剑桥中国先秦史 contents

THE CAMBRIDGE HISTORY OF ANCIENT CHINA In The Cambridge History of Ancient China fourteen leading scholars provide a survey of the cultural, intellectual, political, and institutional developments of pre-imperial China (from the beginnings of civilization to 221 B.C.). Drawing on both traditional and newly discovered sources, specialists in history, archaeology, palaeography and art history write the eight core chap- ters treating the Shang, Western Zhou, Spring and Autumn, and Warring States periods. Chapters on the pre-historic background and the growth of language provide the major context of China's achievements during the 1500 years under review. The teachings of China's early masters are set alongside what is known of the methods of astronomers, physicians, and diviners (including discussion of technical skills revealed in recently discovered manuscripts of the fourth and third centuries B.C.). Two final chapters show how China's developments relate to the growth of independent cultures in Central Asia and how many of the characteristic elements of the early em- pires (the Qin and Han) are indebted to pre-imperial precedents. The last chapter leads the reader forward to imperial times as described in the volumes of The Cambridge History of China. Michael Loewe, retired Lecturer in Chinese at the University of Cambridge, is one of the world's leading authorities on China's Han dynasty (202 B.C.—A.D. 220). He is the author of numerous books, including Ways to Par- adise: The Chinese Quest for Immortality (1994); Divination, Mythology and Monarchy in Han China (1994); and Early Chinese Texts: A Bibliographic Guide (1993). He is co-editor of The Cambridge History of China, Vol. 1: The Ch'in and Han Empires 221 B.C.-A.D. 220 (1986). Edward Shaughnessy is Lorraine J. and Herrlee G. Creel Professor of Early China at the University of Chicago. He specializes on Bronze Age China, with special interests in the Chinese classics and in palaeography. Long-time editor of Early China, he is also the author of Before Confucius: Studies in the Creation of the Chinese Classics (1997), I Ching: The Classic of Changes, The First English Translation of the Newly Discovered Second-Century BC Mawangdui Texts (1996), and Sources of Western Zhou History: Inscribed Bronze Vessels (1991). Cambridge Histories Online © Cambridge University Press, 2008 Cambridge Histories Online © Cambridge University Press, 2008 THE CAMBRIDGE HISTORY OF ANCIENT CHINA From the Origins of Civilization to 221 B.C. Edited by MICHAEL LOEWE and EDWARD L. SHAUGHNESSY CAMBRIDGE UNIVERSITY PRESS Cambridge Histories Online © Cambridge University Press, 2008 CAMBRIDGE UNIVERSITY PRESS Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, Sao Paulo Cambridge University Press 40 West 20th Street, New York, NY 10011-4211, USA www.cambridge.org Information on this title:www.cambridge.org/9780521470308 © Cambridge University Press 1999 This publication is in copyright. Subject to statutory exception and to the provisions of relevant collective licensing agreements, no reproduction of any part may take place without the written permission of Cambridge University Press. First published 1999 Reprinted 2004, 2006 Printed in the United States of America A catalogue record for this book is available from the British Library. Library of Congress Cataloguing in Publication Data The Cambridge history of ancient China / edited by Michael Loewe, Edward L. Shaughnessy. p. cm. Includes bibliographical references and index. ISBN 0-521-47030-7 1. China — History — To 221 B.C. 2. China — Civilization — To 221 B.C. 3. China — Antiquities. 1. Shaughnessy, Edward L., 1952— . II. Loewe, Michael. DS741.5.C35 1998 931—dc21 97-33203 CIP ISBN-13 978-0-521 -47030-8 hardback ISBN-10 0-521 -47030-7 hardback Cambridge University Press has no responsibility for the persistence or accuracy of URLs for external or third-party Internet Web sites referred to in this publication and does not guarantee that any content on such Web sites is, or will remain, accurate or appropriate. Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS List of Maps, Tables, and Figures page xiii Conventions xxiv Abbreviations xxvii Acknowledgments xxviii Introduction i by Michael Loewe, University of Cambridge, and Edward L. Shaughnessy, University of Chicago The Development of Historical Approaches and the Impact of Archaeology in the Study of Ancient China 2 The Sources 7 Literary Sources, 7 • Material Sources, 10 Chinas Idealized Past 11 The Scope of the Present Volume 13 Calendar and Chronology 19 by Edward L. Shaughnessy, University of Chicago T h e Environment of Ancient China 30 by David N. Keightley, University of California, Berkeley Geography 30 The Coastline, 30 • The Major Rivers, 31 Climate and Environment 33 1 China on the Eve of the Historical Period 37 by Kwang-chih Chang, Harvard University and Academia Sinica The Palaeographic Stage of East Asia and Its Settlement by Humans 37 Cambridge Histories Online © Cambridge University Press, 2008 VI CONTENTS Beginnings of the Agricultural Way of Life 42 Regional Cultures of the Early Farmers 47 Xinglongwa, Xinle, and Hongshan Cultures, 48 • Yangshao Culture (5000-3000 B.C.), 49 • Dawenkou Culture (5000-3000 B.C.), 52 • Majiabang and Hemudu Cultures (5000—3500 B.C.) 52 • Daxi Culture (5000—3000 B.C.) 53 • Dapenkeng Culture (5000—2500 B.C.) 54 Formation of a Chinese Interaction Sphere and the Development of Regional Cultures 54 T h e "Ten Thousand States" on the Eve of the Historical Period 59 Mythology, China's Origins, and the Xia Dynasty 65 The Cosmogony of the Ancient Periods, 66 • The Heroes, 68 • The Legendary Kings, 70 T h e Question of the Xia Dynasty 71 2 Language a n d Wr i t ing 74 by William G. Boltz, University of Washington T h e Chinese Language 75 Austroasiatic, 81 • Indo-European, 83 • Periodization, 88 • Typology, 91 • Linguistic Philosophy, 95 • The Sound System of Old Chinese, 100 T h e Chinese Script 106 The Zodiographic Stage, 109 • The Multivalent Stage, 114 • The Determinative Stage, 118 3 Shang Archaeology 124 by Robert Bagley, Princeton University T h e Archaeology of the Shang Dynasty 126 T h e Archaeology of Bronze Metallurgy 136 A Definition of the Bronze Age, 136 • The Development of the Bronze Industry, 139 • The Archaeological Record, 155 T h e Early Bronze Age 158 Erlitou and the Erlitou Culture, 158 • Zhengzhou: Type Site of the Erligang Culture, 165 • Panlongcheng and the Erligang Horizon, 168 • The Emergence of Regional Powers: Xin'gan and the Wucheng Culture, r7i • Sites of the Transition Period in Anhui, Hebei, and Shaanxi, 175 • Anyang ca. 1200 B.C., 180 • The Middle Yangzi Region: Southern Hubei, Northern Hunan, 208 • The Chengdu Plain: Sanxingdui, 212 • Sufutun, 219 • The Northern Zone, 221 • The Wei River Valley, 226 • Archaeology and Traditional History, 229 Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS Vll T h e Shang: Chinas First Historical Dynasty 232 by David N. Keightley, University of California, Berkeley Sources 233 Traditional Accounts, 233 • Bronze Inscriptions, 235 • Oracle-Bone Inscriptions, 236 Chronology 247 Absolute Dating, 247 • Relative Dating, Z49 Time and the Calendar 249 Royal Shang Religion 251 The Upper Pantheon, 252 • The Ancestors, 255 • Treatment of the Dead, 263 The Dynastic State 269 The Political and Cultural Landscape, 269 • The Royal Lineage, 270 • Non-Royal Lineages, 272 • Local Officers, Chiefs, and Rulers, 272 • King List and Polity, 273 • Royal Succession and Temple Names, 273 • The Royal Women, 274 • Political Geography, 275 • Agriculture, 277 • Tribute Offerings and Service, 281 • Dependent Labor, 282 • Mobilization and Warfare, 284 • Slave Society, 285 • Personnel Decisions and Incipient Bureaucracy, 286 Political and Military Developments 288 The Legacy of Shang 289 Western Z h o u History 292 by Edward L. Shaughnessy, University of Chicago Sources 293 Shang shu, 294 • Shi jing, 295 • Zhou Yi, 295 • Later Histories, 296 • Bronze Inscriptions, 296 • The Extent of Writing During the Western Zhou, 297 Legendary Evidence for Zhou Before the Conquest of Shang 299 Inscriptional and Archaeological Evidence for Zhou Before the Conquest of Shang 302 Traditional Accounts, 303 • Shang Oracle-Bone Evidence, 305 • Archaeological Evidence, 305 The Zhou Conquest of Shang 307 Campaigns Under King Wen, 307 • The Conquest Campaign, 309 • The Death of King Wu and the Succession Crisis, 310 • Colonization of the East, 311 The Philosophical Foundation of Zhou Rule 313 The Role of Heaven in Royal Authority, 314 • The Debate Between Zhou Gong and Shao Gong, 315 • The Retirement of Zhou Gong, 317 Consolidation of Zhou Rule 317 Cambridge Histories Online © Cambridge University Press, 2008 Vll l CONTENTS Appointments to Rule Lands as Seen in Bronze Inscriptions, 318 • Military Expansion, 320 • King Zhao's Southern Campaign, 322 T h e Middle Western Zhou Reforms 323 War with the Xu Rong, 323 • Reform of the Zhou Military, 325 • Reform of Court Offices, 326 • Land Reforms, 326 T h e Decline of the Zhou Royal House 328 T h e Development of the Late Western Zhou Worldview 331 Changes in Ritual and the Development of Poetry, 332 • Poetic Evocations and the Origin of the Zhou yi, 338 T h e Decline and Fall of Western Zhou 342 T h e Legacy of Western Zhou 351 6 Wes te rn Z h o u Archaeology 352 by Jessica Rawson, Merton College, Oxford T h e Material Record 353 Criteria for Dating, 358 • Inscriptions, 364 • Tombs, Hoards, and Archaeological Finds as Sources of Information, 368 Pre-Conquest Shaanxi Province and the Zhou Conquest 375 Pre-Conquest Shaanxi, 375 • Adjacent Areas, 382 • The Conquest, 385 Early Western Zhou 390 The Zhouyuan, 390 • The Capitals Feng and Hao, 393 • Small States and Outposts in Other Parts of Shaanxi, 397 • The States of Northern Central China, 403 Middle Western Zhou 414 Sites and Their Bronzes, 414 • Southern Connections, 423 • Eastern China, 425 • The Han and Huai Rivers, 427 • Bells, 427 • The Use of Jade, 430 Late Western Zhou 433 The Ritual Revolution, 433 • The State of Jin and Other Late Western Zhou Finds Outside Shaanxi, 440 Conclusion 446 7 The Waning of the Bronze Age: Material Culture and Social Developments, 770—481 B.C. 450 by Lothar von Falkenhausen, University of California, Los Angeles Settlement Sites and Activity Areas 453 Bronzes: General Stylistic and Technological Trends 463 Cemeteries and Tombs in Northern and Central Henan 470 Finds from Jin Cemeteries 481 Finds from Qin Cemeteries 486 The Cemeteries at Qufu 497 Tombs of the High Elite in the Eastern Part of the Zhou Realm 501 Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS IX The Middle Han River Basin 510 Early Chu Finds 514 The Southeastern Regional Cultures 525 Other Southern Regional Cultures 539 The Northern and Northeastern Regions 542 Conclusion 542 8 The Spring and Autumn Period 545 by Cho-yun Hsu, University of Pittsburgh and Academia Sinica The Fall of the Western Zhou 545 The Beginning of the Spring and Autumn Period 547 The Zhou States, 547 • The Non-Zhou Peoples, 548 The Formation of the Ba System 551 The Leadership of Zheng, 551 • The Leadership of Qi, 553 • Interstate Meetings, 556 • The Leadership of Jin, 558 • The Emergence of Chu, 560 A Multistate System 562 A Balance of Power, 562 • The Rise of Wu and Yue, 563 • The Transformation of the Ba System, 565 Social Developments 566 Kinship Structure, 566 • Inclusion of Non-Zhou Elements, 569 Changes in State Structure 570 Secondary Feudalization, 570 • State Administration, 572 • Local Administration, 574 Economic Developments 575 Land Tenure and Production, 576 • Metallurgy, 578 • Commerce, 580 • The Appearance of Currency, 581 Intellectual Developments 583 The Shi, 583 • A Weakening Tradition, 584 • Confucius, 585 Conclusion 586 9 Warring States: Political History 587 by Mark Edward Lewis, University of Cambridge Sources 588 Chronicles, 588 • Works on Political Methods, 589 • Government Documents, 589 • Military Treatises, 590 • Persuasions, 590 • Texts of the Schools, 591 • Ritual Texts, 591 • Geographic Works, 592 • Poetry, 592 • Han Anecdotal Collections, 592 The States 593 Yan, 594 • Qi, 595 • Wei, 595 • Zhao, 596 • Hann, 596 • Qin, 596 • Chu, 597 Cambridge Histories Online © Cambridge University Press, 2008 X CONTENTS The Ruler-Centered State 597 Institutions of the Warring States 603 The Formation of a Multistate World 616 The Military Arts 620 Composition, 621 • Armaments, 622 • Size of Armies, 625 • Scale, 628 • Defensive Walls, 629 • The Arts of War, 630 Alliances and Persuaders 632 The Decline of Wei, 353-322 B.C., 634 • Qin's Territorial Consolidation, 635 • The Period of Qi, 301-284 B.C., 635 • The Period of Zhao, 284-260 B.C., 638 Scholars and the State 641 Human Geography 645 10 The Art and Architecture of the Warring States Period 651 by Wu Hung, University of Chicago Art and Architecture of the Living 653 Architecture: Cities and Palaces, 653 • Art: Vessels, Ornaments, Painting, and Sculpture, 675 Art and Architecture for the Dead 707 Architecture: Graves and Graveyards, 708 • Art: Grave Furnishings, 727 11 The Classical Philosophical Writings 745 by David Shepherd Nivison, Stanford University Sources 745 The Political Context 747 Basic Concepts 748 Confucius 752 As a Writer and Transmitter, 753 • Li, 755 • Consideration (shu), 756 • Rectification of Names, 757 • Attitude to History, 758 Mozi 759 Moral Values, 760 • Impartial Caring, 763 Fourth Century: Yang Zhu, Zi Huazi 765 Yi ("Honor") and Its Value, 765 • The Cultivation of Sheng, 767 • The Mutual Recognition of Kings: The Jixia Academy, 769 Mencius 770 The Acquisition of De, 771 • The Goodness of Human Nature and the Cultivation of Morality, 773 • Nourishment of Qi and Ethical Values, 775 The Sophists 779 Hui Shi: The Fallacy of Absolute Terms, 779 • Six Mohist Chapters: Limits and Their Possibility, 780 • Four Types of Argument, 781 • Gongsun Long and the White Horse, 782 Cambridge Histories Online © Cambridge University Press, 2008 CONTENTS XI Zhuangzi 783 The Basis of Knowledge: Non-Involvement, 783 • Detachment, Emotions, and Their Origin, 784 • Dao and Its Comprehension, 788 • Accommodation with Death, 789 Xunzi 790 The Mind and Its Capacity, 792 • The Origins of Morality and the Need for Li, 794 • The Lessons and Values of the Past, 796 • "Zheng Ming," 797 Han Feizi, Laozi, Legalism, and Daoism 799 The Relations of Ruler and Minister, 800 • The Laozi, Zhuangzi, the Dao and De, 802 • Fa, Shu, and Shi, 806 The Lit Shi chunqiu and Correlative Thinking 808 Yin-Yang and the Five Phases, or Powers, 809 • Correlative Thinking and Science, 810 12 Warring States Natural Philosophy and Occult T h o u g h t 813 by Donald Harper, University of Arizona Definitions and Sources 815 Warring States Natural Experts and Occultists and Their Texts 820 Astrology and the Calendar 831 The Structure of Heaven, 833 • Almanacs and Other Astro-Calendrical Texts, 843 Turtle and Milfoil Divination 852 Yin-Yang and Five Phases 860 Religion and Magic 866 Medicine 874 Conclusion 883 13 The Northern Frontier in Pre-Imperial China 885 by Nicola Di Cosmo, Harvard University Periodization of the Northern Zone Cultures 888 The Second Millennium B.C., 889 • Western Zhou to Early Spring and Autumn (ca. 1000-650 B.C.), 890 • Mid-Spring and Autumn to Early Warring States (ca. 650-350 B.C.), 890 • Late Warring States to Qin (ca. 350-209 B.C.), 892 The Northern Frontier in the Second Millennium B.C. 893 The Northern Zone Complex: Denning Characteristics, 893 • Geographic Distribution, 896 • Relationship with the Shang Civilization, 902 • Relationship with Northern and Central Asia, 905 • Northern and Western Peoples in the Historical Records, 907 Western Zhou to Early Spring and Autumn (ca. 1000—650 B.C.) 909 Cambridge Histories Online © Cambridge University Press, 2008 Xll CONTENTS Transition to Pastoral Nomadism, 909 • Evidence of Pastoralism in the Northern Zone, 912 • Distribution of Northern Cultures, 914 • Historical Survey, 919 Mid-Spring and Autumn Period to the Mid-Warring States (ca. 650-350 B.C.) 924 Development of Early Nomadic Cultures in Northern China, 924 • Major Archaeological Cultures, 927 • Metal Artifacts Associated with Early Nomadic Sites, 944 • Historical Survey, 947 Late Warring States to Qin (ca. 350-209 B.C.) 951 Archaeological Cultures of the Northern Zone During the Late Warring States, 952 • Relations Between the Northern Nomads and Central States, 960 • Chinese Knowledge of the Northern Peoples, 962 • The Rise of the Xiongnu, 964 14 T h e Heritage Left to the Empires 967 by Michael Loewe, University of Cambridge The Creation of Empire and Its Hazards 969 The Lessons of the Past 971 Religious Rites 978 The Teachings of the Masters 982 Huang Lao Thought and Xing Ming, 986 The Tradition of Kingship 988 A Sense of Unity 991 Mythology, 992 • Terminology, 992 • Zones and Hierarchies, 995 • A Cosmic System, 997 • Imperial Claims and Harsh Realities, 998 Institutional Norms and Administrative Practice 1002 The Concept and Practice of Law, 1003 • Documentation, 1010 • The Calendar and Registers of the Population and the Land, 1012 • The Offices of State, 1016 • Military Organization, 1020 • Attempts at Economic Control, 1022 Cities, Palaces, and Royal Shrines and Tombs 1024 Conclusion 1031 Bibliography 1033 Index 1113 Cambridge Histories Online © Cambridge University Press, 2008 MAPS, TABLES, AND FIGURES MAPS i Topography of China xxx I.I Major regional cultures in China around 5000 B.C. recognized by archaeology 49 2.1 Sites associated with Sino-Tibetan language family 85 3.1 Archaeological sites of the Early Bronze Age 128 4.1 Shang sites in the Xiaotun core area 276 5.1 Sites related to Zhou prior to the conquest of Shang 304 5.2 Zhou military campaigns under Kings Wen and Wu 308 5.3 Major Zhou colonies 313 6.1 Archaeological sites of the Western Zhou period 354 6.2 Archaeological sites in the Zhouyuan 357 7.1 Archaeological sites of the Spring and Autumn period 452 8.1 Major states of the Spring and Autumn period 548 9.1 Major states of the Warring States period 594 9.2 The expansion of Qin ca. 350—249 B.C. 636 13.1 Northern Zone: Archaeological sites of the second millennium B.C. 897 13.2 Northern Zone: Archaeological sites of the Western and early Eastern Zhou periods (1000—650 B.C.) 915 13.3 Northern Zone: Archaeological sites of the "early nomadic period" (ca. 650—350 B.C.) 928 13.4 Northern Zone: Archaeological sites in Xinjiang 942 13.5 Northern Zone: Archaeological sites of the fourth phase (350-209 B.C.) 954 Cambridge Histories Online © Cambridge University Press, 2008 XIV MAPS, TABLES, AND FIGURES TABLES i Reign dates 25 (a) Shang 25 (b) Western Zhou 25 (c) Spring and Autumn 26-27 (d) Warring States 28-29 2.1 Comparison of words in the Sino-Tibetan language family 79 2.2 Old Chinese Shi jing finals 104 2.3 Old Chinese ganzhi initials 105 2.4 Chinese characters commonly viewed as pictographic in 2.5 Paronomastic (rebus) usages of Chinese zodiographs 115 2.6 Examples of semantic determinative usages 119 4.1 Diviner groups: Periodization and chronology 240 7.1 Bronze assemblages excavated at the Guo cemetery at Shangcunling, Sanmenxia, Henan 473 7.2 Bronze assemblages excavated from Spring and Autumn period Qin aristocratic tombs 492 7.3 Bronze assemblages excavated at the Xue cemetery at Xuecheng, Tengzhou, Shandong 504 7.4 Bronze assemblages excavated at the Yuan lineage cemetery at Xiasi, Xichuan, Henan 522 FIGURES 1 Principal types of Shang and Zhou bronze vessels xxii 1.1 The site of Zhoukoudian, Beijing 40 1.2 Ripened ears of foxtail millet, common millet, and rice 44 1.3 Artifacts of Peiligang and Cishan cultures o