국가기원이론의 검토와 고조선연구의 비판적 적용
A Critical Review of the State Origins and Formation Theories
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국가란 사회적 분쟁에 친족기반을 초월하여 합법적이고 강제적인 물리력의 동원이 가능한 권력조직으로 정의된다. 그동안 서구학계에서 국가의 기원에 관한 여러 이론들을 제출되어 왔고, 특히 인류학자들의 현지조사로 국가형성이나 각 단계별 정치체의 많은 민족지 자료를 축적하였다. 본 논문에서는 서구 학계에서 논의되어온 국가의 기원에 관한 주요 이론으로서 정복이론, 관개농경이론, 영역한계이론, 원거리 교역이론, 사회계약론 등을 검토하였고, 인류학자들과 고고학자들에 의해 조사가 진행된 국가형성 관련 민족지적 자료 가운데 Zulu국가, Inca제국, 그리고 아샨티왕국 등의 사례를 검토하였다. 이러한 연구들에서 공통적으로 나타나는 국가기원의 동인(prime mover)은 대개 농경에 의한 식량생산의 증대, 그로 인한 인구의 급격한 증가, 그리고 일부성원의 자연자원에 대한 불평등한 접근 등으로 요약되며, 이러한 요인들이 합법적으로 제도화되고 조직화되면서 강력하고도 강제적 물리력이 뒷받침되는 정치체로 등장한 것이 바로 국가라고 하는 정치체이다. 그러나 특정 서구이론으로 古朝鮮의 국가 기원을 규명하고, 그 과정을 일반화하기에는 많은 어려움이 따른다. 특히, 문헌자료가 절대적으로 부족한 현실에서의 고조선 연구는 고고학, 인류학, 그리고 민족지 등에 기초한 연구접근법은 충분히 고려되어야 할 것이며, 이러한 과정에서 서비스의 4단계 발전단계 모델이나 M. Fried의 평등사회→서열사회→계층사회 형태의 진화단계와 원초적 국가(pristine state)와 이차적 국가(secondary state)라는 국가의 기원 모델 등은 고조선사의 재구성에서 편리한 이론적 모델이 될 수 있을 것이다.
Abstract
State origin and formation is the process of the development of a centralized government structure in a situation where one did not exist prior to its development. The thesis is about a critical reassessment of the state Origin and Formation theories. The origins of states are theories of social contract, conquest state theory, Irrigation and Hydraulic theory, long-distance trade, and circumscription theory. Theories of social contract were addressed by Thomas Hobbes, John Lockecc, and Jean-Jacques Rousseau arguing that individuals have consented, either explicitly or tacitly, to surrender some of their freedoms and submit to the authority of the ruler or magistrate in exchange for protection of their remaining rights. As a result, the state was originated finally. Irrigation and Hydraulic theory is that cause of state formation is the need to regulate hydraulic agricultural economies. According to this theory, state have emerged in certain arid areas to manage systems of irrigation, drainage, and flood control. The conquest theory contends that the state was created by one city to control other tribes or settlements it had conquered. This theory has its roots in the work of Ibn Khaldun, but it was first organized around anthropological evidence by Franz Oppenheimer. Oppenheimer argues that the state was created to cement inequality between peoples that resulted from conquest. long-distance trade is that states develop at strategic location in regional trade networks. These sites include points of supply or exchange, such as cross roads of caravan routes, and places like mountain passes and river narrows situated so as to threaten or halt trade between centers. Circumscription theory proposed by Carneiro. With cultivation, the population increased. Population pressure on land led to warfare, and some villages were conquered the others. Physical circumscription meant that the losers had no way to escape. The process accelerated as the population grew and warfare and cultivation intensified. State eventually emerged. Ethnographic records regarding the state formation, the Zulu Kingdom was that the small kingdom grew to dominate much of what is today Kwa Zulu-Natal in Southern Africa. Shaka Zulu was the illegitimate son of Senzangakona, King of the Zulus. Shaka fought as a warrior under Dingiswayo. When Senzangakona died, Dingiswayo helped Shaka claim his place as chief of the Zulu Kingdom. After Dingiswayo’s death at the hands of Zwide, 1818, Shaka assumed leadership of the entire Mthethwa alliance. Shaka initiated many military, social, cultural and political reforms, forming a well-organized and centralized Zulu state. By 1825, Shaka had conquered a huge empire covering an area of around 11,500 square miles. The Inca Empire was the largest empire in pre-Columbian America. The administrative, political and military center of the empire was located in Cusco, Peru. The Inca civilization arose from the highlands of Peru sometime in the early 13th century, and the last Inca stronghold was conquered by the Spanish in 1572. From 1438 to 1533, the Incas used a variety of methods from conquest to peaceful assimilation. The Incas considered their king, the Sapa Inca, to be the child of the sun. The Ashanti Empire was a West African sovereign state of the ethnic Akan people of Ashanti in South Ghana. The Ashanti used their military power to create an empire that stretched from central Ghana to the Ivory Coast, bordered by the Dagomba kingdom to the north and Dahomey to the east. From the 17th century AD, Osei Tutu established the Kingdom of Asantiman with the Golden Stool of Asante as a singular unifying symbol. Osei Tutu engaged in a massive Asante territorial expansion. He built up the army based on introducing new organization and turning a disciplined royal and paramilitary army into an effective fighting machine. The state formation theories and its application to the origins of ancient Korean states. The theories of origin and Formation of the state submitted by Western archaeologists and anthropologists have discussed in terms of Elman Service’s new evolutionary theory regarding four classifications of the stages in social evolution. His four levels of political organizations were very useful and possible alternative in applying to the study of Old Chosun. Most of Korean scholars have also interested in the theory of Elman Service’s social evolutionary stage. With the origin and formation of Old Chosun, critical and hypothetical evaluation of the archaeological data might be filled gaps between ancient episodes in the early state formation and shortage of written document.
