ON EARLY STATES:STRUCTURE,DEVELOPMENT,AND FALL
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摘要
<正>1.The State:General Considerations Scholars have long being interested in the state and the running of it.Among them,there were philosophers,historians,sociologists and anthropologists.We may go as far back as to Confucius and Lao Tze,or to the Greek philosophers Plato and Aristotle 1,and if we want to stay closer to our time,we can mention the Italian political scientist Machiavelli,who wrote in the 16 th century Il Principe(The Prince),
引文
1Van der Vliet (2005).
2Claessen & Skalník (1978),p. 6.
3Claessen & Skalník (1978),pp.6-7.
1Engels (1884); Claessen & Skalník (1978),p.8.
2Radcliffe-Brown (1940),xiii; cf.also Kurtz (2004).
1Claessen (1978),(1988b),(2000),p.158.
2For Indonesia: Slamet-Velsink (1995).For Central Africa: Vansina (1991).
3Tymowski (2005) and also Claessen & Van Bakel (2006),p.254.
4Weber (1964).
5Nieboer (1910).
1Weber (1964),Bondarenko (2005).
2See examples in Claessen (1987).
3Barth (1985).
1Claessen & Van de Velde (1987),p.3.
1On the statistical relevance of the Early State sample,see Bondarenko & Korotayev (2003).
2Claessen & Skalník (1978),pp.640-641.
1Cohen (1991).
2Trigger (1985).
3Godelier (1978).
4Weber (1964),24 ff.
5Beetham (1991),p.11.
6Beetham (1991),12 ff.
7Kurtz (1984).
8Claessen (1981),(1986).
1Van Bakel (1989),Claessen & Van Bakel (2006).
2Morris (2006),pp.60-62,and recently Butzer (2012).
3Claessen (1970),(1978),and (1986).
4Claessen (1970),(1978),and (1986).
1Claessen (1985).
2Claessen & Skalník (1978),p.640,slightly adapted.
3Claessen (2000),p.4.
1Muller (1985).
2Claessen (2000),pp.63-72.
3Darwin (1872/1995),p.98,Claessen (2000),p.13,63 ff.
4Claessen & Skalník (1978),p.624.Italics in the original.
5Claessen (1978),p.625.
1Johnson (1982).
2Roebroeks (2000),(2004).
1Cook (2003).
2Kottak (1972).
3Carneiro (1970).
4Fried (1967),p.186.
5Ray (1991),p.8 & p.12.
1For more details,see Claessen (2006).
2Leach (1954),Friedman (1979).
1Claessen (2000),p.60,Friedman (1979).
2Engels (1877/78).
3Hagesteijn (1989).
4Hagesteijn (1987),Stark (2006).
1Cf.Claessen & Van Bakel (2006),p.254 for the Polynesian cases.
2Claessen,Van de Veld,& Smith (1985),Claessen & Van de Velde (1987),Kurtz (2011).
3Claessen (2000),p.155.
1Claessen & Hagesteijn (2012).
2Conrad & Demarest (1984),Hicks (1986).
1Miller (1976),Claessen (2000),p.146.
2Cohen (1981),pp.105-109.
3For West Africa,see Muller (1999),Zuiderwijk (1998),p.92.For East Africa,see Pels (2004),p.11ff.For Southern Africa,see Van Binsbergen (1979).
4Simonse (1992).
5See chapters on Africa in Claessen & Oosten (1996).
6Vansina (1991).
1Kopytoff (1999),p.88.
2Muller (1981).
3Claessen (2003),p.163.
4Claessen (2005),155 ff.
5Shifferd (1987),p.47.
1Kottak (1980),Claessen (2000).
1Based on Claessen (2002).
2Engels (1884).
3Cook (2003),Diamond (1998),Fagan (1998).
1Polo (1958),Dawson (1966),De Hartog (1985).
2Kirch & Green (2001).
3Claessen & Skalník (1978),Haas (1995).
4Hagesteijn (1989),p.144.
1Clarke (1968),p.49.
2Hagesteijn (1989).
3Claessen (1970),pp.32-61,(1988),(1996),Burley (1998).
1Burley (1998),373 ff.
2Claessen (1988),Burley (1998).
1Claessen & Van de Velde (1987),p.4 & p.5.
2Shifferd (1987).
3Claessen (2005),p.152.
1Claessen (1985).
1Tainter (1988),p.4,also Kennedy (1989).
2Tymowski (1987),57 ff.
1Tymowski (2004).
2Meijer (2005).
3As was shown in great detail by Kennedy (1989).
1Conrad & Demarest (1984),44 ff.
2Hassig (1985).
3Conrad & Demarest (1984),p.58.
Bakel,Martin A.Van.1989.Samen leven in gebondenheid en vrijheid: Evolutie en ontwikkeling in Polynesi.Leiden: PhD.Thesis.
Barth,Fredrik.1985.The last wali of Swat ( Pakistan).Oslo: Norwegian University Press.
Beetham,David.1991.The legitimation of power.London: Macmillan.
Binsbergen,Wim van.1979.Religious change in Zambia: Exploratory studies.Amsterdam: PhD Thesis.
Bondarenko,Dmitri M.2005.“A homoarchic alternative to the homoarchic state: Benin kingdom of the 13th-19thcenturies.”SocialEvolution and History 4/2: 18-89.
Bondarenko,Dmitri M.and Andrey V.Korotayev.2003.“Early State in cross-cultural perspective: A statistical reanalysis of Henri J.M.Claessen’s database.”Cross-cultural Research 37:105-132.
Burley,David V.1998.“Tongan archaeology and the Tongan past,2850-150 B.P.”Journal of World Prehistory 12: 337-392.
Butzer,Karl W.2012.“Collapse,environment,and society.”PNAS,109: 3632-3639.
Carneiro,Robert L.1970.“A theory of the origin of the state.”Science 169:733-738.
Claessen,Henri J.M.1970.Van vorsten en volken (Of princes and peoples),Amsterdam: PhD thesis.
---------------------------1978.“The early state: A structural approach.”In: H.J.M.Claessen and P.Skalník,eds.,The early state,pp.533-596.The Hague: Mouton.
---------------------------1981.“Specific features of the African early state.”In: H.J.M.Claessen and P.Skalník,eds.,The study ofthe state,pp.59-86.The Hague: Mouton.
---------------------------1985.“From the Franks to France.”In: H.J.M.Claessen,P.van de Velde and M.E.Smith,eds,Developmentand decline: The evolution of sociopolitical organization,pp.196-218.South Hadley: Bergin andGarvey.
---------------------------1986.“Kingship in the early state.”Bijdragen tot de Taal-,Land-en Volkenkunde 142:113-127.
---------------------------1987.“Kings,chiefs and officials: The political organizations of Dahomey and Buganda compared.”Journal of Legal Pluralism and Unofficial Law 25&26:203-241.
---------------------------1988.“Tongan traditions: On model building and historical evidence.”Bijdragen tot de Taal-,Land-enVolkenkunde 144:433-444.
---------------------------1988b.“Leiders en lagen op Tahiti.”In: H.J.M.Claessen,ed.Tussen vorst en volk,pp.79-94.Leiden:Instituut voor Culturele Antropologie.ICA Publ.81.
---------------------------1996.“Ideology and the formation of early states: Data from Polynesia.”In: H.J.M.Claessen and J.G.Oosten,eds.,Ideology and the formation of early states,pp.339-358.Leiden: Brill.
---------------------------2000.Structural change.Evolution and evolutionism in cultural anthropology.Leiden: CNWS Publications.
---------------------------2002.“Was the state inevitable?”Social Evolution and History 1/1:101-117.
---------------------------2003.“Aspects of law and order in early state societies.”In: F.J.M.Feldbrugge,ed.,The law’s beginnings,pp.161-179.Leiden: Brill/Nijhoff.
---------------------------2005.“Early state intricacies.”Social Evolution and History 4/2:151-158..
---------------------------2006.“War and state formation.What is the connection?”In: T.Otto,H.Thrane,and H.Vandkilde,eds.Warfare and sociery: Archaeological and social anthropological perspectives,pp.217-226.Aarhus:Aarhus University Press.
Claessen,Henri J.M.and Martin A.van Bakel.2006.“Theme and variations.The development of differences in Polynesian socio-political organizations.”Bijdragen tot de Taal-,Land-en Volkenkunde 162:218-268
Claessen,Henri J.M.and Renée R.Hagesteijn.2012.“On state formation and territorial expansion: A dialogue.”Social Evolution and History 11:3-19.
Claessen,Henri J.M.and Peter Skalník,eds.1978.The early state.The Hague: Mouton.
Claessen,Henri J.M.and Pieter van de Velde,eds.1987.Early state dynamics.Leiden: Brill.
-----------------1991.Early state economics.New Brunswick: Transaction Publishers.
Clarke,David L.1968.Analytical archaeology.London: Methuen.
Cohen,Ronald.1981.“Evolution,fission,and the early state.”In: H.J.M.Claessen and P.Skalník,eds.,The study of thestate,pp.87-116.The Hague: Mouton.
--------------------1991.“Paradise regained: Myth and reality in the political economy of the early state.”In: H.J.M.Claessen and P.van de Velde,eds.,Early state economics,pp.109-130.New Brunswick,N.J.: Transaction.
Conrad,Geoffrey W.and Arthur A.Demarest.1984.Religion and empire: The dynamics of Aztec and Inca expansionism.Cambridge: CambridgeUniversity Press.
Cook,Michael.2003.A brief history of the human race.New York: Norton.
Darwin,Charles.1872 (1995).The origin of species by means of natural selection or the preservation of favoured races in thestruggle for life.Facsimile edition of the sixth edition.London: Studio Editions.
Dawson,Christopher.1966.Mission to Asia.Narratives and letters of the Franciscan missionaries inMongolia and China in thethirteenth and fourteenth centuries.New York: Harper Torchbooks.Diamond,Jared
----------------------------1998.Guns,germs and steel: A short history of everybody for the last 13,000 years.London: Vintage.
Engels,Friedrich.1884 (1964).Der Ursprung der Familie,des Privateigentums und des Staats.Berlin: Dietz.
-----------------------1877/78 (1960).Herrn Eugen Dührings Umw lzung der Wissenschaft (Anti-Dühring).Berlin: Dietz.
Fagan,Brian M.1998.People of the earth; An introduction to world prehistory.9thed.New York: Longman.
Fried,Morton H.1967.The evolution of political society.New York: Random House.
Friedman,Jonathan.1979.System,structure and contradictions: The evolution of the“ásiatic”social formations.Copenhagen:National Museum of Denmark.
Godelier,Maurice.1978.“Infrastructure,societies and history.”Current Anthropology 19:763-771.
Grinin,Leonid.2008.“Early state,developed state,mature state.The statehood evolutionary sequence.”In H.J.M.Claessen,R.R.Hagesteijn,and P.van de Velde,guest eds.Social Evolution and History 7: 67-81.
--------------------2009.“The pathways of politogenesis and models of the early state formation.”In: P.Skalník,guest editor.Social Evolution and History 8:92-132.
Grinin,Leonid,Robert L.Carneiro,Dmitri M.Bondarenko,Nikolay N.Kradin and Andrey V.Korotayev,eds.2004.The early state,its alternatives and analogues.Volgograd: Uchitel Publishing House.
Haas,Jonathan.1995.“The roads to statehood.”In: N.N.Kradin and V.A.Lynsha,eds.,Alternative pathways to early state,pp.16-19.Vladivostok: Dal’nauka.
Hagesteijn,Renée R.1987.“The Angkor state: Rise,fall and in between.”In: H.J.M.Claessen and P.van de Velde,eds.,Earlystate dynamics,pp.154-169.Leiden: Brill.
-----------------1989.Circles of kings: Political dynamics in early continental Southeast Asia.Dordrecht: Foris[Verhandelingen van het KITLV 138].
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--------------------------1980.The past in the present: History,ecology and cultural variation in Highland Madagascar.Ann Arbor:University of Michigan Press.
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----------------------2004.“The evolution of politics and the transition from political status to political office.”Social Evolutionand History 3/2:150-175.
----------------------2011.“The evolution of social organization.”Social Evolution and History 10:3-48.
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----------------------------1981.“Divine kingship in chiefdoms and states: A single ideological model.”In: H.J.M.Claessen and P.Skalník,eds.,The study of the state,pp.239-250.The Hague: Mouton.
----------------------------1985.“Political systems as transformations.”In: H.J.M.Claessen,P.van de Velde and M.E.Smith,eds.,Development and decline,pp.62-81.South Hadley: Bergin and Garvey.
----------------------------1999.“Du don et du rite comme fondateurs des chefferies.”Cahiers d’études africaines 39/2:387-408.
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Roebroeks,Wil.2000.“Food for thought.”Inaugural Lecture.Leiden University.
--------------------2004.“Voedsel en de menselijke niche: la Grande Bouffe.”Honorary Address,Leiden University.
Shifferd,Patricia A.1987.“Aztecs and Africans: Political processes in twenty-two early states.”In: H.J.M.Claessen and P.vande Velde,eds.,Early state dynamics,pp.39-53.Leiden: Brill.
Simonse,Simon.1992.Kings of disaster: Dualism,centralism and the scapegoat king in Southeastern Sudan.Leiden: Brill.
Slamet-Velsink,Ina.1995.Emerging hierarchies: Processes of stratification and early state formation in the Indonesianarchipelago.Leiden: KITLV Press.
Stark,Miriam T.2006.“From Funan to Angkor: Collapse and regeneration in ancient Cambodia.”In: G.M.Schwartz and J.J.Nichols,eds,After collapse: The regeneration of complex societies,pp.144-167.Tucson: Universityof Arizona Press.
Tainter,Joseph A.1988.The collapse of complex societies.Cambridge: Cambridge University Press.
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Tymowski,Michal.1987.“The early state and after in pre-colonial West Sudan.”In: H.J.M.Claessen and P.van de Velde,eds.,Early state dynamics,pp.54-69.Leiden: Brill.
------------------------2004.“Treasury systems,types of territory control,reciprocity and exploitation,limits in an African precolonial state: The case of Songhay in the late 15th-16thcentury.”Hemispheres 19: 165-180.
------------------------2005.“Le territoire et les frontières du Songhaàla fin du 15e et au 16e siècle.”In: Des frontières enAfrique du 12e au 20e siècle,pp.213-237.Paris: UNESCO
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Zuiderwijk,Aad.1998.Farming gently,farming fast.Leiden: Centre of Environmental Science.
2Claessen & Skalník (1978),p. 6.
3Claessen & Skalník (1978),pp.6-7.
1Engels (1884); Claessen & Skalník (1978),p.8.
2Radcliffe-Brown (1940),xiii; cf.also Kurtz (2004).
1Claessen (1978),(1988b),(2000),p.158.
2For Indonesia: Slamet-Velsink (1995).For Central Africa: Vansina (1991).
3Tymowski (2005) and also Claessen & Van Bakel (2006),p.254.
4Weber (1964).
5Nieboer (1910).
1Weber (1964),Bondarenko (2005).
2See examples in Claessen (1987).
3Barth (1985).
1Claessen & Van de Velde (1987),p.3.
1On the statistical relevance of the Early State sample,see Bondarenko & Korotayev (2003).
2Claessen & Skalník (1978),pp.640-641.
1Cohen (1991).
2Trigger (1985).
3Godelier (1978).
4Weber (1964),24 ff.
5Beetham (1991),p.11.
6Beetham (1991),12 ff.
7Kurtz (1984).
8Claessen (1981),(1986).
1Van Bakel (1989),Claessen & Van Bakel (2006).
2Morris (2006),pp.60-62,and recently Butzer (2012).
3Claessen (1970),(1978),and (1986).
4Claessen (1970),(1978),and (1986).
1Claessen (1985).
2Claessen & Skalník (1978),p.640,slightly adapted.
3Claessen (2000),p.4.
1Muller (1985).
2Claessen (2000),pp.63-72.
3Darwin (1872/1995),p.98,Claessen (2000),p.13,63 ff.
4Claessen & Skalník (1978),p.624.Italics in the original.
5Claessen (1978),p.625.
1Johnson (1982).
2Roebroeks (2000),(2004).
1Cook (2003).
2Kottak (1972).
3Carneiro (1970).
4Fried (1967),p.186.
5Ray (1991),p.8 & p.12.
1For more details,see Claessen (2006).
2Leach (1954),Friedman (1979).
1Claessen (2000),p.60,Friedman (1979).
2Engels (1877/78).
3Hagesteijn (1989).
4Hagesteijn (1987),Stark (2006).
1Cf.Claessen & Van Bakel (2006),p.254 for the Polynesian cases.
2Claessen,Van de Veld,& Smith (1985),Claessen & Van de Velde (1987),Kurtz (2011).
3Claessen (2000),p.155.
1Claessen & Hagesteijn (2012).
2Conrad & Demarest (1984),Hicks (1986).
1Miller (1976),Claessen (2000),p.146.
2Cohen (1981),pp.105-109.
3For West Africa,see Muller (1999),Zuiderwijk (1998),p.92.For East Africa,see Pels (2004),p.11ff.For Southern Africa,see Van Binsbergen (1979).
4Simonse (1992).
5See chapters on Africa in Claessen & Oosten (1996).
6Vansina (1991).
1Kopytoff (1999),p.88.
2Muller (1981).
3Claessen (2003),p.163.
4Claessen (2005),155 ff.
5Shifferd (1987),p.47.
1Kottak (1980),Claessen (2000).
1Based on Claessen (2002).
2Engels (1884).
3Cook (2003),Diamond (1998),Fagan (1998).
1Polo (1958),Dawson (1966),De Hartog (1985).
2Kirch & Green (2001).
3Claessen & Skalník (1978),Haas (1995).
4Hagesteijn (1989),p.144.
1Clarke (1968),p.49.
2Hagesteijn (1989).
3Claessen (1970),pp.32-61,(1988),(1996),Burley (1998).
1Burley (1998),373 ff.
2Claessen (1988),Burley (1998).
1Claessen & Van de Velde (1987),p.4 & p.5.
2Shifferd (1987).
3Claessen (2005),p.152.
1Claessen (1985).
1Tainter (1988),p.4,also Kennedy (1989).
2Tymowski (1987),57 ff.
1Tymowski (2004).
2Meijer (2005).
3As was shown in great detail by Kennedy (1989).
1Conrad & Demarest (1984),44 ff.
2Hassig (1985).
3Conrad & Demarest (1984),p.58.
Bakel,Martin A.Van.1989.Samen leven in gebondenheid en vrijheid: Evolutie en ontwikkeling in Polynesi.Leiden: PhD.Thesis.
Barth,Fredrik.1985.The last wali of Swat ( Pakistan).Oslo: Norwegian University Press.
Beetham,David.1991.The legitimation of power.London: Macmillan.
Binsbergen,Wim van.1979.Religious change in Zambia: Exploratory studies.Amsterdam: PhD Thesis.
Bondarenko,Dmitri M.2005.“A homoarchic alternative to the homoarchic state: Benin kingdom of the 13th-19thcenturies.”SocialEvolution and History 4/2: 18-89.
Bondarenko,Dmitri M.and Andrey V.Korotayev.2003.“Early State in cross-cultural perspective: A statistical reanalysis of Henri J.M.Claessen’s database.”Cross-cultural Research 37:105-132.
Burley,David V.1998.“Tongan archaeology and the Tongan past,2850-150 B.P.”Journal of World Prehistory 12: 337-392.
Butzer,Karl W.2012.“Collapse,environment,and society.”PNAS,109: 3632-3639.
Carneiro,Robert L.1970.“A theory of the origin of the state.”Science 169:733-738.
Claessen,Henri J.M.1970.Van vorsten en volken (Of princes and peoples),Amsterdam: PhD thesis.
---------------------------1978.“The early state: A structural approach.”In: H.J.M.Claessen and P.Skalník,eds.,The early state,pp.533-596.The Hague: Mouton.
---------------------------1981.“Specific features of the African early state.”In: H.J.M.Claessen and P.Skalník,eds.,The study ofthe state,pp.59-86.The Hague: Mouton.
---------------------------1985.“From the Franks to France.”In: H.J.M.Claessen,P.van de Velde and M.E.Smith,eds,Developmentand decline: The evolution of sociopolitical organization,pp.196-218.South Hadley: Bergin andGarvey.
---------------------------1986.“Kingship in the early state.”Bijdragen tot de Taal-,Land-en Volkenkunde 142:113-127.
---------------------------1987.“Kings,chiefs and officials: The political organizations of Dahomey and Buganda compared.”Journal of Legal Pluralism and Unofficial Law 25&26:203-241.
---------------------------1988.“Tongan traditions: On model building and historical evidence.”Bijdragen tot de Taal-,Land-enVolkenkunde 144:433-444.
---------------------------1988b.“Leiders en lagen op Tahiti.”In: H.J.M.Claessen,ed.Tussen vorst en volk,pp.79-94.Leiden:Instituut voor Culturele Antropologie.ICA Publ.81.
---------------------------1996.“Ideology and the formation of early states: Data from Polynesia.”In: H.J.M.Claessen and J.G.Oosten,eds.,Ideology and the formation of early states,pp.339-358.Leiden: Brill.
---------------------------2000.Structural change.Evolution and evolutionism in cultural anthropology.Leiden: CNWS Publications.
---------------------------2002.“Was the state inevitable?”Social Evolution and History 1/1:101-117.
---------------------------2003.“Aspects of law and order in early state societies.”In: F.J.M.Feldbrugge,ed.,The law’s beginnings,pp.161-179.Leiden: Brill/Nijhoff.
---------------------------2005.“Early state intricacies.”Social Evolution and History 4/2:151-158..
---------------------------2006.“War and state formation.What is the connection?”In: T.Otto,H.Thrane,and H.Vandkilde,eds.Warfare and sociery: Archaeological and social anthropological perspectives,pp.217-226.Aarhus:Aarhus University Press.
Claessen,Henri J.M.and Martin A.van Bakel.2006.“Theme and variations.The development of differences in Polynesian socio-political organizations.”Bijdragen tot de Taal-,Land-en Volkenkunde 162:218-268
Claessen,Henri J.M.and Renée R.Hagesteijn.2012.“On state formation and territorial expansion: A dialogue.”Social Evolution and History 11:3-19.
Claessen,Henri J.M.and Peter Skalník,eds.1978.The early state.The Hague: Mouton.
Claessen,Henri J.M.and Pieter van de Velde,eds.1987.Early state dynamics.Leiden: Brill.
-----------------1991.Early state economics.New Brunswick: Transaction Publishers.
Clarke,David L.1968.Analytical archaeology.London: Methuen.
Cohen,Ronald.1981.“Evolution,fission,and the early state.”In: H.J.M.Claessen and P.Skalník,eds.,The study of thestate,pp.87-116.The Hague: Mouton.
--------------------1991.“Paradise regained: Myth and reality in the political economy of the early state.”In: H.J.M.Claessen and P.van de Velde,eds.,Early state economics,pp.109-130.New Brunswick,N.J.: Transaction.
Conrad,Geoffrey W.and Arthur A.Demarest.1984.Religion and empire: The dynamics of Aztec and Inca expansionism.Cambridge: CambridgeUniversity Press.
Cook,Michael.2003.A brief history of the human race.New York: Norton.
Darwin,Charles.1872 (1995).The origin of species by means of natural selection or the preservation of favoured races in thestruggle for life.Facsimile edition of the sixth edition.London: Studio Editions.
Dawson,Christopher.1966.Mission to Asia.Narratives and letters of the Franciscan missionaries inMongolia and China in thethirteenth and fourteenth centuries.New York: Harper Torchbooks.Diamond,Jared
----------------------------1998.Guns,germs and steel: A short history of everybody for the last 13,000 years.London: Vintage.
Engels,Friedrich.1884 (1964).Der Ursprung der Familie,des Privateigentums und des Staats.Berlin: Dietz.
-----------------------1877/78 (1960).Herrn Eugen Dührings Umw lzung der Wissenschaft (Anti-Dühring).Berlin: Dietz.
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