_Chapter Two_

p. 19: The discussion in this chapter relies mainly upon the Anyang excavation reports and the studies by Tung Tso-pin and, most strongly, Ch'en Meng-chia. In English, the best work is still H.G. Creel, _The Birth of China_, London 1936 and his more specialized _Studies in Early Chinese Culture_, Baltimore 1937.

p. 20: The possibility of a "megalithic" culture in the Far East has often been discussed, by O. Menghin, R. Heine-Geldern, Cheng Te-k'un, Ling Shun-sheng and others. Megaliths occur mainly in South-East Asia, southern China, Korea and j.a.pan.--Teng Ch'u-min and others believe that silk existed already in the time of Yang-shao.

p. 21: Kuo Mo-jo believes, that the Shang already used a real plough drawn by animals. The main discussion on ploughs in China is by Hsu Chung-shu; for general anthropological discussion see E. Werth and H.

Kothe.

p. 22: For the discussion of the T'ao-t'ieh see the research by B.

Karlgren and C. Hentze.

p. 23: I follow here mainly Ch'en Meng-chia, but work by B. Schindler, C. Hentze, H. Maspero and also my own research has been considered.

p. 24: I am accepting here a narrow definition of feudalism (see my _Conquerors and Rulers_, Leiden 1952).--The division of armies into "right" and "left" is interesting in the light of the theories concerning the importance of systems of orientation (Fr. Rock and others).

p. 25: Here, the work by W. Koppers, O. Spengler, F. Han[vc]ar, V.G.

Childe and many others, concerning the domestication of the horse and the introduction of the war-chariot in general, and work by Shih Chang-ju, Ch'en Meng-chia, O. Maenchen, Uchida Gimpu and others concerning horses, riding and chariots in China has been used, in addition to my own research.

p. 26: Concerning the wild animals, I have relied upon Ch'en Meng-chia, Hsu Chung-shu and Tung Tso-pin.--The discussion as to whether there was a period of "slave society" (as postulated by Marxist theory) in China, and when it flourished, is still going on under the leadership of Kuo Mo-jo and his group. I prefer to differentiate between slaves and serfs, and relied for factual data upon texts from oracle bones, not upon historical texts.--The problem of Shang chronology is still not solved, in spite of extensive work by Liu Ch'ao-yang, Tung Tso-pin and many j.a.panese and Western scholars. The old chronology, however, seems to be rejected by most scholars now.

_Chapter Three_

p. 29: Discussing the early script and language, I refer to the great number of unidentified Shang characters and, especially, to the composite characters which have been mentioned often by C. Hentze in his research; on the other hand, the original language of the Chou may have been different from cla.s.sical Chinese, if we can judge from the form of the names of the earliest Chou ancestors. Problems of substrata languages enter at this stage. Our first understanding of Chou language and dialects seems to come through the method applied by P. Serruys, rather than through the more generally accepted theories and methods of B. Karlgren and his school.

p. 30: I reject here the statement of cla.s.sical texts that the last Shang ruler was unworthy, and accept the new interpretation of Ch'en Meng-chia which is based upon oracle bone texts,--The most recent general study on feudalism, and on feudalism in China, is in R.

Coulborn, _Feudalism in History_, Princeton 1956. Stimulating, but in parts antiquated, is M. Granet, _La Feodalite Chinoise_, Oslo 1952. I rely here on my own research. The instalment procedure has been described by H. Maspero and Ch'i Sz[)u]-ho.

p. 31: The interpretation of land-holding and clans follows my own research which is influenced by Niida n.o.boru, Kat[=o] Shigeru and other j.a.panese scholars, as well as by G. Haloun.--Concerning the origin of family names see preliminarily Yang Hsi-mei; much further research is still necessary. The general development of Chinese names is now studied by Wolfgang Bauer.--The spread of cities in this period has been studied by Li Chi, _The Formation of the Chinese People_, Cambridge 1928. My interpretation relies mainly upon a study of the distribution of non-Chinese tribes and data on early cities coming from excavation reports (see my "Data on the Structure of the Chinese City" in _Economic Development and Cultural Change_, 1956, pp. 253-68, and "The Formation of Chinese Civilization" in _Sociologus_ 7, 1959, pp. 97-112).

p. 32: The work on slaves by T. Pippon, E. Erkes, M. Wilbur, Wan Kuo-ting, Kuo Mo-jo, Niida n.o.boru, Kao Nien-chih and others has been consulted; the interpretation by E.G. Pulleyblank, however, was not accepted.

p. 33: This interpretation of the "well-field" system relies in part upon the work done by Hsu Ti-shan, in part upon M. Granet and H.

Maspero, and attempts to utilize insight from general anthropological theory and field-work mainly in South-East Asia. Other interpretations have been proposed by Yang Lien-sheng, Wan Kuo-ting, Ch'i Sz[)u]-ho P.

Demieville, Hu Shih, Chi Ch'ao-ting, K.A. Wittfogel, and others Some authors, such as Kuo Mo-jo, regard the whole system as an utopia, but believe in an original "village community".--The characterization of the _Chou-li_ relies in part upon the work done by Hsu Chung-shu and Ku Chieh-kang on the t.i.tles of n.o.bility, research by Yang K'uan and textual criticism by B. Karlgren, O. Franke, and again Ku Chieh-kang and his school.--The discussion on twin cities is intended to draw attention to its West Asian parallels, the "acropolis" or "ark" city, as well as to the theories on the difference between Western and Asian cities (M.

Weber) and the specific type of cities in "dual societies" (H. Boeke).

p. 34: This is a modified form of the Hu Shih theory.--The problem of nomadic agrarian inter-action and conflict has been studied for a later period mainly by O. Lattimore. Here, general anthropological research as well as my own have been applied.

p. 36: The supra-stratification theory as developed by R. Thurnwald has been used as a.n.a.lytic tool here.

p. 38: For this period, a novel interpretation is presented by R.L.

Walker, _The Multi-State System of China_, Hamden 1953. For the concepts of sovereignty, I have used here the _Chou-li_ text and interpretations based upon this text.

p. 40: For the introduction of iron and the importance of Ch'i, see Chu Hsi-tsu, Kuo Mo-jo, Yang K'uan, Sekino, Takeshi.--Some scholars (G.

Haloun) tend to interpret attacks such as the one of 660 B.C. as attacks from outside the borders of China.

p. 41: For Confucius see H.G. Creel, _Confucius_, New York 1949. I do not, however, follow his interpretation, but rather the ideas of Hu Shih, O. Franke and others.

p. 42: For "chun-tz[)u]" and its counterpart "hsiao-jen" see D. Bodde and Ch'en Meng-chia.

p 43: I rely strongly here upon O. Franke and Ku Chieh-kang and upon my own work on eclipses.

p. 44: I regard the Confucian traditions concerning the model emperors of early time as such a falsification. The whole concept of "abdication"

has been a.n.a.lysed by M. Granet. The later ceremony of abdication was developed upon the basis of the interpretations of Confucius and has been studied by Ku Chieh-kang and Miyakawa Hisayuki. Already Confucius'

disciple Meng Tz[)u], and later Chuang Tz[)u] and Han Fei Tz[)u] were against this theory.--As a general introduction to the philosophy of this period, Y.L. Feng's _History of Chinese Philosophy_, London 1937 has still to be recommended, although further research has made many advances.--My a.n.a.lysis of the role of Confucianism in society is influenced by theories in the field of Sociology of religion.

p. 45: The temple in Turkestan was in Khotan and is already mentioned in the _Wei-shu_ chapter 102. The a.n.a.lysis of the famous "Book on the transfiguration of Lao Tz[)u] into a Western Barbarian" by w.a.n.g Wei-cheng is penetrating and has been used here. The evaluation of Lao Tz[)u] and his pupils as against Confucius by J. Needham, in his _Science and Civilization in China_, Cambridge 1954 _et seq_. (in volume 2) is very stimulating, though necessarily limited to some aspects only.

p. 47: The concept of _wu-wei_ has often been discussed; some, such as Masaaki Matsumoto, interpreted the concept purely in social terms as "refusal of actions carrying worldly estimation".

p. 49 Further literature concerning alchemy and breathing exercises is found in J. Needham's book.

_Chapter Four_

p. 51: I have used here the general framework of R.L. Walker, but more upon Yang K'uan's studies.

p. 52: The interpretation of the change of myths in this period is based in part upon the work done by H. Maspero, G. Haloun, and Ku Chieh-kang.

The a.n.a.lysis of legends made by B. Karlgren from a philological point of view ("Legends and Cults in Ancient China", _The Museum of Far Eastern Antiquities, Bulletin_ No. 18, 1946, pp. 199-365) follows another direction.

p. 53: The discussion on riding involves the theories concerning horse-nomadic tribes and the period of this way of life. It also involves the problem of the invention of stirrup and saddle. The saddle seems to have been used in China already at the beginning of our period; the stirrup seems to be as late as the fifth century A.D. The article by A. Kroeber, _The Ancient Oik.u.mene as an Historic Culture Aggregate_, Huxley Memorial Lecture for 1945, is very instructive for our problems and also for its theoretical approach.--The custom of attracting settlers from other areas in order to have more production as well as more manpower seems to have been known in India at the same time.

p. 54: The work done by Kat[=o] Shigeru and Niida n.o.boru on property and family has been used here. For the later period, work done by Makino Tatsumi has also been incorporated.--Literature on the plough and on iron for implements has been mentioned above. Concerning the fallow system, I have incorporated the ideas of Kat[=o] Shigeru, [=O]shima Toshikaza, Hsu Ti-shan and Wan Kuo-ting. Hsu Ti-shan believes that a kind of 3-field system had developed by this time. Traces of such a system have been observed in modern China (H.D. Scholz). For these questions, the translation by N. Lee Swann, _Food and Money in Ancient China_, 1959 is very important.

p. 55: For all questions of money and credit from this period down to modern times, the best brief introduction is by Lien-sheng Yang, _Money and Credit in China_, Cambridge 1952. The _Introduction to the Economic History of China_, London 1954, by E. Stuart Kirby is certainly still the best brief introduction into all problems of Chinese Economic history and contains a bibliography in Western and Chinese-j.a.panese languages. Articles by Chinese authors on economic problems have been translated in E-tu Zen Sun and J. de Francis, _Chinese Social History_, Washington 1956.--Data on the size of early cities have been collected by T. Sekino and Kat[=o] Shigeru.

p. 56: T. Sekino studied the forms of cities. C. Hentze believes that the city even in the Shang period normally had a square plan.--T. Sekino has also made the first research on city coins. Such a privilege and such independence of cities disappear later, but occasionally the privilege of minting was given to persons of high rank.--K.A. Wittfogel, _Oriental Despotism_, New Haven 1957 regards irrigation as a key economic and social factor and has built up his theory around this concept. I do not accept his theory here or later. Evidence seems to point towards the importance of transportation systems rather than of government-sponsored or operated irrigation systems.--Concerning steel, we follow Yang K'uan; a special study by J. Needham is under preparation. Centre of steel production at this time was Wan (later Nanyang in Honan).--For early Chinese law, the study by A.F.P. Hulsewe, _Remnants of Han Law_, Leiden 1955 is the best work in English. He does not, however, regard Li K'ui as the main creator of Chinese law, though Kuo Mo-jo and others do. It is obvious, however, that Han law was not a creation of the Han Chinese alone and that some type of code must have existed before Han, even if such a code was not written by the man Li K'ui. A special study on Li was made by O. Franke.

p. 57: In the description of border conditions, research by O. Lattimore has been taken into consideration.

p. 59: For Shang Yang and this whole period, the cla.s.sical work in English is still J.J.L. Duyvendak, _The Book of Lord Shang_, London 1928; the translation by Ma Perleberg of _The Works of Kung-sun Lung-tzu_, Hongkong 1952 as well as the translation of the _Economic Dialogues in Ancient China: The Kuan-tzu_, edited by L. Maverick, New Haven 1954 have not found general approval, but may serve as introductions to the way philosophers of our period worked. Han Fei Tz[)u]; has been translated by W.K. Liao, _The Complete Works of Han Fei Tz[)u]_, London 1939 (only part 1).

p. 60: Needham does not have such a positive att.i.tude towards Tsou Yen, and regards Western influences upon Tsou Yen as not too likely. The discussion on pp. 60-1 follows mainly my own researches.

p. 61: The interpretation of secret societies is influenced by general sociological theory and detailed reports on later secret societies. S.

Murayama and most modern Chinese scholars stress almost solely the social element in the so-called "peasant rebellions".

_Chapter Five_

p. 63: The a.n.a.lysis of the emergence of Ch'in bureaucracy has profited from general sociological theory, especially M. Weber (see the new a.n.a.lysis by R. Bendix, _Max Weber, an Intellectual Portrait_, Garden City 1960, p. 117-157). Early administration systems of this type in China have been studied in several articles in the journal _Yu-kung_ (vol. 6 and 7).

p. 65: In the discussion of language, I use arguments which have been brought forth by P. Serruys against the previously generally accepted theories of B. Karlgren.--For weights and measures I have referred to T.

Sekino, Liu Fu and Wu Ch'eng-lo.

p. 66: For this period, D. Bodde's _China's First Unifier_, Leiden 1938 and his _Statesman, Patriot, and General in Ancient China_, New Haven 1940 remain valuable studies.

_Chapter Six_

p. 71: The basic historical text for this whole period, the _Dynastic History of the Han Dynasty_, is now in part available in English translation (H.H. Dubs, _The History of the Former Han Dynasty_, Baltimore 1938, 3 volumes).