For the first hundred and fifty years or so after 1788, when
James Hutton firmly established
to the satisfaction of his peers the antiquity of the Earth,
most of what we knew about the human past came from old bones,
archeological digs, ethnographic expeditions and speculation
about the origins of languages.
Charles Darwin and Gregor Mendel changed all that. Starting
in the1930s, it began to dawn on the generation of population
biologists led by Ronald A. Fisher, J.B.S. Haldane and Sewell
Wright that evolution and the hereditary mechanism (whatever
it was) meant the living human population itself might carry
in its chromosomes a history of the species. Blood-typing
gave geneticists their first crude tool for investigating
the human family tree. Chemical DNA-testing in the 1980s gave
them an extensive laboratory for studying its history. Since
then, a detailed picture has emerged of the human family tree:
the immigration out of Africa and gradual dispersion of the
human population over the surface of the planet.
A fair part of what we know about the human diaspora we owe
to the efforts over the years of 85-year-old Luigi Cavalli-Sforza
and his many research partners. Genetics was all but unknown
in Italy when, as a young physician, Cavalli-Sforza traveled
to Cambridge, England, to study for two years with Fisher
after World War II. At the time, his specialty was bacteria.
Returning to teach at the University of Parma, however, he
gradually he shifted to studying the geography of human populations,
moving first to Pavia, then, in 1971, to Stanford University.
Cavalli-Sforza began his investigations with the (then quite
invisible) genes that determine various blood group systems.
He spent the 1950s studying the little-attended role of chance
in heritability, poring over parish records and blood samples
from populations all over the region around his native Genoa,
from isolated little mountain villages to the populous cities
of the fertile plain. Since these variations tended
to accumulate at a uniform rate over long periods of time,
he established that the phenomenon of "genetic drift" could
be used as kind of clock to measure the length of time since
two populations -- the mountain village, the city parish --
had last shared common ancestors.
In the 1960s, he and Anthony Edwards, now of Cambridge
University, devised various methods to calculate the "genetic
distance" between pairs of populations -- distance being a
metaphor for a summary measure of variance between them, based
on as many genes as could be detected. Preferably these would
be "neutral" genes, such as those that determine blood type,
because they would change randomly over time, as opposed to
genes governing stature or strength, which would be subject
to selection pressures.
For example, if the characteristics were Rh positive and
negative (blood differences discovered only during World War
II), and if Rh negative gene registered 20 percent among all
Basques, 15 percent among the English and 2 percent among
the Chinese, then a
genetic distance between the Basques and the English could
be 5 percent (20-15=5) and 18 percent (20-2=18) between the
Basques and the Chinese.
On the assumption that distances would yield lines of descent,
Cavalli-Sforza and Edwards drew up an evolutionary tree in
1962, based on just five blood group systems from fifteen
populations, three per continent. It looked tolerably like
what we know to be the case today: Africans along one line,
Europeans and non-European Caucasoids along another, Northeast
Asians, Asiatic Arctic and American Indians in still another;
the Southeast Asians; and the Pacific Islanders.
The path to certainty lay in ever-larger numbers: more
genes, more populations, better mathematical methods. In the
1970s, Cavalli-Sforza adopted the approach that mathematical
economist Harold Hotelling had devised in the 1930s, but which
never had been brought to bear for lack of manpower. Computers
had developed just in time to make "principal components analysis"
a practical possibility.
And when the code-breaking genomics revolution spread to
Stanford in the 1980s, the Italian professor and his colleagues
were ready to participate in what by then had become a global
chase to describe the human genome in detail and fathom its
significance. Thanks to chemical testing, the "clock" of drift
had become molecular. For genetic anthropologists, that
meant being able to construct the detailed narrative of human
migration that still enlivens the science pages of the best
newspapers week after week.
His work put Cavalli-Sforza in the thick of some of the most
interesting controversies of the past thirty years: the origins
of agriculture and the role that migration played in hastening
its spread; the origins of languages and the interplay between
biological and cultural evolution; the spread, over a period
of around a thousand years, of large stone buildings known
as megaliths (Stonehenge, the Sardinian Nuraghi, etc.) along
a narrow coastal strip from the Atlantic coast to India and
almost to Japan, starting about 3800 years ago. At one point,
he made many expeditions over the course of a decade to live
among the pygmies in central Africa, to study cultural evolution.
All this is described in two riveting books written for the
lay reader: The Great Human Diasporas: the
History of Diversity and Evolution
(1995) and Genes, Peoples and Languages
(2000).
I mention it here because a pair of pioneering economists
recently have imported the molecular clock of genetic distance
and brought it to bear to good effect on another controversy.
Enrico Spolaore of Tufts University and Romain Wacziarg of
Stanford University have put the new tools to work to study
patterns of the diffusion of economic development around the
world over long periods of time. Their results in The
Diffusion of Development will come as no surprise to practitioners
-- venture capitalists, entrepreneurs, corporate executives,
government and NGO officials. They find that barriers to swift
adoption of the latest innovations from the world's technological
frontier may be not so much biological or political as cultural.
But their methods has the potential to make economists rethink
some of their most cherished assumptions, that people are
pretty much the same all around the world, that "culture"
matters little, or not at all.
Even before Jared Diamond put the issue in the starkest possible
terms with his Pulitzer-Prize-winning book Guns, Germs
and Steel in 1997, economists had been engaged in a sometimes-feverish
new round of investigation of international income inequality,
couched in terms "cross-country regressions," motivated by
the various development successes and failures of the twentieth
century. Economic historian Richard Easterlin had memorably
posed the question in 1980., Why isn't the whole world developed?
Why are we so rich and they so poor?
The utility of Spolaore and Wacziarg's approach rests on
a key distinction borrowed from the controversies over the
development of language, agriculture, tools and such, between
vertical and horizontal transmission. Vertical transmission
occurs across biologically-related generations within a group
-- norms, language, skills, passed along by parents and grandparents
to children (and vice versa, as with new languages or computers).
Horizontal transmission takes place across different groups
and populations -- the adoption of a Chinese invention such
as coal-mining or the compass by Italians, for example.
The authors venture two key hypotheses. First, genetic
distance translates into differences in all kinds of vertically-transmitted
characteristics, traits transmitted not necessarily through
DNA, but also culturally, among genetically-related individuals.
Second, long-term differences in these vertically-transmitted
characteristics operate as barriers to the diffusion of new
technological and institutional ideas. In other words, "people
who share similar histories and cultures are more likely to
learn from each other;" while differences persist when there
are strong barriers.
Empirically, the economists found that genetic distance seems
to map well to differences in income per capita, even when
controlling for factors such as geographical isolation, climatic
factors, transportation costs and other traditional measures
of difference. The relationship holds for the differences
that are observed around the world today, they say; also for
income differences as they have ebbed and flowed since 1500,
and, not surprisingly, for the differences within Europe.
Indeed, genetic distances between European populations are
relatively small -- much smaller than the extremes in the world
population -- yet even there, the authors found a large effect
of genetic distance on income, a result consistent with their
surmise that cultural and historical differentials pose barriers
even in countries that are cheek-by-jowl.
Moreover, in the presence of a shock -- the Industrial Revolution,
in particular -- the effect of genetic distance on income goes
up sharply, then gradually declines, just as you would expect,
as the discoveries and secrets of the innovator-population
and its closest relatives are gradually learned by the rest.
(It was easier for Boston's Francis Cabot Lowell to copy the
secrets of the English power loom than for, say, a corresponding
Egyptian or Javanese entrepreneur of the early nineteenth
century.)
But what about nations
where genetic distance is great, determined pairwise, but
where income disparities are relatively small? In other
words, what about Japan? Perhaps because there are additional
factors that affect their culture, perhaps for purely random
reasons, it may be that the British and the Japanese are closer
to each other, at least on certain dimensions, than are the
Japanese to the Chinese. Spolaore says, "The dolphins are
very far genetically from the fish. But on some traits --
say, body shape -- they might be closer to tuna than to other
mammals -- say, cows. British and Japanese societies both
developed on large islands which are close, but separate,
from the continental mainland -- perhaps a kind of cultural
'convergent evolution' on some dimensions may have something
to do with that."
Clearly economists' study of the differences among nations
has a long way to go -- a very long way. But the effect of
Spolaore and Wacziarg's clever demonstration is put habits,
norms and languages firmly back on the table as a possible
source of the frictions that make development hard rather
than easy, especially whenever societies must learn from each
other or fall behind. Economists traditionally have ascribed
the difference between rich nations and poor to simple factors
-- natural resource endowments, investment gaps, Malthusian
traps, insufficient education, absence of "the rule of law."
One recent fad has been to blame monopoly-like barriers to
entry erected by those who govern the poor.
That kind of talk will continue. It is protected by
the existence of schools, and is easy to teach in the classroom.
But at the frontiers, expect geneticists, linguists, archeologists,
anthropologists, linguists and, now, economists and political
scientists to engage in an increasingly fruitful conversation.
As Luigi Cavalli-Sforza says, "Since we know little of our
past, and the sciences that study it often provided separate
(and noncommunicating) fragments of knowledge, it is important
for them to learn how to help each other."