Marks origins of the modern world

The Origins of the Modern World

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WORLD SOCIAL CHANGE Series Editor: Mark Selden

Perilous Passage: Mankind and the Global Ascendance of Capital by Amiya Kumar Bagchi

Anarchy as Order: The History and Future of Civil Humanity by Mohammed Bamyeh

Water Frontier: Commerce and the Chinese in the Lower Mekong Region, 1750–1880

edited by Nola Cooke and Li Tana Empire to Nation: Historical Perspectives on the Making of the Modern World

edited by Joseph W. Esherick, Hasan Kayali, and Eric Van Young First Globalization: The Eurasian Exchange, 1500–1800

by Geoffrey C. Gunn Istanbul: Between the Global and the Local

edited by Caglar Keyder China: Its Environment and History

by Robert B. Marks The Origins of the Modern World: A Global and Environmental Narrative from the Fifteenth to the Twenty-First Century, 3rd edition

by Robert B. Marks The Politics of Greed: How Privatization Structured Politics in Central and Eastern Europe

by Andrew Schwartz Leaving China: Media, Mobility, and Transnational Imagination

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edited by Richard Tanter, Gerry van Klinken, and Desmond Ball Through the Prism of Slavery: Labor, Capital, and World Economy

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by Eric Williams, edited by Dale W. Tomich, introduction by William Darity Jr.

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The Origins of the Modern World

A Global and Environmental Narrative from the Fifteenth to the Twenty-First Century

THIRD EDITION

Robert B. Marks

ROWMAN & LITTLEFIELD Lanham • Boulder • New York • London

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Published by Rowman & Littlefield A wholly owned subsidiary of The Rowman & Littlefield Publishing Group, Inc. 4501 Forbes Boulevard, Suite 200, Lanham, Maryland 20706 www.rowman.com

Unit A, Whitacre Mews, 26–34 Stannary Street, London SE11 4AB, United Kingdom

Copyright © 2015 by Rowman & Littlefield First edition 2002. Second edition 2007.

Map 1.1 reprinted from Janet L. Abu-Lughod, Before European Hegemony: The World System A.D. 1250–1350 (New York: Oxford University Press, 1989), 34.

Map 2.2 reprinted from Philippe Beaujard, ‘‘The Indian Ocean in Eurasian and African World Systems before the Sixteenth Century,’’ Journal of World History 16, no. 4 (December 2005), map 5, p. 429.

Figure 3.1 reprinted from Charles Tilly, Coercion, Capital, and European States, A.D. 990–1990 (Oxford: Basil Blackwell, 1990), 176–77.

All rights reserved. No part of this book may be reproduced in any form or by any electronic or mechanical means, including information storage and retrieval systems, without written permission from the publisher, except by a reviewer who may quote passages in a review.

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Contents

List of Figures and Maps

Preface to the Third Edition

Introduction: The Rise of the West?

Chapter 1 The Material and Trading Worlds, circa 1400

Chapter 2 Starting with China

Chapter 3 Empires, States, and the New World, 1500–1775

Chapter 4 The Industrial Revolution and Its Consequences, 1750– 1850

Chapter 5 The Gap

Chapter 6 The Great Departure

Conclusion: Changes, Continuities, and the Shape of the Future

Notes

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About the Author

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Figures and Maps

Figure 3.1

Joint Involvement of European States in Great Power Wars, 1496–1514 and 1656–1674

Figure 5.1

Share of World GDP, 1700–1890

Figure 5.2

Share of World Manufacturing Output, 1750–1900

Figure 5.3

Population of India, China, and Europe, 1400–2000

Figure 5.4

Factory Smokestacks, Nineteenth-Century England

Figure 6.1

Income Inequality in the United States, 1910–2010

Map 1.1 The Eight Circuits of the Thirteenth-Century World System

Map 2.1 The World circa 1400–1500 Map 2.2 The Fifteenth-Century Eurasian and African Trading

Worlds Map 3.1 The World circa 1760

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Map 5.1 The World circa 1900 Map 6.1 The World’s Poorest Countries by Region

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Preface to the Third Edition

As I was working on the first edition of this book in the year 2000, environmental historian J. R. McNeill published Something New under the Sun: An Environmental History of the Twentieth Century. In that book, McNeill observed that he thought that a hundred years hence, at the end of the twenty-first century, historians and others looking back at the twentieth century would be struck by the significance, not of the two massive world wars, the rise and fall of fascism and communism, the explosive growth of the human population, or the women’s movement, but of the changed relationship of humans to Earth’s natural environment. As an environmental historian myself, I found that observation compelling and incorporated an ecological theme in my narrative. The world holds many surprises, but one has to be how much faster McNeill’s prediction has arrived. It hasn’t taken a century, but just a few years, for the importance of the change in our relationship to the environment to thrust itself to the forefront of our understanding of the recent past, and to give the epoch in Earth history we are now in a new name—the Anthropocene.

When I first wrote this book, I did so because a new body of scholarship on Asia had made it possible to question the usual answer to the question of the origins of the modern world: ‘‘The Rise of the West.’’ The new scholarship on Asia—which Jack Goldstone dubbed ‘‘The

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California School’’ because so many of us lived, worked, or published in California—raised questions about how and why the modern world came to have its essential characteristics: politically organized into nation-states and economically centered around industrial capitalism. Our findings that Asian societies had many of the characteristics others had seen as exclusively European and thus ‘‘causes’’ of the ‘‘European miracle’’ led us to argue that similarities cannot cause differences and so to look for alternative explanations for how and why the world came to be the way it is. Andre Gunder Frank and Kenneth Pomeranz pulled this scholarship into two important books that changed the way we now understand how the world works, decentering Eurocentric explanations of history. One of the contributions of the first two editions of this book (2002 and 2007) was to bring to students and teachers a fresh narrative of the origins of the modern world that incorporated this new body of scholarship.

That continues to be the case with the third edition (2015), but now in addition the environmental changes we have wrought, and our consciousness of them, have forced the environmental storyline into an ever more prominent position in the book’s narrative. It was only in the 1980s that climatologists had begun to understand El Niño events, and in the 1990s that rising levels of carbon dioxide coming from industry and tailpipes might cause the global climate to warm. From that initial realization that humans are forcing global climate change, we have now come to understand that humans are changing, overwhelming, or displacing other global processes of Nature as well on scales never before seen in human history. Readers or instructors familiar with earlier editions will notice new sections on environmental issues throughout the book, as well as others highlighting Africa and income inequality. Those additions, combined with the placement of all notes at the end of the book, have necessitated new pagination and a new index. Instructors will find more detail on these changes in a revised online study guide (https://rowman.com/ISBN/9781442212404).

My reason for recounting this story of the changing circumstances of this book is not to provide a rationale for another edition. Rather, it is to point out that history is living and relevant to current concerns, not the ‘‘dead hand of the past’’ as some might see it. Both new scholarship and new issues and problems can prompt us to reexamine the past and to rewrite history to take account of the changes in both. That way the stories we tell about the past continue to be relevant and helpful to us in the present. For if they weren’t, what would be the point? We need all the help we can get, and historical perspective is an essential aid to living in and through the present to a better future.

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https://rowman.com/ISBN/9781442212404
In addition to the intellectual debt I owe to Andre Gunder Frank, Kenneth Pomeranz, and John R. McNeill, I want to thank them for their personal involvement with the first edition of this book. Others who were instrumental in conceptualizing that project include Dennis O. Flynn and Arturo Giraldez, whose work following the silver trail around the world opened new vistas for me and other scholars and who organized the 1998 Pacific Centuries Conference at the University of the Pacific in Stockton, California, where we thrashed out ideas over lunches and dinners, and where the idea for this book originated. Others who read and commented on the first edition include my Whittier College colleagues José Orozco and Dick Archer; Steve Davidson, professor of history at Southwestern University; and the editor of the Rowman & Littlefield series World Social Change, Mark Selden. For their response to the ideas in the book and the book itself, I want to acknowledge the first- and second-year students who have taken History 101, Introduction to World History, and read and commented on the first and second editions of Origins, and to thank my colleagues, Professors José Orozco, Elizabeth Sage, and José Ortega, who team-taught the course with me and from whom I learned much about the history of Latin America, Europe, and the Atlantic world. Like their predecessors, the history majors in History 480, Capstone Seminar, read widely and deeply on topics that found their way into this book, most recently exploring environmental history (Spring 2010), the early modern world (Spring 2012), Eric Hobsbawm (Spring 2013), and ‘‘the seventeenth-century crisis’’ (Spring 2014). Whittier College supported this revision with a sabbatical leave in the fall semester of 2014, and the Richard and Billie Deihl Professorship supported travel to China. A grant from the National Endowment for the Humanities (FB-36592) supported composition of the first edition. Philippe Beaujard kindly (and promptly) gave me permission to use one of his maps (see map 2.2). At Rowman & Littlefield, Susan McEachern was instrumental in bringing the first and second editions to print, kept me apprised of feedback from students and faculty who read and used Origins, and encouraged me to get working on this third edition. For their attention to detail, I want to thank Professor Robert Entenman and Yuhin Ng for pointing out errors in the second edition that needed correction. Any that remain in this edition are mine. Joyce Kaufman continues to offer companionship, love, and support, knowing what it means to be a publishing scholar at a college that values teaching effectiveness first and foremost. And as did Budd and Rembrandt, Stanton reminds me to look forward to each new day.

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INTRODUCTION

The Rise of the West?

350 ppm. Within the past decade, climate scientists tell us, the amount of carbon dioxide in the atmosphere has surpassed a tipping point of 350 parts per million (ppm), and is now around 400 ppm. Because carbon dioxide (CO2) is a greenhouse gas, projections are that Earth is heading for warmer global temperatures and serious challenges. In the view of James Hansen, until 2013 head of the NASA Goddard Institute for Space Studies, this is a matter of concern because most of what we have called human civilization has developed in a temperate global climate with atmospheric carbon dioxide around 280 ppm. More than that, though, Hansen and other climatologists have concluded that the cause of the increase in atmospheric carbon dioxide is human action arising from industrialization over the past two centuries, and especially in just the past sixty years since the middle of the twentieth century.1

Certainly, the question of global warming is an important one that the world needs to face, but it is not the only one. The story of how the world got to the point where human actions could affect global environmental processes is complex, but not mysterious. The tools of history can help us understand how and why the world we live in—the modern world—got to be the way it is. That understanding can be helpful as we search for ways to make the world a better, safer, more sustainable, and more equitable place for all people.

Mostly, the story of the modern world revolves around the historical unfolding of four interrelated themes. The first involves the question of

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when, how, and why some parts of the world first industrialized, and how those processes were then picked up and used by people in other parts of the world. That story line is still unfolding, and gets intertwined with another, that of the emergence of nation-states as the principal way people over the past two centuries have organized themselves politically. Industry initially gave some states in western Europe and North America increasing wealth and power, so much so that a large and growing gap emerged between the wealthiest and poorest parts of the world. The story of that ‘‘gap’’ and its consequences is the third of the themes taken up in this book.

The fourth theme explores the interrelationship between the environmental context in which those elements of the modern world emerged and the ways people and their actions in turn changed and continue to change the environment. The imprint of humans on our Earth’s ecosystems has become so great that some scholars argue that we are entering a new geologic era—the Anthropocene—in which ‘‘humankind . . . has become so large and active that it now rivals some of the great forces of Nature in its impact on the functioning of the Earth system.’’2

Just 250 years ago, the human population of the world was less than one billion people, and two Asian countries—India and China—accounted for two-thirds of the world’s economic output, and they are not European. In the brief span of history since then, global population has grown to over seven billion people (on our way to nine billion plus by 2050), and the world saw a great reversal of fortune: where once Asians held most of the economic cards, today it is still primarily Western countries and Japan, although China and India once again are rising rapidly. The question centers on how this happened. How did industry and European-style countries called nation-states—rather than highly developed agrarian empires like China and India—come to define our world?

Thus, to understand our world, we have to understand not just how nation-states and industry came to shape the modern world, but how and why those European ways of organizing the world came to dominate the globe. Explanations abound, but for most of the past two centuries, the predominant explanation in the West, the United States included, has been ‘‘the rise of the West.’’ As we will see, recent research has shown that that explanation is no longer persuasive, but because it is probably the one most readers may be familiar with, I will take some time exploring it and providing the basis for constructing an alternative explanation.

The Rise of the West

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The concept of the rise of the West provides both a rationale and a story line that purports to explain not just the modern world, but why it is defined by primarily European features. The idea behind it is fairly simple and began to emerge shortly after the Spanish conquest of the Americas, during the Italian Renaissance of the sixteenth century. Europeans were quite astounded to see hundreds of Spanish conquistadors vanquish huge and very wealthy American civilizations, in particular the Aztecs and the Incas. Being ignorant of the germ theory of disease and the cause of the ‘‘Great Dying’’ in Mexico, where nearly 90 percent of the central Mexican population of twenty-five million succumbed to European diseases such as smallpox and influenza, Europeans first attributed their superiority to their Christian religion. Later, during the Enlightenment of the seventeenth and eighteenth centuries, they attributed their superiority to a Greek heritage of secular, rationalistic, and scientific thought.

In the late 1700s, this story line continues, the French Revolution of 1789 reinforced the awareness in European minds not just that Europeans were different from the rest of the world, but also that Europeans were ‘‘progressing’’ rapidly while the rest of the world appeared to be stagnating, that Europeans were somehow exceptional—better, even—than the rest. Nineteenth-century European historians, impressed with what many considered to be the universal appeal of the ideals of the French Revolution—egalité, liberté, fraternité (equality, liberty, and brotherhood) —looked back to the ancient Greeks, their institutions of democracy and republics, and their rationalistic bent toward understanding the natural world in scientific, not religious, terms. In this early telling of the ‘‘rise of the West,’’ the story is somewhat like a relay race, with the ideas of democracy that arose in Greece passed off to the Romans, who dropped the baton (the fall of the Roman empire followed by the so-called Dark Ages), but Christianity was then on the scene to pick it up and run with it, creating a distinctive European culture during feudal times. The ancient Greek heritage was rediscovered in the Renaissance (‘‘renewal’’), elaborated during the Enlightenment, and ultimately fulfilled in the French and American revolutions and ‘‘the rise of the West.’’

If the West was ‘‘rising’’ during the eighteenth century, during the nineteenth its ascent was completed. As the Industrial Revolution of the late eighteenth and early nineteenth centuries was just beginning, the classical British political economists—Adam Smith, Thomas Malthus, and David Ricardo—developed another strand to be woven into the story of the rise of the West: the ideas of capitalist industrial development as ‘‘progress,’’ the West as ‘‘progressive,’’ and Asia (and by implication, Africa and Latin America, too) as ‘‘backward’’ and ‘‘despotic.’’ To be

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sure, contrasts between the virtues of the West and the flaws of the East— the Orient—may have dated back to the Greeks, but eighteenth-century Europeans had been impressed with the wealth and governance of Asian countries, especially China. As the pace of economic change accelerated in nineteenth-century Europe, while much of Asia was in internal decline, analysts like Smith and Malthus began to revert to a view of the West as dynamic, forward looking, progressive, and free, and Asia as stagnating, backward, and despotic.

Even Karl Marx and Friedrich Engels, the most powerful critics of the new capitalist world order, believed that nineteenth-century European expansionism was bringing ‘‘progress’’ to the rest of the world. As they wrote in The Communist Manifesto, published in 1848:

The [European] bourgeoisie, by the rapid improvement of all instruments of production, by the immensely facilitated means of communication, draws all, even the most backward, nations into civilization. The cheap prices of its commodities are the heavy artillery with which it batters down all Chinese walls, with which it forces the underdeveloped nations’ intensely obstinate hatred of foreigners to capitulate. It compels all nations, on pain of extinction, to adopt the bourgeois mode of production; it compels them to introduce what it calls civilization into their midst, i.e., to become bourgeois themselves. In one word, it creates a world in its own image.3

Of more importance for Western conceptualizations of their own history, though, has been Max Weber, a German sociologist who wrote around the turn of the twentieth century. Where Weber shared with Marx a fascination with explaining how and why capitalism developed in Europe —and only Europe—Weber parted with Marx in his explanation. Instead of focusing as Marx had on ‘‘materialist’’ explanations, Weber looked to those aspects of Western values and culture, in particular the rationalism and work ethic that he associated with Protestantism, as being crucial to the rise of capitalism. But rather than basing his ideas about the rise of the West solely on studies of the West, Weber actually investigated Chinese and Indian societies, compared them with Europe, and concluded that those two societies at least, and by implication all other non-European societies, lacked the cultural values necessary for capitalism. Nonetheless, they too could ‘‘modernize,’’ Weber thought, but only by going through a painful process of cultural change, getting rid of their cultural ‘‘obstacles’’ to capitalist development.

‘‘The Gap’’ and Its Explanations

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Since the mid-nineteenth century, then, European social theorists have been aware of a growing gap between the industrialized countries and the rest of the world. Believing both that western Europeans—and they alone —had unlocked the secret of modernization,4 and that others too could learn, twentieth-century followers of Smith, Marx, and Weber have propounded a ‘‘diffusionist’’ theory of how world history has unfolded. Europeans found out how to get rich first by industrializing, Japan and a few other places learned from the Europeans and have caught up, and eventually every other place on the globe will too (as the story of ‘‘China’s rise’’ over the past thirty years appears to show), as long as they identify and eliminate the local institutions and cultural traits that prevent them from becoming modern.

Viewed now from the beginning of the twenty-first century, these ideas appear to be quite unconvincing in light of the facts that the gap between the wealthiest and poorest parts of the world continues to grow and the environmental consequences of industrialization are coming home to roost. However, the fact that these eighteenth- and nineteenth-century European theorists—Smith, Malthus, Ricardo, Marx, and Weber—all accepted the idea of European exceptionalism and sought, as one of their primary intellectual goals, to explain it, is important. These men were the founders of modern social science theory, and in the twentieth century virtually all of the social sciences, in particular sociology and economics, have incorporated the idea of European exceptionalism into their basic assumptions. As historians sought to become more ‘‘scientific’’ in the twentieth century by adopting and adapting the insights of this social science to historical inquiry, they too became captivated by the search for the origins and causes of European exceptionalism. But as we will see, Europeans were not exceptional, and one of the most important points about the history of the world until about 1800 is the broad comparability of Asia with Europe, showing more surprising similarities than meaningful differences. Nevertheless, the search for answers to why Europeans were perceived as exceptional and hence ultimately superior continues among historians today, even though many now think it is the wrong question to be asking.

In the post–World War II era, this historical search has produced an impressive body of scholarship looking for the key to what one economic historian has called ‘‘the European miracle.’’5 These scholars begin with what they see as the fact of the rise of the West but propose differing solutions to the questions of when and why the ‘‘rise’’ or the ‘‘miracle’’ began. The question of when will be discussed first, since in many ways it is relevant to considerations of why.

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Adam Smith saw 1492 and 1498 (the voyages of Columbus to the Americas and of Vasco da Gama around Africa to India, respectively) as the most significant years in history. As Smith wrote in The Wealth of Nations (1776):‘‘The discovery of America, and that of the passage to the East Indies by the Cape of Good Hope, are the two greatest events recorded in the history of mankind.’’ Marx, too, saw these two years as crucial, as have several twentieth-century scholars working in a Marxist tradition who have pointed to the subsequent European colonialism, slavery, and exploitation of colonies in the Americas and Asia as the primary explanations for the rise of the West. Many non-Marxists have contested the idea that Europe’s rise was a result of the exploitation of others,6 an inconvenient and awkward fact if true, and instead have turned their attention to those aspects of European culture that predate European colonialism, beginning with the Spanish conquest of the New World.

To avoid the possible embarrassment of attributing the rise of the West to its colonial ventures, and not its inherent virtues, much post–World War II scholarship on the origins of the rise of the West has looked farther back in European history, in some cases as far back as the Middle Ages in the eleventh and twelfth centuries, or yet earlier to the ancient Greeks, for factors that could be attributed only to Europe’s own exceptional development. Factors that have been identified, in addition to the cultural values discussed by Weber, include environmental ones (temperate climates promote hard work, or poor soils stimulate agricultural innovation), technological ones (plows, stirrups, or reading glasses), political–military ones (feudalism leading to absolute monarchs and then nation-states and the evolving technology of war), demographic ones (small families promote capital accumulation), and in the minds of several historians, combinations of all or some of these.7

The implication of this body of scholarship is that Europe possessed some unique characteristics that allowed it—and only it—to modernize first, and hence gave it the moral authority and the power to diffuse ‘‘modernity’’ around the globe where cultural, political, or economic ‘‘obstacles’’ prevented modern development from occurring indigenously. Hence, this story line purports to explain, justify, and defend the rise of the West to global dominance. Just how wrongheaded this theory is will become clearer as the industrial superiority of much of Asia to that of Europe, at least prior to about 1750, is revealed in the course of this book.

In addition to the recent scholarship on Asia that is changing our understanding of how and why the modern world developed, another perspective is changing our views of the consequences of that development —environmental history. Broadly conceived, environmental history looks

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at the mutual interactions of humans with our environment—the ways environments conditioned human societies, the ways humans in turn changed their environments to meet human needs, and then the ways those environmental impacts create new sets of problems for humans to confront. This new field emerged around 1970 as mounting environmental problems such as industrial pollution of the air, water, and soil in the United States and Europe prompted historians to ask how and why that had happened. More recently, as the impact of humans on global ecological processes such as the carbon and nitrogen cycles has become apparent, environmental historians have adopted increasingly global views.8