第一章．政治權力的本質

1所有活人的乾生質總量（total dry biomass），據估計為六千萬公噸碳（0.06 Gt C），家畜的總量則是一億公噸碳。所有野生哺乳動物的生質總量，已減為區區七百萬公噸碳。Yinon M. Bar-On, Rob Phillips, and Rob Milo, “The Biomass Distribution on Earth”; Smil Vaclav, Harvesting the Biosphere, 226-29; Gerardo Ceballos, Paul R. Ehrlich, and Rodolfo Dirzo, “Biological Annihilation via the Ongoing Sixth Mass Extinction Signaled by Vertebrate Population Losses and Declines.”

2引文出自Walter Benjamin, “Theses on the Philosophy of History”, 256. 「人類世」這個詞強而有力，因為它簡潔有力地概括了這樣的觀念：人類將地球轉化是一個科學事實，也是影響及於所有人的全球現象。但它似乎也將環境破壞的罪責平等地歸咎於我們這個物種，而某些人的責任其實遠大於他人。Donna Haraway, “Anthropocene , Capitalocene, Plantationocene, Chthulucene: Making Kin”; Jason W. Moore, Capitalism in the Web of Life: Ecology and the Accumulation of Capital, 169-73. 我會按照「自然」一詞最普遍的用法使用它，只要環境並非由人類創造或依賴人類，就會視之為自然，「自然」（naturalness）的光譜範圍從毫無人類影響的生態系，到完全人為的生態系。主張萬物自然程度相等（或是完全拒絕使用自然一詞）的人們，都被人類世範式所困，他們應當記住，人類直到十分晚近的地質時期，才成為地球生態系的支配勢力。更實際地說，「自然」這個概念同樣適合用來討論人類影響生態系的程度。Raymond Williams, “Ideas of Nature”; Donald Worster, The Wealth of Nature: Environmental History and the Ecological Imagination, 171-83. 譯者案：引文中譯參看班雅明著，張旭東譯，〈歷史哲學論綱〉，收入中文馬克思主義文庫：http://www.marxists.org/chinese/walter-benjamin/mia-chinese-walter-benjamin-1940.htm

3關於人類能量學，參看Vaclav Smil, Energy in Nature and Society: General Energetics of Complex Systems, 119-202. 正如第五章所述，秦帝國到漢帝國初期，無爵位的平民每戶授田一頃（四萬五千七百平方公尺；十一點三畝）。此時每一戶平均五人，因此每人大約分得九千平方公尺。漢代人口分布，參看Hans Bielenstein, “Chinese Historical Demography A.D. 2-1982”,12, 193.

4人口增長可由考古遺址的密度推論得知：Dominic Hosner, Mayke Wagner, Pavel E. Tarasov, Xiaocheng Chen, and Christian Leipe, “Spatiotemporal Distribution Patterns of Archaeological Sites in China during the Neolithic and Bronze Age: An Overview”; Nathan D. Wolfe, Claire Panosian Dunavan, and Jared Diamond, “Origins of Major Human Infectious Diseases.”

5政治的（political）：「屬於一國形式、組織、政府的，或與此相關的。」《牛津英語辭典（線上版）》（OED Online，牛津大學出版社），二○一五年二月五日瀏覽。「生態」的定義取自Michael Begon, Townsend, Colin Townsend, and John Harper, Ecology: From Individuals to Ecosystems, xi. 既有的政治生態學（political ecology）領域並不像本書那樣關注國家，卻同樣與環境問題和權力關係的交會相關。Paul Robbins, Political Ecology: A Critical Introduction.

6由我本人英譯。蔣禮鴻，〈算地第六〉，《商君書錐指》，頁四二。Yuri Pines, The Book of Lord Shang: Apologetics of State Power in Early China, 158.

7Guillermo Algaze, Ancient Mesopotamia at the Dawn of Civilization: The Evolution of an Urban Landscape, 129. 牧羊作為一種政治隱喻，參看Rob Wiseman, “Interpreting Ancient Social Organization: Conceptual Metaphors and Image Schemas.” 以及Michel Foucault, Security, Territory, Population: Lectures at the College de France 1977-78.

8Charles Tilly, “War Making and State Making as Organized Crime”; James C. Scott, Against the Grain: A Deep History of the Earliest States; Bruce G. Trigger, Sociocultural Evolution: Calculation and Contingency, 208-22; Walter Scheidel, “Studying the State”; Terence D’Altroy, “Empires Reconsidered: Current Archaeological Approaches”; Michael Mann, The Sources of Social Power, 146-54. 我對國家的定義乃是基於Bruce G. Trigger, Understanding Early Civilizations: A Comparative Study, 195.

9Paul Halstead and John O’Shea, Bad Year Economics: Cultural Responses to Risk and Uncertainty; Bruce G Trigger, Sociocultural Evolution: Calculation and Contingency, 208-22; Michael Mann, The Sources of Social Power, 146-54.

10魏復古《東方專制論》是高估前近代國家權力的經典範例，該書將他本人在母國德國遭受的納粹極權折磨，投射於想像中「東方」的前近代國家。關於前近代國家的相對弱小，參看Walter Scheidel, “Studying the State.” 關於徵稅，參看Madeleine Zelin, The Magistrate’s Tael: Rationalizing Fiscal Reform in Eighteenth-Century Ch’ing China. 關於違法的農業拓殖，參看John Robert Shepherd, Statecraft and Political Economy on the Taiwan Frontier, 1600-1800; James Reardon-Anderson, Reluctant Pioneers: China’s Expansion Northward, 1644-1937. 以及Peter. Perdue, Exhausting the Earth: State and Peasant in Hunan, 1500-1850.

11關於印度的大象，參看Thomas R. Trautmann, Elephants and Kings: An Environmental History.

12Norman Yoffee, Myths of the Archaic State: Evolution of the Earliest Cities, States and Civilizations.

13Anne P. Underhill, Craft Production and Social Change in Northern China; Roel. Sterckx, Food, Sacrifice, and Sagehood in Early China.

14如同第三章討論的法文／英文字「levée / levy」和中文字「賦」，美索不達米亞語的ilku首先指的也是勞務，而後用來指稱稅收，由此證明了勞役義務轉化為繳納稅款是多麼容易。Mario Liverani, Uruk: The First City; Michael Jursa, and Juan Carlos Moreno Garcia, “The Ancient Near East and Egypt.”

15Karl Marx, Capital: A Critique of Political Economy, vol. 1, chap. 26; Ellen M. Wood, “The Separation of the ‘Economic’ and the ‘Political’ in Capitalism.”

16Bruce G. Trigger, Understanding Early Civilizations: A Comparative Study, 375-94; Terence D’Altroy, “The Inka Empire”; Michael Smith, “The Aztec Empire”; Terence D’Altroy and Timothy Earle, “Staple Finance, Wealth Finance and Storage in the Inka Political Economy”; Gabriel Ardant, “Financial Policy and Economic Infrastructure of Modern States and Nations”; Maxim Korolkov, “Empire-Building and Market-Making at the Qin Frontier: Imperial Expansion and Economic Change, 221-207 BCE.”

17Andrew Monson and Walter Scheidel, “Studying Fiscal Regimes”; Shmuel N. Eisenstadt, The Political Systems of Empires.

18Timothy Earle, Bronze Age Economics: The Beginnings of Political Economies. 軍閥人生的有用說明，參看Alex de Waal, The Real Politics of the Horn of Africa: Money, War and the Business of Power.

19Douglas E. Streusand, Islamic Gunpowder Empires: Ottomans, Safavids and Mughals; John W. Hall, “The Muromachi Bakufu”; John F. Richards, The Mughal Empire, 77-93; Charles Tilly, Coercion, Capital, and European States, AD 990-1990, 104-8. 這樣一個分權體系更晚近的範例，乃是二十世紀前半的英國及其定居殖民地。

20羅馬帝國直到西元三世紀的危機過後，才因應著歲入短缺而發展出官僚機構。參看Samuel E. Finer, The History of Government from the Earliest Times. Volume 1, 532-604. 聖經的引文參看《馬太福音》第九章第十節、第十一章第十九節、第二十一章第三十一節；《馬可福音》第二章第十五節；《路加福音》第五章第三十節、第七章第三十四節、第十五章第一節。

21Max Weber, Economy and Society: An Outline of Interpretive Sociology, 2 vols, 956-75; Eugene Kamenka, Bureaucracy, 1989; Tilly, Coercion, Capital, and European States, AD 990-1990, 107-17.

22Christopher T. Morehart and Kristin De Lucia, editors. Surplus: The Politics of Production and the Strategies of Everyday Life; Yuri Pines, The Book of Lord Shang: Apologetics of State Power in Early China. 引自Bruce G. Trigger, Understanding Early Civilizations: A Comparative Study, 388. 轉引韋伯《古代文明的農業社會學》（The Agrarian Sociology of Ancient Civilizations）。

23男性支配的事實，參看Trigger, Understanding Early Civilizations: A Comparative Study, 71; Kate Millett, Sexual Politics, 25. 當然，人類不能簡單區分為兩性，兩性之間有著生物的連續體（biological continuum），但授精和懷孕的能力卻始終是互斥的，這一對偶性得到人類社會普遍認可。父權制並不是所有人類社會的特徵，證據參看Martin King Whyte, The Status of Women in Preindustrial Societies; Eleanor Leacock, “Women’s Status in Egalitarian Society: Implications for Social Evolution”; Alice Schlegel, editor. Sexual Stratification: A Cross-Cultural View, 1977. 理解父權制需要全球取徑，而不是和Lerner, The Creation of Patriarchy，以及Plumwood, Feminism and the Mastery of Nature一樣聚焦於歐洲傳統。

24Laura Betzig, Despotism and Differential Reproduction: A Darwinian View of History; Walter Scheidel, “Sex and Empire: A Darwinian Perspective”; Sebastian Lippold, “Human Paternal and Maternal Demographic Histories: Insights from High-Resolution Y Chromosome and MtDNA Sequences”; Simon Blackburn, Lust, chap. 13; David Reich, Who We Are and How We Got Here: Ancient DNA and the New Science of the Human Past, 137-40, 231-46; T. H. Clutton-Brock, Mammal Societies; Endymion Wilkinson, Chinese History: A New Manual. sec. 38.15.3. 引文出自Jacqueline Fabre-Serris and Alison Keith, Women and War in Antiquity, 3.

25例如，劉向《列女傳》（英文本Liu and Kinney, Exemplary Women of Early China）一書中，幾乎每個故事的開頭都把故事中的女性和某個男性扯上關係。

26Nam C. Kim and Marc Kissel, Emergent Warfare in Our Evolutionary Past; Pierre Clastres, Society against the State: The Leader as Servant and the Humane Uses of Power among the Indians of the Americas; Bruce G. Trigger, “Maintaining Economic Equality in Opposition to Complexity: An Iroquoian Case Study”; Mark E. Lewis, Sanctioned Violence in Early China; William Harris, War and Imperialism in Republican Rome, 327-70 B.C.; Mark Elvin, The Retreat of the Elephants: An Environmental History of China, chap. 5.

27Jonathan Haas, Evolution of the Prehistoric State; Robert L. Carneiro, “The Role of Warfare in Political Evolution: Past Results and Future Projections”; Samuel E. Finer, “State- and Nation-Building in Europe: The Role of the Military”; Richard Bensel, Yankee Leviathan: The Origins of Central State Authority in America, 1859-1877; Roy Bin Wong and Jean-Laurent Rosenthal, Before and Beyond Divergence: The Politics of Economic Change in China and Europe; Charles Tilly, Coercion, Capital, and European States, AD 990-1990, 139; Peter Perdue, China Marches West China Marches West: The Qing Conquest of Central Eurasia.

28Kathleen R. Smythe, “Forms of Political Authority: Heterarchy.”

29對羅馬的這段描述，根據Andrew Monson and Walter Scheidel, Fiscal Regimes and the Political Economy of Premodern States, 208-81.

30引文出自Charles Tilly and Gabriel Ardant, The Formation of National States in Western Europe, 42. 另參看Andrew Monson, “Hellenistic Empires”; Victoria Tin-bor Hui, War and State Formation in Ancient China and Early Modern Europe; Chun-shu Chang, The Rise of the Chinese Empire. 2 vols.

31引文出自James C. Scott, Seeing Like a State, 2; Benjamin Schwartz, “The Primacy of the Political Order in East Asian Societies.” 此後的中國歷史上國家與納稅人的關係，參看Denis Twitchett, Financial Administration under the T’ang Dynasty; Ray Huang, Taxation and Governmental Finance in Sixteenth-Century Ming China; Kung-chuan Hsiao, Rural China: Imperial Control in the Nineteenth Century. 來生的官僚化，參看Harper, “Resurrection in Warring States Popular Religion.”

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