreme is the view
of the Prussian statesman Otto von Bismarck, who unlike
Carlyle had long firsthand experience of politics' inner
workings: "The statesman's task is to hear God's
footsteps marching through history, and to try to catch
on to His coattails as He marches past."
Like cultural idiosyncrasies, individual idiosyncrasies
throw wild cards into the course of history. They may
make history inexplicable in terms of environmental
forces, or indeed of any generalizable causes. For the
pur¬poses of this book, however, they are scarcely
relevant, because even the most ardent proponent of the
Great Man theory would find it difficult to interpret
history's broadest pattern in terms of a few Great Men.
Perhaps Alexander the Great did nudge the course of
western Eurasia's already literate, food-producing,
iron-equipped states, but he had nothing to do with the
fact that western Eurasia already supported literate,
food-producing, iron-equipped states at a time when
Australia still supported only non-literate
hunter-gatherer tribes lacking metal tools.
Nevertheless, it remains an open question how wide and
lasting the effects of idiosyncratic individuals on
history really are.
THE DISCIPLINE OF history is generally not considered to
be a science, but something closer to the humanities. At
best, history is classified among the social sciences,
of which it rates as the least scientific. While the
field of government is often termed "political science"
and the Nobel Prize in economics refers to "economic
science," history departments rarely if ever label
themselves "Department of Historical Science." Most
historians do not think of themselves as scientists and
receive little training in acknowledged sciences and
their methodologies. The sense that history is nothing
more than a mass of details is captured in numerous
aphorisms: "History is just one damn fact after
another," "History is more or less bunk," "There is no
law of history any more than of a kaleidoscope," and so
on.
One cannot deny that it is more difficult to extract
general principles from studying history than from
studying planetary orbits. However, the difficulties
seem to me not fatal. Similar ones apply to other
historical subjects whose place among the natural
sciences is nevertheless secure, including astronomy,
climatology, ecology, evolutionary biology, geology, and
paleontology. People's image of science is unfortunately
often based on physics and a few other fields with
similar methodologies. Scientists in those fields tend
to be ignorantly disdainful of fields to which those
methodologies are inappropriate and which must therefore
seek other methodologies—such as my own research areas
of ecology and evolutionary biology. But recall that the
word "science" means "knowledge" (from the Latin scire,
"to know," and scientia, "knowledge"), to be obtained by
whatever methods are most appropriate to the particular
field. Hence I have much empathy with students of human
history for the difficulties they face.
Historical sciences in the broad sense (including
astronomy and the like) share many features that set
them apart from nonhistorical sciences such as physics,
chemistry, and molecular biology. I would single out
four: methodology, causation, prediction, and
complexity.
In physics the chief method for gaining knowledge is the
laboratory experiment, by which one manipulates the
parameter whose effect is in question, executes parallel
control experiments with that parameter held constant,
holds other parameters constant throughout, replicates
both the experimental manipulation and the control
experiment, and obtains quantitative data. This
strategy, which also works well in chemistry and
molecular biology, is so identified with science in the
minds of many people that experimentation is often held
to be the essence of the scientific method. But
laboratory experimentation can obviously play little or
no role in many of the historical sciences. One cannot
interrupt galaxy formation, start and stop hurricanes
and ice ages, experimentally exterminate grizzly bears
in a few national parks, or rerun the course of dinosaur
evolution. Instead, one must gain knowledge in these
historical sciences by other means, such as observation,
comparison, and so-called natural experiments (to which
I shall return in a moment).
Historical sciences are concerned with chains of
proximate and ultimate causes. In most of physics and
chemistry the concepts of "ultimate cause," "purpose,"
and "function" are meaningless, yet they are essential
to understanding living systems in general and human
activities in particular. For instance, an evolutionary
biologist studying Arctic hares whose fur color turns
from brown in summer to white in winter is not satisfied
with identifying the mundane proximate causes of fur
color in terms of the fur pigments' molecular structures
and biosynthetic pathways. The more important questions
involve function (camouflage against predators?) and
ultimate cause (natural selection starting with an
ancestral hare population with seasonally unchanging fur
colour?). Similarly, a European historian is not
satisfied with describing the condition of Europe in
both 1815 and 1918 as having just achieved peace after a
costly pan-European. war. Understanding the contrasting
chains of events leading up to the two peace treaties is
essential to understanding why an even more costly
pan-European war broke out again within a few decades of
1918 but not of 1815. But chemists do not assign a
purpose or function to a collision of two gas molecules,
nor do they seek an ultimate cause for the collision.
Still another difference between historical and
nonhistorical sciences involves prediction. In chemistry
and physics the acid test of one's understanding of a
system is whether one can successfully predict its
future behavior. Again, physicists tend to look down on
evolutionary biology and history, because those fields
appear to fail this test. In historical sciences, one
can provide a posteriori explanations (e.g., why an
asteroid impact on Earth 66 million years ago may have
driven dinosaurs but not many other species to
extinction), but a priori predictions are more difficult
(we would be uncertain which species would be driven to
extinction if we did not have the actual past event to
guide us). However, historians and historical scientists
do make and test predictions about what future
discoveries of data will show us about past events.
The properties of historical systems that complicate
attempts at prediction can be described in several
alternative ways. One can point out that human societies
and dinosaurs are extremely complex, being characterized
by an enormous number of independent variables that feed
back on each other. As a result, small changes at a
lower level of organization can lead to emergent changes
at a higher level. A typical example is the effect of
that one truck driver's braking response, in Hitler's
nearly fatal traffic accident of 1930, on the lives of a
hundred million people who were killed or wounded in
World War II. Although most biologists agree that
biological systems are in the end wholly determined by
their physical properties and obey the laws of quantum
mechanics, the systems' complexity means, for practical
purposes, that that deterministic causation does not
translate into predictability. Knowledge of quantum
mechanics does not help one understand why introduced
placental predators have exterminated so many Australian
marsupial species, or why the Allied Powers rather than
the Central Powers won World War I.
Each glacier, nebula, hurricane, human society, and
biological species, and even each individual and cell of
a sexually reproducing species, is unique, because it is
influenced by so many variables and made up of so many
variable parts. In contrast, for any of the physicist's
elementary particles and isotopes and of the chemist's
molecules, all individuals of the entity are identical
to each other. Hence physicists and chemists can
formulate universal deterministic laws at the
macroscopic level, but biologists and historians can
formulate only statistical trends. With a very high
probability of being correct, I can predict that, of the
next 1,000 babies born at the University of California
Medical Center, where I work, not fewer than 480 or more
than 520 will be boys. But I had no means of knowing in
advance that my own two children would be boys.
Similarly, historians note that tribal societies may
have been more likely to develop into chiefdoms if the
local population was sufficiently large and dense and if
there was potential for surplus food production than if
that was not the case. But each such local population
has its own unique features, with the result that
chiefdoms did emerge in the highlands of Mexico,
Guatemala, Peru, and Madagascar, but not in those of New
Guinea or Guadalcanal.
Still another way of describing the complexity and
unpredictability of historical systems, despite their
ultimate determinacy, is to note that long chains of
causation may separate final effects from ultimate
causes lying outside the domain of that field of
science. For example, the dinosaurs may have been
exterminated by the impact of an asteroid whose orbit
was completely determined by the laws of classical
mechanics. But if there had been any paleontologists
living 67 million years ago, they could not have
predicted the dinosaurs' imminent demise, because
asteroids belong to a field of science otherwise remote
from dinosaur biology. Similarly, the Little Ice Age of
A.D. 1300-1500 contributed to the extinction of the
Greenland Norse, but no historian, and probably not even
a modern climatologist, could have predicted the Little
Ice Age.
THUS THE DIFFICULTIES historians face in establishing
cause-and-effect relations in the history of human
societies are broadly similar to the difficulties facing
astronomers, climatologists, ecologists, evolutionary
biologists, geologists, and paleontologists. To varying
degrees, each of these fields is plagued by the
impossibility of performing replicated, controlled
experimental interventions, the complexity arising from
enormous numbers of variables, the resulting uniqueness
of each system, the consequent impossibility of
formulating universal laws, and the difficulties of
predicting emergent properties and future behaviour.
Prediction in history, as in other historical sciences,
is most feasible on large spatial scales and over long
times, when the unique features of millions of
small-scale brief events become averaged out. Just as I
could predict the sex ratio of the next 1,000 newborns
but not the sexes of my own two children, the historian
can recognize factors that made inevitable the broad
outcome of the collision between American and Eurasian
societies after 13,000 years of separate developments,
but not the outcome of the 1960 U.S. presidential
election. The details of which candidate said what
during a single televised debate in October 1960 could
have given the electoral victory to Nixon instead of to
Kennedy, but no details of who said what could have
blocked the European conquest of Native Americans.
How can students of human history profit from the
experience of scientists in other historical sciences? A
methodology that has proved useful involves the
comparative method and so-called natural experiments.
While neither astronomers studying galaxy formation nor
human historians can manipulate their systems in
controlled laboratory experiments, they both can take
advantage of natural experiments, by comparing systems
differing in the presence or absence (or in the strong
or weak effect) of some putative causative factor. For
example, epidemiologists, forbidden to feed large
amounts of salt to people experimentally, have still
been able to identify effects of high salt intake by
comparing groups of humans who already differ greatly in
their salt intake; and cultural anthropologists, unable
to provide human groups experimentally with varying
resource abundances for many centuries, still study
long-term effects of resource abundance on human
societies by comparing recent Polynesian populations
living on islands differing naturally in resource
abundance. The student of human history can draw on many
more natural experiments than just comparisons among the
five inhabited continents. Comparisons can also utilize
large islands that have developed complex societies in a
considerable degree of isolation (such as Japan,
Madagascar, Native American Hispaniola, New Guinea,
Hawaii, and many others), as well as societies on
hundreds of smaller islands and regional societies
within each of the continents.
Natural experiments in any field, whether in ecology or
human history, are inherently open to potential
methodological criticisms. Those include confounding
effects of natural variation in additional variables
besides the one of interest, as well as problems in
inferring chains of causation from observed correlations
between variables. Such methodological problems have
been discussed in great detail for some of the
historical sciences. In particular, epidemiology, the
science of drawing inferences about human diseases by
comparing groups of people (often by retrospective
historical studies), has for a long time successfully
employed formalized procedures for dealing with problems
similar to those facing historians of human societies.
Ecologists have also devoted much attention to the
problems of natural experiments, a methodology to which
they must resort in many cases where direct experimental
interventions to manipulate relevant ecological
variables would be immoral, illegal, or impossible.
Evolutionary biologists have recently been developing
ever more sophisticated methods for drawing conclusions
from comparisons of different plants and animals of
known evolutionary histories.
In short, I acknowledge that it is much more difficult
to understand human history than to understand problems
in fields of science where history is unimportant and
where fewer individual variables operate. Nevertheless,
successful methodologies for analyzing historical
problems have been worked out in several fields. As a
result, the histories of dinosaurs, nebulas, and
glaciers are generally acknowledged to belong to fields
of science rather than to the humanities. But
introspection gives us far more insight into the ways of
other humans than into those of dinosaurs. I am thus
optimistic that historical studies of human societies
can be pursued as scientifically as studies of
dinosaurs—and with profit to our own society today, by
teaching us what shaped the modern world, and what might
shape our future.