【作者】 张强；

【导师】 王星光；

【作者基本信息】 郑州大学 ， 中国古代史， 2014， 博士

【摘要】 学者在研究西周历史时，多将重点放在政治、经济、文化等方面。生态环境作为影响西周历史进程的重大因素，并未引起学界足够重视；尽管也有学者就其中某些方面有过研究，但明显缺乏系统性，造成了学界对西周历史进程中的诸多重要问题，一直不能形成一个统一、正确的认识。事实上，生态环境作为一个系统，始终影响着西周的历史进程——尤其是关键历史节点上的重大问题。将生态环境因素引入西周史研究，以生态环境史的视野，对西周历史进程中的问题进行重新的审视；研究过程中实现自然科学、考古学、生态学等多学科与历史学（尤其是历史地理学）的有机结合，将有助于更准确地把握和认识西周历史。从《诗经》、《国语》、《左传》等文献记载来看，周人的始祖为长于农业的“农神”弃（后稷），发祥地在今陕西扶风、武功县一带的邰地。全新世大暖期相对温湿的气候条件，为这一时期周人农业经济发展提供了有利的客观条件。先周时期周人的频繁迁徙极有可能与气候变化所导致的生态环境恶化有关。碾子坡考古遗址发现表明，公刘立国于豳（南豳）——“周道之兴自此始”。至古公亶父时期，由于生态环境的恶化，戎族为扩大自己的生存空间，对周人发动了多次攻击，周人被迫迁于周原地区。周原良好的自然环境为周人开展农业生产提供了有利的客观自然条件；姬姜之间的联姻，为周人的发展提供了相对稳定的社会条件。在客观自然条件和人文条件共同作用下，周族势力迅速扩张，周人在殷商西部地区的影响力不断增大，为后来西周王朝的建立打下了基础。周人的起源，在时间上正与地理学上的全新世大暖期（距今8500-3000年间）的末期相对应。自然科学、考古学和历史文献的综合研究表明，从周人兴起到西周灭亡，气候的总体变化趋势是由温湿转向干冷，但并不排除短时间段内的气温波动现象；干旱是西周中后期气候的主要特点。农业是保障西周国家政权稳固的重要基础，而生态环境则通过对农业经济的影响，进而作用于西周王朝的政治、文化和军事等各个领域，形成一条“生态环境→农业经济→国家的安全与稳定”的作用链条。在特定的自然生态环境条件下，周人形成了特有的农耕方式——“轮换休闲耕作制”；这种新的农作制在扬弃“轮荒农作制”的同时，也确立了古代中国农耕制度演变的基本方向，起到了承上启下的作用。三杨庄遗址中夏商周以前农田的最新考古发现，为上述结论提供了实物证据。周原地区特有的生态环境，使农耕文明成为先周时期周人生活方式的必然选择；农业的发展，也为周人的崛起提供了经济上的保障，周人的综合实力在这一时期得到迅速提高。全新世大暖期末期多变气候所导致的干旱，严重削弱了殷商的经济实力，武王恰当地利用了这一自然机遇和殷商内部的诸多矛盾,及当时殷商地区的客观地理条件，完成了以蕞尔小国战胜“大邦殷”的壮举，开启了中华文明一个崭新的阶段。周人克商以后，通过“分邦建国”，建立起了一个地域辽阔的西周王朝。受各地区内不同生态地理状况的影响，在庞大的王朝内部，存在有不同的地域文化；分封所导致的诸侯国与中央王朝在地理空间上的分离，为不同地域文化的进一步发展创造了客观条件；同时，分封也导致了西周王朝军事力量的分散。从西周分封开始，王朝内部就蕴含有文化、政治离心力形成的条件；这两种离心力从王朝的内部对王室安全、国家政权稳定构成了潜在的威胁。所以，尽管分封制对西周王朝长达数百年的统治曾发挥过重大作用，由于其本身蕴含着诸多固有问题，因而对于西周王朝的衰落、乃至灭亡，也难辞其咎。西周的灭亡同时与周人和西北戎族之间的战争关系密切，战争的结果直接影响了西周历史的发展进程。文献和青铜器铭文记载表明，双方战争的攻守态势在不断地发生着变化，并未有一方在战争中始终占有绝对优势。生态环境因素——尤其是寒冷和干旱，作为重要因子对战争形势的转换产生了重大影响：当出现相对温湿的气候时，周人多采取主动攻击战术；当面临干冷气候时，周人则多处于防守状态。尽管在某些阶段，周人在双方的战争中占有一定的优势，但从整体上看，全新世大暖期以后，日趋干冷的气候发展趋势导致的生态环境恶化，加剧了西周西北边界的危机；也影响了周人农业经济的发展，动摇了周人战争依赖的经济基础。西周政权逐渐丧失了制衡西北戎族的经济实力，被迫将都城东迁至洛邑。生态环境的日益恶化，成为西周逐渐走向衰落最为重要的客观原因。西周早期，武王、周公之所以选择宅都于洛邑，原因之一是试图通过建都来表明自己的统治是绍续夏禹，具有伦理上的合理性。而建都洛邑，可以实现“四方入贡道里均”，同时也便于控御东方地区，是周公“宅都”洛邑更为重要的原因。传统上将“天下之中”与宅都洛邑相联系的观点，仍需继续讨论；事实上，“天下之中”这一概念，在西周时期具有很强的政治意蕴，并非是一个纯粹的自然地理学概念，而是一个政治意味明显的地理概指。西周灭亡之时，平王之所以东迁洛邑，则是更看重这一地区地理位置的安全价值。总的来说，生态环境作为人类社会形成和发展的重要物质基础，对周人的起源、西周的建国及王朝以后历史进程的演进产生了重大的影响；构成西周各个历史时期发生变化最为重要的客观原因。西周中后期逐渐干冷的气候变化所导致的生态环境恶化，加之分封过程中蕴含的内部潜在危机，成为西周王朝日趋衰落、乃至灭亡的重要根源。更多还原

【Abstract】 In the historical studies of Western Zhou dynasty, researchers have mainly fo-cused on its politics, economy and culture while the study of the ancient ecologicalenvironment, though a significant factor influencing the development of the dynasty,has not been given adequate attention. Some researches have ever touched upon someaspects of the ecological changes but they do not have systematicity, which has re-sulted in an unsystematic or dis-unified cognition of the many significant mattersconcerning the development of the dynasty. As a matter of fact, the ecological envi-ronment as a system had always influenced the developmental process, especially inthe vital stages of Western Zhou, therefore, rethinking the problems in the historyprocess of Western Zhou dynasty with a new perspective of environmental histo-ry,and including ecological environment into the study of Western Zhou history, canintegrate such factors as natural science, archeology, and historical geography withhistorical studies, which can help present a more accurate and comprehensive pictureof that period.According to the historic records in Shijing (诗经), Guo Yu (国语) and ZuoZhuan (Zuo qiuming’s Chronicles左传), the ancestor of Zhou people is ‘saturnalia’Qi (弃, also known as后稷), who prospered in Tai (邰) area in roughly what is Fu-feng County (扶风县) and Wugong County(武功县) in Shan’xi province today. Thewarm climate in Yangshao(仰韶) Period had provided favorable conditions for theagricultural development of Zhou people, which may explain why Zhou people hadbeen always migrating in the pre-Zhou period. The archeological studies of Nianzipo(碾子坡) site indicate that Gongliu (公刘) had built his state in Bin (豳, also SouthBin南豳), as the historical record says “this is the beginning of Zhou’s development”.In the period or the reign of Gugongdanfu (古公亶父), Rong people (戎族) launchedmany attacks on Zhou people to expand its territories due to the worsening ecologicalenvironment. Then Zhou people were forced to move into zhouyuan(周原) regionwhere the better geographical and ecological environment provided a more favorable condition for the agricultural development, besides, the unification by marriages be-tween Zhou people and Ji people (姬人) ensured a stable exterior condition for thefurther prosperity of Zhou people. As a result, with this better natural and humanityconditions, the influence of Zhou people had rapidly expanded, especially on the westregion of Yin (殷)Dynasty, laying a solid foundation for exterminating Shang dynastyin the near future.The origin of Zhou people chronologically correspond with the end of Holo-cence Megathermal (85000–3000aB.P.). The comprehensive studies of naturalscience, archeology and historic records have all shown that in the period from theorigin to the fall of Zhou dynasty, the general climatic changes were from warm andwet to cold and dry, though sometimes there were some short temperature variations,drought is the climatic characteristic of the middle and later Western Zhou dynasty.Agricultural economy is the foundation to ensure the stability of the state powerof Western Zhou. The particular natural and ecological conditions helped form thefarming styles characteristic of Zhou people: rotation and lie fallow farming, whichmade better use of the old lie fallow farming and established the fundamental direc-tion of the future evolution of the ancient Chinese farming methods. This has beenproved by the recent archeological discoveries at Sanyangzhuang site (三杨庄考古遗址).The particular ecological conditions in Zhouyuan （周原） region made farmingan inevitable alternative for Zhou people in pre-Zhou period. Its agricultural devel-opment had economically guaranteed its rise and comprehensive promotion of its in-fluence. Meanwhile, the changeable climatic conditions in the end of Holocence Me-gathermal severely undermined the state power of Shang dynasty, Zhou Wuwang（周武王）just took advantage of this natural opportunity and the many political contra-dictions inside Shang dynasty as well as all the favorable geographical conditions andcompleted the heroic undertaking in which a small state destroyed a large dynasty,ushering in a new stage of Chinese civilization.After overturning Shang dynasty, Zhou people founded a vast Western Zhou dy-nasty by dividing the country into many small kingdoms, or a packet control, whichallowed local cultural diversities inside the huge dynasty, and the distances between the central government and kingdoms helped promote the further development of thelocal cultures. Likewise, this type of packet control resulted in the dis-centralizationof its military powers, and the centrifugal pull already existing in cultures and politicsat the beginning of the dynasty also posed a potential threat to both the royal safetyand the stability of the state power. Therefore, though the packet control had played asignificant role in safeguarding the dynasty in centuries, the many potential problemshad also resulted in the decline and fall of the dynasty.The fall of Western Zhou is also closely linked to the wars with North-westRong people. Both historical records and epigraph on the bronze wares indicate thatthe offensive and defensive situation had always been switching, in which the factorof ecological environment, i.e. cold and drought changes, had played a vital role inthe situation change. Zhou people usually launched attacks when the climate waswarm and wet and took defensive tactics when it was cold and dry. Although some-times Zhou people might have an upper hand, generally, the ecological worseningfrom cold and drought after Holocence Megathermal gradually undermined its powerto counterbalance the North-west Rong people, and finally had to move its capitaleastward to Luoyi (洛邑also known as Luoyang洛阳).One of the reasons why Zhou Wuwang（周武王）and Zhou Gong (周公) choseLuoyi（洛邑） as the another capital in the early period of the dynasty was to indicatethat their governance was to carry on Xia Yu’s (夏禹) work, which may be ethicallysound. The traditional opinion to link Luoyi（洛邑） the capital site with the idea“Luoyi as the center of the world” may be further researched. In fact, the idea of“the center of the world” has strong political implications in Western Zhou dynasty.Choosing Luoyi（洛邑） as the capital or the political center, the dynasty could notonly receive tributes from all the kingdoms around, but also exercise effective controlover the eastern territories. This may be a major reason why Zhou Gong chose Luoyi（洛邑） as the capital. At the fall of Western Zhou, Zhou Pingwang (平王) movedthe capital to Luoyi（洛邑） mainly because of its safer geographical position.Overall, the ecological environments, as an important material basis of formationand development of human society, have had a vital impact on the origin of WesternZhou Dynasty and its historical evolution process, constituted the most important ob- jective reason of Western Zhou Dynasty’s change. The ecological environment dete-riorate caused by gradually dry and cold climatic changes,and the potential threat toboth the royal safety and the stability of the state power caused by the dividing thecountry into many small kingdoms, had become significant sources of Western ZhouDynasty’s declining in the late.更多还原