第三章．牧民方略—中國政治組織的興起

4Bruce G. Trigger, Sociocultural Evolution: Calculation and Contingency. 本節內容取自Li Liu and Xingcan Chen, The Archaeology of China: From the Late Paleolithic to the Early Bronze Age. 以及Gideon Shelach-Lavi, The Archaeology of Early China: From Prehistory to the Han Dynasty.

5Li Liu, The Chinese Neolithic: Trajectories to Early States, 85-89, 101, 117-58; Anne P. Underhill and Junko Habu, “Early Communities in East Asia: Economic and Sociopolitical Organization at the Local and Regional Levels.”; Anne P. Underhill, “Warfare and the Development of States in China.” 西北大學文博學院考古專業編著，《扶風案板遺址發掘報告》。Xiaolin Ma, Emergent Social Complexity in the Yangshao Culture: Analyses of Settlement Patterns and Faunal Remains from Lingbao, Western Henan, China (c. 4900-3000 BC), 45-50. 甘肅省文物考古研究所編著，《秦安大地灣：新石器時代遺址發掘報告》；王玉清，〈陝西咸陽尹家村新石器時代遺址的發現〉。Xiaoneng Yang, “Urban Revolution in Late Prehistoric China.”

6良渚文化興盛於西元前三千紀中葉以前。Li Liu and Xingcan Chen, The Archaeology of China: From the Late Paleolithic to the Early Bronze Age, 222-46; Zhouyong Sun et al., “The First Neolithic Urban Center on China’s North Loess Plateau: The Rise and Fall of Shimao”; Chi Zhang et al., “China’s Major Late Neolithic Centres and the Rise of Erlitou”; Bin Liu et al., “Earliest Hydraulic Enterprise in China, 5,100 Years Ago”; David N. Keightley, “At the Beginning: The Status of Women in Neolithic and Shang China”, 26-27.

7Sarah Allan, “Erlitou and the Formation of Chinese Civilization: Towards a New Paradigm.”

8E. E. Kuzmina, The Prehistory of the Silk Road, 46-49; Katheryn M. Linduff, Han Rubin, and Sun Shuyun, The Beginnings of Metallurgy in China, 8-22; Jianjun Mei, “Early Metallurgy and Socio-cultural Complexity: Archaeological Discoveries in Northwest China.” 保全，〈西安老牛坡出土商代早期文物〉；西北大學歷史系考古專業，〈西安老牛坡商代墓地的發掘〉；西北大學文化遺產與考古學研究中心、陝西省考古研究院、淳化縣博物館，〈陝西淳化縣棗樹溝腦遺址先周時期遺存〉，頁三○至三三。老牛坡及其他地方出土的圓柱型器具，一端空心供木柄插入，另一端磨利一如斧頭。這些器具可能用於鋤地，但也可以成為好用的武器，既然這些遺址出土的所有其他青銅器具都是武器，它們大概也是武器。

9官方的歷史分期認為二里崗文化大致從西元前一六○○年延續到西元前一四○○年，但這兩個日期可能都應該再稍微往後推。二里崗下層遺址的碳─14測定，將時間定在西元前一六○○年和西元前一四五○年之間，某些「二里崗上層」第二期的遺存，時間則定於西元前一三○○年乃至其後。參看夏商周斷代工程專家組編著，《夏商周斷代工程1996-2000年階段成果報告（簡本）》，頁五一至五二、六二至六五。Roderick Campbell, Archaeology of the Chinese Bronze Age: From Erlitou to Anyang, 68-105; Robert L. Thorp, China in the Early Bronze Age: Shang Civilization, 62-116.

10Mark E. Lewis, Sanctioned Violence in Early China; Anne P. Underhill, Craft Production and Social Change in Northern China; Constance A. Cook, “Moonshine and Millet: Feasting and Purification Rituals in Ancient China”; Kwang-chih Chang, “The Animal in Shang and Chou Bronze Art”; Sarah Allan, “The Taotie Motif on Early Chinese Ritual Bronzes.” 研究商、周藝術動物圖案意義的英文學術著作，多過研究活著的動物對商、周人民生活意義的著作。

11Roderick Campbell, Archaeology of the Chinese Bronze Age: From Erlitou to Anyang, 77-87; Roderick Campbell, Violence, Kinship and the Early Chinese State: The Shang and Their World; li Liu and Xingcan Chen, State Formation in Early China, 99-130.

12這幾段描述依據Roderick Campbell, Violence, Kinship and the Early Chinese State: The Shang and Their World; David N. Keightley, “The Shang: China’s First Historical Dynasty”; David N. Keightley, Working for His Majesty: Research Notes on Labor Mobilization in Late Shang China (ca. 1200-1045 B.C.); Robert Bagley, “Shang Archaeology”; Robert L. Thorp, China in the Early Bronze Age: Shang Civilization; Anne P. Underhill, A Companion to Chinese Archaeology, 323-86. 另參看張興照，《商代地理環境研究》。許多學者將整個二里崗─安陽時期都稱做「商」，西元前一二○○至一○四六年間則稱為「晚商」。我避免這種用法，因為我們無法證實二里崗和安陽受到同一個王朝統治。

13Roderick Campbell, Violence, Kinship and the Early Chinese State: The Shang and Their Worl, 190; David N. Keightley, “The Late Shang State: When, Where and What?”, 551-54; Li Liu and Xingcan Chen, The Archaeology of China: From the Late Paleolithic to the Early Bronze Age, 363-67; Yu Dong et al., “Shifting Diets and the Rise of Male-Biased Inequality on the Central Plains of China during the Eastern Zhou.”

14David N. Keightley, Working for His Majesty: Research Notes on Labor Mobilization in Late Shang China (ca. 1200-1045 B.C.); Roderick Campbell, Violence, Kinship and the Early Chinese State: The Shang and Their World, 125-26, 262; Roderick Campbell, “Toward a Networks and Boundaries Approach to Early Complex Polities: The Late Shang Case”; Monica L. Smith, “Territories, Corridors, and Networks: A Biological Model for the Premodern State.” 〈禹貢〉參看Bernhard Karlgren, The Book of Documents, 16-18.

15Roderick Campbell, Violence, Kinship and the Early Chinese State: The Shang and Their World, 258-61. 多數龜種大概是斑龜（學名Ocadia sinensis）或金龜（學名Mauremys reevesii，前名Chinemys reevesii），儘管或許還有其他種類。李志鵬，〈殷墟動物遺存研究〉，頁十二、四二。David N. Keightley, Sources of Shang History: The Oracle-Bone Inscriptions of Bronze Age China, 157-70.

16Roderick Campbell et al., “Consumption, Exchange and Production at the Great Settlement Shang: Bone-Working at Tiesanlu, Anyang”; David N. Keightley, “The Late Shang State: When, Where and What?”, 278.

17Li Liu and Xingcan Chen, The Archaeology of China: From the Late Paleolithic to the Early Bronze Age, 359-72; Yohei Kakinuma, “The Emergence and Spread of Coins in China from the Spring and Autumn Period to the Warring States Period,” 84; A. M. Pollard et al., “Bronze Age Metal Circulation in China.”

18Katherine Linduff, “A Walk on the Wild Side: Late Shang Appropriation of Horses in China”; William Honeychurch, Inner Asia and the Spatial Politics of Empire: Archaeology, Mobility, and Culture Contac, 191-94, 201-11.

19Magnus Fiskesjö, “Rising from Blood-Stained Fields: Royal Hunting and State Formation in Shang China.” 引文出自頁一○二（原圖參看郭沫若主編，《甲骨文合集》第四冊，頁一四九七，編號一○一九七）；另參看頁一○六至一二八、頁一四二。David N. Keightley, Working for His Majesty: Research Notes on Labor Mobilization in Late Shang China (ca. 1200-1045 B.C.), 161-68; Mark E. Lewis, Sanctioned Violence in Early China, 150-57; James Legge, The Works of Mencius, 3B.280. 張政烺，〈卜辭「裒田」及其相關諸問題〉。《國風．鄭風．大叔于田》同樣提到點火打獵。

20Edward H. Schafer, “Hunting Parks and Animal Enclosures in Ancient China”; Thomas Allsen, The Royal Hunt in Eurasian History; Brian Lander, “Wild Mammals of Ancient North China”; Brian Lander and Katherine Brunson, “The Sumatran Rhinoceros Was Extirpated from Mainland East Asia by Hunting and Habitat Loss.”

21我所知的唯一一件銅馬，是二○○一年在洛陽唐宮西路出土的春秋時期銅馬，二○一三年見於洛陽博物館，還有一九五五年在李家村發現的西周銅馬駒，參看陝西省考古研究院等編著，《吉金鑄華章：寶雞眉縣楊家村單氏青銅器窖藏》，頁二四○至二四三。Nicholas Vogt, “Between Kin and King: Social Aspects of Western Zhou Ritual”, 214-26. 李志鵬，〈殷墟動物遺存研究〉。

22Mark Elvin, “Three Thousand Years of Unsustainable Growth: China’s Environment from Archaic Times to the Present.”

23陳夢家，《殷墟卜辭綜述》，頁二九一。Jessica Rawson, “Western Zhou Archaeology”, 377-82.

24關中人口密度，參看Pauline Sebillaud, “La distribution spatiale de l’habitat en Chine dans la plaine Centrale à la transition entre le Néolithique et l’âge du Bronze (env. 2500-1050 av. n. è.)”, 307-8, 232. 史寶琳假定一處考古遺址每四十平方公尺有一人居住，由此估計關中在龍山文化時期的一千一百年間有八十萬人，二里崗─安陽時期五百五十年間（西元前一六○○至一○五○年）則有三十一萬五千人，這就意味著關中地區在龍山時期任何一年的人口都多了百分之二十七。但關中的龍山文化在西元前二○○○年以後可能又延續了數百年，如此一來，這兩個時期的差別或許更少。關中的早期二里崗文化遺址，參看劉士莪，《老牛坡：西北大學考古專業發掘報告》，頁三五至三六；以及張天恩，《關中商代文化研究》，頁二。西安老牛坡遺址這一層位出土的陶器，整體上是龍山客省莊傳統的一部分，它們近似於更西方的天水地區出土的同時代陶器，而非二里崗式樣。二里崗文化的影響在關中各地的傳播，參看劉緒，〈商文化在西方的興衰〉。安陽對關中的影響，參看Roderick Campbell, Archaeology of the Chinese Bronze Age: From Erlitou to Anyang, 85, 116-18, 153-55. 張天恩，《關中商代文化研究》。Robert Bagley, “Shang Archaeology”, 227-29.

25li Liu and Xingcan Chen, State Formation in Early China, 111, 71-73. 西安半坡博物館，〈陝西藍田懷珍坊商代遺址試掘簡報〉；霍有光，〈試探洛南紅崖山古銅礦採冶地〉。

26老牛坡的青銅時代遺存分成五期，年代依據的是與河南陶器序列的相似性：第一期推定為二里崗下層（西元前一六○○至一四五○年），第二期推定為二里崗上層（西元前一四五○至一三○○年），第三期推定為殷墟一期和二期（西元前一三五○至一二二○年），第四期推定為殷墟四期（西元前一○八○至一○四○年），保存不善的第五期推定時間則稍後。這些年代都極為概略。陝西省考古研究院，〈2010年陝西省考古研究院考古調查發掘新收穫〉；袁靖、徐良高，〈灃西出土動物骨骼研究報告〉；劉士莪，《老牛坡：西北大學考古專業發掘報告》，頁二六至二七三；北京大學考古系商周組、陝西省考古研究所，〈陝西輝縣北村遺址一九八四年發掘報告〉；北京大學考古系商周組，〈陝西扶風縣壹家堡遺址一九八六年發掘報告〉；寶雞市考古工作隊，〈陝西武功鄭家坡先周遺址發掘簡報〉。

27W.A.C.H. Dobson, “Linguistic Evidence and the Dating of the ‘Book of Songs”; Martin Kern, “Bronze Inscriptions, the Shijing and the Shangshu: The Evolution of the Ancestral Sacrifice during the Western Zhou”, 182.

28《大雅．文王之什．皇矣》；阮元校刻，《十三經注疏》，頁五一九。關於樹名，《爾雅》將「栵」釋為「栭」，利氏學社的《利氏漢法辭典》（Le Grand Ricci，Pleco版）將它指為某種栗子（毛栗，學名Castanea seguinii）。「椐」日後的用法與榆或櫸相關。《說文解字》將「檿」釋為「山桑」，「柘」則逕稱為「桑」。關中地區有幾種不同的桑。

29《大雅．文王之什．緜》。我運用高本漢的英譯，修訂了魏禮的幾處英譯。這些植物名稱的意義不明，它們是詩意的選擇。「飴」也多少有些猜測意味。參看Arthur Waley, The Book of Songs: Translated from the Chinese, 247; Bernhard Karlgren, The Book of Odes, 189-90; Hsing-Tsung Huang, Science and Civilisation in China, vol. 6.5, 457。關於冢土，參看Ichirō Kominami, “Rituals for the Earth.”

30Feng Li, Early China: A Social and Cultural History, 112-20; Roderick Campbell, Archaeology of the Chinese Bronze Age: From Erlitou to Anyang, 168-71.

31Bernhard Karlgren, The Book of Documents, 28-29; William H. Nienhauser, The Grand Scribe’s Records, vol. 1, 60-61. 司馬遷，《史記》，卷四〈周本紀〉，頁一二○至一二三。Jessica Rawson, “Western Zhou Archaeology”, 382.

32Lothar von Falkenhausen, Chinese Society in the Age of Confucius (1000-250 BC): The Archaeological Evidence; Yitzchak Jaffe, “The Continued Creation of Communities of Practice—Finding Variation in the Western Zhou Expansion (1046-771 BCE)”; Glenda E. Chao, “Culture Change and Imperial Incorporation in Early China: An Archaeological Study of the Middle Han River Valley (ca. 8th century BCE-1st century CE)”; Scott DeLancey, “The Origins of Sinitic.”

33Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 97-103, 247, 267, 293-99; Léon Vandermeersch, Wangdao; ou, La voie royale: Recherches sur l’esprit des institutions de la Chine archaïque, 1977; Nicholas Vogt, “Between Kin and King: Social Aspects of Western Zhou Ritual”; Yiqun Zhou, Festivals, Feasts, and Gender Relations in Ancient China and Greece.

34關於周代宗族，參看David Sena, “Reproducing Society: Lineage and Kinship in Western Zhou China”; Edward Shaughnessy, “Toward a Social Geography of the Zhouyuan during the Western Zhou Dynasty” and “Western Zhou Hoards and Family Histories in the Zhouyuan.” 周王的封賞，參看Feng Li, Landscape and Power in Early China: The Crisis and Fall of the Western Zhou, 1045-771 BC, 124; Feng Li, Bureaucracy and the Statee in Early China: Governing the Western Zhou, 173-80. 晁福林，《春秋戰國的社會變遷》，頁三一至三四。關於戰時獻納，參看兮甲盤，收入Constance A. Cook and Paul R. Goldin, A Source Book of Ancient Chinese Bronze Inscriptions, 184-86.

35國家文物局主編，《中國文物地圖集：陝西分冊》，頁四四至四五；中國社會科學院考古研究所編著，《中國考古學：兩周卷》，頁五六至六二；中國社會科學院考古研究所豐鎬隊，〈西安市長安區豐京遺址水系遺存的勘探與發掘〉；阿房宮與上林苑考古隊，〈西安市漢唐昆明池遺址區西周遺存的重要考古發現〉。

36Constance A. Cook, “Wealth and the Western Zhou”; Richard von Glahn, The Economic History of China: From Antiquity to the Nineteenth Century, 11-43. 裘錫圭，〈市〉。

37William Honeychurch, Inner Asia and the Spatial Politics of Empire: Archaeology, Mobility, and Culture Contact, 202-11; Roel Sterckx, “Attitudes towards Wildlife and the Hunt in Pre-Buddhist China”, 22.

38中國社會科學院考古研究所豐鎬隊，〈西安市長安區馮村北西周時期製骨作坊〉。Zhouyong Sun, Craft Production in the Western Zhou Dynasty (1046-771 BC): A Case Study of a Jue-Earrings Workshop at the Predynastic Capital Site, Zhouyuan, China.

39有一百四十一支錘、一百一十三把刀、三十八把錛、三十把斧、十五支鏟，以及四把鋤。只有四把鋤是明確的農具，其他工具也能用來做木工、挖土、採礦等等。陳振中編著，《先秦青銅生產工具》，頁五○至六二。這個背景下出土農具的兩例，參看中國科學院考古研究所編著，《灃西發掘報告：1955-1957年陝西長安縣灃西鄉考古發掘資料》，頁二○至二三；以及陝西周原考古隊，〈扶風雲塘西周骨器製造作坊遺址試掘簡報〉，頁三○。

40這首詩是《國風．豳風．七月》。Cho-yun Hsu, Ancient China in Transition: An Analysis of Social Mobility, 722-222 B.C., 8-11. 徐中舒，〈《豳風》說〉。

41David N. Keightley, “Public Work in Ancient China: A Study of Forced Labor in the Shang and Western Chou”, 296-300.

42古典文獻對於井田制的描述出自《孟子》、《周官》，以及《漢書》。James Legge, The Works of Mencius, 3A.244-45. 賈公彥，《周禮注疏》上冊，卷十一〈地官司徒第二．小司徒〉，頁三九○至三九六；班固，《漢書》卷二十四上，〈食貨志上〉，頁一一一九至一一二○。Nancy Lee Swann, Food & Money in Ancient China: The Earliest Economic History of China to A.D. 25, 116-20; Joseph R. Levenson, “Ill Wind in the Well-Field: The Erosion of the Confucian Ground of Controversy.”

43關於田官，《詩經》的《國風．豳風．七月》和《小雅．北山之什》〈大田〉、〈甫田〉都用了「田畯」一詞。金文的「畯」字（以及相關的「俊」和「駿」）都有近似於「大」的意思，可能與「在上位」的意義有關。《爾雅》和《說文解字》把「畯」釋為「農夫」，鄭玄和孫炎認為農夫是官銜（「主田之吏者」）：阮元校刻，《十三經注疏》，頁五九一、二五八二；方述鑫編，《甲骨金文字典》，頁一○六四。關於土地交易，參看Feng Li, “Literacy and the Social Contexts of Writing in the Western Zhou”, 284; Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 156-58; Laura Skosey, “The Legal System and Legal Tradition of the Western Zhou (ca. 1045-771 BCE)”, 323-26, 340-45. 《論語》提到的「徹」是一種賦稅形式（「什一而稅謂之徹」），有些學者相信這種賦稅形式存在於西周。但它似乎指的是田地布局，或許也計算田地所能生產的穀糧，而不是指賦稅或勞役。「徹」也出現在《大雅．生民之什．公劉》和《大雅．蕩之什．崧高》，「徹」在史牆盤的銘文指的是「管理、整頓」。Bernhard Karlgren, Glosses on the Book of Odes, 79. 阮元校刻，《十三經注疏》，頁五四三、五六六、二五○三；何琳儀，《戰國古文字典：戰國文字聲系》，頁九三二；方述鑫編，《甲骨金文字典》，頁二五一。

44分配給諸侯和官員的成百上千人，稱為「鬲」或「庶人」，但我們並不知道這兩個詞的確切意義。David N. Keightley, “Public Work in Ancient China,” 155-78; Léon Vandermeersch, Wangdao; ou, La voie royale: Recherches sur l’esprit des institutions de la Chine archaïque, 1980, 33-45, 115; Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 154. 關於作坊，參看Zhouyong Sun, Craft Production in the Western Zhou Dynasty (1046-771 BC): A Case Study of a Jue-Earrings Workshop at the Predynastic Capital Site, Zhouyuan, China. 以及陝西省考古研究院等編著，《周原：2000年度齊家製玦作坊和禮村遺址考古發掘報告》。

45朱鳳翰，《商周家族形態研究（增訂本）》。Edwin G. Pulleyblank, “Ji（姬） and Jiang（姜）: The Role of Exogamous Clans in the Organization of the Zhou Polity.”

46Constance A. Cook, “Wealth and the Western Zhou”, 284-86; Eugene Cooper, “The Potlatch in Ancient China: Parallels in the Sociopolitical Structure of the Ancient Chinese and the American Indians of the Northwest Coast”; Marshall Sahlins, “Poor Man, Rich Man, Big-Man, Chief: Political Types in Melanesia and Polynesia”, 296. 一八五七年時，俄羅斯帝國核心區域的農奴，仍有百分之四十五歸王室所有。Dominic Lieven, Empire: The Russian Empire and Its Rivals, 265.

47這個字由「土」與「晏」組成，想必和「堰」是同一個字。Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 42-43, 72, 202-12; Feng Li, “Succession and Promotion: Elite Mobility during the Western Zhou”; Feng Li, “Literacy and the Social Contexts of Writing in the Western Zhou.” 這一時期關中的政治地理，參看Feng Li, Landscape and Power in Early China: The Crisis and Fall of the Western Zhou, 1045-771 BC, 40-49. 據青銅禮器養簋（《殷周金文集成》編號四二四三）的銘文，周代朝廷在關中的五大城邑附近指派人員守堰。「堰」被解釋為堤壩（張亞初、劉雨，《西周金文官制研究》，頁二二），但這個字義在東漢以前未能證實，因此在這個例子裡大概和「偃」字同義。鄭玄注《周禮》將「梁」注為「水偃」，釋義為水壩或攔河壩中留出缺口，放置魚籠或網捕魚（孫詒讓，《周禮正義》第一冊，卷八〈天官．䱷人〉，頁三○○至三○一），但「梁」在《左傳》中似乎是指蓄水池。楊伯峻編著，《春秋左傳注》第三冊，襄公二十五年，頁一一○七。「匽」作為廁所，參看《周禮注疏》（收入阮元校刻，《十三經注疏》，頁六七六，〈天官．宮人〉）。至於「九陂」，「陂」（和「波」）字有太多相關的字義，包括堤壩、斜坡、水壩和濕地，因此不可能指出此處的確切意義為何。關於濕地和森林，參看逨盤、南宮柳鼎（《殷周金文集成》編號二八○五）、同簋（《殷周金文集成》編號四二七一）、免簋（《殷周金文集成》編號四二四○），以及免簠（《殷周金文集成》編號四六二六）上的銘文，收入Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 206-12.

48Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou. 尤其該書頁三○五至三一四。司字的金文字形結合了「」和「司」。

49韋伯根據《禮記》等著作，將這種以特定臣民繳納的所得賞賜官員的體系稱為「受俸制封建」（prebendal feudalism）。Max Weber, The Religion of China: Confucianism and Taoism, 36; James Legge, The Sacred Books of China: The Li Ki, 16, 27-28, 115; Léon Vandermeersch, Wangdao; ou, La voie royale: Recherches sur l’esprit des institutions de la Chine archaïque, 1980, 195-210; David N. Keightley, “Public Work in Ancient China: A Study of Forced Labor in the Shang and Western Chou”, 154, 208. 周王將土地從某人名下移轉給另一人的事例，參看Feng Li, Landscape and Power in Early China: The Crisis and Fall of the Western Zhou, 1045-771 BC, 133; Feng Li, “Literacy and the Social Contexts of Writing in the Western Zhou”, 280; and Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 176. 受任命者獲得的贈禮，參看Edward Shaughnessy, Sources of Western Zhou History: Inscribed Bronze Vessels, 81-83. 以及Yung-ti Li, “On the Function of Cowries in Shang and Western Zhou China.” 美國立國之初的情況，參看Gordon S. Wood, The Radicalism of the American Revolution, 287-93.

50周王將土地從某人名下移轉給另一人的事例，參看Feng Li, Landscape and Power in Early China: The Crisis and Fall of the Western Zhou, 1045-771 BC, 133; Feng Li, “Literacy and the Social Contexts of Writing in the Western Zhou”, 280; and Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 176. 後一例中，土地的前任持有者和繼受者是同氏，因此土地有可能是從某位自朝廷卸任的家族成員，移轉給另一位新近任官的家族成員。

51Richard Von Glahn, The Economic History of China: From Antiquity to the Nineteenth Century, 24. 商代的納貢，參看王宇信、楊升南主編，《甲骨學一百年》，頁五一六至五二一。Hung-Hsiang Chou, “Fu-X Ladies of the Shang Dynasty”, 361-65. 東周對早先朝貢體制的概念，參看Robin McNeal, “Spatial Models of the State in Early Chinese Texts: Tribute Networks and the Articulation of Power and Authority, in Shangshu ‘Yu Gong’ 禹貢 and Yi Zhoushu ‘Wang Hui’ 王會”; Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1509 (Zhao 13)（楊伯峻編著，《春秋左傳注》第四冊，昭公十三年，頁一三五八。）Bernhard Karlgren, The Book of Documents, 12-18. 黃懷信、張懋鎔、田旭東，《逸周書匯校集注》下冊，〈王會解第五十九〉。

52Xiang Wan, “The Horse in Pre-Imperial China,” 41-67; Herrlee G. Creel, The Origins of Statecraft in China: The Western Chou Empire, 266-73. Feng Li, Bureaucracy and the State in Early China. 此一書中，有一百多條引文提到與馬相關的官員。

53《大雅．文王之什．靈臺》，收入Bernhard Karlgren, The Book of Odes, 197; Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 207.（諫簋，《殷周金文集成》編號二四八五）。James Legge, The Works of Mencius, 1B.153-54. 梁柱、劉信芳編著，《雲夢龍崗秦簡》，簡片二七八、二七九、二五八、二五四。

54Melvin Thatcher, “Marriages of the Ruling Elite in the Spring and Autumn Period”; Marcel Granet, Festivals and Songs of Ancient China; Yu Dong et al., “Shifting Diets and the Rise of Male-Biased Inequality on the Central Plains of China during the Eastern Zhou.”

55Mark Edward Lewis, “The City-State in Spring and Autumn China.” 譚其驤，《中國歷史地圖集》，第一冊，頁二一；陳槃，《春秋大事表列國爵姓及存滅表譔異》。宗族獨立於公室之外向人民自行徵稅，參看Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1348-49, 1668-71 (Zhao 3, 26)（楊伯峻編著，《春秋左傳注》第四冊，昭公三年，頁一二三四；第四冊，昭公二十六年，頁一四八○）。人民在文化上趨於同質，參看Lothar von Falkenhausen, Chinese Society in the Age of Confucius (1000-250 BC): The Archaeological Evidence, 204-88. 以及Glenda E. Chao, “Culture Change and Imperial Incorporation in Early China: An Archaeological Study of the Middle Han River Valley (ca. 8th century BCE-1st century CE).” Dominic Lieven, Empire: The Russian Empire and Its Rivals, 240-241. 揭示了俄國與中國的明顯近似，他描述俄羅斯君王自十五世紀起吞併貴族土地，或者收為己有，或者分封給忠實的臣下。此舉使得俄羅斯王室掌控龐大資源，同時成為俄羅斯帝國建立的基礎所在。

56Mark E. Lewis, Sanctioned Violence in Early China; Kwang-chih Chang, Art, Myth, and Ritual: The Path to Political Authority in Ancient China; Susan Weld, “Covenant in Jin ‘s Walled Cities: The Discoveries at Houma and Wenxian”, 41-84; Roel Sterckx, Food, Sacrifice, and Sagehood in Early China, 122-66.

57Cho-yun Hsu, Ancient China in Transition: An Analysis of Social Mobility, 722-222 B.C., 38-51; Herrlee G. Creel, Shen Pu-Hai: A Chinese Political Philosopher of the Fourth Century BC, 1, 21; Andrew S. Meyer, “The Baseness of Knights Truly Runs Deep: The Crisis and Negotiation of Aristocratic Status in the Warring States.”

58關於西周審理及懲罰歹徒的法規，參看《尚書．康誥》，小盂鼎銘文，以及學界對「司寇」的討論。〈康誥〉中的「不典」一詞，有時被引述為法典存在的證據，卻不見於西周金文。參看顧頡剛、劉起釪，《尚書校釋譯論》，頁一三二○。Martin Kern, “Bronze Inscriptions, the Shijing and the Shangshu: The Evolution of the Ancestral Sacrifice during the Western Zhou”; Laura Skosey, “The Legal System and Legal Tradition of the Western Zhou (ca. 1045-771 BCE)”, 159, 176-78, 309-16; Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 74-75. 東周關於刑罰的文本，包括鑄於金屬鼎上的刑律，以及〈呂刑〉。Herrlee G. Creel, The Origins of Statecraft in China: The Western Chou Empire, 463; Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1402-5, 1702-3 (Zhao 6 and 29)（楊伯峻編著，《春秋左傳注》第四冊，昭公六年，頁一二七四至一二七七；第四冊，昭公二十九年，頁一五○四。）Ernest Caldwell, “Social Change and Written Law in Early Chinese Legal Thought.”

59Monica L. Smith, “Territories, Corridors, and Networks: A Biological Model for the Premodern State.”

60關於東周改革的許多記述，都從《國語》描述的齊國改革開始，我的論文（Brian Lander, “Environmental Change and the Rise of the Qin Empire: A Political Ecology of Ancient North China”, 193-94.）對此有更深入的討論，但那段文字是數百年後寫成的政治理論著作，而非對實況的描述。楊伯峻編著，《春秋左傳注》第二冊，成公元年，頁七八三至七八四。Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 704-5; Cho-yun Hsu, “The Spring and Autumn Period”, 573; Mark E. Lewis, Sanctioned Violence in Early China, 56-59. 而在普魯士，登記全國人口以供徵兵之用，同樣對於增強中央政府權力和削弱封建貴族發揮了重大作用。Christopher Clark, Iron Kingdom: The Rise and Downfall of Prussia, 1600-1947, 97-100.

61Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 974, 1268-71, and 1376. 楊伯峻編著，《春秋左傳注》第三冊，襄公十年，頁九八○至九八一；第三冊，襄公三十年，頁一一八○至一一八一；第四冊，昭公四年，頁一二五四。楊伯峻（《春秋左傳注》第三冊，襄公三十年，頁一一八一）主張「廬井」這個詞意指「村莊」（「廬井一詞，為田野之農舍」），表示這些改革是為了兵役或徵稅而將鄉村人民組織起來。鄭玄在《周禮注疏》中（阮元校刻，《十三經注疏》，〈地官．小司徒〉，頁七一二）陳述，「貢」指的是九穀和「山澤之材」；「賦」則指當兵和服徭役（「出車徒，給繇役」）。（另參看王先謙，《漢書補注》第三冊，〈食貨志第四上〉，頁一五六七至一五六八）我把「賦」英譯為「稅額」，這個詞同樣可以指稱兵役和賦稅。下文英譯的所有「稅額」用法都指「賦」。

62楊伯峻編著，《春秋左傳注》第三冊，襄公二十五年，頁一一○六至一一○八。Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1154-55. 孫詒讓，《周禮正義》第一冊，卷八〈天官．䱷人〉，頁三○○至三○一。甲午日是干支紀日法的其中一日。

63周代的各地諸侯國首先創設，用以管理邊遠地區的行政官職，看來是「宰」和「封人」，但我們對其職責所知甚少。司馬遷，《史記》，卷六十七〈仲尼弟子列傳〉，頁二一九三、二二○一、二二○七、二二一二；晁福林，《春秋戰國的社會變遷》，頁五五○；楊伯峻編著，《春秋左傳注》第一冊，隱公元年，頁十四；第二冊，成公三年，頁八一四。引文出自Cho-yun Hsu, “The Spring and Autumn Period”, 574. 另參看徐少華，《周代南土歷史地理與文化》，頁二七五至二九一；楊寬，〈春秋時代楚國縣制的性質問題〉。Herrlee G. Creel, “The Beginnings of Bureaucracy in China: The Origin of the Hsien”; Feng Li, Bureaucracy and the State in Early China: Governing the Western Zhou, 171.

64詳見本書第四章。「儒」通常被稱為「孔子學派」，但這個稱呼在此時並不適當，因為孔子及其弟子只是其中一群儒家。Mark E. Lewis, Writing and Authority in Early China, 57-60.

65由於孔子等儒者的意識型態以尊崇周朝體制為重心，他們對這套體制就比同時代多數人更熟悉，但也將它理想化。他們對西周制度的理解，大概由他們山東家鄉的傳統與《詩經》、《尚書》等文本資訊混合而成。《公羊傳》注斷言，《春秋》在記載新稅開徵之後立即記載饑荒，用意在於批判徵稅一事。參看James Legge, The Ch’un Ts’ew with The Tso Chuen, 329. 另參看阮元校刻，《十三經注疏》，頁一八八七（何休《左傳》注）、二二八六至二二八七（《春秋公羊傳注疏》）。Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 674-75. (Xuan 15)（參看楊伯峻編著，《春秋左傳注》第二冊，宣公十五年，頁七六六。）以及皮錫瑞，《經學通論》四，春秋，頁十六。

66徐元誥，《國語集解》，〈魯語下第五．季康子欲以田賦〉，頁二○六至二○七。Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1904-5. (Ai 11)（參看楊伯峻編著，《春秋左傳注》第四冊，哀公十一年，頁一六六七至一六六八）。

67《孟子注疏》，收入阮元校刻，《十三經注疏》，頁二七○二。James Legge, Mencius, 3A.240-42. 孟子區分了貢、助、徹三種榨取剩餘的形式，但不巧，它們的意義卻不太清楚。（《孟子．滕文公上》：「夏后氏五十而貢，殷人七十而助，周人百畝而徹，其實皆什一也。」注疏：「民耕五十畝，貢上五畝；耕七十畝者，以七畝助公家；耕百畝者徹，取十畝以為賦。雖異名而多少同，故曰『皆什一也』。」）

68第一段引文出自Mei-kao Ku, A Chinese Mirror for Magistrates: The Hsin-Yu of Lu Chia, 110. 參看王利器，《新語校注》，卷下〈至德第八〉，頁一二四。第二段引文出自Stephen Durrant, Wai-yee Li, and David Schaberg, Zuo Tradition, 1584-85. (Zhao 20)（楊伯峻編著，《春秋左傳注》第四冊，昭公二十年，頁一四一七至一四一八），阮元校刻，《十三經注疏》，頁二三八八（《春秋穀梁傳注疏》）。參看James Legge, Mencius, 1B.153-54, 162.

69Edward H. Schafer, “Hunting Parks and Animal Enclosures in Ancient China”; Thomas Allsen, The Royal Hunt in Eurasian History; Gilbert L. Mattos, The Stone Drums of Ch’in, 105-7; Charles Sanft, “Environment and Law in Early Imperial China (Third Century, BCE-First Century CE): Qin and Han Statutes Concerning Natural Resources”; Ian M Miller, “Forestry and the Politics of Sustainability in Early China.”

70Victoria Tin-bor Hui, War and State Formation in Ancient China and Early Modern Europe; Roy Bin Wong and Jean-Laurent Rosenthal, Before and Beyond Divergence: The Politics of Economic Change in China and Europe; Chi Lu Chiang, “The Scale of War in the Warring States Period”; Mark E Lewis, “Warring States Political History,” 620-32; Cho-yun Hsu, Ancient China in Transition: An Analysis of Social Mobility, 53-77; Robin D. S. Yates, “Early China.”

71Richard Von Glahn, The Economic History of China: From Antiquity to the Nineteenth Century, chap. 2; Cho-yun Hsu, Ancient China in Transition: An Analysis of Social Mobility, 722-222 B.C., 107-39; Hung Wu, “The Art and Architecture of the Warring States Period”, 654, 679-81. 江村治樹，《春秋戦国時代青銅貨幣の生成と展開》。Yohei Kakinuma, ”The Emergence and Spread of Coins in China from the Spring and Autumn Period to the Warring States Period”; Ke Peng, “Coinage and Commercial Development in Eastern Zhou China”; John Knoblock and Jeffrey Riegel, The Annals of Lu Buwei: A Complete Translation and Study, 3-9; Rose Kerr and Nigel Wood, Science and Civilisation in China, vol. 5.12, 302; Dieter Kuhn, Science and Civilisation in China, vol. 5.9, 3-4, 159-60. 司馬遷，《史記》，卷一二九〈貨殖列傳〉，頁三二五三至三二八四。William H. Nienhauser, The Grand Scribe’s Records, vol. 9, 261-301.

72William Honeychurch, Inner Asia and the Spatial Politics of Empire: Archaeology, Mobility, and Culture Contact, 128-29, 160-63, 210-15, 246-49.

73更多細節參看Mark E. Lewis, “Warring States Political History”; Herrlee G. Creel, Shen Pu-Hai: A Chinese Political Philosopher of the Fourth Century BC.

74Eugene Kamenka, Bureaucracy; Max Weber, Economy and Society: An Outline of Interpretive Sociology, 973.

75Mark E. Lewis, “Warring States Political History”; Feng Li and David Branner, Writing and Literacy in Early China; Haicheng Wang, Writing and the Ancient State: Early China in Comparative Perspective, chapter 4.

76曹錦炎，《古代璽印》，頁二至十。Mark E. Lewis, “Warring States Political History,” 608.

77Joseph W. Dauben, “Suan Shu Shu: A Book on Numbers and Computations; English Translation with Commentary.” 朱漢民、陳松長主編，《嶽麓書院藏秦簡》第二卷。Brian Lander, “State Management of River Dikes in Early China: New Sources on the Environmental History of the Central Yangzi Region.” 楊博，〈北大藏秦簡《田書》初識〉。Roger T. Ames, Sun-Tzu: The Art of Warfare; The First English Translation Incorporating the Recently Discovered Yin-Ch’ueh-Shan Texts, 174-76; A.F.P. Hulsewé, Remnants of Ch’in Law: An Annotated Translation of the Ch’in Legal and Administrative Rules of the 3rd Century B.C. Discovered in Yun-Meng Prefecture, Hu-Pei Province, in 1975, 208-9; Charles Sanft, Communication and Cooperation in Early Imperial China: Publicizing the Qin Dynasty.

78Donald J. Harper, “Resurrection in Warring States Popular Religion,” 17.

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