Early Chinese History: The State of the Field Author(s): Cho-Yun Hsu Source: The Journal of Asian Studies,

Vol. 38, No. 3 (May, 1979), pp. 453-475 Published by: Association for Asian Studies Stable URL: http://www.jstor.org/stable/2053782 . Accessed: 13/10/2011 03:34
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VOL. XXXVIII, No. 3

JOURNAL OF ASIAN STUDIES

MAY I979

The StateoftheField EarlyChineseHistory:

CHO-YUN Hsu will surveyrecentscholarshipon severalmajor issues in the of the beginning of political, social, and economichistory ancientChina, from aspectswill be the Shang Dynastyto the end of the Han Dynasty.Archaeological discussedonlywhentheirhistorical significance requires sincethearchaeological it, of decadeshavealreadybeen the subjectof Professor discoveries recent Kwang-chih of Chang's state-of-the-field articlein TheJournal AsianStudies.1 This report considers scholarship producedbetweenI949 and I977; afterI949 tookdivergent theworkofChinesescholars paths. by separated theTaiwan Strait in and on Sinologicalactivities Japanhave revived, Since the I950S, moreover, expanded.This paper will select AmericancampusesChinese studieshave greatly to China in Chinese, contributions thestudyofearly and assesssignificant Japanese, traveled the and English. I will, wherever possible,avoid retreading groundalready A. and some scholarship from by AlbertFeuerwerker, F. P. Hulsewe and others,2 the People's Republic of China which has been mentionedin the work of these will be omitted Westernstudents here. The development the fieldof history earlyChina duringthe past quarterof of Chinese scholarson both sides of the Taiwan Strait centuryhas been remarkable. have made great efforts preserve theirmeaning. to sourcematerials and interpret oftenconditionthe orientation scholarship, of a Althoughpolitical considerations number of first-rate works have been produced, both on the mainland and in Taiwan. At the same time, the growthof Sinologyin the United Statesand the in revivalof interest China in postwarJapanhave made Chinesestudiesan interdistance,and With a detachment bornofculturaland physical nationalenterprise. in with the assistanceofdisciplinary tools ofsocial sciencesthathavenot flourished China, Japanese and Americanscholarshave gained some advantagesover their Chinese colleagues.3Unfortunately, thepresent at timecooperation acrossnational
Cho-yun Hsu is Professorof History at the Asia Council of the AssociationforAsian Studies, of University Pittsburgh. with the assistanceof a grantfromthe American The authortakesthisopportunity express to his Council ofLearnedSocieties. gratitude to Professors Robert Kapp and Evelyn 1 K. C. Chang, "Chinese ArchaeologySince 623-47. Rawski fortheirhelp in editing this manuscript, I949, JAS, 36: 4 (977), and to the University Center of International 2 AlbertFeuerwerker, in ed., History Communist Studies, University of Pittsburgh, for a grant China (Cambridge: M.I.T. Press, I968). 3 Japanesescholarsunderwent soul-searching which covered part of his expenses in collecting a materials outside of Pittsburgh. He also thanks effort duringthe i 960s to determine their research the staff the DepartmentofHistorywho helped directions.One ofthecommoncrieswas therejecof to type the manuscript from his handwritten tion of conventional"historicalpositivism." The draft.The namesof Chinese authorswhoseworks movementstartedin the fieldofstudiesofmodern in Chinese are cited here are romanized with China; its impact, however,reached the fieldof surname first. Surname follows personal name early Chinese history as well. See Noriko when English-languageworksby the same author Kamachi, "Historical Consciousness and Identity: are cited. This paper was commissionedforthe Debate ofJapaneseChina SpecialistsoverAmeri"State of the Field" seriesby the China and Inner can ResearchFund,"JAS, 34: 4 (I975), 98 I-95. 453

In this essay, I

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borders is inadequate. Historians in the Western world oftenbenefitfromthe published researchof Chinese and Japanesescholars;the Japaneseare generally in betterinformed about workin Chinesethanabout research Westernlanguages; and Chinese scholarsfrequently ignorethe contributions Japaneseand Western of has studies. Chinesescholarship been hurtthemostby thisthree-level one-way but is traffic, scholarship but everywhere poorer it. Activedebatesinvolving for scholars fromChina, Japan, and the West are practically non-existent. a result,in this As of it to survey scholarship is necessary selectcarefully thoseissuesthatarefrequently discussed by scholarsfrommorethan one country, even if Chinese,Japanese,and Westernhistorians notall equallyinvolved. are The Problem of Periodization: Slaveryand Feudalism Historical studies in the People's Republic of China have been dominatedby of conflicting interpretations the social characteristics each historicalperiod: of modes of production,patternsof land tenure,tools of production,and related issues. At the centerof debate, of course,is the problemofperiodization, whichis in ofgreatrelevance fitting Chinesehistory intotheMarxist framework. appearThe in ance of the journal Li-shihyen-chiu I954 showed that historicalstudies had become firmly wedded to Marxism. Most early China scholarsin the People's Republic follow the interpretation Marxist evolutionism,and focus on how of in ancientChinesesociety bestbe understood theMarxist can framework.4 historical The nature of Shang society, in comparisonwith that of otherperiods, seemed relatively easy to determine: Shang society had entered stageof slavery, Kuo the as Mo-jo and Hou Wai-lu maintained.5 What bothered historians, the however, was that the evidencedid not supportthe hypothesis that slaves shouldered the main work. It becamenecessary, productive therefore, explainthediscrepancy to between and evidence.One ofthe mostcommonly theory was thatShang proposedsolutions a slaveryrepresented particular Asiatic mode ofproduction whichdiffered from the slaveryprevalentin classicalEuropeanantiquity.The notionofan Asiaticmode of production,which was not clearlydefinedby Marx, providedindividualChinese scholarswitha way ofsubsuming varioussystems, suchas patriarchal clan systems, primitive communes, and Orientaldespotism underthetermof"Shangslavery."6 It is interesting that all these discussionshave relied heavilyon literary quotations fromeitherthe ancientclassics or fromoracle bone inscriptions. The remarkable amount of new archaeologicalevidencefromShang seems to have had relatively littleimpacton thedebateamonghistorians.7
4 The problem of periodization is one of the most hotly debated topics. Articlesdealing with this topic appeared in two anthologiesedited by Chung-kuo the Editorial Board of Li-shihyen-chiu: wen-t'i lunfen-ch'i ti nu-li-chih feng-chien-chih yii wen-chi (Peking: San-lien, I956); and Chung-kuo ku-tai-shihfen-ch'i wen-t'i t'ao-lun-chi(Peking: San-lien, I957). 5 Kuo Mo-jo, "Nu-li-chih shih-tai,"in Chungwen-t'i yii fen-ch'i kuo ti nu-li-chih feng-chien-chih ku-tai she-hui lun-wen-chi; Hou Wai-lu, Chung-kuo shih(Peking: San-lien, I 949). 6 For instance, Su Shih-tsengpoints out the in heterogeneity the Hsia-Shang slavery "Hsiaof

tai ho Shang-tai ti nu-li-chih." Hsu Hsi-sheng by and Chu Pen-yuanexplainedthe heterogeneity Hsu, "Shangciting its oriental characteristics. Yin nu-li-chih t'e-cheng ti t'an-t'ao," and Chu, "Lun Yin-tai sheng-ch'an tsu-liao ti so-yu-chih ku-taihsin-shih." All are included in Chung-kuo pp. 57-82 and shihfen-ch'iwen-t'it'ao-lun-chi, 83-I25, respectively. ' The most commonly cited archaeological which findingis the evidence of human sacrifice, the Chinese historiansconsider evidence of the prevalence of slavery. For instance, Hu Houhsuan, "Chung-kuo nu-li she-hui ti jen-hsunho No. jen-chi," Wen-wu, 7 (i974), pp. 74-84; and

EARLY CHINESE HISTORY

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published his of In I954, Kuo Mo-jo, the patriarch Communisthistorians, in shih-tai, whichhe tooka new positionon whenthe revisedversionof Nu-li-chih slave period ended. Kuo declared that the slaverysystempersistedthroughthe until the end of the Ch'un-ch'iuperiod. Yin-Shang and muchof the Chou dynasty Li The landlordclass arose as slave societygave way to feudalsociety.8 Ya-nung's studyof slave societyand feudalsocietywas also publishedin I954. Li viewedthe WesternChou period as a slave societyunderthe controlof patriarchal authority. after revolution a to The year827 B.C., whenKing Hsuan was restored the throne "of peasantsand slaves" thatoverthrew King Li, is regarded Li as thebeginning by Hou Wai-lu, perhapsthe best Marxisttheoretician of the periodof feudalsociety.9 in is on among historians China, arguedin the late I950S thatfeudalsociety formed such an economy, of the foundation small farmand domesticcottage industries; and accordingto Hou, began to appearin Chinaas earlyas theShangYang Reform, 10 formalized Han dynasty. was completely duringtheearly can be foundin two A broad spectrumof different opinionson periodization and yen-chiu publishedin Li-shih anthologiesfromthe I950S of articlesoriginally a of otherscholarly silenceimposedby thedogmaticrigidity journals.After lengthy the Cultural Revolution, historians once again began to discuss the problemof fifty-one periodization. In November I978, eighty-sixhistoriansrepresenting unitsmetat Ch'ang-ch'un attenda conference to sponsored by teachingand research on of At Li-shihyen-chiu the periodization ancientChinesehistory. the conference, from the slavery regarding date ofthe transition specialistsdiscussedsix hypotheses to feudalism:i) WesternChou, whencommoners 2) predominated; theCh'un-ch'iu domains developedand the Chou king no longermonopperiod, when enfeoffed of olized the land; 3) the Chan-kuoperiod, when the appearance ironimplements of innovations and othertechnological triggered changesin the mode and relations the Ch'in, when changesin social relationships, economy,and the production;4) of ideology accompaniedthe unification China; 5) EasternHan, when large-scale uprisingsof "slaves" duringWang Mang's reignmade the new regimedecreethe of the emancipation slaves;6) theWei-Chinperiod,whichfollowed Han (a periodof widespreaduse of slaves) and which could be comparedwith ancientGreece and in Rome. These positionsand arguments, jih-pao,do reported briefly Kuang-ming in the I950S. 11 not seem to go beyondthosecurrent all Tied to a Marxisttheoretical framework, virtually these works,including Kuo's and Li's, suffer from terminological confusionand from the frequently distortionof historicalevidence. The criticsof such practicesare represented by

(Shanghai: Jenpp. 56-67; and Huang To-pa-chuti ch'ien-feng-chien-chih Wen-wu,No. 8 (I974), In the latter article, "patriarchy" Chan-yueh, "Wo-kuo ku-tai ti jen-hsunho jen- min, I954). precedesfeudalism. pp. I53-63. sheng," K'ao-ku, No. 3 (I974), 10 Hou Wai-lu, "Lun Chung-kuo feng-chienin are K'ao-ku and K'ao-ku hsiieh-pao rendered the Li-shih Wade-Giles rather than the Pinyin system of chih ti hsin-ch'engchi ch'i fa-tien-hua," No. 8 (1956), pp. 23-45. See also his romanization. yen-chiu, ku-tai she-hui-shih shih-tai(Peking: Jen- morefullydeveloped Chung-kuo 8 Kuo Mo-jo, Nu-li-chih He recently reassertedthe same lun (Peking: Jen-min,I963). min, I954). II Li-shihyen-chiu position in an article published in Hung-ch'i: EditorialBoard, ed., Chungwen-t'i "Chung-kuo shang-ku-shih fen-ch'i wen-t'i," kuo ti nu-li-chih feng-chien-chih fen-ch'i yii pp. 56-62. (Peking: San-lien, I955), and lun-wenhsiian-chi (July I972), 9 Li Ya-nung, Chung-kuo nu-li-chih feng- Chung-kuo yii ti wen-t'it'ao-lun-chi. fen-ch'i ku-tai-shih 8 (Shanghai: Hua-tung jen-min, I954). chien-chih see For the I978 conference, Kuang-mingjih-pao See also his Hsi-Chou yii Tung-Chou(Shanghai: Nov. I978, p. 2. yii ti Jen-min, I956) and Chou-chu shih-chu-chih

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Cheng Chung-mien and T'ang Lan, both of whom are veteranhistorianswith 12 littleMarxist relatively background. withboththeChinamainland Japanesescholars,who havescholarly contact and in in Taiwan, are able to participate the debatesoverslavery ancientChina without Shirakawa finds being hamperedby anypoliticalrestrictions. Shizuka,forinstance, that the sacrificial victimsweremostly"foreigners," such as the Chiang people.13 Both Sato Taketoshi and Ishida Chiaki argue that the status of chung, which is interpreted Kuo Mo-jo as slavelaborengagingin production, thatofkinship by was groups whichsurrounded kingand formed entity the an basedon commonreligious rituals.14 Hsu Fu-kuan, who works in Taiwan and Hong Kong, rejectsthe theoryof Shang-Chou slave societyby proposingthat the Chou farmer could, to a certain or extent,claim tillagerights evenownership thelandhe cultivated, was only of and requiredto meet fixedlabor obligationsimposedby local nobles. What Hsu calls "half-independent as farmers" probably regarded semi-free 15 can be serfs. WolframEberhardrejectsthe assumptionthat the existence a slave society of the constitutesby definition pre-feudal stage. He arguesthat the conquestof the withtheconquerors Shang by theChou people dividedChina intotwo socialstrata, constitutinga feudal nobilityservedby the conqueredpopulationwho bore the and burden of production.The aristocratic the peasantcultures shouldactuallybe regardedas two distinctcomponents the dual societyof the Chou. Eberhard's of interpretation helps to explaintheco-existence a highly of sophisticated aristocratic of ritual systemwith clusters localizedfolkculture.His assumption thatthe Chou were a Turkic people who conqueredChina, however,is not accepted by other scholars.16 City-StateHypothesis and Urbanization The issue of periodization inextricably is bound up with Marxianhistoriin ography;by contrast,the originsand significance city-states ancientChina of have been thefocalpointof muchnon-Marxist investigation. earlyas the I940S, As Li Tsong-tonghad acquaintedChinese readerswith N. D. Fustel de Coulanges's classic studyof cities in ancientGreeceand Rome, whichhad suggestedthe dominance of patriarchalkinship groups (gens) in the city and their religiousand in ritualistic participation stateaffairs. In Taiwan, Li graduallyplaced the phenomenon the ancientcity-state a in of broader historicalcontext. He studied the natureof the ancienti (city) and kuo (state), the totemicoriginsof kinshipgroups, the development and structure of
12 Cheng Chung-mien, Hsi-Chou she-hui chih-tu k6," K3kotsu-gaku, IO( 964), pp. 53-78. No. 15 Hsu Fu-kuan,Chou-Ch'in-Han wen-t'i(Shanghai: Hsin-chih-shih, I956); T'ang shecheng-chih Lan, "Ch'un-ch'iu Chan-kuo shih feng-chien ko- hui chieh-kou yen-chiu chih (Hong Kong: New Asia chu-shih-tai," Chung-hua wen-shih lun-ts'ung, III Institute, I972), pp. 2-I3. (Shanghai: Chung-hua, I963), 1-32 . 16 Wolfram Eberhard, Conquerors and Rulers: 13 Shirakawa Shizuka, "In-dai junsosha to Social Forces MedievalChina (Leiden: E. J. Brill, in doreisei," RitsumeikanBungaku Jinbunkagaku i965, 2nd and rev. ed.), especiallypp. 27-30. 2 Kenkyujo, (1952), I-I7. For critics of Eberhard'sinsistenceon the ethnic 14 Sato Taketoshi, "Indai n6gyo keiei ni distinctiveness the Chou people, see Derk Bodof kansuruichi mondai," in Mikami Kurihara,ed., de, "Feudalism in China," in RushtonCoulborn, Chugoku Kodaishi no shomondai (Tokyo: T6ky6 ed., Feudalism in History (Hamden: Archon, Daigaku Shuppankai, I954); Ishida Chiaki, "Shui I965), pp. 8 I-82.

EARLY CHINESE HISTORY

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with patriarchal city-states middle classes, and the subsequenttransformation of intoterritorial city-states states. 17 ParallelingLi's workin Japanese,Kaizuka Shigekiarguedthatcitiesin ancient China were religiousand ritualistic commercial entitiesorganizedaroundancestor worship.The citiesevolvedfrom groupsbased on blood relationship territorial into groups, and finallythe disintegrated city was replaced by a contractual feudal system. Miyazaki Ichisada also workedout a scheme forthe development ancient of in Chinesehistory, whichtheage ofcity-states lastedfrom end ofShangthrough the the early Ch'un-ch'iu period. Miyazaki postulateda historicalsequence running from periodofpatrimonial the clansthrough eraofpatrimonial an clan city-states to territorial statesand finally empire.Miyazakialso comparedGreekand Chinese to and suggestedthat conflicts city-states, betweenurban and outlyingruralareas, among social classeswithinthecity,and between individual city-states often created dynamic forcesthat furthered processof transformation territorial the into state Cho-yunHsu's research theCh'un-ch'iuand Chan-kuo on periodsis inspired by Li Tsong-tong'sapproaches.Hsu's effort a rather is functionalist analysis,however, that tackles the transitionfrom the ancient patrimonialcity to a territorial bureaucratic state. By analyzingthe intrastate conflicts and interstate struggles, Hsu perceives problemthesamewaythatMiyazakidid. By discussing the economic factors(such as trade) and ideological dimensionsof change (such as conceptsof social justice,universal and love, pragmatic logicalthinking), Hsu has attempted to discernthe historicaldevelopment duringthe Ch'un-ch'iuand Chan-kuoperiods from viewpoints lyingoutsideMiyazaki'sinterpretation tension 19 of and struggle. as Taking urbanization a universal in phenomenon ancient civilizedworlds,Paul at Wheatley, a geographer the University Chicago, comparesurbancentersin of seven ancient civilizations (Mesopotamia, Egypt, India, North China, MesoAmerica,Andes, and Nigeria) and concludesthattheancientcitieswereceremonial centers.The ancientChinese city should therefore studiedas a cosmo-magical be The significance the religiousrole of citiesis also stressed Kaizuka symbol.20 of by Shigeki, MatsumaruMichio, and Kwang-chihChang, who examinethe religious functions the city in ancestorworship,a significant of forcein holding kinship 21 groupstogether. The citiesofShangand theearlyChou periodmayvery well have
17 See Li's translation of N. D. Fustel de Coulanges's La Cite Antiqueinto Chinese, Hsi-la lo-maku-taishe-hui (Shanghai, I 944; rev.ed., shih Taipei: Chung-hua Wen-hua, I955). He applies the methodto Chinesehistory Chung-kuo in ku-tai she-hui shih(Taipei: Chung-huaWen-hua, I95 3). For a recentevaluation of Coulanges's contribution, see Stephen Wilson, "Fustel de Coulanges and the action Fransaise,"Journal theHistory of of Ideas, 34 (Jan.-March I 97 3), I 23-34. 18 Kaizuka Shigeshi, "Chiigoku no kodai kokka," in Kaizuka Shigeshi chisaku-shR (Tokyo: Chuio Koronsha, I976), I, Part 2; Miyazaki Ichisada, "Chugoku kodaishikairon,"in his Ajiashigaisetsu (Tokyo: Gakuseisha, I 97 3), I, I 3 3-63, and II, 3 I-72. For the influenceof the Naito theory Miyazaki, see MiyakawaHisayuki, "An on

18 systems.

Outline of the Naito Hypothesisand its Effect on JapaneseStudies of China," Far Eastern Quarterly,
I4: 4 (955),

20 Paul Wheatley, ThePivot the of FourQuarters: A Preliminary Inquiryand Character theAncient of

19 Cho-yun Hsu, Ancient China in Transition (Stanford:Stanford Univ. Press, I965).

533-52.

Chinese (Chicago: City Aldine,I97 I).

21 Kaizuka Shigeki, "Chiigokukodai t6shikoku no seikaku," in Sekai k3kogaku taikei(Tokyo: Heibonsha, I958); MatsumaruMichio, "In-shiikokka no k6z6," in HigashiAjia sekainokeisei, Vol. IV

Kwang-chih Chang, Early ChineseCivilization: Anthropological Perspectives (Cambridge: Harvard Univ. Press, I976), pp. 47-7 ).

ofIwanami sekai koza rekishi (Tokyo,I970,

I973);

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functions, been centersof religiousfunction;theireconomicand administrative attrihowever,should not be ignored.It is in thesetwo areas thatIt6 Michiharu the The land was butes to the citythe roleofcontrolling arableland in its vicinity. as community, tilled by citizenswho later,whenthecitylostits character a kinship paperon Chou graduallybecamea groupofsubjectsofthefeudallord.22 In a recent cities, Cho-yun Hsu also devotes some attentionto the condition of natural the of and traderoutesin orderto determine regionaldistribution urban resources centers. Hsu believes that by the Ch'un-ch'iuand Chan-kuoperiods,the general of should, to a large extent,have reducedthe importance trendof secularization in were while economicfactors urban locationand structure religious functions, increasingly important.23 Ch'in-Han Studies in of The riseof theCh'in-Han Empireclosedtheantiquity Chinaand ushered a whichEtienne and long-lastingpatternof government societyin Chinesehistory, of The and statecentralism."24 structure operation Balazs has called "bureaucratic becamethefocusofattention historians the for of naturally such an imperialsystem in Ch'in-Han period. H. G. Creel has devoted his scholarship recentdecades to He tracingthe originsof Chinese bureaucracy. suggeststhat certainrudimentary formsof bureaucracy appearedas earlyas the WesternChou period. The local had administration systemfirstdeveloped in the southernstate of Ch'u during the institution destined of Ch'un-ch'iuperiod; this was the prototype the bureaucratic of on Creel'sresearch ancienttheories to replace the fiefdoms Chinesefeudalism. of in convinceshim that Shen Pu-hai, an administrator the Chan-kuo government of government, discussing such period, was the firsttheoretician bureaucratic and evaluationof official crucial conceptsas the divisionof labor, the supervision and the role of sovereignmonarchy.25 Cho-yunHsu points out in performance, monarchy had another article that the gradual evolution toward a bureaucratic 26 as started earlyas thelastphaseoftheCh'un-ch'iu period. Historiansoftenselectthe structure Ch'in-Han government theirresearch of as the and Chou Tao-chieach seek to discern structure topic. Lao Kan, Yang Shu-fan, of Han bureaucracy. The issues involvedincludethedivisionofpowerbetweenthe of and imperialauthority and the chancellory, the transformation the Han Circuit thatofoverseer theperformance local officials thatof of of into Inspector'srolefrom
22 China: The Origin ofthe Hsien, "JAS, 23 (1964), Ito Michiharu,"Sei-shui jidai no t6shi-sono kokogakuteki ni mita tojo," Kenkyu,No. 30 I55-84; "The Fa-chia: Legalists or AdministraPresented TungTso-pin hisSixtyto on (i963), pp. 25-62; and "In-Shuijidai no t6shi," tors," Studies Birthday, BulletinoftheInstitute History of and Rekishi-Kyoiku, I2(i966), 22-28. See also his fifth I4: Extra No. 4 (I96I), pp. 607-36; "The Chu7goku kodai ochono keisei(Tokyo: Shobunsha, Philology, Meaning of Hsing-ming," StudiaSerica,Bernhard '975). 23 Hsu Cho-yun, "Chou-tai shang-yeh ho tu- KarlgrenDedicata (Copenhagen: Museum of Far shih ti fa-chan,"BulletinoftheInstitute History Eastern Antiquities, I959), pp. I99-2 II; "On of in of and Philology (Academia Sinica), 48 (i977), Part the Origin of Wu-wei," Symposium Honor Dr. Li Chi onhisSeventieth Birthday (Taipei, Tsing-hua 2, 309-32. 24 Arthur F. Wright, ed., and H. M. Wright, JournalBoard, I965), pp. I05-38; and ShenPuPhilosopher the of Fourth trans., EtienneBalazs, Chinese Century C. B. Civilization andBu- hai: A Chinese reaucracy (New Haven: Yale Univ. Press, i964), (Chicago: Univ. ofChicago Press, I974). 26 Hsu Cho-yun, "Chan-kuo ti t'ung-chih pp. 3-33, 129-49, especiallyp. 3 I . chi25 H. G. Creel, TheOrigins Statecraft China, kou yu chih-shu," Bulletinof theCollege Arts, in of of Vol. I (Chicago: Univ. of Chicago Press, I970); No. I4 (1965), pp. National Taiwan University, see also his "The Beginning of Bureaucracyin 205-39.

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an intermediate Yen Keng-wang,using literary administrator. sourcesas well as stone stele inscriptions, reconstructs Han local government structure, the jurisdiction of variousoffices, recruitment advancement and channels,and examination and controldevices. Yen depictsa verycomplicated withmanyof the bureaucracy, characteristics wereinherited laterChinesegovernment that by organizations.27 With regard thefoundations Ch'in-Hansociety theinteraction to of and between thegovernment thepeople, Franklin and Houn and Rafede Crespigny havestudied therecruitment candidates government of for service.28Another frequently explored topic is thestatusand roleoflocal power-holders. Cho-yun Hsu contributed paper a in whichinvestigates boththeconflict between governmental powerand local forces the earlierpart of the Han dynasty, and the alliance betweenimperialpowerand local influential groupswho, after reignofEmperor the Hsuan, becameconstituents Lao Kan has dealt exclusively with the relationship interof the bureaucracy. and and action betweenthe imperialauthority the sociallyinfluential people. Yu Yingin shihexaminesthe roleofthepowerful families scholars theprocess restoring of of the Han dynasty after the Wang Mang interregnum, arguesthatsuch families and had become indispensableto the centralgovernment the Han period.29Chin of in Fa-kenexaminesthe same groupofinfluential families and literati laterphasesof EasternHan from two angles: theirabilityto resistthepressure exerted eunuchs by who usurped the power of the emperor,and theirefforts build local military to In forcesat a time of chaos and nationaldisunity.30 his book on the Chou and Hsu Fu-kuan insiststhat Han despotismactually Ch'in-Han political structure, of and developed at the cost of the destruction existinggovernment institutions, in that a kind of moralstrength grewamong the EasternHan intellectuals protest 31 exerted theimperial againstthemonolithic pressures by despotism. All the works cited here focuson the same question: the integration Han of Dynasty state and societywhich servedas the foundation the first of enduring
27 Lao Kan, "Han-tai chun-chih ch'i tui-yu Chung-chi chi Journal,6 (I966), 67-78. Tien-yiTao chien-tu ti ts'an-cheng," in Taiwan University, of the Universityof Hawaii is now carrying a on ed., Fu ku-hsiao-chang Ssu-nien hsien-sheng nien projecton the same topic. chi lun-wen-chi (Taipei: National Taiwan University, 29 Cho-yun Hsu, "The Changing Relationship I952), pp. 29-6I; also his "Han-tai ti t'ing- between Local Society and the Central Power in chih," Bulletin theInstitute History Philology Former Han," Comparative of of and Studiesin Society and (Academia Sinica), 22 (1950), 29-I 38; and " Han- History, 4(i965), 358-70. Also see theChinese 7: ch'ao ti hsien-chih," AnnualofAcademia Sinica, I version, Hsu Cho-yun, "Hsi-Han cheng-ch'uan 69-8I. See the following items by Yang yu she-hui shih-li ti chiao-hu tso-yung,"Bulletin (I954), Shu-fanin Ta-lu tsa-chih. of and Philology "Liang-Han shang-shu of the Institute History (Academia " chih-tuchihyenchiu, 23: 3 (I963), 5-I 2; "Han- Sinica), 35 ( 964). See also Lao Kan, "Lun Han-tai tai chun-kuo shou-hsiangti chuan-che," I5: I ti yu-hsia," Wenshihchehsueh-pao, (1950); and I (I956), 23-27; "Han-tai hsiang-t'ingchih-tuti "Han-tai ti hao-ch'iangchi ch'i cheng-chih shang yen-chiu," I I: I0 ( I95 5), I4-I7. The worksby ti kuan-hsi," Symposium HonorofDr. Li Chi on in Chou Tao-chi, also in Ta-lu-tsa-chih, "Hsi-Han hisSeventieth are: pp. 39-5 I. Yu Ying-shih, Birthday, chun-ch'uanyu hsiang-ch'uan chih kuan-hsi,"I I: "Tung-Han cheng-ch'uanchih chien-li yu shihI2 (955), and "Han-tai tsai-hsiang chi- chu ta-hsing chih kuan-hsi," Hsing-ya I3-I7; hsueh-pao, kuan," I9: I I (I959), 9-I5. For Yen Keng-wang, I: 2 (1956), 209-80. see Chung-kuo ti-fang hsing-cheng chih-tu shih:Ch'in30 Chin Fa-ken, "Tung-Han tang-kujen-wu ti Han ti-fang hsing-cheng chih-tu, vols. (Taipei: In- fen-hsi," Bulletin of the Institute History 2 and of stituteof Historyand Philology,AcademiaSinica, Philology (Academia Sinica), 34 (i963), 525-58; I 96 I). and "Wu-pao shou-yuan chi liang-Han ti wu28 FranklinHoun, "The Civil ServiceRecruit- pao," Bulletin the and of Institute History Philology of ment Systems of the Han Dynasty," Tsing-hua (Academia Sinica), 37 (i965), 20I-20. 31 Hsu Fu-kuan, Chou-Ch'in-Han sheJournalof Chinese cheng-chih Studies,NS I (I956), I38-64. chih Rafe de Crespigny,"The Recruitment Systemof hui chieh-kou yen-chiu. the Imperial Bureaucracy of the Later Han,"

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imperialsystem.State and societywereso interrelated Ch'u T'ung-tsu'sbook that is a of on Han social structure actually discussion thedivisionofpoliticalpowers. 32 withtheoutsideworldwereoflocalized of Beforetheunification China, contacts The centralized Ch'in-Han empirequicklyexpandedin all directions, significance. however,and facedmanychallenges from non-Chinese of powers.The growth China Yu has therefore drawntheattention several of historians. Ying-shihsystematically of discussesthe elasticity the Han empireand its gradualabsorption surrounding of non-Chinese groupsinto China.33The relationship nomadsalong theborder, to the into the South explorationof the WesternRegion, and the continuous migrations have all been coveredby monographic treatises.34 Collectively, thesestudiesdepict the territorial of growth Chinaas a nationduringitsformative stage. Historiansin thePeople's RepublicofChina had different fortheir foci research. During the 1950S, theywereassignedfive topicsto workon, theso-called"fivered flowers":the interpretation peasantrebellions, formation the Han nation, of the of the natureof landholdingin "feudal" China, the controversy over the originsof capitalism in China, and the periodization Chinesehistory. Scholarsin Ch'inof Han studiesdeal withall of theseexceptthe originsofcapitalism.Reconciling the existenceand characteristics a unified of bureaucratic empirewiththeMarxist model has been a centralconcern.In discussing periodization, some scholars suggestthat feudalsocietycame intoexistence before Ch'in-Hanperiod,and describe the Ch'inHan China as a feudalsocietyundera monarchy. Othersinsistthat China in the Ch'in-Han period, or at least duringmuchof the WesternHan period,was still a slave society. Proponents the latterview cite the familiar of paragraphs about the state and privateslaves in the Han historical sources.36 Those who take the former position argue that the numberof Han slaves was farfromlarge, and that these slavesdid notshoulder majorproductive the 37 work. With regardto landholdingin feudalChina, the questionis whether state the owned all the land or individual landlordscould own state land. Hou Wai-lu, fromthe Marxistconceptof Asiaticdespotism,regarded Ch'in-Han borrowing the imperial house as the principal landowner,who also had the finalauthority to dispose of land.38 From the severalroundsof discussionthat followedthe publication of his paper, two anthologiesappeared,one edited by Li-shih the yen-chiu, otherby the Departmentof Historyat Nankai University.39 Ya-nung, writing Li
32 2 Tung-tsu Ch'u, Han SocialStructure, Jack hsing-t'aichih t'an-t'ao," Li-shihyen-chiu,No. 7 ed. pp. 1-28; and "Ju-holien-chiehli-shih Dull (Seattle: Univ. of WashingtonPress, I97 I). (I955), 33 Ying-shih Yu, Trade and Expansion in Han jen-wu, shih-chienho hsien-hsiang,"Chiao-hsueh China (Berkeley:Univ. ofCalifornia Press, I967). yu yen-chiu,No. 4 (1956), pp. i-iO; Wang 34 Kuan Tung-kuei, "Han-tai chu-li Ch'iangChung-lo, "Kuan-yii Chung-kuonu-li she-huiti tsu wen-t'i ti chien-t'ao," Shih-huo kuan-shih hsing-ch'eng ti yiieh-k'an, NS wa-chiehchi feng-chien 2: 3 (1972), 1-26; and "Han-tai ti t'un-t'ienyu wen-t'i," Wenshihche, No. 3(1956), pp. 25-31; k'ai-pien," Bulletinof the Institute History of and No. 4, pp. 48-59; No. 5, pp. 32-49; Wang Philology (Academia Sinica), 45 (I973), Part I, Ssu-chih et al., "Kuan-yu liang-Han she-hui 27-88; Jack Dobbs, History theDiscovery of and hsing-chihwen-t'i ti t'an-t'ao," Li-shihyen-chiu, Explorationof Turkestan (The Hague: Mouton, No. I (955), pp. I9-46. 37 For instance, Chien Po-tsan, "Kuan-yii I963); Herold Wiens, Han Expansionin South China (Hamden, Conn: Shoe StringPress, 1954). liang-Han ti kuan-ssunu-Ii wen-t'i," Li-shih yen35 Feuerwerker surveys fourof thesefivetopics chiu,No. 4 (I954), pp. I-24. and discusses one additional historiographical 38 Hou Wai-lu, "Chung-kuo feng-chien shequestion, the role of imperialism in Chinese hui t'u-ti so-yu-chihhsing-shihti wen-t'i," Lihistory,in Feuerwerker, ed., History Communistshihyen-chiu, in No. I ( I954), pp. I7-32 . 39 Li-shih yen-chiu, China (Cambridge, Mass.: M.I.T. Press, I968), ed., Chung-kuo li-tai t'u-ti pp. I5 ff. chih-tu wen-t'i t'ao-lun-chi (Peking: San-lien, 36 Shang Yueh, "Hsien-Ch'in sheng-ch'an I957); Department of History, Nankai Univer-

EARLY CHINESE HISTORY

46I

in separately I962, however, rejected notionthattheCh'in-Hanstateownedthe the land at all. He suggested thatthegrowth private of ownership wealthy by landlords made the independent small farmers vulnerable losingtheirland and sinkingto to thelevel ofserfs tenants.40 and In I964, Ho Ch'ang-ch'unwrote a series of articlesfurther ponderingthe problem of landholding. Ho discerneda tension in the triangular relationship among Han monarchy, well-to-dolandlords,and the peasants. In an essentially private landholding system, the landlords commanded the dependencyof the peasants in theircompetition with the state(the largestlandlord),whoseposition was buttressedby its coercivepower. Meanwhile,the bureaucrats could use the political power of the government theirown advantageand become powerful to in landlords,entering turnintotheir owncompetition withthestate.41 The debateon theformation theHan nationwas started Fan Wen-lan,who of by was actuallyprompted an articleby G. V. Efimov. by Efimov employed had Stalin's definitionof "nation" to conclude that although a certaincollectivebeing has existed in China since Chou times, the Chinese nationwas not formed until the nineteenth twentieth and centuries. arguesthatas earlyas theCh'in-Hanperiod Fan the Chinese had been united under one culture,one economy,and one identity withina well-defined territorial area. Fan's argument provoked attacksfrom several fronts. Some doubted on theoretical groundswhether nationcould developwitha out capitalism.This put Fan in theawkward a positionofsuggesting uniquepattern of historical developmentin China that defies the universallaw of MarxismLeninism. Anotherobjectionquestionedthe validity asserting of nationaluniformity,as therehad been muchevidence regional of diversity through Han periodin the the vast territory China.42But thesolid foundation nationalunity of of was at besta qualifiedone. Peasant uprisingshave always been a popular topic among historians the in People's Republic. Roughlyspeaking,thereare two typesof research this area: in studiesof individualcases and studiesofgeneral patterns.43All analyses confirm the positiverole ofpeasantuprisings catalysts historical as of More specidevelopment. the thatbrought fically, uprisings down theCh'in dynasty often as are regarded the force that brought about the appearanceof independent small farmers and the resultingincreasesin production.The uprisings duringthe Han, especiallythose during Wang Mang's reignand the Yellow Turban uprising,are takenas protests against the threatto the freeholding as peasantry large landlordstook controlof moreand moreland.44
she sity, ed., Chung-kuo feng-chien hui t'u-tiso-yu- chiu, ed., Han min-chu hsing-ch'eng wen-t'i tao-lun chihhsing-shih wen-t'i tao-lunchi, 2 vols. (Peking: chi (Peking: San-lien, I957), pp. i-i6. Efimov's San-lien, I962). original paper is not available to the authorof the 40 Li Ya-nung, "Chung-kuoti feng-chien ling- presentarticle. chu-chihho ti-chu-chih," his Hsin-jan-tsaishih- 43 These two types are representedin two in lun chi (Shanghai: Jen-min, I962), pp. 873- anthologies. For the former, Li-shihyen-chiu, see Io96. ed., Chung-kuonung-min ch'i-i lun-chi(Peking: 41 Ho Ch'ang-ch'un,Han-T'ang-chienfeng-chien San-lien, I958); forthelatter,see ShihShao-ping, t'u-tiso-yu-chih hsing-shih yen-chiu (Shanghai:Jen- ed., Chung-kuo feng-chien she-huinung-min chanmin, I964). cheng wen-t'i t'ao-lun-chi (Peking: San-lien, I957). 42 Fan Wen-lan, "Shih-lun Chung-kuo tz'u 44 Ch'i Hsia, Ch'in-Han nung-min chan-chengCh'in-Han ch'i Chung-kuo ch'eng-wei t'ung-i shih (Peking: San-lien, I962); Ho Ch'ang-ch'un, kuo-chia ti yuan-ying,"Li-shihyen-chiu, No. 3 Han-T'ang-chien feng-chien t'u-ti so-yu-chih hsingpp. I5-26. Responses to Fan's work, as shihyen-chiu, 6-I 30; Ma K'ai-liang, "Kuan(1954), pp. well as the Chinese translationof the essay by yu Kung-yuani-shih-chi ch'u-ch'inung-min ch'iEfimov,are includedin the coliectionLi-shih yen- i ti chi-ko wen-t'i, Jen-wen ko-hsiieh tsa-chih, No.

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CHO-YUN Hsu

The excitementof academic debates in the I950S ended with the Cultural Revolution. When the journalLi-shihyen-chiu reissued,its pages werefullof was anti-Confucian, pro-Legalistmaterialon such issues as the settlingof Hsun-tzu's of position as a Legalist scholar,the interpretation the strugglebetweenthe Han of centralgovernment and the principality Wu, and the ideologyof San Hungof yang. The tone, of course,was one of glorification the Legalists'positiverole in history depreciation theConfucians. and of The mostinteresting article,however, is the one on thehistorical significance thepeasantuprising byCh'en Shengand of led was Wu Kuang. Since Ch'in Shih-huang-ti regarded a heroand thepeasantrebels as had to remainheroestoo, it was necessary reconcilethe strugglebetweenthe to Ch'in regime.The author'ssolutionwas revolutionary peasantsand the progressive to argue thatWu Kuang and Ch'en Shenghad not risenagainstCh'in Shih-huang-ti at all, but againstthe usurper Chao Kao, who was plottingto restore old social the system dominatedbyslave-owners.45 From I976 on, followingthe death of Mao Tse-tung,Chiang Ch'ing and her advisory group, who wereresponsible theanti-Confucian for campaign,werelabeled the "Gang of Four." Li-shihyen-chiu began to change its tone, disclosing the abuse ofhistorical of research undertheinfluence theGang. The simplissystematic of tic bifurcation struggles between Confucian Legalistlineswas abandoned, the and as was theattackon Confucius a reactionary. uprisings theend oftheCh'in as The at a to dynastyare now attributed the despoticrole of Ch'in Shih-huang-ti, convenwhich has prevailedin Chinesehistoriography since the Han tional interpretation of period. A whole line of new interpretations Chinesehistory mayyetdevelop in the coming years. At any rate,distortion historical of factevidentin the writings movement seemsto haveended.46 duringtheanti-Confucian The Ch'in-Han Empire in Japanese Scholarship In contrast thestudiesofinstitutions structure occupya central to that and place in the worksof non-Chinese historians, theircounterparts the People's Republic in concernthemselves mainlywitheconomicaspectsand ideologicaldimensions which representthe base and superstructure society,respectively. of This probinginto economic aspects, especiallyinto the mode of production,findsmanyechoes in Japanesescholarship. But several Japanese historians China actually on perceivethe a problemfrom very particular angle: thepattern East Asianantiquity. of Nishijima

I(I958), pp. 39-46; Li Kuang-pi, "Han-tai t'aip'ing-tao yu Huang-chun ch'i-i," Li-shihchzaopp. I3-2I. hsueh, No. 6 (I95I), 45 Yang Jung-kuo, "San Hung-yang ti che" hsuehssu-hsiang, Li-shihyen-chiu, I (974), No. pp. 50-56; Ching Yun-k'o, "Po Hsun-k'uangwei ju-chia shuo," Li-shihyen-chiu, No. I (I 97 5), pp. 29-88; Shih Chung, "Hsi-Han wang-ch'aot'ung Liu Pi teng fu-ni shih-li ti t'ou-tseng," Li-shih yen-chiu, No. 2 (I975), pp. 68-75; Liang Hsiao, "Lun Ch'en Sheng Wu Kuang nung-minta ch'i-i ti li-shih kung-hsun," Li-shih yen-chiu, No. i

devoted to this purpose. More recentis an article by Lin Kan-ch'uan re-evaluating Ch'in Shihhuang-ti, "Lun Ch'in-shih-huang,"Li-shihyenchiu,No. 4 (1978), pp. 20-33. An articledirectly related to peasant uprisingsin Chinese history, especially those in the Ch'in-Han period, is Chuko Chi, "Po Ssu-jen-pang tsai nung-minchancheng wen-t'i-shangti fan-Ma-k'e-ssu chu-i niulun," Li-shihyen-chiu, No. I (I977), pp. 46-59. For changes in anti-Confucian attitudes,see Yen Ling, "Kuan-yu K'ung Ch'iu chu Shao-chengmao," Li-shihyen-chiu, I (978), pp. 63-65; No. and Hsieh T'ien-yu and Wang Chia-fan,"Po Fa(0I975), pp. 65-73. 46 The first attack on the Gang of Four's chia ch'ang-ch'i fan-fu-pi lun," Li-shi yen-chiu, historiography a historicaljournal was in Li- No. 3 (978), pp. 35-43. in shihyen-chiu, No. 6 (1976), which was entirely

EARLY CHINESE HISTORY

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Sadao, one of the principalparticipants a great debate on the natureof the in Ch'in-Han empire, points out that his interestin the natureof the Ch'in-Han empire was aroused by an article in which Maeda Naonori suggestedthat the in antiquityin China, Japan, and Korea was experienced similarways, thoughin China theperiodofantiquity endedin theninthcentury, three centuries earlier than it ended in Japan and Korea.47MasubuchiTatsuo suggeststhat Asians can have theirown specific model of development whichneed not followthegeneralizations derived fromthe experience the West.48These attempts generalization of at cerfromthe global generalizations tainlydiffer generated Marxisthistorians, who by view the development humansocietyeverywhere the unfolding a universal of as of the pattern.Nevertheless, terminology conceptsadopted byJapanesescholars and still bear a strongflavor Marxisthistoriography of whichrevealsthe influence they receivedfromthe Marxistschool. Curiously,verylittle responseto this concept comes fromthe scholarsofJapanesehistory, who constitute separate a circlein the Japaneseacademic community. Japanesestudiesof East Asian history, dominated by sociologists,have graduallynarrowed down to determination the natureand of of development stateand societyin China. For morethantwo decadesthe focusin the fieldof Ch'in-Han history been the formation ancientChineseempires, has of especiallytheintegration stateand society. of Nishijima, elaboratingMaeda's effort, believesthatancientChina lasted until the ninth or tenthcentury, and that the ancientperiod was one of slavery.The problem, then, is the interpretation Ch'in-Han society,whichwas distinctively of different from the slave systempredominantin the subsequent Southernand Northerndynasties.Nishijima proposes that as it collapsed, feudal societywas replaced by both domestic slaveryunder patriarchal authority, and a systemof thatgrewto replaceslavery theonlyform laborutilization.49 tenancy as of On the topicofstatecontrol individuals, of Nishijimapublishedhis studyofthe Han honorific titleswhichwerebestowedon ordinary people as a symbolof direct ties betweenthe rulerand the ruled.50Nishijima's statement provokedresponses fromMasubuchi Tatsuo and MoriyaMitsuo. Masubuchiquestionedthe natureof patriarchal authority, and suggestedthata new social orderbased upon voluntary personaltiesfollowed collapseofthefeudalsystem.51 theother the On hand,Moriya Mitsuo used the theme of patriarchy investigate to the natureof Han Kao-tsu's associates,thepoweroflocal elders,and thestructure Han families.52 of HiranakaReiji's studiesoftheland tenure and taxation system theCh'in-Han of the periodconfirm prevalence privateland ownership thestate'srolein using of and taxation and faminereliefmeasuresto exercisecontrolover agricultural produc47 Maeda Naonori, "Higashi-Ajia ni okeru kodai no Shumatsu,"Rekishi,I: 4 (1948), I9-3I, also included in Suzuki Shun and Nishijima Sadao, Chugokushi jidai-kubun(Tokyo: T6ky6 no Daigaku Shuppankai, I957). For Nishijima's statement, pp. I9 I ff thissame volume. see of 48 MasubuchiTatsuo, Chugoku kodainoshakaito kokka(Tokyo: K6bund6, I960). 49 Nishijima Sadao, "Chuigokukodai teikoku seiritsuno ichi kosatsu," Rekishigaku kenkyi,I4 I (I949), I-I5; and his "Kodai kokka no kenryoku kaza," Kokka kenryoku shodankai (Tokyo, no

50 Nishijima Sadao, Chugoku kodai teikoku no keisei kozo(Tokyo: Toky6 Daigaku Shuppankai, to

Tatsuo, Chugoku kodainoshakaito kokka. 52 See the following articlesby MoriyaMitsuo: "Kan no koso shuidan sei ni tsuite,"Rekishigaku no I kenkyu, 58: 9 ( I952); "Fur6," T-hyoshi kenkyu, I4: I-2 and "Kandai kazoku no keitai ni (I955); kansuru sai kosatsu," Chugokukodaishikenkyu (Tokyo: Yoshikawa Kobunkai, I960), pp. 32752.

I96I). 5 lMasubuchi

I950).

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CHO-YUN Hsu

new departure, KimuraMasao adopts the basic conceptsof tion.53In a completely Wittfogelianhydraulictheoryto examine the expansionof arable land fromthe plains and rivervalleysinto the secondary area whichrequiredirrigation, and the subsequent establishment government of administration.54 Kimura also uses his to of theory explain thepeasantuprisings the Han period,includingthosebetween Western Han and EasternHan, and the greatYellow Turbanuprisingin the last of quarterof the EasternHan. He concludesthatthedeterioration irrigation conditions was relatedto the loss of effective government controlin thesecondary arable areas.55 At the opposite end of state controlis the power structure the Han local of community. UtsunomiyaKiy6kichi focusedon such problemsas the power of predominant local magnates,kinshiporganization, conditions thedevelopand for ment of land tenancy.56 contrast Utsunomiya's A to rather structuralist approachis the functionalist approachof MoriyaMitsuo, whoseanthology dwellson the theme of of a parallel betweenthe complexity thefamily structure politicaland social and conditions. 5 Yoshinami Takashi attemptsto integrate theories the proposedby Nishijima, Masubuchi, and Kimura by examiningthe role of powerful magnatesin building local irrigation systems, and the differentiation social statusintothedominating of and the dominatedas a consequence landconcentration.58 of All of the above topics are, afterdecades of discussion,incorporated into a as popular book publishedby Iwanamiwhosetitlecan be translated "Formation of the East Asian World." The title itselfsuggestsa perspective greaterthan the historyof any single nation in East Asia. Moreover,manyof the individualconsuch as Nishijima, have begun to absorbfrom tributors, each otherthe results a of on forum thestructure Ch'in-Hanimperial of China." Studies on Agriculture in Since both historians the People's Republic and Japanesescholars,fordifferentreasons, tend to relate historicaldevelopmentto systemsof production, research agriculture its relatedproblems on and constitutes highly a pertinent field. The developmentof agriculturalimplementshas been the subject of a general treatise,and of morespecializedstudies. Yang K'uan investigates technique the of producing iron and steel, and suggeststhat cast iron precededwroughtiron in China, and thatthe blastfurnace definitely had been in use as earlyas theChan-kuo have beenpublishedin a journal period.60Numerousessayson agricultural history
53 Hiranaka Reiji, Chuigoku kodai no denseito zeiho (Kyoto: Kyoto Univ. T6y6shi Kenkyuikai,

I 2-4

I;

" and "Kokin no hanran, ShigakuKenkyu7,

56 Utsunomiya Kiy6kichi, Kandai shakai(Tokyo: K6bund6, I 9 5 5). kenkyui no kodai Kimura Masao, Chu7goku teikoku keisei keizaishi 57 Moriya Mitsuo, ChAgoku kodai no gozokuto (Tokyo: Fumeido, 1965). See also Karl Wittfogel, Studyof Total kokka(Kyoto: Kyoto Univ. T6y6shi Kenkyuikai, A OrientalDespotism. Comparative Power(New Haven: Yale Univ. Press, I957). In I966). 58 Yoshinami Takashi, Shin-Kan teikokushi his earlier work Wittfogel traced the origin of (Tokyo: Miraisha, I 978), especiallypp. 2 3 Chinese despotism to Ch'in: "Die Theorie der kenkyu7 Orientalischen Gesellschaft," Zeitschriftfur ff. and pp. 365 ff. 59 HigashiAjia sekainokeisei. 7( Sozialforschung, I 938). 60 55 Kimura Masao, "Zen-go Kan k6tai-ki no chiku-taiyeh-t'ieh Yang K'uan, Chung-kuo Daigaku bungakubu shu ti fa-ming ho fa-chan (Shanghai: Jen-min, Kyoiku n6min hanran," T7ky7 6i kenkyu7, ( I967), I-50; "Ry6-Kan k6tai I956); Fang Chuang-yu,"Chan-kuo i-lai Chungshigaku 3 ki no g6zoku hanran," Rissho-Shigaku, (I967) kuo pu-li fa-chanwen-t'i shih-t'an,"K'ao-kuNo.

I 96 I).
54

9(I (972).

EARLY CHINESE HISTORY

465

College. The onlytwo issuesof thisjournal sponsoredby the NankingAgriculture in of available in the West contain essays on the treatment agriculture various farming including and theLu-shih ch'un-ch'iu), ancientworks(such as the Kuan-tzu horticulture, so and methods, the originsof certainindividualcrops, sericulture, the papersin thesetwo issuesconcern pre-Hanand of on. Fifteen the twenty-three Han periods. Among them is a detailedstudyby Yu Yu on the gradualevolution This study intensivefarming. to agriculture multi-cropped fromslash-and-burn in system China, was a "three-field" overwhether there the finally clarifies confusion in held duringthe I920S byhistorians who participated commonly a misconception thedebateon Chinesesociety.61 Amano Motonosuke Japanese scholars have also made great contributions. methodsas seen frombronzeand on breaks new ground in his research farming of on strictly thedevelopment technology, oraclebone inscriptions.62Concentrating the to findings investigate evolutionof farming Sekino Takeshi uses archaeological while Amano maintains tools, especiallythe beginningsof bronzeimplements,63 The pattern of had been in use duringthe Chou period.64 that bronzeimplements anotherline of relatedsubjects, so the interthe land tenuresystemconstitutes The pretationof the well-fieldsystemis a centralconcernin severalarticles.65 in is of significance irrigation Chineseagriculture a commontheme.KimuraMasao in in of the theory" his studyoftheexpansion farming adapts and refines "hydraulic is China. Althoughhis mainconcern withtheconditions classicaland post-classical to appears,he also devotessome chapters land under which the despotic monarch whenagriculture prevailedin areasof "theocracy," utilizationunderthe city-based arable"land.66 the "primary in Until P. T. Ho published his studyon the originsof Chineseagriculture in was touchedon onlyslightly the of dry-landfarming, development agriculture as English. Ho discussesthe indigenousoriginsof Chineseagriculture well as the Chinesecharacteristics thepottery, of metallurgy, religion,and writing distinctive widelyacceptedview withthefairly system developedin ancientChina. Ho concurs from the was bornin East Asia, without borrowing thata unique culturaltradition is interancient West Asian civilizations. Ho's main contribution to confirm in subfields.67 thataregradually emerging amongscholars various pretations
7 (1 5 3); Chang Ch'ang-shu,Lai-ssu chi-yiuan Chhgoku ti chi nogyoshi kenkyz, 687-96. pp. 65 ch'ifa-chan (Shanghai:Jen-min,I964); Liu HsienAmano Motonosuke, "Shui no hohensei to ku-tai nung-yeh chi-chieh chou, Chung-kuo fa-ming seidensei,"Jinbunkenkyu7, ( I957), 4-I4; and 7-8 shih(Peking: K'o-hsueh, I963). Sato Taketoshi, "In-Shia jidai no zei-sei," Rekishi 61 Nung-shih chi-kan,No. I (959), yen-chiu I86(I969), I3-I9. ky6iku, 66 Kimura Masao, Ch7goku kodai-teikoku no and No. 2 (i 960), passim, especiallyYu Yu, "Yu Hsi-chou tao Ch'ien-Han ti keng-tsochih-tuyen- keisei. 67 Ping-ti Ho, The Cradle of the East (Hong 2 ko," Nung-shih yen-chiu chi-kan, ( I960), I-I7. Many of the opinions in these papers are Kong and Chicago: Hong Kong Chinese Univ. incorporated into Wan Kuo-ting's Chung-kuo Press and Univ. of Chicago Press, I976), espeshih nung-hsiieh (Peking: K'o-hsueh, I959). in ciallypp. 43-89. For some defects Ho's presen62 Amano Motonosuke,Chugoku nogyoshi kenkyu tation, see the reviewsby Kwang-chihChang in Oriental Society and in the (Tokyo: Ochanomizu shobo, I962). See also his JournaloftheAmerican Studies, HongKong,as well as the "Sai-Shu no n6gy6 to sono shakai k6z6," JournalofOriental Matsuyama shodai ronshu, 7: I (I956); and reviews by Richard Pearson in Science (July 30, Review, "Chuigoku kodai n6gy6 no tenkai-Kahoku I976); by Cho-yun Hsu in Geographical nogy6 no keisei katei," T-Th5gakuh3(Kyoto), 30 67: I (Jan. I977); by David Keightleyin Harvard JournalofAsiaticStudies, 2 ( I977), 392, and in 37: (959), 67-I66. 63 Sekino Takeshi, "Shin rai-shi k6," Toyo Early China,3 (I977) 55-6 i; and byE. G. Pulleyblank inJAS,3 5: 4 (August 977),7 I 5- I 7. A I Bunka Kenkyujo I9 (1959), I-77. kiyo, 64 is to Amano Motonosuke, "Seido-sei nogu ko," paper whichexplicitlyrefers Han agriculture

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CHO-YUN Hsu

on While Ho's study concentrates the beginningsof Chinese civilization, in the Neolithic and Shang periods, Cho-yun Hsu has including agriculture, recentlycompleted a study of Han agriculture.The technicalaspects, such as methods,are exploredin orderto cropping,and farming implements,irrigation, thatthe of the Han agrarian economy.Hsu hypothesizes discuss the characteristics of to in farming Han was closelyrelated theprevalence an activemarketing intensive possessed economy thatby Han timesChina'smarket-oriented system.He also finds economic a certain degree of elasticity,and could adapt to both the nationwide whenChina was empireand thelocal economicregionalism undera unified network divided.68 sometimes New Archaeological Discoveries and Their Potential of discoveries the past quarterarchaeological of The significance the numerous article this in beenthesubjectofK. C. Chang'sstate-of-the-field has century already Some of the finds,however,meritdiscussionbecauseof theirimplications journal. workhas revealeda In place, archaeological forhistoricalinterpretation. the first make repeatedly reports of the history Shang. The archaeological great deal about whose victimsare withoutexceptionlabeled as "slaves." note of human sacrifice, the The purposeof such an emphasisis to substantiate claim thatancientChina was 69 a slave society. haveproved and Shih-lou Kao-ch'eng, at Yen-shih, The excavations Cheng-chou, of beyondtheenvirons Anyang.70 Indeed,ShangsettlethatShang cultureextended ments predatingAnyanghave been foundat Yen-shihand Cheng-chou.Further I4 diggings at Yen-shihhave revealeda palace site whichcarbon- datingplaces at B.C. This is probablyone of the earliercapitalsof the Shang state.7" I590-I300 Discoveries at Shih-lou and Kao-ch'eng have also pushed the boundariesof the of of provinces Shansiand Hopei, farnorth theAnyang Shang area into thepresent large quantitiesof Shang bronzeshave been discoveredat region. Furthermore, limitofShangrelics.72 Ning-hsiangin Hunan whichis, so far,thesouthernmost

by a geographer:Donald J. Ballas, "Some Notes Geoon Agriculturein Han China," Professional graphy,I7 4 (I965), I3-I4. 68 The manuscript prepared one volumeof is as the Han History Project sponsoredby the University Washington,Seattle,and editedbyJack of Dull. A brief summary entitled "Agricultural in Intensification and MarketingAgrarianism the Han Dynasy" is included in David T. Roy and T. H. Tsien, eds., AncientChina: Studiesin Early Civilization (Hong Kong and Chicago: Hong Kong Chinese Univ. Press and Univ. of Chicago

Press,I979).

69 It is impossible to cite every paper thatconin tains such sections. By way of illustration, the of discoveries since I950, summary archaeological as Hsia Nai stresseshuman sacrifice one of the general featuresof Shang society. See K'ao-ku ti yen-chiu-so,ed., Hsin Chung-kuo k'ao-kushouhou (Peking: Wen-wu, 196 i), and "Wu-ch'an chieh-chi wen-hua ta ko-ming chung ti k'ao-ku

hsin fa-hsien," K'ao-Ku, I

(1972),

29-42.

For

treatment this topic using oracle bone inscripof tion materials, see Hu Hou-hsuan, "Chung-kuo nu-li she-hui ti jen-hsun ho jen-chi," Wen-wu, No. 7 (i974), pp. 78-84, and No. 8 ('974), pp. 56-72 . 70 These sites have been known to English readers. See, for instance, Kwang-chih Chang, Archaeology AncientChina (New Haven: Yale of Univ. Press, rev. ed., I968), pp. I94-209. 71 K'ao-ku yen-chiu-so, "Ho-nan Yen-shih Erh-li-tou tsao-shang kung-tieni-chih fa-chueh chien-pao," K'ao-ku, No. 4 (i974), pp. 234-48. 72 Shih-lou jen-min wen-hua-kuan,"Shan-hsi Shih-lou I-tieh fa-hsien Shang-tai t'ung-ch'i," Kao-Ku, No. 4 (0972), pp. 29-30; Ho-pei sheng po-wu-kuan et al., "Ho-pei Kao-ch'eng hsien T'ai-hsi ts'un Shang-tai i-chih I973-nien ti chung-yaofa-hsien,"Wen-wu, No. 8 (i974), pp. 42-49. Hsia Nai, "Wu-ch'an chieh-chiwen-hua ta ko-ming chung ti k'ao-ku hsin fa-hsien," K'aoku, No. I (972), pp. 29-42.

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The Kao-ch'eng discoveriesare of great significance because they include a complex of dwellingsbuilt with sun-dried bricks,a piece of bronzeknifewith an iron edge, heaps of rustediron, lacquer plates and boxes, and some seeds which coincide with the ingredients certainherbal medicines.These date fromthe of B.C. Findings thissiteprovide fifteenth the thirteenth to at century clues to various aspects of Shang culture.Greatest excitement centered the ironpieces, the first on scientifically excavatedironwithsuch an earlydate. The earliest datesfortheuse of ironnow seem to have beenpushedbackward earlyShang. Archaeologists first to at thoughtthatthis findwould also move backward date of the first the appearance of man-madeironin China byas muchas a thousand further years.After investigation, however,it was determined thatthe ironblade was made of meteorite iron,though processed withcertain heattreatment.73 what has been suggestedby the The Kao-ch'eng discoverieshave confirmed Cheng-choudiscoveries-that the early Shang people had a verymaturebronze culture. It was so mature,in fact, that theremust have been a phase of bronze even earlierthan the Shang period. It even suggeststhatthe Hsia was technology such an earlybronzeperiod.74 on in Historicalinformation Western Chou, otherthanwhatis preserved literary sources,has alwaysbeen scarce.In recent a decades,however, good deal ofnewlight has been shed on thisera. Firstofall, excavations villagesalong theFengand Hao in riversin Shensi provincehave disclosed the remainsof Chou dwellingand burial the sites frombefore conquest,as well as from earlyyearsof the Chou dynasty. the a Chou was probably nationbelongingto thegeneral They revealthatpre-conquest Shang culturalsphere,althoughofa relatively lowerlevelofaccomplishment. Such a notionis, ofcourse,a confirmation conventional of understanding.75 at Among the bronzesunearthed Cheng-chiang, whichis locatedin theYangtze delta near the seacoast, is one piece of an early Chou vessel, with inscriptions of to describingthe investiture a certainaristocrat the rankof marquis. This has helped to verify existenceof Chou investiture the ceremonies, and has proventhe presenceof Chou power as faraway fromits capital as the coastal regionsof the Yangtze valley. Anothergroup of bronzesfromChou vassal stateswere foundin in Manchuria. Both these discoveries important substantiating are that the Chou feudal networkreachedthe lowerYangtze valley. An inscription a bronzedison coveredat Ling-t'ung,Shensi, forexample, records the battlein whichKing Wu a overcameShang. And from Chou site at Fu-feng, Shensi,a bronzewas excavated on which was inscribeda summary the earlyChou reigns.All thesefindshave of to of providedinformation Chou period.76 pertinent thehistory theWestern
73"Ho-pei Kao-ch'eng hsien T'ai-hsi ts'un Shang-tai i-chih I973-nien ti chung-yao fahsien"; and T'ang Yiin-ming, "Kao-ch'eng T'aihsi Shang-tai t'ieh-jent'ung-yiieh wen-t'iti t'ant'ao," Wen-wu,No. 3 (I975), pp. 57-59; Li Chung, "Kuan-yu Kao-ch'eng Shang-tai t'ungyueht'ieh-jenti fen-hsi," K'ao-kuhsueh-pao, 2 No. (I976), pp. I7-2 I; Yeh Shih, "Kao-ch'eng Shang-tai t'ieh-jent'ung-yueh ch'i i-i," Wenchi wu,No. ii (I976), pp. 56-59. 74 T'ang Lan, "Ts'ung Ho-nan Cheng-chou ch'u-t'u ti Shang-taich'ien-ch'ich'ing-t'ung-ch'i t'an-ch'i," Wen-wu, No. 7 (I973), pp. 5-I3. 75 K'ao-ku yen-chiu-so,Feng-hsi fa-chiieh pao76 Chiang-su sheng wen-wu kuan-li wei-yuanhui, "Chiang-suTan-t'u hsienYen-tun-shan ch'ut'u ti ku-tai ch'ing-t'ung-ch'i,"Wen-wu ts'an-k'ao tzu-liao, No. 5 (I955), pp. 58-62; Je-hopo-wukuan, "Je-ho Ling-yuan hsien hai-tao ying-tzuts'un fa-hsienti ku-tai ch'ing-t'ung-ch'i,"Wenwu ts'an-k'ao tzu-liao, No. 8 (I955), pp. I6-27; T'ang Lan, "Hsi-Chou shih-taitsui-tsaoti i-chien t'ung-ch'i Li-kuei ming-wen chieh-shih," Wenwu, No. 8 (977), pp. 8-9; Yu Sheng-wu, "Likuei ming-wen k'ao-shih," Wen-wu, No. 8 pp. IO-I2; Chung Feng-nien et al., (I977), "Kuan-yii Li-kuei ming-wen k'ao-shih ti t'aolun," Wen-wu,No. 6 (I978), pp. 77-84; Hsu Chung-shu, "Hsi-Chou ch'iang-pan ming-wen

kao(Peking: Wen-wu, I962).

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becausetheir bronzesare of greatsignificance on Inscriptions newlyunearthed thancan thoseof old bronzeswhose inscripdates can oftenbe betterdetermined Some of the numerousbronzes only in ink-rubbings. tions were oftenpreserved For information. instance,on a group of contain interesting discoveredrecently unitsunder mention military bronzesdug up at Mei-hsien,Shensi,the inscriptions of a single commandwhichconsisted six Chou divisionsand eightShangdivisions. the to In otherwords,the Shangarmyunit continued existlong after fallofShang. on of castsnew lighton thenature theChou conquest,especially the This revelation and conquered." In othercases, thebronzeinscripbetweenconqueror relationship as on of tionsgive information land transactions well as exchanges land and valuable on items, litigation, and corporalpunishment.Using such inscriptions bronzes discovered in Shensi, T'ang Lan, Chou Yuan, and Sheng Chang reveal the riche. and theriseofa typeofnouveau of deterioration the WesternChou social order can With such information available, manyaspectsofChou history now be studied drawnon some of thisinformation in much greater detail. H. G. Creel has already topicsincludetheChou in preparing book on Chou government. Otherpromising a between Chou the betweenstates,and the relationship feudalstructure, interaction and non-Choupeoples. In I965, hundredsof pieces of jade stripswereexcavatedat Hou-ma, Shansi. These jade documentshave been decipheredas an oath betweenthe Ch'in ducal in for of defeated a coup d'etat. The necessity the house and the remnants a faction from to rulinggroup, includingthe rulerhimself, demanda solemnoathof loyalty was structure anothergroup of aristocrats indicatesthatthe old feudalhierarchical of of pattern powerthat rather unstable.It also signalsthearrival a late Ch'un-ch'iu withoaths.78 relationships of lord-vassal demandedreconfirmation existing of There have been a fewnew discoveries Chou citiesin additionto thosePaul The siteofLin-tzuin Shantung, Wheatleyhas coveredin his studyon urbanization. which is the capital of the ancient Ch'i state of the WesternChou period, is of sectionand a connected especiallyrevealing.This cityconsisted a majorwalled-in lesserone, and occupiedoversix square miles. Therewereat leastelevencitygates, periods several different Remainsfrom ten thoroughfares, two sewagesystems. and occupied the have been foundat thissite; obviously, cityofLin-tzuwas continuously a of and formanycenturies, remained center commerce transportation and probably than a fora long time. The morphology Lin-tzuindicates secularurbansiterather of of a sacred place. Excavation of other cities has deepened our understanding in in commerceand industry the Chou period. The Ch'i mintwas discovered the mintedat Lin-tzu is foundin manyCh'i archaeoLin-tzu site, and the currency
78 Kuo Mo-jo, "Ch'u-t'u wen-wu erh-san chien-shih,"K'ao-kuhsiieh-pao, 2 (1978), pp. No. I39-48; Li Hsueh-ch'in, "Lun 'Shih-Ch'iang-pan shih," Wen-wu,No. 3 (0972), pp. 2-io; T'ao chi ch'i i-i,"' K'ao-kuhsueh-pao, 2 (1978), pp. Cheng-kang and Wang Ko-lin, "Hou-ma tungNo. I49-58. Chou meng-shihi-chih," Wen-wu, No. 4 (0972), 77 Shen-hsi sheng po-wu-kuan et al., Ch'ing- pp. 27-37; T'ang Lan, "Hou-ma ch'u-t'u Chant'ung-ch'i t'u-shih (Peking: Wen-wu, I960); T'ang kuo Chao-Chia-chih-meng tsai-shu hsin-shih," Lan, "Yang ch'ing-t'ung-ch'iming-wenlei yen- Wen-wu,No. 8 (1972), pp. 3I-35; Chu Te-hsi chiu hsi-Chou shih," Wen-wu, No. 6 (1976), pp. and Ch'iu Hsi-kuei, "Kuan-yu Hou-ma meng-shu 3 I-39; ShengChang, "Chi-shanhsin-ch'u tseng-i ti chi-tienpu-shih," Wen-wu, No. 8 (1972), pp. jo-kan wen-t'itan-shuo," Wen-wu, 36-38; Li Yu-ming, "Wo tui Hou-ma meng-shu No. 6 (1976), pp. 40-44; and Chou Yuan, "Chii-po Chiu-wei ti k'an-fa," K'ao-ku, No. 3 (1973), pp. i85-9I. liang-chia-chuti hsiao-changyu Chou-li ti peng- The complete text is now published by Wen-wu huai," Wen-wu, No. 6 (976), pp. 45-50. (Peking, I978).

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logical sites in the Shantungpeninsulaand regionswestof the I-mengmountains. a of This fact speaks forthe economicintegration the Ch'i state through unified in The ancientcityofChengexcavated I97 I seemsto have been system.79 currency not only an old capital of Cheng in the Ch'un-ch'iuand of Han in the Chan-kuo exampleof the as periods, but a town of industries well. It thus providesanother of secularization urbancenters.80 of to is industry closelyrelated thenature of The development the metallurgical on bronzeand ironcultures.In thepast two decades,information mining,casting, quantities.Clay skills has accumulatedin unprecedented and other metallurgical molds for Shang bronzes and iron molds for Chan-kuo iron tools can now be and Han sitesare at of compared.Largenumbers irontoolsdiscovered theChan-kuo ironand thatwrought the being analyzed, with resultssubstantiating assumption in cast iron techniquesdevelopedin tandem.Copper minesunearthed I974 reveal indicatethat, in All thesediscoveries the level of Chan-kuo mining technology. ancient China, metallurgicalexperiencegained fromworkingwith bronze was appearsto The wholeprocess of into thedevelopment irontechnology. incorporated Chinese than two separatecoursesof development. have been a continuumrather areas,makingit a mucheasiertask in scholarshave laid good foundations numerous evolutioncould very to argue the possibilitythat the whole seriesof metallurgical influence.8' external without Chineseexperience likelybe an independent Numerous archaeologicaldiscoveriesin the Yangtze rivervalley have offered The of the new dimensionsfordiscerning composition ancientChinesecivilization. as China includedsuch features rice Neolithic culturesin centraland southeastern and the use of bamboo. Many of these cultivation, fishing,wood construction, have survivedeven into our own time. The high level of southerncharacteristics in to attested by theartobjectsexcavated the accomplishment and aesthetic material Ch'un-ch'iuand Chan-kuoCh'u tombsin Hupei-Hunanand adjacentareasindicates in that a well developed cultural traditionflourished the Yangtze valley.82The demonstrate and of fantastic recentfindings Han tombsat Ma-wang-tui Ch'ang-sha duringthe culturaltradition of in everyaspect the continuation the same southern concentration by of Han period. The prosperity theCh'u stateis suggested theheavy of Chan-kuo weight balances in the Ch'u sites. The absenceof victimsof human
79 Chun-li, "Lin-tzu Ch'i-kuo ku-ch'engk'ant'an chi-yao," Wen-wu,No. 5 (1972); and Chu Huo, "Ts'ung Shan-tungch'u-t'u ti Ch'i-pi k'an Ch'i-kuo ti shang-yehho chiao-t'ung," Wen-wu, No. 5 (I972), pp. 5 5-59. 80 Hao Peng-hsing, "Hsin-cheng Cheng-Han ku-ch'eng fa-hsien i-p'i Chan-kuo t'ung-pingpp. 32-40. No. ch'i," Wen-wu, I0(I972), 81 For metallurgicalanalysisof iron tools, see Huang Chan-yueh, "Chin-niench'u-t'u ti ChanNo. kuo liang-Han t'ieh-ch'i," Kao-kuhsueh-pao, Hua Chueh-minget al., pp. 93-I08; 3 (I957), "Chan-kuo liang-Han t'ieh-ch'i ti chin-hsiangNo. I (I960), hsueh k'ao-cha," Kao-kuhsiieh-pao, of pp. 7 3-89. For comparison molds, Chang Tzuho kao et al., "Ts'ung Hou-ma t'ao-fan Hsin-lung t'ieh-fank'an Chan-kuo shih-tai ti yeh-chuchipp. 62-65. On shu," Wen-wu,No. 6 (I973), ancient mining sites, see T'ung-lu-shank'ao-kutui, "Hu-pei T'ung-lu-shan Ch'un-ch'iu Chanchien-pao," i-chihfa-chueh kuo ku-k'uang-ching

Ho-nan wenpp. I-I2; Wen-wu,No. 2 (1975), hua-chu, comp., Kung-hsien t'ieh-sheng-kou (Peking: Wen-wu, I962). ti Hsin Chung-kuo k'ao82 K'ao-ku yen-chiu-so, and Yin Tseng Chao-yueh pp. kushou-hou, 29-30. Huan-chang, "Shih-lun Hu-Shu wen-hua,"K'aoNo. ku hsiieh-pao, 4 (I959), pp. 47-58; Hsia Nai, "Ch'ang-chiang liu-yuk'ao-ku wen-t'i," K'ao-ku, No. 2 (I960), pp. I-3; Che-chiangsheng wenshe-hui yuan-shih kuan-hui, "Ho-mu-tu fa-hsien chung-yao i-chih," Wen-wu,No. 8 (1976), and commentsin the same issue, pp. 6-26; Hsia Nai pao-kao (Peking: K'oet al., Ch'ang-shafa-chueh Hu-nan sheng po-wu-kuanet al., hsueh, I957); Ch'ang-sha Ma-wang-tuii-hao Han-mu (Peking: No. 9 (I972), See also Wen-wu, Wen-wu, I974). passim; and Hu-nan sheng po-wu-kuan et al., "Ch'ang-sha Ma-wang-tui erh-san-haoHan-mu No. 7 (I974), pp. fa-chuehchien-pao," Wen-wu,
39-48.

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of in tombsmaybe evidenceofthedevelopment a humanistic sacrifice the southern of cultures the laterChou. It is now evident,moreover, consciencein the southern that the stateof Ch'u duringthe Ch'un-ch'iuand Chan-kuoperiodscould have the of resourcesand capabilityto challenge the combinedstrength all the northern to time, thereis enoughinformation writea fullnewchapter states. At thepresent of component China'shistory. culture,whichshouldbe a pertinent on thesouthern ethnic among the variouslocal culturesand among different The relationship inforgroups in China can also be studied now that so much new archaeological in Local cultures theSzechwanbasinand sources.83 the mationsupplements literary Yunnan region had long been mentionedin history,but it is only with recent in thatwe have gained solid information archaeologicaldiscoveries theseprovinces of ethnicgroups.The gradualassimilation thePa-Shuculture on thesesouthwestern of into the sphereof culturalinfluence China properin the northhas now become a clear.84 On the otherhand, the local culturein Yunnan reveals convergence fairly the stateofCh'u and from steppes,as well as the from southern ofculturalinfluences Asia. Thus, it appearsthat into southeast stronglinks to nativeculturesextending area could actuallybe a centerin its own what is usually regardedas a peripheral of way. All these discoveries,of course,shed more light on the formation China of Future studies of the establishment cenfrom many separate components.85 in and culturalhomogenization earlyChina will be tralized imperialgovernment from information Chou and evidence,in archaeological able to drawon theabundant local culturaltraits.86 Han, ofpersistent of our havethusincreased knowledge ancient The new archaeological discoveries in China along severaldimensions.They are especiallyimportant discussingthe of natureof the Shang and Chou stateand society,theevolution ancientcities,and of thediversity well as interaction variouslocal cultures. as Newly Discovered Ancient Texts to materials added tremendously theamount has The discovery manywritten of of ancient documentation directly available to scholarly researchers.These documentsincludethe Han woodenand bamboostripsfoundat Chu-yen;the texts fromthose that later of books long thoughtto be lost, or of versionsdifferent foundat Wu-wei, on subjectsnot prevailed; material,such as medicaldocuments the recordsat all; the recordof a Ch'in local administrator; preservedin literary and a of Han citizenwhichwerefoundat Chiang-ling; businessrecords an ordinary
83 For instance,Li I-yu, "Nei-meng Chao-wuta-mengch'u-t'u ti t'ung-ch'itiao-ch'a," K'ao-ku, No. 6 (I959), pp. 276-77, and "Nei-meng-ku hsi-pu ti-ch'iit Hsiung-nu ho Han-tai wen-wu," Wen-wu ts'an-k'aotzu-liao,No. 4 (I957), pp. 2932; Hsin-chiangUigur tzu-chih-ch'ii po-wu-kuan k'ao-ku-tui, "Hsin-chiang Ming-fenghsien pei ta-sha-mochung ti ku-taii-chih," K'ao-ku,No. 3 (I96 I), pp. I19-22; Nei-meng-kupo-wu-kuan, "Ho-lin-ko-erhfa-hsieni-tso chung-yaoti tungHan pi-hua-mu," Wen-wu, No. (I 974), pp.

Ssu-ch'uan sheng wen-kuan hui, "Ch'eng-tu Yang-tzu-shan t'u-t'ai i-chih ch'ing-li pao-kao," pp. I7-3 I; SsuNo. 4 (1957), K'ao-ku hsueh-pao, kuan-tsang ch'uan sheng po-wu-kuan, Ssu-ch'uan fa-chueh pao-kao(Peking: Wen-wu, I960). Chin85 Yiin-nan sheng po-wu-kuan, Yiin-nan ku-mu-ch'un fa-chuieh pao-kao ning Shih-tsai-shan (Peking: Wen-wu, I959); Feng Han-chi, "Yiinnan Chin-ningch'u-t'u t'ung-kuyen-chiu,"Wenwu, No. I (I974), pp. 5 i-6i. ti HsinChung-kuo K'ao86 K'ao-ku yen-chiu-so, 8-23. p. ku shou-hou, 75. Also Yang Hsi-chang and Li 84 Ssu-ch'uan sheng po-wu-kuan, "Ssu-ch'uan Ching-han, "Ts'ung k'ao-ku-hsueh shang k'an ko-kuo ti she-haich'a-pieh," Hsin-fan hsien Shui-kuan-yini-chih shih-chueh Ch'in ho tung-fang K'ao-ku, No. 5 (1974), pp. 294-98. chien-pao," K'ao-ku, No. 8 (1959), pp. 404-IO;

EARLY CHINESE HISTORY

47 I

materials written discovered at legal depositiondiscovered Chu-yen.The recently 87 thousand pieces. amountto morethantwenty-eight a from Han tombat bamboostripswereunearthed hundred In I972, forty-nine pre-Ch'inworks,includingtheMo-tzu,theKuan-tzu, Lin-i. On thesestripsseveral were preserved.The discovery the Yen-tzu,and discussionsof militarystrategy body of ancientbooks had time since A.D. 28I thata substantial markedthe first piece The mostinteresting being sealed in tombsforcenturies. come to light after to among themis the workattributed Sun Pin, a worklost becausethe"Treatiseon and thirty-two Bibliography"in the Sui Shu had failedto recordit. Two hundred pieces of bamboo stripscontainingsome chaptersof the work by this Chan-kuo with the thirteen were foundat Lin-i. This work is not to be confused strategist of Sun Wu, fragments whichwere Chun-ch'iustrategist chaptersof the celebrated at foundon anotherone hundredand fivebamboo stripsdiscovered the same site. mistakesin the onlyother of The remnant Sun Wu's workis usefulforcorrecting versionthat had survivedinto moderntimes. The appearanceof Sun Pin's work, of however, means the recovery a work that had been totallylost. Its contents as strategy, and on information Chan-kuowarfare military provide much relevant well as some details on the historyof certainstates and theirphilosophiesof
88 politics.

valuablein verifying in Otherbooksdiscovered theHan tombsat Lin-iareeither or and the Yen-tzu), of the authenticity some dubious works(such as the Kuan-tzu of lost as interesting hitherto works(suchas thefragment a bookon caninephysiogpiece books.) The fragmentary ofa calendar of nomyand remnants some divination is so of I34 B.C. is the onlyone of its kind thathas reappeared far.An effort now the being made to reconstruct ancientcalendar,which mightbe used as a check 89 chronology. againsthistorical on In I973, severalrollsof an ancientworkwritten silk werefoundin the Han thousand tombs at Ma-wang-tuiand Ch'ang-sha-some one hundredand twenty textsofTaoist unknown erstwhile of wordsin total. Two versions theLao-tzu,four and map have been ts'e,a star-chart, a military works,one versionof the Chan-kuo not only for making cominteresting, published. The Lao-tzu text is certainly way acceptededition,but also becauseofitsdifferent of parisonswiththecommonly arrangingthe chapters,that is, with the sectionson Virtue(te) leading those on the Way (tao).90 Other texts,copied on the same silk preceding Lao-tzu,are now of consideredto be remnants ancientTaoist works.Probablytheyare thosewhich have been attributedsince the Han period to Huang-ti, whose philosophical
87 For a summary of these discoveries,see Shu Hsueh, "Wo-kuo ku-tai chu-mu-chienfa-hsien ch'u-t'u ch'ing-k'uang," Wen-wu, No. i (1978), p. 44. 88 Shan-tung po-wu-kuan, "Shan-tung Lin-i hsi-mu fa-hsien Sun-tzuping-faho Sun Pin pingfa teng chu-chienti chien-pao," Wen-wu, No. 2 pp. I5-26; Lo Fu-i, "Lin-i Han-chien (I974), pp. 32-35; kai-shu," Wen-wu, No. 2 (I974), Chan Li-po, "Sun Pin ping-fach'an-chienchiehshao," Wen-wu, No. 3 (I974), pp. 40-46; Yingchueh-shan Han-mu cheng-li hsiao-tsu, "Yingchueh-shan Han-mu ch'u-t'u Sun-tzu ping-fa ch'an-chien shih-wen," Wen-wu,No. 2 (974), pp. i i-i9; and, by the same author,"Lin-i Yin-

chueh-shan Han-mu ch'u-t'u Sun Pin ping-fa shih-wen," Wen-wu, No. I (I975), pp. I-I I. 89 Lo Fu-i, "Lin-i Han-chien kai-shu"; Ch'en Chiu-chin and Ch'en Mei-tung, "Lin-i ch'u-t'u Han-ch'u ku-li ch'u-t'an," Wen-wu, No. 3 (I 974), PP. 59-68. 90 Hu-nan po-wu-kuanet al., "Ch'ang-shaMawang-tui erh-san-hao Han-mu fa-chuehchienpao," Wen-wu,No. 7 (I974), pp. 39-48. Kao Heng and Ch'i Hsi-ch'ao, "Shih-t'an Ma-wangtui Han-mu-chung ti po-shu Lao-tzu," Wen-wu, No. II I974), pp. I-7; Ma-wang-tuiHan-mu po-shu cheng-li hsiao-tsu, "Ma-wang-tui Hanmu ch'u-t'u Lao-tzu shih-wen," Wen-wu, No. I I
(I974), pp. 8-20.

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withthoseoftheLao-tzuschool,came to be knownthroughout together adherents, of as laterhistory the Huang-Laoschool. The philosophy theHuang-tiTaoistsstood between the classical Taoism of the Lao-tzu traditionand the fa-chia tradition that by represented Sheng Pu-hai and Han Fei. It seems,therefore, a missinglink of Taoism and thefa-chiatheories nowbeenfound.The validity such has connecting of is a hypothesis supportedby the inclusionof fragments an obviousfa-chiawork preceding anotherLao-tzu text also foundin the Ma-wang-tuisite. It becomes background the to evident that thefa-chiaschool owed much of its philosophical obviousto Ssu-maCh'ien, who includedLao-tsuand Han Taoists, a factapparently The text of a Chan-kuosilk book foundat the MaFei in the same biography.91 ts'e. For convenience, is it wang-tui Han tomb is partlyidenticalto the Chan-kuo percent thistextis of ts'e, of labeled an ancientversion theChan-kuo but about sixty section discovered ts'e. editionoftheChan-kuo This newly not foundin theprevalent efforts build alliances to anecdotesabout Su Ch'in, whoselifelong containslengthy reconstructed. The reorganized for the state of Yen can thus be more coherently figure Su Ch'in, as well as the of the semilegendary helps to clarify information relationships.92 generalpictureofChan-kuointerstate collectively and The ancient books excavatedat Yin-chiieh-shan Ma-wang-tui and the ratherdubious works(such as the Yen-tzu suggest that several formerly and of Chan-kuo ts'e)are by no meansforgeries Han scholarship, thatthe lossessaid wereprobably notorious book-burning to have been caused by Ch'in Shih-huang's overestimated. in of Anothermajordiscovery Ch'in bamboo stripsoccurred December I975 at who Hupei. This burialsitewas thetombofa Ch'in local administrator Yuin-meng, The more than one thousand died in 2I7 B.C., only fouryearsafterunification. of bamboo stripsconstitute (an fragments theCh'in Chronicle essayon theconduct of at ofan ideal bureaucrat), and fragments laws, regulations, statutes thelocal level of Ch'in administration.The Chronicle, although very concise and simple in for to content,does providesome valuableinformation historians checkthevalidity providesus with a of the Shih-chi record.The code of conductof an ideal official materials The mostpertinent of glimpseoftheimplementation theLegalistideology. and statutes,whichgive detailsabout the administraare foundin the regulations convict labor,police convict foodrations, granaries, tion ofagricultural production, of Thereis, forinstance, record theamountof a work,and a fewcourttrialrecords. seed grainbeingsownin a givenarea.93 In I973, anothergroup of Han documentswas unearthedat Chiang-ling, containrecords taxes, on Hupei. Four hundredbamboo stripsand ninewoodblocks
91 Ma-wang-tui Han-mu po-shu cheng-li hsiao-tsu, "Ch'ang-sha Ma-wang-tui Han-mu ch'u-t'u Lao-tzu i-pen ch'uan-ch'ien ku-i-shu shih-wen," Wen-wu, No. IO (I974), pp. 30-42; T'ang Lan, "Huang-ti ssu-chingch'u-t'an," Wenwu, No. IO (I974), pp. 48-52; Ling Hsiang, "Shih-lun Ma-wang-tui Han-mu po-shu I-yin chiu-chu," Wen-wu, No. II (I974), pp. 2 I-27; T'ang Lan, "Ma-wang-tui ch'u-t'u Lao-tzu i-pen chuan-ch'ienku-i-shuti yen-chiu,"Kao-kuhsiiehpao, No. I (I975), pp. 7-38. 92 Yang K'uan, "Ma-wang-tui po-shu Chankuo-ts'e ti shih-liao chia-chih," Wen-wu, No. 2 pp. 26-34; Ma-wang-tuiHan-mu po-shu (I975), cheng-li hsiao-tsu, "Ma-Han-mui Han-mu ch'ut'u po-shu Chan-kuo-ts'e shih-wen," Wen-wu, No. 4 (I975), pp. I4-26; Ma Yung, "Po-shu pieh-pen Chan-kuo ts'e ko-pien ti nien-taiho liNo. 4 (I975), pp. 27shih pei-ching," Wen-wu,
40.
93 Hsiao-kan ti-ch'u wen-wu k'ao-ku hsunlien-pan, "Hu-pei Yun-mengSui-hu ti shih-i-hao Ch'in-mu fa-chuehchien-pao," Wen-wu,No. 6 Yun-meng Ch'in-mu chu(1976), pp. i-io; chien cheng-lihsiao-tsu,"Yun-mengCh'in-chien shih-wen," Wen-wu, No. 6, (1976), pp. I I-I4, No. 7 (1976), pp. i-I I, and No. 8 (976), pp.

27-37.

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loans, credit,and businessbookkeeping, in greater all detail than is foundin any hitherto extanthistorical sources.These documents yieldan extremely vividpicture ofthe economiclifeofa middle-class in household a smallvillage. Although someof theserecords open to differing are interpretations, historians already can workout a general patternof marketing activitiesin ruralareas. The omnipresence cash of currencymay imply that the early Western Han rural economyhad developed beyonda simplesystem barter kind and had adoptedthebehavior monetary of in of exchange.94The appearanceof such a highlydevelopedruraleconomyshould be withthe advanceofagriculture generaland withtheoverallhighlevel correlated in ofscientific technological and development. Anotherextremely fascinating discovery thealmosttwenty is thousand piecesof bamboo and wooden stripsof Han frontier documents,foundbetween I972 and I976 at Chu-yen,Kansu. In additionto piecessimilarto thosediscovered I93 I, in such as administrative records,letters,and decrees, there is a very interesting deposition,dated A.D. 27, betweena local officer the businessman and whom he contractedto sell fishat market. This documentprovideshithertounavailable information onlyon Han litigation not procedure, also on marketing but activities and traderoutesin thefrontier 95 area. Prospects forFuture Research In this paper I have triedto survey scholarship threemajorlanguageson the in the history ancientChina, focusing the issuesof slavery of on versusfeudalism, the city-state, characteristics the Ch'in-Han empire,and agriculture. of The first three issues wereselectedbecausetheyreflect mostcrucialtopicsin historical the research on the Shang-Chou,EasternChou, and Ch'in-Han periods,respectively. The last one is discussed because it is a subfieldthat has begun to open only in recent decades, and also becauseofmyown research interests. selecting By thesesubjects,I do not mean to implythat othertopics are of lesserimportance a survey the to of ancienthistory field.On the contrary, greatmanyextremely a significant subjects might well be added if space permitted, among them. epigraphicstudies,textual criticism theclassics,and Englishtranslations ancient of of Chinesetexts. One potentially area of inquiryconcerns originsof Chinesecivirewarding the lization. The notionthatthe foundations Chinesecivilization of weredevelopedby Neolithic peoples on the North China plain is now seriously questioned,as rice cultivationfromthe fifth millenniumB.C. has been discoveredin the southeast coastal region.96Chinese archaeologists have alreadybegun to recognizethe dis94 Ch'ang-chiang liu-yu ti-erh-ch'i wen-wu k'ao-ku kung-tso jen-yuanhsun-lien-pan,"Hupei Chiang-lingFeng-huang-shan hsi-Han-mufachueh chien-pao," Wen-wu,No. 6 (I974), pp. 4 I-60; Huang Sheng-chang, "Chiang-lingFenghuang-shanHan-mu chien-tuchi-ch'itsai li-shih ti-li yen-chiushang ti chia-chih,"Wen-wu, No. 6 pp. 66-77; and Hung I, "Chiang-ling (I974), Feng-huang-shan shih-haoHan-mu chien-tuch'ut'an," Wen-wu, No. 6 (974), pp. 78-84. 95 Kan-su Chu-yen K'ao-ku-tui, "Chu-yen Han-tai i-chih ti fa-chueh ho hsin-ch'u-tu ti chien-ts'ewen-wu," Wen-wu, No. I (978), pp. I-25; Hsu P'ing-fang, "Chu-yen k'ao-ku fa-

chueh ti hsin shou-huo," Wen-wu, No. I (1978), 26-29; Kan-su Chu-yen k'ao-ku-tuichients'e cheng-li hsiao-tsu, "Chien-wu san-nienhoushu-chunso-tsek'ou-en shihshih-wen,"Wen-wu, No. I (978), pp. 30-3I96 The first reporton the Ho-mu-tu discovery consists of fiveshort articles in Wen-wu,No. 8 (I976), pp. 6-26. Themore recent report this on earlyNeolithic culturewhichhad ricecultivation and wooden-structure dwellings is Che-chiang sheng wen-wu kuan-li wei-yuan-huiand Chechiang-shengpo-wu-kuan, "Ho-mu-tu i-chih tii-ch'i fa-chuehpao-kao," K'ao-ku Hsiieh-pao, No. I (I978), pp. 39-94; Che-chiangsheng po-wupp.

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tinctive characteristics this early Neolithic culture,a cultureparallel to the of Yangshao-Lungshan tradition.97 Rice cultivation coastalChina mightbe related in to rice cultivationin otherregionsof the westernPacific.It is not unlikelythat in further discoveries southwest China, whereedible rootshavealwaysbeena major cultivatedfoodcrop,mightestablish some relationship between thatregionand the oceanic cultural tradition. Further,there has been a quite recognizablesteppe culturein China northof the line now tracedby the GreatWall. One can visualize the developmentof Chinese civilizationnot as the radiationfroma core Yellow River area to the four quarters, but as one of cross-cultural influences and interchanges among severalsourcesof inspiration, processwhichcan be foundin a the formation othermajor ancientcivilizations.In the yearsto come, as more of archaeological materials uncovered, is likelythattheproblems theorigins are it of of Chinesecivilization will attract moreattention provoke and moredebate. In the fieldof Shang-Chouhistory, moreShangsitesare excavated covera as to largerarea, it is likelythattheconceptofShangas a statewill gradually give wayto the concept of Shang as a culture, shared yet modifiedby several "local" or "regional" groups. There might have been severalsub-units,each of which was dominated by Shang culture, although with some localized distinctivecharacteristics.One of theseunits was probablythe Chou before theirconquestof the Shang. Among the recently excavatedpre-conquest Chou remainsnear Sian were oracle bones of the Shang styleon whichwere recorded religiouspractices resembling thoserecorded theShangoracleinscriptions Anyang, on at sacrifices including to the deceasedShangkingsand royalancestors. One oftheShangkingsevenvisited Chou in person.98Such a relationship betweenthe Shang and pre-conquest Chou was probablyreproducedin otherareas around the Shang state. A continuum of Shang culture(in both temporal and spatialterms)can serveas a usefulframework withinwhichthelocal cultures contemporary theShangmightbe studied. with The history WesternChou shouldbe a rewarding of fieldforscholars, withrich information contained in numerousbronze inscriptions.Although such source materialsstill pale in comparisonwith the voluminousdata available in the Tso chuan,the information now available is a great increaseover what one could find thirtyyears ago. ShirakawaShizuka, in his severalvolumes of transcriptions of bronze inscriptions, has laid the foundation solid research Chou political for on institutions, social structure, economicbehavior, well as on Chou beliefs and as and ideas.99A good reconstruction Shang-Chousociety,especially of thatof the WesternChou, would finally settletheproblem Chou feudalism itsevolution. of and The developmenttoward monarchy, long process continuingthroughthe a Ch'un-ch'iu and Chan-kuoperiods,is definitely preludeto the emergence the a in
kuan, "Ho-mu-tu i-chih tung-chih-wu i-ts'un ti Liang-chu wen-hua-T'ai-hu liu-yu yuan-shih chien-ting yen-chiu," K'ao-ku Hsiieh-pao, No. i wen-hua ti feng-ch'iwen-t'i," Wen-wu,No. 4 "The Summary a Symposium Neolithic of on 98 Shen-hsishengpo-wu-kuanChou-yuan k'aoCulture on the Lower Reaches of the Yangtze ku-tui, comp., Chou-yiian k'ao-ku t'ung-hskn, Nos. River," Wen-wu,No. 3 (I978), pp. 35-39; Su I o and II (I 97 8); Ssu Wei-chih, "Tsao-Chou ti Ping-i, "Lueh-t'an wo-kuo tung-nanyen-haiti- li-shihch'u-t'an," Li-shihyen-chiu, 9 (I978). No. 99 Shirakawa Shizuka, Kinbuntshmaku ch'u ti hsing-shih-ch'i shih-taik'ao ku," Wen-wu, (Kobe: No. 3 (I978), pp. 40-42; Nan-ching po-wu- Hakutsuru Bijyutsukan, I962- I975). Shirakawa yuan, "Ch'ang-chiang hsia-yu hsing-shih-ch'i has also compiled a ratherbrief historyof the shih-taiwen-huajo-kan wen-t'iti t'an-hsi," Wen- Shang-Chou periodfrom bronzeinscription matewu, No. 4 (1978), pp. 46-57; Mou Yung-k'ang rials; see his Kinbunnoseikai(Tokyo: Heibonsha, and Wei Cheng-chin,"Ma-chia-pingwen-huaho I97 I).
97

(1978),

pp. 95-I08.

(1978),

pp. 67-73.

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Ch'in-Han periodofunified for empire,whichpersisted thenexttwothousand years as the basic factordetermining Chinese political and social institutions. Japanese scholarshave conductedan activedebateon thisset of topics,thoughmuchcan be of done to broaden theirdiscussionson the integration state and societyin the systemof ancientempire. It would be interesting way of illustration investo by tigate the centripetal thathelpedhold a unified factors empiretogether (Confucian culturalism,a market economylinkedwithintensive and farming, so on), and the factorsthat tended to pull the unifiedempireapart (regionalism centrifugal and clans, forexample),as well as theinteraction thesesetsoffactors. between The roles of elites at different levels of societypresumably An differed. investigation elite of roles in the contextof helpingthe stateor competing with the stateforcontrolof human and material resourcesis also critical in analyzingthe patternof state in structure ancientChina. It is impossibleto exhaustall possibleapproaches future for on research ancient China. We are now facingchallengeson two fronts: of rapidexpansion new materials-the happyconsequenceof archaeological activity-and a quest forobjective and satisfactory theoretical stimulated Marxistdoctrine, interpretation whichis by followed by those working in the People's Republic of China. Unprecedented Let challengeis alwaysexcitingas well as confusing. us confront challengeand the hope forthebest. In the threedecades since I949, the study of ancientChina has become an international discipline. Since I975 a newsletter been publishedin the United has for Statesas a forum members theSociety theStudyofEarlyChinato exchange of for information and views. This event should be regardedas a verysignificant step toward the developmentof this field. The visits of severalgroups of American scholarsstudyingancientChina to the People's Republic of China has also had a tremendousimpact on the prospects for futuredevelopment.The imminent exchangeto be expectedbetween Chineseand American scholarly communities will, one hopes, open a new era of interchange ideas and materials. of Chinesestudiesin United Statesuniversities suffered has from recent retrenchment to fiscal due problems. To compensate thesesetbacks,inter-institutional for cooperation sharing and oflimitedresources seemstheonlysolution.One possibleformat would be a regular summerworkshop earlyChina studies,attendedby faculty for members and graduate students from variousuniversities, thatyoungscholars so could be exposedto a rangeof ideas and methodologies whichno singleinstitution provide,and more can advancedscholars could benefit from mutualstimulus and inspiration.