A General History of Chinese Art. Volume 1 A General History of Chinese Art: From the Prehistoric Era to the Zhou Dynasty 9783110790924, 9783110789263

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A GENERAL HISTORY OF CHINESE ART

////// Volume 1

VOLUME 1–6 From the Prehistoric Era to the Zhou Dynasty From the Qin Dynasty to the Northern and Southern Dynasties Sui and Tang Dynasties From the Five Dynasties to the Yuan Dynasty Ming Dynasty Qing Dynasty

A GENERAL HISTORY OF CHINESE ART Edited by Xifan Li

////// Volume 1

FROM THE PREHISTORIC ERA TO THE ZHOU DYNASTY Shouxiang Chen, Fuxing Deng, Lijun Dong, Xinfeng Li, Jingchen Liu, Junxiang Liu, Xicheng Liu, Xu Qin, Hua Sun, and Hongxun Yang

The Chinese edition is published by Beijing Normal University Press (Group) Co., LTD., 2013. No reproduction and distribution without permission. ALL rights reserved.

Part One Prehistoric Era Authors: Shouxiang Chen, Fuxing Deng, Lijun Dong, Jingchen Liu, Junxiang Liu, Xicheng Liu, Xu Qin, and Hongxun Yang Abbreviated by: Lijun Dong Translators: Lisa Xiangming Chen, and Hui Sun Part Two Xia, Shang, and Zhou Dynasties Authors: Xifeng Li, Xu Qin, and Hui Sun Abbreviated by: Xinfeng Li Translators: Lisa Xiangming Chen, Hui Sun, and Yang Zhao

ISBN 978-3-11-078926-3 e-ISBN (PDF) 978-3-11-079092-4

Library of Congress Cataloging-in-Publication Data A CIP catalog record for this book has been applied for at the Library of Congress. Bibliographic information published by the Deutsche Nationalbibliothek The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data are available on the Internet at http://dnb.dnb.de. © 2022 Walter de Gruyter GmbH, Berlin/Boston Book production: Kerstin Protz, De Gruyter Cover design: Thomas Bauer, deblik Berlin Cover image: A bird-shaped hu-jar from Jinsheng Village Copyediting: Matt Turner, New York Typesetting: Dörlemann Satz, Lemförde Printing and binding: Beltz Grafische Betriebe GmbH, Bad Langensalza www.degruyter.com

CONTENTS

Preface 1. The Subject and Objectives of A General History of Chinese Art 2. Traditional Thought and Traditional Art in China 3. Integration of the Arts of Different Nations and Exchanges between Chinese and Foreign Art

XVII XXII XXX

Part One Prehistoric Era Introduction 1. The Emergence of Art 2. Definition, Distribution and the Transformation of the Chinese Primitive Arts 3. Basic Characteristics of Chinese Primitive Arts

3 5 9

Chapter I  Prehistoric Music Section 1  Discussion on the Origin of Prehistoric Music

11

1. Several Theories on the Origin of Music 2. Studies on the Origin of the Forms and Elements of Music

11 14

Section 2  The Characteristics of Prehistoric Music and Its Social Functions

17

1. Myths and Historical Records 2. Modes of the Existence of Prehistoric Music 3. Social Functions of Prehistoric Music Section 3  Archaeological Findings of Ancient Chinese Musical Instruments 1. Percussion Instruments 2. Wind Instruments 3. Combinations of Prehistoric Musical Instruments

17 18 19

22 22 26 32

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Contents

Chapter II Prehistoric Dance Section 1  The Origin and Characteristics of Prehistoric Dance

33

Section 2  Prehistoric Chinese Dance through Archaeological Findings

36

1. Painted Pottery 2. Rock Art Section 3  Traces of Prehistoric Dance in Modern Folk Activities 1. Celebrations of Life and Nature 2. Sacrifices to Heaven and Earth, Ghosts and Deities 3. Fertility Rites 4. Other Dances Related to Sacrifices Section 4  Prehistoric Dance in Historical Documents and Myths 1. The Creation of Music and Dance 2. Music and Dance during the Times of the »Three Sovereigns and Five Emperors«

36 39

42 42 44 44 44

45 45 45

Chapter III Prehistoric Architecture Section 1  Basic Forms of Prehistoric Architecture in China 1. The Earliest Known Artificial Dwellings in China 2. Basic Forms of Prehistoric Architecture: Cave-Dwellings and Nest-Dwellings Section 2  The Origin of Chinese Wooden Architectural Structures: Nest-Dwellings 1. The Development of Nest-Dwellings: From »a Nest Built on Wood« to Stilt Houses 2. Stilt Houses of Hemudu Culture 3. The Art of Prehistoric Architecture Based on Nest-Dwellings

48 49 51

52 53 54 55

VII

Contents

Section 3  Cave-Dwellings, Origin of Architectural Structures Built with Hybrid Materials 1. The Development of Cave-Dwellings 2. Remains of Prehistoric Architecture 3. Settlements of the Well-Developed Matriarchal Societies of the Yellow River Basin 4. Form and Function in Prehistoric Architecture 5. The Art of Prehistoric Architecture Based on Cave-Dwellings Section 4  Diverse Early Forms of Ritual Architecture

57 57 58 59 63 67

69

Chapter IV Prehistoric Sculpture Section 1  Periodization of Prehistoric Sculpture 1. Paleolithic Sculpture 2. Neolithic Sculpture Section 2  Engravings on Potteries and Other Objects 1. Carvings on Potteries 2. Carvings on Teeth, Bone, and Wood Objects Section 3  Forms and Motifs of Jade Sculpture 1. Forms of Prehistoric Jade Sculpture 2. Decorative Motifs on Jade Sculpture Section 4  Prehistoric Figurative Sculpture 1. Prehistoric Figurative Sculpture in China 2. Artistic Development of Prehistoric Sculpture 3. Cultural Significance of Prehistoric Sculpture

73 73 74

77 77 78

79 80 82

85 85 87 88

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Contents

Chapter V Prehistoric Pottery Making and Unpainted Potteries Section 1  Prehistoric Potteries 1. Characteristics of Prehistoric Pottery Making in China 2. The Distribution and Development of Prehistoric Pottery Cultures in China Section 2  Forms and Motifs of Unpainted Potteries 1. The Distribution of the Development of Unpainted Potteries 2. Typical Objects and Their Cultural Connotations 3. Diverse Varieties of Pottery Forms 4. Major Factors Leading to the Transformation of Pottery Forms 5. Decorated Parts of Pottery and Major Decorative Techniques

89 91 95

99 99 101 105 107 109

Chapter VI Prehistoric Painted Potteries Section 1  The Distribution and Development of Painted Potteries 1. Cultures of Painted Potteries 2. Artistic Characteristics and the Development of the Decorative Motifs of Painted Potteries Section 2  Representational Decorations 1. The Creation of Representational Decorations 2. The Development of Decorative Motifs 3. The Connotations of Decorative Motifs Section 3  The Implications of Rhythms and Images 1. From Dots and Lines to Patterns 2. The Rhythm of Lines 3. The Implications of Images

111 111 114

119 119 121 122

124 124 127 132

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Contents

Chapter VII Prehistoric Rock Art Section 1  Rock Art in China and Its Discovery

138

Section 2  Rock Art in Northern China

138

1. Rock Art of the Yinshan Mountains 2. Qinghai Rock Art 3. Gansu Rock Art 4. Xinjiang Rock Art Section 3  Rock Art in Southern China 1. Rock Art of Jiangjunya Cliff, Lianyungang 2. Cangyuan Rock Art 3. Zuojiang Rock Art

138 140 141 142

143 143 144 145

Section 4  The Subject Matter of Rock Art

147

1. Animals and Hunting 2. Prayers and Sacrifices 3. Regarding Sex 4. Footprints 5. Human Faces

147 148 148 149 149

Section 5  Artistic Characteristics of Rock Art 1. A Strong Sense of Realism 2. Mysterious Symbolic Images 3. Flexible Compositions

150 150 150 151

Chapter VIII Conclusion: The Influence of Prehistoric Art in China on the Art of Later Periods Section 1  Prehistoric Arts Set the Foundation for the Concept of »Harmony Between Nature and Human«

152

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Section 2  Freehand Depictions that Capture the Spirit of Prehistoric Art

153

Section 3  Symbolism in Prehistoric Art

155

Part Two Xia, Shang and Zhou Dynasties Chapter I Overview of the Arts of the Xia, Shang, and Zhou Dynasties Section 1  Social and Cultural Backgrounds of the Arts of the Xia, Shang, and Zhou Dynasties 1. The Bronze Age in Chinese History 2. The Formation, Development, and Disintegration of Slave Society, and the Transition to Feudal Society 3. The Formation and Transformation of Ritual and Music Culture Section 2  Basic Characteristics and Transformations of the Arts of Xia, Shang, and Zhou Dynasties 1. The Establishment of New Types of Arts 2. The General Characteristics of the Arts of the Xia, Shang, and Zhou Dynasties, and Their Transformations over Time 3. The Development of Art Forms from Mixed to Differentiated During the Xia, Shang, and Zhou Dynasties Section 3  The Achievements and Historical Significance of the Arts of the Xia, Shang, and Zhou Dynasties 1. The Brilliant Accomplishments of the Arts of Music and Dance, and Bronze Art 2. The Enduring Values of the Classic of Poetry and Verses of Chu 3. Achievements in Various Other Categories 4. The Formation of the Fundamental Traditions of Ideas about Art in China

159 160 161 161

164 164 166 171

173 173 174 177 178

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Contents

Chapter II Overview of the Arts of Music and Dance in the Xia, Shang, and Zhou Dynasties Section 1  Music and Dance of the Xia Dynasty 1. Music and Dance in Honor of Yu the Great 2. Legends of Heavenly Music and Dance 3. The Indulgences of King Qi and King Jie 4. Exchanges in Music and Dance Among Central Plains States and Surrounding Tribes Section 2  Music and Dance of the Shang Dynasty 1. Sacrificial Music and Dance of the Shang Dynasty 2. The Luxurious Music and Dance of the Shang Rulers Section 3  Music and Dance of the Western Zhou 1. The Establishment of the Ritual and Music System of the Zhou Dynasty 2. Institutions and the Hierarchical System of Music and Dance Section 4  Music and Dance in the Spring and Autumn Period 1. The Destruction of the Hierarchical System of Music and Dance 2. Cultural Decentralization 3. The Preservation and Development of Folk Music and Dance 4. The »New Music« That Became Popular Across States Section 5  Music and Dance of the Warring States Period

180 180 181 182 183

183 183 186

187 187 191

194 194 195 196 197

199

1. Further Deterioration of Classical Music and the Full Prosperity 199 of Secular Music 2. The Burgeoning Scene of Folk Music and Dance 202 3. New Achievements in the Art of Dance 205

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Contents

Chapter III Song and the Art of Singing in the Xia, Shang, and Zhou Dynasties Section 1  Song of the Xia and Shang Dynasties 1. Song Before Xia 2. Legendary Songs of the Xia Dynasty 3. Songs of the Shang Dynasty

210 210 211 212

Section 2  The Art of Song in the Western Zhou and the Spring and Autumn Period

213

1. The Classic of Poetry, a Collection of Lyrics from the Western Zhou to the Spring and Autumn Period 2. Main Types of Song in the Classic of Poetry 3. Some Speculations about Song Style in the Classic of Poetry 4. The Use of the Songs of the Classic of Poetry in Social Life 5. The Many Styles and Forms of Singing the Classic of Poetry 6. Other Folk Songs of the Spring and Autumn Period

213 214 215 216 218 219

Section 3  Vocal Arts of the Warring States Period 1. The Flourishing of Folk Singing 2. The Emergence of Famous Folk Singers during the Warring States Period 3. The Songs of Chu

220 220 223 224

Chapter IV The Art of Instrumental Music in the Xia, Shang, and Zhou Dynasties Section 1  Instrumental Music and Musical Instruments in the Xia and Shang Dynasties

227

1. Instrumental Music and Musical Instruments of the Xia Dynasty 227 2. Instrumental Music and Musical Instruments of the Shang Dynasty 227

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Contents

Section 2  The Development of Instrumental Music and Musical Instruments during the Western Zhou

230

1. The Numerous Zhou-dynasty Musical Instruments in Historical 230 Records and the Classification System of the »Eight Sounds« 2. Western Zhou Musical Instruments Through Archaeological 233 Findings 3. Representative Achievements in the Musical Acoustics of 235 Western-Zhou Instruments Section 3  The Development of the Art of Instrumental Music during the Spring and Autumn Period and the Warring States Period 1. The Collapse of the Ritual and Music System and the Development of the Music of Metals and Stones 2. A Thriving Folk Instrumental Music Scene 3. The Unique Music of the Qin-Zither 4. Various Developments of Instrumental Music and Musical Instruments 5. Representing the Glory of Pre-Qin Musical Culture: Instruments from the Tomb of Marquis Yi of Zeng

237 237 238 239 245 247

Chapter V Overview of Bronze Art in China Section 1  The Origin of Bronze Art in China and the Formation of the Traditional Characteristics 1. The Emergence of Bronze Art 2. The Formation of Bronze Art Traditions in China Section 2  The Historical Development of Bronze Art in China 1. Periodization of Bronze Art in China 2. Characteristics and Causes for the Transformation of Bronze Art in China

253 253 255

257 258 267

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Contents

Section 3  Regional Differences of Bronze Art in China 1. Rooted on the Loess Ground: Bronze Art of the Central Plains 2. Redolent of the Steppe: Bronze Arts of the North 3. Born Amidst the Waters and Mountains: Bronze Arts of the South

273 274 275 277

Chapter VI Categorized Discussions of Bronze Art in China Section 1  Majestic Bronze Ritual Objects 1. Ding and Other Objects with Supporting Feet 2. Solemn and Centrosymmetric Objects with Ring Feet 3. Non-Centrosymmetric Forms with Profound Meanings 4. Vivid Animal Forms Section 2  Mysterious Bronze Statues 1. Frightening Bronze Statues of Deities 2. Elegant and Dignified Bronze Human Figures 3. Bronze Animal Figures with Double Meanings 4. Bronze Sacred Trees with Symbolic Significance Section 3  Vivid and Flexible Bronze Ornaments 1. Magnificent and Exaggerated Bronze Parts in the Forms of Mythological Beasts 2. Realistic Animal-shaped Bronze Parts 3. Light and Exquisite Bronze Parts and Adornments for Belts Section 4  Calculated Bronze Decorations 1. Major Techniques of Bronze Decoration 2. Basic Types of Decorative Patterns on Bronzes

279 282 284 290 292

300 300 304 308 310

313 313 314 315

317 317 320

XV

Contents

Chapter VII Crafts of the Xia, Shang, and Zhou Dynasties Section 1  Jade Work of the Xia, Shang, and Zhou Dynasties 1. The Peak Development of Jade Carving 2. Types of Jade Objects of the Xia, Shang, and Zhou Dynasties 3. Artistic Achievements of Jade Carving of the Xia, Shang, and Zhou Dynasties Section 2  Lacquer Work of the Xia, Shang, and Zhou Dynasties 1. Innovation and Development of Lacquer Work during Xia, Shang, and Zhou Dynasties 2. Solemn and Dignified Classical Lacquer Art 3. The Splendid Lacquer Art of the Eastern Zhou

333 334 339 347

351 352 352 354

Chapter VIII Calligraphy, Painting, and Architecture of the Xia, Shang, and Zhou Dynasties Section 1  The Rich and Varied Arts of Writing 1. From the Invention of the Writing System to the Emergence of Calligraphy 2. The Three Forms of the Calligraphic Arts of Xia, Shang, and Zhou Dynasties 3. General Characteristics of the Calligraphic Arts of the Xia, Shang, and Zhou Dynasties Section 2  The Quaint and Unadorned Art of Painting 1. The Genres and Forms of Paintings in the Xia, Shang, and Zhou Dynasties 2. The Achievements and Features of Paintings in the Xia, Shang, and Zhou Dynasties

361 362 364 369

371 371 376

XVI

Contents

Section 3  The Art of Architecture That Sets the Foundation 1. The Formation of the Basic Characteristics of Chinese Architecture 2. The Diverse Architecture of the Xia, Shang, and Zhou Dynasties 3. Artistic Styles of Architecture in the Xia, Shang, and Zhou Dynasties

377 377 381 387

Chapter IX The Theories of the Philosophers and Schools of Thought on the Arts Section 1  Confucian Theories of Art 1. Confucius’ Summary and Adaptation of Theories on Art After the Western Zhou 2. Main Elements of Confucius’ Theory of Art 3. Status and Influence of Confucian Theories of Art Section 2  Laozi and Mozi on the Arts 1. Laozi on Art 2. Mozi’s »Condemnation of Music« Section 3  Zhuangzi and Daoist Theories of Art 1. Zhuangzi’s Disapproval and Criticism of Ritual Music and Secular Art 2. On Dao and Beauty 3. On the Highest Level of Art: The »Heavenly Music« 4. Valuing Truth and Returning to Human Nature 5. The Place of Daoist Theories of Art in Chinese Intellectual History Section 4  Further Development of Confucian Ideas by Mencius and Xunzi 1. Mencius’s Theory on Art 2. Xunzi and the Systematic Theory of the »Discourse on Music«

388 388 389 390

390 391 393

395 395 395 396 397 399

400 400 402

PREFACE Xifan Li

The arts of China: deep-rooted, long-standing, immense, profound. The arts of China stand amongst the arts of the world for unique characteristics and outstanding achievements. The result of the creativity of the different peoples of China through history, the arts manifest the diverse social and cultural contexts within which they emerged and developed. The arts of China have their own aesthetic ideals and expressions, their own dominant philosophical and cultural traditions formed throughout history, and their own theoretical systems—as well as diversity and variety based on different locales, peoples, and historical periods. A General History of Chinese Art, Abridged Edition (hereinafter A General History of Chinese Art) is organized chronologically into six volumes and nine parts, starting with the Prehistoric Period and ending with the 3rd year of Xuantong, during the Qing Dynasty (1911). The nine parts: Prehistoric Era; Xia, Shang, and Zhou dynasties; Qin and Han dynasties; Three Kingdoms, Eastern and Western Jin dynasties, and the Northern and Southern Dynasties; Sui and Tang dynasties; The Five Dynasties, Northern and Southern Song, Liao, Western Xia, and Jin; Yuan Dynasty; Ming Dynasty; Qing Dynasty. A General History of Chinese Art covers all major categories of traditional art forms, and offers a comprehensive overview of the emergence and transformation of the arts of China alongside social, political, economic, and cultural developments from the Prehistoric Period onwards.

1. The Subject and Objectives of A General History of Chinese Art The arts of China, like those of other countries around the world, have had a long process of development, from being mixed together to being categorized into different fields. With the tremendous changes in Chinese society in the 20th century, academic research into traditional Chinese arts has gradually gained new systems of reference and perspectives. In particular, the continuous excavation and discovery over the past century of the brilliant cultural relics buried deep underground has pushed forward in-depth research into the history of Chinese art and culture, and has yielded numerous and fruitful results. There have been many comprehensive reference books on art that have been published, such as Encyclopedia of China, Zhongguo meishu quanji 中 国美术全集 (Complete Collection of Chinese Art), and the series of arts and culture chronicles which consists of 10 divisions in over 300 volumes—all of which have further promoted the study of the different categories of the arts. The Character for »Art,« yi 艺, traces its etymology in Classical Chinese to a character of the same pronunciation, written as »埶«, which originally means the skill of »planting.« In most classical texts written before Qin, the character is used to refer to manual skills; however, by the time Confucius used it, the character had already acquired the meaning of multiple talents. For example, the word was used to describe Ran Qiu, student of Confucius, as multi-talented. In another text, Confucius used the word to describe himself: »I was not appointed, and therefore have

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many skills.« This is shared with the etymology of the word that means »art« in Greek, English, and Russian—where the word originally also had the more general meaning of »technical skills.« This shows that art was originally integrated with productive skills and that, in the »hybrid« period of primitive arts, it was likewise mixed with religious and magical activities. In modern Chinese, and the casual use of the language, »art« refers to an entity comprising the various categories of the arts, and does not refer exclusively to one particular category. In Western scholarship, however, the material form of the arts has received more attention, and more often than not »the arts« is a term that refers specifically to visual arts, such as in The Cambridge Introduction to the History of Art book series, which is actually »The Cambridge History of Fine Arts.« However, their classifications are also inconsistent, such as the dividing of the arts into spatial art, temporal art, plastic art, performing art, comprehensive art, and so on. In Hegel’s philosophy of art and aesthetics, literature comprises one category of the arts: the art of language. Contemporary classifications assert a more diverse range of claims. A General History of Chinese Art attempts a comprehensive discussion and study of the various categories that have been prominent throughout the ages, based on the characteristics of the artistic development of the Chinese people. Throughout the development of art in China’s history, specific categories of art have emerged: music, dance, acrobatics, singing-storytelling, opera, painting, calligraphy, sculpture, architecture, crafts, and so on. The compilation of a comprehensive history of arts naturally requires in-depth study and summaries of each category of art. All categories of Chinese art are the creation of a vast number of people and artists, built up bit by bit, throughout a long history. Their distinctive abilities to perceive and express life, their profound aesthetic ideals and diverse aesthetic interests, and their colorful pursuits of mood, style, and spirit all crystallize in the

Preface

immortal charm of works of arts, and demonstrate a general lineage in the course of historical development. The study of one category of art tends to be mostly concerned with microscopically grasping the historical development of that particular category as well as its unique patterns and creations. In fact, and however, any changes or development in each category of the arts, including its emergence, blossoming, decline, and death, cannot but reflect the macroscopic patterns of the arts through its microscopic characteristics, and are inevitably part of the overall artistic phenomenon of society. Therefore, although A General History of Chinese Art is divided chronologically into different parts, it is by no means a repetition or an assemblage of the various types of arts during each period—but attempts to restore a true history, based on the overall picture of a society and the overall development of art. Emphasis is on holistic and macroscopic research, on providing an overview and a summary of the common and lasting patterns of the development of the arts of each era, to reflect scientifically on the achievements of the various arts that co-existed in the same social or cultural conditions. In his »Introduction to the Critique of Political Economy,« Marx lists man’s artistic understanding of the world as one of the four modes of understanding, or »assimilating,« the world. He says: »The totality as a conceptual entity seen by the intellect is a product of the thinking intellect which assimilates the world in the only way open to it, a way which differs from the artistic, religious and practically intelligent assimilation of this world.« (Quotation taken from: https://www. marxists.org/archive/marx/works/1859/critiquepol-economy/appx1.htm.) Although there are different interpretations of Marx’s view by philosophers and literary scholars, there is a wealth of artistic practice that proves that so-called »artistic assimilation« is primarily »the artistic mode of thinking« (but the concept should of course also include the artistic modes of perception, produc-

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tion, and practice). It is an artistic way of thinking that humans have gradually developed in order to grasp their aesthetic relationship with reality. All categories of art are inseparable from the common rules governing this mode of thinking, which is only reflected in creative activities with different characteristics, i.  e. the »thinking« and practical activities of the artist are the analysis, selection, synthesis, summarization, fictionalization, and imagination of the surfaces of objective life— through which different artistic images with aesthetic significance were created, using different forms and methods. The traditional arts of China are distinctive in the history of world arts, for their unique exploration of holistic thinking about the aesthetic significance of art. Thus, in order to explore and summarize the diverse creations of the Chinese arts throughout the history in experiencing, perceiving, and representing the world, to reveal the aesthetic values and forms of expression formed by traditional Chinese art in the course of its continuous development, it is also important to grasp the creations of various categories of arts from a comprehensive perspective, and discover both the common patterns and individual characteristics of their respective times of development through comprehensive and comparative analysis and research. In my opinion, the traditional Chinese arts are a symbol of the highest achievements of China’s splendid ancient culture. And as culture is the superstructure of society, and a certain culture (culture as a conceptual form) is a reflection of the politics and economy of a certain society, it has great influence over and impact on the politics and economy of the given society; the economy is the foundation, and politics is the centralized expression of the economy. Art as a cultural form is rightly a part of the conceptual superstructure, but it is also a social phenomenon. Although it is a mental production, it plays a unique social function in the development of human society. In China’s thousands of years of history, the diversi-

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fied and multi-layered development of the unique aesthetic art forms shaped by the Chinese people has left a rich legacy to world arts that still shines brilliantly today, making it possible to explore in-depth the trajectory of the development of Chinese art. The primitive pottery and jade, the early bronze artifacts of the mythical Xia Dynasty and the Shang and Zhou dynasties, the terracotta Warriors and Horses of the Qin Dynasty, the portrait stones and bricks of the Han Dynasty, the Buddhist caves and sculpture of the Northern Dynasties, the calligraphy of the Jin and Tang dynasties, the landscape paintings of the Song and Yuan dynasties, the arts of storytelling and the opera of the Ming and Qing dynasties, and the magnificent music, dance, and craftsmanship of all the dynasties—are endlessly ingenious, demonstrating the highest level of cultural creativity. The vast cultural heritage of ancient China has not only allowed the world to see the amazing creativity of the Chinese people as they continue to advance, but has also allowed the world to hear the heartbeat of the prosperous development of Chinese civilization. Whether it’s the first crude stone tools of the ancestors, or the vast array of fine and profound works of arts, they bear the trajectory of the development and change of life in a particular history and society, as well as the glimmer of the artistic spirit of the era in which they were created. This is precisely the main theme that A General History of Chinese Art must endeavor to elucidate, according to the material circumstances. The history of the arts is not the history of social thought, nor is it the history of the relationship between art and society; therefore, although the compilation of A General History of Chinese Art attaches importance to the reflection of social life on the arts and to the influence of social trends on the development of the arts, the core of its discussion still centers on the patterns of development and the forms of expression of art itself, as well as the expression and creation of the thoughts and feelings of artists. However, the exposition of A Gen-

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eral History of Chinese Art should not be a simple listing of artistic phenomena, nor should it be a historical cataloguing of artists and works of arts, especially since the development of the history of arts in fact reflects the history of the development of the aesthetic consciousness of the Chinese people; therefore, A General History of Chinese Art adopts a dialectical and comparative approach to provide both details and overviews, highlighting the categories of arts as well as the outstanding artists and works representative of each era, and discussing the impact they have had on the arts of China and the world. Writing a history of art, however, is quite different from writing a history of literature, as although there are unique creations and even artistic masterpieces that are still extent, for a very long period of time, with the exceptions of painting and calligraphy, it was rare to find the names of artists in other artistic categories which have survived like those of writers. This applies to many of the examples mentioned above, such as primitive painted potteries, bronzes of the Three Dynasties, terracotta Warriors and Horses of the Qin Dynasty, portrait bricks and stones of the Han Dynasty, cave art of the Wei, Jin and Northern and Southern Dynasties, and so on. Needless to say the unprecedented grand performances of the »baixi« variety shows of the Han and Tang dynasties, although demonstrating the artistic creation of »all people,« opened up a wide world for the formation of various Chinese arts, bringing together the efforts of many generations and the ingenuity of countless unknown talents—and their brilliance can only be glimpsed through written records or unearthed relics. It is known that the great calligrapher of the Tang Dynasty, Zhang Xu, was inspired by Lady Gongsun’s sword dance in creating his signature »mad cursive« script, while the divine dance of Lady Gongsun can only be glimpsed through Du Fu’s hymn-like poetry. Most of the original forms of the both ancient and ever-new artistic traditions of the Chinese people originated with folk creations, which were then

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inherited, accumulated, improved, and sublimated by generations of artists, so that new forms of art and new forms of aesthetics could mature and develop. Even in the late feudal period, for the arts that had evolved to be almost monopolized by literati (artists), such as the fine arts, their most exquisite pieces consisted of elegant as well as folk creations. Even in an era marked mainly by artists, the objective conditions for the development of arts remained the constant drawing of useful nourishment from folk and popular arts. Thus, the divergence, merge, and transformation of the elegant and the folk often formed the characteristics of artistic development in a particular era. Although the distinction between the elegant and the folk reflects different aesthetic pursuits, the aesthetic fashions of an era do not always fall into the same fixed polarities, and »poetry integrating the elegant and the folk« is the high realm, one that all great artists have continued to pursue (the great poet Du Fu, for example, is said to have »embraced the three dimensions of the court, the scholar, and the people«). Therefore, it is of course a basic task of A General History of Chinese Art to focus on the relationship between the elegant and the folk, their divergence and integration, dominance and subordination, rise and fall, and to investigate the overall context and development of arts conciliating between those relationships—so as to comprehensively grasp the cultural environment in which the traditional spirit of the arts of the nation was formed. The collection A General History of Chinese Art follows another inevitably beaten path, in that literature is not included as a category of arts in this writing. One of the reasons is that ancient Chinese literature is indeed multifarious, and the surviving materials are incomparably richer than those of other categories of »arts,« so it would be difficult to include them in the scope of this book without overloading it. The second reason is that, in the history of Chinese culture, it has always been customary to classify literature separately

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from other arts. »Art« is characterized by images of time and space; although literature is »the art of language,« and, like art, expresses its aesthetic ideals through image-making, it has a completely different medium (text) and aesthetic forms from the various types of art. That said, the literature and arts of the Chinese people, especially the Han people, are very closely interconnected, and in a certain sense it can also be said that most of the arts are quite dependent on literature. Classical Chinese poetry, along with music and dance, has been around as a synthesis for a long time. The first canonical collection of Chinese poetry, The Book of Songs, was described by Sima Qian as »all three hundred and five pieces of which Confucius sang accompanied by string music.« Mozi also said, »three hundred poems of chanting, three hundred poems of string, three hundred poems of song, and three hundred poems of dance.« The Book of Rites clearly summarizes the characteristics of this »hybrid« art from the point of view of the creative subject: »Metal, stone, string, and bamboo are the instruments of music. The poem speaks one’s will; song makes one’s sound; dance moves one’s face; the three originates in the heart, and then musical instruments follow.« It can be seen that although The Book of Songs is a literary classic, it contains within the features of music and dance. This phenomenon did not only exist in the early history of the arts, but well into later periods where there was finer separation of artistic categories, such as the Tang, Song and Yuan dynasties—in shi (poetry), ci (lyrics), and qu (music), all of which were hybrid forms of arts. Especially in terms of the relationship between music and poetry, there have always been developments and transformations like »composing music to poetry,« »picking poetry to fit music,« and »filling lyrics with sound.« Therefore, A General History of Chinese Art describes the dynamic development of the history of the arts, but it is by no means completely separated from literature.

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In the development of the history of the arts in China, the close relationship between some types of art, such as music, painting, calligraphy, and literature, is not only reflected in their shared forms, but also »integrated« in the artistic thinking of the creative subjects of literary artists. Many great literary figures since the Qin and Han dynasties were well-versed in music, such as Sima Xiangru and Cai Yong (132–192) in the Han Dynasty, both of whom were famous musicians of the qin zither; Li Bai (701–762), Wang Wei (701–761), Jia Dao (779– 192), Bai Juyi (772–846), and Dugu Ji (725–777) in the Tang Dynasty, all of whom were music lovers adept at the qin; the late-Tang ci poet Wen Tingyun was so found of music that he »started playing whenever there was a string or a hole.« It is even more common to find famous literary figures who were also calligraphers, such as Yang Xiong of the Western Han Dynasty (53–18 BCE), Cai Yong of the Eastern Han, Wang Xizhi (321–379, or 303–361) of the Eastern Jin, and others. The phenomenon of »poetry and painting being one« is particularly prominent in the history of the art and culture of late Medieval China. The two great poets, Wang Wei of the Tang Dynasty and Su Shi of the Song Dynasty, for example, both mastered the art of painting. Su Shi’s »Writing on Mojie’s Painting of the Misty and Rainy Indigo Field« states: »Appreciating the poetry of Mojie [Wang Wei], there is a painting in the poem; viewing the painting of Mojie [Wang Wei], there is poetry in the painting.« Zhang Shunmin even said that poetry is invisible painting and painting is tangible poetry. They shared the same understanding and feeling about the synthesis of poetry and painting, that they are in in the »same situation« and that painting and poetry are artistically correlated. Their creation and advocacy of »scholarly painting« (i.  e. literati painting) was at least partly based on this feeling and understanding of the pattern. As Su Shi said, »Poetry cannot exhaust [what one has to express], [so] it overflows into calligraphy, and changes into painting.«

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As for the creation of calligraphy and painting, as early as in Wu Daozi’s mural paintings, there were already walls full of movement, showing a world of painting that was in tune with calligraphy. In the Song Dynasty, painting was often accompanied with seals and colophons, creating a new world of art that relied even more on synthesis with literature. Moreover, the synthesis of literature and various other categories of arts had a higher level of development, which was Chinese opera. In its »synthesis,« it was not only the literary creation that achieved success and showed its characteristics, but also the integration of various other forms of art: »singing, reading, doing, and dancing [playing].« It was fused into an organic unity on the basis of performance practice over a long period of time, thus creating a new form in the comprehensive art of opera, a new and higher aesthetic form for the history of the Chinese arts. It is different from Western opera, from the »imported« dramas of modern China, and from the synthesis of arts that makes modern cinema and television. It requires not only the expressive means of »the art of time« (music), but also the creation of »the art of space« (e.  g., fine arts). While its styling shows the aesthetic characteristics of the art of space, it also reflects the development the art of time in its art of performance. The costumes and makeup of the Chinese opera not only help depict the characters and show their personalities, but also are a means to magnify the power of performance in specific scenes, such as with facial makeup, water sleeves, the wings of the hat, plumes, beards, etc., all of which follow certain established models and can only be fully used in specific scenes. In a certain sense, it can even be said that the highly developed artistic styles of the past, such as music, dance, acrobatics—even painting and sculpture—were forced to tilt towards opera and become part of the comprehensive art of opera, merging into a whole according to the artistic rules of opera and weakening the value of their independent existences.

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If the synthesis of the arts is a common phenomenon in the development of the arts of all peoples, then, in the history of the art of China, this artistic phenomenon is not only relatively common, but also demonstrates itself in the form of an organic fusion instead of a simple combination. In Chinese opera, the various individual characteristics are integrated and shown in asynthetic art form, reaching the artistic realm of a poem that is both narrative and lyrical (and therefore opera is referred to by some as »drama-poetry«). All this shows that the all Chinese arts have developed, from the ancient to the modern, in close relation to each other, creating new comprehensive forms of beauty that are still developing and full of unique characteristics. Therefore, it is also the mission of A General History of Chinese Art to discuss and study this history of development, and the aesthetic characteristics of the traditional arts of China.

2. Traditional Thought and Traditional Art in China The arts of each nation, in the course of their historical development, inevitably absorb and display distinctive national characteristics through interactions and mutual influences with the mode of production, mode of life, geographical environment, cultural traditions, philosophical and ethical concepts of that given nation, as well as the psychological qualities and folk customs formed over a sustained period of time, including a value system encompassing aesthetic ideals, experiences, and forms. Chinese arts are grown in the soil of the life and spiritual activities of the various ethnic groups across China’s territory and history. Thus, the value system that governs Chinese history and culture inevitably permeates and influences the creation and development of the Chinese arts. In terms of social structure, although China has gone through different phases, from primitive

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society to slave society and feudal society during its thousands of years of development, the blood tie at the core of succession was never severed— from the dissolution of the clan commune to the transformation into slave society and feudal society, from the primitive clan communes to the patriarchal clan system. It is deeply embedded in the political, clan, theocratic, and marital rule of all dynasties, which also naturally permeates in the Chinese cultural lineage. In Chinese intellectual and cultural history, the most dominant conceptual system is that of »the first man of all ages,« Confucius (551–479 BCE), who was active at the end of the Spring and Autumn Period. »Confucianism« was built by Confucius’ followers, based on his teachings. The intellectual origins of Confucius and Confucianism can be traced back to the ancient sages whom Confucius highly regarded, such as Yao, Shun, Yu, Tang, Wen, Wu, and the Duke of Zhou. Confucius claimed that he was elucidating the »rituals of the ancient kings,« and advocated the study of »benevolence«—both of which reflect the remains of the social ideals of clan society. As a comprehensive system of thought, Confucius’ doctrine, with ritual as the code of conduct, benevolence as the core of thought, righteousness as the criterion of value, and wisdom as the means of understanding, emphasizes worldly achievement, morality and ethics, and practical reason—has altogether had a tremendous and far-reaching impact on more than two thousand years’ worth of Chinese cultural traditions. Confucius’ view of the arts was naturally based on the idea of benevolence. In The Analects, he discussed »poetry« and »music« in many places. In his view, only by »inspiring through poetry, establishing through rituals, and achieving through music« can a true »gentleman« be created. Confucius attached great importance to the social function of poetry. He said, »Poetry can inspire, can [train one] to observe, can [integrate one into] groups, and can critique.« During Confucius’

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time, poetry, music, song, and dance were still in the form of »hybridity.« Therefore, when Confucius discussed the functions of »poetry« and »music,« he was actually also touching upon the social functions of arts. Naturally, the social function of arts that he talked about could not be separated from his aim and purpose of taking »benevolence« as the core, and »ritual« as the norm. During the Warring States Period, although Confucius’ doctrine was still one school among the so-called »Hundred Schools of Thought,« it has already been established as »one discourse of its own.« In particular, through the enrichment and development of Meng Ke (372–289 BCE) and Xun Kuang (313–238 BCE), Confucianism gradually established the political ideals of cultivating one’s character, putting the family in order, ruling the country, and pacifying the world—coupled with the ethical concepts of heaven, earth, ruler, kin, and teacher, and the moral norms of benevolence, righteousness, ritual, wisdom, and honesty. It adapted to the social development of the time to create a conceptual system, achieving the status of being a »prestigious school.« The doctrine of Confucius was also elevated, by Xun Kuang, to the level of the way of the sage: »The sage is the key of the way. All the ways under heaven are centered on this [Confucianism], the ways of the hundred kings are concentrated on this [Confucianism], so the Book of Songs, the Book of Documents, the Book of Rites, and the Classic of Music are aggregated in this [Confucianism].« At the beginning of the Qin and Han dynasties, although Confucianism was briefly attacked and neglected, it was quickly restored and developed under the »Dismissal of the Hundred Schools of Thought« of Emperor Wu of the Han Dynasty, as well as the »Reverence for Confucianism« of Dong Zhongshu—thus establishing the orthodox status of Confucianism, which was the ruling ideology of most dynasties. Indeed, the long dominance and widespread popularity of Confucianism, embedded in ethical

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concepts and codes of conduct, made a unique contribution to the shaping of the Chinese character and cultural psychology. Mencius, for example, advocated »nurturing my spirit of integrity and righteousness,« and claimed: »If heaven is to send down great tasks on man, it will first make his mind suffer, his sinews and bones exhausted, his body starved, himself emptied, doing things that will disrupt him, so that [his] heart is moved and [his] character [capable of] enduring, adding [to him] what he could not [achieve].« He also stated that »[the ideal gentleman] cannot be corrupted [in situations of] wealth and honor, cannot be changed [in situations of] poverty and disgrace, and cannot be subjugated [in the face of] power.« The pursuit of noble character and spiritual beauty has cultivated »the greatest and the most upright« of countless Chinese people, and yet it cannot be denied that the Confucian doctrine, which occupies an orthodox position and was been developed into a comprehensive system of ideas, at one time or another, impeded the march of history in the face of the changing circumstances of the times. Confucianism, as the orthodox thinking of the superstructure of feudal society, and as the non-negotiable »way of the sage,« naturally permeated literary and artistic creations and became the principle and standard for literary and artistic criticism. The Literary Mind and the Carving of Dragons of Liu Xie (c.  465–c.  532), for example, clearly lists the following three titles: »Yuandao« 原道 (»Tracing the Origin of the Way«), »Zhengsheng« 征圣(»Seeking the Sage«), and »Zongjing« 宗经 (»Following the Classics«). Although no such systematic standard was established for theories of art, it was still an important function of arts proclaimed by ancient historians »to educate the people, to help the morals of mankind, to investigate the divine changes, to probe into the profound, [which is] similar to the function of the Six Classics […]. »The Confucian doctrines of »starting [at the point of] emotion and stopping

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[at the point of] ritual and righteousness« and »governing the matrimonial relationship, achieving filial piety, deepening the morals of mankind, perfecting the cultivation of the people« are not only political and moral-ethical themes of orthodox literature and arts, but have also been the main themes of artistic thought. They have largely dominated the creation of story-telling and opera even after the Song and Yuan dynasties, when folk art was believed to have »surpassed« the elegant arts. In short, although the conceptual system of Confucianism promoted the close connection between arts and society, and gave arts a sense of purpose and a progressive spirit, over the long course of history it also brought negative influence on the development of arts that were subservient to feudal politics and morality, suppressing and restricting individuality in the creation of art. Furthermore, the orthodox status of Song and Ming Neo-Confucianism, established in late-medieval China, and their doctrine of »preserving heavenly principle and eliminating human desires,« greatly ossified the vitality of Confucianism. Needless to say, among the thoughts and ­doctrines of pre-Qin philosophers, it was not only Confucius, Mencius, and other Confucians that had the great influence over the arts in later periods, but also their contemporaries, Laozi and Zhuangzi (c. 369– 286 BCE), who were regarded as the founders of Daoism. In a certain sense, in the field of arts and aesthetics, the thought of Laozi and Zhuangzi had a more profound influence. This includes the idea of letting nature take its course, and emphasis on tranquility and simplicity, which is reflected in the following claims: »The greatest sound is silent, and the greatest image is invisible«; »Dao follows the nature«; »Heaven and earth have great beauty and do not speak [of it]«; »Emptiness and tranquility, silence and inaction, are the basis for all things«; »Be simple and there will be no one under heaven who can compete with its beauty«; and more. They also emphasized the important position of the human in the nature, as reflected

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in the following statement: »Therefore, the Dao is great, heaven is great, the earth is great, and the king is also great, and there are four great domains in the world, and the king resides in one of them.« It should be noted that the thought of Laozi and Zhuangzi reflected more intensively the legacy of the social concepts of clan society. However, their attitude of seeking spiritual freedom by highlighting the importance of the individual and being unbound by external constraints not only had strong resonance among literati and artists, but also had deep influence on the historical formation of the categories, concepts, and patterns unique to Chinese arts. These include the idea of »following nature as the master,« and admiring natural beauty; the emphasis on depicting the real alongside the virtual and expressing movement with stillness (or the other way around, creating an artistic realm of »silence being better than sound«); the pursuit of the indirect, the subtle, the profoundness and so on. The establishment of Daoism and the arrival of Buddhism took place around the same time in the Han Dynasty, but their great popularity came during the Wei, Jin, and Northern and Southern Dynasties. As Karl Marx said, »Religious suffering is, at one and the same time, the expression of real suffering and a protest against real suffering.« And as the poem goes, »[When I] go out [I] see nothing, but white bones covering the plain.« The frequent warfare and displacement of people during the Wei, Jin and Northern and Southern Dynasties created a general social psychology for seeing the misery in life and longing for peace, and the teachings of Buddhism are precisely based on the suffering of life as its most basic proposition. How to rid oneself of the »eight sufferings« (sufferings arising from birth, aging, sickness, death, grievances and hatreds, separation from love, unattainable desires, and the five components of body and mind), and how to escape the »the circle of karma« to achieve the »four emptinesses« of

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a blissful world became the spiritual sustenance for people in their suffering and struggle. The prosperity of Buddhism also quickly informed artistic thinking. For example, the art of Buddhist sculpture, imported from India, left a continuous belt of cave art on the Silk Road—along with the propagation of the Buddha’s teachings, in Gaochang, Kuche, Dunhuang, Maijishan, Yungang and Longmen. In Chinese intellectual history, an era in which Confucianism, Daoism, and Buddhism competed and clashed with each other came into being, but what it brought to the history of art was a new, colorful realm of artistic consciousness. From the Eastern Han Dynasty, politically controlled by eunuchs, to the brutal rebellion of Dong Zhuo, and to the dark politics of the Sima family in the Wei and Jin dynasties, the precepts of Confucianism that had been developed and become popular during the Eastern and Western Han, including those associated with divination, the Five Elements, the ethics of rulers and ministers, and the social hierarchy of ritual and music, were completely shattered, forcing the ideological rule of Confucianism into decline. Yet this »collapse of rites and music« did not bring about »a hundred schools of thought,« but a diversity of social trends and the »pride and self-indulgence of scholarly officials.« As a result, a cultural atmosphere valuing independence and individuality emerged, in which »great acts ignored fine manners and the best people did not restrain themselves.« They »criticized Tang [of Shang], Wu [of Zhou], and belittled the [Duke of] Zhou and Kong [i.  e. Confucius],« »overcame titles and indoctrination [i.  e. Confucian social rules] and followed nature.« It was said that »Ji Kang learned from his heart to steer his discourse, Ruan Ji used his spirit to create poetry.« This rebellious tendency, contrary to the social norms of the time, and although fiercely criticized by Ge Hong (284–364) in his Baopuzi, created a free space for arts to break through constraints and express the »emancipation« of the individual. Popular trends during

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the period included hosting qingtan (lit. »pure conversation«) sessions about metaphysics and philosophy, assessing important figures and their character, pining for nature, yearning for the afterlife, following one’s heart and freely expressing oneself; key elements in literature and the arts were metaphysical discourse, landscape and the country life as seen in the depiction of scenes, the expression of emotions, the comprehension of truths, and so on. Be it the green bamboo or the yellow flower, however, nothing in the natural world is not also a manifestation of Buddha’s teachings. Although Daoism and Buddhism are different, they share the same spirit of paying attention to the rhythms of nature and pursuing harmony with the universe. Therefore, although Buddhism and Daoism attacked each other, Xuanxue, the metaphysical philosophy with a Daoist basis that was popular during the Wei and Jin dynasties, and the Buddhism popular during the Six Dynasties integrated and complemented each other—to establish a new spiritual space for arts, so that »music« (art) was no longer attached to »ritual,« but had an independent world of its own magnificence. The struggle between the two schools (Confucianism and Xuanxue) and the two religions (Daoism and Buddhism) was indeed very intense in the Wei, Jin and Northern and Southern Dynasties. Although Confucian doctrines were sometimes used by rulers as a pretext to incriminate »dissidents« (e.  g. Cao Cao’s killing of Kong Rong, Sima Zhao’s killing of Ji Kang), what remained of Confucianism was only an empty shell. One exception, Fan Zhen’s essay »Shenmie lun« 神灭论 (»Treatise on the Extinction of the Soul«), though appearing materialist and atheist, cannot be said to represent Confucianism. The territory of metaphysics, thanks to the penetration of Buddhism, was also freed from the trend of qingtan. Buddhism had permeated deeply into the hearts of the people, as seen not only in the patronage of Buddhist temples and monasteries

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all over the country, but also in renowned cave art venerating the heavenly splendor of the Buddha and the Bodhisattvas. As for Daoism, being indigenous, it pursues the opposite of Buddhism. While Buddhism regards life as the source of suffering, Daoism regards life as a pleasure, and its pursuit is immortality marked by the ascension of the flesh, the transformation of the spirit into the Three Pure Ones, and entering into the celestial realm. Therefore, Daoism has its own roots in the development of arts, and has had a long and far-reaching influence on folk music and dance and art works. What is even clearer is the penetration of Buddhist and Daoist thought and the social psychology of longing for peace and tranquility resulting from a war-torn life on artistic concepts and artists’ thinking. As the saying goes: »There are so many sad things in life, where else to dispel them if not the school of emptiness [i.  e. Buddhism].« This was the state of mind of the literati formed under the influence of the Buddhist spiritual realm. That said, although Confucianism, Daoism and Buddhism took the same social basis for different and opposing doctrines, at their core, all of them called for better relations with people on the one hand, and on the other hand, pandered to rulers and was willing to be exploited by them. Therefore, as they developed side by side and competed against each other, ideas calling for their integration also emerged. Huiyuan, a Buddhist leader during the Eastern Jin, put forward the theory of »Buddhism and Confucianism as a unity of enlightenment,« claiming that Confucianism and Buddhism were the »internal and external ways [respectively], which can be united to enlighten.« The literati attracted by Buddhism in the Northern and Southern Dynasties further advocated integration. The poet Xie Lingyun (385–433) advocated for the following approach: »Discard the gradual enlightenment of Buddhism and take its possibility to achieve; Discard [the necessity] of being near perfection of Confucianism and take

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its [idea that all principles meet in] one end.« The painter Zong Bing (375–443) believed that »although the teachings of Confucius, Laozi, and the Buddha had three different paths, practicing the good is their [shared] trace.« Liu Xie, author of The Literary Mind and the Carving of Dragons, also said in his essay »Miehuo lun« 灭惑论 (»Treatise on the Extinction of Errors«): »The teachings of Confucius and Shakyamuni are different yet their principles are in agreement, their understandings are similar and their reasonings brilliant.« Emperor Wu of Liang (Xiao Yan, 464–549) was a great admirer of Buddhism, but Zhang Sengyao, who painted the walls of the temple, painted the portraits of the ten most outstanding disciples of Confucius next to Buddhist images. Shen Yue (441–513), a Buddhist, wrote »Junsheng lun« 均圣 论 (»Treatise on the Unity of Sages«) saying that the »inner sage« was the Buddha, while the »outer sage« remained the Duke of Zhou and Confucius. There were even more examples advocating »integrating Confucianism with Daoism.« Therefore, the relationship among Confucianism, Buddhism, and Daoism, although often simplified as »the competition among the three religions,« was in fact very complicated. Fan Wenlan (1893–1969): The relationship among Confucianism, Buddhism, and Daoism, on the whole, is that Confucianism rejects Buddhism more than it reconciles with it, and Buddhism reconciles more with Confucianism than it rejects it; Buddhism and Daoism reject each other and do not reconcile (there were some Daoists who also advocated for reconciliation); Confucianism neither rejects nor reconciles with Daoism; Daoism has reconciled with Confucianism without rejecting it.

Although Emperor Wu of Liang denounced both Confucianism and Daoism as »evil,« he could not but at the same time erect a temple to Confucius, for his political rule still relied on Confucianism as the orthodox doctrine. At the same time, on the roof of Cave no. 249 of the Mogao Grottoes in Dunhuang, dated to the Western Wei of the North-

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ern Dynasties, in the Buddhist realm of Asuras, Bodhisattvas, Warriors, and Apsaras, there are also images of local Chinese deities, such as the God of Wind, the God of Thunder, the Vermillion Bird, and the Black Tortoise, as well as images of the Queen Mother of the West with her royal phoenix chariot, the King Father of the East with his royal dragon chariot, and the Emperor of Heaven at hunt, indicating that Daoism had begun to integrate into the Buddhist world, and together they make a scene of heavenly majesty and splendor. Even from the point of view of the two tendencies of the literati scholar, namely, active participation in and passive avoidance of the world, it cannot be said that the three religions are completely opposed to each other. As a class, the literati (including artists) occupied a special position in feudal society, and for both this position and the social functions they performed, there were the two possibilities of officialdom and becoming a hermit. Moreover, even Confucius himself, who was seen as active advocating for engagement with worldly affairs, said clearly: »When there is Dao in the world, [one seeks to be] employed, but when there is no Dao, [one] hides [himself]«; »Act when employed, and hide when discarded«; and even, »When the state has Dao, [one is] wise; When the state has no Dao, [one is a] fool.« Mencius went further, saying: »If you are unsuccessful, you should only perfect yourself, and if you are successful, you should also perfect the world.« It can be seen that »refuge from the world« and »seclusion« are not exclusive to Buddhism and Daoism, but are naturally complimentary to the life of the literati. Therefore, it is not surprising that they permeate the thinking and ideas of artists, and sometimes create certain contradictory states of mind and reoccurring attitudes in artistic expression. As Liu Xie put it: »The body is on the river and the sea, [but] the heart is under the gate of the imperial palace.« The lifestyle of the literati and artists having two complementary tendencies reflects, to a certain extent, the historical roots of

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the inevitable convergence of Confucianism, Daoism, and Buddhism. In the Sui and Tang dynasties, the general policy was to promote and practice all three religions. Yang Jian (541–604), Emperor Wen of Sui, was born in a nunnery and practiced Buddhism all his life. The Tang imperial family, on the other hand, viewed Laozi as their ancestor as they shared the same family name—thus Daoism was naturally prevalent during the Tang Dynasty. Yet Buddhism also flourished from the Sui Dynasty to the Tang Dynasty, when various temples and pagodas were built in the capital, Chang’an (such as the two Wild Goose Pagodas, both of which were erected during the Tang Dynasty). The Sui Dynasty ruled for a mere 37 years, but 70 caves dated to the Sui Dynasty have been preserved at the Mogao Caves; Over 200 caves were created during the Tang Dynasty, which represent the splendor of Dunhuang art and vividly document the process of the Sinicization of Buddhism and Buddhist art. Although Confucianism declined in the Northern and Southern Dynasties, it was revived in the Tang Dynasty; Confucianism, Daoism, and Buddhism, each displaying their brilliant colors, illuminated the artistic sky of the High Tang Dynasty. The romantic poetry of Li Bai is undoubtedly filled with the spirit of Daoism, while Du Fu shows a Confucian ethos across his works, and Wang Wei’s poems have a sense of Zen. In addition, the rulers of the Tang Dynasty not only respected Daoism, Buddhism, and Confucianism, but also encouraged free debate among the three religions, thus the trend of the three religions integrating with each other emerged. Buddhism drew on Confucianism and Daoism (e.  g. Buddhism incorporated Confucian ethics and morals by interpreting the Buddhist concept of the »Five Precepts« in relation to the Confucian idea of the »Five Constants«) and became more Sinicized; Confucianism absorbed elements from Buddhism and Daoism (e.  g. theoretical material, logic, and ethics), and new developments emerged, especially as seen in the

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popular »trend of the pleasure from meditation« that swept the scholarly world after the Mid-Tang Dynasty; Daoism also had new developments, picking up elements from Confucianism and Buddhism—a trend put by Li Daochun as »citing theories of Confucianism and Buddhism to validate Daoism.« In the Song and Yuan dynasties, the three religions became especially integrated. Lu Xun (1881–1936) described the following: The reverence for Daoist priests reached its peak in the Xuanhe reign of the Song Dynasty, and although the Yuan [rulers] converted to Buddhism, [they] also much revered Daoism, so its deceptions and frauds became prevalent across the land […] and further influenced literature. Throughout history, the dispute among the three religions was never resolved; they accepted each other and claimed ›a shared origin‹; the various issues such as righteousness and benefit, good and evil, right and wrong, true and false, were all mixed while also being analyzed […].

As for popular religious practices, sacrifices were important. The Confucian sages of the past and the founding fathers of Daoism and Buddhism were became mixed into folk religious activities and were worshipped as idols. This »shared origin« not only influenced the development of folk art in Song and Jin dynasties, but also produced an imaginary realm of gods and demons in various categories of arts, such as the »gods and demons fiction« from the Song and Yuan dynasties. The literati also played the role of »mediator« in the convergence of the three religions during this period. Su Shi, in his funeral oration written for the Buddhist priest Biancai, said: »I see that the sea has north, south, and east; although the rivers are different, their end is the same.« Meaning is that, since Confucianism, Daoism, and Buddhism have the same purpose, just as all rivers will converge in the sea, there is no reason to »differentiate the schools of Confucius and Laozi, separate the temples of Confucianism and Buddhism, and, further, [have the sects of] Zen and Lü [律, lit. ›regulation‹]

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attack each other.« Su Shi and his works indeed fully reflect the typical contradictory mentality of the literati of the time, demonstrating a mode of thinking where Confucianism, Daoism, and Buddhism complemented each other. Therefore, his proposition was also in line with the times. Wise Buddhist and Daoist figures of the time responded to this. Wang Zhe, founder of the Daoist Quanzhen School, said in a poem: »The Dao of the Confucian door and the Buddhist window connects them, and the three religions have always had the way of the same origin.« His disciple, Qiu Chuji, also wrote in a poem: »The three founding fathers of Confucianism, Buddhism, and Daoism, [illustrate] the same as a thousand sages of the past and present.« The confluence of Confucianism, Daoism, and Buddhism, and the free incorporation of Buddhist and Daoist elements into Confucianism, eventually led to the establishment of the Neo-Confucianism of the Song Dynasty. As the »impoverished« philosophy of Confucianism declined from the end of the Han Dynasty to the end of the Wei, Jin, and Northern and Southern Dynasties, losing its dominant position in the realm of thought, but this was unacceptable to the centuries-old Confucian orthodoxy. In the Tang Dynasty, Han Yu fiercely attacked Buddhism, but his method of argumentation had already been »polluted« by the logic of Buddhism. Buddhist and Daoist philosophies, instead of focusing on political ethics, accumulated a wealth of ideas about the universe and sublimated the profound and sophisticated doctrines of their respective teachings, as can be seen from the writings of Laozi and Zhuangzi. This was something that traditional Confucianism could hardly compete with, using only political and ethical concepts. In order to revitalize Confucianism, Song scholars had to cross the narrow threshold of Confucianism and borrow materials from Daoism and Buddhism to structure the system of Neo-Confucianism, which attempted to »exhaust the fundamental principles [in order to] see the human

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nature.« The establishment of Neo-Confucianism did make an outstanding contribution in the history of Chinese thought, promoting the development of rational thinking in the cultural milieu of the Song Dynasty. The general trend towards secularization in the Song and Ming arts, and the prosperity of popular arts in urban spaces, were also closely tied to the development of Neo-Confucianism. However, the concept of »exhausting heavenly principles and stifling human desires,« as promoted by Neo-Confucians, imbued Confucianism with religious asceticism, regarding as »heavenly principles« what confirmed subjective ideas—as the natural rationality of feudal ethics, and regarding orthodox feudal order as natural law. By forcing people to voluntarily practice them through social behavior, it clearly demonstrates their natural flaws. As a trend of thought, its harm also partially led to the decline of the elegant arts after the Song Dynasty. From the point of view of artistic concepts and artistic thinking, although Confucianism has been the main influence in the long course of history, the later its development, the less vitality it injected into arts—when compared with Daoism and Buddhism. Moreover, although Confucianism, Daoism, and Buddhism had a long history of confrontation and collisions, they were able to integrate and complement each other as ideologies, eventually converging. Their profound influence on the arts not only reveals the spirit of the times, but also permeates artistic and aesthetic concepts and categories, promoting change and development in traditional Chinese artistic thinking and artistic interests, including the creation of a theoretical system for Chinese art that has distinctive national characteristics. For example, in the history of Chinese philosophy, Dao, the cosmic spirit that encompasses the origin of all things in heaven and on earth, was interpreted differently by Confucianism and Daoism (in Buddhism, a similar concept is »xing«— literally »character, nature«). In traditional arts,

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this was interpreted as approaching the Dao through artistic means, the pursuit of the ideals of the »Dao following nature,« and »harmony between heaven and man.« Distinctive concepts in Chinese art, such as »form and spirit,« »emotion and reason,« »style and backbone,« »emptiness and reality,« »qiyun« (lit. »spirit and rhythm«), »source of the heart,« and even the highest category of artistic aesthetics, »yijing« (lit. »realm of ideo-mood-imagery«), all contain the influences of Confucian, Daoist, and Buddhist ideologies, and play an invaluable role in the development Chinese arts and the formation of the traditional artistic spirit.

3. Integration of the Arts of Different Nations and Exchanges between Chinese and Foreign Art »The Chinese nation,« as a general term for all ethnic groups within China, was a concept that was only gradually established in the 20th century. The term »zhonghua« (中华), however, meaning »Chinese,« connotates a cultural and ethnic collective, and has been known for a long time. The concept is clearly stated in »Shiwen« (»释文,« »Explanatory Notes«) of »Mingli san« (»名例三,« »General Provision Three«) in Tanglü Shuyi 唐律疏议 (The Tang Code with Explanations and Commentaries): »Zhonghua is China. [Those] close to and covered by the edification of the king naturally belong to China, with their majestic and dignified attire, customs of filial piety and fraternity, and conduct of propriety and righteousness—which is thus called zhonghua.« Of the continuous and ever-evolving ancient Chinese culture, Chinese art is the part which has achieved the most splendid success. Like Chinese culture, with the arts of the Han Chinese as the backbone, it has blended the artistic creations of many ethnic groups within China throughout China’s history. During the Spring and Autumn and Warring States Periods,

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there were various differences among the cultures of the Central Plain, including the cultures of Qilu, Chu, Wu and Yue, Ba Shu, Qin, and the three Jins; after the unification of China in the Qin and Han dynasties, the cultures of the various regions were soon fused on the basis of political unification, and began to form a closely-knit community of Chinese culture. Since the »Rule of Wen and Jing« of the Western Han Dynasty, the Han, as the ruler of the Central Plain, began to communicate with the neighboring nations: »Connecting with Dayuan and the Arsacid Empire,« to make jewelry »abundant in the imperial harem,« famous horses »sufficient in the Yellow Gate,« and have exotic animals »grazing in the imperial garden.« The Han court also »set up drinking pools and meat forests to entertain the guests of the four barbarians,« and »[staged] variety acts and wrestling shows for them to watch.« In the third year of Emperor Wu’s reign (138 BCE), Zhangqian (?–114 BCE) was dispatched to the Greater Yuezhi, Dayuan, Kangju, and other countries, beginning the famous Silk Road, and reinforcing the economic and cultural exchange between the Han Dynasty and the Western Regions. The acrobatic arts depicted in Han portrait stones and bricks, such as the »bell-and-sword dance« and »swallowing swords and spitting fire,« came from the country in the Western Regions called Daqin (also known as Lijian犁靬, i.  e. the Roman Empire, sometimes said to be Alexandria, Egypt, according to other sources); »the pole-climbing of Doulu« came from the southwestern kingdom known as Fugan Doulu (in present-day Myanmar, possibly referring to the historical Pagan Empire); Ma Rong’s Verses of the Long Flute clearly states: »The recent double-flute came from Qiang«; the vertical konghou (harp) and pipa of the Han Dynasty also »originally came from Hu.« Pipa, through continuous adaptation and improvement, has long been the most representative musical instrument of China. The music and dance of the Han people also arrived in Central Asia and

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its surrounding areas through the commercial and cultural exchanges of the time, or as imperial rewards. For example, Emperor Wu of the Han Dynasty gifted Goguryeo with »drum and pipe performers«; »Princess Wusun [Han princess married to Wusun] sent her daughter to the capital to learn to play the qin zither«; the King of Kucha also received from Emperor Xuan of the Han Dynasty »gifts of chariots and horses, flags and drums, and dozens of singers and flute musicians.« The bells, chimes and other musical instruments unearthed from the tomb of the King of Nanyue of the Western Han and the tomb of the King of Dian in Shizhaishan, Yunnan Province, were obviously influenced by the culture of the Central Plains, despite their respective local and ethnic characteristics. By the time of Emperor Ling of the Han Dynasty, the emperor himself »liked Hu clothing, Hu tents, Hu beds, Hu seats, Hu food, Hu konghou, Hu flutes, Hu dances, and nobles of the capital all competed in doing the same.« All these examples show that the great inclusivity of Chinese culture is also manifested in the integration of the arts of different nations. The exchanges with foreign arts led to absorbing various valuable nutrients from the outside, and stimulated the vigorous vitality of Chinese art’s own development. By the period of the Wei, Jin, and Northern and Southern Dynasties, the various peoples originating in the north fiercely fought for dominance in the Central Plain, and tried to »promote the Hu and suppress the Han.« But, surrounded by a powerful Han Culture, their cultures could only adapt to the dominant mechanisms of production and social life. As a result, even after a long period of warfare, they eventually embarked on the path of Sinicization, becoming closer to Han Culture. In the meantime, this also brought new blood to Han Culture. This mutual integration of Hu and Han was inevitable in the historical development of Chinese culture. The decline of traditional Chinese culture in the Central Plains following

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the migration of the court of the Jin Dynasty was certainly one of the reasons for the rapid development of Buddhism—but Buddhism was first introduced into China along the Silk Road from India to the Western Regions, and then to the Central Plain. As a result, Buddhism flourished in the Northern Dynasties. The treasures of Buddhist art in Dunhuang, Yungang, Maijishan, Longmen, and other grottoes are the remains of the grandeur and prevalence of Buddhist patronage at the time. The Buddhist art of the Northern Dynasties, although still preserving a number of characteristics from its Indian origin, was influenced by the grand and bold style of the vast northern desert. The prevalence of Buddhist temples in the south is captured by a poem: »Four hundred and eighty temples in the Southern Dynasties, how many towers and pavilions in the mist and rain?« The so-called »thin bones and clear face« of the southern Buddhist statues also reflects the cultural geography of the Jiangnan Region, and soon appeared in the art of the Dunhuang Grottoes. As for calligraphy, the distinction between »the northern stele« and »the southern copybook« also represents the stylistic differences of the north and the south. The artistic exchanges and integration among the many ethnic groups on the one hand embodied the rich synthesis of the »Northern and Southern Dynasties of cultures,« and on the other hand made unique contributions to the spirit of Chinese art. After the chaos and strife of the split between north and south, and the great collision and integration of various ethnic groups, three hundred years later, China’s feudal society ushered in a prosperous heyday, namely, a period of unification during the Sui and Tang dynasties—which was another period marked by a powerful centralized empire after the Qin and Han dynasties. Historically, the term »Han-Tang,« combining the names of the two great empires, was used to show its brilliance. To this day, traces of the global influence of the Tang Dynasty are still found: almost all Chinatowns in Europe and America are known

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as »Tangren jie« in Chinese, literally meaning »Tang people’s street.« The historical importance of the Tang Dynasty lies partially in its greatly expanded territory, as captured in the following description from Tang da zhaoling 唐大诏令 (the Great Edicts of the Tang Dynasty): »The lands that former kings did not develop [now] all ask for official clothing, and the towns that former history did not contain [now] become [registered as] states and counties.« But the importance of Tang also lie in its good governance, resulting in almost a hundred years of prosperity and affluence, from »the rule of the Zhenguan« to »the prosperity of Kaiyuan« (which should in fact also include the decades of Wu Zetian’s reign). This also led ancient Chinese culture into an era of openness and grandeur. Such a tolerant and open-minded cultural environment nurtured the fusion of the arts of the various ethnicities in China, which is known historically as the »Sound of the High Tang.« This sound of the High Tang Dynasty, although still mainly based on the Han Culture, is »well-infused with Hu air.« After three hundred years of the great mixing of the Hu and Han peoples during the Northern and Southern Dynasties, the nations collectively known as »Hu« certainly dissolved. The »Han« nation, however, taking elements from the Hu nations, also was reconstructed, and was no longer in its original form. Even the Tang royal family was of mixed Hu and Han ancestry. According to research, the maternal lineage of its three founding monarchs, Li Yuan (566–635), Li Shimin (599–649) and Li Zhi (628–683) were all of Xianbei ethnicity. Most importantly, the Tang Dynasty was also a dynasty that was »Hu-ophilic.« »The air of Hu,« including Hu clothing, music, dance, food and wine, swept across the social life of the Tang Dynasty. Li Shimin, Emperor Taizong of Tang, openly claimed that the ruler needed to break away from the concept of »valuing the Chinese and belittling barbarians,« and began to implement policies that »love them as one.« Therefore, it is no coincidence that

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the »sound of the High Tang« also inherited the strong and bold spirit of the arts of the Northern Dynasties. The great poet Li Bai, known as the »Immortal Poet,« once recited: »After drinking [I] show off [my] charisma, after three cups [of alcohol] [I] start playing with the sword, killing people like cutting grass, and travelling with [the wandering vigilante] Ju Meng.« This poetic style, filled with power, is seldomly found in the poetry of the Southern Dynasties. Hu music and dance were even more popular during the Tang Dynasty. Among the ten divisions of Tang court music, seven of them, namely the »Indian Division,« the »Goryeo Division,« the »Kuchean Division,« the »Bukhara Division,« the »Shule Division,« the »Samarkand Division,« and the »Gaochang Division,« played what was Hu (foreign) music at the time. Later, seated and standing performing divisions broke national boundaries, using »Hu music« such as that of Kucha in the works of »Han music« (e.  g. Smashing Through the Battle Formation, Music of Imperial Longevity, etc.). Emperor Xuanzong (685–762) even »issued an imperial edict for Daoist tunes and Dharma music to be played together with the new sound of the Hu division,« completely shattering the restriction that Hu and Han music should not be played together. »Hu Swirl« dance was also popular, as seen in the numerous admirations expressed by many poets of the Tang Dynasty. Buddhist images (murals, stone carvings, sculptures) went through further Sinicization, as is most evident and prominent in the transformation of the Longmen Grottoes and Dunhuang Mogao Caves. In short, the Tang Dynasty was an era of unprecedented integration and exchange of the arts of the many ethnicities in China. The arts of the world were widely accepted and deeply absorbed, and the arts of the Tang Dynasty were also introduced to neighboring ethnic groups and the rest of the world, which had a great and far-reaching influence.

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With the decline of the Late Tang Dynasty and the succession of the Five Dynasties, Chinese history went through another great upheaval. It was followed by a long period of north-south confrontation between Song and Liao (also Western Xia), Song and Jin, and Song and Yuan. Both the Northern and Southern Song dynasties were weak states, sometimes even in subordinate status, relying on paying tribute to maintain existence. But in terms of both political and economic developments, the two Songs had entered the mature stage of feudal society. In other words, they had begun to nurture the transformation into modern societies. On the one hand, there was the widespread rise of popular art and culture; on the other hand, the culture of elegance showed unprecedented refinement, exemplifying the so-called »graceful and melodious Song style.« Thus, although foreign elements were also absorbed into Song Culture, overall, the various ethnic groups that successively controlled a large part of China’s territory had to gradually assimilate with Song politically and culturally. This is especially true for the Jin Dynasty. Beginning from Emperor Xizong, the ruler had taken the initiative to embrace the influence of Song’s political and cultural systems, creating prosperity in the north of China. Wanyan Yong, Emperor Shizong of Jin, went further to completely change the anti-Han policy of the early days of the Jurchen, adopting Confucianism, promoting poetry and literature, and implementing the culture of the Song. During the period, the royals and nobles of Jin even emulated Han literary and artistic activities, including composing poems, writing ci lyrics, painting, etc. The famous poet Yuan Haowen (1190–1257) said, »Starting from Dading [reign name of Emperor Shizong of Jin], the cultural rule was harmonious, and education also arrived to [the point] of having completely changed the vulgar customs of the Five Dynasties and the Liao.« However, as the peoples of the north, namely the Khitan (Liao), Tangut (Western Xia), Jurchen (Jin), and especially the Mongolian (Yuan), all came

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from nomadic backgrounds, although upper-class nobles adopted Han »elegant culture,« the common people did not change their taste and were more interested in the popular arts and culture of the Central Plain. As a result, the marketplace arts that had been around since the Northern Song Dynasty were extremely popular among the people of the north. For example, the miscellaneous operas and variety acts of the two Songs, which caused »thousands of people to gather and watch, and the city streets to empty,« soon spread to the areas controlled by the Liao, Western Xia and Jin dynasties. The author of The Western Chamber Zhugongdiao, a complete set of zhugongdiao work which mark the maturity of the art of singing-storytelling, was someone named Dong Jieyuan from the Jin Dynasty. The divergence of the elegant and the popular in the arts also led to different aesthetics in the integration of arts of various nations. In the process of the Sinicization (i.  e., Songification) of the northern peoples, the affectedness of the culture of the Central Plain was abandoned, and the evolving popular arts further developed with new blood added to promote their growth. This was the general trend of artistic integration among the peoples of the Liao, Western Xia, Jin, and the Mongolian Yuan Empire. In the 16th year of the Yuan Dynasty (1279), Kublai Khan (1215–1294) conquered the Southern Song Dynasty, which was the first time in Chinese history that a minority regime unified the country. The Mongols were indeed a typically nomadic people, and their golden armor once swept across the Eurasian continent and had great influence over world history. Although this was an era of great integration, with the Mongols as the main ethnic group, the arts of the Yuan Dynasty were colorful and multi-ethnic. In addition to the arts of the Han and Mongolian peoples, the arts of the Khitan, Tangut, and Jurchen also left legacies among the mixed ethnic groups in the north. Pal-

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ace architecture of the Yuan Dynasty, described by Marco Polo as »ingeniously crafted, having reached the highest degree of perfection,« contains the essence of the architectural achievements of Han, Mongolian, and Jurchen peoples. The »communication« between the East and the West has been expanded, and after Kublai Khan settled in Khanbaliq as the capital, the city was crowded with foreigners from all over Eurasia, including aristocrats, bureaucrats, missionaries, musicians, artisans, dancers, and more. This created an unprecedented scene of cultural exchange. Mongolians are known for their abilities of and their fondness for singing and dancing, so it is natural that social music and dance flourished during the Yuan Dynasty. The unification of the country following the Mongol conquest of the Song Dynasty further promoted the development of popular arts and culture. The popularity of sanqu, closer to the colloquial language, replaced that of the literary ci. Opera, which had already developed during the Song and Jin dynasties, reached its first peak during the Yuan Dynasty, with the development and prosperity of zaju. The relationship between the elegant and the popular was rather unique during the Yuan Dynasty. As was said, »Confucians [ranked] the ninth and beggars the tenth,« and »[the status of] Confucians [was turned] upside down and was less than the [common] people.« This change in social status forced the literati to reach out to the people and to collaborate with performers in the creation of zaju, which led to the emergence of a group of excellent playwrights, such as Guan Hanqing and Wang Shifu, whose names mark history. The brilliance of literati painting also appeared in this particular era of integration. Although the Mongolian aristocracy ruled brutally, there were very few literary inquisitions, and the ruler did not care about the conservative and rigid ethical preaching put forward by the Song Neo-Confucianists. This de facto relaxed thought control, and brought an

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opportunity for the integration and diversification of the arts of different ethnicities during the Yuan Dynasty. Therefore, although the Yuan Dynasty ruled for less than a century, it nonetheless added a splendid page to the history of the arts. The »tyrannical [rule] and exorbitant demands« of Toghon Temür, Emperor Shun of Yuan, finally provoked massive uprisings—mainly consisting of the Red Turban Rebellion, while Zhu Yuanzhang (1328–1398) took advantage of the 17 years of rebellion to drive Toghon Temür from the capital to Yingchang, overthrowing the Yuan Dynasty and inaugurating the Ming Dynasty. After Zhu Yuanzhang seized power, although he took a series of measures to recuperate and develop the economy, he adopted an extremely harsh and authoritarian cultural policy of »condoning merciless executions.« In terms of ideology, he vigorously promoted the Cheng-Zhu School of Neo-Confucianism, advocated feudal ethics and codes, and adopted the practice of selecting officials through the imperial examinations that required essays composed in the rigid »eight-legged« format. This is illustrated by various historical accounts: »When Ming was founded, the first emperor established exemplars to demonstrate [good] governance, followed writings to comprehend truth, and issued an edict to make all scholars under heaven respect Zhu [Xi]«; »Any speech that disagreed with [the teaching of] Mr. Zhu would be prosecuted and denounced in public«; »When our ancestors founded the country, they respected Confucianism, and the scholars were ashamed to pay attention to rhetoric and opera, and neither zaju nor old opera scripts were passed on.« Naturally, there were exceptions, such as Gao Zecheng’s Tale of the Pipa, and as for The Record of the Completion of the Five Cardinal Human Relations, an opera which completely propagated feudal morality, it was promoted and praised by the rulers of the Ming Dynasty. Even the popular practice of people »often indulging in singing and dancing [drinking parties]« reflected the integra-

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tion of the arts of multiple cultures during the Yuan Dynasty, was considered by Zhu Yuanzhang as a vulgar custom of the Yuan Dynasty, and was expressly forbidden. If caught, violators would be »tied up and hanged upside down from a building, not given water for three days and let die.« In the early Ming Dynasty, painting was particularly prominent for imperial use, as the painters working in the palace were given the title of the Embroidered Uniform Guard, but the slightest mistake in carrying out court orders would lead to a death sentence. Zhu Yuanzhang’s son, Zhu Di (Emperor Chengzu of Ming, 1360–1424), like him, censored a large number of operas and decreed, »If [anyone] dares to have a collection, their whole family will be killed.« The dark cultural diktat of the early Ming Dynasty seriously hindered the development of the arts, but, after all, history still moved forward. With the growing prosperity of the urban economy, as well as the gradual rise and expansion of the citizen class, the historical transformation that began in the Song Dynasty turned into the buddings of capitalism by the middle of the Ming Dynasty. For the first time in the history of Chinese thought and arts, a humanistic ideological trend clearly rejecting feudal dogma emerged. This trend included the transgression of social norms, deviation from orthodoxy, the awakening of consciousness to the self and the subject, and more, which stirred a great wave in the stagnant pond of the dominance of the Neo-Confucianism of the Ming Dynasty. The one who held high the banner of anti-Neo-Confucianism and had a great influence in this field of thought was Li Zhi (1527–1602). His ideas on literature and aesthetics were the related to the humanistic theory of »the child’s heart.« This resonated in the works of the writers known as the Three Yuans (Yuan Zongdao [1560–1600], Yuan Hongdao [1568–1610], Yuan Zhongdao [1570–1623]), the dramatist Tang Xianzu (Author of The Peony Pavilion), and the novelist Wu Cheng’en (author of Journey to the West), all of whom clearly ex-

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pressed a romantic trend of thought different from the classical tradition. Meanwhile, corresponding to the widespread rise of the citizen class was the great growth of the popular arts of singing-storytelling and opera. The two earliest chapter-based novels, Romance of the Three Kingdoms and Water Margin, were both written and published in the middle of the Ming Dynasty; Feng Menglong compiled Stories Old and New, most of which were written in the Ming Dynasty; and chuanqi, which marked the second peak of the development of opera, also matured in this era. After a hundred years of the Yuan Dynasty and another hundred years of the early Ming Dynasty, the existing northern ethnic groups had mostly assimilated with the Han Chinese (except for some Mongolian and Jurchen tribes on the northeastern frontier, who have also become integrated culturally), while the cultural exchanges between China and the outside world had greater developments. Zheng He (1371–1435) conducted seven expeditions to the »Western Oceans,« spanning across the three reigns of Yongle, Hongxi, and Xuande. Leading a huge fleet and over the course of 29 years, he sailed through the Malacca Strait, travelled across the Indian Ocean, and reached as far as Persia and the east coast of Africa, leaving his footprints on more than thirty countries and regions—which was more than half a century before Columbus discovered the routes to the New World. The arrival of Christian missionaries, such as the Italians Jesuits Matteo Ricci (1552–1610), Michele Ruggieri (1543–1607), and Nicolò Longobardo (1559–1654), brought the cultural exchange between China and the West. In particular, Matteo Ricci, with his knowledge of European humanities, carried out social activities in China and befriended a wide range of cultural elites, such as Xu Guangqi, Yang Tingyun, Li Zhi, Tang Xianzu, which promoted the mutual understanding of Chinese and Western culture. The Journals of Matteo Ricci gave a detailed introduction to Chi-

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nese culture and art to the West; he enthusiastically praised China as »a nation dedicated to the study of the arts.« The famous French scholar Henri Bernard-Maître (1897–1975) in his Le père Matthieu Ricci et la société chinoise de son temps (1552–1610) spoke highly of the cultural exchange pioneered by Matteo Ricci (Bernard-Maitre 1937, p. 313): Thus freed from pernicious ties with an aggressive Europe, Ricci was able to make full use of the contribution of Western Christian humanism; it was by this means that he gained a prominent place in the capital from which he could radiate his influence within the empire and beyond. Peking, in fact, is a meeting point of the East and the rest […] a center of attraction around which gravitates all this world.

Therefore, we can say that the rise of humanistic thinking in the late Ming Dynasty (also termed by some as »Enlightened democratic thinking«) also reflected, to some extent, the results of cultural exchanges between East and West. But unfortunately, since Zhu Yuanzhang, the Ming Dynasty implemented the isolationist policy of a »sea ban,« which prevented the normal development of maritime transportation, thus causing China’s exchanges with the outside world and maritime trade to lag behind the early modern history of the world. The corrupt rule of the late Ming Dynasty triggered a nationwide peasant uprising and created a favorable gap for the re-emerging Jurchen (Manchu) to implement its ambitious plan of unifying the northeast and gaining control over the Central Plain. The misguided policies and rapid corruption of the Li Zicheng regime, after the end of the Ming Dynasty, created a perfect opportunity for the Manchu aristocracy to enter the Central Plain. For the second time, the exhausted Han Chinese people of the vast Central Plain experienced the rule of a dynasty established by an ethnic minority with a relatively small population. It was China’s most prosperous feudal dynasty and the last of

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the most corrupt and weakened feudal dynasties to lead China. The culture and arts of this last dynasty are certainly unique due to its history. The Qing Dynasty was already a period of complete and massive transition, when feudal society had reached a mature stage of development. The Qing Dynasty was also a vast centralized empire built by a minority aristocracy in collaboration with Han landowners. But even its most notable »wise sovereigns« from the founding of the empire to its heyday, such as Kangxi (Aisin Gioro Xuanye, 1654–1722), Yongzheng (Aisin Gioro Yinzhen, 1678–1735), and Qianlong (Aisin Gioro Hongli 1711–1799), all continued the harsh closed-door »sea ban« of the late Ming Dynasty. They also carried out massive literary inquisitions and vigorously advocated the conservative cultural policy of Song and Ming Neo-Confucianism to suppress ideas, which seriously hindered the cultural exchange between China and the outside world, and the development of modern science. However, as feudal society reached its apex, being able to build on its past glories, the Qing Dynasty also became the epitome of the epoch. The great thinkers of the early Qing Dynasty, Huang Zongxi (1610–1695), Gu Yanwu (1613–1682), Wang Fuzhi (161–1692), Yan Yuan (1635–1704), Tang Zhen (1630–1704), and others, all sharply criticized feudal monarchy as well as Song and Ming Neo-Confucianism. In the history of thought, they are known as the representatives of the »democratic currents of enlightenment,« but they were in fact a continuation of the humanistic currents of the late Ming Dynasty, which were anti-feudal in nature. The achievements in fiction include: Pu Songling’s Strange Tales from a Chinese Studio, an exemplary fiction written »in imitation of ancient styles«; Wu Jingzi’s Unofficial History of the Scholars, which sharply ridiculed and criticized the feudal world of exam-based meritocracy and the various figures attached to the system; Cao Xueqin’s Dream of the Red Chamber, which Lu Xun viewed as having »broken away from« »tradi-

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tional thought and ways of writing,« and which has been hailed by literary historians as »the encyclopedia of the last phase of the feudal period.« Whereas the unique comprehensive arts of China, xiqu, or Chinese opera, reached its epitome during the Qing Dynasty, as reflected in the widespread rise of hundreds of local genres, in the maturation into its most perfect form in the Peking opera, and so on. In the early Qing Dynasty, these so-called marketplace arts were restrained by the cultural policy that promoted the elegant and demoted the popular—and they were banned, destroyed, or censored. As the urban economy further developed, however, singing-storytelling, opera, and desktop novels (short storybooks and long multi-chapter novels), gradually became essential entertainment for all people, and even entered the palace, becoming an indispensable part of the life of the nobility. The Qing rulers supported Evidential Scholarship, which continued the »practical learning« tradition of Confucianism, as well as the compilation of several large reference books, such Gujin tushu jicheng, Siku quanshu, etc. Regardless of the subjective intentions of the rulers, these projects embarked on the historical mission of systematically collecting and organizing the Chinese scholarship and culture of the past, which demonstrates that Chinese culture had entered an unprecedented period of prosperity. From the time the Qing Dynasty gained control over China, its aggressive conquest of the surrounding areas and centralization of power greatly expanded its territory and broke down the political, economic, cultural barriers—so that the various ethnic groups living in the Chinese territory, after many collisions, finally became integrated. The Manchus were descended from the Jurchen people. When they entered the Central Plain and established the Qing Dynasty, they firmly enforced a »Manchu first« policy, such as forcing people of all ethnic groups to wear a queue and to change their attire so as to become Manchu-ified;

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These were attempts to change national customs in order to spiritually subjugate the various ethnic groups, especially the Han people, and caused strong rebellions and countless bloody tragedies. Finally, however, the queue was planted, and the Manchurian style also entered the opera—which retains their unique styles of clothing, makeup, and routines. Unlike the previous minority rulers, the Qing Dynasty did attach great importance to the preservation of their own culture and attempted to establish the cultural hegemony of the Manchurians, assimilating and transforming the Han Culture. However, since the Manchurian and Han Chinese were mixed together, with the Manchu being the minority in population, the penetration of Han Culture into that of Manchu was also inevitable. The long-established culture of the Han Chinese, such as moral norms, institutions and classics, poetry and literature traditions, all soon entered Manchurian culture. As early as the end of the Kangxi reign, there were banner people living in the Manchurian »base« of Shengjing (present-day Shenyang) who could no longer speak the Manchurian language. When it came to the late Qing, there were fewer and fewer banner people who could read and speak Manchu. Moreover, in order to rule effectively, the Qing Dynasty also had to employ Han officials and to keep Chinese institutions, subliminally incorporating Han Culture into their own body. During the heyday of the Qing Dynasty, in addition to the Manchu and Mongolian nobility who enjoyed privilege, the Han and the Tibetans were also powerful peoples. In particular, as Lamaism had a huge influence on the Mongolian-Tibetan Region, the rulers of the Qing Dynasty strongly supported and made use of it—which also played an important role in forging the cultural integration of different ethnicities. The architectural complex of the Eight Outer Temples in Chengde, still preserved to this day, demonstrates the great achievements of Mongolian, Tibetan, and Han architecture with its grandeur, diverse styles, and

XXXVIII

distinct ethnic forms. The Lama Temple in Beijing is another example with diverse artistic inspiration, integrating the architectural styles of Han, Manchu, Mongol, and Tibet into one. The integration of the cultures and arts of the many nationalities in this last dynasty led to the unstoppable final formation of the Chinese national culture. The rise of the old and new democratic revolutions between the late Qing Dynasty and the early Republican era, as well as the influx of foreign cultures with various origins broke through the Qing Dynasty’s closed gate, leading to the great collision, exchange, and integration of Chinese and foreign cultures—which set the development of Chinese art on a new course and into a modern epoch. In short, the development of the history of the Chinese arts, although mainly based on the arts of the Han people, is the creation of the multiple ethnic groups within China. Even the art of the Han people, which has a long history and tradition, is not really »pure,« but has also continuously absorbed rich nutrients from the arts of neighboring

Preface

peoples, as well as those from all over the world. However, it has a healthy stomach, which is able to digest the essence and turn it into its own, Sinicizing it without erasing each art’s respective characteristics. Modern history, especially the development of arts, has proved that we can learn from and even transplant arts of foreign origins, but any approach that uncritically accepts and mechanically copies will not be successful in the end. Looking towards the 21st century, there will be newer creations and developments in the Chinese arts, as well as in-depth exchange and integration with the excellent arts of the various nationalities of the world. However, the vitality of the development of Chinese art will never be the abandonment of its own great tradition, which still vividly participates in the artistic practices of today. Without a true grasp of the tradition, it is impossible to have innovations and creations that are future-oriented, and capable of standing on their own in the world of the arts.

PART ONE PREHISTORIC ERA

INTRODUCTION

1. The Emergence of Art 1. Conditions of Occurrence and Elements of Formation To date, there have been many conjectures about the emergence of art and various theories about its origin have been proposed. Here, we have selected the conditions under which art occurs and the elements of art formation as the starting point for our discussion. Certain conditions are necessary for art to occur. The first condition is that the creator must have a certain creative ability, that is, the human being has developed to a certain stage with a certain physiological and psychological foundation. If we consider that the transition from the ape to man is accompanied by labor, then the first and most significant step is the evolution of the hand. Work and the manufacture and use of tools are not only the manifestation of, but also the impetus for manual dexterity. The hand is not only an organ of labor, but also an instrument of thought, and the evolution of the hand reflects the evolution of the mind; the evolution of the hand and the brain go hand in hand. The evolution of the hand and the brain led to the improvement of the senses—the eyes, ears, nose, tongue, and body. As a result, human beings’ mental functions. such as emotions, imagination, beliefs, also improved. Only once human beings reached this stage of evolution could they have the ability to create art, in other words, have the conditions that the creative subject should have when art occurs. A certain form of social organization is another determining condition for art to occur. On the one hand, all art is produced under certain social con-

ditions; on the other hand, the value of a work of art is reflected in a particular social existence. The basic elements of art are the basic characteristics and factors that art should possess, which determine the nature of what it is called. We find that the conditions in which art emerges and the basic elements of art are connected. First, originality is the unique nature of art. The primitive plastic arts may have been inspired by nature in some way, intentionally or unintentionally, or may have been inherited from predecessors, but the earliest artistic activity is original. Secondly, the objectification of the creative subject is another element of art. The objectification of the creative subject is to materialize the creator’s emotion, will, and aesthetic concept so as to deliver it to the audience. When our primitive forebears possessed the possible physiological and psychological conditions, they naturally used their own bodies and organs to express their emotions, and even their reverence and will. They chose stones, bones, pottery, jade or shells, animal bones, and other materials to make all kinds of production tools and daily necessities, and poured their primitive aesthetic consciousness into them, which became the earliest plastic arts. When the two necessary conditions are ready, what is the most crucial step in the process of art formation?

2. The Formation of Self-Consciousness When the primitive ancestors first took up the material of nature and began to work with it, they did so by choice. The reason why they chose a particular branch or stone over another could have been random at first, but later it was a careful decision

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made by comparing shape, hardness, weight, and so on. This process of decision making requires a certain level of conscious mental activity, even if quite crude, for observation, reasoning, and judgment. This is what Marxists have termed the »self-consciousness« of a human being, where the formation of self-consciousness is not only a key step in human evolution, but also a key link in the development of art. Since that time, humans have engaged in the creative activity of purposefully changing the forms (the reality) of natural objects in accordance with certain ideas (compulsions) that already exist in their minds. Through this activity, the desired goal is achieved, and a certain degree of material and spiritual satisfaction is achieved. Since the unprecedented emergence of »self-consciousness,« the relationship between human beings (or human beings in the process of formation) and the natural world has undergone fundamental changes. Previously, the active subject was only in the passive position of adapting to nature, and could only rely on and conform to nature, locked in an antagonistic and distant relationship with it; but since then, the former has risen to the active role of not only adapting to but also transforming the latter, and a closer, more complex and multifaceted relationship between man and nature has begun. This kind of consciousness, once formed, became a historical given, taking root as the germ of a tradition and enriching and developing from generation to generation. Thus began a new history, in which consciousness and existence, spirit and material, interacted, conditioned, and transformed each other. Art, as a special form of spiritual activity, has emerged as a possibility and a necessity. The significance of »self-consciousness« in the occurrence of art lies first of all in the fact that it is the main driving force behind artistic activity. This human agency is the driving force behind all activities and the master of actions. Only after the emergence of man’s self-consciousness was it possible for the emotional expressions of primi-

Introduction

tive ancestors—through festive dancing, a way to achieve their pleasurable aims by means of their vocal organs or the movement of their whole bodies—to become a non-instinctive activity, which distinguishes them from ordinary animals. Hence came into being the early art of song and dance. Given that »self-consciousness« is the key link, the occurrence of the art of song and dance and plastic arts should be simultaneous. The significance of self-consciousness to the occurrence of art is also manifested in the creative subject’s affirmative attitudes towards the needs expressed in the initial conscious activities and the materialized works formed; this is the reflection of human’s own activities and external objects in the subject’s consciousness. In evolutionary developmental biology, the first self-consciousness of human beings is the chaotic body of the embryonic forms of consciousness that human beings develop later on. Although it contains the germ of various kinds of consciousness and ideas, it cannot be attributed to any single one of them. In the later development, consciousness and concepts contained therein, such as science, religion, art, ethics, etc., gradually become clearer and separated; correspondingly, the different relations between man, nature, and society become clearer. In short, although the emergence of »self-consciousness« is the main psychological foundation and key link in the emergence of art, it is neither equivalent to the aesthetic consciousness that occurs and develops simultaneously with art and is interdependent with it, nor is it the entire psychological condition for the emergence of art. Therefore, other psychological factors, such as emotions and imagination, are indispensable for the occurrence and creation of art. In music, dance and poetry, emotions are especially prominent. It is very likely that the earliest human beings once had very strong and even unrestrained emotions, but in the process of evolution from animals to humans, they gradually developed rational and social content, thus becoming relatively

5

restrained and deliberate. With the emergence of self-consciousness, art and aesthetic consciousness emerged accordingly. However, this does not mean that art originates from self-consciousness, for it is the form and sign of the biological nervous system as it reaches a certain stage of development. It belongs to the spiritual (as opposed to the material) realm, and it is the center and key link in the creative mind that plays the leading role in the process of art.

2. Definition, Distribution and the Transformation of the Chinese Primitive Arts 1. Definition of Chinese Primitive Arts Chinese primitive arts refer to the arts created by the prehistoric ancestors of the Chinese people. The lower end of its time period is the transition from primitive society to the beginning of the mythical Xia Dynasty—the time of the beginning of recorded history in China—which was approximately 4,000 years ago; the upper limit varies according to different sources and evidences. The musical and performing talents and achievements of the primitive ancestors in China were not necessarily inferior to those of the plastic arts of the same period, but their sounds and movements have long disappeared with the passage of time. Most of what remains today are the remnants of the plastic arts. In the very long period of primitive society, artistic creation was mainly concentrated in the later stages. This is because the closer we get to what is recognized as civilization, the greater the improvement of human cultural creativity. The Chinese primitive arts were mainly created during the mid to late Neolithic period (between around 4,000 and 8,000 years ago). This volume classifies Chinese primitive arts into six categories: music, dance, architecture, sculpture, pottery, and rock art.

Introduction

2. Distribution and Transformation of Chinese Primitive Arts The distribution and transformation of Chinese primitive arts depends on the distribution and transformation of early cultures. The origins of prehistoric cultures and prehistoric arts are diverse and widely distributed. Among the many regions of China, the Yellow River and the Yangtze River valleys were the areas where primitive arts flourished. Especially after the Neolithic period, with the development of the primitive farming economy and the expansion of living area, the primitive arts in these regions spread and transformed across thousands of years, and interacted and integrated with the cultures of neighboring regions. Together with the primitive arts of the north, the southeast coast, and the southwest region, they constitute the unique primitive arts of China. a. The Middle and Upper Reaches of the Yellow River Dingcun Culture, distributed along the Yellow River at the junction of the three provinces of Shanxi, Shaanxi, and Henan, shares the same origin with the preceding Hehe Culture. The ancestors there excelled at making a kind of pointed objects with three edges, containing a certain sense of beauty in its form, as well as stone balls. On the border area between Shanxi and Hebei, the cultures of Majiayao, Shiyu, and Hutouliang demonstrate a clear line of ­succession. They exemplify a peak in the development of prehistoric culture during the late Paleolithic period, about 30,000 to 10,000 years ago. At that time, stone balls were already being made into perfectly round shapes, and the ancestors could also make accessories with drilled holes as well as small and fine stone tools, creating the conditions for an agrarian economy. During this period and slightly later, the Neolithic culture of North China expanded northward to reach present-day northeast China, Inner Mongolia, and Xinjiang, going as far as northeast

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Asia and northwest North America—and it also expanded southward to the present-day south and southwest of China. Around 7,000 years ago, Cishan Culture and Peiligang Culture emerged in the western part of the North China Plain, Laoguantai Culture emerged in the central part of the Guanzhong Region, and the Lijiacun Culture emerged in the upper part of the junction of the Yangtze River and the Han River. These are the cultures of the middle Neolithic period. At this time, pottery-making was already on a considerable scale and there were a number of stone farming tools, indicating the beginning of farming and settlement life. At the sites of Cishan and Peiligang, small pottery sculptures such as human heads, pigs, and sheep were found. The ancestors of Peiligang had already made a bone flute that would amaze later generations. Based on these several cultures, approximately 6,000 years ago, in a large area of the middle reaches of the Yellow River, centered on the Loess Plateau, the brilliant Yangshao culture emerged. The ancient artists of the Yangshao culture produced vividly portrayed pottery heads, busts of female figures, decorations of poetry vessels in the form of human heads or bird and animal figures, and pottery houses. The primitive architecture there was quite successful, with the sites at Banpo, Jiangzhai, Dahecun, and other places showing the highest level of primitive cave-dwellings. The distribution area of Yangshao Culture is divided into three regions: the central area, the east, and the south. The central area is at the junction of Guanzhong, western Henan, and southern Shanxi, divided into the four types of Beishouling, Banpo, Miaodigou, and Xiwangcun; the east is located in the northern part of Henan and the southern part of Hebei, and divided into two types: Hougang and Dasikong. Yangshao Culture is succeeded by the Longshan Culture in the middle reaches of the Yellow River. It dates from about 4,800–4,000 years ago, and is mainly distributed across Shaanxi, Henan,

Introduction

southwest Shanxi, south Hebei, and northwest Anhui—a much larger area than the distribution of Yangshao Culture. During this period, agricultural tools were further improved, the number of livestock increased, and pottery was made by wheel-throwing—with painted pottery becoming scarce, and less artistic. The Longshan Culture in the middle reaches of the Yellow River had more exchange than that in the lower reaches of the Yellow River. In the upper reaches of the Yellow River is Majiayao Culture, dated to approximately 5,800– 4,000 years ago. Majiayao Culture shows the highest achievement of the art of painted pottery in China. Qijia Culture was very likely a continuation of Majiayao Culture, and during the period, pottery-making became more developed and the objects richer in form. Painted pottery was scarce, and its decoration became simple and dominated by folded lines. Bronze tools appeared, and primitive architecture developed, characterized by houses covered by white ashes on the façade. Qijia Culture was influenced by the neighboring Keshengzhuang Culture, as this period neared the end of primitive society. b. The Lower Reaches of the Yellow River  Beixin Culture is a middle Neolithic culture in the lower reaches of the Yellow River, which began around 7,000 years ago and lasted for more than a thousand years. It originated in southern Shandong and northern Jiangsu, and later expanded. It was succeeded by Dawenkou Culture, which lasted for approximately 2,000 years. The Dawenkou people excelled at making plain pottery, which was beautifully and variously shaped, with jugs, stemmed food containers (dou), tripods (ding), and goblets being the most common. Among them, the signature Dawunkou vessels include the bodiless tripod ewer with hollow and bulbous legs connected directly to its neck, the stemmed food container (dou) with a large base and an edged body, the vessel stand with open-

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work holes, and the tall and slender gu-shaped liquid container with a trumpet-like mouth. Mimetic potteries such as tripod ewers (gui) in the form of dogs and pigs, despite of being practical vessels, also demonstrate a very high level in the art of ceramic sculpture. The painted potteries are decorated with petal patterns, octagonal star patterns, meanders, etc. In particular, the dotted pattern of flowers and leaves is similar to that found on the pottery of Yangshao Culture in the Central Plains, indicating that the two cultures had exchanges. Bone carving was well-developed, and the ancestors of Dawenkou could produce ivory, jade, and rhinoceros horn ornaments. The primitive musical instruments such as the ceramic horn and the turtle-shell shakers from the Dawenkou Culture indicate that the ancestors were already engaged in musical activities at that time. Longshan Culture is a continuation of Dawenkou Culture. The Longshan people developed the pottery-making and crafts of stone, bone, tooth, and jade of the Dawenkou Culture. The pottery was generally made with a ceramic wheel, and they developed a type of egg-shell pottery with the thickness of its wall being less than 1 mm. Longshan Culture dates from approximately 5,600–4,000 years ago. The cloud and thunder pattern and the taotie pattern, incised on black pottery fragments and jade axes dated to the late Longshan Culture, are very similar to those found on later bronzes. This seems to foretell that the art of human childhood was about to enter a new historical stage, with a change of social forms. c. The Middle and Lower Reaches of the Yangtze River During the Paleolithic period, the Chinese primitive ancestors who lived in the middle and lower reaches of the Yangtze River included the Yunxian Man, Hexian Man (Longtan Cave), Changyang Man, Ziyang Man, and others. Approximately 6,400–5,300 years ago, the Daxi people lived in the eastern part of Sichuan and western part of Hubei. The pottery of the Daxi culture is

Introduction

richly shaped and decorated with distinctive patterns. There are many different types of markings on the surface of the wares, often printed with »small stamps.« From the middle period on, Daxi Culture was deeply influenced by Yangshao Culture, and it later spread to central Hubei and the Dongting Lake area. Daxi Culture was succeeded by Qujialing Culture, which was distributed throughout Hubei Province. Qujialing Culture is known for its distinctive large stone tools, eggshell painted potteriy, ring-foot jugs, and painted pottery spinning wheels. In the lower reaches of the Yangtze River, Hemudu Culture emerged around 7,000–5,000 years ago. The ancestors not only made a large number of farming, fishing, and hunting tools, but also created colorful arts of sculpture and carving, and their stilt houses adopted the highly technically demanding mortise-and-tenon structure. The Hemudu people made oval-shaped ceramic flutes known as xun, bone whistles, and other primitive musical instruments starting from a very early stage. The culture of Hemudu lasted for more than two thousand years, and it was interwoven with the neighboring early cultures of Luojiajiao and Majiabang. The farming and crafts of Liangzhu Culture were further developed. The triangular-shaped field cultivator, the perforated stone knife, and the stone battle-axe are typical artifacts. Its bamboo weaving, silk weaving, and woodworking techniques had been very developed. Liangzhu Culture is especially known for its jade work. For example, the jade cong, a type of ritual artifact in the form of a straight tube with a circular bore and square outer section, as well as carved crown-shaped jade decorations, reached the highest level of primitive jade making. The pottery of the Liangzhu people was wheel-thrown and neatly shaped. The number of colored potteries was small, but the decorations were complex and fine, and lacquered pottery is uniquely found in Hemudu Culture.

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d. The Northern Region Jinniushan Culture and Gezidong Culture in Liaoning, Shuidonggou Culture in Ningxia, and Salawusu Culture in Inner Mongolia, are Paleolithic cultures that emerged successively in the northern region. During the Neolithic period, an important culture in the north was Hongshan Culture. Hongshan Culture was centered in Chifeng, Inner Mongolia, and distributed in southeastern Inner Mongolia, northeastern Hebei Province, and northwestern Liaoning Province. The potteries of the Hongshan Culture mainly consisted of jars, basins, and bowls, and they were mostly decorated with zigzag lines, embossed patterns, and piled patterns. The painted pottery is decorated with simple patterns, laid out spaciously. The stone tools were mainly plow-like farming tools, reflecting the farming and sedentary life at that time. The jade carvings created by the Hongshan people were exquisite, showing the high level of realism achieved by ancient artists. The Neolithic cultures in western Inner Mongolia and along the Yellow River were all influenced by the Yangshao and Majiayao cultures in the south. e. The Southern Region As early as the Paleolithic period, there were Guanyindong Man of western Guizhou, Yuanmou Man of Yunnan, Maba Man of Guangdong, and Liujiang Man of Guangxi, inhabiting the south coast and the southwest of China. They were capable of making stone tools and mastered the skills of grinding and drilling, and lived by hunting and gathering. Into the Neolithic era, Tanshishan Culture, located in the lower reaches of the Min River in Fujian Province, was abundant with stone adzes, stone hoes, stone arrowheads, and bone arrowheads, and the local ancestors were engaged in farming, fishing, and hunting. Their potteries mainly consisted of cauldrons, tripod, jugs and bowls, and they were mostly decorated with rope patterns, basket strips, piled patterns, and triangular grids, formed by beating the corresponding

Introduction

object against the pottery body before firing—but they were seldom painted. Potteries decorated with printed geometric patterns have already been found in Tanshishan Culture. The culture of the shell mound in Fengbitou, Kaohsiung, Taiwan, was contemporary and quite similar with Tanshishan Culture, and they belonged to the same cultural system. Judging from the colored potteries, black potteries, and wood artifacts found in Dapenkeng Culture and Chihshanyen Culture in Taiwan, it is evident that they were closely related to the Neolithic cultures in Zhejiang and Fujian. The Neolithic cultures of Guangdong were concentrated in the plains of the Pearl River Delta in western Guangdong. The site of Xiqiaoshan was originally a huge quarry and stone-working site that lasted for a long period, from the late Paleolithic period until the late Neolithic period. Shixia Culture is about four to five thousand years old. The stone tools consist mainly of shovels, adzes, chisels, and arrowheads, and in later Shixia Culture, stone battle-axes and a large number of stone arrowheads appeared. Shixia Culture and had direct or indirect exchanges with Liangzhu Culture, located in the southeast coast, south Jiangsu, and north Zhejiang, and the two cultures influenced each other. Dongxing, Nanning, and Guilin are the areas where Neolithic cultures were concentrated in Guangxi Province. The ancestors in those areas were mainly fishermen and hunters and gatherers, but they also engaged in agriculture. The Neolithic cultures in Yunnan were mainly distributed in the Erhai Lake area and along Dianchi Lake in western Yunnan. Excavated from the Baiyangcun site in western Yunnan are bar-shaped stone axes and crescent arc-edged perforated stone knives, and the potteries often have a round bottom and are mostly decorated with scratched parallel lines, rope patterns, combed patterns, etc. The bodies were buried supine, with the head being removed. In the archaeological sites of Shizhaishan and Luoshishan near the Dian-

9

chi Lake, double-beveled stone axes, trapezoidal stone adzes, ceramic spinning wheels, etc., have been found. The ancestors of the area were engaged in fishing, hunting, and farming, and have the unique cultural characteristics of the Dianchi Basin. In Chamdo Count, Nyingchi County, Lhasa, and other places in Tibet, there are Neolithic sites dated to about four or five thousand years ago, of which the Karuo site in Chamdo County is the most representative. In northern Tibet, there are early Neolithic remains in Xainza County and other places.

3. Basic Characteristics of Chinese Primitive Arts 1. Mixed and Undifferentiated Forms Being mixed and undifferentiated is a distinctive feature of the primitive arts. At first, humans lived by hunting and gathering, and then gradually learned to raise animals and cultivate plants. Primitive arts also occurred and developed along with these ways of living. In short, the primitive arts were closely connected with and were part of the productive activities and lives of people. The creation of primitive arts was integrated with primitive technologies. Primitives arts reflect not only the earliest aesthetic concepts and artistic expressions of mankind, but also the scientific and technical achievements of the time. Primitive arts of a given period demonstrate their people’s understanding and productive skills in mathematics, physics, engineering, astronomy, and other fields. Primitive arts are also often fused with primitive religions. Many sources indicate that primitive religious practices were often performed in the form of song and dance. Primitive arts are a synthesis of many artistic disciplines. The later categories of art are like the branches of the same tree, while primitive arts

Introduction

are the trunk from which these branches sprout. The so-called primitive plastic arts are in fact »integrated art« that includes figurative arts, crafts, painting, sculpture, etc. The mixed nature of primitive song and dance is even more obvious. Music, dance, and poetry have been inextricably linked since their inception, and their earliest forms blend into one another. Primitive arts, primitive technologies, and primitive religions were all still in a mixed state.

2. Reflections of Agrarian Life Chinese primitive arts clearly reflected productive activities, which were mainly agriculture, and lives of the ancestors at the time. The agricultural tools made with stones, bones, shells, pottery, jade, and other materials are the most direct and obvious attestations of this. Pottery itself is the product of the farming economy, and the blooming of primitive pottery-making fully reflects the development of the farming economy at the time. The primitive ancestors’ concerns for natural phenomena and celestial objects are also manifested in the arts of the time. Primitive sculpture often reflects the domesticated animals kept by the ancestors. In addition to livestock and poultry, early artists also used ceramic sculptures, pottery accessories, carvings, and decorative patterns on pottery to represent other animals, which were common in the life environment at the time. The achievements of primitive architecture could only be made under the conditions of agrarian settlement. The high-level of construction skill and large scale of Chinese primitive architecture attest to this point.

3. Aesthetic and Utilitarian at the Same Time Primitive arts have both aesthetic and utilitarian functions. Tools made with stones, bones, jade, shells, etc., weapons, as well as potteries for everyday use are not only clearly functional,

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necessary for facilitating productive activities for the early ancestors, but they are also of aesthetic value with the formal qualities of being regular, balanced, symmetrical, smooth, etc. The same can be said for primitive architecture, which is functional but also of aesthetic value for neat layout and decorative color and form. Primitive body art has multiple implications. The function of primitive music is also multifaceted. In addition to being aesthetically appealing, it also fulfills a variety of other roles. For primitive people, music was used in primitive religious and magical activities, such as communicating with the supernatural, entertaining deities, praying, sacrificing, and warding off evil spirits. In performing this function, primitive music was often combined with primitive dance. The practice of using dance in magical and primitive religious activities is still preserved in some minority nationalities. Primitive dance was once an important part of the life of prehistoric ancestors as an activity to offer sacrifices to heaven, earth, gods—or to drive away ghosts and spirits and to attract good fortune. Rock painting is another primitive art with multiple functions. As for free-standing sculpture, they are indeed very ornamental, but neither are they only aesthetic objects. In short, primitive arts have both aesthetic functions and practical use in production and life. The multiple functions of the primitive arts and their characteristics of being often mixed and undifferentiated are interdependent and consistent.

4. The Basic Means of Expression Primitive art mainly uses three basic creative techniques: mimesis, abstraction, and symbolism. Mimesis was one of the earlier creative techniques  

Introduction

used by primitive ancestors. Mimicry may be an almost natural ability for human beings, so much so that the view that art originated from mimesis was once popular. The primitive ancestors used mimesis to create relatively realistic art, including more figurative plastic arts and some primitive songs and dances inspired by the physical world. Abstraction is a completely different creative technique from mimesis. In primitive arts, abstraction is not uncommon. The geometric patterns in pottery are a typical example, demonstrating the abstraction ability of the ancestors in plastic design. Symbolism is slightly more complex than the first two, as it is using an image or symbol to indicate a particular meaning. Symbolism must be realized through the aforementioned approaches of mimesis or abstraction. The method of creating symbols in primitive arts corresponds to primitive thinking, which holds that there is a causal relationship between many disparate things or phenomena. Therefore, most primitive art that contains primitive religious and magical connotations is an example of symbolism. On the basis of the three basic methods, the primitive ancestors also used more specific means of expression—such as deformation, exaggeration, generalization, and extraction. These means became more and more sophisticated and refined over time. In later societies, the form, content, and function of the arts were constantly changing. Amid these developments and changes, the creative methods of the arts were relatively stable. To this day, the various methods of creative expression in the arts are all derived from the three basic methods of creation, namely, mimesis, abstraction, and symbolism, which have existed since ancient times.

CHAPTER I  PREHISTORIC MUSIC Music is an art that appeals to the ear. Its material is sound, i.  e., the acoustic wave generated by the vibration of objects in the air. The forms to which these sounds are attached are regulated by two different principles—rhythm and harmony. Many scholars believe that although there are many kinds of acoustic waves or sounds in nature, including bird vocalizations that occasionally resemble musical sounds, few of these natural materials directly form the acoustic materials of human music (musical sounds). Instead, they have been carefully selected and modified by humans. Furthermore, the system of the musical sounds and their manifold organizational patterns do not exist in the natural world at all; they came into being completely through human artistic creativity. This peculiarity of music determines the relationship between content, subject matter, and concrete object. It is generally thought that, unlike with other forms of art, there are no archetypes of musical intervals (yincheng 音程) in nature or in social reality. For instance, the images in visual arts such as painting and sculpture as well as literary vocabulary can be traced back to certain archetypes in nature or in social reality. More precisely, a painting or a sculpture depicts various visible and tangible objects in reality, such as images of persons, animals, and plants. However, musical intervals cannot directly reproduce all the features of particular objects in reality in a similar way. Instead, music can, if at all, only provide certain features of these objects, such as motion. History is a picture that demonstrates the life trajectory of human beings. As an art form, prehistoric music, like other art forms, reflects the artistic lives of our human ancestors and their

relationship to music and other aspects of their lives. In the long course of its development, the forms of prehistoric music must have undergone numerous transformations. Finally, those transformations, consisting of patterns of air vibration, have faded away completely. Therefore, the examination of prehistoric music relies merely on the archaeological remnants of musical instruments, limited textual records, and the extrapolation of the remaining factors of prehistoric music from the music of later ages. In the process of its development, prehistoric music demonstrated its own practical functions and social benefits, as well as its combined usage together with other art forms. This reveals its functions in social intercourse and communication and reflects our human ancestors’ devotion and respect for music. The various types of instruments that generated prehistoric music were applied to various occasions in life. They silently tell the history of the former acoustic sound of prehistoric music as well as the history of all the vocal and instrumental music created by the Chinese civilization, on its unique ground.

Section 1  Discussion on the Origin of Prehistoric Music 1. Several Theories on the Origin of Music Many modern scholars have pointed out that each genre of art is specific and concrete; no artistic genre exists in the abstract. Without a thorough and meticulous analytical study of the origin of individual artistic genres, it is impossible to draw

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a scientific conclusion that applies to the origin of all genres. One of the common mistakes in the study of the origin of the arts is to draw a conclusion as to the origins of all artistic genres based simply on the generalization of sporadic views about the origin of a certain genre. Scholars in both ancient Greece and ancient China made specific observations and discussed the origin of music. Many modern scholars of various disciplines have contributed to diverse and intriguing explanations on the issue as well. In summary, existing hypotheses about the origin of music are as follows: 1. The Theory Associated with Imitation  A relatively influential view on this issue for ancient China and ancient Greece is that music originated from the human instinct of imitation, more specifically the mimicry of natural sounds. Archaeological discoveries indicate that the xunflutes and whistles dating to China’s Neolithic were primarily subsidiary tools used for trapping animals, possibly also tools for sending signals; in any case they had not yet become instruments that were exclusively used for playing music. This indicates that it is indeed possible that imitation of natural sounds took place in prehistoric hunting. The section »Ancient Music« (»Gu yue« 古乐) of the chapter »Almanac for the Second Month of Summer« (»Zhongxia ji« 仲夏纪) of The Annals of Lü Buwei (Lüshi chunqiu 吕氏春秋) records the legend of Sovereign Zhuanxu 颛顼 ordering flying dragons to compose music in imitation of the Eight Winds, naming them »Supporting the Clouds.« Hence, The Annals of Lü Buwei indicates that music originated from the imitation of natural sound. 2. The Theory Associated with Sex  Modern Western scholars have proposed a variety of hypotheses as to the origin of music. For instance, Charles Darwin argued that music originated from

Chapter I Prehistoric Music

birdsong. As is the case today, prehistoric animals commonly utilized their vocal utterances for courtship. The more beautiful the vocalization, the more attractive the animal might appear to its potential mate. Therefore, animals competed, trying their best to vocalize beautifully. The vocal utterances of animals, especially of birds, feature certain musical or rhythmic elements. Therefore, Darwin considered this kind of vocalization, a means for courtship, to be music before language, and that the songs of several prehistoric tribes were imitations of birdsong. His view is not only a further development in the theory of imitation, but also proposes the role of sex as the origin of music. In music handed down from generation to generation, songs about love between men and women account for a very large portion. The origin of such songs (and dances) can hardly be related to productive labor. 3. The Theory Associated with Alternating Sounds  Many people believe that art originated from the human desire to communicate emotions and thoughts. This can be called the theory associated with alternating sounds of speech or the theory of the origin of language—even though not all scholars agree. According to the American anthropologist Franz Boas, the vocalizations of animals are primarily indicators of emotions, and can only indirectly express certain meaning. In human language, it is likely that vocal utterances expressing emotions preceded those conveying meaningful content, while narrative expressions appeared even later. This does not mean that primitive vocal utterances formed the basis of mature languages; instead, they were probably early forms of communication. Lu Xun expresses a similar view in a passage on the origin of music in his »Literary Conversation Outside the Door« (»Menwai wentan« 门外文谈), from his anthology Essays Written in A Tingzi-Room in A Semi-Concession (Qiejieting zawen 且介亭杂文):

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Originally, our prehistoric human ancestors could not even speak. In order to labor together, they had to express their opinions and hence gradually developed complex voices. Imaging that a group of them once used to carry wood together. While all felt exhausted, no one came up with an expression for it except for one, who called out »hangyu hangyu« [杭育杭育, i.  e., a work chant similar to ›o-ho‹]. Now, that was an innovation. In the case that the call was acknowledged and utilized by the others, it was like they were published. If any marks that were used to record the call survived, they then became literature.

This passage indicates that »songs« emerged earlier than »poems«. The vocal utterance »hangyu hangyu«, which was completely in line with the tempo of labor, was a primitive song. After lyrics matching to it were composed, it would become a poem. It seems that Lu Xun thought that prehistoric music emerged prior to language as well. 4. The Theory Associated with Signals  The theory associated with signals is another concrete variation of the theory concerning the communication of emotion and thought. In his book, The Origin of Music, the German scholar Carl Stumpf (1848–1936) says that music originated from the vocal signals prehistoric people used to communicate with each other over a great distance. If such a vocalization lingered long enough, it became music. When several people of both sexes and various ages vocalized at the same time, they would produce an octave. When more people vocalized at the same time, they would produce consonant and dissonant intervals. Accordingly, the concept of pitch came into being. 5. The Theory of the Origin of Music in Labor  The theory that music originated in labor has had relatively great influence. Representatives of this theory include the Austrian musicologist Richard Valeschek (1860–1917) and the German economist Carl Wilhelm Bücher (1847–1930). The former explores the origin of music in his book

SECTION 1 DISCUSSION ON THE ORIGIN OF PREHISTORIC MUSIC

Primitive Music (1893), analyzing the war- and hunting-dances accompanied by strong rhythms performed by certain African indigenous peoples. The latter provides an in-depth study of the relationship between labor and music and ascribes the origin of music to the collective labor of human beings in his important book, Labor and Rhythm (Arbeit und Rhythmus, 1896), analyzing 287 labor songs across the world from the time of ancient Greece. Bücher points out that among indigenous peoples, each kind of labor is accompanied by its own kind of song, and the m of the songs are always precisely adapted to the rhythm of the specific production movements for that kind of labor. Ancient Chinese also noted cases in which songs originated directly from labor. For example, the chapter »Unofficial Biography of the Intrigues of Goujian« (»Goujian yinmou waizhuan« 勾践阴 谋外传) in the Spring and Autumn Annals of Wu and Yue (Wu Yue chunqiu 吴越春秋) records »The Song of the Slingshot«, which was allegedly composed in the era of the Yellow Emperor. Its lyrics are as follows: Chop bamboo, join bamboo [into a slingshot catapult], let earth [slingshot ammo] fly, chase down animals.

The content and form of this hunting song is relatively primitive. In few words it nearly describes the whole process of hunting, including the actions of chopping down bamboo, making a slingshot catapult, producing slingshot ammunition and chasing down birds and animals. As pointed out by Liu Xie 刘勰 in the chapter »Constants and Change« (»Tongbian pian« 通变篇) in his book, The Literary Mind and the Carving of Dragons (Wenxin diaolong 文心雕龙): »The song ›Chopping Bamboo‹ of the time of the Yellow Emperor’s is of the highest simplicity.« In an extremely plain way, it reflects labor in the prehistoric era of fishing and hunting.

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6. The Theory of Origin of Music in Magic  Some scholars argue that music originated from the prehistoric peoples’ practice of magic. Due to the limitations of their thinking and cognition, prehistoric humans did not only perceive the world in illusory and distorted ways, but also established equally illusory and distorted relationships between themselves and the world. As a result, they believed they could control the forces of nature through imitative (or »sympathetic«) and contagious magic, and that they could be blessed with the gifts of gods and spirits through religious means such as prayer. Arts such as music and dance originated from those magical and religious activities. 7. The Theory of Synthetic Origin  The origin of music and the origin of the arts is such a complex issue that one or two theories concerning a single origin cannot explain or even summarize all related phenomena. Compared with the conventional theories of single origin, the theory of synthetic origin is indeed more advantageous due to its comprehensiveness and objectivity. In view of the origin of music, various motivations indeed entangled with or intersected with each other. For example, rhythm, the most basic element of music and dance, ultimately originates with the biological and physiological rhythms (instinct) of human beings; however, it was often triggered and restricted by human social activities, so was mobilized, concentrated and promoted in social activities. Therefore, the viewpoint of synthetic origin is obviously advantageous. However, it is neither a simply unprincipled juxtaposition or synthesis, nor simple pluralism. This is due to the fact that, in practice, the interaction of individual factors cannot have been precisely equal: The effects of some of the factors may have been more direct, those of other factors may have been indirect, those of yet others may have been »ultimate.«

Chapter I Prehistoric Music

2. Studies on the Origin of the Forms and Elements of Music The above-mentioned presumptions regarding the origin of music primarily concern the sociological and psychological impetus for to the origination of music and other arts, in other words the ultimate motivations for prehistoric humans to create art. These can be regarded as an »external« dynamic. Music itself is a complex system, in which singing, dancing, and instrumental music all demonstrate both similarities and peculiarities; their origins indeed concern diverse specific circumstances. In addition, the composition and development of musical forms is due to internal causes, and hence demonstrates constituent elements. Therefore, it is also necessary to conduct thorough analytical research into the chronology of the emergence of these internal elements, the prioritization of their significance, as well as the process of their individual formation and development. Individual elements of music did not emerge simultaneously. In general, music is comprised of three elements: rhythm, melody, and harmony. Rhythm in music is defined both in a broader sense and in a narrower sense. Eduard Hanslick points out in The Beautiful in Music: A Contribution to the Revisal of Musical Aesthetics (Vom Musikalisch-Schönen: Ein Beitrag zur Revision der Ästhetik der Tonkunst): »The primordial element of music is euphony, and its essence is rhythm: rhythm in a broader sense as the concordance of a symmetrical structure; rhythm in the narrower sense as the regular alternating motion of individual units within the metric period.« Rhythm discussed in the present book is defined in its narrower sense, i.  e., the relationship between durations of notes organized by rhythms. Melody generally refers to the monophony of various independent musical tones, or in other words, the integral combination of various basic elements of music through mode, rhythm, and

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meter. It reflects the encompassing idea of music or at least the majority of notions. In a broad sense, harmony is the composition of individual sounds when they simultaneously occur in individual parts of a polyphony. Although harmony is one of the basic elements of music, its first appearance was very late. Its usage in Western music looks back on a history of merely (approximately) one thousand years. Allegedly, at the end of the 9th century, heterophony emerged in European music. In its earliest form, which was called organon, it involved two musical voices in parallel fifths or parallel fourths. Therefore, discussion of the origin of prehistoric music does not involve harmony. The late emergence of harmony indicates that the three elements of music did not appear simultaneously, as music first emerged among the chaotic and obscure sounds of nature, and they took their final forms in diverse ways during the long process of the formation of aesthetics and music. As mentioned above, harmony appeared last; while rhythm and meter were the first to emerged and be established as music—they were comparably easier to fix, and more stable. Of course, in the strictest sense, no form of »pure rhythm« exists in music. But the earliest music may have already included distinct rhythmic sounds, even though without distinct and stable pitch, let alone clear and beautiful melody. Such kind of music, which has no definite pitch and consists merely of rhythmic sounds, is still widely in use today. Many forms of instrumental music, for instance, involve only a few unpitched percussion instruments. Such instrumental music can be successfully played, and it is even able to express relatively rich content. This indicates that melody in music is separable from rhythmic sounds. Rhythm is relatively important for prehistoric music. In addition, it is important for prehistoric dance as well. This is evident in view of the musical instruments that have existed since prehis-

SECTION 1 DISCUSSION ON THE ORIGIN OF PREHISTORIC MUSIC

toric times, including drums, which are at present still the only musical instruments of most peoples who live off of hunting. The musical element that first emerged and was established was rhythm. Not only is rhythm separable from melody, but it could also have developed independently from melody. Before the formation of pitch and scale, rhythm emerged in prehistoric music and could have existed in a relatively well-defined and developed form. Musical rhythm originated from the biological and physiological rhythms of human beings, but rhythmic movement is not unique to human beings. The life activities of both animals and humans, such as breathing and sport, are restricted by their instinctive biological rhythms. It is not difficult to see that the activities of various higher organisms demonstrate certain rhythms, which are a basic feature of their movements. Although the tempo of their movements varies, resulting in a corresponding variety of rhythm, it is apparent that there are still regular rhythms in the variations of their movements. Presumably, music is one of the earliest forms of art created by human beings. Indeed, only human beings created such a splendid musical culture. However, in view of the trajectory of the emergence and formation of prehistoric rhythm and of prehistoric rhythmic instruments, the origin of human music may have been very early; in addition, it had its own independent development. It is likely that music is one of the earliest art forms inherent in human beings; it coexists with human beings. Therefore, its history is as long as the history of human beings. The emergence and formation of musical tones with definite pitches, in comparison to rhythm, may have been more difficult and gradual, and it is much more difficult to infer the entire process. How were distinct pitches formed and how did they form scales? Music historians can only investigate these questions on the basis of limited and relatively late archaeological findings.

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Since human beings live in particular social groups, all forms and tones of their melodies are doubtlessly based on certain customs—and meanings corresponding to those customs. Without such a basis, individuals would not be able to express their personal feelings. Those individuals who express their feelings in a way that is unfamiliar and incomprehensible to their fellow human beings will eventually be isolated from their society; therefore, a kind of melodious oral language that is in line with the development of social customs, collective living norms, and etiquette, came into being. In such a language, regular tone changes gradually solidified and concentrated during the process of the formation of social conventions. For example, many Asian and African languages have their own tonal systems (tonemes). Among them, the Han Chinese dialects have four to nine tones (or tonal variants), while Mandarin Chinese has four tones. At a certain stage in the development of melodious oral languages, more oral sounds diverged from the common tones of normal words to form tunes. The process inevitably went through the following steps: at first, only a few notes were in use, resulting in a one-note, two-note or three-note tune; later, accurate intervals and regular patterns were developed; much later, four or five notes were finally determined. During the first appearance, and development of, prehistoric instruments, distinct pitches gradually formed. This also contributed to the clarification and fixation of pitches in singing or speaking melodious oral languages. After the emergence of musical tones with distinct pitches during the long course of the development of music culture, musical tones of individual pitches gradually formed the musical systems that were cherished and commonly applied by various prehistoric tribes. Prehistoric musical instruments were commonly practical utensils, such as tools of production labor or daily utensils. It is difficult to identify such musical instruments merely according to

Chapter I Prehistoric Music

their shapes. For example, today, the Miao and Dong peoples in southern China are still known for their »shoulder pole dance« and »bench dance,« i.  e., they apply production tools or daily utensils such as the shoulder pole and bench in an ad hoc manner as musical instruments or dance props. In prehistoric times, human ancestors took wooden sticks, boughs or stones and beat them against each other to create rhythms. Since those wooden or stone tools were gripped as they were needed and discarded as soon as usage ended, it is difficult to identify remnants of such preliminary instruments today. In general, it is thought that percussion instruments were the earliest musical instruments to appear. The earliest percussion instruments may have been drums that were used for rhythm, according to convincing circumstantial evidence provided by ethnology: most indigenous peoples possess drum instruments; and sometimes, drums are their only instruments. In later times, the most common drums were those with membranes of animal hide. To produce such a drum, a hollow shell is made of materials such as wood, bamboo, clay, metal, etc.; subsequently, one or two of the ends of the shell are covered with drumheads made of animal hide, which is stretched taut and fixed to the shell by nails or ropes. Although this type of drum is classified as a »membranophone« according to its vibration source, it works in more than one single vibration mode. Its membrane vibration is coupled with the self-vibration of its drum shell, i.  e., it actually integrates two vibration modes (the self-vibration and the membrane vibration). In view of the sound-producing mechanism of instrument, the coupled vibration modes and the combination of different materials indicate that this type of drum was already a relatively complex instrument. A combination of the typology of musical instruments with anthropological materials indicates that the most elementary form of the drum was one with the fewest man-made components, i.  e.,

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materials closest to their natural state. For instance, the drum hit by a woman accompanying a dancing man among certain peoples in Australia can be nothing more than a kangaroo hide stretched taut between her knees. Furthermore, the drum of a Tasmanian can be a roll of animal hide. Obviously, these two drums are more primitive than the common drum type with shell and animal hide drumheads. They belong to a type of membranophone that works on a single vibration mode, instead of with a coupled vibration system. In Melanesia, a type of drum with a wooden frame to stretch animal hide was developed, forming an essential intermediate link in the evolution from the ideophone made of animal hide membrane and the later drum with a shell and animal hide heads. According to Chinese myth, the emergence of drums with animal hide membranes was very early. The following myth is recorded in the chapter »Classic of the Great Wilderness: East« (»Dahuang dong jing« 大荒东经) in the Classic of Mountains and Seas (Shanhaijing 山海经): In the East Sea, seven thousand li to the seashore, there is the Mountain of Flowing Waves. On the mountain there was a beast similar in appearance to an ox. It had a black coat, a single foot, but no horns. Once it appeared and went into water, it would storm and rain. Its glance looked like the sun and the moon, while its call sounded like thunder. Its name was Kui. After the Yellow Emperor had obtained it, he used its hide to cover the ends of a drum, which he beat with the bones of the Thunder Beast. His drumbeats could be heard at a distance of 500 li. As a result, he could wield his power over all under heaven.

This indicates a very early application of cowhide to cover the ends of drums. Prehistoric wind instruments were very crude as well. Several of the whistles and xun-flutes discovered in sites of Yangshao Culture, for instance, bear only one or two tone holes, and produce two or three simple tones.

SECTION 2 THE CHARACTERISTICS OF PREHISTORIC MUSIC AND ITS SOCIAL FUNCTIONS

Bamboo was widely used to produce musical instruments because it is widespread and easy to process. Many indigenous peoples have vertical (end-blown) flutes and transverse (side blown) flutes, some of which are mouth flutes and the others nose flutes. Horns and seashells as musical instruments are also relatively easy to obtain from nature. Therefore, such instruments emerged very early on, as well. It is generally believed that string instruments appeared relatively late, due to their complex materiality. However, several simple string instruments emerged in prehistoric times. The earliest string instruments may have been tendon or natural fibre strings that were stretched taut. One question concerning the origin of musical instruments is whether they appeared earlier than vocal music and dance. The archetypes and origins of certain prehistoric rhythmic instruments can be traced back to even before the emergence of human beings. Therefore, if the instrumental music of human beings did not appear earlier than vocal music, it must have appeared at the same time that vocal music emerged.

Section 2  The Characteristics of Prehistoric Music and Its Social Functions 1. Myths and Historical Records Myths and legends about prehistoric Chinese music are primarily recorded in the transmitted literature since the Zhou Dynasty, especially in Book of Documents (Shangshu 尚书), The Annals of Lü Buwei and Classic of Mountains and Seas, which preserve abundant records. In view of content, they reflect the close relationship between music and prehistoric productive life, such as hunting, gathering, animal husbandry and farming. Furthermore, they also reflect characteristics of the prehistoric era in view to art and spiritual life.

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For example, some myths and legends reflect the close association between prehistoric music and hunting life: When Sovereign Yao ascended the throne, he commanded Kui to create music. Kui thereupon made songs in imitation of the sounds of the forests and valleys, he covered fou-pots with milu-dear hides and beat on them, and he slapped stones and hit rocks to imitate the sound of the jade stone chimes of the Supreme Sovereign, with which he made the hundred beasts dance. Gusou, the Blind Old Man, took apart the five-string zither and made a fifteen-string zither, named »Great Emblem,« which was to be used in the worship of the Supreme Sovereign. (Section »Ancient Music« of the chapter »Almanac for the Second Month of Summer« in The Annals of Lü Buwei)

This passage presents a vague understanding of a reality determined by prehistoric and primitive thinking. Until the early modern period, animal worship was an important part of primordial nature worship, preserved by many peoples in the world and especially those peoples who lived primarily on hunting. Before and after their hunts, those peoples offered sacrifice to various animal gods. During their sacrifices, they played music and danced, dressed up as different animals, or imitated scenes from the hunt. They believed that those activities were not only the key to the success of the hunt, but that they served as training exercises as well as celebration after a successful hunt. Due to their close relationship to farming, some prehistoric myths and legends about music probably emerged after the invention of agriculture. For instance, a passage in The Annals of Lü Buwei reads: In the past, in the music performances of the Getian clan, three men waved ox-tails and stomped their feet while singing the Eight Stanzas, which were named »Supporting the People,« »The Dusky Bird,« »Cultivating Grasses and Trees,« »Invigorating the Five Grains,« »Strictly Observing Heaven’s Norms,« »Discerning the Accomplishments of

Chapter I Prehistoric Music

the Sovereigns,« »Relying on Earth’s Power« and »Summarizing the Ultimate Development of All the Animals.«

Getian was probably the head of a legendary clan or tribe. Among the »Eight Stanzas,« those such as »Cultivating Grasses and Trees,« »Invigorating the Five Grains,« and »Summarizing the Ultimate Development of All the Animals« reflect the hopes of those people who lived by prehistoric agriculture and animal husbandry. By means of music and dance characterized through prehistoric religion or magic, they sought for the blessings of their ancestors as well as of the heavenly and earthly gods and spirits for desirable harvests. Prehistoric music and dance are also associated with war, as recorded in the chapter »Five Vermin« of the book Han Feizi 韩非子. In the time of Emperor Shun, the Miao tribes would not submit… after teaching them the ways of good government for the following three years, [Shun] took up shield and battle-ax and performed the war dance. Thereafter, the Miao tribes sub­ mitted.

Why could the war dance with shield and battle-ax able to make the Miao tribes submit? A possible explanation is that by means of such a deterrent military exercise, Shun cowed the Miao tribes and brought them to heel without a fight. In addition, anthropological materials indicate that hunter-gatherers, like many later peoples, were fully aware of the military value of music.

2. Modes of the Existence of Prehistoric Music In generally, dance was the most direct, perfect, and powerful expression of the primitive aesthetic. Furthermore, prehistoric singing, music and dancing were often combined with each other. The unique feature of dance is the rhythmic coordination of the movements. Every indigenous dance, either mimetic dance or gymnastic dance,

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has its own rhythm. For instance, in the Oceanian corroborree dance, a male dance with accompaniment provided by women, a moderator sends out a signal to start the dance after all the participants are ready with their dance formation. Then he beats time with two sticks while the dancers keep pace to his beats. The women do not take part in the dance. They merely beat the kangaroo hide on their knees, singing in a drawling voice along with the rhythm of the dance. However, their words are always not only reversed or in disorder, but also grammatically incorrect and meaningless—the women can not explain it themselves. In this way, the dance commences. Its time is amazingly accurate, while the tones and the movements are perfectly in accord each other…. Therefore, indigenous music and dance are very closely combined with each other. Rhythm is the most important feature of indigenous dance. In their dances, indigenous peoples pay attention first and foremost to the rule that their movements are in strict rhythmic accord. In ancient Chinese literature, the concept of »yue« (乐) is very broad, referring not only to music and musical instruments, but also to dance and poetry. In the chapter »Record of Music« (»Yue ji« 乐记) in the Book of Rites (Liji 礼记), the concept »yue« is explained as follows: »Poetry gives expression to thought; vocal music prolongs the notes (of the voice); dance puts the body into action. These three things originate in the mind, and the musical instruments accompany them.« Poetry, vocal music, dance and music (instrumental music) are individual facets of yue. The above-cited Chinese myths of prehistoric music indicate that vocal music, dance and instrumental music were inseparable from each other at that time. Therefore, many scholars believe that music and dance share a common origin. Furthermore, there are many cases where songs consist primarily of instrumental music and secondarily of lyrics, a phenomenon that exists throughout the world. Sometimes, today, songs

SECTION 2 THE CHARACTERISTICS OF PREHISTORIC MUSIC AND ITS SOCIAL FUNCTIONS

are known for their melodies but not for their lyrics—because people do not understand the lyrics. Sometimes, lyrics themselves are meaningless syllables, typically at the end of strophes. This explains why there are songs without lyrics all over the world. In his book The Beginnings of Art, Ernst Grosse also argues that indigenous peoples’ poetry attaches importance to music and meter. Every indigenous lyric poet is at the same time a composer, while every indigenous poem was not only a poetic but equally a musical work. To the poet, the words of the song may have a sense of their own, but to others they are in most cases only bearers of melody. In fact, poets seldom have the slightest hesitation in sacrificing the sense of a song to the form. Many Australians can give no information concerning the meaning of the songs of their own home, because more importance is ascribed to the measure and quantity of the syllables than to the meaning. Music plays an important role in the poetry of indigenous peoples. In order to maintain their poetic forms and make the words rhyme, the poetries of many indigenous peoples have been elaborated in ways that they are hardly recognizable anymore. Therefore, they primarily have a musical character and only secondarily a poetic meaning.

3. Social Functions of Prehistoric Music Prehistoric music was as practical as the other prehistoric art forms but demonstrated certain differences as well. After all, music has neither a definite figure nor does it express a definite meaning. Therefore, the practicability of music is different from the other art forms. But the difference is limited at any rate. Prehistoric music fulfilled numerous social functions, the primary ones of which will be briefly introduced below.

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1. The Communicative Function of Primitive Music This function is associated with the relationship between »music« and »language.« According to Spencer, music is a special language used in emotional excitement. This indicates that language and art, the two major symbolic systems of human beings, are closely related in view of their origins; and art, as an independent symbolic system, gradually differentiated itself from prehistoric communicative activities. Furthermore, ancient Greek mythology ascribes the invention of musical instruments to Hermes, the long-legged and fast-running herald of the gods. He was not only the inventor of letters, numbers, musical instruments and sports, but was also responsible for communication among gods and spirits as well as between the world of the living and the world of the dead. This implies that musical instruments were also a kind of communication tool between gods and men. The wooden drums of some peoples were first and foremost a means of communication. The wooden drums of the Wa 佤 people, for instance, were used to send alarms, assemble their members, convey messages, etc. The drumbeats varied depending on the events. Whether conveying a fire alarm or a headhunter alert, the drumbeats appeared relatively hasty, changing their frequency and intensity repeatedly. While disseminating the message that the headman is calling a meeting, the drumbeats would sound like alarms—in a much gentler way, however. Furthermore, drum music developed from a tool of general communication to one of communication between gods and men. For instance, the »drum community« of the Miao people in Guizhou 贵州 is a clan group that sacrifices to the same ancestral drum. Excluded from daily usage, this community drum is preserved for occasions of a sacrifice or a battle, when the devotees were to be assembled. More precisely, it could not be played until the sacrificial gifts had been prepared. Originally, the wooden community drum was an idiophone. Later, it was replaced by

Chapter I Prehistoric Music

a drum with two ends made of animal hide. One of those ends was used to convey messages to the clan members, while the other was exclusively used in sacrificial activities, producing beats offered to ancestors. In Taijiang 台江, in Guizhou Province, the drumbeats accompanying the »trampling the drum« dance, a dance performed to worship the ancestors, are allegedly in imitation of the pecking sounds of woodpeckers—even if they are more than simple imitation. Besides drums, there are further instruments that are frequently used to deliver specific signals. For instance, whistles, horns, trumpets, etc., are used to convey signals known as »whistled language« (»shaoyu« 哨语). The Nu 怒 people in China had the custom of blowing bamboo trumpets to announce deaths. The number of the trumpets applied would indicate the identity of the deceased: one trumpet indicated that the deceased was unmarried, two indicated that the deceased was married; five or six that the deceased was either old or was a chieftain. Upon receiving the notice, members of the tribe would come to mourn the dead with eggs. The blowing of whistles and horns to convey such signals was replaced by flintlock shots after the latter were introduced. 2. The Religious and Entertaining Functions of Prehistoric Music In the strict sense, an object could not be regarded as a prehistoric musical instrument until it was exclusively used for playing music. However, prehistoric musical instruments, similar to prehistoric music itself, were seldom applied for pure art. They were often used for several interwoven purposes and entangled with other artforms. For instance, as mentioned above, prehistoric music created by wooden drums, a kind of idiophone, had a close relationship with productive labor. Obviously, musical activities during labor were often aimed at entertainment. Due to their low development level for productivity, prehistoric human beings could not rid

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themselves of the feelings that they were heavily oppressed by natural forces. As a result, they developed a sense of mystery and fear toward the supernatural. Imagining that they could use and control such supernatural forces to rid themselves of the difficulties that they encountered in reality, they deified and worshiped natural forces and natural objects. This was the original religion. Prehistoric religion did not only have an immense influence on the production and life of prehistoric humans, but also had a comprehensive and profound impact on the development of prehistoric art. Prehistoric religions probably began without any masters of magic. With the development of religious magic, rituals increased, which gradually produced some »efficacious« sacrificial masters, who may have been at the same time clan heads or tribal chieftains. Professional magic masters or »sorcerers« may have appeared later. In general, the ethnic minorities in China have their own sacrificial masters, such as the bimo (毕摩) of the Kucong 苦聪 people, the jiaoqi’ai (教气艾) of the Wa people, the dongsa (董萨) of the Jingpo 景颇 people, the bimo of the Yi 彝 people, the dongba (东巴) of the Naxi 纳西 people, the shaman (saman 萨满) of the Oroqen (Elunchun 鄂伦春) people, the shigong (师公) of the Zhuang 壮 people and so on. There are also female masters as well, such as the witches of the Dai 傣 people, the female shamans of the Oroqen people, the jinpo ( 禁婆) of the Zhuang people, etc. They claim to be able to communicate with gods, to predict weal and woe, to heal people, to escort souls to their abode, and organize various religious activities using sorcery, sacrifices, and liturgical paraphernalia. The activities of these masters are associated with various aspects of culture, medicine, history, and so on. Furthermore, historical magic masters created writings for the purpose of documentation. The main indigenous writing systems of the Chinese ethnic minorities, such as the Yi script of the Yi people and the pictograms of the

SECTION 2 THE CHARACTERISTICS OF PREHISTORIC MUSIC AND ITS SOCIAL FUNCTIONS

Naxi people, are mastered by their sorcerers, i.  e., the bimo and the dongba, respectively. Most of the sorcerers are also good at singing and dancing. For instance, the sorcerersof the Tujia 土家 people are called tima (梯玛), which means dance leader, indicating that they are among others the core members of cultural and artistic activities. In many of the activities of indigenous religions, such as midwifery, naming, rites to adulthood, weddings, and funerals, the sorcerer often narrates (sings) the history of the clan and its migrations. They are able to recite the clan genealogy and tell important historical events. In this way they preserve and accumulate much cultural knowledge, historical legends, and works of traditional music and dance. Some of them are able to perform imitative spectacle as well, as indicated by the example of the sorcerers of the Lhoba (Loba 珞巴) people in Longzi County in Tibet: When such a sorcerer is dancing to the deities (tiaoshen 跳神), he wears a tiger fur cap with a yellow eagle’s wing plugged into it; a tiger fur garment; yellow eagle’s tail feathers, which are tied with red, yellow and blue threads over the garment; and a knife, the scabbard of which is tied with a yellow eagle’s scalp at his waist. Originally, as the Lhoba people hunted tigers, the one who rushed as the vanguard obtained afterwards a cap made of the fur of the hunted tiger for his heroic deed. Their sorcerer thus imitates the hunter to show that he likewise has extraordinary powers to ward off evil spirits and protect people. The custom of sorcery flourished in the ancient Chu Kingdom, and the status of the sorcerers there was much higher than that in the other nations of the Central Plains. Hence, the chapter »Discourses of Chu II« (»Chu yu xia« 楚语下) in the Discourses of the States (Guoyu 国语) mentions that, in the Chu kingdom, »Men and gods are mixed with each other so that it is impossible to distinguish them from each other, everybody presents sacrificial offerings, and every household has its scribe of sorcery.« And the section »Extravagant Music«

22

(»Chi yue« 侈乐) of the chapter »Almanac for the Second Month of Summer« in The Annals of Lü Buwei states: »When Chu was in decline, the tones of sorcery were created.« Volume two of the Variorum of the Songs of Chu (Chuci jizhu 楚辞集注) by Zhu Xi 朱熹 of the Song 宋 Dynasty also confirms: »In the past, the folk custom in the Chu towns in the south of Ying between the Yuan River and the Xiang River was characterized through the belief in ghosts and a keenness for sacrifice. Whenever they performed a sacrifice, they obliged themselves to make sorcerers play music and entertain the gods by singing and dancing.« Prehistoric music had the marvelous functions of interpersonal communication as well as communication between men and gods, which made for extraordinary character of music and was the reason why music was respected and worshiped. There were various forms of mysterious worship of drums in the pre-Qin Period. For instance, all the temples of the God of the Soil and the ancestral temples at that time were equipped with special drums, which were used to eliminate disasters caused by the sun and the moon as well as those caused by fire and water. For example, the chapter, »The 17th year of the Reign of Duke Zhao« (»Zhaogong shiqi nian« 昭公十七年) in the Zuo Tradition (Zuo zhuan 左传) quotes the following passage from the Xia Documents (Xia shu 夏书): When the heavenly bodies do not settle in their proper places (comment of Du Yu: Ji 集 means »to settle«; fang 房 means »lodging.« If the sun and the moon cannot settle in their proper places, then they will be »eaten«), the blind musicians strike the drums, the district officers hurry about, and the commoners run.

This means that once the sun or the moon was »eaten,« i.  e., when a solar eclipse or a lunar eclipse took place, those gu 瞽 (blind musicians) beat drums to rescue it. Drums were also used in religious and magical activities such as offering sacrifices to ancestors, to various ghosts and

Chapter I Prehistoric Music

gods, as well as warding off epidemic and pestilence—this is called »to stimulate [the people] by drum and dance, thereby completely developing the spirit-like [character of the Yi]« (from the chapter »The Great Treatise« in Book of Changes). In the Spring and Autumn (Chunqiu 春秋) Period, a remnant of the prehistoric custom called the »Consecration of Drum with Blood« (xing gu 衅 鼓), i.  e., to make a human sacrifice to consecrate a drum, still prevailed. This custom appears to be the mirror image of a custom of the Wa people, who consecrated a drum with a hunter’s head. This reflects the close relationship between prehistoric religion and drum music.

Section 3  Archaeological Findings of Ancient Chinese Musical Instruments 1. Percussion Instruments Archaeological evidence indicates that drums with animal hide membranes appeared in China, at the latest, in the late Neolithic. Transmitted literature about prehistoric China mentions another kind of drum that is called the »earthen drum« (tu gu 土鼓). For instance, a passage in the chapter »The Places in the Bright Hall« (»Mingtang wei« 明 堂位) in the Book of Rites reads: »Earthen drums with clods for drumsticks and flutes made of reed pipes produce the music of [the Lord] Yiqi.« A passage in the section on »Ancient Music« in the chapter »Almanac for the Second Month of Summer« in The Annals of Lü Buwei reads: »Cover earthenware tubs with milu-dear hides and beat on them«. In addition, sources such as the »Biographies of Lian Po and Lin Xiangru« (»Lian Po Lin Xiangru liezhuan« 廉颇蔺相如列传) in The Grand Scribe’s Records (Shiji 史记) also mention that »beating the fou-pot« was part of the music made by the Qin 秦 people. This indicates that, in ancient China, there were earthen drums which

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were either idiophones made of clay (fou-pots) or membranophones composed of fou-pots covered with animal hides. In 1958, 14 pottery drums were unearthed at the Houzhuangwang 后庄王 site dating to the late phase of Yangshao 仰韶 Culture in Zhengzhou 郑 州, Henan Province. In addition, pottery drums of the Yangshao Culture were also unearthed at the Dahe Village site in Zhengzhou, the Dazhang site in Linru County and the Zhugang site in Neixiang County (Fig.  1.1.1). The pottery drum from the Zhugang site is dated to the late phase of Yangshao Culture as well. Its surficial pattern of painted willow leaves is similar to that of the painted potteries of the Miaodigou 庙底沟 type of the Yangshao Culture in Henan Province. Its red pottery shell is made from clay. One of its ends has the shape of a trumpet and its body the shape of a barrel. The joint between the trumpet-shaped end and the drum body is decorated with a belt of tooth-shaped protrusion. The drumhead has the shape of a pen-basin (pen 盆), the bottom of which bears a hole that leads to the drum body’s hollow interior. The exterior of the drum body is decorated with a dark brown, irregular geometric pattern that is shaped as willow leaves. Eight alligator drums (tuogu 鼍鼓) dating to the early period of the Taosi 陶寺 Culture were discovered in tombs of the Taosi site of Xiangfen County in Shanxi Province. The drums from individual tombs are more or less regularly shaped, with tubular shells. As the drumheads were covered with hides, the overall shapes of the drums was cylindrical. Because the drum shells consist of natural tree trunks that were barked, hollowed, dried, and painted on their exteriors, the cylindrical shapes of their shells do not have consistent diameters. In most cases, the upper parts are narrower than the lower parts. Chime stones must have been a very old type of musical instrument. During the long Stone Age, both the most important tools of production and the most powerful weapons of men were made

SECTION 3 ARCHAEOLOGICAL FINDINGS OF ANCIENT CHINESE MUSICAL INSTRUMENTS

1.1.1  Pottery drum from Zhugang in Neixiang County, Henan Province

of stone. Therefore, the creation of chime stones most likely took place very early. The first ancient stone that was percussed perhaps was simply a piece of stone that looked ordinary but sounded melodious. It would have maintained its original and natural appearance, except possibly for simple cuts and polish made by our human ancestors. After a long period of time, human ancestors finally invented the technique of drilling holes into stone, which brought a significant improvement in the development of chime stones and provided clear signs for the modern eye to identify prehistoric chime stones. Drilled chime stones could be suspended by a string to be percussed. More importantly, in that way, the whole body of individual chime stone could vibrate freely. Its sound production was no longer affected by the support provided by hand, which lead to a great improvement in the overall timbre and volume of the sound. Therefore, the appearance of their suspending holes indicates that chime stones achieved a great leap in the

24

function of sound production, and clearly marks that they had already become a musical instrument specifically made by men. The earliest chime stones (single-piece chime stones) known are all relatively large. For example, the single-piece chime stone unearthed from M3002 at Taosi, a piece belonging to the early type of those discovered at Taosi in Xiangfen County, Shanxi Province (Fig. 1.1.2), is made of hornfels, has the shape of a convex pentagon with a length of 95  cm, a height of 43  cm, and a thickness of 1.2–5.1  cm. Another single-piece chime stone unearthed from  a site at the Nansong Village in Wenxi County, Shanxi Province, dates from the late phase of Longshan 龙山 Culture. It is shaped like a whale’s head. It is 83.3 cm long, 33.3 cm high and 2–8 cm thick. These two chime stones were chipped out of natural stone slabs. Their surfaces are rough and uneven, and their thicknesses inconsistent, indicating that their craftsmanship was relatively primitive. Dozens of rattles made of turtle shells, circa 7,000 to 5,800 years old, were unearthed in 1987 at the Jiahu site in Wuyang County, Henan Province. They were often buried in groups of six or eight in tombs. In most cases, each rattle in situ consisted

Chapter I Prehistoric Music

of a carapace and a plastron that were buckled together. The joint of the carapace and the plastron was equipped with a number of perforations that were used for binding them together. The interior of each rattle was filled with small pebble stones of different colors and numbers, which were able to be rattled to produce sounds. There are numerous Neolithic pottery rattles that have been discovered. Commonly, they are spherical or hemispherical in shape, hollow, and filled with pottery balls or pebble stones. They can be rattled to produce crashing sounds. Such rattles have been unearthed in both the Yellow River Basin and the Yangtze River Basin. Examples include the rattle discovered in a tomb at Jiangzhai, dating to the second phase of Jiangzhai Culture in Lintong County, Shaanxi Province; the pottery rattle of Yangshao Culture unearthed at Yelinsigou in Qingyang, Gansu Province; and the pottery rattle of Dawenkou Culture unearthed at Donghaiyu in Rizhao, Shandong Province (Fig. 1.1.3). The earliest pottery clapper-bells that have been hitherto discovered date to the late phase of Yangshao Culture, around 6,000 years old. All the prehistoric cultural systems in the Yellow River Basin, including Majiayao 马家窑, Yangshao,

1.1.2 Single-piece chime stone from M3002 at Taosi, Xiangfen County, Shanxi Province

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SECTION 3 ARCHAEOLOGICAL FINDINGS OF ANCIENT CHINESE MUSICAL INSTRUMENTS

1.1.3 Pottery rattle from Donghaiyu in Rizhao, Shandong Province

Dawenkou, and Longshan, have produced pottery clapper-bells; while among the prehistoric cultural sites in the Yangtze River Basin, merely the third phase of the Qinglongquan site (belonging to the Longshan Culture of the Hubei Province) produced one such clapper-bell. Almost all these clapper-bells are made of fired clay, except for one specimen made of pure copper (red copper), which was unearthed in Xiangfen County, Shanxi Province, in a tomb dating to the late phase of the Taosi Culture. Those pottery clapper-bells unearthed at Miaodigou in Shaanxian County, Henan Province, for example, are called the Miaodigou type. This type, which is hand-molded from fine, red clay, is characterized through a round shank, elongated and cylindrical body, solid upper body, hollow lower body, as well as a flat mouth. The shoulders of each clapper-bell are equipped with two symmetrical, oblique holes that lead to the hollow interior. These holes were probably used for the suspension of a clapper. The pottery clapper-bell from Shijiahe 石家河 in Tianmen, Hubei Province (Fig. 1.1.4), is part of the cultural remnants of the Shijiahe Culture within the period of the Longshan Culture. It was exca-

vated at the Sanfangwan 三房湾 site in Shijiahe in Tianmen County in 1956. Made from orange-red clay, it has a small size, an oval body that tapers from the shoulders to the foot, a cross section of the wall of the body in a trapezoidal shape, as well as a slightly flared mouth.

1.1.4  Pottery clapperbell from Shijiahe in Tianmen, Hubei Province

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The shapes of the pottery clapper-bells of the Central Plains evolved from the oval shape to the shape of two clasped barrel tiles in the middle phase of the Longshan Culture in Henan Province. The latter shape, which was widely adopted to produce bronze instruments such as bells that were called yong 庸 or zhong 钟 during the Shang and Zhou dynasties, provided the necessary conditions for the combination of ancient Chinese bells into sets that produced melody and for the feasibility of playing two notes on one bell. The pottery yong-bell (Fig.  1.1.5) unearthed in Keshengzhuang 客省庄 in Chang’an, Shaanxi Province was part of Longshan Culture. It is handmolded from grey clay. It has a straight, rounded shank, a square body, flat shoulders and a flat mouth. Its shape is close to that of the yong-bells of the Shang Dynasty. While playing it, one held the shaft and percussed the body. This yong-bell is a unique prehistoric specimen.

1.1.5 Pottery yong-bell from Keshengzhuang in Chang’an, Shaanxi Province

Chapter I Prehistoric Music

2. Wind Instruments So far, prehistoric whistles and flutes that have been archaeologically discovered in China are all wind instruments (aerophone) that use edges on their pipes as activators of tones. Made of bone, horn, stone, or pottery, they are more stable and durable than bamboo and wood and have therefore been preserved, although the latter materials were easier to process. The main distinction between a whistle and a flute is the number of finger holes (tone holes). Prehistoric whistles that are archaeologically discovered include primarily the following types: (1) Single-tone-hole pottery whistles, specimens of which include a pottery whistle of the Qijia 齐家 Culture (Fig. 1.1.6), which was unearthed in 1963 at Baoziping, Fengshan Village, Xingguo Township, Qin’an County, Gansu Province. The whistle is made from fine red clay that has an earthy yellow hue. It is in the shape of a lamb with a large tail and a hollow belly. The styling of the body is simple and elegant. The tail bears an embouchure hole and the back bears a tone hole. The two holes go diagonally into the body and meet inside it. The surface of the body is smooth and covered with painted red dots. (2) Pipe whistles with holes. Part of the specimens have single holes in the middle of pipe shafts. These include the bone whistle unearthed in December 1979 from tomb no. 54 at the Shigu 石固 site dating to the second phase of the site, which belongs to the Neolithic Peiligang 裴李岗 Culture, in Changge, Henan Province. Part of the specimens have single holes that were drilled below the middle of the shafts or towards one end. These include the bone whistle unearthed at the Meiyan 梅堰 site, belonging to the late phase of the Majiabang 马家浜 Culture, in Wujiang city, Jiangsu Province; as well as the bone whistle unearthed at the Dahezhuang 大河庄 site, belonging to the early phase of the Qijia Culture, in Yongjing, Gansu Province. In view of these specimens, it is possible that the hole in the shaft of individual pipes was used as

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SECTION 3 ARCHAEOLOGICAL FINDINGS OF ANCIENT CHINESE MUSICAL INSTRUMENTS

1.1.6 Pottery whistle from Baoziping, Qin’an County, Gansu Province

the embouchure hole, while the holes at both ends were used as the tone holes. In this way, different tones were produced due to the discrepant lengths between the embouchure hole at either end, just the way it works with wind instrument tuliang (吐 良) wind instrument of the Jingpo peoples today. The remaining part of specimens have two or three finger holes in the shafts of their pipes. These include the bone whistle unearthed from the fourth cultural layer of the Hemudu 河姆渡 site in Yuyao, Zhejiang Province. (3) Whistles with pistons. Inside the shaft of each of these whistles, there is a piston which can be pulled back and forth to change the length of the air column in the shaft. For example, the bone whistle unearthed from the fourth cultural layer of the Hemudu site in Yuyao, Zhejiang Province, is made of a bird’s limb bones. The lower part of its shaft is fragmentary, while the upper part is equipped with a round finger

hole. The canal of the shaft is inserted by a bird’s limb bone, which may have served as a piston to change the pitch. Simulated test blowing of several bone whistles indicates that these specimens have high pitches. However, the structures of their tone rows are not regular. It seems that they did not become pure musical instruments yet but must have been primarily a kind of auxiliary hunting tools for trapping animals, some of them perhaps worked as signal tools as well. Of course, they also could have been used in daily games and for entertainment. Each specimen of the prehistoric flutes that are known uses the edge on one end of its pipe as tone activator. Therefore, all were played in an upright position (vertical flutes). But compared with whistles, flutes have more finger holes on their shafts. In the development of prehistoric musical instruments in China, the earliest and most important

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Chapter I Prehistoric Music

1.1.7 Bone flute from Jiahu, Henan Province

discovery so far is a number of bone flutes with multiple tone holes unearthed in recent years from Neolithic sites such as the Jiahu 贾湖 site in Wuyang, Henan Province. According to the newly published materials, a total of 26 Neolithic bone flutes, 25 of which from the Jiahu site and one from the Zhongshanzhai 中山寨 site in Linru, have been unearthed in Henan Province. They all were discovered from sites belonging to the Peiligang Culture. The earliest of them are around 9,000 years old. Although they are older than the above-mentioned pottery xun-flutes or bone whistles, they outmatch them in view of shape and function. It is likely that they represent a relatively developed form of pitched instrument. A total of 25 specimens of bone flutes were unearthed between 1986 and 1987 at the Jiahu site, a Neolithic site of the Peiligang Culture. Among them, 17 are complete, six are fragmentary, while the remaining two are semi-finished (Fig.  1.1.7). Discovered in tombs, these flutes were mostly placed on either side of the thighbones of the tomb

occupant, respectively. Those tombs also yielded turtle shells bearing carved primitive writing; many production tools and daily utensils made of pottery, stone and bone; decorative items; and religious objects. These flutes are made of the ulnas of red-crowned cranes with the bone joints cut off at both ends, respectively. In line with the natural shapes of the limb bones, each flute is thinner in its middle part and gradually enlarged toward either end. The tone holes were drilled in a line in the middle part of each flute. The existing bone flutes demonstrate already a relatively fixed shape and their production followed a certain standard, i.  e., most of them bear seven tone holes, while only a few bear five, six, or eight holes. Many bone flutes bear traces of carved markings made before drilling, indicating that a certain design standard existed prior to the drilling. Sometimes, the initially carved marks were replaced by new marks, as indicated by several bone flutes, on which traces of both the initially carved marks and the subsequently modified ones are still

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vaguely discernible. This demonstrates that the creation of the tone holes was preceded by certain conception and requirement, underwent seemingly careful calculation, and complied likely with certain theoretical or practical conclusions. Some of the bone flutes bear additional small holes that were likely used to further tune the pitch. Only two specimens of bone flute were unearthed from sites dating to the early phase of the Jiahu Culture (7,000–6,600 BCE). One of them, M341:1, bears five tone holes, which can generate the tones G5, A#5, C6, D#6, G6, and C7. The other specimen, M341:2, bears six tone holes and can generate the tones A#5, C6, D6, F6, G6, A#6, and D7. These two series of tones form a tetratonic scale (G5, A#5, C6, D#6, G6, and C7 with D#6 as the middle note) and a complete pentatonic scale (A#5, C6, D6, F6, G6, A#6, and D7 with # A5 as the middle note), respectively. 14 specimens of bone flutes were unearthed from sites dating to the middle phase of the Jiahu Culture (6,600–6,200 BCE). Each of them bears seven tone holes and can produce a hexatonic or a heptatonic scale. Two of the specimens, M282:20 and M282:21, were buried in a tomb dating 7,800–7,700 years ago. Specimen M282:20 has a full length of 22.2 cm and is 1.1–1.7 cm in diameter. It bears seven ordinary tone holes at intervals of 1.7–1.9 cm from

SECTION 3 ARCHAEOLOGICAL FINDINGS OF ANCIENT CHINESE MUSICAL INSTRUMENTS

each other. Each hole has a diameter of 0.4 cm. A smaller hole was drilled, if counted from the top, between the sixth and the seventh ordinary tone holes, and closer to the latter. Its diameter is only one third of that of the big tone holes. Analytical and comparative studies indicate that the seventh ordinary tone hole alone generates the tone G#5, while both the small hole alone and its combination with the seventh ordinary tone hole generate the tone A5. Therefore, it has been speculated that during the creation of the flute concerned, while the seventh ordinary tone hole was drilled in too low a position, the small hole was additionally drilled as a tuning hole. A tone test team from the Institute of Musical Research of the Chinese National Academy of Arts and the Wuhan Conservatory of Music have tested the tones of this bone flutes with a Stroboconn. The flute was test played, according to its shape and inspired by the playing method of the vulture bone flutes of several Chinese ethnic minorities in later times, at an angle of 45 degrees between the pipe and the lips. In order to avoid the subjectivity in the individual control of the respiratory air, two persons test-played an ascending and a descending scale, respectively. The official conclusion is that this bone flute is capable to generate at least a heptatonic scale, or perhaps even a complete heptatonic scale of the ancient xiazhi 下徵 key:

The 7th Lowest note (tongyin hole 筒音 or ro, created by playing a flute when all tone holes are closed)

The 6th hole

The 5th hole

The 4th hole

The 3rd hole

The 2nd hole

The 1st hole

A5 (jue 角)

B5

C6

D6

E6

F#6

A6

F#5

zhi 徵

yu 羽

run 闰

gong 宫

shang 商

jue 角

zhi 徵

hexatonic scale of the qingshang 清商 (a semitone higher than the shang 商) key

shang 商

jue 角

he 和

zhi 徵

yu 羽

biangong shang 变宫 商

heptatonic scale of the xiazhi 下徵 key

Or G5 (gong宫)

Conclusion

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The data of the test play indicate that the tones of this bone flute, dating back to approximately 8,000 years ago, do not only have distinct pitches, but also degrees that can form a heptatonic or heptatonic scale. As a melodic instrument with excellent properties, the flute is an important benchmark in the development of prehistoric Chinese’ knowledge of music theory. Alone the tone rows generated by this bone flute already contain various intervals, including octave, sixth, fifth, fourth, minor third, major third, minor second, and major second. The production process of the flute, including its design before and after the drilling of its holes, the modification of the carved markings, and the small tuning hole, amply demonstrates that the human ancestors may have already developed relatively high-level concepts of pitch and intonation, and had a certain standard for a system of music theory. The two possible arrangements of scales created by the bone flute exist in Chinese traditional music in later times as well. It is possible that they were the archetype and basis of the scale arrangement of ancient vertical wind instruments. Xun Xu 荀勖 of the Jin 晋 Dynasty pointed out that, »It is an ancient tradition that the jue tone is to be generated by a flute pipe [that has all its tone holes closed]« (角声在笛体中，古之制也, from the »Treatise on Pitch Pipes and the Calendar« in the Book of Jin). If the flute pipe tone in his notion refers merely to the lowest note (tongyin or ro), it would be revealing that the test results of the lowest notes of many other bone flutes are similar to the jue tone, because this would prove that the scale of the qingshang key with the jue tone as the lowest note originated at an extremely early time. The unearthed musical instruments indicate that the scale of the xiazhi key existed already in the pre-Qin Period. Furthermore, according to the »Treatise of Music« in the History of Liao (Liao shi 辽史), the ten-character musical notation of the gongchi type (gongchipu 工尺谱) used for the vertical wind instruments in the Grand Music

Chapter I Prehistoric Music

(dayue 大乐) of the Liao Dynasty corresponds to this scale as well, except for the two notes of liu (六) and gou (勾) on the backs of the instrument pipes. Seven bone flutes have been unearthed from sites dating to the late phase of the Jiahu Culture (6,200–5,800 BCE). Most of them bear seven holes, and can generate a complete heptatonic scale. One of the flutes bears eight holes and can generate heptatonic scales—even those of different tonic pitches—as well as several chromatic tones beyond those scales. A noteworthy phenomenon is that one tomb yielded two bone flutes, which was represented in all the three phases of Jiahu Culture (e.  g., tomb M341 dating to the early phase; tomb M344, M282, M233, M270, and M78, dating to the middle phase; and tomb M253, dating to the late phase). Why are these bone flutes unearthed from Wuyang much more developed and improved upon than those pottery xun-flutes and pottery whistles of the Yangshao and Longshan Periods in terms of their performative properties and scale systems, although the former date much earlier than the latter? It may be due to the uneven development of music in individual tribes, but it is more likely due to the diversity of the types of musical instruments that have been preserved. The whistles and the flutes represent an initial stage and a relatively developed stage of the pitched instruments, respectively. The bone flute unearthed from the lowest layer of the Neolithic site at Zhongshanzhai in Ruzhou, Henan Province, is 7,790–6,955 years old. The site belongs to Peiligang Culture, which dates to the earlier part of the middle phase of the Neolithic in central China. The bone flute is 15.6  cm long and 1.1–1.3 cm in diameter. It has a smooth surface and demonstrates meticulous craftsmanship. It is perhaps also made of a crane’s limb bone with the bone joints cut off at both ends and the bone shaft drilled. The relatively small intervals between its tone holes indicate that the techniques of blow-

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SECTION 3 ARCHAEOLOGICAL FINDINGS OF ANCIENT CHINESE MUSICAL INSTRUMENTS

1.1.8 Pottery xun-flute from Banpo, Xi’an, Shaanxi Province

ing it may differ from those used to blow the bone flutes of Jiahu. Numerous prehistoric xun-flutes distributed across the vast region of China have been archaeologically discovered. Their discovery sites are primarily located in the middle and lower reaches of the Yellow River, i.  e., in Shaanxi, Shanxi, Henan and Shandong provinces. The remaining discovery sites are located in the lower reaches of the Yangtze river, i.  e., in Zhejiang, Jiangsu and Anhui Provinces. All of those specimens that have been published are made of pottery. The earliest of them are six or seven thousand years old, including one specimen, which was discovered in the fourth cultural layer of the Hemudu site in Yuyao and dates to the early phase of the Hemudu Culture, Zhejiang Province; one specimen (Fig. 1.1.8) unearthed from a site of the Banpo 半坡 type of the Yangshao Culture in Xi’an, Shaanxi Province; etc. Six specimens, which have been tested in terms of their tones, are briefly described as follows: (1) A specimen of Banpo, Xi’an, is hand-molded from grey clay. It has a shape like an olive stone, a polished surface, and a tubular interior cavity that

opens at both ends. (2) A specimen unearthed at the Wazhaxie 瓦渣斜 site of the Yangshao Culture in Wanrong, Shanxi Province, has an ovate shape, a flat bottom, and a round tone hole at its waist. (3) Another specimen unearthed at Wazhaxie has a spherical shape and a waist bearing two finger holes side by side. (4) A specimen discovered at the Taosi site in Xiangfen, Shanxi Province, belongs to the Taosi type. It has the same shape as the last specimen, but its two tone holes are located above its waist. (5) A specimen unearthed at Tongliu, Weishi County, Henan Province, belongs to the Longshan Culture of Henan Province. It approximates a flat oval in shape. Either shoulder has a concavity on it and bears a circular finger hole. Its embouchure hole is located in the protrusion between the two finger holes. (6) A specimen unearthed at the Longshan Culture site in Yijing Village in Taiyuan, Shanxi Province, has an oval shape, a flat bottom, and a waist bearing two finger holes side by side. The six specimens can produce tones that share an interval, i.  e., the imperfect consonance of a minor third, with which the remaining notes

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form natural intervals of consonance, imperfect consonance, or dissonance. This indicates that these specimens are tuned according to a certain primitive diatonic or tritonic mode, and that the minor third resembles an embryo or a core of the mode. Although records on horns among ancient Chinese literature were created relatively late, a number of prehistoric pottery horns have been archaeologically discovered. For instance, a pottery horn was unearthed from a tomb at Jingjiabao, belonging to the Miaodigou type of the Yangshao Culture, in Huaxian County, Shaanxi Province. It is hand-molded from coarse gray clay and has the shape of a horn with its tip cut off. The rims of the mouths at its upper and lower ends are flat. The wall at the mouth of the larger end bears two holes. As it was discovered, it was placed on the upper left side of the skeleton of the tomb occupant. Another pottery horn was unearthed from a tomb at Lingyang River, dating to the late phase of the Dawenkou Culture, in Juxian County, Shandong Province. Its shape resembles the last specimen but demonstrates a much larger degree of curve. Hand-molded from brown sandy clay, its surface is engraved with three groups of string patterns, which are alternated by two stripes of slanting lines in bas-relief. As it was discovered, it was placed on the right side of the skeleton of the tomb occupant. Test blowing indicates that these two pottery horns can generate deep bass tones. The excavators believe that these horns must have been instruments used by military leaders in certain tribes to give commands while conducting wars, and they marked their owners’ identities and powers as well.

3. Combinations of Prehistoric Musical Instruments Not all prehistoric musical instruments existed alone or were used as solo instruments. Archaeological discoveries indicate that they already existed in certain combinations. For instance,

Chapter I Prehistoric Music

the bone flutes from Wuyang were discovered together with rattles made of turtle shells. In several early tombs of the Taosi type at Taosi in Xiangfen, Shanxi Province, which belong to the Longshan Culture of the Central Plains, big drums (alligator drums), single-piece chime stones, and pottery xun-flutes were discovered together. These three types of instruments were perhaps played in ensembles. The prehistoric art of music has long been in the distant past, but many artistic features and aesthetic dimension of prehistoric music have had long-lasting impact on the styles and trajectory of music in later generations. Prehistoric music was closely associated with real life, and fulfilled a particularly practical function. This is an important basis for the existence of art. Although music is regarded as especially pronounced in individuality and lacking in reference to external reality, it has always been the faithful companion of human beings, and catered to their needs for communication and the expression of emotion and thought. This is also one of the criteria for judging the quality of works of music today. Prehistoric music demonstrated simplicity, naturalness, frankness, and sincerity, and these are characteristics still valued. The pursuit of the highest artistic values by later generations, as expressed as »a lotus rising above clear water, natural and unadorned« and »only music cannot be distorted,« have exactly the same innate characteristics as prehistoric music. The close synthesis of prehistoric performing arts such as music, dance, and drama has been passed down as a long-lasting tradition of the performing arts of later periods. After the maturity and independence of various performing arts, a similar synthesis was recreated in some new artforms, such as traditional Chinese operas. Many characteristics of prehistoric music art have transcended time and space to become the eternal model unremittingly pursued in the music of later periods.

CHAPTER II PREHISTORIC DANCE Human activities first manifest themselves in physical activities. Besides language and facial expressions, body language was indispensable to prehistoric human social activities as well— whether the commitment to social activities, participation in labor, or engagement in normal social intercourse. The body language used in social activities contained the formative factors of primitive dance, and from this point of view the emergence and development of dance were naturally and inseparably intertwined with human social life. Chinese ancestors created various dance forms for different social events to meet their social and emotional needs. For instance, they danced while celebrating good harvest, the birth of new life, or victory; while warding off disease; and while worshiping ancestors, other gods, and spirits. Such dance forms expressed individual and collective emotions by means of the imitation of action during labor, hunting, and war, as well as of the movements of various birds and animals. On the one hand, dance increasingly permeated all aspects of social life due to its frequent application. On the other hand, it also developed and transformed constantly, with the enrichment and development of social life, and diversified consequently into a growing number of dance forms. In order to examine the trajectory of the development of primitive dance, it is worth noting that ancient myths bear traces of primitive dance, rock paintings of various places and surfaces of ancient artifacts have perpetuated numerous images of it, and dances among contemporary folk activities have also preserved vestiges of it. All these conjure a picture of how the Chinese ancestors started taking steps and clapping their hands to the accom-

paniment of chime stones, pottery drums, pottery xun-flutes, and pottery whistles; and how they flung themselves into dances that expressed their joy of life with unfettered body language. In this way, the Chinese ancestors entertained themselves and each other, expressing the ideals of their life, i.  e., the shared happiness of men and gods; they established a relatively stable foundation for the development of dance in later generations.

Section 1  The Origin and Characteristics of Prehistoric Dance As a historical category, the meaning of prehistoric Chinese dance is relatively broad. In general, it refers to dances created and used in the life of prehistoric Chinese ancestors. It is of profound cultural significance to learn the nature of primitive dance and to explore its development. First, prehistoric society is the longest phase in the trajectory of human development. Archaeological evidence indicates that as early as about 1.7 million years ago, human ancestors had already worked and lived on the vast and beautiful land that geographically corresponds to modern China, creating a magnificent chapter of history. As one of the earliest artistic forms in human society, prehistoric dance was also a carrier of human history. It originated with the birth of human beings, took form with the evolution of human beings, and gradually developed into a mature art. Its development also formed the longest phase in the development history of Chinese music and dance, though it is evident that prehistoric dance

34

prevailed in remote time and space. Secondly, great changes took place in the process. Human beings left behind their ignorance, went beyond savagery, and finally entered the civilized era. At the same time, along with the transformations of production tools, marriage forms, social organization, thought and consciousness, prehistoric dance, as a spiritual and cultural product created by prehistoric humans, underwent numerous and complicated transformations in its content, forms, techniques and styles. In addition, the vast territory of China accommodated a large number of other prehistoric ethnic groups as well as a great diversity of natural environment and living conditions. Accordingly, the opportunities and timing for the origination and formation of prehistoric dance, especially the process of its growth and development, necessarily differed and so seldom can be explained by a single model. In addition, the peculiarity of the art of dance itself is worth noting: after being created and performed, dance disappears from space and time. In the past, except for human bodies, there was no material carrier for storing it. Between the 1950s and the 1970s, most musicologists in China agreed with the theory of the origin of music in labor, which implies that dance also originated from labor. Further influential theories include those with origins in sex, religion, totems, imitation, game, etc. Most of these theories inherit various Western theories as to the origin of arts. They reflect debates on these theories rather than the discussion of facts. Therefore, it is only possible to explore the true nature of dance in prehistoric China on the basis of the currently available historical facts. Prehistoric dance has accompanied human beings across the longest period of time. As mentioned above, it has been created constantly, yet has also constantly disappeared. Exactly in this contradictory process of endless creation and disappearance, dance began the course of its own beauty with its origination and formation. How-

Chapter II Prehistoric Dance

ever, due to the peculiarity of the art of dance, the grandeur of the prehistoric dance is no longer visible. It is indeed no easy task to identify the development process of prehistoric dance in view of obscurity of evidence, and to reflect the true nature of prehistoric dance in a way that is most faithful to historical reality. Since the subject of prehistoric dance has disappeared, it is particularly necessary to apply scientific methods to amply collect reliable historical sources. At present, the historical sources for prehistoric dance primarily include archaeological, philological, ethnological, folkloric, and cultural anthropological data, and so on. In addition, due to the high comprehensiveness and complexity of prehistoric dance, research results of many further disciplines, such as religion, history, art history, paleography etc., are worth studying and adopting. In summary, a holistic approach to these data along with comprehensive research can outline the original appearance of prehistoric dance in a way that is relatively faithful to historical reality. Investigations indicate that, whether images of music and dance among Chinese archaeological discoveries, remnants of prehistoric dance in the life of modern peoples, or records in ancient literature, myths, and legends, reflect more or less a consistent picture of prehistoric dance, although some of these data still require more in-depth analyses and research. But a holistic observation of prehistoric society allows the following basic points concerning the characteristics and development rules of dance that originated and were active during this period of the human development: First, artistic creation is inseparable from the natural environment in which it exists, and material living conditions. Prehistoric dance, like the art of dance in later generations, was ultimately a reflection of the objective world and was at the same time restricted by prehistoric humans’ mode of thinking. There is a close causal relationship between the economic life, ecological environment,

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and the character and styles of prehistoric dance of individual peoples. Prehistoric dance was also one of the earliest ways to express thoughts and feelings in prehistoric human society. The members of individual tribes created dance images that corresponded to a wide variety of real or illusory images that occupied their hearts and aroused their passions—the heavens, earth, the sun, the moon, mountains, rivers, birds, animals, flowers, trees, fish and worms, and so on. Therefore, on the whole, the range of motifs of prehistoric dance has been already relatively broad. These motifs represented content such as production labor, festivals, celebration, courtship, marriage, new births, coming of age, funerals, ethics, as well as a variety of religious customs. The latter included nature worship, reproduction worship, totem worship etc. Accordingly, dance was associated with almost all areas of the material and spiritual lives of humans. In addition, this phenomenon was not sporadic but prevailed pervasively in the reality of individual peoples. Second, the forms and means of expression of prehistoric dance are diverse and comprehensive. The development of art forms is inseparable from historical conditions. The most fundamental instrument of expression in dance is the human body itself. Therefore, the expressive forms of primitive dance inevitably had a development process that was in line with the evolution of human beings themselves, i.  e., from clumsy to flexible, from rough to exquisite, from resemblance to natural forms to the increasing addition of artificial components, from looseness and disorder to uniformity and order. Early dancing movements may have been the exaggeration of daily movements that directly expressed various emotions, or the imitation of the movements of certain birds and animals. Dance props and decorations were daily utensils and production tools, as well as skins, furs, tails, and horns. The first makeup was a smear of mud and pigment; makeup such as masks and tattoos appeared later. Nevertheless,

SECTION 1 THE ORIGIN AND CHARACTERISTICS OF PREHISTORIC DANCE

dance was a precocious art in prehistoric society. At a certain stage, prehistoric dance stepped out of its infancy and became increasingly mature. The indicator of its maturity was not only the improvement of its artistic skills, but more importantly, that it adapted to various requirements of humans, making inestimable contributions to the progress and development of prehistoric society. Whether in its earlier stage or its later stage, the high comprehensiveness of prehistoric dance, as well as its characteristics and charm of simplicity, naturalness, sincerity, and magnanimity, were consistent. These features are still reflected in the modern remnants of the prehistoric dance. Another and the most important feature of prehistoric dance is its versatility in social function. Prehistoric dance was aesthetic, but it was obviously of utilitarian significance as well. It played various roles in social life, including the exchange of feelings, the communication of ideas, the encouragement of fighting spirits, the enhancement of confidence, the transfer of production experiences, the unification of ethical norms, the documentation of tribal history, and the consolidation of group cohesion. The traditional dances of many peoples are not single or pure aesthetic forms, but the syntheses of multiple figural means and social functions. They are symphonies of poetry, song, dance, and music, as well as unities of religion, ethics, etiquettes, and customs. Similarly, it is difficult to generalize the complexity of the content of prehistoric dance into a single mode, ignoring the facts provided by history and reality. According to the available historical data, it can be concluded that after a long period of origination and development, Chinese prehistoric dance entered its mature stage and became increasingly prosperous in the middle or late Neolithic. At that time, the system of music and dance art in prehistoric China had already been basically established and shaped, and contained most of the factors that formed various dances in later generations.

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The position and function of prehistoric dance in the history of dance and even in the history of art cannot be underestimated. Its study bears important academic value for the understanding of the arts of the human ancestors. Firstly, its study contributes to a deeper understanding of the nature of dance. Cultural anthropology, which originated in the 19th century, provides abundant empirical material for the study of prehistoric culture. Many anthropologists, historians, and archaeologists who surveyed contemporary indigenous tribes discovered, to their surprise, that even the tribal societies most approximate to prehistoric humans generally had dances, though there may have been no other art forms. In addition, individual dances were closely linked to individual members of tribes as well as to their social production and lives. It is difficult for contemporary people to imagine the wide range of application for prehistoric dance and the fundamental significance of its functions. Yet these phenomena indicate that prehistoric dance played an important role in the development of human culture. Second, prehistoric dance is the foundation and starting point of the entire history of dance. It has had an immeasurably profound impact on the development, aesthetic qualities, motifs, and formal trends of the dance cultures of various peoples of later generations. It contained the universal law that regulates the development of the dances of these peoples. It is necessary to explore the origin and transition of a thing in order to understand its essence. The origin of a thing often implies the origin of its characteristics. This rule applies to prehistoric dance, which existed in the period of the origination and formation of dance. The study of prehistoric dance and its fundamental significance in prehistoric social life enables a deeper understanding of the essential characteristics of dance as well as the comprehension of the true meaning of dance. A comparison of the available, indigenous tribal dances and modern dances also enables percep-

Chapter II Prehistoric Dance

tion into the essential power of dance in the traces of indigenous tribal dances. Furthermore, prehistoric dance has attracted the attention of scholars of various disciplines not only due to its essential characteristics and its fundamental significance to prehistoric social life, but also because of its early emergence in cultural history. Despite divergent opinions on the origin of the arts, there is near-consensus that dance appeared earlier than other arts.

Section 2  Prehistoric Chinese Dance through Archaeological Findings Available archaeological data indicate that as early as the Paleolithic, dance activities of human beings had become relatively common, and enjoyed a certain degree of the professional division of labor. But no cultural relics associated with music and dance of the Paleolithic have been found or confirmed in China.

1. Painted Pottery In the autumn of 1973, a painted pottery pen-basin with a pattern of dancing figures was unearthed at the Shangsunjiazhai 上孙家寨 site of the Majiayao Culture in Datong 大通 County, Qinghai 青 海 Province. Its excavation filled in the blank for archaeological relics associated with prehistoric dance and hence attracted the attention of the world. This painted pottery pen-basin has a tapering mouth and a bulging belly. Its mouth diameter is 29  cm, it has a base diameter of 10  cm and a height of 14 cm. The pattern of dancing figures is painted on the upper part of the inner wall. A total of 15 dancers are divided into three equal groupings. The five figures in each grouping are dancing hand in hand. Individual groups are separated by patterns of curved lines. The dancers’ bodies are painted as silhouettes in ink (Fig. 1.2.1). Judging

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SECTION 2 PREHISTORIC CHINESE DANCE THROUGH ARCHAEOLOGICAL FINDINGS

1.2.1 Painted pottery pen-basin with pattern of dancing figures unearthed at Shangsunjiazhai in Datong, Qinghai Province

by the scene, the dancers’ costumes are uniform, and their gestures are parallel. Their headdresses (braids or fringed scarves) are swinging in the same direction, and the tail-shaped adornments (pointed objects rising from the side of their legs, respectively) also point in the same direction. It is thus clear that their gestures, rhythms, and costumes are highly uniform. The dancing skill reflected in the scene can be juxtaposed with the artistic conception and expressiveness of the painting. Both the dance and the painting demonstrate art forms that have been relatively developed. In 1991, another painted pottery pen-basin with a pattern of dancing figures was unearthed at the Mozuizi 磨嘴子 site of the Majiayao Culture in Wuwei 武威, Gansu Province. The shape of the vessel is similar to that of the pen-basin from Datong. The dancing scene is also painted on the upper part of the inner wall. Two groupings

of nine persons in each grouping are dancing hand in hand. Their gestures and costumes are also uniform. But the painting technique is more concise, and abstract. The heads and buttocks are all painted as dots, and the upper bodies and limbs as straight lines. It is worth noting that three straight lines are drawn under each buttock, two of which are undoubtedly legs, while the other may be a long tail-shaped adornment or the intended means of the artist to indicate a moving leg. The painter vividly depicts a gentle dancing posture of the dancers who were moving with small sideways steps. The charm of the dancing ancestors making elegant steps and swaying to slow music is vividly depicted. Another painted pottery pen-basin with a pattern of dancing figures was unearthed at the Zongri 宗日 site of the Majiayao Culture. The shape of the vessel is similar to that of the painted pot-

38

tery pen-basin from Datong. The upper part of the inner wall is painted with two groupings of dancers, one with 11 persons and the other with 13 persons. The dancers have the same costumes and gestures and dance hand in hand as well. The painting technique is similar to that of the painted pottery pen-basin from Wuwei. The heads and bellies are all painted as balls. The ball that represents each dancer’s belly is obviously large, which seems to indicate a short skirt or perhaps an exaggerated female belly, as a symbol of fertility. This dance scene, which has a dense composition, offers a magnificent sight with an enthusiastic and cheerful atmosphere. It vividly depicts a scene in which tribal members danced in group to celebrate a certain festival. The Majiayao culture produced, besides pottery xun-flutes, further musical instruments including pottery clapper-bells, trumpet-shaped pottery drums, chime stones, etc. This indicates that prehistoric dance in that stage was no longer accompanied by simple beats with wood and stone, but instead by musical compositions and dance songs that featured melody, rhythm, and emotional nuance. This was a significant progression in the development of prehistoric dance. In August 1994, yet another painted pottery pen-basin with a pattern of dancing figures was unearthed from a tomb of the Majiayao Culture at Niumendong 牛门洞, Touzhai 头寨 town, Huining 会宁 city, Gansu Province. This pottery pen-basin is made from red clay and painted in brownish red. It is 13 cm in height. Both its shape and its ornamentation are similar to those of the painted pottery pen-basin from Datong. The upper part of its inner wall is painted with a circle of 15 dancers who are divided into three equal groupings. The five figures in each grouping are dancing hand in hand. A certain object towers at the crown of each head like a chignon; but it may also be a feather decoration. The rear of each body is equipped with a tail-shaped adornment. Four concentric circles, which are painted under their

Chapter II Prehistoric Dance

feet, should symbolize the earth. In the center of the floor of the pen-basin there is a dot about 4 cm in diameter, like a roaring campfire burning in a field. This seems to be a realistic and vivid depiction of prehistoric human ancestors singing and dancing: People who had worked hard for food and clothing all day long gathered around the campfire, bathing in its light and heat, singing their hearts out and giving vent to their feelings. The painted pottery pen-basin from Huining belongs to the Banshan 半山 type of the Majiayao Culture, dating about a thousand years later than the painted pottery pen-basin from Datong. Within such a long historical period, this dance scene was depicted again and again, while the same dance steps swung through the ages. This does not only indicate the extraordinary endurance of this scene due to its popularity among the people and its status as a traditional pattern in Majiayao Culture, but also proves the stability of the inheritance of this dance style in the life of the human ancestors. The above-mentioned, painted pottery pen-basins unearthed from sites of the Majiayao Culture in Gansu and Qinghai indicate that the prehistoric people there loved life and art, had developed relatively mature cultural activities associated with music and dance, and had mastered relatively high skills in plastic arts such as painting. As the cradle of Chinese civilization, the Yellow River Basin is one of the main origins of the Chinese culture; while the Majiayao Culture, which was widespread and lasted for over a thousand years, is the major Neolithic culture in the upper reaches of the Yellow River. Analysis of the excavation data concerned indicates that the residents there had been living in settlements, and engaging in agriculture and animal husbandry. Small bronze tools and sacrificial human remains were discovered in sites dating to the late phase. This demonstrates that the region at that time achieved a relatively high level of development in terms of material production and spiritual civ-

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ilization. It was approaching the eve of the era of civilization.

2. Rock Art Images of dance among rock art form another reservoir of historical pictorial data concerning primitive dance in China. Rock art in China is both abundant and widespread. So far, over one thousand sites with nearly one million pictorial representations on rocks have been discovered in two thirds of the Chinese provinces and provincial-level regions. These sites are located in mountains, flatlands, deserts, and grasslands. In accordance with the diversity of the natural environment and traditional culture as well as the peculiarities of production patterns, material life, religious beliefs, and the psychology of peoples, rock art features diverse content and painting techniques. Among examples, images of dance are presented in a colorful spectrum. The study of rock art in modern China began with rock carvings on the cliff at the foot of Mount Ganpan (Ganpanshan 蚶盘山) on the north bank of Xianzi Pond (Xianzitan 仙字潭) along the course of Tai River (Taixi 汰溪), in Hua’an 华安 County, Fujian 福建 Province. Although they were already recorded in the Tang Dynasty, rock carvings since then were regarded as unintelligible archaic writings. In recent years, most people have come to believe that they are images rather than writings, although they have divergent opinions on the content of the carvings. One of the opinions is that the carvings commemorate merits after the victory of a military campaign. Another opinion is that they depict religious dances with a group dance represented by the scene with the largest number of persons. Most carved dancers spread out their upper arms, with their elbow joints bent, lower arms hanging down, and squatting with their legs as far apart as possible. The carvings contain several signs of exaggerated male and female sex organs, which may reflect magical ideas concerning worship and prayer for reproduction.

SECTION 2 PREHISTORIC CHINESE DANCE THROUGH ARCHAEOLOGICAL FINDINGS

Among the cliff carvings at Baojing Bay (Baojingwan 宝镜湾) at Gaolan 高栏 Island in Zhuhai 珠海, Guangdong 广东 Province, the largest scene of dance is carved on the east wall of the »Treasure cave« (Cangbaodong 藏宝洞). With a length of 5 m and a width of 2.9 m, the scene is densely populated with figures and imbued with a mysterious atmosphere. The famous series of rock paintings at the Zuojiang 左江 River in Guangxi 广西 Province includes about 70 sites that have been hitherto discovered. These sites are distributed on cliffs that are more than 200 kilometers in length along the banks of the Zuojiang River. The rock paintings are similar in style, and painted with red ocher pigment. All of the numerous painted figures demonstrate dancing postures, but their styling is relatively monotonous save that they are wearing slightly different adornments. They are depicted either in frontal view or in profile view: those in frontal view are commonly bending their knees to half-squat and spreading their arms to the left and right sides, with their elbow joints bent and their lower arms lifting up. Those in profile view are mostly squatting as well, lifting their arms in front of them. A few figures are standing and extending their arms straight out. These rock paintings belong to the remnants of the magic culture of the prehistoric Yue people. The mass dance represented in repeated scenes of rock paintings may have been a sacrificial dance within a primitive religion. The dancing poses are roughly identical. The pictorial motifs indicate that the contents of the sacrificial activities were complex and diverse, including sacrifices to the sun, to bronze drums, to rivers, to ghosts, to the god of the field (earth), and to totems; sacrifices in prayer for a victory in war; human sacrifice, etc. Accordingly, these paintings depict a kind of dance that was performed for many purposes and on many occasions. Yunnan is also a province with abundant rock art which has been found in areas such as Cangyuan 沧源, Gengma 耿马, Yuanjiang 元江, and Malipo

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1.2.2  Rock painting No. 2, on cliff walls with suspended coffins in Gongxian County, Sichuan Province

麻栗坡. Among those areas, Cangyuan is especially representative due to the large number and comprehensive content of its rock paintings. Cangyuan is a mountainous county located in the southwest border of Yunnan Province. The rock paintings are distributed among the least explored mountains. All of them are painted in red, in a way that resembles silhouettes. Rock paintings record various scenes in the production and life of prehistoric people, such as hunting, herding, collecting, battle, sacrifice, dance and acrobatics. They obviously had the function of keeping records of events. Therefore, they provide a panoramic picture of the life of the clan community. In these scenes of daily life, dancing figures are manifest everywhere, which sufficiently indicates that dance activities were omnipresent in society at that time. One of the paintings, for example, depicts in its upper part a grouping of strong men in makeup who are dancing in a vigorous and proud manner under the leadership of a tall, stout man

Chapter II Prehistoric Dance

(probably a chief) who is armed with a shield and a long weapon. Under them there are a queue of long-tailed monkeys. In the left half of its central part, the painting depicts a herd of fat cattle; in the right half, another grouping of dancers as well as acrobats perform a human tower, juggling, etc.; and in its lower part two female dancers have bulging bellies. Filled with an enthusiastic and joyous atmosphere, the painting obviously provides a picture of a festival, in which people are celebrating the high productivity of their animal husbandry and rich gains in their hunting, and wishing prosperous reproduction on humans and livestock. The dance expresses the joy of the people. Another painting depicts a scene of dance as well. In its upper part is a man whose head is blurred but whose headdress with two long feathers is still faintly visible. Judging by his prominent position and unique makeup, he must have been the lead of the dance. Below him a circle of five persons is depicted with their legs apart, as if stepping. They are dancing cordially with one hand lifting and the other hanging down, respectively. The circle at the ground indicates that the dance team forms a circle, and that they are moving in the circle. The ingenious conception of the painting fully demonstrates the wisdom of the prehistoric painter. The rock paintings in Gongxian 珙县 County, Sichuan 四川 Province are painted with red pigment, on cliff walls with suspended coffins (xuan guan 悬棺). Although the paintings are not large in general, and their number is small, their contents are very rich with vivid dancing figures, among others. In a rock painting at Zhujuanmen 猪圈门 in Matangba 麻塘坝, a dancer is wearing a strange mask. He seems to have been a sorcerer. Another dancer is holding a round object like a leather drum in his left hand, and beating it with another object in his right hand (or with his palm). Hence, the dance performed was one with religious background. In a rock painting at Guancaipu 棺材铺 in Matangba 麻塘坝, a dancer who wears a short

41

skirt is dancing vividly (Fig. 1.2.2). In a rock painting at Fudatian 付大田 in Matangba, a dancer is standing on his left leg alone, raising his right leg to his rear, as if he were stamping the ground. His arms are raised over the top of his head and form with his curved elbows an arch, demonstrating a strong dynamic. Judging by his clear body outline, he appears naked (Fig. 1.2.3). Most of the dancers wear pointed headdresses. In Tibet, prehistoric rock art is distributed in every region. The published data indicate that their contents primarily concern daily activities, such as hunting, herding, battle, sacrifice, dance and so on. The rock art involves various techniques, such as chiseling, carving, and painting. Among them, the dancing images are mostly related to prehistoric worship and religious sacrifice. The rock art also includes some unusual motifs. For instance, one of the rock paintings at Qiwupu 齐吾普 depicts in its center a wild animal, which appears to be screaming and struggling. Two dancers who are dancing around the wild animal hold drums in their left hands and beat them with their right hands. One of them whose head is shaped as an inverted triangle wears a headdress full of feather-shaped ornaments, as well as fluttering ornaments at his waist. It seems that he is the leader of

SECTION 2 PREHISTORIC CHINESE DANCE THROUGH ARCHAEOLOGICAL FINDINGS

the dance. Following him, a person whose head is shaped as a straight line wears a headdress in the shape of twigs, as well as a tail-shaped ornament at his waist. The whole scene has the mysterious atmosphere of prehistoric religion. It may reflect a magic dance performed either before hunting to pray for rich gain, or after hunting to thank the god of the mountain for his gifts. Xinjiang Province, known in ancient times as the Western Regions, has a vast territory. Since prehistoric times, it has been a region in which frequent human activities took place and in which the Eastern and Western cultures of Eurasia melted into each other. Prehistoric peoples who flourished in this area have left rich cultural relics both underand above ground. Among them, rock paintings of various forms, comprehensive content, and different styles form an extremely valuable part. Rock art in this region includes dancing figures of ­various patterns and diverse styles. This may be due to the different cultural backgrounds of the peoples, in addition to the factor of their diverse, flourishing times. Those dances include solo dances, pair dances and group dances. One of the most remarkable examples of rock art is a giant scene concerning reproduction worship at Shimenzi 石门子 in Kangjia 康家, Hutubi 呼图

1.2.3 Rock painting No. 3, on cliff walls with suspended coffins in Gongxian County, Sichuan Province

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壁 County. Carved on a red ochre rock wall, the scene is 14 m wide and 9 m high. It depicts more than two hundred figures of various sizes, mostly in dancing postures. In the most prominent position of the upper part of the scene, nine lifesize, naked female dancers are depicted. They are tall, slender, and charming in their dancing postures. On their left, a man with his whole body painted with cinnabar is lying on his back, raising his hands. His sexual characteristics are obvious, seemingly indicating that the dance of these women is strongly alluring. This scene vividly indicates that in the sexual relationships as well as in the reproductive activities of the clans, primitive dance played a role that cannot be underestimated. Another Chinese region that is rich in rock art is Inner Mongolia. These rock arts include numerous scenes of dance with vivid dancing postures and diverse dancing styles. Especially valuable is that only several of these scenes concern joyful dances alone, while the others are often combined with various scenes of daily life, enabling a better understanding of the occasion on which individual dance was performed and the purpose for which it was performed in prehistoric times. In addition, many dancing figures have been discovered in rock art in further provinces and regions, such as Gansu, Ningxia, etc. In abundant examples of rock art from those provinces and regions, the form and content of the above-mentioned prehistoric dances are manifest as well.

Section 3  Traces of Prehistoric Dance in Modern Folk Activities Dance is ephemeral. The subjects of dances, whether those hundreds of thousands of years ago, those tens of thousands of years ago, or even those of thousands of years ago, have long

Chapter II Prehistoric Dance

vanished in the flow of time without a trace. But dances in modern folk activities still bear traces of prehistoric dance, and are undoubtedly the »living fossils« of prehistoric dance forms. As a collective activity of a tribe or a clan, prehistoric dance culture must have developed with a certain regularity, which restricted the origination and development of prehistoric dance. At a certain stage of historical development, dance was an essential part of prehistoric religion and customs. Hence it was bestowed an extraordinary self-confidence and stability, according to which prehistoric dance could be reconstructed. There are two types of remnants of prehistoric dance among the modern peoples, i.  e., daily dance of various peoples whose societies bear similarities to certain stages of prehistoric society, and traditional dance which has been inherited by various peoples who entered civilization from their remote ancestors and which reflects the daily life of prehistory. China has numerous ethnicities. Due to factors concerning their natural environment and history, the development of these peoples is not equal. Some of them are still living in societies that bear similarities to certain stages of prehistoric clan communities. Dances in those societies apparently feature characteristics of prehistoric dance. Those peoples who entered civilization earlier have preserved numerous remnants of prehistoric dance as well. These surviving data provide rare historical insights for the study of primitive dance.

1. Celebrations of Life and Nature Music and dance are the externalization of people’s inner feelings, and people’s feelings are the reflection of the outside world. Life triggers certain emotions, leading to the creation of certain dances. It is impossible for people not to be restricted by their living conditions. Accordingly, prehistoric dance could only reflect the thoughts and feelings of prehistoric human beings and their social life.

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SECTION 3 TRACES OF PREHISTORIC DANCE IN MODERN FOLK ACTIVITIES

What were the chief concerns of prehistoric people? One was their survival, while another was their development and reproduction. For purposes of survival, sufficient food was required. And for purposes of development, they had to be sustainable, i.  e., they had to reproduce. These two major events, which the prehistoric ancestors could not help caring about and feeling emotionalize for, surely constituted the two most important types of content for prehistoric dance. This has not only been amply indicated by images of dance among archaeologically discovered relics, but also vividly demonstrated by the indigenous cultural remnants preserved by various ethnic peoples today. For example, in the remote forests of the Changbai 长白 Mountains, there are still a few old members of the Korean people (Chaoxian zu 朝鲜族) who can perform a »hand-clap dance« (»shoupaiwu« 手拍舞) as passed down by their ancestors. They dance naked and barefoot, wearing merely a piece of animal hide around their waist. Neither musical instrument nor accompaniment of songs is used. Instead, a simple rhythm is created by beating a wooden pen-basin with a wooden club. The dancers dance in line with the rhythm, hitting the top of the head, the chest, the belly, the back, and the hip with both hands, respectively, for choreography. At the same time, they simulate hunting activities as well as various movements and vocalizations of animals with vivid postures and realistic facial expressions. These are flexible and alternating, and sometimes strange. With a choreography that is rough and full of joy, this dance must have been one that was performed as hunters were celebrating the success of their hunt. The Korean people have long since left the era in which hunt provided the main source of their food and clothing. Nevertheless, this dance has survived to the present. In the 1940s, when the Oroqen people were still living in an era that resembled the one at the end stage of prehistoric clan society, singing and

dancing were relatively popular among them. The dance called »Erhulan, dehulan« (额乎兰，德乎 兰), for instance, was a popular primitive dance among Oroqen women. »Ehulan, dehulan« is the Oroqen word for »bonfire«. Accordingly, the dance was performed around a bonfire. At night, when the hunters returned from their hunt, the women lit a bonfire and barbecued meat. After feasting, they held hands in a circle around the campfire, singing and dancing. The melody of their song and the choreography are plain and simple, but the lyrics are very rich, involving various aspects of labor and life. They are simple and sincere, indicating the people’s love for life and nature as well as their desire for a better future. The rhythm of the dance transforms from slow to fast, creating a warm and joyful emotion and a very strong inspiration. In the early 1950s, some Ewenki (Ewenke ren 鄂 温克人) who had for generations been living in the depths of the Greater Khingan Range (Daxing’anling 大兴安岭) in Hulunbuir (Hulunbei’er 呼伦贝尔), Inner Mongolia, were still living in an era that resembled the one at the end stage of prehistoric clan society. In their lives, singing and dancing were also indispensable. When they had a festival, a successful hunt, a wedding celebration, or visitors from outside the community, they were wont to invite each other in the evening to light a bonfire at a river, on a meadow, or in a forest glade. They held hands in a circle around the bonfire and turned from left to right, dancing and singing. This is also a bonfire dance that is called »Gaolebukan« (高勒布堪) in Ewenki, which means »the fire of joy«. The dance, which was accompanied by the beautiful and elegant chorus of the »Melody of yikan 伊堪« and the passionate and unrestrained chorus of the »Melody of turuge 吐茹格«, demonstrates a unique aspect of hunting culture.

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2. Sacrifices to Heaven and Earth, Ghosts and Deities After prehistoric humans had evolved to a certain stage, they developed animistic conceptions due to the successive enhancement of their thinking skills and the corresponding development of their fantasies and imagination. Those human ancestors believed that, just as men could communicate with each other, spirits and men could communicate with each other as well; but their communication required specific means and forms. This was how magical concepts and activities, as the early form of prehistoric religion, emerged and spread through the prehistoric population, going deep into all aspects of social life, and became a ubiquitous cultural phenomenon. They penetrated into prehistoric dance as well. Among the natural gods, heaven and the earth were the first ones acknowledged by human beings. They were presented with the most venerated rites in magic activities. In addition, nature formed an important aspect of the content of singing and dancing in magic as well. Today, many ethnic peoples still preserve remnants of prehistoric sacrificial rites, songs, and dances dedicated to heaven. In the sacrificial rites to ghosts and gods in prehistoric societies, those ghosts and gods associated with production of food and clothing were given prominent positions. This is indicated by many images of dance among cultural relics as well as a large number of remnants that are still preserved in the daily lives of modern peoples.

3. Fertility Rites Fertility rites belonged to a unique belief among prehistoric humans. The worshiped subject of the belief in the matrilineal societies of that time consisted surely of female sex organs. The fundamental purpose of fertility rites was to achieve the prosperity of the population of individual clans, which reflects the group marriage system of prehistoric times.

Chapter II Prehistoric Dance

After the female fertility rites had prevailed for a long period time, male fertility rites were developed as well. Traces of religious customs concerning the latter are still manifest in certain dance activities today. For instance, the Miao people in Rongshui 融水, Guangxi Province, perform a »Manghao 芒蒿 dance«. »Manghao« is a legendary protective deity of the Miao people and a male fertility god. Therefore, the Manghao dance bears double significance, i.  e., the wishes for warding off disasters and for the safety of the whole village, as well as the prayers for numerous offspring and a prosperous population. During the dance, the dancers interpreting Manghao wear grotesque wooden masks and are blackened with straw ashes over their whole bodies. This dance undoubtedly reflects the prehistoric thoughts of fertility rites.

4. Other Dances Related to Sacrifices Unearthed ancient bronzes of the Dian 滇 people in Yunnan bear numerous carved scenes of sacrifice with mass participation. These sacrifices were either performed before sowing in spring to pray for a good harvest or in autumn to thank gods for the harvest. A striking motif in the content of these carvings is blood sacrifice, the subjects of which could be cattle, other animals, as well as humans. Blood sacrifice was a continuation of the customs of barbarism. In the minds of prehistoric humans, blood meant the life, the source of vitality, and the favored offering for ghosts and gods; before plowing in spring, blood sacrifice was able to enhance soil fertility and make grains grow luxuriantly, while sacrifice as reward after the autumn harvest would please the ancestors and gods and ensure a good harvest in the coming year. The remnants of those prehistoric beliefs and rituals were manifest in dance activities. The bronze carvings discovered at present indicate that many dances involved the blood sacrifice of animals. These dances realistically reflected the historical phenomena that existed in the process of human

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evolution, and the difficult process in which prehistoric humans struggled to come through to rid themselves of barbaric customs. The remnants of these dances are valuable historical materials for both the exploration of prehistoric dance and the study of human evolutionary history.

Section 4  Prehistoric Dance in Historical Documents and Myths 1. The Creation of Music and Dance Most of the historical traces of prehistoric dance recorded in ancient Chinese documents belong to the category of myth and legend. These legends are not made out of thin air, but ancient anecdotes put down in written form, which contain fragments of certain historical memories. When was musical dance created? A passage in the chapter »Classic of the Mountains: West« (»Xishanjing 西山经«) in the Classic of Mountains and Seas reads: »(Tian Shan 天山 Mountains) are rich in gold and jade and produce green realgar. Yingshui River originates at the mountains and flows south-westward in the Valley of Boiling Water (Tanggu 汤谷). There is a god (›bird‹ according to another edition) who has the shape of a yellow bag, the color of a red fire, six legs, and four wings. It has no face. Knowing songs and dances, he is actually the Emperor of the [Yingshui] River.« This myth conveys that whatever information was in the minds of the prehistoric humans, singing and dancing had existed long before heaven and earth took their shapes. It reflects that in the minds of the early humans, music and dance were indeed archaic objects of which the origin was not known. The mythological world of ancient China involves many creators of musical dance. But musical dance cannot have been the invention of a single genius. It must have been the historic achievement

SECTION 4 PREHISTORIC DANCE IN HISTORICAL DOCUMENTS AND MYTHS

of collective wisdom and labor. The inventors were not merely »individuals,« but represented a certain historical stage of human evolution, or of the collective of a clan or tribe. This phenomenon was caused by various factors, including the transformation of individual myths that took place during their spread through different times and regions, and, more importantly, the existence of numerous clans with diverse cultural backgrounds and different ancestors in the region corresponding geographically to modern China since prehistoric times (this is sufficiently proven by scattered Neolithic cultural sites). In the process of the interaction, mutual influence, and integration of these clans, the prehistoric legends of each clan were recorded gradually. This led to the phenomenon of diverse opinions. The rich historical data provided by various myths and legends from diverse perspectives form valuable materials for the exploration of prehistoric dance.

2. Music and Dance during the Times of the »Three Sovereigns and Five Emperors« Prehistoric rulers of the imperial lineages reconstructed by later generations are collectively referred to as the »Three Sovereigns and Five Emperors.« The three sovereigns, Pangu 盘古, Fuxi 伏羲 and Nüwa 女娲, were originally the generic gods of myth and legend for ethnic groups in southern China. Their abundant deeds and great achievements were not only recorded in the classics of the Han 汉 people, but also were passed down orally among the peoples of Zhuang, Miao, Yao 瑶, She 畲, Li 黎 and Maonan 毛南. The musical dance associated with Fuxi is called the »Arrival of the Phoenix« (»Fulai« 扶来), and the one related to Nüwa is called »Filling with Music« (»Chongyue« 充乐). Allegedly, after the composition of the latter piece, »All under heaven was given patterns, including those that are obscure and subtle.« This probably relates to Nüwa’s deed of making rules for marriages, which led to a normative way to give vent to the amorous feelings

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between men and women, harmony between Yin and Yang, and soothing hearts. In addition, Nüwa allegedly invented musical instruments such as the panpipes sheng 笙 and yu 竽, and others. These musical instruments are still used among the peoples of southern China. The Miao people perform an especially famous dance accompanied by sheng-panpipes made of reeds. According to their tradition, the sound of the sheng-panpipes is equivalent to the sound of the ancestors. Furthermore, the dance accompanied by sheng-panpipes is closely related to the marriage customs mentioned above. It is certainly no coincidence that the sheng-panpipes made of reeds and the accompanying dance have become both the media and links to convey messages of love between young men and women. Shennong 神农 is also a famous figure among the Three Sovereigns and Five Emperors. His greatest achievement was the invention of plows and plowshares, and his instruction of agriculture to the people. Thanks to him, his people ensured a more stable source of food. Allegedly, his musical dance was called »Holding the Plough,« with a song that expressed the festive mood after the harvest and was accompanied by earthen drums and se-zithers (se 瑟). Judging by the name of the dance and the content of the song, the musical work reflects farming activities. The musical dance of the Yellow Emperor, the primogenitor of the Huaxia 华夏 people, was allegedly called »The Grand Scroll of the Cloud Gate« (»Yunmen dajuan« 云门大卷). Legend has it that the musical dance praised his great achievements in inventing ten thousand things, uniting the people and doing as many virtuous deeds as there are clouds. The dance is also known as »Supporting the Clouds« (»Chengyun« 承云) or »Salty Pond« (»Xianchi« 咸池). It was a common phenomenon in early agricultural society that people made music as offerings to the sun, moon and stars—which were closely related to themselves. Allegedly, this musical dance was

Chapter II Prehistoric Dance

held in the second month of the lunar calendar, that is, before the beginning of annual farming activities, apparently expressing the desire to pray for an abundant harvest. After the reign of the Yellow Emperor, the powers of Shaohao 少昊, Zhuanxu 颛顼, Diku 帝喾, Yao 尧, Shun 舜, and Yu 禹 arose successively. They also had their own musical dances. Legend has it that Zhuanxu was a man very fond of music, and a tribal leader who played an important role in the development of prehistoric religion. A passage concerning his musical dance in the section »Ancient Music« of the chapter »Almanac for the Second Month of Summer« in The Annals of Lü Buwei reads: The Sovereign Zhuanxu was born at Ruo River (Ruoshui 若水) and lived at Kongsang 空桑. Then he ascended to become a sovereign who was truly a match for Heaven. When the winds true to the eight directions circulated, they made sounds like xixi 熙熙, qiqi 凄凄, and qiangqiang 锵锵. The Sovereign Zhuanxu, being fond of these sounds, ordered flying dragons to compose music in imitation of the Eight Winds, naming them »Supporting the Clouds« and using them in the sacrifice to the Supreme Sovereign. He then ordered a dan to lead them as singing master, so the dan reclined and, using its tail to beat its belly, made the sound yingying 英英.

This passage contains historical information that the musical dance concerned was created as an imitation of the rhythms of nature; since its purpose was to be used in the »sacrifice to the Supreme Sovereign,« it was surely a sacrificial dance in prehistoric religion. And a completely fantastical mystery was bestowed on the dance as its creators were unexpectedly a »Flying Dragon« and a »dan.« The latter, according to existing philological examination, is an alligator, a kind of crocodilian. The hides of alligators could be used as membranes of drums that were called »alligator drums.« A number of such drums have been archaeologically discovered in China. For instance, one alligator drum unearthed from a tomb at Taosi, in Shanxi Prov-

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ince, dating to the late phase of Longshan Culture, has a wooden shell in the shape of a straight tube. The outer surface of the drum is painted with patterns in yellow, white, blue, and black on red background. Inside the shell, the bones of a crocodile were lying scattered. In the interiors of several other unearthed drums, the bony scutes of crocodiles have been found. This is evidence that, in prehistoric times, there were alligator drums. In the above-mentioned legend, the alligator (dan), which »reclined and, using its tail to beat its belly, made the sound Yingying,« is the animation of an alligator drum. This example indicates that prehistoric myths were not purely illusory; instead, they may have either been prehistoric memories blurred by the years, or the projection of certain conscious or unconscious associations with what existed in reality. At any rate, they were not completely fabricated. Most of these musical dances originated from traditional dances of individual clans. The expansion of their contents reflects the process of the continuous enrichment and progress of ideology in human ancestors. Since their concrete forms were passed down solely by word of mouth since time immemorial, not many survive to this day. The surviving materials indicate that such dances are basically associated with religious customs such as agricultural production, nature worship, totem worship and so forth, in prehistoric society. The age of the legendary Yellow Emperor roughly reflects the social circumstances at the transition from matriarchal clan society to patriarchal clan society: during the reigns of Yao, Shun, and Yu, clan society had climaxed and was on the eve of disintegration. Judging by the information revealed by myths and legends, prehistoric dance had become increasingly mature and was stepping into a flourishing period. In correspondence with the increasing complexity and diversity of daily life, dance activities penetrated more com-

SECTION 4 PREHISTORIC DANCE IN HISTORICAL DOCUMENTS AND MYTHS

prehensively into individual material and ideological fields. Their contents became more manifold and diverse, their corresponding forms underwent much greater development, their instrumental accompaniment comprised almost all of the Eight Types of Musical Instruments (ba yin 八音). In terms of the development of musical dance itself, prehistoric dance at that time underwent a process of inheritance, development, and recreation, i.  e., a process of stable preservation and accumulation, laying a solid foundation for continuous elaboration and improvement. This was a crucial step in the development of the culture of musical dance. Accordingly, full-time (or part-time) skilled composers of musical dance came into being at that time as well. For instance, a famous Director of Music whose name was »Kui« (夔) is spoken of in certain myths. According to the chapter »Canon of Shun« (»Shun dian« 舜典) in the Book of Documents, The sovereign [Shun] said, »Kui, I appoint you to be director of music, and to teach our sons, so that the straightforward shall yet be mild; the gentle, dignified; the strong, not tyrannical; and the impetuous, not arrogant. Poetry is the expression of earnest thought; singing is the prolonged utterance of that expression; notes accompany that utterance, and they are harmonized by the standard tubes. The Eight Types of Musical Instruments can be adjusted so that one shall not take from or interfere with another; and spirits and men are brought into harmony.« Kui said, »Well! I smite the (chime) stone, I gently strike it, and the various animals lead on one another to dance.«

Kui was the earliest director of music who was specifically commissioned to conduct musical dance and who was the first educator in musical dance of myths. The circumstances described in this myth indicate significant progress in the development of the culture of musical dance and present an important sign that prehistorical dance had entered a stage of maturation.

CHAPTER III PREHISTORIC ARCHITECTURE In terms of the first human dwellings, it has been speculated that the first archaic humans who lived in the rain forests needed to live in trees to avoid predator attacks. Of course, no evidence has been found to support this speculation. Numerous fossil remains as well as the trace fossils of archaic humans have been found, indicating that those archaic humans living in subtropical and temperate regions would choose natural caves as their dwellings. Furthermore, several pieces of circumstantial evidence allow certain presumptions concerning the question of whether artificial dwellings existed at that time at all. It took a very long time for humans to move from their dwelling in trees and natural caves to dwellings on tree-imitating stilts or dwellings in artificial caves. In comparison, it took much less time for them to move from elevated nest-dwellings and cave-dwellings to houses built above ground, i.  e., an architectural form called »house and habitation« (gongshi 宫室) in ancient documents, with walls supporting a roof. From the time that prehistoric humans created artificial dwelling forms, using primitive tools, the history of architecture underwent development from dwellings in trees to those at the ground, from those underground to those above ground. Finally, the architectural form called »house« (gong 宫), with »a roof on the walls,« took shape in the late phase of prehistoric society. The architectural achievements of the period laid the foundation for (1) the Chinese classical architectural form, i.  e., earth-and-wood construction with wood as framework; (2) the building system of modular combinations that attached importance to internal and external space manage-

ment; (3) the patterns of residences and palaces that featured the characteristic of »public space in the front and private space in the back.« The emergence and development of architecture in prehistoric society did not only succeeded in the inauguration and the laying of the foundation of the system of Chinese classical architecture, but also set the course for the basic development orientation of Chinese architecture. The architecture in prehistoric societies did not only meet basic material and functional requirements as shelters from wind, rain, heat, and cold, but also created an environmental atmosphere of spiritual inspiration with space and shape.

Section 1  Basic Forms of Prehistoric Architecture in China While inhabiting natural caves, prehistoric humans in high humidity wetlands still relied on trees as their dwellings. At that time, the trees and caves in which humans took shelter were only natural objects. But the idea of architectural construction sprung up after life experience had taught humans to work the natural dwellings in different ways, corresponding to their circumstances. In fact, in the evolutionary stage of archaic humans, such a conscious idea of construction should have already emerged—differentiating them from animals. Accordingly, they began simple acts of construction.

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1. The Earliest Known Artificial Dwellings in China In the late Paleolithic, approximately 20,000 years ago, composite tools developed rapidly. Many kinds of stone tools were equipped with wood, bone, or horn handles of different lengths, which greatly improved the efficiency of them. Particularly epochal was the invention of the bow and arrow. Compared to the javelin, the bow and arrow had a longer shooting range, a higher hit rate, and was saved considerable effort—greatly increasing and stabilizing hunting gains. The innovation of the tools of production led to the greater enrichment of the supply of the means of subsistence and the more rapid growth of the population than ever before, which increased the demand of further stability in the mode of habitation. As the population grew, the number of the clans as primordial units increased as well. Accordingly, distinct but linked clan communities arose. Natural caves lacked the conditions to adapt to such a mode of habitation. Forced by demand, the construction of settlements, a form of artificial living that reflects more conscious planning, began around 10,000 years ago—meaning that the creation of artificial living environments was the result of social demand on the basis of a certain level of productivity and certain material means. The creation of prehistoric buildings is an imitation of nature that was based on life experience. The initial development of the nature-imitating nest-dwellings and cave-dwellings was very slow, but after hundreds of thousands of years of practice, nearly house-shaped dwellings emerged finally in the late Paleolithic. It is impossible that the nest-dwellings built in trees by prehistoric humans left any traces that still survive to this day. But direct evidence of the existence of nest-dwellings built above ground is provided by the remnants of such dwellings, including the printed impression of branches used as building

SECTION 1 BASIC FORMS OF PREHISTORIC ARCHITECTURE IN CHINA

envelopes and durable building materials in the foundations—such as rammed earth, stone, and animal bones. Archaeologists have discovered the remains of above-ground nest-dwellings dating to the late Paleolithic at Yanjiagang 阎家岗 in the suburb of Harbin 哈尔滨 in Northeast China. Demonstrating a certain degree of experience in building, the remnants formed obviously no part of the first buildings of prehistoric humans. This is also a reason for the speculation that the initial stage of the architectural construction of humans considerably predates these remnants. About 20,000–30,000 years ago, during the late Paleolithic, which belonged geologically to the late Pleistocene, the climate was dry and cold in the region corresponding to today’s North China. Strong winds from Mongolia constantly dragged the yellow topsoil of the northwest along and cast it to the regions corresponding to today’s Southeast and North China, leaving loess deposits with thicknesses up to more than 100  m. This is the reason that the late Pleistocene is also called »the epoch of yellow earth (i.  e., loess)« in China. The epoch was one of the interglacial periods, in which forest steppes and semi-arid grasslands formed the major biomes. Under those natural conditions, humans practiced and made a leap in their development. At that time, the region corresponding to today’s Yanjiagang in Harbin was loosely part of the forest steppes. The clan inhabiting there relied primarily on hunting and gathering. Having mastered the technique of friction-based fire making, fish became an important source of edible food as well. Accordingly, fishing activities were also developed. Long hunting experiences led to further innovations in hunting gear, the most notable of which were improvements in the application of stone balls and the invention of the bow and arrow. These new hunting tools further increased catches, improved livelihoods, and accelerated population growth, creating conditions for the transition to a productive, sedentary life. The two circular dwell-

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Chapter III Prehistoric Architecture

1.3.1 Line-drawing of the reconstruction of the circular dwellings at Yanjiagang, dating to the late Paleolithic

ings discovered at Yanjiagang perhaps used to be the camp of a clan that lived primarily on hunting and secondarily on gathering. The remains of these two circular dwellings were unearthed between 1983 and 1984 in a 22,000-year-old site of the late Paleolithic at Yanjiagang, in the southwest of Harbin. 40  m apart from each other, the two groups of remains in the shapes of two open circles consisted of animal bones stacked on top of each other: one open circle is an approximately semicircular arc with an opening to the south, while the other has an opening to the east. The length of the south-opening arc is about 500 cm and its width, consisting of animal bones, 60 cm. Its inner and outer edges are relatively neat. Among the bones, remnants of filling material made of brown-red sandy clay are discernible.

Within each open circle, a hard ground surface covered with charcoal crumbs was identified, together with fine stone tools, as a surface that was used for dwelling. The traces of fire use and the remnants of daily utensils are evidence that both circles, made of animal bones, are the remains of prehistoric dwellings. The restoration of these two dwellings, inspired by references provided by ethnological materials, allows the presumption that the dwellings were above-ground nest-dwellings with scaffoldings made of tree branches and covered with animal hides (Fig. 1.3.1). Those branches were not buried in the ground but surrounded by a low wall of animal bones, to prevent them from sliding outwards. Similar to the nest-dwellings built in trees, these dwellings were enveloped with tree branches. Therefore, the dwellings can be regarded a kind of above ground nest-dwelling.

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In dry areas, such nest-dwellings could be built above ground without stilts. The two prehistoric dwellings at Yanjiagang belonged to the culture of the northern grasslands, beyond the main line of Chinese prehistoric architecture.

2. Basic Forms of Prehistoric Architecture: Cave-Dwellings and Nest-Dwellings In China, the transition from the Paleolithic to the Neolithic was completed about 10,000 years ago. During this transition, social production evolved from the predatory economy of gathering, fishing, and hunting to the productive economy of primitive agriculture and animal husbandry. This was the first great division of labor in society and a significant economic revolution in human ­history. After the beginning of the Neolithic, the population increased significantly, the locations of the settlements became relatively stable, and the distribution of settlements expanded incessantly along the nexus of river valleys. Population growth demanded a stable source of food, which could not be ensured by the traditional means of gathering, fishing, and hunting. On the basis of the long-term productive practice of collecting, humans finally realized that certain plants could be transplanted or even sown for stable harvest. This led to the formation of primitive agriculture, which took its beginning perhaps in a certain clan settlement and was gradually transferred to further clan settlements. This is probably the origin of the archaic legend regarding the »Divine Farmer« (»Shennong shi« 神农氏), who taught people farming. The relative sedentariness facilitated the formation of agriculture; in turn, the emergence of agriculture led to the consolidation and development of sedentariness. A settled life required dwellings that were more secure. Therefore, it is considered that the agricultural economy was an important condition for the development of artificial dwellings.

SECTION 1 BASIC FORMS OF PREHISTORIC ARCHITECTURE IN CHINA

The matriarchal clan system, which gradually came into being in the middle and late Paleolithic, entered a highly developed stage by the middle and late Neolithic. 6,000–7,000 years ago, the matriarchal clan society along the Yellow River and the Yangtze River, including the Peiligang-Cishan 裴李岗—磁山 Culture, the early and middle phases of Yangshao and Hongshan 红山 Cultures, the early phase of the Dawenkou Culture, the Hemudu Culture and the early phase of the Majiabang Culture, reached their heyday. In prehistoric times, the region corresponding to modern China was vast and geographically complex. The development of the architecture, like the society that produced it, was uneven. Prehistoric humans dwelled in trees, tree holes, natural thatch shelters, and caves; and they observed nests and dens inhabited by animals. Based on these experiences and observations, they applied themselves, manufacturing stone tools to cut tree branches and built artificial dwellings. These dwellings include nest-dwellings, using trees as stilts; nest-dwellings above ground; and artificial caves in loess cliffs, dug with wooden sticks or tools made of stone, bone, or horn. The whole process does not only reflect the idea of conscious constructions, but also produced the most primitive forms of artificial nest-dwellings and cave-dwellings. Therefore, nest-dwellings and cave-dwellings are two basic initial forms of architecture. Ancient Chinese literature still preserves records of prehistoric legends concerning nest-dwellings and cave-dwellings. For example, the chapter »Five Vermin« of the book Han Feizi states that »in archaic times, when men were few and creatures numerous, human beings could not overcome the birds, beasts, insects, and reptiles. Then a sage appeared who fashioned nests of wood to protect men from harm. The people were delighted and made him ruler of all under heaven, calling him the ›Nest Builder‹ (›Youchao shi‹ 有巢氏).« »Fashioning nests of wood« can be either inter-

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preted as nesting in natural trees or as »dwelling above piled woods above ground«, i.  e., building »framed nests« above ground. Until the late Neolithic, cave-dwellings were still the primary dwelling form in the Yellow River Basin. It was convenient to build caves in the Loess Plateau (Huangtu gaoyuan 黄土高原) at high altitudes; due to the low ground-water table, shallow caves did not become wet; in the absence of technical knowledge of construction, digging was easier than construction. Therefore, cave-dwellings were always preferred in loess regions at high altitudes including the Yellow River Basin, the Yangtze River Basin, the Pearl River Basin, and those regions corresponding to today’s Southwest and Northeast China. For example, semi-cave-dwellings within the system of cave-dwellings have been discovered at sites of the Daxi 大溪 Culture in Hubei province and the Qingliangang 青莲岗 Culture in Jiangsu province as well as sites at Dongzhang 东张 in Fujian province, at Maba 马坝 in Shaoguan 韶关 in Guangdong province, and at Qamdo (Changdu 昌都) in Tibet. A passage in the chapter »Ceremonial Usages« (»Li yun« 礼运) in The Book of Rites reads: »Formerly the archaic kings had no houses. In winter they lived in caves which they had excavated, and in summer in nests which they had framed.« Judging by this passage, it is possible that in loess regions, nest-dwellings and cave-dwellings coexisted. In winter, when it was dry, and the ground-water table was low, underground cave-dwellings were preferred. If a fire was lit, a cave-dwelling was convenient because it was able to provide humidity resistance as well as heat isolation. However, the early cave-dwellings were of limited humidity resistance. In summer and autumn it was rainy, and, inside the caves, it was humid; lighting a fire would make the caves hot and stuffy. Therefore, nest-dwellings were preferred during those times. They provided an ideal summer retreat for protection against heat and humidity, due to

Chapter III Prehistoric Architecture

their high positions. After techniques for humidity resistance and ventilation in caves had been improved, the caves became inhabitable in summer as well; framed nests above ground were no longer necessary. A passage in the chapter »Duke Wen of Teng« (»Teng Wengong« 滕文公) in Mencius (Mengzi 孟子) reads: »In the low [grounds, the people] made nests, and in the high [grounds they] made caves.« In other words, nest-dwellings were built in low-altitude and humid regions, while caves were built in high-altitude and dry regions. This passage is in accord with reality, and has been confirmed by archaeological data. The regions corresponding to the territory of modern China were vast and featured complicated geographical conditions. The development of the prehistoric cultures in those individual regions was uneven. Prehistoric architecture developed primarily in the two cradles of the Chinese civilization, i.  e., the Yangtze River Basin and the Yellow River Basin. Two representative dwelling forms, i.  e., the nest-dwelling in the wetlands of the Yangtze River Basin and the caves in the loess areas of the Yellow River Basin formed the two core strands of development of China’s prehistoric architecture.

Section 2  The Origin of Chinese Wooden Architectural Structures: Nest-Dwellings The so-called nest-dwelling refers to a dwelling form with a living surface elevated from the ground. Due to its dryness and coolness, the elevated dwelling was an ideal dwelling form in summer as well as the main dwelling form in hot and humid areas. Such »summer dwellings« were often granaries that served as residences in summer, as can be inferred from certain ethnological materials. Granaries are often elevated to

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prevent mice and humidity. In addition, low-lying wetlands were favored by prehistoric humans as dwelling areas because they were convenient for production activities such as fishing, hunting, and gathering, due to their natural environment that provided rich sources of water and food to fauna and flora. In this type of environment, nest-dwellings with elevated living surfaces were the most ideal dwelling forms.

1. The Development of NestDwellings: From »a Nest Built on Wood« to Stilt Houses The invention of the nest-dwelling was the result of the accumulation of experience of architectural construction over generations. Such dwellings first appeared approximately in the early phase of clan society. It has been speculated that the primitive form of the elevated nest-dwelling was built in an individual tree, i.  e., branches, stems, stalks, and leaves were laid down at a tree fork that provided spacious room among the bifurcated branches to form a nest-dwelling. Looking indeed like a large bird’s nest, this was perhaps the archetype of the nest-dwelling. As a further development, a shade shelter above the dwelling was created with intersected branches. After that, the nest-dwelling obtained a basically mature form. There were considerable restrictions to building nest-dwellings in individual trees, forcing people to search for more convenient nesting methods and more inhabitable nesting forms. Nest-dwellings built in natural trees were relatively adaptable. They could be constructed wherever there were trees. Several neighboring trees instead of one individual tree were used to build a nest-­ dwelling. Presumably, this form of dwelling did not transform until it had been applied over a long period of time in the wetlands of prehistoric society. Nests built in trees were subject to natural conditions. With the development of clan society and

SECTION 2 THE ORIGIN OF CHINESE WOODEN ARCHITECTURAL STRUCTURES: NEST-DWELLINGS

the increase of population, the number of nests in a settlement also increased. Although numerous trees grew in the natural environment in general, trees in those regions which provided conditions for inhabitation and production, such as water sources for fishing and sources for hunting and gathering, did not necessarily suffice to build enough nest-dwellings. During the exploration of new building methods that were independent from trees to meet their accommodation needs, humans at that time made a further invention on the basis of the traditional nest-dwelling. Inspired by the elevating function of natural trees, artificial stilts and poles were created. Of course, the improvement of tree-felling tools, i.  e., stone axes, and the enhancement of technical skills, provided the conditions for this creation. If an ideal site of settlement lacked natural trees that could be used for the elevation, tree trunks that were felled in other locations would be planted in the desired site as stilts and poles in estimated positions, spacing, and numbers. The construction method above the stilts and poles was in accordance with the traditional nesting method. Obtaining independence from the natural forest environment was a significant leap in the development of nest-dwelling. This form of house built on artificial stilts and poles was called a stilt house, which is referred to in the literature as »ganlan« (干阑), or »gaolan« (高栏), »gelan« (阁栏), »gelan« (葛栏), etc., all of which are phonetic transcriptions of the same word for certain ethnic minorities in Southwest and Southeast China. To today, the word is still in use among those ethnic minorities. During the flourishing period of matriarchal clan society, stilt houses were used as summer dwellings to supplement cave-dwellings in the loess regions. They were widely used in wetlands as well, as indicated by their remnants at archaeological sites in Zhejiang and Jiangsu provinces. These sites demonstrate that in their early phase, the dwellings were built on stilts in wetlands; while in their late

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1.3.2 The development of nest-dwellings

phase, the living surfaces of the dwellings were even more elevated, i.  e., the stilts were replaced by poles. Since the foundations were wet, wooden planks were placed under the feet of the poles to prevent them from sinking. To summarize, the development of the nest-dwellings consisted of the following major stages (Fig. 1.3.2): the framed nest-dwelling on a single tree—the framed nest-dwelling on multiple trees— the stilt house—the pole house—the loft-building on stilts—the pile dwelling. In these architectural forms, the densely arranged piles, poles, floor beams, roof truss beams, and tie beams intersected each other frequently. Their intersecting nodes were originally bound together, but after those bindings were replaced by mortise and tenon joints (maosun 卯榫), a column-and-tiebeam framework (chuandou gouzao 穿斗构造)

came into being naturally. Prehistoric pile dwellings were further developed, either into houses with column-and-tie-beam frameworks, with floors close to the ground but spaces that were humidity-resistant (the low, elevated parts were enclosed with masonry, appearing to be platforms); or they were developed into two-storied buildings, with further exploitation of the spaces in their lower parts, which were attached with building envelopes.

2. Stilt Houses of Hemudu Culture The settlement site of a matriarchal clan at Hemudu village on the bank of Yao River (Yaojiang 姚江) in Yuyao, Zhejiang province, has been excavated from 1973 on. In the early phase of the site, the remnants of a large number of wooden long stilt houses were discovered. They are rare

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and precious materials in the history of architecture. The large number of wooden remnants dating to the early phase of the site (approximately 7,000 years old) include rows of stilts driven into the prehistoric sedimentary mud layer, the horizontal floor keels which were joined with the tops of the stilts by mortises and tenons, and the scattered remnants of superstructures such as floors, beams, columns, reed mats, tiles made of bark, etc. The architectural remnants were located to the east of a small hill near Hemudu village. Geological data obtained by exploration drilling indicates that the northeast side of the site used to be a mud lake. This means that these buildings were located half in water at the hill. The rows of the remaining piles had primarily a northwest-southeast orientation and sporadically a near northsouth orientation, indicating that the building was originally arranged facing the lake, with the hill as background. The social life of a matriarchal clan required separated but connected dwellings. To serve this requirement at the brim of a rainy and muddy wetland with shallow water, the architectural form of longhouse with adjoining spaces connected by a rain-proof corridor was preferred—instead of multiple, separate small dwellings. The ability to build a long wooden house that was dozens of meters long at that time indicates that the architectural techniques could already look back on a long history. Around 6,000 years ago, the mud lake at the prehistoric settlement at Hemudu shrunk away. The settlement area was no longer surrounded by shallow water and mud, and since the ground became a little drier, it was impossible to drive stilts into the ground; the only possibility was to dig pits and plant poles. But since the ground-water table was very high, wooden planks were placed under the feet of the poles to prevent them from sinking. At that time, the floor was still elevated

SECTION 2 THE ORIGIN OF CHINESE WOODEN ARCHITECTURAL STRUCTURES: NEST-DWELLINGS

to ensure humidity resistance. But since the distance between the floor and the ground was very small, the space below the floor was no longer used. It seems that this type of building no longer had the characteristics of stilt house.

3. The Art of Prehistoric Architecture Based on Nest-Dwellings Archaeological materials as well as ancient historical records and legends corroborate that in the late period of the prehistoric clan society, around 5,000 years ago, architecture with strong spiritual function, i.  e., »architectural art«, had come into being. Its most prominent representative that has been corroborated by archaeological materials is perhaps the sacrificial architecture associated with the prehistoric worship of agricultural deities—she 社, i.  e., community temples dedicated to the god of the soil. In the following, this architectural type will be introduced in juxtaposition with the »Bright Hall« (»mingtang« 明 堂), which was, according to ancient historical records and legends, an architectural type in the eras of the »Divine Farmer« and the »Yellow Emperor«. The legend of the »Yellow Emperor’s Bright Hall« has been corroborated by a site: During the reign of Emperor Wudi 武帝 of the Western Han Dynasty, a Bright Hall in the style of a she of the prehistoric clans was built at Wenshang 汶上 in Fenggao 奉高 (now Tai’an 泰安, Shandong Province). This hall was built after the model of the »Drawing of the Bright Hall in the era of the Yellow Emperor,« a drawing presented to the emperor by Gongsu Dai 公玊带 from Jinan 济南. It was used until the Eastern Han Dynasty. After ascending the throne, both Emperor Zhangdi 章帝 and Emperor Andi 安帝 of the Eastern Han Dynasty followed the example of Emperor Wudi by going to the Bright Hall at Wenshang to offer sacrifices to the Five Emperors. After the destruction of that Bright Hall, no remains of it have been discovered to date. A passage in the chapter »Treatise of Sacrifices

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1.3.3 The development of cave-dwellings (1) Horizontal cave in a loess bluff (2) Horizontal cave in a slope, transitional phase (3) Preliminary cover consisting of branches and fragments (4) Pouch-shaped vertical cave (5) Mobile cover shaped by binding (branches, etc.)—archetype of the roof (6) The middle of the dwelling, called the »middle water-runoff from roof«, at which one of the house deities was enshrined (7) Roof (8) Pouch-shaped semi-cave (9) Semi-cave with straight walls (10) Chimney (11) Archetype of house—with timber-framed clay walls and a door in the roof (12) House (13) »A roof on the walls«—the spaces within a house are called »rooms«

to Heaven and Earth« (»Fengshan shu« 封禅书) in The Grand Scribe’s Records reads: »In ancient times a Bright Hall was located at the northeastern foot of Mount Tai [Taishan 泰山]. The location was dangerous and narrow.« This means that in the Western Han Dynasty, people still knew that there had been the site of an ancient Bright Hall in Fenggao, at the foot of Mount Tai. This was probably the reason why Emperor Wudi built the Bright Hall there as well. At the time of the Yellow Emperor, the Bright Hall »had a superstructure of a loft-building« which was accessible by »an overbridge« (»fudao« 复道). This means that it was an elevated stilt house with a long, roofed staircase. Stylistically, this elevated »ceremonial hall« (»dian« 殿) was »with no walls

on its four sides and covered with thatch,« i.  e., a thatched pavilion that was open on all sides. This elevated, primitive hall was surrounded by »a palace enclosure« Outside the enclosure, there was a moat. At the time of the Yellow Emperor, the Bright Hall or she was called »Kunlun« (昆仑). It was named after Mount Kunlun, to emphasize its significant height and size (compared to the semi-cave-dwellings and low, primitive above-ground buildings at that time). This elevated hall with an altar, which was demarcated by a moat and an enclosure, could indeed represent a sense of mystery.

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Section 3  Cave-Dwellings, Origin of Architectural Structures Built with Hybrid Materials 1. The Development of Cave-Dwellings Cave-dwellings evolved from nature-imitating, horizontal cave-dwellings to vertical cave-dwellings, and subsequently to semi-cave-dwellings (Fig.  1.3.3). To date, no prehistoric example of a horizontal cave-dwelling has been discovered, but the shapes and structures of such cave-dwellings can be inferred from sites dating to the middle and late Neolithic. The remnants of the horizontal caves at these sites demonstrate two subtypes, i.  e., those with primitive double vaults and those with single-barrel vaults. Plan views of these caves are either round, square with rounded corners, or square, or rectangular with an opening at a longer edge or at a shorter edge. Some of these cave-dwellings are shaped neatly and demonstrate a relatively mature craftmanship. It seems that the first horizontal cave-dwellings emerged ten thousand years ago. The earliest of them were caves dug in loess bluffs. They had irregular circular plan views and vaulted roofs (primitive double vaults). The cave F3 (Longshan Culture) at Chagou 岔沟 in Shilou 石楼, Shanxi Province, maintained a relatively archaic style. It was created by cutting an upright facade in a steep slope before digging a cave in the facade. The dug earth was paved in front of the entrance to the cave, forming a front yard. Those horizontal cave-dwellings in slopes often did not have thick vaults. They could collapse, causing deaths due to human activities that increased loads on the vaults, or heavy rains that made the loess soak and sink, suddenly reducing strength. This impelled prehistoric humans to improve the construction techniques of horizon-

SECTION 3 CAVE-DWELLINGS, ORIGIN OF ARCHITECTURAL STRUCTURES BUILT WITH HYBRID MATERIALS

tal cave-dwellings, i.  e., to make a small opening on a slope, dig vertically down, and expand the internal space. After digging to a predetermined depth, they would scoop out a horizontal tunnel at the bottom that led to the outside of the cave. Subsequently, they would erect columns; place beams; lay branches, stems, stalks, and leaves in the cave; and then seal the small opening with soil. In fact, to dig vertically before scooping a tunnel as entrance and exit, and to construct a horizontal opening at the top belong to the concept of creating a pouch-shaped vertical cave. Such a cave could be created on a gentle slope or even on flat ground, further enhancing the freedom of selecting inhabitable sites. A pouch-shaped vertical cave on flat ground could be equipped with an entrance-and-exit tunnel that was scooped from the bottom of the cave obliquely upwards, but the tunnel is longer than the horizontal tunnel scooped out from a steep slope. The large, pouchshaped cave in Wanrong County in Shanxi Province that was excavated before the founding of the People’s Republic of China was created exactly in this way. Repeated construction practice and life experience influenced humans that bag-shaped caves that were not too deep could work well without the entrance-and-exit tunnels; instead, the top hole could serve as entrance and an exit. In such a way, actual pouch-shaped vertical caves came into being. The pouch-shaped cave with a small opening, a big bottom, and an arched longitudinal cross section, provided means to enclose a space to shelter from wind and rain. It is conceivable that, when it rained or snowed heavily, it was feasible to use branches, stems, stalks, leaves, and so on to temporarily cover the opening. This was the first idea of a »roof.« This type of preliminary cover, however, did not always work as an emergency measure when it stormed. Therefore, a type of mobile cover that was pre-woven and tied together was invented. Its shape was presumably similar

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to a conical vessel lid for outdoor use. Normally, it was placed next to the opening of the cave; in the night or when it rained or snowed, it was used to cover the opening. This mobile cover was the archetype of a roof. Since it was to be moved according to the changes between day and night, sunshine and rain, entrance and exit, its usage was not very convenient. After a long-term usage, it was further improved and transformed into a fixed roof built above the opening of the cave. From then on, the cave-dwelling began to take on a fixed appearance, i.  e., a small shack could be seen above ground. When larger and more stable roofs were made as a result of the improvement of scaffolding techniques, the depths of vertical caves could be reduced. The increase of the shallowness of those caves was beneficial for their humidity resistance, ventilation, and convenience of accessibility. As a result, semi-cave-dwellings were created. From then on, dwellings transformed from underground to semi-underground and began to transform towards above-ground. What followed was their transformation from semi-underground to above-ground.

2. Remains of Prehistoric Architecture The site of Banpo in Xi’an, dating to the period of Yangshao Culture, is a typical representative that reflects the development of semi-cave dwelling and its transformation to above-ground architecture in the middle and late periods of matriarchal clan society. Banpo belongs to the loess zone of Malan 马兰. Archaeological discoveries indicate that in the middle and late phases of the Banpo settlement, the atmospheric temperature and humidity transformed generally from warm and wet to cooler and drier. About 5,600–6,080 years ago, subtropical and tropical animals inhabited in the surrounding environment of the settlement, judging by the skeletons of bamboo rats, water deer and raccoon dogs at the site.

Chapter III Prehistoric Architecture

The Banpo settlement belonged to the middle and late phases of the Yangshao Culture. The dwellings and tombs unearthed in and around the settlement indicate approximate dates in a developed stage of matriarchal clan society. The main mode of production of the dwellers was an agricultural economy with millet as the main crop. They practiced inter-clan walking marriages (zoufanghun 走访婚), and the common type of dwelling in the settlement was likely dwelling for a couple. Among the semi-cave-dwellings at the Banpo site, all of those that were vertical had upright walls. The underground portions of those vertical caves evolved from deep to shallow, i.  e. from the depths of 80–100 cm among the earlier caves to those of 20–40 cm among the later caves. Finally, aboveground dwellings took shapes. The archaeological data at Banpo indicate that the chronology of the technological development of architectural construction is basically in line with archaeological stratigraphy of the early and the late phases of the site. The development line is clear, i.  e., from semi-cave-dwellings with upright walls and shallow underground parts to primitive above-ground dwellings. Carbon-14 dates indicate that the development took place around 300–400 years. The development of the dwellings at Banpo can be divided into three stages, i.  e., the early, middle and late stages. In the early stage, the lower space of a dwelling was formed by excavation and the upper space by construction. In the middle stage, the living surfaces were elevated to the ground, and building envelopes were constructed. In the late stage, each dwelling was divided into multiple rooms. In terms of their plan views, the dwellings can be divided into two categories, i.  e., square and circular dwellings. The existing data indicate that the dwellings in the early stage of the Banpo site were exclusively square dwellings. In general, their plan views developed from square to rectangular; their underground portions evolved from deep to shallow; the

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arrangement of their central pillars transformed from irregular to regular; their fire pits evolved from extremely shallow concave surfaces that resembled campfires to circular shallow pits with primitive stoves; their smoke vents moved from the joints of the rafters and central columns to the tops of the slopes of the front roofs. The dwellers began to coat the internal rafters with clay to prevent them from catching fire. They raised the living surfaces of the sleeping quarters and began to use the measure of »firing the floor« to protect themselves from humidity and cold (Fig. 1.3.4). The dwellings of the middle stage were characterized through the coexistence of square and circular dwellings. The circular dwellings demonstrate certain architectural characteristics of the early stage, since their dome-shaped outer structures are integral pieces; but they demonstrate certain architectural characteristics of the middle stage as well, since their living surfaces are raised to the ground due to the abandonment of the vertical caves. Therefore, they can be regarded as a transitional form between the early and the middle stages. The main features of the dwellings of the late stage are as follows: Instead of the former simple form of single-spaced dwelling, each dwelling had its internal space divided into several parts by clay walls with timber frames, forming a multi-chambered building. The upper parts of the Banpo site were severely destroyed, leaving no complete specimen of the common dwellings of the late stage. The remnants of a large number of buildings in the upper layer of the site, especially those pillar bases reinforced with gravel and those double fire pits, are evidence of a new development of the common dwellings in the late stage, i.  e., they were perhaps parts of rectangular, multi-chambered buildings that were stylistically already identical with those discovered at the Zhaowan 赵湾 site in the Zhenping 镇平 County and the Dahecun 大河村 site in Zhengzhou, in Henan Province.

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3. Settlements of the Well-Developed Matriarchal Societies of the Yellow River Basin The Yellow River Basin is relatively densely studded with prehistoric settlements. Judging by their site selections, these settlements resemble today’s natural villages. The sites of the Yangshao Culture are centered in the region of Guanzhong 关中, south Shanxi and west Henan; they stretch in the west to the upper reaches of the Wei River (Weihe 渭河), and sporadically to the Tao River (Taohe 洮 河) Basin; in the east to Henan Province; in the south to the upper and the middle reaches of the Han River (Hanshui 汉水); and in the north to the Hetao 河套 Region. The sites that have been discovered amount to more than 1,000. They are mostly located on the loess terraces on the banks of the rivers concerned and mainly in the confluence areas of those rivers. These locations were convenient for domestic water demand: as water resources used for pottery, architectural construction, and agricultural production; as well as for economic activities such as fishing, hunting, and gathering. At the same time, the confluences of rivers linked the traffics among the valleys. As a result, the locations in these areas were also advantageous for inter-settlement traffic and interaction. This is demonstrated by the typical case of the site selection of the Banpo settlement, approximately 6,000 years ago. The Banpo site is located in the middle of the Guanzhong Basin, in the basin of the Weihe River, a tributary of the Yellow River. More precisely, it is located on the eastern bank of the Chan River (Chanhe 浐河), a southern tributary of the Wei River. It lies on the second tier of the loess terrace, about 800 m away from and c. 9 m above the modern riverbed. Judging by the circumstances of soil erosion, the location of the site must have been part of the first tier of the loess terrace, close to the river in its flourishing period. Close to the confluence of the Chan River and the Ba River (Bahe

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灞河), the site perhaps used to be a wetland around 6,000 years ago that had presumably a larger quantity of water resources than today— judging by the excavated bones of a large number of water deer and bamboo deer. The fertile loess in combination with a warmer, wetter climate and abundant water resources provided the ideal environment for an agricultural settlement. Banpo is the largest known settlement site of the Yangshao Culture. It demonstrates a typical model of the settlement planning in matriarchal clan society 6,000 to 7,000 years ago. While its northwestern part was damaged and has disappeared, the surviving area of the settlement amounts to around 50,000 m². Further settlement sites of the same period include the Jiangzhai site in Lintong, covering an area of about 40,000 m²; the Beishouling 北首岭 site in Baoji; and the Wangwan 王湾 site in Luoyang 洛阳. Each of these settlements demonstrates a clear spatial division into three parts in general, i.  e., the dwelling area, the area of pottery kilns, and the burial area. The widest part from east to west of the Banpo site is nearly 200 m, while the longest part from north to south is about 300 m. Archaeological exploration indicates that the dwelling area covers about 30,000 m², of which around a fifth in the northern part has been excavated. The dwelling area is surrounded by a moat. A public cemetery is located to the north of the moat, while a production area equipped with pottery kilns is located to the east of the moat. The remnants of a bridge leading to the area of kilns were discovered on the moat in the east.

SECTION 3 CAVE-DWELLINGS, ORIGIN OF ARCHITECTURAL STRUCTURES BUILT WITH HYBRID MATERIALS

The spatial division of a dwelling area, a production area, and a burial area was the result of practices in living and production. In line with the division of labor, pottery manufacturers were brought together, arranged close to water sources, and separated from the dwelling area. This not only facilitate the production, but also prevented the dwelling environment from pollution by muddy water from the creation of greenware, and by smoke from the burning kilns. The concentrated burial of the remains of adult members of the clan outside the dwelling area did not only facilitate mourning activities based on prehistoric beliefs, but was also beneficial in terms of hygiene. The public cemetery was a manifestation of the social order of clan society. The cultural remnants dating to the early phase of the Jiangzhai site are the best preserved among others. They may reveal certain circumstances of the settlement planning, which was slightly different from that of the Banpo settlement, during the transition from matriarchal clans to extended families. The first phase of the Jiangzhai settlement covers an area of around 20,000 m². The dwelling area of the settlement is surrounded by a moat in an irregular circular shape that is hundreds of meters long. Three public cemeteries were discovered outside and next to the moat, and arranged to the east, northeast, and southeast of the dwelling area. The cemeteries amount to four, likely corresponding to the four building groups in the dwelling area. The area of pottery manufacturers is located on the bank of the river to the southwest of the dwelling area.

drawings of the reconstructed dwelling of F37 at Banpo ◂ 1.3.4 Line (1) North (2) A pit that came into being through destruction in later times (3) Annotation: The site report indicates

that the distance between the fire pit and the threshold was 90 cm (4) Roof consisting of a mixture of clay and herbaceous plants (5) Cross-section B-B’ (6) The interior walls and the floor, respectively, were coated with two layers of clay-and-herbaceous plant mixture, which had a total thickness of 2.5–3.5 cm (7) Scale of the cross section (8) cm (9) Fire pit bearing nine layers of fine clay mixed with bast fiber, with a total thickness of 30 cm (10) Scale of the plan view of the site (11) cm (12) Cross section A-A’

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The prehistoric clan settlements at Banpo and Jiangzhai managed primarily an agricultural economy. Their agricultural production areas must have been near the dwelling areas. The dwelling area of 30,000 m² at Banpo was surrounded by a moat, with the buildings arranged on the periphery, mostly facing a square in the center. Such an arrangement was obviously designed for practical purposes. Matriarchal clan society, which was bound by blood ties, implemented the primitive communal system of working together and sharing gains. All members of the settlement had the same obligations and rights. In social life, actions took place primarily collectively in the following ways: the low productivity required collective strengths in labor, in which the cooperation based on solidarity and mutual assistance was indispensable; the gains from labor were regarded collective achievements and collective wealth, and the celebration of the gains also took place collectively; the egalitarian allocation of consumption goods was also carried out in a collective way; substantial decisions were made after democratic collective discussions; events such as coming-of-age ceremonies, funerary rites, judgements of wrong deeds and of disputes, etc., were also conducted collectively in the settlement. All these events required a place for collective activities, which was likely located, according to the principle of equality, so that each dweller had to overcome the same distance to the place of assembly. This determined the overall plan of arranging the dwellings around the central square. The plan took shape in practice, which in turn inspired humans to develop a conception of planning. At that time, the thoughts of planning were materialized in the form of planning. To the modern eye, this reflects, in terms of ideology, a spirit of both joined forces and centripetal forces. The stratigraphic sequence of the Banpo site indicates that around 27 of the more than 40 dwellings excavated in the northern part were used

Chapter III Prehistoric Architecture

at the same time. It may seem that they did not demonstrate a high construction density. But, in fact, there were a number of communal storage cellars and probably a few stilt houses as summer retreats between the dwellings as well. In this view, the layout of the buildings is relatively compact. The excavated part of the Jiangzhai settlement amounts to 18,000 m². The rich traces and artifacts that have been unearthed show circumstances from the flourishing period of the settlement. The dwelling area surrounded by a moat has a circular shape with a diameter of about 140 m and an area of more than 15,000 m². The hitherto excavated dwellings with recognizable styles amount to 120. In addition, a number of the remnants of fire pits, holes left by decomposed organic pillars, and fragments of dwellings were excavated. Like the Banpo settlement, many large and small storage cellars and a few livestock corrals lie scattered among the dwellings. All those buildings are scattered around a central square. Among them, five large houses are evenly arranged around the square, each surrounded by ordinary dwellings, forming five groups. Although the composition of these buildings is relatively primitive and arbitrary, it demonstrates a planning principle of »satellite groups.« Such »big houses« are a kind of facility that appeared in all the prehistoric clan settlements that are hitherto known. They were likely administration centers that had the function of social welfare in the clan community. It is noteworthy that the Jiangzhai site provides a special example of the construction layout, i.  e., in addition to the »big houses« for the whole clan, there were four »big houses« of smaller sizes. This perhaps reflects that diverse principles of the organization of the extended families had been recognized by the community.

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4. Form and Function in Prehistoric Architecture The middle and late phases of the Yangshao Culture, about 6,000 years ago in the middle and upper reaches of the Yellow River Basin, belong to the developed stage of matriarchal clan society. The common dwellings in the clan settlements at Banpo, Jiangzhai, Beishouling, etc., in the Guanzhong area possibly used to be those allocated to adult females by the clans. In correspondence with the then practice of walking marriages between couples, such dwellings were only used by incomplete »couple families« at night. During the day, the females worked for their own matrilineal clan while their partners returned to their own matrilineal clan and worked there. There were probably no separate dormitories for adult men in the clan settlements, as can be inferred from certain ethnological materials. Judging by the above-mentioned example of the Banpo site, the characteristics of an individual dwelling are as follows: First, the rain awning, which was arranged in front of the door for waterproofing in the early phase of the site, allowed the internal space to appear more concealed and secure. As a buffer zone in front of the door, it reflects the origination of the concept of architectural spatial organization. This independent zone can be regarded as the archetype of a »hall.« Such a zone scaled out in width and formed the »bright hall« of later generations. And its partition walls on the left and right sides evolved into two »secondary rooms.« As a result, the architectural pattern of »one bright [space] and two dark [spaces]« came into being. These spaces scaled out in depth and underwent a bipartite spatial division, i.  e., »public space in the front and private space in the back.« This indicates that the two architectural features, »one bright [space] and two dark [spaces]« and »public space in the front and private space in the back,« had the same origin.

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Second, behind the partition walls on both sides of the door of a circular building, two hidden spaces were created, similar to the so-called »bed­ chambers« of modern residential buildings. In order to create these hidden spaces, the plan view of either partition wall oriented towards the center of the room, instead of being arranged parallel to each other. Accordingly, the space directly inside the door demonstrated a trapezoidal plan view. In view of the dwelling purposes, before closable bedrooms emerged the partition walls made the spaces behind them two hidden spaces that were the farthest away from the door. Hence, these two spaces already had the primitive function of the bedroom. The appearance of such hidden spaces in dwellings marks the beginning of spatial organization within prehistoric buildings and is of ­epochal significance in the history of architecture. Third, as a summary of the functional application, the interior space of the individual dwelling was used as follows: The southeastern corner was habitually used for storage for food and cooking utensils, as those items have mostly been found in that corner. The northeastern corner facing the entrance would be bright because it could be lit by the sun frontally; it was possibly the place for cooking and eating since pottery fragments have often been found there. To the north of the fire pit there is often a low, non-load-bearing wall, which was a protective means to prevent the clothing of the dwelling from heating during cooking and eating. The cooking took place close to the above-mentioned storage area, seemingly for the convenience of cooking activities. No storage remains have been found in the southwestern corner. In the later phase of the site, the living surface in that corner is slightly elevated. Treated with fire, the elevation sometimes demonstrates a structure of multiple layers that were fired separately. Its surface is hard and smooth, and seems to have been the prototype of kang-bed (kang 炕, i.  e., a heatable brick platform for sleeping.

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Judging by the sites of the late phase of the Yangshao Culture in the middle reaches of the Yellow River, matriarchal clan society was going through a period of transformation. As can be inferred from certain ethnological materials, it is possible that individual collectives of extended family consisting of the next of kin within the clan—mother, daughters, and daughters’ children—lived together for mutual care. In addition, the males in the walking marriages often lived alongside their female partners and labored with them, thus forming matriarchal »couple families.« This kind of »family,« which differed from the later patriarchal monogamous family, was incomplete and unstable. Besides the cohabiting adult females and their male partners from other clans, the members of such couple families probably included their children and the woman’s mother and grandmother. The individual couple families of sisters were closely related with each other, forming together an »extended family« or »kindred clan.« This seems to be reflected by the transformation of the dwellings in the late phase of Yangshao Culture. In the Dahecun site in Zhengzhou, which belonged to the late phase of Yangshao Culture, buildings with separate rooms and longhouses with multiple apartments reflect a significant transformation in the population structure. A multi-room building indicates that the occupants of individual rooms needed certain isolation from each other but also close contact with each other. The layout of individual dwellings at sites such as the Dahecun and the Zhaowan sites consists of one big space and one smaller one, the big space being divided into several apartments or rooms with independent entrances and exits. This type of dwelling and the longhouse at the Xiawanggang 下王岗 site in Xichuan 淅川 are both new dwelling forms that appeared during the transformation in the late period of matriarchal clan society. These two types of dwellings reflect the organizational form of living of the typical dwellers there, i.  e., members of extended families—just as the above-mentioned

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dwellings at the Banpo site reflect the living form of the couple dwellers during the flourishing period of the walking marriage in matriarchal clan society. These new dwelling forms, as important historical data, mark a new development stage of the spatial organization in the history of architecture. In historical study, they provide vivid evidence of the transformation of the social relations of production. The multi-room buildings at the Zhaowan and the Dahecun sites and those of the late phase of the Banpo site were products of the late phase of Yangshao Culture. They mark a new stage of architectural development, in which the organization of the interior space of the buildings began. In terms of the engineering technology, a multiroom building, in comparison to a single room building, saved envelope structure and thus saved materials and construction force. By reducing the area of external walls, the indoor thermal insulation effect was improved. Of course, the form of a multi-room building was in the first place determined by its function, which indicates a transformation of the relationship among the dwellers. The »big houses« that were archaeologically excavated at certain sites of the Yangshao Culture were buildings with the largest volumes occupying important positions in the central parts of the settlements. They have been found at Banpo in Xi’an, Jiangzhai in Lintong, at Wangwan in Luoyang, at Quanhucun 泉护村 in Huaxian 华县 and at Lijiacun 李家村 in Xixiang 西乡. The site of the »big house« at Wangwan is the largest known, i.  e., 20 m from east to west and 10 m from north to south. As can be inferred from certain ethnological materials, the big house in the center of individual matriarchal clan communities was the residence of the most respected »maternal grandmother« and clan chief. Therefore, it was the seat of administration for clan affairs. At the same time, it was also the collective home of the community’s dependents, such as the old, the young, the chil-

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dren, the sick, and the disabled, who lived in a cluster to facilitate social care. In view of architectural studies, »big houses« were the earliest public buildings for collective welfare. They formed the cores of the building groups of prehistoric settlements, embodying the principle of the joint and centripetal forces of the clans. The type of building at Banpo consists of wooden frames filled and coated with clay. This practice indicates the influence of pottery techniques on architecture. In view of the then aesthetic ability and creative level of humans in the art of painted pottery, it is likely that these buildings formed by clay were also decorated. Clay fragments with dint decorations have been unearthed at this site, providing direct evidence. Further building remnants of this period indicate that the plastic decoration was shaped by means of the contrast between smooth and rough textures. In general, the clay surfaces are relatively coarse. Fragments of them bear traces of smearing by fingers. Some of them, from unknown positions due to the lack of excavation data, bear convex and fine wrinkles. The fragment of a windowsill bears several types of dint marks demonstrating varies density and shapes. Such marks are visible on the surfaces of certain potteries of the Banpo site as well. At the Jiangzhai site near Xi’an, more complex geometric patterns in relief were found on clay fragments. At the Beishouling site, similar plastic decorations were unearthed as well. It is speculated that these fragments were be decorations on doors. Furthermore, there are clay fragments of figurative reliefs from unknown positions. This type of decoration, as an outstanding creation of the human ancestors of 6,000 years ago, was produced with special attention, simple technique, and remarkable effect. In the late period of matriarchal clan society, individual small groups consisting of the next of kin, i.  e., matriarchal extended families or kindred clans, appeared within the clan, resulting in the public-private opposition between the community

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and the extended family. With the development of production, male members gradually occupied dominant positions. A practice that destroyed the principle of the clan community, i.  e., men of the other clans settling down and participating in production in the settlement of their female partners, was finally recognized after repeated struggle over a long period of time. This further enhanced the opposition between the community and the extended family, and created a gap between the rich and poor among individual extended families. At that time, the earlier system of the walking marriage between a couple transformed into the relatively stable cohabitation of the »couple family«; The children who formerly »only knew their mothers and did not know their fathers« began to develop identified father-son bonds. This served to stabilize marriages and strengthen the concept of private ownership, and eventually led to the transformation of the form of marriage—the establishment of monogamous families. The concept of private ownership stimulated production and led to a period of prosperity and finally to the transition to patriarchal clan society. In the late period of patriarchal clan society, the polarization between rich and poor was accelerated. Slavery and exploitation of labor within clans became more and more pervasive; social classes gradually took shape. With the development of extended families, the former principles of the clans were increasingly diminished; after the formation of patrilineal lines, the so-called clans were eventually reduced to a mere shell. The collective enterprise of clans was weakened, and the productive function of families was constantly expanded. To improve their lives and increase their means of exchange, the families created products made of stone, bone, and animal teeth, and managed handicrafts such as knitting, weaving, and pottery. From the late phase of the Banpo site, remnants are seriously damaged, but there are still indications that sites of tombs and pottery kilns had disturbed the original planning

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in the central square. The remnants of the fourth and the fifth phases of the Jiangzhai site clearly reflect such a transformation as well. Around similar development stages, certain sites of the Longshan Culture provide more indications of such a transformation. For instance, the sites at Baiying 白营 in Tangyin 汤阴 and at Hougang 后岗 in Anyang in Henan Province, the site at Chagou in Shilou in Shanxi Province, as well as the sites at Wugong 武 功 and Zhaojialai 赵家来 in Shaanxi Province indicate that there was no clear separation between the dwelling areas and the areas of pottery kilns, unlike the sites of the Yangshao Culture. In the above-mentioned sites of the Longshan Culture, pottery kilns were mostly distributed in dwelling areas. This seems to reflect the mode of production based on the units of patrilineal families. In the second phase of the Keshengzhuang site, which belonged to Longshan Culture in Chang’an, Shaanxi Province, pottery kilns were scattered among the dwellings. The communal storage cellars that once were distributed among the dwellings were integrated into the dwellings of individual families. To date, no complete patriarchal clan settlement has been excavated. The available materials do not support that there were obvious central squares in such settlements. In the late phase of the Jiangzhai site, pottery kilns and tombs were built in the dwelling area, while the central square was already occupied by dwellings. These chaotic phenomena in the layout of the settlement in a transitional period reflect the collapse of the clans and the dawn of a slaveholding society. Since the matriarchal clans did not have families, their common dwellings were dormitories for adult females. These dwellings were only used for their overnight stays with their male partners. Therefore, they merely fulfilled simple functions, i.  e., each dwelling was generally merely a small room. As a comparison, a patrilineal family was a cohabiting unit with men and women, adults and children. Therefore, it could not be accommodated in a simple small space. Archaeological ma-

Chapter III Prehistoric Architecture

terials indicate that the common dwellings of that period, whether above-ground or underground, consisted of more than two spaces, respectively. With the development of private ownership within the patriarchal clans, the gap between the rich and the poor increased day by day. Accordingly, the quality of individual family dwellings also varied. The second phase of the Keshengzhuang site belonging to this period accommodated the remnants of ten dwellings in an area of 3,000 m². All these dwellings, which were deep, pouch-shaped cave dwellings built on the Loess Plateau, were of poor quality. Their plan views were irregularly circular or square. Their construction quality, in comparison to those of the dwellings of the matriarchal clans, clearly inferior. However, the dwellings at Keshengzhuang, mostly demonstrating a combination of two or three deep vertical caves, respectively, have more complex spaces than those of the semi-cave-dwellings of Yangshao Culture. Hence, they demonstrate a new architectural development. The remnants of dwellings belonging to this period in southern Shanxi and western Henan are of more regular shapes and better quality. They are mostly combinations of several above-ground, circular rooms, with the exception of a few square rooms. The settlement construction in the period of matriarchal clan society was a collective enterprise. Accordingly, dwellings were built with the strengths of the entire society. But in the period of patriarchal clan society, individual families either managed to build dwellings themselves, or they formed small collectives for mutual aid in construction. Therefore, the size and quality of the individual dwellings underwent certain restrictions and appear inferior. A small number of the patriarchal families, owing to conditions such as the superiority of their labor force or production techniques, were relatively wealthy and built larger and better dwellings. The combined cave-dwelling was a common type of family dwelling of late patriarchal clan society on the Loess Plateau of the Guanzhong area. It

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consisted of a vertical cave and a horizontal cave. Judging by their traces, the inner horizontal cave was a bedroom and the outer vertical cave, similar to a courtyard that was partially covered by a roof, provided space for a living room used for cooking and as a summer retreat. This type of dwelling commonly accommodated storage. In the matriarchal clan society and the early period of the patriarchal clan society, storage cellars were set outdoors. In the late period of patriarchal clan society, storage cellars, in addition to those in outdoor cellars, were kept in the cave-dwellings despite their narrowness. The arrangement of indoor storage at the expense of occupying usable areas indicates the emergence of private storage and the necessity of guarding the cellars. The gap between families in terms of private property became increasingly larger, which completely destroyed the former principle of common ownership, for better or worse, in clan society. It also led to new phenomena such as theft. Such circumstances are vividly reflected in these dwellings. Dwellings in groups of threes were found at the Huanglianshu 黄楝树 site of the Longshan Culture in Xichuan, Henan Province. The principal dwelling had a circular ground view and a door to the south. In front of its door, to the left and right, there was a square dwelling that was slightly smaller, respectively. With the doors of the two latter dwellings facing each other, the three buildings constituted together the layout of sanhe 三 合, i.  e., three buildings combined in a way so that they share a courtyard open to one side. Judging by a part of the Baiying site of the late phase of the Longshan Culture in Tangyin, Henan Province, the entrances of the circular dwellings commonly faced south due to the requirement of natural light; but some entrances faced west, east, or north as well. The diverse building orientations were obviously arranged for the convenience of the connection among dwellings. It is likely that the neighboring dwellings, of which the doors had coordinated orientations, were a building cluster.

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In addition, remnants of similar building clusters were discovered at two further sites of the late phase of Longshan Culture, at Wangyoufang 王油 坊 and Heigudui in Yongcheng 永城, Henan Province. Hence, it seems possible that the late phase of Longshan Culture was the heyday of patriarchal clan society but also the beginning of its gradual disintegration and of the transition to a class society.

5. The Art of Prehistoric Architecture Based on Cave-Dwellings With the increasing privileges of patriarchal clan chiefs and their transformation to slaveholders, the nature of the »big houses« that they inhabited gradually transformed from the former centers of clan management and public welfare into their private properties. In the late period of the patriarchal clan, the big houses that had the characteristic of »public space in the front and private space in the back« became places exclusively used by the clan chiefs, i.  e., places where they governed and where their privileged families lived. The house numbered F901 at the site of Dadiwan in the east of Shaodian 邵店 village in Qin’an, Gansu Province, probably exemplifies the big houses of this period. The Dadiwan site is located on the loess terrace on the southern bank of a tributary of the Yellow River, i.  e., the Qing river (Qinghe 清河), in Wuying 五营 town. Covering an area of about 120,000 m², it is a Neolithic site in the upper reaches of the Yellow River. It belonged primarily to the Dadiwan Culture and Yangshao Culture while comprising a small part of Majiayao Culture as well. Radiocarbon dating adjusted by dendrochronology indicates that Dadiwan Culture at the site existed between 5,850 BCE and 5,400 BCE; while the early, middle and late periods of Yangshao Culture there existed from 4,050 BCE to 2,950 BCE. In other words, the clan settlement at Dadiwan was active for over two thousand years. From its early stage to its late stage, the seat of the Dadiwan set-

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Chapter III Prehistoric Architecture

1.3.5 The site of F901 at Dadiwan

tlement spread from the first tier of the loess terrace to the second and third loess terraces of the Yellow River Valley. In its later phase, it became a large-scale tribe along the Qing River in Wuying town and probably played a significant role among the tribes in the area at the time. Big house F901, dating to about 5,000 years ago (Fig. 1.3.5), belongs to the late phase of Yangshao Culture. It is located on a square of nearly 1,000 m² in the middle of the settlement on the Dadiwan terrace, 80 m above the riverbed of the Yellow River. Most of the common dwellings in the Dadiwan settlement 5,000 years ago were rectangular buildings above ground. Among them, F901 is the largest known, and occupies a prominent position. Hence, it was presumably the most important building in the settlement, i.  e., the tribal administration center and meeting hall. It is also possible that the tribal chief dwelled in it. Since

their society then was undergoing a transformation from a clan society to a state, the privileges of the clan chief were growing. Accordingly, the building in which he lived and exercised his powers gradually evolved into his ruling palace, as is the case of F901. The remnants of F901 indicate that it was originally a multi-space building complex. Its main body was a large room with an approximately trapezoidal plan view. The front wall was 1,670 cm long, the rear wall 1,520 cm, the left wall 784 cm, and the right wall 836 cm. There were three doors in the front wall, the middle one of which was styled as a protruding, enclosed portico. A large fire pit was arranged in the middle of the room. On either side of the fire pit, next to the rear gable, there was a large hole left by a decayed organic pillar. Hence, the plan view was axisym­met­ric.

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On either side of the main room, there are remnants of a side room, which was connected with the main room through a door. Behind the main room, there are remnants of a rear room. In front of the main room there are holes left by decayed organic pillars, forming three rows that were equal in length to the main room. This indicates that the front wall was connected to an open shed. The vertical axis of the whole building complex was 30 degrees east of north, namely, facing southwest, which was the orientation favored by the ancient people—the sun-slanting-westwards (ze 昃) orientation. These characteristics of the building complex indicate that F901 was the central institution of the social governance of the tribe as well as the residence of the tribal chief at its time. The meeting hall and the shed were used for administration, assemblies, or ceremonies. The back room and the side rooms were used for the dwelling of the chief and his family or for the storage of their belongings. F901 can confirm the legend of the »shishi« (世室, i.  e., »big house«) of the rulers of the Xia Dynasty. As a large building complex, »shishi« had the form of »public space in the front and private space in the back« and the function of »court in the front and sleeping chamber in the back.« It laid the foundation of the basic pattern of the Chinese palace.

Section 4  Diverse Early Forms of Ritual Architecture Historical and cultural concepts always develop alongside human social activities, and various aspects of human social activities also reflect certain social and cultural concepts. The same holds true for the development of architecture. As early as 6,000 years ago, when the matriarchal society of the Yellow River Basin was at its apex, buildings were already decorated with shaped clay

SECTION 4 DIVERSE EARLY FORMS OF RITUAL ARCHITECTURE

elements. Architecture, as man-made, fixed, and immersive spaces, not only evokes an aesthetic by the regularity of its external shape, but also enable specific spatial perceptions through different environmental elements such as narrowness, spaciousness, openness, baseness, loftiness, monotonousness, complexity, darkness, brightness and so forth. Therefore, it is possible to organize various elements to express ideas concerning certain concepts, thoughts and emotions. This is the cultural function of architecture, i.  e., the artistry of architecture. Therefore, to put it plainly, architectural art is formed not only by architecture that fulfils practical functions in terms of materiality, but also by or primarily by architecture that meets certain spiritual requirements. In early human social life, production technology and lifestyle were often inseparable from artistic phenomena. In late prehistoric society, architecture apparently closely combined engineering technology with architectural art. As early as 5,000 years ago, »architecture as art« had come into being, and its representative works were the prehistoric religious buildings and the mausolea of the chiefs of certain tribes. The Hongshan Culture of late prehistoric society was mainly distributed across western Liaoning, southeastern Inner Mongolia, and northern Hebei. As a prehistoric culture created by tribal groups to the north of the Yanshan 燕山 Mountains in the upper reaches of Dalin River (Dalinhe 大凌河) and Xiliao River (Xiliaohe 西辽河), it was primarily based on an agricultural economy combined with animal husbandry, fishing, and hunting. It had a very rich culture, the most impressive artifacts being the impressive jade »pig-shaped dragons« dating to 5,000–6,000 years ago, i.  e., during the transition between late matriarchal clan society to patriarchal clan society. At a sacrificial site of the Hongshan Culture at Dongshanzui 东山嘴 in Harqin Zuoyi Mongol Autonomous County (Kazuoxian 喀左县) as well as in the Niuheliang 牛 河梁 area at the junction of Lingyuan 凌源 and

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Jianping 建平 counties, architectural forms such as the altar, temple, cemeteries and so forth came into being. The above-mentioned sacrificial site is a group of stone masonry altars facing southeast and overlooking the Dalin River, at the center of the top of a mountain ridge at Dongshanzui (literally »Eastern Spur«). Those altars on the southern side were circular, while those on the northern side were square. They were arranged more or less axisymmetrically. Close to one of the circular altars with a diameter of 2.5 m, ta pottery statue of a naked woman, and pottery sacrificial vessels, have been unearthed. Another large circular altar, 60 m in diameter, is particularly striking because it was made in the shape of a three-tiered circular stage. In Chinese history, an altar with a threetiered foundation has always been one of the supreme structures. The specimen at Dongshanzui indicates that this architectural tradition has an archaic cultural origin. Altars and mausolea of the Liangzhu 良渚 Culture, dating to the same period as those altars and mausolea of the Hongshan Culture in north China, have also been discovered in the lower reaches of the Yangtze River. Adjusted radiocarbon dating indicates that the Liangzhu Culture existed between c. 3,300 BCE and 2,200 BCE. The discovered altars and mausolea confirmed that the Liangzhu Culture existed during the transition between the end of the prehistoric clan society and the slaveholding form of the state. The excavated site at Zhaolingshan 赵陵山 in Kunshan 昆山, Jiangsu Province, was more than 8 m high and covered an area of more than 10,000 m². Surrounded by ancient rivers, it had a magnificent atmosphere and was a site of an earthen mound that is typical in the Taihu 太湖 Basin. To its west, on the same latitude, there are the Caoxieshan 草鞋山 site and the Zhanglingshan 张陵山 site in Wuxian 吴县 as well as the Shaoqingshan 少卿山 site in Kunshan; to its east, there are sites such as the Fuquanshan 福泉山 site in Qingpu 青

Chapter III Prehistoric Architecture

浦 in Shanghai 上海. These sites are aligned with each other from east to west. The cultural layers of the Zhaolingshan site were more than 9 m thick, with the uppermost layer dating to the Spring and Autumn Period. The middle layer, which was the thickest of all, belonged to the Liangzhu Culture. In the period of the Liangzhu Culture, the central part of the site is a large, man-made earthen platform, about 60 m long from east to west, 50 m wide from north to south, and about 4 m high. This large platform is made of pure, tessellated soil, covering the lower depositional layer of the Songze 崧 泽 Culture. To the south of the platform, there are two layers of red burned soil in the consistence of adobe covering an area of 70–80 m² and 30–50 cm thick. These layers are tilted towards the southern side. The remains discovered under them reflect the nature of the site. Under the second layer of the red burned soil, a number of special burials were discovered. These phenomena probably reflect burial customs and sacrificial rites based on prehistoric religious beliefs. This site presumably was an area of altars and a special cemetery for a large tribe with considerable power in the lower reaches of the Yangtze River. In the upper reaches of the Yellow River, the Qijia Culture demonstrates the disintegration of prehistoric clan society as well as the production levels and drastic social transformation in the early stage of the state. In the cemetery of the Qijia Culture, there are six ruins known as »stone circles,« all of which have diameters of around 4 m and consist of gravel of similar size. One of the circles was discovered at the Dahezhuang 大河庄 site in Yongjing 永靖, Gansu Province. The Dahezhuang »stone circle« was equipped with an opening on its northwestern side, 1.5 m in width. Close to it, numerous tombs as well as oracle bones, bones of cattle, sheep, and so forth were discovered. The oracle bones were mainly scapula of sheep, but also those of cattle and pigs. In general, these oracle bones bear no traces of drilling or chiseling, but round holes or

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further traces left by burning. This indicates that sacrificial activities used to be carried out at the site, i.  e., the stone circle used to be an altar. The circle is the basic shape of and the basic trajectory of the motion of all materials of both micro and macro scale dimensions. It is also a mechanism of the spiritual world. The prehistoric human, with his sixth sense, had realized the mystery of the circle and the sense of sacredness that it could evoke. As early as approximately 5,000 years ago, the Hongshan Culture at Dongshanzui and the Qijia Culture both created sacred circular altars by mere coincidence. Since ancient times, the Chinese have took the circle as the standard of tian 天 and the square as the standard of di 地. »Tian« does not only mean the sky, but more importantly, the recurring of day and night and the recurring of the four seasons. Hence, »tian« mainly refers to the time, namely »zhou« (宙). »Di« does not only mean the earth with the four orientations of the east, west, north, and south. More profoundly, it refers to space, namely »yu« (宇). Hence, the circle and the square represent space-time and the universe. The cultural relics of late prehistoric society already include circular and square altars, indicating the profound origin of the philosophical thought of the Chinese ancestors in the visual representation of circular and square shapes. The circular shapes of both the altar at Dahezhuang and the altar with a diameter of 60  m in the Hongshan Culture have relatively regular shapes with geometric centers. This is evidence that as far as 4,000–5,000 years ago, instruments were used to draw circular auxiliary lines in architectural construction. Certain pre-Qin documents record the use of »compasses« to draw circles. Pictorial representations of the Han Dynasty indicate that such compasses were ropes tied to a peg at one end. This was presumably the most primitive type of compass, which was used by fixing the peg in a certain position and drawing a circle with the string as the radius.

SECTION 4 DIVERSE EARLY FORMS OF RITUAL ARCHITECTURE

At the Niuheliang site of Hongshan Culture, a prehistoric goddess temple was discovered. Accommodating the statue of a goddess, the temple is shaped as a vertical semi-cave and attached with an above-ground square platform. Its plan view is a »–« shape in its south end plus a »T« shape from south to north, with a total length of 22 m and a maximum width of 8 m. An exploratory excavation of the upper layer revealed a large goddess head and fragments of her arms and hands, as well as a roof, fragments of stucco, and fragments of painted clay decoration. The goddess temple was surrounded by about a dozen stone-mound tombs to its west and to its south at the foot of the mountain, on which the temple was located. The site numbered as Niu II, accommodating four stone-mound tombs, is located on a slope on the southern side of the top of the main ridge of Niuheliang (literally »Mountain Ridge at the Cow River«). They are aligned with each other, with a total length of 110 m. In terms of their altitudes, the northern sites are located higher than the southern ones. In situ, the remnants of the retaining walls that formed the lowest platform of one of the stonemound tombs, numbered Z2, are discernible. The southern retaining wall is the worst preserved, with a length of only 3  m remaining. The eastern wall is relatively well preserved and about 18.7 m long. It was built with large stone blocks that were quarried in relatively regular shapes without mortar. The individual stone blocks are generally 40–50  cm long and 30–40  cm thick. They are arranged in stretcher bond with their flat sides facing outwards. Accordingly, the wall is straight and its surface flat. The southern section of the eastern wall, which has a height of 0.89 m, is the best preserved, consisting of four rows of stones. Inside the retaining walls of the lowest platform, the earth fill near the walls, nearly 3  m in width, covered by gravel. Within this 3-meter-wide, circumferential fill belt, there was presumably a second platform, judging by

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the remaining stone blocks. In the middle of this platform, there is a third, square platform, with a side length of 3.6 m. The third platform is relatively complete, with each wall consisting of 5 or 6 rows of regularly shaped limestone and granite blocks. The walls taper towards the top. Accordingly, the whole platform has the shape of an inverted square funnel. Inside the third platform, there is a tomb chamber with an east-west orientation. Consisting of flagstones, it is 2.21 m in length, 0.85  m in width, and 1.4  m in depth. The gap between the flagstone walls of the tomb chamber and the surrounding retaining walls is filled with irregular small stones. The roof of the tomb chamber is covered with thin flagstones. The southern part of the lowest platform bore remnants of walls made of red burned soil, indicating that, originally, there was a sacrificial hall on the platform. In addition, fragments of cylinder-shaped pottery pedestals remain in a row at the southern retaining wall of the second platform. Similar to the discoveries made at the other

Chapter III Prehistoric Architecture

stone-mound tombs such as Z1, the second platform was originally surrounded by a dense row of cylinder-shaped pottery pedestals, the bases of pots with round bottoms, i.  e., ritual lamps or the so-called »evershining« lamps (changmingdeng 长明灯) lit during sacrifices. This arrangement would have created an atmosphere of great mystery and sacredness, as well as the strong impact of mausolea, especially at night. Tomb Z2 was looted in its early years, and its tomb chamber ransacked. The tomb chambers of the same type of stone-mound tombs were equipped with jade items such as jade bi-discs (yubi 玉璧), jade pig-shaped dragons and jade headdresses. This corroborates the identity of the occupant of tomb Z2 as a tribal chief or one of his relatives. These tombs, known as »stone-mound tombs,« are the earliest known in China. Legend has it that they were tombs of the »prehistoric patriarchs,« »prehistoric kings,« or their relatives. They provided precedence for the thousands-year-old system of the mausolea of Chinese rulers.

CHAPTER IV PREHISTORIC SCULPTURE Section 1  Periodization of Prehistoric Sculpture As one of the important genres of prehistoric art, sculpture originated along with the human invention and usage of tools. Like other genres of prehistoric art, prehistoric sculpture also embodied numerous social and cultural aspects, including socially utilitarian purpose as well as spiritual needs. Its motifs were chosen according to the desire to survival, the need for social organization, life sustenance, entertainment, and the need for aesthetics. Under the guidance of these purposes and by means of expressing their concepts of time and space, prehistoric humans created a large number of sculptures with hybrid functionality, by using the common materials around them and applying the techniques and methods they invented when using tools. The first materials they used were stones, which were made into various daily utensils as well as statues of humans and animals—any wooden sculptures have mostly decayed due to their age. Further common materials include the bones of various animals and, in terms of artificial materials, pottery was used. Pottery sculptures were either attached to pottery vessels or shaped as freestanding artifacts. These were the earliest sculptures made of artificial materials. Such prehistoric sculptures have been widely discovered at numerous archaeological sites, dating to both the Paleolithic and the Neolithic. They provide valuable material for the investigation of the life and art of the prehistoric humans who inhabited the region corresponding to modern China, and establish a relative starting

point for tracing the origin of the sculpture of the Chinese peoples. This enables an exploration of the spiritual characteristics and the earliest cultural expressions of sculptural art of those prehistoric humans, the reception of their sculptural art by later Chinese generations, as well as relevant factors that influenced the development of sculptural art in later generations. A comprehensive investigation of the individual aspects of prehistoric sculpture indicates that it was continuously created, developed, and passed on from generation to generation, promoting the constant development of sculptural art into new stages.

1. Paleolithic Sculpture The earliest works of prehistoric sculpture date to the Paleolithic. In China, the earliest and most representative prehistoric sculptures have been unearthed from sites of archaic humans along the Yellow River and the Liaohe 辽河 River, including the Shuidonggou 水洞沟 site in Ningxia, the Zhiyu 峙峪 site in Shanxi, the Zhoukoudian 周口店 site in Beijing, the Xiaonanhai 小南海 site in Henan, the Hutouliang 虎头梁 site in Hebei, the Jinniushan 金牛山 site in Liaoning, and the Xiaogushan 小孤山 site in Liaoning. A small number of sculptures dating to the late Paleolithic have been unearthed in China. Their materials can be classified into stone, teeth, bone, seashell (mussels) and eggshell. Stone sculptures include perforated gravel and stone beads, polished and drilled graphite sculptures, and natural calcareous nodules in oval beaded shapes. Sculptures made of bone include perforated bones in narrow waist-shapes, bone tubes with carved grooves, black carp bones bearing small drillings,

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flat beads made of bird bones, etc. Sculptures made of teeth include those ornaments made of the perforated canine teeth of badgers, foxes, deer, and weasels. Sculptures made of seashell include perforated cockle shells, and seashells that were perforated at the apertures. Sculptures made of eggshell include flat beads made of perforated ostrich eggshells.

2. Neolithic Sculpture The remnants of sculptures dating to the Neolithic are rich and diverse. Their materials include earth coal, clams, jade, stone, teeth, bone, horns, wood, and pottery—among which pottery was the most frequently used. Their processing techniques include engraving, relief carving, carving in the round, fretwork, modeling, appliqué, layered appliqué, awl-pricking, inlay, and so forth. In terms of the existent forms of those sculptures, sometimes the whole sculpture would form the shape of a certain utensil; sometimes a sculpture was attached as appliqué to another utensil, i.  e., it forms parts of the utensils; and, sometimes, a sculpture was shaped independently, as art. In terms of their functions, some sculptures were made as decorations for pottery, while some sculptures were used as fetishes in prehistoric religion, or as props for magic or sacrifices. In terms of their motifs, the motifs of some sculptures, demonstrating images of various animals, derived from nature; the motifs of some sculptures, demonstrating images of various humans, derived from human society; and the motifs of yet other sculptures, demonstrating imaginary things or images such as totems with human bodies with animal heads as well as mythological images, derived from prehistoric beliefs. In the Neolithic, a period covering a long time span, sculptural art demonstrated various characteristics in several individual stages of development and evolution, i.  e., the stages of origination, development, and synthesis. In the stage of origination 7,500–8,000 years ago, sculptures and carvings of animal images were

Chapter IV Prehistoric Sculpture

the most common motifs. There were also a considerable number of sculptures and carvings of human figures. The sculptures of animals include two pottery pig heads and a pottery goat head unearthed at the Egoubeigang 莪沟北岗 site of the Peiligang Culture in Mixian 密县 County, Henan Province; a bone shuttle with one end shaped as an animal head, unearthed at a site of the Cishan Culture; a bird-shaped wood carving unearthed in the lower cultural layer at the Xinle 新乐 site in zones along the Yanshan Mountains; a pottery pig head and a small stone monkey unearthed in the cultural layer of the second phase of the Shangzhai 上宅 site in Pinggu 平谷, Beijing; and others. The sculptures of human figures include a pottery head excavated from the Egoubeigang site of the Peiligang Culture and a headless pottery bust unearthed from the lower cultural layer at the Beishouling site in Baoji. In the stage of development 5,000–7,500 years ago, pottery decorations were the main form of the existence and development of sculpture, while there were also independent, small-scale sculptures of human figures made of bones, teeth, jade, and stone. The main sculptural techniques include sculpture in the round, and relief carving. Supplementary techniques include colored sculpture and fretwork; the technique of line engraving has rarely been seen. The upper and middle reaches of the Yellow River produced abundant human sculptures, while its lower reaches are famous for pottery sculptures of animals, and sculptures made of teeth and bone. Furthermore, in the upper and middle reaches of the Yellow River, the mouths or bodies of pottery vessels were often attached as appliqué shaped as human heads or human figures (Fig. 1.4.1). In north China, a playful and lovely little stone monkey and a charmingly plain pig head and goat head unearthed from the Shangzhai site are masterpieces of the human ancestors who lived in Shangzhai 6,500–7,000 years ago, as well as the earliest excellent stone animal sculptures discov-

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1.4.1  Human sculptures unearthed at the following sites in the upper reaches of the Yellow River: 1. The Chaijiaping site in Tianshui, Gansu Province; 2. The Gaositou site in Lixian, Gansu Province; 3. The Dengjiazhuang site in Lintong, Shaanxi Province; 4. The Anban site in Fufeng, Shaanxi Province; 5. The Jiangjiacun site in Fufeng, Shaanxi Province; 6. The Dadiwan site in Qin’an, Gansu Province; 7. The Banpo site in Xi’an, Shaanxi Province; 8. The Qilipu site in Shaanxian, Shaanxi Province.



SECTION 1 PERIODIZATION OF PREHISTORIC SCULPTURE



ered in China. In northeast China, the Neolithic site at Houwa 后洼 in Dandong 丹东 produced more than 40 stone and pottery sculptures that are 6,000 years old, in the shapes of animals, plants, humans, or man-animal hybrids. The lower layer of the site yielded primarily animal statues that were meticulously and realistically carved, while the upper layer of the site produced mainly pottery human heads that were roughly sculpted, mostly demonstrating the patterned form of artistic expression. A double-sided carved stone sculpture with two faces unearthed at the Daxi 大溪 site of the Daxi Culture (Fig.  1.4.2) in Wushan 巫山 County, Sichuan Province, can be regarded as one of the important representatives of the middle reaches of the Yangtze River. Either side of this sculpture bears a relatively realistic human face, which has an oval shape, a nose contour connected to the eyebrows, an open mouth, and wide eyes. The face on one side is chubby and plump, and seems to be a woman’s face, while the one on the other side is slightly thinner and appears to be a man’s face. Another representative pottery sculpture of the middle reaches of the Yangtze River is a birdshaped knob on a pottery vessel lid unearthed at Huacun 花村 in Songzi 松滋, Hubei Province.













Numerous sculptures have been discovered in the lower reaches of the Yangtze River, including a butterfly-shaped ivory engraved with the pattern of »two birds facing the sun,« a bone dagger engraved with the pattern of two birds, and a piece of wooden fish carved in the round, from the Hemudu Culture. In addition, clay figurines of human heads were unearthed at Hemudu as well. In contrast to the square heads at Banpo, they are slender and elongated, with prominent foreheads, high cheekbones, wide eye areas and mouths, and relatively small noses. Sculptures dating to the stage of synthesis 4,000– 5,200 years ago have been relatively abundantly unearthed. In western China, the Majiayao Culture yielded a number of human sculptures. The painted sculptures among them appear technically immature and clumsy, but their physiognomies are clear. In north China, the sculptures of pregnant women unearthed at Dongshanzui and the sculpture of a goddess unearthed at Niuheliang are the most striking. In the Hongshan Culture, jade sculptures in the shapes of dragons, turtles, cicadas, birds and so forth are extremely numerous and form a self-contained system. In the late Neolithic period in China, the Hongshan Culture, with sculptures as its main symbols, rose

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1.4.2 Stone sculpture with two faces unearthed at the Daxi site in Wushan, Sichuan Province

suddenly in the northeastern coastal area and the eastern region of Inner Mongolia, and became an important part of the early civilization of Chinese culture. In the lower reaches of the Yellow River, pottery animal sculptures or pottery vessels in the shapes of animals such as pigs, dogs, turtles and so forth were unearthed from the Dawenkou Culture in both Shandong and Jiangsu. The upper reaches of the Yangtze River are rich in the discovery of pottery sculptures. Those unearthed in the cultural layer of the third phase of the Qinglongquan Culture at Tianmen in Jingzhou 荆州, Hubei Province, include pottery sculptures of elephants, monkeys, dogs, rabbits, owls, goats, turtles, chickens, ducks, and human figures. In particular, the scenic sculpture of a bird riding a puppy, which is characterized by a peculiar style and an ingenious composition, demonstrates a strong sense of humor and regional characteristics (Fig. 1.4.3). In the stage of synthesis, individual regions presented uneven development in prehistoric art. In the Central Plains, sculptural art with representatives in Longshan Culture tended to decline, while in Hongshan Culture, in north China, Majiayao Culture in the upper reaches of the Yellow River,

Chapter IV Prehistoric Sculpture

the third phase of Qinglongquan Culture in the middle reaches of the Yangtze River, and Shixia 石峡 Culture in southeast China, sculptural art made obvious progress in terms of its techniques, motifs, and styles, demonstrating the characteristics of sculptural art in this stage. With the continuous development of productive forces and the increasingly frequent exchanges among individual regions, the sculptural art of various regions and cultural types influenced each other, demonstrating a trend of mutual influence. For instance, after the sculptural art of colored human figures originating with Yangshao Culture was absorbed, integrated, and developed by the Majiayao Culture, it became a style characterized by bright colors with emphasis on freehand sketching, reaching the peak of prehistoric colored sculptural art. The pottery human heads of Longshan culture in the lower reaches of the Yellow River adopted the fretwork technique from Yangshao Culture to work out physiognomies. The tooth and bone sculptures and flora motifs that were prevalent in the

1.4.3 Pottery elephant, a sculpture of the Yellow River Basin unearthed at Tianmen, Jingzhou, Hubei Province

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lower reaches of the Yangtze River were absorbed by the Dawenkou Culture as well; subsequently, the Dawenkou Culture, utilizing the fretwork technique that it had mastered, produced excellent work—such as ivory tubes carved with seamless patterns of petals. In the stage of synthesis, the sculpture of human figures were partly detached from its former status as decoration and gradually became an independent sculptural category, due to the demands of society. They bore, increasingly, features of magical belief or ancestor worship, demonstrating the social division of labor and hierarchical diversity. For instance, the relief of a naked figure on the shoulder and belly of a pot unearthed at Liuwan 柳湾 in Ledu 乐都, Qinghai, is not simply a decorative figure, but a symbol of the prehistoric belief in magic. This figure, which likely depicts a female, bears on the head and face numerous vertical lines painted in ink. This is a vivid depiction of the archaic Qiang 羌 people’s custom of covering the face with open hair. This female figure with obvious gendered characteristics could have been an instrument used in a magic rite for praying for fertility.

Section 2  Engravings on Potteries and Other Objects In prehistoric sculptural art, engraved patterns constitute a common type. Carvings on natural materials appeared already in the Paleolithic; potteries with carved patterns and those with painted patterns existed parallel and spread wide for thousands of years in the Neolithic, with distinct regional characteristics.

1. Carvings on Potteries The motifs of carvings on potteries include flora, fauna, humans, symbols, and writings. The carved flora patterns on the plain potteries un-

SECTION 2 ENGRAVINGS ON POTTERIES AND OTHER OBJECTS

earthed at Hemudu in Yuyao, Zhejiang province, are extremely rich. One of those potteries was carved with a four-leaf pattern and a branch-leaf pattern, both of which are relatively realistic. Furthermore, a shard was carved at its bottom with a tall five-leaf plant that resembles rohdea japonica. The middle leaf of the plant, standing upright, is straight and full of vitality; the remaining four leaves bend symmetrically to the two sides of the middle leaf. The carved lines are lively and the shape of the plant is also full of vitality. The choice of flora patterns as decorations for potteries indicates the development of the prehistoric agricultural civilization in the cultural site at Hemudu and its surrounding areas, and the familiarity of prehistoric humans with the shapes of flora due to their observation. The standing grain pattern in the Hemudu Culture is primarily formed by curved lines that are smooth and natural. Its composition is symmetrical. Sometimes, plant leaves and stems alternating with each other are arranged in triangles around the round mouth of a pottery vessel. Certain parts of the early pottery vessels of the Dawenkou Culture, such as the shoulders of guan-pots (guan 罐) and the handles or bellies of the dou-vessels (dou 豆), bear sparse flora patterns such as flowers and grains. Engravings of fauna patterns on potteries have been unearthed at sites of the Hemudu culture, the Dawenkou Culture in Shandong Province, and the Nantaidi 南台地 site of the Xiaoheyan 小河沿 Culture in Aohan Banner (Aohanqi 敖汉旗), Liaoning Province. For instance, the Hemudu site produced a rectangular black pottery bo-bowl (bo 钵) made from clay with additional charcoal. It has four rounded corners and a flat bottom. Its outer surface on either longer side is engraved with a pig that has a long snout, round eyes, erect bristles, and a drooping tail. Its limbs demonstrate a walking pose as if it were foraging. The engraving style is fully realistic. The foot of a pottery dou-vessel unearthed at the Wangjiashan 王家山 site of the Liangzhu Culture in Danyang 丹阳, Jiangsu Prov-

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ince, bears the engravings of three layers of fish patterns with freehand sketch style: The fish bodies and fins are vivid, as if they were swimming in water. A pottery vessel in the shape of a zun 尊 unearthed from a site on a hill near Xinglongwa 兴隆 洼 village in Aohanqi, Inner Mongolia, belongs to the Zhaobaogou 赵宝沟 Culture. The biggest part of its belly has a grid pattern background and is covered with combined fauna patterns, i.  e., the profile views of a deer, a pig, and a bird. The bellies and bottoms of the pottery yu-vessels (yu 盂) from the Beifudi 北福地 site in Shenshizhuang 神石庄 town, Yixian 易县 County, Hebei Orovince, are engraved with human faces. The carving styles of these faces are sometimes exaggerated and freehand, and sometimes realistic. One of the realistic faces is the image of an old man with a beard. The other faces are styled more strangely, including those that have eyes represented by carved holes. These potteries, which date back to approximately 8,000 years ago, are the earliest Chinese potteries decorated with carved human figures. Further potteries with similar carvings include a pottery plate unearthed at a site of the Longshan culture at Baiying, in Henan Province, with two naked female figures engraved on its foot; and an elongated pottery shard unearthed at a site of the Longshan culture at Xiawu 下坞 in Qucun 曲村 village, Quwo 曲沃, Shanxi Province. Numerous carved symbolic patterns have been discovered on Neolithic potteries. Some of them seem to be prehistoric writings, others seem to be prehistoric pictures, yet others are symbols. For instance, pottery shards with carved symbols of the Longshan Culture have been unearthed at Chengziya 城子崖 in Zhangqiu 章丘, Shandong Province. Such symbols have been found on potteries from further sites of the Longshan and Erlitou 二里头 cultures as well. Those symbols found on the potteries of the Dawenkou Culture are particularly notable. The Dawenkou Culture, dating to 4,300–2,500 BCE, was distributed across

Chapter IV Prehistoric Sculpture

Shandong, northern Jiangsu, and eastern Henan. It was succeeded by the Longshan Culture in Shandong. Some people believe that these symbols were paintings in realistic or freehand styles, while others believe that they were a prehistoric form of writing. Pottery spindle whorls discovered in individual Neolithic sites bear patterns with particular meaning, which are partially painted with colors, partly engraved by sharp objects.

2. Carvings on Teeth, Bone, and Wood Objects Potteries are admittedly the most common bearers of Neolithic carving patterns. But objects of further materials bearing shallow carvings are not uncommon, either. Several examples of teeth, bone, and wood carvings have been already discovered. Tomb no. 59 at the Dawenkou site and tomb no. 62 at the Yedian 野店 site, respectively, yielded carved ivory tubes. The tube from the former tomb is decorated with a seamless pattern of four-petal flowers alternating with small round holes. The tube from the latter tomb is cylindrical and bears at its top, bottom, and in its middle, respectively, one group of parallel lines. These three line-groupings divide the whole tube into two sections. The recto side of the upper section would have been inlaid with four equally spaced turquoise stones, which had fallen from their round inlay cavities before excavation. A bone tube unearthed from a tomb at Hejiawan 何家湾 in Xixiang 西乡 County, Shaanxi Province, bears on the exterior surface of its wall the thin line-engravings of three closely connected human faces. The expressions of the three faces from left to right are weeping, anger, and laughter. The contour of the face on the left is simply represented by an engraved circular line, the eyebrows and nose are represented by two lines forming a »T«-shape, and the flat oval eyes by small circles. A very sad look is expressed by lower eyelids that droops

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like two cloth bags, the middle of each bearing a downward diagonal line; a flat mouth; and teeth represented by vertical lines. The contours of the middle and the right faces are represented by engraved oval lines. Their noses have large bridges that taper downwards as well as nostrils. There are differences between these two faces. The middle face makes an angry grimace expressed by widely opened eyes, which bear engraved small dots in their middles, as pupils; a flat mouth; and bared teeth. The face on the right side clearly has a smiling expression; eyes of the shapes of concave-down crescents, the middle of each bearing a short downward curve as an indication of a closed eye; a flat mouth; and exposed teeth. The line engravings on the exterior surface of the bone tube have an ingenious composition, simple knife-cuts, fine carving technique, and smooth lines. It can be called a masterpiece of prehistoric line engravings.

Section 3  Forms and Motifs of Jade Sculpture In the art of Chinese prehistoric sculpture, jade sculpture is an important category. In terms of the means of production, prehistoric jade was not created by »carving« in the general sense, but by »polishing.« Prehistoric jade was usually created through grinding and polishing by a certain tool, with additional sand and water. Grinding and polishing are means of sculpting as well. So far, the earliest Chinese prehistoric jade sculpture derived from the 8,000-years-old Chahai 查 海 site in Fuxin 阜新, Liaoning Province. The jade sculptures unearthed in Chahai site include axes, chisels, jue 玦 (jade in the shape of a circular ring with an opening), beads, daggers and so forth. Jade sculptures such as adzes, axes, and chisels, were practical production tools or weapons; while those such as jue, beads, and rings, as adornments for different parts of the human body, were

Section 3  Forms and Motifs of Jade Sculpture

artworks sculpted from jade. This indicates that at that time, human ancestors were no longer satisfied with the choice of ornaments made merely of stone and bones, but began to choose rare and exquisite jades that had been processed to decorate their bodies. The use of jade sculptures as decorations for human bodies indicates, on the one hand, the improvement of people’s aesthetic concepts and aesthetic taste; on the other hand, it indicates that a membership of wealth and status began to emerge in human society—since jades, due to their rarity, had become a symbol of wealth and status in the minds of humans. In addition, some jades were endowed with the symbolic meaning of exorcising evil spirits and praying for good fortune. Some jades even existed only as »ritual« objects in sacrificial ceremonies. Due to the high hardness of jade, its sculpting is very difficult. Its grinding and polishing are unimaginable without excellent processing means, processing technology, artistic level of sculpting, and sufficient time for artistic creation besides the production of basic life necessities. In this sense, prehistoric art depends to some extent on technological progress as well. It took thousands of years for the development of the prehistoric jade sculptural art from the earliest discovered batch of jades to those that reached a high artistic level and prosperity in the late Neolithic. There are various types of prehistoric jades with complex shapes and functions. They can be roughly divided into five functional categories, i.  e., tools or weapons, daily utensils and their accessories, ritual objects or fetishes, adornments, and burial jades. In fact, some jades in the shapes of tools or weapons were not really used as such. For example, most of the jade yue-axes (yue 钺) that have been excavated have no blades or bear no traces of use. A jade yue-axe unearthed at the Fanshan 反山 site of the Liangzhu Culture in Yuhang 余杭, Zhejiang Province, even bears a carved pattern of the socalled »divine emblem« composed of the faces

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of a deity and an animal. Therefore, such a jade object could have been a symbol that resembled a scepter, or one of the ritual objects of that stage. In terms of the art of prehistoric jade sculptures, the most representative jades are those used as ritual objects, as subjects of worships, or as adornments. The categories of ritual objects and subjects of worships include jade cong-tubes (cong 琮), bi-discs, headdresses in crown-shapes; jade turtles, tablets, human figures, gui-tablets, adzes, dragons, eagles, etc. The category of adornments includes huang 璜 (arch shaped jade), jue, bracelets, rings, tubes, beads, zhui-pendants (zhui 坠), flakes, pei-pendants (pei 珮), strings of pei-pendants, etc.

1. Forms of Prehistoric Jade Sculpture Style is an important factor, that transforms jades into a sculptural art. In terms of style, prehistoric sculpture in the Neolithic can be divided into two categories, i.  e., the realistic and the non-realistic styles.

1.4.4  Jade pig-shaped dragon unearthed in Jianping, Liaoning Province

Chapter IV Prehistoric Sculpture

Realistic jade sculptures are primarily imitations of the shapes of existing objects in nature, e.  g., shapes derived from the bodies of humans and fauna were recreated into the shapes of jade sculptures through art. The animal-shaped jue unearthed from the Hongshan culture is one of the most common types of jade sculptures of transformed shapes of fauna. It is also called pig-shaped dragon because its head looks like that of a pig (Fig.  1.4.4). Its two ears stand upright. Its two eyes, which are round and protruding, are engraved in bas-relief. Its snout protrudes forwards, with the mouth slightly open. Between its mouth and eyes, numerous transverse wrinkles are engraved with hook pattern (gouwen 勾纹). Its forehead is engraved with two or three »V«-shaped wrinkles. Its body is curved in the likeness of a circular ring, with the tip of the tail bent toward the snout. A diagonal notch separates the head from the tail, but the head and the tail are perhaps nevertheless connected at the innermost position of the notch. Its back bears a small round hole, which seems to indicate that the sculpture used to be a suspended adornment (similar to the talismans of modern humans). When it is suspended, both its head and its tail point downwards. Apart from its mouth, which was ground into a fretwork, its whole body was sculpted by line engraving and relief techniques. Without patterns, the whole body is polished smooth. The large round hole in the center and the small suspending hole came into being by drilling, with additional sand and water; while the notch at the junction of the head and the tail, appearing relatively rough, was cut out and subsequently ground. The shape of this sculpture came into being through the transformation of the shapes of certain reptiles. The magnificence of the imagination associated with its styling and the peculiarity of its shape are particularly intriguing. As indicated by the deposition location of the jueshaped jade sculptures of bent animals unearthed from a sarcophagus tomb at Niuheliang, this type

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of jade adornment would have been suspended on the chest of the deceased and was commonly worn in pairs, each consisting of a large one and a small one. Therefore, it is speculated that as a jade adornment, the jue concerned did not only play a decorative role, but could also have been an efficacious talisman that was used for praying for good luck and protecting its owner. Numerous types of jades were unearthed from the sites and tombs of Liangzhu Culture. Among those jades, the fauna-shaped adornments for human bodies include cicadas, frogs, fish, turtles, and birds. Non-realist jade sculptures are primarily the subjects of worships and ritual objects that were used in certain beliefs and sacrifices. Sites of the Liangzhu Culture and the Hongshan Culture have produced numerous such sculptures. A large curved jade dragon (Fig. 1.4.5) unearthed at the Sanxingtala 三星他拉 site of the Hongshan Culture in Ongniud Banner (Wengniuteqi 翁牛特 旗), Inner Mongolia, resembles a mollusk with its bent body shaped like a »C«. With a height of 26 cm, it is sculpted out of a piece of dark green nephrite with the technique of sculpture in the round. The cross section of the curved body has an oval shape. The details of the body are worked out in relief and line engraving. The whole body is polished glossy, smooth, and luscious; but it is plain, without patterns. On its back, a long mane flutters high, with sharp edges on its upper side. The snout of the dragon extends forward and bends slightly upward, and the mouth is closed. The end of the nose is cut flat with sharp edges at the top. The end of the snout is approximately oval and has two symmetrical holes, which are nostrils. The two eyes are bulging like shuttles. The inner rims of the eyes are round and have protruding edges, while the outer rims of the eyes are slender and turn upwards. The forehead and the lower side of the jaw bear fine grid patterns, with individual grids raised as neat little rhombs. The tail curves inwards. And the back bears a

Section 3 Forms and Motifs of Jade Sculpture

1.4.5  Curved jade dragon of the Hongshan Culture, unearthed at the Sanxingtala site in Ongniud Banner, Inner Mongolia

through hole. A test with a rope through the hole to suspend the dragon indicates that the dragon’s head and tail hang exactly at the same height. This curved jade dragon that was created in the Hongshan Culture 5,000 years ago has a long protruding snout like a pig. Its forehead and its jaw bear grid patterns. It wears a long mane with sharp edges on its back. Its body is not entirely patterned. The cong-tubes of the Liangzhu Culture are ritual jades from the late Neolithic. The shape of individual cong-tubes, with a circle inside and a square outside, may reflect the worldview of the round heaven and the square earth. A jade cong-tube unearthed at the Fanshan site, due to its large size, exquisite shape and engravings, is called »the king of cong-tubes.« The shapes of the jade congtubes, bi-discs, and headdresses in crown-shapes from Liangzhu are mostly without antetypes in reality. Instead, they were created by imagination based on mysterious imagery. They are not only adornments, but also kinds of »divine emblems« with sacred significance. Their shapes may contain certain mythological images of the ancestors of the clan tribe that inhabited around Fanshan. The stylistic forms of prehistoric jade sculpture depended above all on the usage. Admittedly, human aesthetic psychology, prehistoric beliefs, and the great imagination of humans also played an important role in the formation and evolution

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of jade sculpture. Both the realistic style and the non-realistic style thoroughly bore consciousness of life and the strong desire of survival of human ancestors. At the same time, they demonstrate the pursuit of harmony, smoothness, perfection, and warmth in their forms.

2. Decorative Motifs on Jade Sculpture The decorative motifs on jade sculptures are products of the combination of human psychological requirements, imagination, and skill. To the modern eye, these decorations may seem full of mystery, but they were understandable in their respective times. They directly indicate the historic layering of cultural and psychological elements of prehistoric humans and provide rich information about the lives of those archaic human ancestors. The decorative motifs of Neolithic jades are represented by the divine emblems on the jades of the Liangzhu culture 4,200–5,300 years ago. The sculptural art and techniques of those jades had reached a very high level. For instance, the jade cong-tube found at Fanshan in Zhejiang province has large size, as well as a complex and mysterious ornamentation. It is an important and exquisite jade sculpture in the early history of human development. It is 17.6 cm high and 17.1–17.6 cm in diameter. Its body, bearing a through hole of only 4.9 cm in diameter, is round inside and square outside. From the bird’s eye view, its either end is similar to the shape of a jade bi-disc. The surface on the four further outer sides is flat. Each of these sides is divided vertically into two parts by a vertical groove that is 4.2 cm wide, and horizontally into four sections by three horizontal grooves that are merely 0.1 cm wide each. The ornaments on the engraved and polished surface of the cong-tube consist of eight groups of motifs of deities and beasts, i.  e., the divine emblems, within the vertical grooves; and eight groups of simplified motifs of men, animals, and birds. The latter motifs are symmetrical with

Chapter IV Prehistoric Sculpture

the four corner edges as axles, while those motifs arrayed vertically at the corner edges are parallel to each other. The symmetry is neat, indicating a distinct craftmanship. Each of the four vertical grooves bears on its upper and lower parts, respectively, one image consisting of a deity and a demon’s face. Each image has a total height of about 3 cm and a width of about 4 cm, i.  e., an area of about 12 cm2. The face of the deity in the upper part of the image has the shape of an inverted trapezoid; two eyes, each of which is represented by two concentric circles, with a short line on either side as a canthus; a broad nose, the wings of which are represented by curved lines; and a wide and flat mouth, which contains a long horizontal line and seven short vertical lines that represent the upper and lower rows of 16 teeth in total. The headdresses of the deity include a cap as the inner layer, which is decorated by eight groups of fine cloud scroll pattern; and a high and broad crown that is called a crest as the outer layer, which consists of 22 plumes that are radially arranged, with the rachis represented by single lines, the vanes by double lines, and the afterfeathers by short horizontal lines. The face and the headdresses are sculpted as bas-relief. The limbs are depicted in the lower part of the image. Either upper limb demonstrates the posture of a hunched shoulder, a horizontally stretched upper arm, a bent elbow, and five fingers stretching out to the waist; while either lower limb, which has a three-clawed bird foot, demonstrates the posture of squatting. Depicted with the engraving technique, the limbs are densely covered with a cloud scroll pattern, vertical and horizontal short lines, and arched lines. Each joint of the limbs is equipped with a small angular protrusion. In front of the chest and the belly of the deity, a majestic animal face is depicted in bas-relief. Its either eyeball consists of multiple concentrated circles, with an egg-shaped enclosure representing the orbit and the eyelid. The enclosure is engraved with a cloud scroll pattern as well as long and short straight lines. The

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orbits are connected with each other by a short bridge. The wings of the nose, which extend outward, are engraved with a cloud scroll pattern. The mouth is wide. The teeth are represented by small triangles in the middle of the mouth. Two pairs of fangs protrude from either corner of the mouth. While the inner pair of the fangs points upwards, the outer pair points downwards. The lines forming this mysterious image are as fine as hairs and seldom visible to the naked eye. This decorative image on this cong-tube reflects to some extent the customs and cultural concepts of the clan at Fanshan. The mysterious meaning of this »divine emblem« can be roughly explained as follows: The first interpretation is to regard the entire image as a figure in a human shape with two faces. The upper part of the image demonstrates a head with a crest, below which the arms are spreading to the left and right sides and the body bears eyes and a mouth; while the lower part demonstrates legs in a sitting posture. The second interpretation is to regard the image as two overlapping motifs in its upper and lower parts, respectively. The upper part shows the upper body of a human figure with a crested head and two arms; while the lower part demonstrates an animal’s face, with oval eyes, a mouth with protruding fangs, and coiled front claws. According to the latter interpretation, the animal may be the dragon of the period. The third interpretation regards the animal face as the main motif of the image and the human-shaped figure above as an additional part of the animal. More precisely, the human-shaped figure can be a headdress of the animal because the human face, which has the shape of an inverted trapezoid and a crest with a peculiar contour, resembles exactly a type of a crown-shaped jade headdress that was very popular in the Liangzhu Culture. In summary, the composition of the »divine emblem« is a combination of man and animal. The man would have been the leader or a figure of authority in the tribe, while the animal a mythical dragon. This

Section 3 Forms and Motifs of Jade Sculpture

combination was undoubtedly a symbol of power in the process of its formation. One jade adze was found in Liangcheng 两城 town in Rizhao, Shandong Province, in 1953. Either side of its top is engraved with an animal-face pattern known as the »taotie 饕餮 pattern.« But the patterns on the two sides differ in shapes. On one side, the animal face appears abstract, having a pair of big round eyes and a teeth-baring mouth. The animal face bears a crown in the shape of the Chinese character »jie« (介). On both sides of the crown, lines raise high in the shape of a pair of horns or plumes. The animal face on the other side has slightly smaller eyes, a square mouth beneath a horizontal line, and a pair of fangs. Above the face in the middle, a crown in the shape of the Chinese character »jie« is engraved as well. And on its both sides lines spread out horizontally and curve upwards, in the likeness of upturned cornices. They can perhaps be regarded as a pair of horns or plumes. The adze is roughly dated to the period of the Longshan culture of Shandong province. The ornamentations on several jade gui-tablets in the collections of the Palace Museum in Taiwan bear close similarity to the ornamentation of the above-mentioned jade adze. These ornamentations can derive from the same archetypes described as follows: Above the fang-baring animal faces, a towering crown in the shape of the Chinese character »jie« is engraved. Studies of certain researchers of prehistoric jade identify this type of crown as the simplified depiction of a divine eagle with plumes. As two archetypes, animal face and plumes, coexist, reflecting the thoughts of the archaic »myth of bird-born humans.« Bird and sun patterns are common and typical patterns found on jade, tooth, and bone sculptures unearthed in the coastal areas of China. Sometimes, these two patterns appear on one and the same sculpture. For instance, a butterfly-shaped ivory sculpture unearthed at the Hemudu site bears in its middle

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an engraved scene, which is named by the excavators as »the pattern of two birds towards the sun.« In the middle of the scene, a sun pattern is represented by five individual sized, concentric circles, the outermost of which bears at its upper part engraved flame-like lines, which symbolize sunrays. On the left and the right sides of the concentric circles, i.  e., the sun pattern, the heads of two birds are symmetrically arranged. The birds have curved beaks, round eyes, and long necks that demonstrate the postures of looking up at each other and of the readiness to fly off. The periphery of the scene is decorated by a feather pattern consisting of clear and concise lines. The birds’ eyes and the center of the sun pattern are represented by shallow drillings in conical shape. The left and the right sides of the scene bear six small, round through holes that are arranged symmetrically, probably for the purpose of binding or suspension. The motifs of the sun and birds are no random cases; instead, they appear repeatedly in Hemudu Culture and Liangzhu Culture. The prehistoric humans living in the southeastern coastal areas, including the Hemudu people and the later Dawenkou people who lived in the adjacent areas to the north of Hemudu, were those who in their time saw sunrise daily. It was thus natural for them to develop a mentality of worship and corresponding behaviors (sacrifices) towards the sun. The myth about Fusang 扶桑 that is preserved in Chinese classical mythology can be corroborated by the sun pattern on the above-mentioned ivory sculpture of the Hemudu Culture. For prehistoric humans, the natural phenomenon that the sun and the moon alternate in the sky embodied the alternation of death and rebirth: after the end of darkness, when the sun was reborn, birds could appear on the branches to sing and fly in the sky. Therefore, the rebirth of the sun bestowed life on birds. The existence of bird totems is actually a reflection of the relationship between human beings and primitive agriculture. There are abun-

Chapter IV Prehistoric Sculpture

dant records about the ancient Yue 越 people taking birds as their totems. The academic world generally believes that the ancient Yue people were the descendants of the Hemudu people. Therefore, the development from the bird totems of the Hemudu people to those of the ancient Yue people was undoubtedly linear. The totems shared the same origins. From the perspective of the development and progress of art, the above-mentioned ivory sculpture demonstrates that the prehistoric artists of the Hemudu Culture 7,000 years ago were already able to skillfully apply the techniques of line engraving or sculpting in the round on materials such as teeth and bone. They could not only engrave straight lines, but also flexible, curved or arched lines; they could not only depict lifelike animal images, but also design a layout according to the requirement and conception of a depiction. This indicates that the sculptural art of the Hemudu Culture reached a very high level. A group of precious jades including a complete jade human figure and a jade tablet have been discovered in Neolithic tombs at Lingjiatan 凌家 滩 in Hanhan 含山, Anhui Province. The jade tablet is both a work of art and a prehistoric scientific instrument. In situ, it was sandwiched between the plastron and the carapace of a jade turtle, with the plastron on top and the carapace below. The whole jade set was placed on the chest of the deceased. The jade tablet has a rectangular shape and an ivory color. It is 11 cm long, 8.2 cm wide, and 0.2–0.4 cm thick. Both sides would have been carefully ground and polished. The recto side of the jade tablet bears around its center two engraved, concentric circles, a large one and a small one. Within the inner circle, the pattern of an eight-point star with a square core is engraved. Eight straight lines divide the area between the inner and the outer circles into eight equal sections. Each section contains an engraved arrowhead. Either one of the shorter edges of the jade tablet bears five round through holes; one of the

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Section 4  Prehistoric Figurative Sculpture

1.4.6  Jade tablet and jade human figure unearthed at Lingjiatan in Hanshan, Anhui Province

longer edges, which is non-recessed, bears four round through holes; while the other longer edge, which is recessed, bears nine round through holes (Fig. 1.4.6). This engraving reveals the important status of »sorcerers« in the initial stage of the civilization.

Section 4  Prehistoric Figurative Sculpture Modeled small figurines on various potteries are generally used as decorative additions to those potteries. As a comparison, small-scale, freestanding sculptures, such as a pottery head from the Banpo site in Xi’an, existed mainly as props in prehistoric magic. The appearance of such sculptures in the round is of great significance in the

development of prehistoric art. It is an indication of the humans’ understanding of their own values and their mastering of the spirit of their agency. Those prehistoric sculptures mark the maturity of the prehistoric sculptural art and reflect certain beliefs.

1. Prehistoric Figurative Sculpture in China The earliest known freestanding sculpture is a stone sculpture unearthed at the Baiyinchanghan 白音长汗 site of the Xinglongwa Culture in Linxi 林西 County, Inner Mongolia. At the site, building no. 19 has in its center a fire pit made of square stone blocks. The stone sculpture, which is an image of a goddess, was erected about 0.5 m to the north of the fire pit. With a height of 35.5 cm, it has the obvious characteristics of a pregnant woman, including a bulging belly, protruding breasts, two

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Chapter IV Prehistoric Sculpture

1.4.7 Clay sculpture of a goddess of the Hongshan Culture, unearthed at Niuheliang, Jianping, Liaoning Province

arms embracing the belly, and bent legs demonstrating a squatting posture. Its lower part has a conical shape. Apart from the head, which was sculpted by carving and grinding, the body was sculpted by hitting. Hence, the sculpture has a bold, clumsy, and immature style. The Baiyinchanghan site is a c. 7,000-year old settlement site located on the northern bank of the Xar Moron River (Xilamulunhe 西拉木伦河) in the southeast of Linxi County. Another site of the Xinglongwa Culture at Ximenwai 西门外 in Linxi County, Inner Mongolia,

also produced two female sculptures of granite. One of them is a freestanding sculpture of the tall upper body of a female. Made of light gray granite, it is 67 cm high and 26 cm wide. The surface of the sculpture is smooth, its contour curvy and sleek, its handicraft concise and lively, and its style primitive and bold. The statue has a bald head with a tapering and protruding top; jug ears; protruding forehead and nose; eyes and a mouth like deep dents in the shapes of flat triangles. The body, which is naked, has hunched shoulders; two arms resting on the belly, one higher than the

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other; protruding breasts at the chest; and plump buttocks. The part below the buttocks has a conical shape. The sculpture is dated back to about 7,000–8,000 years ago. Four stone sculptures (and two further fragments) unearthed in the lower layer of the Houtaizi 后台 子 site in Luanping 滦平 County, Hebei Province, are similar in shape to the statue from Baiyinchanghan. All of them are freestanding statues of naked pregnant women as well. Compared with the sculpture from Baiyinchanghan, which was sculpted in a bold, clumsy, and immature style since merely its head was carved out and ground but its body was worked out by hitting, the sculptures of the deities from Houtaizi were overall elaborately sculpted by carving and grinding. Accordingly, the technical level of artistic processing of the latter sculptures is significantly improved. In the early 1980s, archaeologists excavated two fragmentary clay sculptures of pregnant women (heights of fragments 5.8 cm) and two fragments of a large seated clay figure (one from the upper body and one from the lower body) at the Dongshanzui site in Harqin Zuoyi Mongol Autonomous County, western Liaoning. The two smaller clay sculptures are both naked, lacking heads and right arms. They have bulging bellies, plump buttocks, bent left arms resting on the upper bellies, and signs of external genitalia. Later, the life-size head of a goddess, 22.5 cm high and 16.5 cm wide, was found in the temple dedicated to her among the stone-mound tombs of the Hongshan Culture at Niuheliang village, Jianping, Liaoning Province. It has straight and ledged hairline on the forehead and neat hairlines on the temples. Missing its top, the head has oval ears, a rounded protrusion between the eyebrows, a low bridge on the nose, shallow eye sockets, inlaid eyeballs made of dark green jade pieces, high cheekbones, a big mouth, and a full and protruding jaw tip (Fig. 1.4.7). Studies indicate that the Niuheliang site of the Hongshan Culture is about 5,500 years old.

Section 4 Prehistoric Figurative Sculpture

2. Artistic Development of Prehistoric Sculpture The materials of the sculptures from Baiyinchanghan, Linxi, and Houtaizi are coarse stones such as granite, gabbro and diabase, which are very difficult to carve and polish. Therefore, prehistoric craftsmen merely worked out the heads in a relatively detailed way, while they shaped the body parts mainly by hitting. In terms of the style and ornamentation, the stone sculptures of the Xinglongwa Culture are completely different from the jade sculptures of the Liangzhu Culture in south China. More precisely, the jade sculptures in the south primarily demonstrate ferocious beast faces characterized by a prehistoric romantic style and fine lineal patterns, while the stone sculptures in the north mainly demonstrate the authority of deities characterized by a prehistoric realistic style and rough shapes. Admittedly, many factors contribute to the formation of the rough realistic style of the northern sculptures. But ultimately, it resulted from the character, mentality, beliefs and aesthetic tastes of humans in their natural environment. In the flourishing periods of the clay sculptures in Dongshanzui and Niuheliang, the sculptures had already been detached from the restrictions of prehistoric totemism and magic. Therefore, their realistic style had become more enhanced. Most of the sculptures from Baiyinchanghan, Linxi, and Houtaizi are opulent. A pottery sculpture of a naked upper body of a goddess of the Hongshan Culture, two or three thousand years later than the Xinglongwa Culture, has protruding breasts, bent arms with crossing hands on the belly, updo hair, ears with holes for earrings, a neck wearing a bead necklace. But the external female genitalia are not represented. On this sculpture, as a certain sculptural type, the biological sexual characteristics and the corporality of this female goddess fade away; instead, the sculpture represents a more »conceptional« female image.

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3. Cultural Significance of Prehistoric Sculpture These goddess sculptures are important symbols of cultural history. A number of such sculptures dating to the period between the early and the middle-late Neolithic have been discovered in China. Most of them are located in northeastern China, i.  e., to the north of the Yanshan Mountains in eastern Inner Mongolia, western Liaoning Province, and northern Hebei Province. To date, no Neolithic or earlier prehistoric human sculptures have been found in south China. Those prehistoric sculptures could have been products of the belief in goddesses, i.  e., in female ancestors. The appearance of such a belief was no coincidence. In archaic times, women played the main roles in gathering, fishing, and farming. At that time, household chores dominated by females, including cooking, giving birth, and caring for the old and the young, were also social work. Therefore, female clan members were the main working forces for society at that time. In addition, the clan at that time was tied by matrilineal bonds, with females as the bearers of those bonds. The female behavior of giving birth, and their fertility, were

Chapter IV Prehistoric Sculpture

regarded as divine powers mastered by the gods. As a result, women were the first to be idolized. In terms of the origin and meaning of the goddess sculptures, individual human groups created various goddesses of their own, which had different figures and functions. The sculpture from Bayinchanghan of the Xinglongwa Culture might be a foremother deity of the clan (ancestor goddess). As can be inferred from certain later ethnological materials obtained from modern indigenous peoples, a fire pit is the basis of the formation and existence of the family, a symbol of the family and a sacred place, beside which the ancestor deity of the clan based on bloodline is commonly enshrined. In a matriarchal society, the ancestor deity of this type of clan or extended family was a goddess rather than a god. The clay sculpture from Dongshanzui was found in the loess layer to the east of the site of a circular stone altar. Clay sculptures of goddesses as such had been largely detached from the significance born by the stone or jade sculptures preceding them, i.  e., significance as »the great foremothers« of totemism and magic. Instead, they bore great meaning as female ancestors of clans or extended families, which were tied by bloodlines.

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES In the Neolithic, approximately ten thousand years ago, the making of pottery emerged in the numerous prehistoric cultures around the world. After a long evolution, prehistoric humans, relying on their own powers, finally created their first new material—pottery. With their own agency, they gradually mastered its properties unrestrictedly. From then on, humans entered a new stage, one of using artificial materials, and accomplished the first of the greatest and most important groundbreaking achievements in human history. In over four thousand years of the practice of pottery, the Chinese peoples enabled a thorough development of the pottery techniques, leading to a more advanced, more perfect form of this creation—porcelain, which became one of the great Chinese contributions to world civilization. Pottery making has given rise to tremendous contributions and great achievements during the evolution of Chinese peoples: melding ingredients together, cultivating the land, nourishing human beings, and shaping their aesthetic consciousness as well. Pottery also opened the most brilliant chapter of Chinese art history, in prehistoric society. The ancient Chinese culture still bears many traces associated with the human pursuit of making pottery, as indicated, among others, by terms containing the word »tao« (陶), i.  e., »pottery.« For instance, terms such as »taohua« (陶化), »taoye« (陶冶), »taozhu« (陶铸), »taozheng« (陶 蒸), and »taozhen« (陶甄) all contain the common meanings of »to shape,« »to create,« and »to put in order«; terms such as »taoyu« (陶育) and »taoran« (陶染) comprise the meanings »to guide,« »to cultivate,« and »to transform«; and terms such as »taojun« (陶钧), »taolian« (陶炼),

and »taoxie« (陶写) mostly incorporate the meanings »to put in order,« »to guide,« and »to cultivate.« These words depict a world of creation and emotion constituted of »pottery,« and reveal the role of »pottery« in the development of Chinese civilization. They seem memorials of the Chinese peoples, dedicated to archaic pottery production and an everlasting hymn to pottery making. As painted pottery began to decline, unpainted pottery entered its heyday. With lively shapes, various styles, and the spiritual ideas that gradually took shape, unpainted pottery led to the peak of the development of prehistoric pottery. What is recorded and demonstrated by unpainted pottery is a rich and magnificent »world of shapes.« The shapes of those various pottery utensils and the vigorous pottery sculptures, and the ingenious composition of the sculpted utensils that were created for both aesthetic and practical purposes, reflect the concepts, emotions, spirits, and aspirations of the humans of the time.

Section 1  Prehistoric Potteries Pottery is the product of pottery making. In the evolutionary history of human beings, the development of pottery making is relatively complex. In terms of materials and techniques alone, the creation of pottery requires the ingredients water and soil, which undergo the technical processes of kneading, drying, and firing. Archaeological research indicates that human beings have mastered and used fire for at least half a million years, and that the history of kneading soil with

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water is perhaps even older. In fact, under natural conditions without human participation, the process of the firing of mud by wildfire, similar to the creation of pottery, possibly takes place occasionally. For Stone Age hominins who were able to make chipped stone tools and polished stone tools and who mastered techniques such as weaving and drilling, the key processes in pottery making could not have meant any technical problems. However, it was not until about 10,000 years ago in the Neolithic that pottery appeared. This, after all, was inseparable from the evolution of the human mind so that it would pursue the creation of pottery. Therefore, as a social production activity that pervaded the process of human development, pottery making was neither a purely physical process involving material transformation, nor the accidental repetition of any unconscious behavior, nor merely meeting the needs or wishes of practical use. Instead, it was the result of certain needs arising at a certain stage of human development, and of certain concepts realized by means of corresponding skills, and the product of human and social evolution in specific historical conditions. The whole process of material transformation represented by pottery making incorporates human wisdom and pursuits in the historic trajectories preceding it, and embodies their technical ability and aesthetic standards. Among these complex factors, the present section will focus on those aesthetic concepts and pursuits that are more closely related to the development of Chinese art, and that promoted the origination and the development of pottery making. Before the origination of pottery, human beings had already accumulated rich experience with shapes and materials of wooden and stone utensils in their long-term usage and selection. In the stage of chipped stone tools, although there were certain requirements and preferences in the selection of materials and in the making of utensils, it was not easy to accurately control the shapes and styles due to the then-low processing ability. In a

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

relative sense, the requirement in the materiality often became a more important standard in their selection. Long-term practice had proved that hard materials were more effective. Therefore, the strong hardness of materials was regarded as the standard criterion for evaluation; it became a feature that was actively pursued among properties, such as the shape, in the selection of stone—and it gradually became an aesthetic habit that was preserved in social culture from generation to generation. By the end of the Paleolithic, this pursuit was clearly reflected by the emergence of various elaborate, hard, and polished stone tools. Prehistoric humans deliberately chose hard stone tools, ramming the floor of the dwelling to compress it; wore adornments made of hard horn, bone, and teeth; gathered and harvested fruits with hard shells, etc. In summary, they devised ways and means to make their tools and dwellings »hard.« Perhaps because of this subjective pursuit, they would consciously notice and attach importance to the seemingly random phenomenon whereby firing transformed the texture of clay, until they discovered the laws of such transformation. At the same time, the difficulty in processing hard materials also caught humans’ attention, because it produced sharp contradictions with practical efficiency. Research indicates that Paleolithic humans were able to recognize this contradiction and find at least some solutions, by choosing conglomerate to make stone tools. In this way, they combined two conditions, i.  e., the strong hardness of the part to be applied and the smooth handiness of the part to be held. With the emergence of more advanced and complex processing methods, such as drilling, grinding, and polishing, humans also began to explore ways to soften materials during processing, including the soaking of certain materials in water and the firing of them. For instance, animal bones found in certain Paleolithic sites in Europe were deliberately burned to make them soft and easy to engrave. In China, such techniques were continuously used,

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for instance in the later oracle inscriptions engraved on bones. The understanding of the plasticity of clay after its mixture with water is universally an important link in the history of human cognition and has become the subject matter of one of the basic prehistoric legends that spread widely and permanently around the world. Abundant materials from folklore and mythology research indicate that almost all peoples in the world have kept similar stories with the subject matter of the creation of humans and objects with clay and water. On the one hand, these sculpting practices in the pre-pottery period provided humans with a further understanding of the plasticity of the combination of water and earth. On the other hand, the active exploration and active control of plastic materials also involved the aesthetic pursuits of humans. These two aspects, as a further conceptional development, became the basic driving forces for humans to deliberately explore the materials by all means. Humans wished to find a material that was hard enough but convenient to process, and soft enough but convenient to use. Under the guidance of this desire, the invention of pottery was the first great success in their active pursuit. The later material revolutions, including the emergence of metallurgy and synthesis of organic material, were, in a sense, the extension of this pursuit. Of course, to accommodate various utilitarian requirements to the rules of the transformation of materials, and to master the various processes and their relations in pottery making, a process of repeated practice and theorization was necessary. The necessary conditions and promoting factors for the origination of pottery making include the development of the conditions of settlement and an agricultural economy, the improvement of weaving and sewing techniques, and the emergence of new techniques such as »grinding« and »polishing.« This is not only due to the necessity of the production of a large number of containers

Section 1 Prehistoric Potteries

and daily utensils for the agricultural and gathering economy that depended on a sedentary lifestyle, but also because the sedentary living conditions enhanced the human exchange of ideas, promoted the socialization of their aesthetic requirements, and provided possibilities for the practice of pottery making. Therefore, pottery is the result of humans’ active pursuit of the material beauty in the sedentary society of prehistoric agriculture. Although »pottery« is the final product of pottery making, its great significance in the history of art and human development was bestowed on it only after humans were able to actively master its materiality.

1. Characteristics of Prehistoric Pottery Making in China With the emergence of pottery, the sculpting ability of humans also underwent a sudden transformation. Pottery making did not only inherit the sculpting style of stone and bone, but also was influenced by existing processing methods such as polishing and weaving. Furthermore, it thoroughly reflects the diverse sculpting levels and requirements in individual cultures, which resulted in the great differentiation and divergency among the cultures of peoples and regions. The Chinese peoples have their own particular living environments, lifestyles, and a long history of pottery making including the invention of porcelain—which demonstrates the highest achievement in pottery. Such an achievement is inseparable from the pursuit that began with prehistoric pottery making in China, which demonstrates various characteristics. In general, from the very beginning, prehistoric pottery making in China paid attention to the selection and processing of materials and the improvement of workmanship. It attached particular importance to the technical development related to reforms in the shapes, colors, and qualities of pottery, as well as to the continuous development of material selection, the sculpting of pottery, and

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firing temperature. These essential prerequisites made China a »porcelain nation« later on. In terms of pottery types in the long history of pottery making, the Chinese peoples paid particular attention to the making of various daily utensils and production tools, in contrast to the creation of prehistoric idols and religious objects. In particular, the creation of containers almost became the active pursuit of the Chinese peoples in their pottery making. Even certain social and cultural concepts were directly expressed through the decorations and shapes of containers in order to fulfil the function of the »teaching« of social culture by »pottery.« Later, »cast cauldrons with images of various creatures« even became an important way to »make the people know spirits and evil things.« Long before the invention of pottery making, the Chinese peoples developed a mentality that attached importance to selection and storage. Therefore, modes of production related to selection and estimation, as well as the technical processes and aesthetic criteria associated with the utilitarian purpose of containers, were further developed in the process of prehistoric pottery making. The prehistoric peoples who lived mainly by gathering had a close and harmonious relationship with nature. They needed to patiently wait for the long cycle of growth of plants, and were not keen on temporary pleasures. But they rarely suffered hunger for long, because they knew how to store. From their dependence on nature and their own sensations, they gained knowledge of natural laws and developed familiarity with them. As a result, they increasingly worshiped nature and the containers upon which they depended for their storage. Furthermore, this dependency was often reflected in concepts which demonstrated worship as a spiritual association and related it to emotions. In such a way, they developed tolerance. And although they were relatively sensitive to changes in nature, their own temperaments were relatively moderate, remaining unmoved

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

in changing circumstances. However, their primitive beliefs tended to expressive means through the worship of nature, the cosmos, and the environment. In addition, their beliefs facilitated the combination of those means of worship with the laws of natural transformation into a mode of thinking, which brought forth various traditional activities, superstitions, and natural spirits— which were related to the solar terms, seasons, climate, and the environment. These activities were expressed by activities including sacrifice, prayer, commemorations, bestowing honor, and so forth. These two distinct characteristics, i.  e., their sensitivity to nature and their moderate temperaments, determined that their culture also demonstrated distinct characteristics. In view of the ethnic factors that took shape in archaic times, the Chinese peoples were an ethnic group that were omnivorous but lived mainly on plants. Such a mode of survival and habit led to the increasing importance of the primitive gathering economy. Since the primitive gathering economy was restricted by the natural conditions in most regions of China with four distinct seasons, storage became the key to survival. Even in later agricultural society, »harvest in autumn and storage in winter« remained an inviolable principle of survival. This mode of economy led them to attach great importance to the gathering, selection, and storage of natural foods. In addition, the human instinct of curiosity drove them to become familiar with more, taste more, and store more. These important characteristics of the gathering economy are vividly described by the Chinese myth of »the Divine Farmer,« who tasted all kinds of plants. In turn, the utilitarian outcome of these activities resulted in humans’ specific cognition of the properties of natural objects, their extensive exploration of their functions, and their perceptive ability towards the form of sculpture. Once humans became familiar with certain plastic materials and possessed a stronger ability to realize their own wishes than before, they re-

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flected their ideas and desires in their plastic arts in a relatively concentrated way, forming specific aesthetic characteristics. This held true of the new industry of pottery making. From the very beginning, the emergence of Chinese pottery had the closest connection with the selection of materials and the continuous improvement of the shapes of the containers. The appreciation of pottery clay was the result of the aesthetic pursuit of texture, while the sizable number of shapes and decorations were associated with the appreciation of containers. In pottery making, efforts of humans focused mainly on the making of containers and the exploration of color. The shapes of the early potteries of the Chinese peoples reflect the characteristics associated with these efforts. Some of the earliest ancient Chinese texts describe the era of »making use of the natural objects,« i.  e., using natural objects as containers. A passage in The Book of Rites reads: »The vessels used were of pottery and of gourds—to emblem the natural [productive power of] heaven and earth.« The »gourds« in the passage refer to a type of natural containers made of gourds. It is comprehensible that before pottery was invented, such natural containers had given rise to a preference for certain shapes and styles. The shapes of the most common and numerous guan-pots, ping-bottles (ping 瓶), bo-bowls, and hu-jars (hu 壶) among the early potteries clearly demonstrate the adoption and development of the natural shapes of fruit shells and gourds. In addition to common spherical vessels, several early guanpots and ping-bottles have the shapes of waterdrops. Most of them can neither stand nor do they have pointed feet that could be inserted into the earth. Such shapes, which were no easier to create than other shapes, were perhaps in imitation of a hanging leather bag for holding water, or of natural shapes such as a water droplet on the tip of a leaf, a gallbladder, or the bladder of an animal. In summary, before the invention of pottery, the highly practical or common shapes were typi-

Section 1 Prehistoric Potteries

cally images of liquid containers that were rooted in the consciousness of humans. They developed into important norms for the shapes of artifacts, and became established patterns for the perception of forms. They eventually became relatively stable aesthetic concepts, which was maintained throughout the process of the prehistoric pottery making, directly influencing and restricting the shapes of prehistoric pottery, and having impact on the development of later pottery styles. In later times, such waterdrop-shaped ping-bottles almost became representative of those ping-bottles called »Chinese bottles« in the West. The shapes of Chinese prehistoric potteries demonstrate several basic characteristics that differ obviously from those of the potteries of other peoples in the world. First, their mouths are rarely straight; instead, they mostly demonstrate certain slopes or curves, forming »flared mouths« or »wide flared mouths.« Second, they rarely have vertical necks or bellies; instead, their necks and bellies, demonstrating mostly curved surfaces, have mostly narrowed waist-shapes and bulging shapes, respectively. Third, in terms of bottom shapes, flat bottoms appeared relatively late; the earlier shapes of the bottoms are mostly curved or spherical. Indeed, these features are also associated with even older prehistoric production and daily life. In the development of prehistoric gathering and agricultural economies, the gourd was an indigenous, archaic, important, and universally cultivated crop in China. At several prehistoric cultural sites including the Hemudu site, a large number of the seeds of gourds have been unearthed, indicating its long history of cultivation in China and its importance in the lives of human ancestors. It could not only be used as food, but also easily adapt to a variety of practical requirements due to its large volume and the various shapes of its sections. Gourds are the oldest and most important natural containers, and the different sections of a gourd had obvious influence over the shapes of

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prehistoric potteries. Furthermore, due to the appreciation of containers, such influences evolved into cultural concepts that have been preserved. Among the remnants unearthed at Banpo, Xi’an, plant seeds were preserved in delicate, small, lidded guan-pots. This way of preservation was corroborated by discoveries at numerous other sites. Therefore, containers were closely associated with food, survival, and the continuation of life. It is not accidental that the gourd was later associated with certain concepts that are preserved in the culture, such as »continuous fertility and numerous sons« (lianmian duozi 连绵多子). Chinese terms for aesthetic categories, such as »appearance« (»rongmao« 容貌), »countenance« (»rongyan« 容颜), and »tolerance« (»kuanrong« 宽容), are astoundingly closely related to the term »capacity« (»rong« 容). Several archaeological and folklore studies indicate that gourd is related to numerous primordial cultures: the terms »oblate gourd« (»pao« 匏), »elongated gourd« (»hu« 瓠), »hu-jar«, and »nuptial cup« (»jin« 卺) are all related to gourds; and the cultural concepts recorded or preserved in the legends of various peoples, such as »the Mother Goddess Nüwa 女 娲«, »the Panhu 盘瓠 Dog«, »the joining of the nuptial cups« (»hejin« 合卺), and »the Ailao 哀 牢 forebear Shahu 沙壶« mostly refer to things related to gourds. In fact, observations and comparative studies of the shapes of prehistoric potteries obviously indicate that these shapes themselves also embody the requirements and special human emotions towards gourds as »containers« and as certain »social and cultural concepts.« In fact, the shapes of the most common basins, bowls, bo-bowls and hu-jars among the early prehistoric potteries were imitations of different sections of a gourd. They were the basic shape for all kinds of containers in the era of »making use of the natural objects,« and accounted for the basic features of prehistoric pottery containers (Fig. 1.5.1). The influence of weaving and drilling techniques cannot be ignored either. The earliest decorative

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

1.5.1 Schema of the influences of gourds on the shapes of containers

lines engraved on potteries are similar to woven patterns. They are the basic shapes of patterns on many prehistoric potteries, especially on those discovered in the regions of the Yangtze River Basin. This is possibly related to the production mode of prehistoric agriculture in these regions; in addition, this is interrelated with the later phenomenon of these regions generally became centers of the ancient Chinese textile industry, and important areas that were famous for woven bamboo and rattan products. The initial fretwork of the potteries was made by drilling technique; later, some of the fretwork patterns clearly derived from weaving technique, as indicated primarily by potteries discovered in Shandong and Jiangsu provinces. In addition, certain technical processes that demonstrate extremely rich Chinese charac-

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teristics were inherited to different degrees from the technical processes of the Chinese Stone Age. These include the selection of clay through washing; the adding of clay admixtures; and the decorating techniques of surficial grinding, polishing, coating, engraving, and fretwork. They represent the mental characteristics and the aesthetic pursuits resulted to the gathering and agricultural economy, they gradually shaped the characteristics of Chinese prehistoric potteries, and they evolved into the more distinctive pottery culture of the Chinese peoples. Among the myths of archaic China, one concerns Nüwa, who kneaded earth to create humans and repaired the sky with five-colored stones. This is probably the archaic memory of prehistoric pottery making: humans first made all kinds of things with ropes or woven fabrics that were mixed with clay; later, they »fired« the mixture of water and earth, obtaining materials of various colors and as hard as stone to make up for deficiencies in nature. Apart from the mists of myth, it does depict a scene where the first humans fired clay. Prehistoric human ancestors produced some potteries that were limited to their common pursuit of practical utensils as well, such as the pottery spinning wheel, pottery net weights, pottery tools and pottery toys, which were obviously completely in line with the shapes of those types of utensils available in the Stone Age. After realizing their practical function and material transformation in a general sense, they ended the exploration of their production. As a result, these products are inferior in both workmanship and quantity in comparison to pottery containers. Only emotions and appreciative attitudes towards the containers promoted their repetitive formation, development, and transformation of them. They led to the constant quest of humans for new means to embellish, idealize, and sanctify them; and they filled the development of Chinese pottery making with vitality.

Section 1 Prehistoric Potteries

2. The Distribution and Development of Prehistoric Pottery Cultures in China The Chinese peoples are among the earliest in the world who mastered pottery making and who have written records of pottery making. In recent years, archaeological discoveries and research have proven that ancient records and legends are, to a certain extent, based on historical reality. In the Yellow River Valley and the Yangtze River valley, numerous potteries dating to the earlier Neolithic have been excavated. They indicate that pottery making had become one of the relatively common production activities at that time, as the production level had outgrown the primary stage of agricultural production. The remnants of China’s prehistoric pottery cultures can generally be categorized into »painted potteries« and »unpainted potteries.« This categorization integrates the shapes, colors, and qualities of pottery, and indicates certain technical characteristics. It also reflects the laws of the distribution and development of prehistoric pottery culture. In general, any kind of pottery with a painted surface is called painted pottery, while those without painted surfaces are called unpainted potteries. Potteries that were painted after firing are sometimes called painted potteries as well, forming the object of the study of painted potteries; some freestanding potteries or sculpted pottery utensils that bear sparse ornamentation usually belong to the category of unpainted pottery. China’s prehistoric potteries are widespread. They had a long period of development that demonstrated regional unevenness. While the Yellow River Valley and the middle and lower reaches of the Yangtze River yielded relatively dense pottery discoveries that were of higher levels and far-reaching influences, the other areas produced potteries that are more scattered and of lower level. In the early stage of the development of pottery, great achievement was made with painted pottery. In later stages, the development

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1.5.2a Main types of China’s prehistoric potteries (1) Daxi Culture (2) Qujialing Culture (3) The second phase of the Qinglongquan Culture (4) Tanshishan Culture (5) Yueshi Culture (6) Shixia Culture (7) Hongshan Culture and Fuhe Culture (8) Prehistoric potteries from Yunnan and Tibet (9) Prehistoric potteries from western Gansu and regions in Xinjiang

of unpainted potteries was faster, with greater achievement and influence. In view of their distribution, painted potteries at higher levels were more commonly distributed in the inland areas, while unpainted potteries of numerous types and much stronger characteristics were distributed in the coastal areas. Due to migration and possible exchanges at the time, certain cultural types and pottery types influenced each other; and at individual stages, centers of pottery production shifted as well.

Archaeological excavations and research in recent years indicate that all the typical artifacts in individual cultural types of China’s prehistoric potteries demonstrate relatively specific, rich features. Altogether, dozens of important cultural types of potteries have been identified (Fig. 1.5.2). The prosperity of prehistoric pottery was first manifested in the development of painted potteries. During the 3,500 years between 7,500 and 4,000 years ago, painted potteries underwent a process of origination, development, and decline.

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1.5.2b  Main types of China’s prehistoric potteries (1) The Shilingxia type of the Majiayao Culture (2) The Majiayao type of the Majiayao Culture (3) The Banshan type of the Majiayao Culture (4) The Machang type of the Majiayao Culture (5) Qijia Culture (6) Xindian Culture, Kayue Culture, and Tangwang Culture (7) Beixin Culture (8) Dawenkou Culture (early phase) (9) Dawenkou Culture (middle phase) (10) Dawenkou Culture (late phase) (11) Longshan Culture (early phase) (12) Longshan Culture (middle phase) (13) Longshan Culture (late phase) (14) Prehistoric potteries from regions in Nanjing (15) Prehistoric potteries from regions in Jiangxi (16) Hemudu Culture (17) Majiayao Culture (18) Liangzhu Culture

Section 1 Prehistoric Potteries





































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1.5.2c Main types of China’s prehistoric potteries (1) The Cishan Culture (2) The early prehistoric Culture of the Guanzhong Region (3) The Banpo type of the Yangshao Culture (4) The Dasikong type of the Yangshao Culture (5) The Hougang type of the Yangshao Culture (6) The Miaodigou type of the Yangshao Culture (7) The Dahecun type of the Yangshao Culture (8) The Xiwangcun type of the Yangshao Culture (9) Longshan Culture in Shaanxi (10) Longshan Culture in Henan (11) The Taosi type of the Longshan Culture (12) The second phase of the Miaodigou Culture

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Unpainted potteries probably originated earlier than painted potteries and their forms were more universal. But in view of the development of potteries in prehistoric society, the artistic achievements of unpainted potteries were primarily made in the lower reaches of the Yellow River and the coastal areas. A rapid development in the shapes of unpainted potteries took place c. 5,000 years ago. Among the prehistoric cultural types in northern Jiangsu, western Shandong, northern Anhui, middle Henan, the Taihu Lake Region, and the Hangzhou Bay Region, unpainted potteries became the main type of potteries due to various shapes and increasingly purified textures. Ca. 4,000 years ago, the Longshan Culture, which was primarily represented by its sites in Shandong Province and covered many regions in China, intensively demonstrated the prosperity of their late stage with representatives of unpainted potteries of extremely rich types and styles. In the same period, prehistoric pottery cultures in the middle reaches of the Yangtze River, Hanshui River Basin, Taihu Plain, Hangzhou Bay, as well as in the northern and northeastern regions, southeastern coastal areas, and northwestern regions, produced different cultural types of unpainted potteries with certain modeling characteristics as well. Unpainted potteries had a great influence on the styles of Chinese artifacts as well as on numerous categories of Chinese spatial design, such as architecture and sculpture, in later ages. There is a close artistic relationship between prehistoric painted pottery and unpainted potteries. On the one hand, they influenced each other in their styles and spatial consciousness. Many potteries demonstrate ingenious combinations of shapes and painted patterns, embodying the conscious integration of two-dimensional spaces and three-dimensional spaces and presenting the precedents of those Chinese sculptures that have the characteristics of painting. On the other hand, they are mutually restrictive. Since painting requires a broad and flat surface, it is not com-

SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

patible with too many surficial curves and attachments on pottery. Therefore, in the central regions of the production of painted potteries, the shapes of the potteries changed little. For the same reason, in the regions of the production of unpainted potteries, each individual pottery consists of a combination of multiple shapes and multiple attachments; it does not provide a broad surface for painting. Therefore, pottery painting was not further developed in those regions.

Section 2  Forms and Motifs of Unpainted Potteries 1. The Distribution of the Development of Unpainted Potteries Widespread in Chinese cultural sites dating 7,000 to 8,000 years ago, unpainted potteries were discovered in large numbers in almost all prehistoric pottery cultures. But in terms of cultural significance, the most typical unpainted pottery art is primarily represented by the Longshan Culture in the lower reaches of the Yellow River. In view of the types of unpainted potteries, representatives can be found in Dawenkou Culture, Liangzhu Culture, Daxi Culture, Hemudu Culture, Shixia Culture and in various sites of Longshan Culture. In terms of the development stages of unpainted potteries, their distribution was uneven. Geographically, the Yellow River Basin and the middle and lower reaches of the Yangtze River produced unpainted potteries of a higher level and a greater impact than other regions. Chronologically, after the origination of unpainted potteries, they underwent a relatively inconspicuous development stage, which was obscured by the prosperous period of painted potteries. In their late stage, unpainted potteries had a prominent development in coastal areas, which was abundantly represented by the Longshan cultural sites mentioned above (Fig. 1.5.3).

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1.5.3  Black pottery cauldron with feet in bird-head shapes

So far, among those cultural sites dating to 7,000 to 8,000 years ago, more than 50 were discovered in the middle reaches of the Yellow River alone. Potteries were discovered in all of those sites, sharing common features that are obvious in terms of their types and forms, including hujars, bo-bowls, guan-pots, wan-bowls (wan 碗), ding-cauldrons (ding 鼎), and yu-vessels (yu 盂). They have bellies that are mostly approximately spherical or semi-spherical, except for those few that are pouch-shaped or cylindrical. Those spherical-bellied hu-jars that are called gourdshaped ping-bottles (ping 瓶) by archaeologists are typical spherical vessels. Commonly, in terms of the materials, unpainted potteries demonstrate relatively simple hues due to the omission of painting before firing—but they have various textures. Common textures of unpainted potteries include coarse grey pottery, eggshell black pottery, hard white pottery, sandy red pottery, and so forth. In terms of their decoration, fretwork technique was preferred, emphasizing

their surficial appearances and shapes. In view of their function, there are diverse functional types of unpainted potteries, such as li-vessels (li 鬲), ding-cauldrons, gui-vessels (gui 鬶), fu-kettles (fu 釜), dou-vessels, bei-cups (bei 杯), pan-trays (pan 盘), etc. As a result of functional requirements, unpainted potteries are equipped with ingenious structural elements in various forms at their feet, ears, handles, grips, and hole lugs. Furthermore, unpainted potteries were widely used as tools in production and daily life, adornments, and toys. Examples include pottery net sinkers, pottery spinning wheels, pottery sockets, pottery hairpins, pottery huan-rings (huan 环), pottery house models, pottery xun-flutes, pottery whistles, etc. Approximately five thousand years ago, there was a rapid development in unpainted pottery. A rich variety of shape in unpainted pottery had evolved, which was primarily used for daily utensils at that time. Daily vessels of diverse shapes that were widely used include gui-vessels, ding-cauldrons, dou-vessels, bei-cups, hu-jars, ping-bottles and so

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forth. Around a thousand years later, unpainted potteries spread in sites of Longshan Culture almost throughout the region corresponding to modern China. Their representatives are those of Longshan Culture in Shandong Province. With their superb technical level and various innovative shapes, the unpainted pottery of Longshan Culture led the development of unpainted pottery into a new stage. In terms of technique, pottery wheels were then in general use, benefiting the creation of potteries with even, light, and thin walls; glossy and smooth surfaces; and regular shapes. In terms of the vessel shapes, in addition to the common shapes such as gui-vessels, ding-cauldrons, dou-vessels, pan-trays, and pen-basins, there are also double-ear bei-cups, high-feet beicups, and gu-shaped (i.  e., trumpet-shaped) vessels (guxingqi 觚形器), as well as many round-foot and tripod vessels. Many functional attachments, such as lids, knobs, ears, noses, handles, grips, etc., were widely and skillfully applied on the vessel bodies. In terms of decoration, besides plain surfaces, the surfaces of the unpainted potteries in this period were adorned with techniques including relief patterns, engraved pattern, fretwork, and so forth. Especially the application of fretwork that created exquisite and translucent effects had a far-reaching impact on the technical development of later generations. Among unpainted potteries, sculpted pottery utensils that are freestanding, and pottery objects with sculpted elements, also reflect the development and transformation of the sculpting concepts of that time. Freestanding pottery sculptures were the first conceptual sculptures made from artificial materials by Chinese peoples. They do not only reflect the human control of materials at that time, but also embody the human ability to create cultural concepts with artificial materials. And the sculpted pottery utensils are a prime example of the successful combination of the functionality of the artifacts with the cultural nature of sculptures. Together with the sculptural elements

SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

attached to potteries, they started the process of the formation of the concepts of »pattern« and »mold.« From then on, the integration of artifacts and cultural concepts in different materials has continued for thousands of years, promoting the progressive trajectory of the history of Chinese pottery making. With the prosperity and development of unpainted potteries, the forms of potteries became increasingly standardized and stable. At the same time, the functions of various potteries became increasingly distinct. The cultural arrangements of such standardization led to the gradual disappearance of certain potteries of relatively specific and individual shapes, but promoted the establishment of the modes of technical methods and the prime examples of cultural concepts. In the history of Chinese pottery, the development of unpainted and painted potteries complemented each other. After unpainted pottery originated, painted pottery formed rich regional Cultures over a certain period of time. And then unpainted pottery, with the progress of productivity and of the mode of production, brought about a progressive standardization and development on a large scale, establishing and sustaining the rich cultural achievements gained by Chinese pottery production. This granted unpainted potteries foundational status, which from that time has influenced the development of Chinese art in its long history.

2. Typical Objects and Their Cultural Connotations Compared with painted potteries, unpainted potteries do not have patterns that can conveniently express spiritual ideas; their typical shapes can fulfil this function. In terms of cultural inheritance and expression, unpainted potteries as well as painted potteries have successfully completed their historical missions. Therefore, the study of several typical unpainted potteries will reveal their spiritual connotations.

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Tripod vessels first appeared at the Peiligang and Cishan sites around 7,000 years ago. Ca.  4,500 years ago, tripod vessels were common for a certain period of time in the middle and lower reaches of the Yellow River, the lower reaches of the Yangtze River and the southern coastal regions. The origination and usage of tripod vessels are likely associated with the cultural understanding of the Chinese peoples. Through the development of painted potteries, the Chinese ancestors already possessed relatively abundant ways of expression of their mathematic understanding of the number »three« and of their aesthetic sense of »three points.« Through the practice and creation of tripod vessels, those vessels well-combined the cultural concept of »three« and the functionality of pottery. Tripod vessels underwent spatial experimentation with abundant options in terms of their forms (Fig. 1.5.4), i.  e., from the form with one foot integrated with the body to that with three feet

1.5.4   Ordinary forms of tripod vessels

consisting an integrated triad, from a form with short feet to that with high feet, from the form with straight feet to that with diagonal feet, until to the form with three feet that were finally integrated into the body. Among the tripod vessels, the most representative is the ding-cauldron. The early ding-cauldrons demonstrate diverse variations in view of their bellies and feet. The bellies have various styles, such as guan-pot-shaped, fu-kettle-shaped, and those with kinks in their bellies; accordingly, the external contours of the bellies vary from convex curves to straight lines, polylines, and concave curves. The feet of the ding-cauldrons evolved from the earliest conical feet to sculptural feet and straight feet. Ding-cauldrons with feet sculpted in the shapes of bird heads were discovered in the Longshan Culture around 4,000 years ago, while ding-cauldrons with flat cuboid, fin-shaped feet were discovered in the upper layer of the Hemudu

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SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

 

 



 



 





 











 



1.5.5  Examples of the shapes of ding-cauldrons

site in the lower Reaches of the Yangtze River. These sculptural feet reflect the individual cultural concepts of human ancestors in different regions, which probably had close association with their living places as well as broad relationships with their production, daily life, and inner worlds. Compared with the later bronze sculptures, it is obvious that certain conceptual features were created and accumulated through exchanges and were steadily handed down to later generations. With the development of society, the cultural concepts created by human beings in their production and daily life were gradually incorporated into various forms of pottery. The combination of diverse quantities and qualities of those potteries reveals certain historical information. For instance, the earliest quantitative disparity in the possessions of pottery by individuals indicates the

 

 





differentiation of social classes. The consequential transformation of pottery shapes promoted the transformation of the shapes of the ding-cauldrons, which evolved into stable cultural carriers, i.  e., they eventually evolved from daily utensils with practical functions into ritual vessels conveying social and cultural concepts (Fig. 1.5.5). In the process of this evolution, a variety of pouch-shaped vessels of different forms emerged, the most typical of which is the gui-vessel. The cultural creation of humans cannot be separated from their production activities and living environments; from the origination to the later development of the gui-vessels, it is not difficult to discover that their sculptural features bear traces of the shapes of certain common poultries, which is in line with the then sedentary society of agriculture. Among the early gui-vessels, the

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common type had a round belly, thin neck, solid feet, usually a spout modeled directly at the flat mouth, and sometimes a circular handle. Later, in the middle phase of Dawenkou Culture, the forms of gui-vessels began to transform greatly: the belly was expanded horizontally, the feet were transformed from solid into pouch-like, the joint between the feet and the belly was elevated according to the transformation of the belly, and the neck and mouth gradually shifted from the center to one side. During the numerous transformations, it seems that the shapes of the vessels bore more and more resemblances to that of some domestic animals. The vessel makers created a series of vivid shapes of gui-vessels, combining the bodies of the vessels and certain details successfully with superb freehand styles. The creation full of vitality led to the further development of gui-vessels towards the increasing functionality and refinement, i.  e., the tube-shaped belly and pouch-shaped feet were replaced by waisted belly and thin feet, and more attention was paid to the functionality of the spout and the handle. The trajectory of the evolution of pottery gui-vessels began with vessels of rough practical shapes, which were succeeded by vessels of a variety of combinations of the functions and the sculptural shapes, and finally ended in functional utensils that were elaborated; it was almost adapted to the development of social production and the transformation of the ways of cultural expression. The differentiation of the shapes led to the increasing granularity of the functions of the vessels and also prompted the constant shifting of the means of cultural expression, which made progress in its diverse carriers. Confucius said, »I have heard all issues about meat trays and dou-vessels, but I have not learned military matters.« Meat trays and dou-vessels are common Chinese ritual vessels. And the latter is the most common example of those vessels with ring feet. The development and transformation of the shapes of unpainted potteries are always

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

closely associated with a number of the earliest basic shapes created by human beings, including vessel shapes with ring feet. The early ring-foot vessels had flared bodies that are separated from or joined with their ring feet. With the functional development and conceptional requirement, the ring feet were gradually elevated and transformed, forming the feet of various types of dou-vessel and bei-cups. The earliest specimens of such highfooted vessels dating to c. 6,000 years ago were discovered at the Wangyin 王因 site in Yanzhou 兖州, Shandong Province and the Hemudu site in Yuyao, Zhejiang Province. In later periods, such vessels were widespread in the lower reaches of the Yellow River, the middle and lower reaches of the Yangtze River, and the southern coastal areas. They demonstrate individual shapes in these cultural types. As common tableware or as ritual vessels, the functions and culture of the pottery dou-vessels are reflected in the transformation of their shapes. The elevation and the enlargement of the foot base did not only facilitate the grip, but also increased the stability of the vessel. The sense of balance and stability resulted from the transformation also met the mental needs of humans, while the rich variations of the contours of the vessels also adapted to human aesthetic requirements to various degrees. Among the high-footed potteries, high-footed beicups demonstrate strong regional characteristics. They were only discovered in Dawenkou Culture and in Longshan Culture. Their shapes and technical processing indicate high requirements from the quality of the clay. Their hard, smooth walls as thin as eggshells, beautiful shapes, and exquisite fretwork reflect the highest technical level of Longshan Culture. The excavation sites that produced them clearly indicate their development from rough to refined. A neat, high-footed bei-cup has a flared body that is either connected to its base with a ring foot, or supported by three feet, or by a foot in hemispherical shape. On the

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whole, the contour line with a clear rhythm and skillful nuance is formed by the lid, the rim of the mouth, the foot, and the base. The exquisite craftsmanship drove the development of prehistoric unpainted pottery to its peak and promoted civilization in social life. A number of guan-pots with deep bellies, pingbottles with pointed bottoms, and straight tubshaped pen-basins demonstrate the shapes of pouches or cylinders. In general, vessels of such shapes were restricted to certain regions and far less common and numerous than spherical ones. They may have originated in two ways: first, they evolved from originally spherical vessels. Admittedly, they are still relatively rough, but they are not likely shapes from the initial stage of pottery; instead, they formed a relatively early link in a chain that had certainly evolved over many generations. According to the variations of the shapes of the potteries in individual strata at the Yuanjunmiao 元君庙 site in Shaanxi Province, the small ping-bottles with pointed bottoms may have originally evolved from guan-pots or ping-bottles that had approximately spherical shapes. Second, they originated from imitations of certain natural objects. In the chronological development of the pottery series, there are indications that the earliest vessel shape is the sphere. Spherical vessels had a close historical association with human psychology. The first man-made stone tools were made of spherical or oval river pebbles. Almost everywhere in the world, the plan views of prehistoric buildings evolved from circular to square or rectangular. Therefore, even if the shapes of the earliest potteries were indeed imitations of natural spherical vessels such as gourds, it was merely a coincidence. It cannot be excluded that some of the vessels possibly were never imitations of any natural shape. As the impression of shapes and the deepening and accumulation of corresponding ideas, stone balls had laid the foundation for the shapes of potteries in terms of

SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

the psychology of creativity. In this sense, it is not accidental that the shapes of potteries originated from spheres. The early forms of potteries demonstrate two distinct features. They are characterized by their compositions of single geometric bodies, i.  e., their basic shapes consist of their main bodies. In contrast, their mouths, necks, shoulders, bottoms, feet, ears, handles, and so forth, are either small or converged. Generally inconspicuous, these parts are attached to the main bodies, have little influence on the basic shapes of the potteries, and account for the characteristic of simple and integral shapes. This characteristic is especially clear when compared with the later individual potteries consisting of two or more conspicuous parts. Another characteristic of the early forms of potteries is that most of them are solids of revolution with central axes. As they were produced, there was no potter’s wheel. Instead, they could only be formed by hand, i.  e., by coiling or modeling techniques. Although these techniques bear more arbitrariness than the potter’s wheel technique and would tend to produce a wide variety of irregular shapes, this did not take place. Almost all potteries have taken the shapes that are more difficult to form, i.  e., solids of revolution with central axes. Roughly similar in shape, their vertical cross-sections are circles, semicircles, large or small closed arcs, as well as a few ovals or rectangles. The horizontal cross-sections of all the potteries are circular. The basic shapes of the pottery also determines the features of their contours—gentle, flat, and simple arc lines. The features of solids of revolution were not disrupted until the basic shapes of most potteries underwent transformation later on—but they were still maintained by a considerable proportion of potteries.

3. Diverse Varieties of Pottery Forms While maintaining their initial basic forms, potteries began to enter the era of a rich variety of forms around 5,000 years ago. Along with these

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CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES









forms, the development of unpainted potteries approached its peak. The early shapes of single spherical bodies underwent a gradual transformation from monotonousness to a rich variety, generating numerous new shapes. During a long historic process, the basic shapes of potteries developed and evolved in the following five tendencies (Fig. 1.5.6). First, spherical potteries and their transformation. Part of the potteries maintained their early basic appearances, but their shapes were slightly transformed. They still appear spherical or hemispherical, but parts except for their bellies, such as their mouths, hands, and feet, underwent certain changes or had certain decorations added to them. Nevertheless, these parts have little impact on the basic shapes. The sphere, the most ancient shape of pottery, lasts to this day with unshakable stability after generations of scrutiny. Although the materials of potteries were updated several times, their shapes are still the same.

1.5.6  Five basic tendencies in the development of pottery shapes (1) Basic shapes of single  sphere (hemisphere) (2) Vertical expansion (3) Horizontal expansion (4) Continuation of spherical shapes (5) Relative compression of the bellies  (6) Tendency of sculpted utensils

Second, horizontal expansion that was caused by the seemingly vertical compression and horizontal expansion of the approximately spherical shapes, creating short, wide flat shapes. The series characterized through the horizontal expansion includes shapes with kinked bellies, cylindrical shapes with flared mouths, hemispheres, and so forth. Third, vertical expansion that was caused either by the horizontal compression and vertical elongation of the spherical shapes or by the lengthening of the necks and the elevation of the feet. The series characterized through the vertical expansion include ping-bottles with long necks, bei-cups with high feet, closed arc-shaped vessels, etc. Fourth, the relative compression of bellies due to the expansion and strengthening of their additional parts, such as rims, necks, feet, or handles. The basic shapes no longer depended solely on bellies, but instead on the combination of several parts. For instance, a basic shape in the series of potteries with expanded necks consists of a com-

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bination of the belly, the neck, and the mouth. A basic shape in the series of potteries with expanded feet consists of a combination of the belly and the feet. A basic shape in the series of potteries with expanded handles, including single-handled bei-cups, dipper-shaped vessels, and basket-shaped vessels, is determined by the combination of the belly and the handle. In addition, certain potteries that have two or more bellies can be called the series of potteries with multiple bellies. In fact, quite a few potteries belong to two or three of the above-mentioned series. A basic shape among them is composed of more than two individual geometrical bodies. Fifth, the representational tendency. A small number of utensils or their attachments that are shaped as images of persons, animals, and so forth constitute the so-called representational utensils and representational attachments. The evolution according to the above-mentioned five tendencies resulted in the corresponding categorization of five series of basic shapes of potteries in their flourishing period. While the basic pottery shapes were multiplying and transforming, the forms of parts of pottery were also changing. For instance, the transformation of the mouth developed from the earlier straight mouths toward two tendencies, i.  e., tapering and flared mouths. Among the mouths that are tapering or flared to individual degrees, there are variations of everted rims and curled rims, forming a variety of different mouths and rims. The transformations of the bellies were extremely rich and subtle. However, except for the bellies of a small number of sculpted potteries and individual potteries of exceptional shapes, the vast majority of the bellies have shapes that are based on and adapted from several basic shapes. These basic shapes include the sphere, hemisphere, ellipsoid, cylinder, and cone. The shape of an object is sometimes composed of two basic shapes. Especially since the appearance and the universal application of the gu-shape (i.  e., trumpet shape)

SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

and the cone shape, the transformation of the belly shapes became increasingly subtle. Gu-shaped vessels and conical vessels are rare among early pottery. Vessels of the two shapes with kinked bellies emerged even later. They are one of the symbols of the flourishing of pottery. A gu-shaped vessel has a concavely curved outer surface, which is in marked contrast to the convex curved spherical surface. In one and the same vessel, the combination of gu- and spherical shapes make the vessel body more lively and graceful and enrich the nuances of its contour. The combination between the inward arc and the outward arc in the contour forms an »S«-shaped contour line. In the flourishing period of potteries, the gu shape was relatively widely used. It appears in various parts of the vessels and forms various subtle nuances. When potteries developed to a certain stage, the conical shape emerged among them as well. The main part of a pottery belly or its upper part is often formed by a straight linear cone, while the lower part is often formed by an inverted cone. The junction of an upright cone and an inverted one forms an inward or outward kink in the contour. At the same time, on part of the vessels, the curved surfaces were replaced by straight surfaces, resulting in polylines in the overall contours. Straight line and arc, as well as polyline and »S«-shaped line, are complementary to each other, forming the diversity of the pottery shapes.

4. Major Factors Leading to the Transformation of Pottery Forms Pottery shapes evolved along with the development of pottery. The transformations in the shapes and forms of pottery were associated with practical purposes and aesthetics. The practical purposes impelled and promoted the evolution of the pottery shapes, but also restricted the volumes of potteries and the evolutional tendencies of the basic shapes. According to their practical function, pottery containers can be roughly divided into three categories, i.  e., tableware, stor-

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1.5.7 White pottery gui-vessel with solid feet

age containers, and cooking utensils. To facilitate frequent gripping, tableware has relatively small volume. In need of capacity, the storage containers have relatively large volume. The volume of cooking utensils is somewhere in-between. Therefore, the different functions of the three categories determine their respective volumes. As a summary, prehistoric humans improved pottery shapes with the purposes of increasing their capacity, stability, usability, and making their volume suitable for their function. Therefore, in their respective period of time, the evolution of the volume, basic structure, and basic shapes of the vessels had their relative restrictions, which created relatively clear requirements for the evolution of vessel shape. The improvement of certain shapes began for practical purposes. If the result of the improvement was better than before, it could bestow on the creators or users happiness and satisfaction, be admired, and create a corresponding concept in the user’s mind. For instance, after the practical purpose was satisfied as a priority, the satisfaction itself likely implied the adaptation to certain aesthetic requirements and the creation

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

of them. This kind of practical satisfaction also contained the satisfaction in an aesthetic sense and was at the same time the origination of a certain aesthetic need. Subsequently, new shapes emerged one after another, were handed down, and achieved development. This did not only satisfy practical purposes, but also satisfied specific aesthetic needs accordingly. The gu shape, among all pottery shapes, underwent a development. The contours of the early gu potteries of which the main bodies had basic spherical shapes were convex curves, accounting for usability. But the increasing elongation of the necks and the increasing extension of the gu shape caused the loss of the original practical significance. The application of the gu shape at bellies does not bring much practical value, but it brought more variations and elegance in vessel shapes. It can be inferred that the gu shape, as a kind of aesthetic form and embodiment of an aesthetic concept, detached from the utilitarian significance to a certain extent. The same holds true for conical shapes. The polylines or straight lines presented by the edges of cones are of little relevance to practical purposes, either. The symmetry formed by the »double ears« of pottery hu-jars and guan-pots benefits stable and convenient grip. The satisfaction of this kind of utilitarian need could also create a kind of aesthetic pleasure. Upon the emergence of the aesthetic pleasure, the beauty of symmetry, as a kind of aesthetic concept of the subject, inevitably played a role in the aesthetic judgment of new objects. This is exactly the transformation from a practical concept to an aesthetic concept. Since the practical needs and the aesthetic needs were in most cases consistent, the vast majority of the forms that were in line with practical needs were also considered to be beautiful forms, such as most of the ding-cauldrons, gui-vessels, pen-basins, guan-pots and so forth. But the divergence between the practical needs and the aesthetic needs also gave rise to the phenomenon that the shapes of certain potteries,

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although very practical, have little aesthetic significance; while the shapes of certain other potteries have little practical value, but much aesthetic significance. For instance, the aesthetic significance of the representational potteries obviously exceeds their practical significance (Fig. 1.5.7). Admittedly, the improvement of pottery techniques was an important condition to promote and ensure the evolution of pottery shapes. With the enhancement of pottery techniques, including the gradual transfer from hand-made to wheel-made potteries, the quality of potteries was greatly improved. In the upper reaches of the Yellow River and the lower reaches of the Yangtze River, black pottery, white pottery, and eggshell pottery emerged. Especially the eggshell pottery, which appeared 4,000 years ago in eastern Shandong, is glossy and pitch black and has a tight texture. Eggshell pottery products have walls as thin as 0.3  mm. For instance, a high-footed cup unearthed from Sanlihe 三里河 in Jiaoxian 胶县, Shandong Province, is 20  cm high, weighs only 40g, and bears on its upper part fine string patterns. Most of the black potteries of the later period bear such elaborate and fine string patterns, which are obviously the product of rapid wheels. The white or hard pottery that emerged a little later has a firm texture, providing the conditions for more perfect shapes and more elaborate decorations (Fig. 1.5.8) (Fig. 1.5.9). The integration of different cultures or cultural types is another factor that promoted and influenced the evolution of pottery shapes. Due to the natural conditions and the inheritance system of the individual cultural types, a region often produced its own typical artifacts. When one of such typical artifacts was introduced into another region for whatever reason, it is possible that it would be transformed, passed down, and have influence on the other pottery shapes in the new region. In addition, certain beliefs or worship customs may also influence the shapes of a few potteries. The worship of birds in eastern Shandong, for in-

SECTION 2 FORMS AND MOTIFS OF UNPAINTED POTTERIES

stance, influenced the shapes of the gui-vessels and certain ding-cauldrons. In summary, in the evolution of pottery shapes, practical needs were the basic driver; the aesthetic consciousness closely associated with practicality played an active role as well; the pottery techniques of their respective periods formed an indispensable guarantee and condition; the cultural exchanges between different regions also had an impact. In addition, certain beliefs and customs could also be reflected in their shapes. These are the basic or important factors that promoted and influenced the evolution of pottery shapes. This evolution was relatively slow or even stopped at the stage when the practical and aesthetic needs of the prehistoric humans were relatively unified and satisfied, and when the pottery techniques reached a certain height but could seldom be further developed.

5. Decorated Parts of Pottery and Major Decorative Techniques The decorated parts of unpainted potteries are closely associated with the human ability to mas-

1.5.8 Ping-bottle made of black eggshell pottery

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1.5.9 Long-necked hu-jar made of white pottery

ter materials. They can be observed from two perspectives. i.  e., the overall shape of unpainted pottery, and their functional attachments. Their overall shaping was realized by the mastering and processing of their spaces as well as by the rhythm of the shapes embodied by their contours. And their functional attachments often ingeniously achieve the functional requirements in figurative appearances. The decorating of individual parts of prehistoric unpainted potteries was matched with a number of major decorative techniques. The two major decorative techniques concerning the overall shape are the creation of the shape and the bestowal of the likeness. The creation of the shape refers to the integration of the shape and the concept, while the bestowal of the likeness means the realization of the shape of an image as a whole, with pottery and the refinement of certain details as the finishing point. For instance, a bird-shaped pottery vessel, which has a spout in the likeness

CHAPTER V PREHISTORIC POTTERY MAKING AND UNPAINTED POTTERIES

of the beak of a bird, realizes its function through the extension of a beak—but takes into account the balance of the vessel as a whole. And an animal-shaped vessel from Dawenkou Culture directly perpetuates an instantaneous appearance of an animal, creating a prime example of combining function and aesthetics. As far as the attachments on the walls of unpainted potteries are concerned, engraving, carving, fretwork and inlaying are the common decorative techniques. Engraving and carving can create conceptional patterns through various points and lines. Fretwork presents an exquisite spatial sense through the geometric composition of diverse shapes. Inlaying embodies the characteristics of desired images on certain parts of potteries through clay balls or clay rods. The successful application of these decorative techniques provided a vast space of free creation in the development of unpainted potteries. For instance, the eagle-shaped ding-cauldron from the Yangshao Culture demonstrates with its stable body an obvious power, especially by the image of the eagle’s head, which is shaped in a simple style. Another example is the osprey-face-shaped guan-pot of the Qijia Culture, which has a concise body shape expressed by a neat decorative language. Most of the feathers of the osprey are impressed by stamps, while a well-rhythmed sequence of feathers is presented by the technique of appliqué. Hence, different techniques were skillfully applied in different parts to achieve a perfect decorative effect on the whole. To sum up, unpainted potteries did not lack decorative language despite their monotonous colors; instead, they achieved their function of cultivation with a diverse decorative vocabulary. They directly or indirectly reflect the cultural concepts of the humans of their eras by decorative techniques that differed from those of painted pottery. By promoting the standardization of certain basic shapes in the cultures of peoples, they were successfully made into carriers of civilization.

CHAPTER VI PREHISTORIC PAINTED POTTERIES Pottery making was a major innovation, and it was the first fundamental revolution in the creation of new materials by human beings by themselves—and the Chinese peoples were among the earliest to invent and master pottery making. The first peak of Chinese pottery making was marked by the rise of painted potteries—specifically referring to prehistoric potteries of which the surfaces are decorated with color paintings. Color painting was one of the most important decorative techniques for prehistoric pottery making. Patterns were drawn with special raw materials either on greenwares, which were then fired to become potteries with diverse hues and colored patterns, or on fired potteries. Potteries that underwent the latter painting process are called potteries painted after firing. But in general, prehistoric painted pottery mainly refers to potteries that underwent the former painting process. The archaeological achievements of recent years have demonstrated the basic features of the Chinese prehistoric painted potteries, and researchers have obtained a relatively clear picture of the development of prehistoric painted potteries in the circle of the major Chinese cultures. Painted pottery is the embodiment of the concepts, spirit and emotions of the humans of their times and regions. In particular, relatively stable patterns combined with certain modes or rules, as well as the manners of decoration and structures of patterns they form, bear connotations that reflect specific cultural concepts and patterns of thinking. They reflect the characteristics of prehistoric Chinese art. Therefore, in terms of artistic development, the achievements and influences of painted potteries are primarily reflected in the

shapes, colors, and structures of the patterns. But in terms of much broader cultural development, the patterns of painted potteries are also the products of specific cultural conditions and have been widely attended to by researchers as one of the main indicators of the development and status of prehistoric culture.

Section 1  The Distribution and Development of Painted Potteries 1. Cultures of Painted Potteries The Yellow River Basin is an area that is relatively densely studded by Neolithic cultures. The major cultural legacies include those of Yangshao culture, Majiayao Culture, Dawenkou Culture, Longshan Culture, and Qijia Culture—all of which belong to the cultural type of predominantly sedentary agriculture. Among those cultures, the Yangshao and Majiayao cultures are those most closely associated with and represented by prehistoric painted pottery. Yangshao Culture dates from approximately 4,500 to 6,500 years ago, and underwent a development process of more than 2,000 years. Due to regional and temporal diversity, the cultural qualities it demonstrates are complex. In general, its central area can be divided into four types: the Beishouling type, the Banpo type, the Miaodigou type, and the Xiwangcun 西王村 type. On its periphery, in northern Henan, central Henan, and southern Hebei, there are three further types: the Hougang type, the Dasikongcun 大司空村 type, and the

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Qinwangzhai 秦王寨 type. Chronologically, the Banpo type is typical of the early stage, the Miaodigou type is typical of the middle stage, and the Qinwangzhai and Dasikongcun types are typical of the late stage (Fig. 1.6.1). The Beishouling type may represent the earlier remnants of Yangshao Culture. At that time, painted pottery was rare, and had simple decorative patterns. But painted potteries of the Banpo type were obviously increasing in number and became potteries of unique characteristics. Painted potteries of the Banpo type bear mostly black patterns, including the broad band pattern, the triangle pattern, the diagonal line pattern, zigzag pattern, net pattern, human face pattern, fish pattern, deer pattern, frog pattern, and so forth. Some of the potteries are painted inside as well. The depiction and combination of the patterns hold certain characteristics, becoming one kind of the typical works of art in the development of painted potteries. Potteries of the Miaodigou type are still painted primarily in black, but a small number of them are painted in red, and some others are coated with white clay. All the patterns, including dots, crescent shapes, circular triangles, and ribbon-shaped patterns composed of curved lines, are painted at the mouths and the bellies of

1.6.1 Painted pottery pen-basin of the Banpo type of the Yangshao Culture

Chapter VI Prehistoric Painted Potteries

the potteries. Representational patterns are rare but include occasional patterns similar to birds and frogs, and very few of worms. Painted potteries of the Miaodigou type are exquisite, with finely depicted patterns and high artistic quality. Potteries of the Dasikongcun type are generally painted in red with sparse black. Their decorative patterns are mainly the combinations of circular triangles and parallel wave lines, sometimes alternating with ribbon-shaped patterns with leaf-shapes sandwiched in between. In addition, there are also spiral patterns, S-shaped patterns, X-shaped patterns, and hook-shaped patterns, as well as combinations of patterns such as gridded bands, concentric circles, and so forth. The potteries of the Qinwangzhai type are usually painted solely in red, but sometimes coated with white clay and painted in red and black. Their patterns mainly include gridded bands, S-shaped patterns, X-shaped patterns, eyelash-shaped patterns, shell-shaped patterns, star-shaped patterns, etc., all of which have a pictographic tendency. The quality of the pottery is rough, indicating the decline of the painted pottery of the Central Plains. In the Longshan Culture (about 4,000 to 4,500 years ago) that was to follow, painted pottery gradually became rougher—before disappearing. Majiayao Culture was a Neolithic cultural type distributed across the upper reaches of the Yellow River. Due to stylistic resemblance to Yangshao Culture, it was originally called the Yangshao Culture of Gansu. But later archaeological research indicated that it was a regional cultural type developed under the influence of the Yangshao Culture of the Central Plains (the Miaodigou type). Majiayao Culture was mainly distributed across Gansu and the northeast of Qinghai, centered at the Taohe River, Daxia River, and the middle and the lower reaches of the Huangshui River, existing approximately 3,700–5,200 years ago, lasting for nearly 1,500 years. According to the transformations of colors and patterns in the potteries, it can be categorized into the Shilingxia 石岭下

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type, the Majiayao type, the Banshan type, and the Machang 马厂 type. The Shilingxia type is named after its first discovery site at Shilingxia, in Wushan 武山, Gansu Province. Painted potteries of this type have characteristics similar to those of the Miaodigou type, with red backgrounds and black patterns. Their decorative patterns, which have relatively sparse composition, include bands, dots, wave-shaped patterns, circular triangles, as well as a few birdshaped and frog-shaped patterns. Potteries of the Majiayao type are exquisitely made and still painted primarily in black. Their decorative patterns are mostly lines that are supplemented by various dots, squares, and drapery patterns. The painted parts extend to the inner and outer walls and rims of the potteries. The painting strokes are fluent and exquisite, demonstrating an extremely high artistic level. The Banshan type is named after the cemetery where it was first discovered, at Banshan, in Hezheng 和政, Gansu Province. Potteries of the Banshan type are still painted primarily in black, mixed with red with a little blue and white. Their decorative patterns with complex compositions are mostly geometric patterns, including spiral patterns, rhomb patterns, circle patterns, gourd-shaped patterns, triangle patterns consisting of polylines, and so forth. In addition, they are often bordered with black, serrated patterns. The paintings are relatively rough, with inferior textures than earlier ones. The Machang type was originally discovered at Machangyuan 马厂塬 cemetery in Minhe 民和, Qinghai Province. The pottery vessels are large and painted with intense colors. Some of them are coated with red clay. The decorative patterns are painted mainly in red and black, and include, primarily, circle patterns and zigzag patterns supplemented by various further decorative patterns. Having a striking style but being created roughly, they seem to have been products of the specialized division of labor—also indicating the decline of this type of culture of painted pottery. In the

SECTION 1 THE DISTRIBUTION AND DEVELOPMENT OF PAINTED POTTERIES

1.6.2  A ping-bottle of the Shilingxia type from Majiayao Culture, bearing the pattern of a human-headed salamander

Qijia Culture (about 3,600–3,900 years ago) that was to follow, painted potteries almost disappeared (Fig. 1.6.2). The Dawenkou Culture distributed across the lower reaches of the Yellow River in Shandong and northern Jiangsu is approximately 4,100– 6,000 years old. It produced a small number of potteries painted in red, white, or black; some of the potteries bear patterns of all three colors. The patterns were all painted, sometimes before and sometimes after firing, and sometimes afterwards the potteries were coated with red or white clay on the outer surfaces of the potteries. The patterns are almost exclusively geometric, including various polylines, wavy lines, circles, spirals, petal-shapes and gridded bands that are extremely similar to those of the Miaodigou type and the Qinwangzhai type. The eight-point star pattern that is most striking. This indicates that these patterns had a close relationship with the painted potteries of Yangshao Culture and that the two cultures had mutual cultural influence and exchange.

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Among the Neolithic cultural sites in the Yangtze River Basin, painted potteries were relatively rare. The very few painted potteries discovered are mainly associated with Daxi Culture, Qujialing Culture, and Majiabang Culture. The Daxi Culture produced a small number of potteries mainly painted black, but sometimes with additional red, and black potteries painted with cinnabar. Their patterns are relatively simple, including primarily geometric patterns such as a cord-shaped pattern, an arc pattern, a rhomb pattern, a spiral pattern, and so forth. The Qujialing Culture that was mainly distributed in the Jianghan 江汉 region is about 4,100–4,400 years old. It may have been a culture that developed by inheriting factors of the Daxi Culture. Qujialing Culture is especially famous for its painted eggshell pottery. Most of these potteries are beicups and wan-bowls with a thickness of only around 1 mm each. Their surfaces are coated with clay of black, gray, red, orange, or other colors, and then painted in black or orange. The decorative patterns are basically geometric, including arcs consisting of dots, bands, frames with dots in them, nesting squares, and so forth. Sometimes, cloud-like patterns are created by a unique shading technique using nuanced shades of colors. They became the representatives of the painted pottery of the Qujialing Culture. In addition, pottery spinning wheels with their numerous colors, unique patterns, and distinctive decorative structures form a highlight of the painted potteries of the Qujialing Culture. The painted potteries of Daxi Culture and Qujialing Culture are the representatives of the prehistoric painted potteries in the middle reaches of the Yangtze River. The Hemudu Culture, the Majiabang Culture, and the Liangzhu Culture that influenced each other in the lower reaches of the Yangtze River, especially the Majiabang Culture and the Liangzhu Culture, produced much painted pottery. The sites of Hemudu Culture, which dates back to an earlier age, did not yield any painted pottery.

Chapter VI Prehistoric Painted Potteries

The Majiabang Culture, which is mainly distributed in the south of Jiangsu and the north of Zhejiang, is approximately 4,600–5,500 years old. The sites of Majiabang Culture produced much painted pottery, most of which is coated in red or white clay, and then painted in red or black. The decorative patterns are simple, including primarily geometric patterns such as the band pattern, grid pattern, triangle pattern, arc pattern, and so forth. Liangzhu Culture, which is roughly distributed across the same regions as Majiabang Culture, is approximately 3,800–4,600 years old. Small in number, the painted potteries of the Liangzhu Culture were painted after coating as well, but their colors are more peculiar, including pink coatings painted with brown parallelogram patterns, yellow grounds painted with black patterns, black grounds painted with yellow patterns, and black potteries painted with cinnabar. They are clearly products of painted pottery in its late stage. In addition to the Yellow River Basin and the Yangtze River Basin, certain further Neolithic cultural types also produced certain distinctively painted potteries. Shixia Culture and Tanshishan 昙石山 Culture, in Guangdong and Fujian in southeast China, yielded a very small number of painted potteries in the late Neolithic. These potteries demonstrate similar characteristics to those of Qujialing Culture. In southwest China, painted potteries similar to those of Majiayao Culture have also been found at the Karuo 卡若 site in Qamdo, Tibet. The painted potteries of the Hongshan Culture in the Songliao 松辽 Plain in north China are more obviously influenced by Yangshao Culture.

2. Artistic Characteristics and the Development of the Decorative Motifs of Painted Potteries Although painted pottery was widespread throughout China and was unevenly developed, potteries share certain common characteristics and a similar process in the development of their decorative

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motifs. First, in terms of their shapes, prehistoric painted potteries include tableware such as bobowls, pen-basins, and wan-bowls, and containers such as ping-bottles, guan-pots, and so forth. Most of these potteries have smooth surfaces and are directly associated with food and drinks in daily life. With the development of painted potteries, their types were increasingly enriched. The majority of pottery containers of various shapes, such as weng-pots (weng 瓮), hu-jars, and pan-trays, were painted. But the surfaces of these potteries remain flat, with very few attachments and little layered appliqué, relatively few variations of the walls and even fewer kinks. Later, with the transformations of pottery shapes, attachments of various forms emerged, including handles, spouts, feet, mouths, hole lugs, and so forth. Along with their emergence, painted potteries declined. Second, in terms of their textures, the earlier painted potteries are mostly monochrome, and relatively porous. With the development of painted potteries, pressed and ground surfaces that were made smooth and dense became a universal characteristic at the peak of the development of painted potteries. In terms of the completion of firing, the transformations of the temperatures and materials had little influence on the properties of painted potteries. But the pressing and grinding of the surfaces had a relatively important influence over surficial properties—leading to relatively great progress in texture. Later, after the technique of dressing was invented and widely used, the textures of painted potteries generally became coarse again. Accordingly, painted potteries began to decline. Third, in terms of the overall development of their colors, painted potteries generally evolved from the earlier red potteries painted black to those painted diverse colors later on, including primarily red, black, white, and yellow-brown. The pursuit of the purity of colors and of strong contrast in different colors were preferred for creating bright and conspicuous ornamentation rather

SECTION 1 THE DISTRIBUTION AND DEVELOPMENT OF PAINTED POTTERIES

than the depiction of patterns with subtle color. This clearly implies that colors were used to express ideas. As a type of pottery, painted potteries originated gradually in the practice of pottery making due to the aesthetic pursuit of the surficial colors of potteries. The history of pottery making also indicates that most of the earliest painted potteries were painted before firing with special pigment materials, which manifested themselves as colors after firing. At the beginning, the effect of surficial polishing and coating of potteries could merely preliminarily meet the visual requirement of humans for pottery colors and textures. In contrast, painting was the sole reflection of much broader color concepts in the decoration of pottery at that time. The earliest human requirement for colors was in line with their requirements for textures and the original colors of potteries. But through their earliest method of firing potteries within a pile of wood without kiln, prehistoric humans could only obtain porous gray potteries or coarse sandy red potteries with impure colors. With progress in pottery-making techniques, the colors of potteries underwent a transition toward higher purity and saturation; gray potteries evolved toward red, black, and white potteries; by coating as well as by painting, humans preferred the color red, followed by black and white. Humans devised ways and means to pursue these colors, which precisely reflects the color aesthetics of prehistoric peoples at the origination of their cultures. The preference for red was common to almost all prehistoric humans. This was one of the instincts inherited from the process of their evolution. Biological studies indicate that, in terms of color sensitivity, the evolution of the eyes of higher organisms began with the sensation of red light, which has the longest wavelength in the visible spectrum of light. The color red provokes relatively strong physiological responses in almost all animals that can sense color, and many of these animals exhibit certain behavioral patterns upon

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seeing red color. In terms of the color concepts of humans, they are associated with the continuous strengthening of certain mental sensations under specific social and living conditions. Archaeological materials have proved that in burial customs as early as in the era of Shandingdong Man (Shandingdongren 山顶洞人), a red powder that was scattered around human remains indicates a direct association between the color red and certain concepts. After humans consciously abstracted their color sensations from their real lives and developed a relatively stable aesthetic standard for colors, bestowing specific spiritual connotations on those colors that embody the concept, they would increasingly, and strongly, promote the pursuit of corresponding colors. The preference and pursuit of red or approximate red by Chinese ancestors obviously influenced pottery making in the Yellow River Basin and was intensively reflected in the process of the origination and development of painted potteries. The earliest painted pattern is the so-called broad band pattern, painted in red or black at the rims of potteries such as pen-basins, bo-bowls, etc. Archaeological materials indicate that the potteries decorated with the broad band pattern are mostly vessels of food and drink that are directly associated with survival. Red broad band patterns emerged relatively early among painted potteries, were widespread, and flourished over a long period. It was perhaps due to the function of such a colored pattern that certain shared concepts or preieserences were able to be conveyed. The emergence of black painted pottery was a big step in the development of painted pottery. Whether the preference for black came from the deep black sky at night, or from the so-called »sensation of beauty due to the self-identification«—black hair and black eyes—black became one of the basic colors of the patterns on the prehistoric potteries of the Chinese peoples, and belonged to their most ancient aesthetic requirements. It is hard to say that the eventual choice

Chapter VI Prehistoric Painted Potteries

of the »ink« by the Chinese peoples as well as the cultural impact deriving therefrom do not reflect the spirit of color in the archaic painted potteries. Later, although a few other colors, such as white, brown, and blue, appeared in painted potteries as well, they were extremely rare and distributed in limited areas. In summary, rooted in the prehistoric economy, the mentality of attaching importance to selecting and gathering facilitated humans’ comparison and judgment of colors. Furthermore, pure colors were preferred because of their brightness and intensity. Countless repeated choices created the most primitive aesthetic ideal of color for the Chinese peoples—intensity and simplicity, which led to the later concept of the »Five Colors«: blue, yellow, red, white, and black. The pursuit of blue and white in the Prehistoric Period focused on the selection and polishing of materials such as jade, bone, teeth, and so forth; while the appreciation of red, yellow, and black was more often reflected in pottery making, especially in painted potteries. The development of painted potteries promoted humans’ understanding and application of painting techniques with other tools and materials. Over time, the existing color concepts and the connotations expressed by decorative patterns of painted potteries were continuously developed and integrated with new concepts formed under new historical conditions. They formed a particular aesthetic consciousness, which deeply influenced the creation and conception of later painting and plastic arts. At sites including the Jiangzhai site, pigments, grinding plates, and stone pestles were found on several occasions. Judging by the painted strokes on the painted potteries of Banpo and Majiayao, it is obvious that brushes were used. This indicates the direct influence of painted pottery on the art of painting. After the decline of painted pottery, the technique of coating, being the forerunner of the technique of colored glaze in later ages, was preserved in the colored decorations of pottery.

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Since the colors of painted potteries certainly reflect specific social and cultural concepts, they demonstrate identical characteristics in a wide range within a long period and became one of the basic elements to promote the unification of the cultures of the Chinese peoples. The decorative patterns of painted potteries from numerous cultural types also reflect identical development characteristics: the earliest decorative patterns are combinations of simple geometric patterns; gradually, representational patterns that do not depict specific images emerged; and finally, rich geometric patterns composed in certain rules emerged. In addition, in terms of the chronology, the distribution, or the numbers, geometric patterns are predominant. Among the painted potteries of many cultural types, representational patterns are seldom represented. At the same time, the geometric patterns on the painted potteries of each individual type do not only demonstrate shared basic elements and compositions but were also painted with similar or approximate painting techniques. This sufficiently indicates the common social and cultural functions of the decorative patterns of painted potteries. Indeed, the basic compositions, and many basic patterns, of painted potteries were inherited by the surficial decoration of the vessels throughout the whole Bronze Age—and their formal logics became one of the important social and cultural rules that had impact on later generations. Although the decorative patterns of painted potteries vary from region to region, in view of their overall development, it is not difficult to divide them into the following periods of development, which either succeeded each other, alternated with each other, or overlapped each other: The period of string pattern and band pattern (xiandai wenshi 弦带纹饰): approximately 6,000– 7,700 years ago. The period of encircling band patterns and polyline patterns (huanzhe wenshi 环折纹饰): approximately 5,500–6,700 years ago.

SECTION 1 THE DISTRIBUTION AND DEVELOPMENT OF PAINTED POTTERIES

The period of representational patterns (xiangxing wenzi 象形纹饰): approximately 5,000–6,500 years ago. The period of decorative patterns on curved surfaces (qumian wenshi 曲面纹饰): approximately 4,900–5,800 years ago. The period of spiral line patterns (xuanxian wenshi 旋线纹饰): approximately 4,600–5,500 years ago. The period of image patterns (tuxiang wenshi 图像纹饰): approximately 4,000–4,600 years ago. In view of the development of decorative patterns, most of the earliest painted potteries had a red or brown band with equal width around the rim of the mouth. Such a pattern is usually called a »broad band pattern,« which is the earliest pattern on painted potteries. The width of the red band generally accounts for 1/3–1/5 of the height of the whole pottery. Potteries that bear this pattern are basically tableware such as bo-bowls with flared mouths and pen-basins, which have flat bottoms, spherical bottoms, or bottoms with small feet. They were mainly distributed in the Yellow River Basin in Shaanxi, Gansu, Henan, and so forth. Until shortly before the prosperous period of painted potteries, those potteries with broad band pattern still accounted for 60 %–90 % of the total number of painted potteries. The broad band pattern, which flourished for more than one thousand years, determined the basic features of Chinese painted potteries in terms of the application of colors, painting techniques, pottery shapes, and decorative concepts. Therefore, it is reasonable to regard the period of broad band pattern as the formation period of Chinese painted potteries and denote it as the archetype of decorative patterns on Chinese painted potteries. The broad band pattern is an encircling band pattern in the shape of a girdle that winds around the belly of the vessel. It determined the basic manner of decoration for Chinese painted potteries. With the development of the broad band pattern, the

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sizes of the vessels increased, their shapes multiplied in number and became refined, and their decorative parts extended from their mouths to their shoulders and bellies—sometimes also to their inner walls. The vessels concerned have mostly flat bottoms, flared mouths, and polished surfaces. Their decorative bands became obviously widened. In addition, patterns such as triangles consisting of dots or straight lines and parallel polylines emerged. These transformations of the patterns opened the period of encircling band patterns and polyline patterns. With the appearance of representational patterns and the enhancement of their patterning tendency, the encircling band patterns reduced increasingly in number, and geometric patterns with pictorial features were developed. With these transformations, a new period of pictographic patterns commenced. In the later stage of this period, this type of patterns expanded to almost the entire belly of pottery and became wide and seamless, which demonstrates a contrast between color blocks and blanks through the application of colors, forming numerous crescent shapes, flame shapes, petal shapes, straight line patterns, and curved line patterns. Some of these patterns have obviously pictorial characteristics. In terms of colors, the replacement of red by black increased the contrast between the patterns and the yellowish red pottery. The patterns became livelier and more intense. This type of decorative patterns was widely distributed and fully developed in regions of Guanzhong and eastern Henan. Their representative sites include those of the cultural types of Banpo, Miaodigou, and so forth. Further regions influenced by them include Shanxi and Hubei. In addition, the painted potteries of Hongshan Culture in the Liaohe River Basin, Daxi Culture in the Yangtze River Basin, Qingliangang culture in the Huanghuai 黄淮 region, and Dawenkou Culture also developed their own characteristics. The above-mentioned transformations of patterns took place in the period of decorative patterns on curved surfaces, a period in which

Chapter VI Prehistoric Painted Potteries

the decoration techniques and skills of Chinese painted potteries became relatively mature. The pervasive application of the modeling techniques of combining lines and blocks in this period had a particularly profound and long-lasting impact. At the same time, a type of painted pottery with representational patterns depicting animals and humans emerged. Small in number but demonstrating particularly outstanding achievements, they emerged with chronological and regional overlap with potteries bearing the encircling band patterns. The shapes of the two types of potteries are by and large identical as well. The most typical representatives of the motifs on the former type of potteries are fish and bird. Such representational patterns that were painted in colors have not been discovered in the Hemudu Culture near the lower reaches of the Yangtze River in Qiantang River (Qiantangjiang 钱塘江) Basin, in the same period. Nevertheless, carved motifs of pigs, birds, etc., have been found there. These paintings and carvings were exquisitely made, and belong to the period of representational patterns, which had a great impact on pattern modeling and painting techniques. Around 5,500 years ago, the flourishing center of painted pottery shifted from the regions of Guanzhong and western Henan to the Longdong 陇东 area, in the upper reaches of the Yellow River and the Weihe River. The new center is called Majiayao Culture, in archaeology. Majiayao Culture created a new trend dominated by line drawing, which brought the art of Chinese painted potteries to a new peak. In addition to the earlier pen-basins, bo-bowls, and ping-bottles, the typical potteries of this period also include weng-pots and hu-jars in guan-pot shapes. Among these potteries, those with flared mouths and shallow bellies mostly bear painted patterns on their inner walls; while those potteries with narrow mouths and deep bellies mostly bear painted patterns on their shoulders, necks, bellies, and sometimes even on their whole bodies, visually maximizing the painted

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areas. The potteries in the Majiayao period have dense textures, smooth surfaces without pottery coating, and relatively moderate shapes with smooth contours. Black patterns dominate, although colors including a small amount of red as well as extremely little brown, blue, and white were applied later as well. The decorative patterns are mainly geometric patterns consisting of lines, but the traditional basic style of decoration with spiral and wavy lines is still apparent. These are the decorative characteristics in the period of spiral line patterns. With the development of »line-drawing decoration« on painted potteries, the decorative style became more complicated. And another style gradually appeared in Gansu, Qinghai, and the wider regions in the west. This style, represented by the Banshan type and the early stage of the Machang type, is characterized through excessively elaborate, magnificent patterns consisting of the combinations of rough and casually scrawled large circles and polylines. It replaced the harmonious, cheerful, and flowing lines, indicating the beginning of the period of image patterns.

Section 2  Representational Decorations 1. The Creation of Representational Decorations The earliest representational patterns appeared approximately six thousand years ago. Although the representational patterns discovered so far are few, and limited to motifs such as fish, frogs, beasts, birds, worms, humans, and so forth (which were created during the thousands of years of development of painted potteries), they occupy a pivotal position in prehistoric Chinese art and even in all of art history. They almost represent the most distinctive and highest level of artistic achievement of their era, and the creation of these

Section 2  Representational Decorations

images reflects the artistic spirit of the Chinese peoples and embodies the most basic characteristics of Chinese art in the Prehistoric Period. There are merely two techniques of depicting representational patterns, i.  e., the »drawing« that outlines the contour of the image and the »smearing« that completes the image. Through constant repetition and evolution, these techniques formed relatively stable formulae, which can be summarized into the following three types: First, line-drawing: a drawing technique dominated by the modeling of lines. The lines are applied sparsely or densely in order to capture the morphological features of the painted objects, demonstrating relatively high painting skills. This technique is commonly used in painting bird, fish, and frog motifs. In Hemudu Culture, however, the bird and pig motifs are not painted but carved on objects, and their lines were applied in a similar way. Second, an even smear: a technique to smear a single color evenly on a surface to create a pattern similar to a silhouette. The forms of the painted objects are extremely simple, with lively dynamics, capturing the morphological features of the painted objects in specific perspectives. Motifs created in this way include fish, birds, beasts, worms, humans, and so forth. Third, a combination of the line-drawing and the even smear technique. This type outmatches the first two types in terms of the refinement of the depiction and the strong decorative effect created by the contrast between figures depicted by two different types of techniques, such as the fish motif and the human face motif. Sometimes, vivid depiction is applied to pursue a pictorial effect and to increase the representativeness and the diversity of images. The »Images of Stork, Fish, and Stone Axe« painted on a pottery gang-vessel (gang 缸) unearthed in Linru, Henan Province, is the most representative work that belongs to this type. Some of the later painted potteries are also decorated with similar techniques (Fig. 1.6.3).

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Chapter VI Prehistoric Painted Potteries

 



























 



1.6.3 Painting techniques of representational patterns (1) Line-drawing technique (2) Even smear technique (3) Combination of line-drawing and even smear techniques

The above-mentioned three types influenced and merged with each other. But overall, they still demonstrate certain regional characteristics and rules of development and evolution. These types coexisted in the representational patterns of the early stage. In the middle and late stages, the third type dominated gradually. In most of the representational patterns in the late stage, along with the development of geometric motifs towards the decorative tendency, the techniques applied became monotonous. Except a few motifs that demonstrate distinctive representational characters, representational motifs almost disappeared. To some extent, several representational images reflected the reality of human production and daily life as well as the cultural characteristics and mental features of their era. Even the most realistic scenes are poles apart from the cave murals in realistic techniques and styles in the European Paleolithic. The above-mentioned techniques became the most essential basic techniques in all the later Chinese paintings, which are called »hui« (绘) or »hua« (画).

Judging by the potteries predating the painted potteries, prehistoric humans already had the basic ability to shape the human face into an oval shape with correctly positioned facial features. However, on all the painted potteries discovered at Banpo, the human face patterns are not depicted in a realistic way, but are instead depicted as patterned circular motifs. It can be inferred that those may have been a stereotyped image of a human head bearing »made up« for certain primitive ritual activities. The painters of representational patterns paid close attention to grasp the emotions of those animals in motion through details. It can even be said that the painters painted in order to capture specific emotions. It seems that they attempted to convey certain facial expressions of animal images to arouse the viewers’ association and imagination. The feathers of birds are closely related to their movements. Therefore, bird painters, applying one of the above-mentioned types of painting technique, paid close attention to the depiction of

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the feathers of flying and perching birds. In addition, the segmented bodies of arthropods and even the joints of birds’ feet became the focus of depiction. Sometimes these parts are deliberately emphasized; sometimes the joints are strengthened, the limbs and claws are extended, creating the impression that they are the key in the movement. Such treatments set the precedent for the artistic concept and technique of bold modification through addition or omission of details in the artistic creation of later generations. In terms of the overall expression or depiction of details, the primary pursuit of these representational patterns is not the recording or conveying of any specific content through the images, but the expression of certain concepts through the subjective processing of artistic images and the conveying of certain emotions by dynamic images. The images in the representational patterns on painted potteries reflect human emotions, which promoted the human understanding of the world and human beings themselves in their increasingly cordial and harmonious relationship. From the very beginning, the visual arts of the Chinese peoples took the initiative to create images and were not satisfied with recording entities. The creation of these images clearly demonstrates the trajectory of the pursuit of Chinese prehistoric art in both form and emotion, and gave rise to the basic concepts and techniques of artistic creation of the Chinese peoples.

2. The Development of Decorative Motifs Archaeological materials prove that in the 3,000– 4,000 years of prehistoric painted potteries, representational patterns densely emerged in more than one thousand years between the third and the second millennia BCE. The appearance of decorative motifs underwent several sequences of development that are linked with each other but had their respective emphases, i.  e., the recording of typical cases, the visualized depiction, the transition towards patterning, the visualized

Section 2 Representational Decorations

combination, the expression through painting, etc. Initially, representational patterns were combined as scattered motifs according to certain rules on the potteries. The representational patterns in the early stage have a pronounced recording character, which is related to its scattered composition. With the development of painted potteries, the combinations of the patterns became richer and more diverse and the representational patterns demonstrate a patterning tendency. At the same time, a few representational patterns continued to develop their pictorial characteristics on their initial basis. With the development of painted potteries, many motifs tended to be patterned. The tendency of the patterning of representational motifs was embodied in two forms, i.  e., the transformation of the archetype itself through the addition of decorative elements and the omission of certain details, and the combination of representational motifs to create symmetry and balance. This tendency did not only promote the regularization and patterning of representational motifs, but also enabled the gradual integration of these motifs with geometric motifs consisting of dots, lines, and grids. The patterning tendency of representational motifs, in turn, motivated the prehistoric artists to combine the transformed decorations with pottery shapes. Those creative prehistoric artists no longer regarded these motifs as isolated decorations but turned them into organic components of the art of painted potteries, combining the shape, color, and texture of the potteries in a more holistic way. As a result, the decorations and the potteries complement each other, creating a new, holistic art to the painted potteries. Another tendency in parallel with the patterning of motifs is the enhancement of the pictorial characteristics of a small number of representational motifs. On the »ping-bottle painted with swimming fish« of late Yangshao culture, unearthed at Dadiwan, Qin’an, Gansu Province, the fish motif

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is not patterned but depicted as a vivid scene. This was a new artistic technique that came into being during the mature stage in the development of representational motifs. Pictorial representational motifs existed in parallel with patterned representational motifs (Fig. 1.6.4). Chinese prehistoric painting demonstrates a simple classification of motifs, which adapted to the social and cultural needs of simple concepts and intuitive thinking in the prehistoric society on the one hand, and emphasized the rich varieties of the images themselves on the other hand in order to comply with the requirements of the increasingly enriched cultural development and with the manifold aesthetic pursuits of prehistoric humans. Those rules of artistic forms accumulated already in prehistoric painted potteries became one of the basic characteristics of Chinese artistic creation and has influenced later generations of Chinese artistic development. The culture of a people originated with their understanding of nature and themselves. The development of representational motifs obviously demonstrates this dual characteristic of the importance attached to nature and self-reflection.

 



 1.6.4 The pictorial tendency of representational motifs

Chapter VI Prehistoric Painted Potteries

3. The Connotations of Decorative Motifs The prehistoric economy of gathering and farming on which the Chinese ancestors depended for their survival must have been directly restricted by the law of nature. The reproduction and growth of prehistoric human beings was also influenced by nature’s cycles. Furthermore, the emotional and psychological fluctuations of humans was associated with these cycles to a certain extent as well. Since such fluctuations corresponding to nature were associated with human survival and reproduction, prehistoric humans cared about and attached importance to nature’s cycles, acquainting themselves to them and adapting to them. Therefore, the cycle of the natural climate was one of the basic laws that was valued by prehistoric humans and was among the earliest laws that was understood by them, as has been proven by modern studies of the history of science—the oldest science that was developed in human society is astronomy. Astronomy is a science that masters the law of the solar terms corresponding to the cycles of the sun, the moon, and the stars. It came into being to meet the needs of choosing references when creating calendars. Before the laws of motions for these celestial bodies were revealed, humans must have predicted the changes of nature by referring to plants or animals that were related to the changes of nature in their environment. This method is known as the archaic phenological calendar, and the animals used as representational motifs on painted potteries were probably the primary references in the phenological calendar used by the archaic Chinese ancestors. As a result, they were closely related to prehistoric humans. The astronomical calendar was originally related to the phenological calendar. Because those animals in the phenological calendar played important roles in human life, their morphological features were noticed, valued, affirmed, and depicted by humans as important information of nature.

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Without such specific concepts and contents, the morphological features and appearances of animals such as worms and frogs and their habits such as hibernation and crawling would not have aroused humans’ interest. The typical physical characteristics of the animals that were depicted also indicate the perspectives from which those animals were observed. In terms of phenology, the fish motif is worth noting. Judging by their appearances with open dorsal fins and swinging bodies, it seems like they were chasing each other and leaping out of water; even their eyes appear bright. These are the most important characteristics of fish in reproductive migration. Furthermore, the flying movements of birds, the stretching of frogs’ limbs, and the writhing of worms perhaps also contain information that implies specific seasons and solar terms. As a result of the long-term importance attached to the observation of these animals, their body features could be accurately outlined and vividly depicted (Fig. 1.6.5). In terms of the distribution of such decoration patterns of painted potteries, bird and fish motifs dominated at the confluence of the Weishui river and the Yellow River. Motifs such as deer and frog have also been found in this region. Worm motifs that are relatively finely depicted dominate the upper reaches of the Weishui River in Gansu. This coincides with the then climate conditions, geographical conditions, and lifestyles. This indicates that the animal images in the representational patterns are associated with the seasonal cycles, which were directly and closely related to humans’ life. Therefore, these animals became the references in the »calendar« of prehistoric humans and the heralds of seasonal changes that were highly valued by humans. They stimulated the formation of corresponding concepts. Humans consciously or unconsciously selected diverse things related to the seasons as references and even expressed their feelings towards the spring through an image derived from spring

Section 2 Representational Decorations







 

   

1.6.5 The morphological features and appearances of animals of phenological significance

celebration, i.  e., a combined motif of human face and fish. The depicted objects in the early representational patterns focus on relatively few motifs, though, they involve a variety of depicting methods. Later, the depicted objects gradually focused on motif groups such as birds and fish. And after prehistoric humans had acquainted themselves with more stable references—such as the sun, the moon, and the stars—such references and »heralds« completed their historical mission and were perpetuated in concepts such as the »Golden Raven« (jinwu 金乌), the »golden toad« (jinchan 金蟾), the lunar lodging »horn« (jiao 角) and »tail« (wei 尾), etc., in the culture associated with the phenological calendar. As a prehistoric art, painted pottery inevitably reflected cognition in real life through artistic images. As a result, the painted motifs seem to focus on relatively few motifs that flourished for long periods of time, which makes these motifs appear unprecedentedly mysterious. In summary, representational patterns had a huge impact on Chinese visual arts, both in terms of the artistic concepts and processing techniques.

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They laid the foundation of the basic ways of depicting and applying motifs in Chinese painting and brought forth certain basic principles of formal beauty in Chinese painting as well. After colors became more widely used, representational painting moved from the surface of potteries to walls and floors. They inherited the basic artistic principles of representational patterns and further created and developed Chinese painting. Almost at the same time or shortly after the development of vibrant representational patterns, painted potteries of relatively simple colors adopted the archaic decorative techniques of geometric patterns. With the achievements and inspirations of the development of representational patterns, they opened a new way—to geometric patterns.

Section 3  The Implications of Rhythms and Images 1. From Dots and Lines to Patterns The first geometric patterns consisted of dots and lines, which emerged long before the origination of pottery. They were created by techniques such as carving on stone and bone. The »first dent« chipped out while creating stone tools was the first »dot« created by humans, and »the first trace of grinding« was their »first line.« The dots and lines at that time were not only the so-called »pure forms« abstracted by humans from natural objects, but also became »meaningful forms« that were created, controlled, and mastered by them. They became the most primitive and the most basic elements in the plastic arts. In terms of the origination of the art, the way of recording ideas by dots and strokes was likely easier and clearer than that of recording ideas through images. This means, among two-dimensional pictures, that geometric patterns emerged much earlier than

Chapter VI Prehistoric Painted Potteries

representational patterns. This holds true for the patterns on Chinese painted potteries. Judging by the early painted potteries discovered in China to date, their decorative patterns are of accommodating size and orderly arrangement, embodying certain rules of composition. To summarize, typical geometric patterns on early painted potteries include the following types: The type characterized by the combination of the band pattern and the string pattern: it includes encircling broad bands and parallel lines that are parallel to the rim of the mouth. Typical broad band patterns were very widely used on the early painted potteries of the Yellow River Basin. In the early stage of Qingliangang Culture in the Yangtze River Basin and the Huaihe River Basin, painted potteries decorated with parallel lines and encircling bands were discovered as well. The type characterized by the combination of the dot pattern and the line pattern: it combines alternating dots and lines into encircling band patterns. This type of decorative patterns is one of the most common geometric patterns of the early painted potteries of Yangshao Culture. Such patterns were discovered in Guanzhong area and eastern Gansu Province, and occasionally in Daxi Culture, in the Yangtze River Basin. The type characterized by the grid pattern: straight lines crossing each other form a grid pattern or an encircling rhomb pattern. This type of pattern was relatively common and flourished over a relatively long period. The type characterized by polylines: polylines, rhombs, triangles, and inverted triangles form encircling band patterns. Demonstrating numerous variations, this type is the one with the most typical characteristics among the early geometric patterns. It was not only widely distributed across Yangshao Culture, but also appeared on the early painted potteries of Hongshan Culture and Dawenkou Culture. This type of patterns, along with the later parallel zigzag pattern, represents the typical style of the early geometric patterns.

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Early painted potteries bearing geometric patterns that are composed of dots and strokes were widely distributed across Yangshao Culture, Majiayao Culture, Qujialing Culture, and others. These early geometric patterns inherited the decoration principle of encircling bands, i.  e., they form encircling bands that are adapted to the surfaces of circular potteries. This kind of encircling band patterns creates visual effects that can be universally and diversely perceived at the same time. Since the plastic surface of a pottery always hides a part of the patterns on its back, no single perspective can present the entire pattern; each perspective indicates that the pattern encircles the pottery’s body. This manner of decoration does not only create a perfect, complete, and harmonious effect, but also provides the observer an experience of movement, transition, and incompletion. In this way, such patterns, earning their respective position on pottery and establishing certain rules under which those patterns unfold, received recognition and became a relatively stable form, which flourishes up to the present. With the creation of encircling band patterns and the formation of rhythmic polylines, the patterns on painted potteries developed in a new direction. In the millennium between approximately 5,000– 6,000 years ago, the composition of patterns on painted potteries in China demonstrated its greatest diversity. During this period, the Yangshao and Majiayao cultures in the middle and upper reaches of the Yellow River, the Dawenkou Culture in the lower reaches of the Yellow River, the Daxi and Qujialing cultures in the middle reaches of the Yangtze River all created certain pottery patterns with regional characteristics, based on certain rules of geometric composition (Fig. 1.6.6). The initial principles of the composition of patterns came into being during the adaptation to the requirements of the arrangement of patterns. While looking at pottery from a certain perspective, humans can only see part of the surface. Therefore, potters tended to come upon the idea

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1.6.6 A painted pottery bo-bowl bearing a petal pattern, Dawenkou Culture

of decorating part of the surface with a complete pattern. Such decorative patterns can be seen on the outer walls of certain pen-basins of the Banpo era, bearing fish motifs. Sometimes, patterns were painted on the inner wall. Typically, the eye sees a quarter to three quarters of the inner wall. In order to maintain the integrity and visibility of the pattern, the potter needed to consider the proper division of decorative and non-decorative surfaces in order to deal with the basic structure of the pattern (Fig. 1.6.7). The arrangement of the patterns at the rim and the inner walls of those pen-basins bearing fish and human face motifs that emerged in the Banpo era already present the earliest composition of the patterns on Chinese painted potteries. Individual pen-basins of this type mostly bear on their respective inner walls four pattern units, which oppose each other in pairs. The circumference of their respective rims is divided equally with eight patterns, the layout of which forms the shape of the

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1.6.7 The relationship between the decorative part and visual perspective

Chinese character »mi« (米), i.  e., it demonstrates two pairs of dividing lines that are perpendicular to each other. The four pattern units on the inner wall are located at one pair of the dividing lines that are perpendicular to each other. It seems that the positions was determined by the equal division of the circumference of a circle by its diameter. This method of locating the pattern by the equal division of the rim of a vessel was widely used in the composition of decorative patterns on the outer walls of the vessels later on (Fig. 1.6.8). As the compositions of patterns became more complicated, the strict, regular, and symmetrical arrangement was interlaced to form more ingenious combination of individual motifs and decorative bands. The typical »petal motif« on the potteries of the Miaodigou type may have adopted such a compositional method. This kind of method worked approximately as follows: four equidistant lines were painted below the rim of the pottery and parallel to the rim; these lines intersected the perpendicular lines that equally divided the outer wall of the pottery; alternating intersecting points were selected as the anchor points of patterns, before every three anchor points adjacent

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to each other were connected with each other into circular triangles that were subsequently colored. As a result, lanceolate-shaped rhombs came into being and formed a new pattern similar to petals. Due to the alternating placement of the anchor points, uniform and simple blocks consisting of curved lines were interlaced and became rich in contrast, forming dense and manifold patterns (Fig. 1.6.9). This strict and variable method of the determination of the anchor points, the equal division of the surface, and the connection of the anchor points played an important role in the development of geometric patterns. Painted potteries with geometric patterns arranged by this method appeared in a vast region, from Shandong to Gansu, Qinghai, and the Yangtze River Basin. The structure of such decorative patterns is similar to the traditional Chinese layout of the Nine Palaces. »The Nine Palaces« refers to the four cardinal points, the four

1.6.8 The arrangement of patterns by equal division of the circumference of a circle

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1.6.9  Schemata of the composition of decorative bands

intercardinal directions, and the center. »The Nine Palaces« or the above-mentioned »mi-shaped layout« frequently became the basic patterns for the plan views of numerous constructions throughout China. It also had a great impact on images, patterns, and the structure of calligraphy in later generations. In the past, it was thought that this layout was created by Taoists in the Eastern Han Dynasty. Judging by the composition of the patterns on painted potteries, this layout appeared as early as more than 6,000 years ago. In the Miaodigou era of 5,500 years ago, it had been developed into a relatively complete and universal layout. Although the basic motifs, consisting of dots and lines, are simple, they do not appear monotonous due to the encircling band patterns formed by them. In the long course of their development, the simple rhythm and schema resulted from the clarity and fluctuation of these basic motifs did not evolve toward the complexity of individual motifs. Instead, these motifs formed more vivid, holistic patterns by the repetition of seamless composition. Therefore, the composition of encircling bands enriched and gave rhythm to monotonous and clear basic motifs; the simple band patterns

consisting of basic motifs became increasingly dynamic and provided the possibility of the combination of the basic motifs with numerous variations. Their combination did not only determine the fundamental style of geometric patterns, but also formed the two basic factors of geometric composition for the patterns on painted potteries in China, i.  e., basic motifs and band patterns. The perfection of pattern composition resulted in the further development of painted potteries in the direction of an inquiry into balance and contrast, and an inquiry into variations in uniformity. This further pushed the artistic level of Chinese painted potteries to new heights.

2. The Rhythm of Lines After the color combination of black and white was used for patterns on painted potteries, the cultures of painted potteries in the Central Plains declined sharply. But in the western regions in Gansu and Qinghai, and in the upper reaches of the Yellow River and the Wei River, the painted potteries of the Majiayao Culture, with their distinctiveness, opened painted potteries to a new world of geometric patterns.

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1.6.10 Examples of the methods for applying lines

Starting from around 5,100 years ago, painted potteries of the Majiayao type appeared, bearing patterns consisting of lines demonstrate their own unique style. It is no exaggeration to call the patterns on the painted potteries of this period »the art of lines.« So far, almost all of the tens of thousands of painted potteries unearthed from over one hundred sites of the Majiayao type bear geometric patterns composed of various lines. Since lines instead of blocks were preferred, the method of outlining the contours was replaced by the direct composition of geometric patterns by lines. In terms of the selection and application of lines, the painted potteries of the Majiayao type reached a remarkably high level. The methods of applying lines can be summarized as follows: First, the thickness and spacing of the lines were controlled to ensure their evenness and smoothness. The blank spaces between the parallel lines are approximately as wide as individual lines, creating the illusion that they are white lines and resulting in the effect of alternate stripes in black and white. This gives the impression of harmony and extension.

Second, strongly rhythmic lines that are wavy, zigzag, fluctuating, rotating, radiating, etc., create an impact of motion and rhythm. Third, specific combinations of lines create a sense of coordination in motion or a sense of motion in coordination. For example, spirals were used to form radiating or rotating patterns, while a grid pattern instead of patterns created by evenly smearing was applied to create a vivid and airy impact (Fig. 1.6.10). During this period, pottery shapes became long and slender or flat and broad, enhancing the contrast between height and width. The refined potteries that had been pressed and polished had smooth surfaces, dense textures, and relatively pure colors, providing favorable conditions for the wide application of lines. The geometric patterns composed of lines perhaps do not express any particular meaning, but focus more on the creation of certain sensations, emotions, and atmospheres. On wide and flat surfaces such as the shoulders and bellies, the lines are fine, dense, and with more variations. And on steeper, narrower surfaces such as the necks and lower bellies, the lines are rougher, sparser, and with fewer

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fluctuations. In this way, the potteries and their ornamentations produce a visual sense of sound proportion, order, steadiness, harmony, fluidity, and uniformity—forming the overall style of the art of painted potteries in that period. Among the various compositions of these linear patterns of the Majiayao type, the most effective breakthrough lies in the new method of determining the anchor points by equally trisecting the circumference of a circle, and the technique of connecting the anchor points with layers of lines that ripple and spread out, gradually expanding the layers of the pattern. The three supporting feet of certain individual potteries as well as the triangles among early geometric patterns demonstrate the humans’ understanding and application of the properties of triangles. In particular, the pervasive application of the method of the equal trisection in the composition of patterns was due to the extraordinary knowledge of the Majiayao people. In terms of the composition, the liveliness of circles and the stability of triangles are mutually reinforcing. In terms of compositional method, an inscribed triangle is placed inside the circular circumference of the pottery’s inner bottom to determine the anchor points. This seems to utilize the stable triangle to fix the rotatable circle or to restrict the vibrant triangle with a regular circle. In terms of the joining of the anchor points into patterns, those images consisting of anchor points created by the equal division of a circle into even-numbered parts are always symmetrical and balanced, while, on the contrary, those images consisting of anchor points created by the equal trisection of a circle tend to produce a sense of lively and smooth motion. The design of the patterns is also in line with the equal division of the circumference of a circle into three basic parts, which are sometimes further divided into six equal segments. In the center of each pattern, there is a dot or a circle that is relatively static. In order to create a sense of motion, three bundles of radial lines that sur-

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1.6.11 Painted pottery bo-bowl of the Majiayao type of the Majiayao Culture, bearing patterns consisting of spiral lines with three anchor points

round the center and run in the same direction form waves in the shape of comet tails or willow leaves, creating an effect as if the center of the pattern would rotate (Fig. 1.6.11). As a result of the expansion of their sizes, the painted parts with patterns consisting of extremely fine lines became the most conspicuous parts of individual potteries. It is possible that monotonous colors, simple patterns, and monotonous techniques that were used earlier were no longer adaptable to the large painted parts. Therefore, the painted potteries of the Majiayao era no longer inherited such traditional patterns but are instead characterized by the arrangement of patterns radiating from their center. The anchoring method of using three points makes the arrangement alternating and manifold. The extension of the pattern units on the pottery walls increased the width of each central decorative band, the upper and lower edges of which form auxiliary decorative bands consisting of various lines. Such auxiliary bands are usually composed of bundles

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of parallel lines, bundles of wavy lines, broad bands, zigzag pattern, gridded bands, and coiled lines. They can not only highlight the central patterns, but also demonstrate a variety of complementary levels. The illustrated patterns in the present chapter reveal the ingenuity of the artists in the era of Majiayao potteries. The decorative patterns on a 49.3 cm high, large, painted weng-pot unearthed at Sanping 三坪, Yongjing, Gansu Province, are painted in consistent and fine lines. In order to decorate a large part of the pottery body, three sections of different patterns were painted on the neck, shoulders, and belly of the weng-pot. Two parallel lines were applied between every two sections to separate them from each other. The main patterns in the middle section are groups of large concentric circles, with every two groups connected elegantly and leisurely by an S-shaped line with each other. The space besides the connecting lines is filled with incomplete small concentric circles. All the patterns are painted with lines of equal thickness, appearing radiant. At the neck of the pot, the upper section consists of diagonal curved lines and four spirals, the centers of which are ingeniously occupied by small hooks that were shaped by means of appliqué. Therefore, this section seems to enhance the effect of the central section of patterns. The inclination of the diagonal curved lines is exactly the gentle extension of the large fluctuating rhythm of the S-shaped lines in the central section. The lower belly, which draws in sharply, bears the lower section of patterns composed of moderate, wavy lines that run horizontally, and crescent-like curves that are studded with vibrant dots at their tops and bottoms. This section of patterns appears stable and peaceful, as if it were an undercurrent hidden under the flow of the middle section of the patterns. This type of decorative structure, with decorative layers echoing and enhancing each other, enriches and substantiates the overall shape of the pottery, which is an unparalleled piece among the prehistory artworks.

Chapter VI Prehistoric Painted Potteries

In addition to a manner of composition that creates the effect of rotation and fluidity, the painting skills are also astounding. Archaeological research demonstrates that the Majiayao era still belonged to the stage of hand-made pottery. Even if those encircling lines and wavy lines parallel to the rim of the mouth may have been completed by tracing along hoops or by rotating the pottery while painting, the concentric circles, bundles of lines, and S-shaped connecting lines in the middle section must have been painted in complete dependence on expert skill and technique. In addition, these lines are drawn on surfaces of individual sizes and surficial curvatures, which were far more difficult to master than flat surfaces. Nevertheless, the artists were able to draw their lines with equal thickness, density, and coordinated variations, amply demonstrating their overall mastery of the patterns and their high ability of applying »brushes.« This kind of artifice and skill had a positive effect on artistic creation and development. This may have been the origin of using lines and applying brushes in traditional Chinese painting. It is hard to say that the patterns of curved lines and the aesthetic taste for harmonious fluidity of the painted potteries of Majiayao Culture were determined by the concept of worshiping certain specific objects. In terms of production and practices in the daily life of prehistoric agricultural society, the origination of these patterns was more likely determined by concepts associated with nature and climate, such as the flow of water and clouds. The messages that they conveyed are neither the fear or distress caused by natural object, nor humble supplication or passive submission towards objects of worship. Instead, they imply a kind of confident stability, a kind of joyful rhythm, a kind of optimistic tolerance, a kind of plain harmony, embodying an integration of diversity and variety. The sensations caused by these patterns formed the basic aesthetic rhythm of the Chinese peoples. This kind of »harmonious fluidity« laid

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1.6.12 A painted weng-pot of the Majiayao type of Majiayao Culture, bearing connected spiral patterns

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the cornerstone for the arts of the Chinese peoples and was the epitome of the human spirit in that specific era (Fig. 1.6.12).

3. The Implications of Images On painted potteries of the Banshan type and the Machang type that succeeded the Majiayao type, the decorative bands consisting of lines are split into separate patterns, weakening the effect of motion formed by the combination of spiral lines. In addition, intense colors and excessively elaborate refinement strengthen and stabilize the individual patterns. Furthermore, with bold strokes, patterns formed by individual motifs are freely depicted. The potteries of the Banshan type and the Machang type, with the solidness of their shapes, the roughness of the color quality, as well as the partial usage of appliqué technique and coating technique, created a new artistic style and completed the process of the development and transformation of painted potteries in the regions of Gansu and Qinghai. On the painted potteries of the early stage of the Banshan type, the main patterns, i.  e., spirals in the centers of the individual decorative patterns, are often enlarged into large circular shapes. The border lines of those circular shapes as well as the lines connecting them are painted bold. As a contrast, the remaining bundles of parallel lines, being the backdrop of the prominent main patterns and connecting lines, appear relatively thin. The connection between the main patterns is unlike the radial arrangement of the patterns that are typical of the painted potteries of the Majiayao type. Instead, painted potteries of this era only inherited the wavy and spiral forms of the lines of the Majiayao type; the main patterns are connected with each other by horizontal wavy lines. The connecting lines and the main patterns differ from each other in shapes and sizes. Therefore, they no longer demonstrate coherence and integrity as those of the Majiayao type did. At the same time, the circular triangles on both sides of each

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main connecting line, formed by blank spaces or colors, are full of contrast, creating an effect of a progressing motion; alternately, individual patterns were simply transformed into color bands of diverse widths or alternate stripes in black and white, further decorated with grid patterns or zigzag patterns, and creating a contrast and rhythmic fluctuation between the connecting lines and the main patterns and highlighting the distinctiveness of them. As a result, the gaps in the centers of the patterns gradually became larger and became the highlights of the patterns. Although the parallel main connecting lines in the patterns of the early painted potteries of the Banshan type were widened, the blank spaces between them are as thick as the connecting lines, forming with them alternate stripes in black and white. This obviously indicates that the Banshan type did not run off the beaten track of the »Majiayao« type. The patterns on the painted potteries of the late stage of the Banshan type underwent a transformation, i.  e., a kind of vertically executed and densely applied fine brushstrokes emerged. These bristle-like brushstrokes do not only account for the dry and sluggish appearance of the painted lines, but also severely fragment the »lines« formed by the blank spaces. Diminishing the smooth and fluid appearance of the lines, they seem as if the potteries were shrouded with translucent black gauze. This kind of »bristle-like short stroke« is one of the distinctive features of the patterns of the Banshan type. In addition, those flowing bands consisting of parallel wavy lines or horizontal lines that are typical among the patterns of the Majiayao type were often replaced by arched lines of diverse thicknesses on the painted potteries of the Banshan type, enhancing the stability of the pattern. Alternately, different colors were alternated and contrasted with each other, diminishing the motion effect created by parallel lines of a single color. For instance, red and black were often used alternately, while further colors such as white and blue were occasionally used as

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well, creating strong contrasts. The lines painted in these colors are arrayed closely, complementing the little brownish yellow background. Interestingly, due to the illusion created by the perception of colors, these patterns sometimes appear to demonstrate blue or green hues. In addition to the above-mentioned processing techniques, in terms of the overall layout of patterns, painted potteries of the Banshan type often made use of layers of arched lines of alternate colors to compose flower-like patterns with the pottery mouths as their centers; alternatively, running spiral patterns consisting of huge broadbands are combined with colorful lines, between which a variety of bristle-like patterns, zigzag patterns, or grid patterns are added, constituting patterns that are extremely precise but nevertheless lack refinement. The exquisite ornamentations of bright and rich colors and rigorous and

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detailed arrangement on the potteries are visible in frontal view, profile view, or bird’s eye view (Fig. 1.6.13). In the process of two major transformations, i.  e., the expansion of the multiple centers of the patterns and the modification of the parts that connect those centers, the pattern centers and the connecting parts of the Banshan type form a prominent dichotomy. They seem to demonstrate parallels to the dots and lines that formed the earliest patterns on painted potteries. Following their marvelous composition in the Miaodigou type and their high-level harmony in the Majiayao type, the pattern centers and the connecting parts in the Banshan type achieved their respective development, before they were further strengthened respectively for the pursuit of their »recomposition.« Finally, they parted ways in the Machang type: highly standardized large potteries demon-

1.6.13 The basic patterns of the painted potteries of the Banshan type

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strate two compositions of patterns based on large circles and thick lines, respectively. During the era of the Machang type, the proportion of painted potteries among all potteries increased rapidly up to more than 90 % in several sites. These potteries, which are of regular shapes, rough textures, and simple types, are clearly the products of the professional division of labor. This means that the process of pottery production was highly standardized. The findings of certain archaeological excavations demonstrate that the Machang type of patterns was the result of a linear development from the Banshan type of patterns. For instance, the circle patterns popular on the painted potteries of the former type originated gradually by strengthening the cores on both ends of individual spiral patterns of the latter type. When these two cores had been enlarged as such that they could tangent, the spiral that was used to connect them disappeared. The circle patterns seem particularly stable due to the parallel border lines above and below them and all sorts of patterns filling up the inside and outside of the circles. From any perspective, huge circle patterns are visible (Fig. 1.6.14). Each circle pattern is commonly composed of four circles, occasionally five or even six or seven circles, that encircle the belly of a pottery. They are commonly called »the pattern of four big circles.« The thick black and red border lines of these circles are so ostentatious that they can be easily recognized on any surfaces. In general, the patterns inside the circles are not related to the overall decorative patterns. Even on one and the same pottery, the patterns inside the circles are not necessarily identical. However, there are merely a few patterns that fill out the spaces outside the circles, including the curtain-like pattern consisting of parallel motifs in the shapes of the Chinese character »ren« (»人«, i.  e., »person«) or »ge« (»个«, i.  e., »individual«), respectively; rhomb patterns; and leaf-shaped patterns. It seems that these patterns form the backdrop that highlights the cir-

Chapter VI Prehistoric Painted Potteries

cles. If »the pattern of four big circles« determined the general style of the Machang type of painted potteries, then the numerous variations of the circle patterns embody the ingenuity of individual artists in that era. It is almost certain that each individual artist created his own circle patterns. According to statistics, the famous Liuwan site at Ledu, Qinghai, alone produced as many as 414 different circle patterns, almost all of which reflect the artists’ skillful application of the brush, free and vivid design, and spontaneous enthusiasm. Another striking type of pattern is the so-called »bent limb pattern,« which consists of bold bicolor or monochrome, and sometimes hollow, polylines. They were new patterns created by the enhancement of connecting parts. When the curves in the connecting spiral patterns were contracted and thickened, they were gradually transformed to polylines. Such polylines were no longer simple encircling wavy bands but forming an individual pattern. When one polyline pattern is used alone or multiple such patterns crisscross into an encircling band pattern on a pottery, the triangular or rhomb-shaped blank spaces are often used as the borders of other patterns. However, when several parallel polylines form an individual pattern, those bristles and zigzags between the lines gradually appear trivial and lose their decorative effect. On the painted potteries of the early stage of the Machang type, the custom of decorating the parallel polylines with bristle-like short lines is preserved. With the widening and thickening of the polylines, the pattern consisting of multiple parallel polylines were gradually replaced by the pattern of a single polyline. The bristles that were initially placed above and below the polylines became confined to the bends and the ends of the polylines. These are the typical characteristics of the bent limb pattern in the later stage of the Machang type. The stereotyped circle patterns and polyline patterns are the standardized patterns on the painted potteries of the Machang period. Representational

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1.6.14 The formation of circle patterns

patterns no longer appeared during this period, which promoted the development and standardization of geometric patterns. The numerous variations of patterns inside the circles, for instance, can be roughly divided into the following types in terms of their structures. Crisscrossed structure: parallel lines, wavy lines, or the combination of dots and lines are crisscrossed to form patterns in shapes of crosses, of the Chinese character »jing« (»井«, i.  e., »well«), or of grids. Furthermore, the variations of these shapes and the fills of their interiors create many more similar patterns. Such patterns are consistent and stable. Parallel structure: in such a structure, various band-shaped lines or band-shaped patterns run in parallel. Such patterns appear as if they could flow and stretch. Radial structure: centered in the center of a circle, such a structure is composed of a number of concentric circles. Alternately, various patterns are arranged radially or spirally. Such patterns appear focused and regular. Irregular structure: this is the most remarkable structure of patterns. It forms the largest proportion and is the most distinctive among the pattern compositions. It marks a progressive understanding of the laws of composition. The prehistoric artists often chose different patterns to fill out the extremely equally positioned two or four circles

and deliberately created contrast in terms of density, thickness, and emphasis, which reduce the tediousness of the contents in the circles. Alternatively, seemingly randomly but indeed intentionally, the balance of the patterns and the symmetry of the motifs were disrupted, resulting in a peculiar charm. These interesting patterns amply demonstrate the artists’ enthusiasm for the creation of circle patterns and their relatively high painting level. The findings of certain archaeological excavations indicate that while the painted potteries in the area of Gansu and Qinghai developed into the Machang type, the sporadic prehistoric painted pottery production of other areas had almost disappeared. Approximately 5,000 years ago, there was a marked decline of the production of painted pottery in the Central Plains. The development of the painted potteries in several regions with a relatively low production rate, including Shandong, Henan, and Anhui, in the lower reaches of the Yellow River, was ended by a rough pattern of red dots in the late stage of Dawenkou Culture, around 4,700 years ago. Over the following three hundred years, only the Qujialing Culture, in Hubei Province, produced a small number of painted potteries under the influence of north and south China. Among those potteries, most of those exquisite ping-bottles, small bei-cups, and spinning wheels bear geometric patterns such as cord patterns,

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1.6.15 Engraved and painted markers

radial line patterns, or spiral patterns. After the era of Qujialing Culture, painted potteries in the region disappeared—approximately 4,300 years ago. Around 4,000 years ago, the Machang type of painted pottery also ended its development process. At that time, in the regions to the west of the Hexi Corridor and in Xinjiang, several rough styles of painted pottery succeeded each other. They were obviously influenced by Majiayao Culture, but the number of the potteries was not great. In the regions of Gansu and Qinghai, the cultures succeeding Machang Culture, including »Qijia culture,« »Xindian 辛店 culture,« »Tangwang 唐 汪 culture,« »Kayue 卡约 Culture,« and »Siwa 寺洼 Culture,« produced painted potteries. But those potteries rarely demonstrate shared characteristics and their patterns are monotonous. Among them, the Qijia Culture was one of the most widely distributed, i.  e., it has been discovered from the Jing River Basin and the Wei River Basin to Gansu, Qinghai, Inner Mongolia, etc. So far, more than 50 sites of Qijia Culture have been excavated, but most of them yielded no painted pottery. The few painted potteries produced by a minority of sites in the regions of Gansu and Qinghai obviously demonstrate a rough continuation

of the monotonous grid patterns or polyline patterns of Majiayao Culture. In general, the painted pottery of the time had lost its youthfulness and vitality. And in the Central Plains, the Bronze Age had commenced.







 

 1.6.16 Schematic of the differentiation of the functions of decorative patterns on painted pottery (1) Painting (2) Divination mark (3) Written character (4) Pictorial shape (5) Pictorial pattern (6) Pictorial knowledge

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A few regional cultures in southeast China, southwest China, etc., sporadically produced a small number of painted potteries. But in terms of cultural relics, they are not qualified representatives of the artistic level of their eras. In the later stage of the development of the patterns on painted potteries, many written symbols composed of various lines also appeared. The potteries of the Machang type alone bear more than ten symbols. Many of these symbols are derived forms with similar or associated structures, and several of them are variations of one and the same structure. Generally written on the lower parts of the potteries, they are independent from the patterns and their marking function is obvious. Their structures seem to have been abstracted from the basic composition of patterns such as circle patterns. That humans were able to abstract certain symbols as »markers« from certain patterns reflects the functions of the patterns in promoting and shaping the expression of ideas (Fig. 1.6.15). In Chinese prehistoric cultures, pictorial symbols or divination symbols appeared earlier than written characters. They were standardized and simplified patterns. Therefore, in addition to their roles in the formation of painting and writing, the patterns on painted potteries may have been associated to a large extent with primitive divination. The decorative patterns on painted potteries were indeed the products of the integration of various cultural expressions. Shortly before the dawn of civilization, all kinds of ideas and concepts that bred in prehistoric cultures gradually found suitable ways of expression. Accordingly, the various functions of the patterns on painted pottery inevitably underwent differentiation. In the late stage of the painted pottery cultures, the functions of the patterns, such as the decorative function, the marking function, and the expressive function of certain ideas, tended to become

SECTION 3 THE IMPLICATIONS OF RHYTHMS AND IMAGES

distinctive. The perfunctoriness of the patterns on painted potteries in the late stage indicates that the patterns were created exclusively for decorative function. Engraved marks that had appeared since the early days of pottery-making, and certain standardized symbols that later evolved from the basic patterns, seem to have been written characters bearing special meaning. At the same time, a number of potteries bearing parts that were modeled or attached with appliqués emerged. It seems that these parts and the written characters were used to fulfil the functions of visual representation and of the expression of ideas, respectively. With the differentiation between material needs and spiritual needs, various pursuits in prehistoric pottery making emerged, and the functions of the surficial decorations of potteries were increasingly differentiated—leading to significant transformations in the art of painted pottery in its late stage. Just as the final differentiation of individual disciplines and sectors in human cultures could not come to completion until after a long period, the differentiation of a prehistoric art form such as painted pottery, with its multiple cultural and practical functions as well as extremely rich connotations, could only occur after Chinese civilization had progressed to a certain era. In this sense, the various functions and the infinitely rich meaning of painted pottery art can neither be paralleled nor be replaced by any of the later art forms. As a result, the artistic achievements of painted potteries had long-term impact on Chinese civilization. Their basic color concepts, sensitivity to shapes, decorative structures—depicting techniques, as well as the corresponding aesthetics and conventions, have been inherited by art forms such as bronze art, painting, and decoration, as well as in written accounts of later generations, becoming one of the veins of the Chinese cultures and arts (Fig. 1.6.16).

CHAPTER VII PREHISTORIC ROCK ART Rock art refers generally to pictures created directly on rocks by prehistoric humans. In view of art history, prehistoric rock art is an important object in the study of the development of art. Prehistoric rock art refers to large pictures carved with small stone tools or painted with pigments mingled with animal blood or grease on hard cliff walls by humans from the late Paleolithic to the Neolithic. It is one of the artistic heritages that has been handed down from the developmental period of humanity. In view of both the diversity of the pictures and the engraving or drawing techniques, this archaic artistic heritage is of great reference value for the study of prehistoric social and economic forms, social systems, myths, arts, religions, families, marriages, and the development of human beings themselves. Rock art is commonly visible on rock walls in the open air and in caves. Prehistoric humans used appropriate tools to chisel or depict a variety of images, including animals and various symbols, as well as various daily scenes including dancing, hunting, footprints, and so on. Together with their surroundings, these images constitute a particular atmosphere. Rock art originated no later than 30,000 years ago and was continued from generation to generation. Large-scale rock art that was able to withstand erosion over lengthy periods of time records continuous chapters of daily activities, demonstrates the course of humanity from barbarism to civilization, constitutes a huge volume of prehistoric human history, and witnessed the early civilization of Chinese prehistoric humans in several areas.

Section 1  Rock Art in China and Its Discovery In terms of the discovery of rock art in world history, the first discovery of Chinese rock art was made relatively early on. The earliest record on its discovery is preserved in Han Feizi; the modern study of Chinese rock art began in the early 20th century. Numerous sites of rock art have been discovered in Fujian, Inner Mongolia, Xinjiang, Sichuan, Guangxi, Heilongjiang, Yunnan, Jiangsu, Qinghai, Tibet, Hong Kong, Taiwan, etc. According to various factors such as chronology, pictorial content, and artistic style, Chinese rock art can be generally divided into two systems, i.  e., the southern and the northern systems.

Section 2  Rock Art in Northern China 1. Rock Art of the Yinshan Mountains The Yinshan 阴山 Mountains consist of several unconnected mountains: Daqingshan 大青山, Wulashan 乌拉山, Se’ertengshan 色尔腾山 and Langshan 狼山. Lying on the southern edge of the Inner Mongolian Plateau with an east-west orientation, the Yinshan Mountains are located to the north of the Hetao Plain and acts as a natural barrier for the Hetao Plain. The Sjara-osso-gol (Salawusu 萨拉乌苏) site, one of the late Paleolithic sites in northern China, is located to the south of the Yinshan Mountains on the Hetao Plain. To the west of the site, there is the Shuidonggou 水洞沟 site, which is dated to a later period,

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in Ningxia. The »Hetao People« lived 20,000 to 35,000 years ago, and since the two sites are adjacent to each other, the archaeological community assumes that they are parts of the same culture. The stone tools from Sjara-osso-gol include scrapers, drilling tools, pointed tools, as well as engraving tools. The latter, which are characterized by their small size, have been always called »small stone tools«. It is conceivable that those »small stone tools« were handy tools for engraving images. In that era, the environment at the sites was mainly grassland with additional coniferous and broad-leaved forests; and there may have been desert nearby. With a climate that was not hot, but warmer than it is today, the sites were suitable hunting places for prehistoric humans. Animals such as Naumann’s Elephants, wild donkeys, wild horses, the woolly rhinoceros, Przewalski’s Gazelles, Bubalus wangsjoki, and Camelus knoblochi, did not only provide the prehistoric hunters and their descendants with the rich resource of prey, but also with important motifs for rock art. There must have been many connections between the Sjara-osso-gol Culture and Yinshan rock art. Among the several tens of thousands of scenes in rock art, several are the works of prehistoric hunting tribes that lived 10,000 years ago. Yinshan rock art actually refers to the rock art on Langshan Mountain, i.  e., rock art covering a 300 km stretch of the mountain, from the eastern part of Alxa League (Alashanqi 阿拉善旗) to Urad Middle Banner (Wulatezhongqi 乌拉特中旗) in the southern part of Inner Mongolia. The Yinshan Mountains are hitherto the oldest site accommodating the most numerous scenes of rock art in China. The motifs of the rock art of the Yinshan Mountains are comprehensive and diverse. The scenes, demonstrating various living animals of the respective eras of the painters (wild and domesticated animals, both as individuals or in swarms, belonging to different species and genera of various periods), including battles, human figures,

Section 2 Rock Art in Northern China

1.7.1  Hunting scene from Yinshan rock art

human faces, dances, sacrifices, the moon, the stars, round tents made of felt, vehicles, corrals, hunting tools, fingerprints, footprints, hoofprints, primitive signs, etc. (Fig. 1.7.1). The most numerous among the motifs are wild animals. Due to their detailed observation of the shapes and habits of the animals, the prehistoric hunters were familiar with the individual characteristics of the animals, and depicted them vividly. The tens of thousands of scenes of rock art in primitive and plain style reflect the hunting life of the prehistoric hunters, their living conditions, their primitive religious beliefs, and their social and historical conditions. Yinshan rock art, scattered over the long stretch of mountains, was not created by a single generation or in a single era. Its creation lasted altogether thousands of years. Researchers discovered that certain scenes created in a chronological succession of periods »destroyed each other«, i.  e., the later images were engraved or depicted on the previous images, resulting frequently in the phenomenon of certain scenes fully or partly overlapping each other. This phenomenon indicates that in various eras, different peoples inhabited this region, leaving their footprints and, of course, their respective rock art.

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The creators of Yinshan rock art would have been those painters who possessed professional painting skills among the prehistoric humans. Using sharp stone tools and chiseling or grinding techniques, they »depicted« on cliffs or rocks. The earliest depicting method was grinding. At about the same time, or slightly later, the method of hewing and chiseling emerged. This creative method, which had the longest duration, almost accompanied the whole flourishing period of the Yinshan rock art. In general, in the early rock art, the dents hewed and chiseled out are small, even, fine, and dense. Since the dents overlap each other, the traces of chiseling are barely visible. As a contrast, in the late rock art, the dents chiseled out are big, sparse, uneven, and perfunctory, conveying a sense of roughness. The creation of pictures on lofty and steep cliffs, especially the carving of such a large group of scenes, would have been possible only for specialists. Such large-scale scenes on rocks could never have been created in one day. Instead, it took a considerable amount of work as well as time. This indicates that there was a relatively clear division of labor among the prehistoric humans who created rock art.

2. Qinghai Rock Art Qinghai rock art has been so far discovered in Shebuqi 舍布齐 Valley and Halong 哈龙沟 Valley in Haibei 海北, Tibetan autonomous prefecture; Yeniu 野牛 Valley, Lusi 卢丝 Valley, Bahamaoli 巴哈毛力 Valley, Lushan 卢山, Huaitoutala 怀头 他拉, Xuji 蓄集, and the Bali 巴力 River Bank in Haixi 海西, Mongolian and Tibetan autonomous prefectures; Qieji 切吉, Zhongbutan 中布滩, and Helimu 和里木 in Hainan, Tibetan autonomous prefecture; as well as Leba 勒巴沟 Valley in Yushu 玉树, Tibetan autonomous prefecture. The series of rock art at Halong Valley is located 18  km to the northwest of Ji’ermeng Commune, Gangcha County, Tibetan autonomous prefecture of Haibei, Qinghai Province. In Tibetan, Halong Valley means »Valley of Deer«. The rock art is en-

Chapter VII Prehistoric Rock Art

graved on the cliff walls of the southern sides of two hills consisting of granite, 3,500 m above sea level. The reddish-brown rock surfaces bear exclusively motifs of animals, including oxen, tigers, deer, leopards, boars, and so forth. The scenes of the rock art vary in size and height. Sometimes, several layers of the scenes form a group, while sometimes an individual animal image forms a group. Of clumsy appearances, the animal motifs engraved on the rocks of Halong Valley represent relative numerous individuals. The lines forming them appear simple yet they demonstrate a strong realism and a primitive archaic style. The rock art of Bahamaoli Valley is located in Xiangjia Commune in Dulan County, Haixi, Mongolian, Tibetan and Kazakh autonomous prefectures. The rock art is engraved on the western wall of a stone called »Huashizui« (画石嘴, i.  e., »pictorial stone rim«), about 4 km away from the southern entrance of the Bahamaoli Valley. In general, the scenes are engraved shallowly with a common skew chisel on the glossy, blackish-purple wall. The engraved lines appear yellowish brown. The motifs of the rock art of the Bahamaoli Valley are predominantly animals, such as goats, camels, deer, horses, oxen, and water deer. A striking motif is the sun,that seems as if it were bursting out of clouds, with its top half circle crowned by painted radiant light. Another scene demonstrates an elephant limping along with its long, curved trunk lifted and one left leg held up, looking playful. The lines in the whole picture are simple, vivid, and interesting. Historically, China used to be one of the world’s inhabitation centers for elephants. So far, 59 species of elephant fossils belonging to 16 genera have been discovered in China, more precisely, in northern China and northwestern China. In May 1973, the world’s most complete fossil of a stegodon, millions of years old, was discovered on a bank of the Malian River in Heshui County, Gansu Province. The fossil of the latest Asian straight-tusked elephant, around 20,000 years old, was discovered in the Paleolithic site of Hut-

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ouliang, Yangyuan County, Hebei Province. Qinghai Province belongs to the high-altitude and cold regions, in which elephants have been extinct since the Holocene. It seems to be conclusive that those images of elephants were created 10,000 years ago during the late Pleistocene.

3. Gansu Rock Art The sites of rock art in Gansu Province include those at Heishan 黑山 Mountain in Jiayuguan 嘉 峪关; at Wujiachuan 吴家川 in Yongjing County; and those in the Hexi Corridor, i.  e., those at Daheigou 大黑沟 in Haobula Village in Biegai Town in Subei County, at Houwanzi 后湾子 in Shibaocheng Town in Subei County, at Shuangjingzi 双井 子 in Yongchang County in Jinchang City, and at the Qilian 祁连 Mountains. Heishan is located about 20  km away from the northwest corner of Jiayuguan City, Gansu Province. Facing the Qilian Mountains at a remote distance, it forms a natural barrier of Jiayuguan. The rock art is engraved on the ravine cliffs of Heishan Mountain. It was created by two methods: (1) Part of the scenes were created by grinding the rocks with tools made of hard gravel or metal. This type of rock art, characterized through relatively shallow engraving traces as well as an archaic and primitive style, is generally blurry. (2) Most of the scenes were created by hewing and chiseling. Yet other scenes were created by line-engraving, i.  e., outlining the contours of the images with engraved lines. This type of rock art generally consists of deeply engraved, thick lines. The motifs reflected in the rock art of the Heishan Mountain can be divided into five groups: (1) Hunting motifs. Represented at all the three sites there, primitive hunting is one of the main motifs of the rock art of Heishan Mountain. The scenes concerned include hunting on foot and hunting on horseback, with both solo hunters and small groups of hunters. All the hunting weapons, primarily bows and arrows, are loaded for action. The hunters’ quarry includes cattle, caprine animals,

Section 2 Rock Art in Northern China

deer, camels, wild geese, and so forth. (2) Dance motifs. The dance motifs, conceptualized ingeniously, are striking among the motifs of the rock art of Heishan Mountain. All the three sites there produced dance motifs, with the Sidaoguxin 四道 鼓心 Valley site yielding the most numerous and brilliant scenes. The depicted dance forms include solo dance, duo dance and group dance. The dancers dance gracefully in long garments, feathery headdresses, and with their hands on their hips. (3) Animal motifs. The animal motifs are the most numerous among the motifs of the rock art of the Heishan Mountain. The number of engraved animal motifs in individual scenes concerned varies from one to dozens. Among them, bison is the most numerous. Less numerous species include deer, caprine animals, horses, birds, camels, tigers, dogs, and so forth. (4) Wheel motif. One motif of wheel with a relatively simple shape was discovered among the rock art at Sidaoguxin Valley. (5) Religious motifs. Five scenes with religious motifs were discovered at Hongliu 红柳 Valley, including a temple, a Buddha, a stupa, etc. They were apparently created in a later period. The sites of rock art of Qilian Mountains are located at the northern foot of the Yema 野马 Mountain and Mazong 马鬃 Mountain in Subei Mongol Autonomous County, Gansu Province. They are mainly distributed through Daheig 大黑沟 Valley, Yeniu 野牛 Valley, Huiwanzi 灰湾 子 Valley, Qigelü 七个驴 Valley, etc. The Dahei Valley rock art, consisting of countless small dents engraved and chiseled remarkably shallowly, includes a total of 34 scenes and 194 motifs. Most scenes depict hunting. Some hunters are shooting on horseback, while some are holding spears. The hunters wear either feathered headdresses or wide, pointed hats. The animals that are being hunted include tigers, elephants, bisons, bighorn sheep, wild camels, dogs, sika deer, and so forth. The rock art at Yeniu Valley depicts, in addition to bisons and bighorn sheep, human figures on horseback or those holding walking staffs.

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4. Xinjiang Rock Art Xinjiang is one of the provinces with the most discoveries of rock art in China. The rock art is mainly distributed on cliffs and rocks of the Altai Mountains (A’ertaishan 阿尔泰山 ), Tianshan Mountains, Kunlun Mountains and their lateral mountain flanks. Among these regions, northern Xinjiang, especially the Altai Mountains in the Altai region, is especially rich in rock art. In terms of painting methods, the rock art in Xinjiang consists primarily of rock carvings, although rock paintings painted with red ocher color are also represented among the Altai rock art. The rock art in the Altai Mountains, stretching over 1,600 km from Qinghe County in the east to Habahe County and Jimunai County in the west, resembles a huge ancient art gallery clutching the mountains and facing gullies. Most of the motifs in the rock art in the Altai Mountains are animals, such as cattle, horses, caprine animals, deer, wolves, dogs, and foxes. Individual scenes depict solo animals or multiple animals. Those depicting single caprine animals are partly works created in the early stage and partly works of the middle and late stages. Those created in the early stage have simple shapes, clumsy appearances, and compositions that do not appear very reasonable. They often consist of vague outlines, demonstrating a certain primitive quality. When two caprine animals are depicted in a scene, they are in most cases an ewe and a lamb, occasionally a ram and an ewe. In addition, there are many wild goats, which are good at running, alert and agile—since they house strong and vigorous physiques that are sprightly and nimble. In the rock art of the Altai Mountains, cattle motifs are not as numerous as those in Qinghai rock art. On the contrary, horse motifs appear relatively frequently. In addition, the physical characteristics of the horses are well-represented. In particular, the horses in the rock paintings are colored red ocher over their whole bodies, demonstrating the fierceness and

Chapter VII Prehistoric Rock Art

strength of the horses. Elk, a common animal on the grassland, occupies a prominent place in the rock art of the Altai Mountains. The group portraits of elk, in particular, are generally depicted lively and inspiring. The scenes of riding, hunting, and dancing also belong to the most important scenes of the Altai rock art. In addition, there are also scenes depicting fertility worship. In the middle and lower mountain belts of the Altai Mountains, there are twelve natural caves in six sites. Each of the big ones among them is tens of m2 in ground size, while each of the small ones is only a few m2 in ground size. The caves, which accommodate colored rock paintings, are located in Fuyun County, Aletai City, Bu’erjin County, and Habahe County. The colored rock paintings are usually painted on the rear walls of the caves, while several are painted on the side walls, tops, and surfaces above the mouths of the caves. The paintings are mostly red ocher, but sometimes also white. The patterns of the paintings range from intricate to simple, including human figures, animals, concentric circles, human faces, flora patterns, female sex organs, handprints, footprints, stars, connected dots, curves, and odd geometric patterns. Such complex content and profound significance may indicate a certain association with prehistoric religions. It is possible that these caves were the places where the archaic mountain inhabitants held certain sacrificial rites. Ba’erdaku’er 巴尔达库尔 rock art is located in Yumin County in the north of Ba’erluke 巴尔鲁克 Mountain. The rocks bearing rock art have purple color, fine and hard textures, and smooth surfaces. Carved on the rock surfaces that are exposed to the sun, the rock art is primarily nude art focused on the worship of male fertility in the early days of patriarchal clan society. One of the scenes, comprised of small and densely chiseled dents on a rock, depicts twelve naked men and women and eleven animals. Since the core content of the scene is the worship of male fertility, a certain exaggeration is applied in the depiction to adore the male

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bodies and the role of males in the human reproduction. The upper right part of this scene depicts a stout and tall man, 53 cm in height and 4 cm in width. He has a 16 cm long phallus and wears a headdress shaped as four horns. With the knees slightly bent, the upper body tilting slightly to the right side, the left hand hanging, and the left fist clenched, he is facing a woman, holding his phallus with the right hand, and inserting it into the female’s vulva. The woman figure in the rock painting is 34 cm high and 23 cm wide. She also wears a headdress shaped as four horns. Her body lies sideways towards the man, with the legs slightly bent and the lower belly facing the phallus. All the depicted men and women are naked (Fig. 1.7.2). The scenes depicting fertility worship are surrounded by many scenes of hunting and herding, indicating that the rock art was created in a relatively developed stage of the economy of hunting and nomadic pastoralism. Hutubi 呼图壁 rock art is located on certain cliffs at Kangjia Shibmenzi 康家石门子, in the southwest of Hutubi County. The rock art spreads out on a cliff wall, which is about 14 m long and 9 m high and covers an area of 120 m2 from east to west. Among the engraved human figures of the rock art, the bigger ones are larger than real persons, while the small ones are only about 10 cm each. They are figures of men and women, standing or lying down, clothed or naked. Among them, many males have prominently depicted sex organs. Among others, scenes of coitus between men and women are depicted. The site of rock art is the largest one ever found in Xinjiang and the one with the most distinctive characteristics of the era. Many scenes of the rock art artistically reflect the concept and activities of fertility worship of the human ancestors in Xinjiang. Indeed, the scenes of sexual intercourse between men and women and even the images of double horses were magical means for the prehistoric humans to pray for fertility and frequent reproduction.

Section 3  Rock Art in Southern China

1.7.2  Rock art depicting fertility worship at ­Ba’erdaku’er, Xinjiang

Factually, Hutubi rock art depicts a large scene of dance as well. In terms of the artistic technique, bas-relief and engraving have been combined, indicating that the creators already had a high capability of observing and familiarity with human characteristics, and of using engraving tools.

Section 3  Rock Art in Southern China 1. Rock Art of Jiangjunya Cliff, Lianyungang The rock art on the Jiangjunya 将军崖 Cliff in Lianyungang City was created with the line carving technique. One group of motifs on a rocky slope

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on the western side of the cliff consists of several human face images and flora patterns. The biggest human face image is 90 cm tall and 110 cm wide, with a headdress composed of a series of geometrical shapes at its forehead, its eyelid full of wrinkles in lines, as well as crow’s feet shaped as three lines. The ears, the cheeks, and the corners of the mouth are connected by short, irregularly carved lines. The group of motifs includes many further human faces created in the same style, but of different sizes. Sometimes the eyes are represented by two concentric circles, sometimes just by dots. Each face is connected by a vertical line drawn from the face (or, in some cases, from the forehead), with engraved, lush crops (or the ground). Each crop is shaped radially like a fan, sometimes with a triangular root tuber bearing horizontal lines. In addition, there are square human faces, faces without features apart from the eyes, and some unknown symbols. Another group of motifs on a rocky slope on the southern side of the cliff consists of bird and beast motifs and a large number of symbols similar to a star chart. One of the scenes that is 6.23 m long resembles a band of stars in the Milky Way. Divided into four parts by three short lines, it seems to represent the transformation of the stars and nebulae in outer space. The long band of stars and nebulae also contain several motifs that represent suns and moons. Yet another group of motifs on the eastern side of the cliff is positioned higher. It consists of human faces and images of stars and nebulae. There are many human faces, with feather headdresses or triangular headdresses. They are surrounded by many short lines, dots, and symbols. The star chart in the above-mentioned second group depicts three parallel glowing suns, stars, and nebulae. They may have been the symbols of the worship of the sun by the human ancestors called the Eastern Yi (Dongyi 东夷). Inhabited not far from the seashore, they saw a red sun rising from the sea every morning and how the sun-

Chapter VII Prehistoric Rock Art

light made their crops grow luxuriantly and led to bumper harvests. Therefore, they personified the sun, and carved it on the rocks as the subject of their worship. Such sun motifs were also discovered in Yangshao Culture, Qijia Culture, Xindian Culture, and so forth.

2. Cangyuan Rock Art Cangyuan rock art is located in Cangyuan Wa Autonomous County, Yunnan Province. The images, all painted in red (cattle blood mixed with local hematite powder), are about 3,000 years old. They were created near the end of the clan society of prehistoric agricultural economy. Cangyuan rock art is a group of scenes focused on human figures. These figures, mostly adult men, wear mostly various adornments, including headdresses made of feathers, horns, teeth, animal tails; body decorations or garments made of feathers; earrings, and so forth. Some of them hold tools, weapons, or utensils, such as crossbows, cattle horns, shields, spears, mortar pestles, lassos, wooden fences, etc. The rock paintings demonstrate in five aspects human society in western Yunnan 3,000 years ago. First, hunting is frequently depicted. Among the hunting scenes, the most common are scenes of crossbow shooting, followed by scenes of hunting by chasing, killing with pole weapons, etc. This indicates that even at the end of the clan society characterized by primitive agricultural economy, hunting still played an important role in social and economic life. Second, the circumstances of animal husbandry and pastoralism are depicted. Cattle are the most frequently depicted animals. A scene in quarter no. 3 at Site 6 depicts a person who pulls a bovine animal on a tether, followed by a herd of cattle. This indicates that animal husbandry and pastoralism had possibly been developed to a certain degree, thus becoming a supplement of the hunting economy, or even taking the place of the hunt-

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ing economy as the main mode of production and way of life. Third, there are images of villages in the cliff paintings. The formation of villages indicates that agriculture had developed to a certain extent. The village, equipped with stilt houses, provided the humans with a settled life. In addition to the dwelling houses, there are two larger houses in the center of the village. They were probably the public house for assemblies and the chief’s dwelling house, respectively. Half of the houses are colored and the other half uncolored. Fourth, there are scenes of battle. Fifth, there are scenes of dance. The dances include those for entertainment, those imitating hunting, those with shields, and those imitating a battle. The prehistoric humans danced and sang songs to pray for victories in the ceremonies for offering sacrifices to the Valley God (gushen 谷 神) before a great event took place, such as the departure for a hunt or a military campaign. The winged dancers among the figures perhaps represent wizards who may have been associated with the belief in heavenly deities. In this way, the dance scenes reflect the religious beliefs of ancient humans. In the rock art, the number of animal motifs is second only to the number of human figures. Those animals that can be identified include cattle, horses, pigs, dogs, elephants, apes, tigers, leopards, deer, birds, wild boars, and pythons.

3. Zuojiang Rock Art The sites of the Zuojiang rock art are located in the Zuojiang River Basin in Guangxi Zhuang Autonomous Region. Among them, Huashan 花山 rock art in Ningming County has the largest scale, the most images and the largest density of image. It is hitherto the rock art of the largest scale in China as well. Studies indicate that it was created between the Spring and Autumn Period and the Eastern Han Dynasty. The creators of the rock art must have been the Ouyue 瓯越 and Luoyue 骆

Section 3 Rock Art in Southern China

越 peoples and their descendants who used to inhabit the region. The motifs of the rock art can be divided into three types, human figures, objects, and animals, with human figures being the most numerous type. Each of the human figures in frontal view has the basic posture of raising arms to either side of the body, with the elbows bent upwards, and squatting down with the knees bent. Most of the figures are not obviously gender-specific. Only a few figures have chests that are slightly curved towards both sides, indicating that they are possibly women. These humans in frontal view mostly wear headdresses of various forms, including those shaped as chignons, flared tops, double horns, the inversion of the Chinese character »ba« (八, »eight«), flattering ribbons, pairs of compasses, regular geometric shapes, the letter »Y«, the Chinese character for »ren« (人, »person«), four-point stars, brambles, face masks, awns, brackets, single braids, etc. The human figures in profile view raise their arms and legs forwards, mostly with the hands raised above the bent elbows—apart from a few who stretch the arms taut and raise them diagonally forward. While the heads, the necks, and the bodies of several individual figures are held alongside a straight line, respectively, the heads of several others lean slightly back. The angles between the thighs and individual bodies and the angles at the individual knee joints are usually acute, with a few being right angles (Fig. 1.7.3). The images of objects primarily include swords, daggers with ring-shaped pommels, chimebells, and so forth. The swords and daggers are mostly suspended diagonally around the waists of certain human figures, apart from several that are held in the hands of certain other human figures. Most of the chimebells are suspended in groups on racks, except for several that are scattered individually. The chimebell rack is placed among the rows of the human figures. The animal images can be classified into beasts and birds. There is a total of 86 distinguishable

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Chapter VII Prehistoric Rock Art

1.7.3 Zuojiang rock art (Huashan Mountain in Ningming, Guangxi Province)

images of beasts, all of which are depicted in profile view. Most of them are at the feet of the human figures in frontal view, except for several that are beside or at the top of the heads of such human figures. In terms of their postures, they are mostly running or standing. Some of them are depicted relatively realistically, while the others are depicted simplified and patterned. A few individuals bear bristle-shaped patterns. The most representative among the beasts is positioned in the middle section of Group 9. There, a larger beast and a smaller one with opposing head orientations, respectively, can be seen at the feet and above the head of the figure of a large human in frontal view, who wears a dagger with ring-shaped pommel and a bronze drum with star patterns on the waist. Below the person’s left hand, the five fingers of which are visible, an object is suspended. The shape of the object bears resemblance to a

flat-bladed short sword. There are very few bird images, only four in total. Among the motifs of the rock art, there is a kind of circular motif, the number of which is second only to the human figures. Several of these motifs are shaped as single circles, which sometimes bear stars or awn-shaped lines inside and sometimes are equipped with suspending lines or supporting lines outside, yet several of the motifs are shaped as two concentric circles, which sometimes bare stars inside the inner circle and sometimes bare awn-shaped lines between the circles. Several of the motifs are also shaped as three concentric circles, which have relatively simple forms either without stars or with awnshaped lines between the two outermost circles. And several of the motifs are shaped as solid circles without outer rings or as solid stars. Still yet, several of the motifs are shaped as awn-shaped

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lines radiating in all directions with hollow circles in their centers. Most scholars believe that the rock art is associated with certain rituals of prehistoric religions. Zuojiang rock art is painted with red ocher color, which was flatly smeared as color blocks on greyish yellow and ash-colored cliffs to create a silhouette-like effect. Red, as the symbol of life, was worshiped by the tribe or tribal alliance to which the creators of the paintings belonged. The painted scenes generally face the sun and are close to the Zuojiang River, apart from several scenes that are not by the river. The pigments applied for the paintings are made of animal blood or hide glue mixed with hematite powder produced locally. They are durable and colorfast.

Section 4  The Subject Matter of Rock Art As a prehistoric art form, the early rock art mostly depicts animals and hunting scenes.

1. Animals and Hunting Images of animals dominate in the rock art hitherto discovered in China, especially in northern China. The early hunters were not familiar with the domestication of animals. Instead, they depended on hunting for their survival. Therefore, their survival depended on the extent of their knowledge about the habits and habitats of wild animals. The early hunters lived among animals and hunted them to survive. Therefore, they made meticulous observations and gained thorough knowledge of their body shapes, habits, and habitats. As a result, they mastered the characteristics of animal images with great accuracy and precision, sometimes to an astounding degree. The artists who created Yinshan rock art, for instance, had a profound understanding of the body shapes and habits of various animals. In numerous scenes, they did not even omit the details of cer-

Section 4  The Subject Matter of Rock Art

tain subtle structures and salient body features. For instance, the artists clearly distinguish individual species of bovine animals: Each antelope is depicted with a pair of medium-length angles that bend backwards, with a bending degree of about 60°–70°; the Mongolian gazelles, depicted as running in the scenes, each have very short horns and a diminutive body shape; the wild goats have strong horns that, like scythes, bend backwards to a large degree; the bharals are depicted each with two big horns, which form the shape of the Chinese character ba 八 and are characterized by thick bases and sharply pointed tips; The argalis are depicted each with two especially large horns in twists of clockwise spirals. Since the male antelopes and Mongolian gazelles have horns, while the females have no horns, the sexes of the animals mixed in a scene can be clearly distinguished from each other. It is interesting to note that, since both the males and the females of the wild goats have horns, the careful artists remembered to depict the long beards under the chins of the males to indicate gender difference. Similarly, the depictions of sika deer, elks, milu-deer (milu 麋鹿), etc., are also remarkably accurate. The archaic rock art fulfils the function of keeping a record. The diversity of archaic geography and ecological environment determined the diversity of the genera and species of animals. This further determined the difference of the animal images in rock art in individual regions. For instance, horses, sheep, and deer dominate in the rock art of the Altai Mountains in Xinjiang, while cattle are the most common motifs in the rock art of Qinghai. This is evidence that rock art fulfils the function of keeping records. Most of the animals that appear as motifs in the rock art, such as sheep, cattle, horses, reindeer, etc., are those that were relatively frequently hunted and those that were the main prey of humans. Those fierce animals, which often were dangerous to humans, on the contrary, are seldom or never depicted. In addition to the images

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of real animals, there are also images of imaginary animals. The hunting scenes in Chinese rock art are numerous and diverse. In prehistoric societies, hunting was rarely or never the business of individuals, but instead generally the business of a tribe. With poor weapons and an extremely weak capability for self-protection, the prehistoric hunters commonly went hunting in groups. Encircling their prey, they set traps, used slings and arrows, etc. The rock art does not only depict scenes of hunting carried out by two or more hunters, but also single hunters.

2. Prayers and Sacrifices There are several scenes of prayer and sacrifice (even human blood sacrifice) in the rock art, directly and indirectly reflecting prehistoric humans’ religious beliefs and religious activities, such as worship of the sun, the moon, mountains, rivers, heavenly gods, etc. The rock art of Group 1 of Site 2 at Ge’eraobao 格尔敖包 Valley in the Yinshan Mountains depicts a sorcerer who is worshipping the sun god. A large stone in Site 4 at Hariganna 哈日干那 Valley bears a scene of the worship of animals, gods, spirits, and stars. Some of the dance scenes are also the visual manifestation of sacrificial scenes. In addition, archaic magic was accompanied by dance. The dance scene depicted in the rock art of Group 1 of Site 4 at Wusitai 乌斯台 Valley in the Yinshan Mountains, for instance, demonstrates a dancer holding an oxtail in his hand, with the body of a slain human above him. Therefore, this scene factually demonstrates a dance accompanying a human sacrifice to the gods. The pictorial records of the scenes of prayer and sacrifice were made to delight the gods they worshipped, ultimately in the hope that they might have better hunts.

Chapter VII Prehistoric Rock Art

3. Regarding Sex The rock art of various sites contains numerous scenes of coitus between men and women, male and female genitals, sodomy, fertility symbols, etc. These images embody early human ideas about sex. The reproduction of human beings themselves, i.  e., the reproduction of their own species, was of the utmost importance to prehistoric humans. Under the extremely poor living conditions in the lengthy Prehistoric Period, humans were imperiled by factors such as attacks of wild animals, battles, famines, diseases, natural disasters, etc. In addition, mutual massacres and the custom of cannibalism continuously reduced the populations of prehistoric clans and tribes. In turn, the insufficient growth rate of the human population became a serious threat to the survival of mankind. The increase of population became the key question of whether the prehistoric tribes or clans could survive and develop continuously. The sexual instinct between men and women, which leads to sexual intercourse and subsequential procreation, bore a certain mystique. This, among others, made prehistoric humans invent numerous myths to explain the phenomenon of birth, especially the magical births of clan chiefs. The observation of female fertility made humans increasingly aware of the role of women in reproduction. Hence, the depiction of female sex organs began. Rock art sometimes depicts the vulvae alone and sometimes emphasizes the vulvae on the bodies of female dancers. The worship of female sex organs is consistent with the lofty social status of women in matriarchal clans. Gradually, humans discovered that without sexual intercourse with a man, a woman would not give birth to a child. The idea then arose that the fetus took shape entirely from the father’s seed, and that the mother merely provided a place for its development. Furthermore, males conquered females through their physical power, gradually gaining absolute domination (Fig. 1.7.4).

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Section 4 The Subject Matter of Rock Art

certain tribes sometimes danced in front of them and held certain sacrificial ceremonies, praying for the prosperity of their population. In addition to human footprints, small holes were discovered at certain sites of rock art. They are the symbols of the footprints of domesticated animals. The cultural implications of this kind of symbol is mostly associated with prayers for the reproduction of animals and the subsequential increase of human population. Therefore, these symbols are imbued with the magic of fertility worship.

5. Human Faces

1.7.4 Image with several sex organs (Hutubi rock art)

4. Footprints Human footprints as rock art are widespread. Judging by the reference provided by an ancient Chinese birth myth, where »Jiang Yuan gave birth to Ji after she trod on the great footprints of a giant«, the footprints on rocks may have been used to be trod on by women who wished to become pregnant. This means that the production of footprints was associated with fertility; and footprints belonged to a symbolistic culture of fertility worship in archaic times. Dented footprints are reminiscent of vulvae, and therefore became symbolic of vulvae. The action of »treading on a footprint« symbolized sexual intercourse, which would lead to »impregnation by totem«. In this sense, associated with the footprints, there may have been a totem legend about the ancestors of the tribes. Footprints were probably sacred to prehistoric humans, and at least were adored psychologically. It is possible that the members of

Human faces form a rich and special motif in rock art. Human faces can be roughly divided into five categories: approximately round faces, sun-shaped faces, square faces, contourless faces, and headdress-shaped faces (Fig.  1.7.5). These types sometimes appear alone, sometimes as a mixture, and sometimes they are accompanied by other motifs—such as the sun, concentric circles, small circular dents, or celestial bodies such as stars. Numerous human faces in the rock art of Helan 贺兰 Mountain are accompanied by animal motifs. The approximately circular shape must have been the basic shape of human faces in rock art. Images of human faces are associated with the prehistoric human concept of the soul. Humans believed that they, as well as everything in the world (including plants and animals), had souls, and that the soul would master life and all its activities. The body would die, but the soul would be immortal. The human soul would also reside in the head. Therefore, the head was considered a symbol of the soul and was the most sacred. So far, most of the discovered images of human faces were created by chiseling or grinding techniques. Some of them consist of deep engravings that make the faces protrude, closely resembling low reliefs. Some of them bear numerous vertical and horizontal lines, which are probably the remnants of the archaic custom of tattooing, since hu-

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mans learned how to decorate their bodies before they created rock art.

Section 5  Artistic Characteristics of Rock Art Rock art created in individual ages and artistic styles is scattered in both southern China and northern China. Nevertheless, to decipher by means of the methods associated with folklore and mythology will address the general artistic characteristics of rock art.

1. A Strong Sense of Realism The largest portion of prehistoric rock art is of realistic style. Prehistoric humans drew raw material as well as inspiration from the objective world, especially from the relationships between humans and animals and between humans and the nature. They depicted the bodies of animals, hunting scenes, cheerful dances, or solemn sacrificial ceremonies. Almost all the motifs and combinations of them derive from prototypes or counterparts in actual prehistoric life. Although the rock art carved or painted by prehistoric artists is varied and diverse, it is simple and the lines are concise. A few lines can conjure up an image

Chapter VII Prehistoric Rock Art

on the rock surface. The expressions of the spirits of animals or human figures through concise lines and simple compositions is a characteristic of the realistic style of Chinese rock art.

2. Mysterious Symbolic Images Chinese traditional culture is highly symbolic. This symbolic characteristic can be traced back to the prehistoric mindset that privileged symbolism. The »symbolist« mindset, as part of the prehistoric mindset, is saliently indicated in the rock art. Their cultural connotations were known to humans then, but are difficult to decipher today. The symbolism of rock art is represented in two ways. First, the prehistoric artists who created the rock art endowed a certain combination of images with a certain meaning. Second, some of the symbols in the rock art were themselves embodiments of certain meanings. For instance, the main motif of the rock art at Jiangjunya Cliff in Lianyungang, a human figure with a big head, is arranged in a row with nine human-like faces. It is certain that the prehistoric humans endowed them with a certain symbolic meaning, which can, however, only be inferred by modern humans, relying on certain aspects of knowledge such as cultural anthropology. In addition, there are numerous symbolic images, which are partly simple and partly more

1.7.5 Images of human faces from: 1. Jiangjunya Cliff in Lianyungang; 2. Yinshan; and 3. Yinshan

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complex. Images of the same type had a specific symbolic meaning in the rock art at one place, but maybe another meaning at another place. The symbolic meanings of some of the images will perhaps remain a mystery forever.

3. Flexible Compositions When the artists who created rock art were expressing complex relationships among human figures or in a landscape, they often placed the motifs concerned above each other—which were meant to be behind each other. Those artists generally paid no attention to proportions. While they were creating scenes, the proportional relationships between humans and animals, among humans, and among animals, were dissolved in the artists’ subjectivity. In some of the combined scenes, the humans and animals are extremely incommensurate with each other in terms of the proportion: the animals are painted extremely large and the human figures extremely small. Only a few scenes of rock art demonstrate balance and symmetry. Rock art is brimming with the pristine beauty of nature and of simplicity. All the vivid animal

Section 5 Artistic Characteristics of Rock Art

images, hunting scenes, battle scenes, as well as sacrificial ceremonies, are closely related to the lives of the prehistoric humans. The artists were very familiar with their motifs and could thus depict or chisel out them with concision. Judging by a large number of scenes in rock art, things that were not associate with utility almost never came into focus. The motifs chosen by prehistoric artists were remarkably utilitarian. As an artist was depicting an image, he was also demonstrating his aesthetic consciousness—whereby the whole or part of certain motifs was depicted with prominence. Such an exaggerated way of depiction, however, does not lead to the effect of distortion. On the contrary, it creates a sense of vividness and simplicity. The artists had limited tools and materials. They had neither the wide variety of pigments nor the techniques as those owned by modern artists. Instead, they used sharp stones to carve patterns in uneven surfaces, chiseled and ground out images, or painted images by evenly smearing red ocher color on the rocks. Nevertheless, they animated their rock art with smooth lines as well as rich textures and expressiveness.

CHAPTER VIII CONCLUSION: THE INFLUENCE OF PREHISTORIC ART IN CHINA ON THE ART OF LATER PERIODS Certain aspects of the lives of the archaic inhabitants in China, including their basic means of subsistence, ways of thinking, and organization into groups, are close to those of the humans who had then developed to a similar stage in other regions of the world. This demonstrates that the prehistoric art of China, in terms of the similarity of chaotic character, multifunctionality, and implications of the concepts of prehistoric religion and magic, etc., was similar to those of other areas of the world. In addition, due to reasons such as specific climatic conditions, geographical environment, agricultural economy in contrast to nomadic economy, etc., prehistoric art demonstrated certain peculiarities as well, which formed the unique characteristics of prehistoric Chinese art. Prehistoric Chinese art is not only the origin of all Chinese art, but is also an organic part. Prehistoric Chinese art directly or indirectly includes the archetype or the origin of the major aspects and characteristics of later Chinese art.

Section 1  Prehistoric Arts Set the Foundation for the Concept of »Harmony Between Nature and Human« In prehistoric Chinese art, nature motifs make up a large proportion—demonstrating the concerns of prehistoric humans in regards to nature, and their inseparable relationship with it. The visual arts focus on the following three types of motifs: First, celestial bodies such as the sun, the moon, and the stars; and landscape such as mountains and rivers. Second, plants. Plants are a part of na-

ture and were a major food source for prehistoric humans. Third, birds and other animals, which are the intermediate link between the human and the natural, as well as a food source. The rock art, especially the northern series of it, mostly consists of images of animals. In addition, some rock art demonstrates numerous scenes of prehistoric music and dance that were associated with nature. The conception of nature in prehistoric art was determined by the specific relationships between prehistoric humans and nature, and their attitudes towards the nature. Such relationships and attitudes were not static, but manifold and complex—and developed. The transformation of such relationships overlapped exactly with the process of development from magic to primitive religion. Prehistoric humans had the basic attitude toward nature as consisting of »witchcraft, science, and religion«. This indicates their dualistic orientation of worshipping and conquering nature. The same holds true for the concept of nature in the prehistoric Chinese arts, i.  e., besides the dependence upon and submission to nature, there were demands and struggles as well. The idea that prehistoric humans exerted influence over nature by means of supernatural power, or in an attempt to please the nature, and the rituals associated with it, gradually increased and flourished from the end of prehistoric society—reaching their peak in the Shang and Zhou dynasties. In prehistoric religious activities, awe and worship form a major element. In the pre-Qin Period, religious activities underwent a transformation, whereby affinity and harmony became the main aspects of the relationships between hu-

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mans and nature, enhancing their relationship, linking humans and their lives with nature, and comparing, integrating, and unifying them. The ideas of Confucius and Xunzi, i.  e., »The wise find pleasure in water; the virtuous find pleasure in mountains« and »[A man of rank] regards jade as emblematic of the virtues,« respectively, do not only reveal the humans’ aesthetic orientation towards the nature of their times, but also link and integrate mountains and rivers, nature, and human characters. They demonstrate the »unity of the natural and the human« in Chinese philosophy, and thus also established the same naturalistic view in the Chinese arts. The concept of harmony and unity between human and nature is a common but profound view in the Chinese arts. Nature motifs account for a large proportion in the Chinese arts, especially the visual arts. Furthermore, they demonstrate the relationship of harmony between the natural and the human. This is rare in the arts of other peoples in the world, as indicated by a comparison between Chinese paintings and those of the West. In the history of Chinese paintings, landscape paintings emerged as early as the 5th century CE and became developed in the Song and Yuan dynasties. Chinese landscape paintings mainly depict natural scenes of wilderness or the artistic mood of detachment and transcendence of the profane world. Chinese flower and bird paintings, originating in the Five Dynasties, demonstrate the vitality of flowers, trees, birds, beasts, fish, and worms, and emphasize the emotional devotion of the painter and the symbolic significance of his work. In Europe, it was not until the 17th century CE that the landscape painting emerged, which depicted mostly idyllic scenes. In terms of their aims and essence, the subsequent still life paintings also differed from the Chinese flower-and-bird paintings. Chinese landscape paintings and flower-and-bird paintings were among others the major subjects of traditional Chinese paintings, while Western landscape paintings and still life paintings belonged

SECTION 2 FREEHAND DEPICTIONS THAT CAPTURE THE SPIRIT OF PREHISTORIC ART

to minor subjects—far from being equal to portraiture, which occupied the dominant position of Western painting at the time. This remarkable difference is admittedly associated with contemporary developments. However, the more fundamental and profound cause can be traced back to a foundation laid in the Chinese Prehistoric Period, i.  e., the relationship between humans and nature. The foundation of the naturalistic view of harmony between nature and man had been already laid in prehistoric Chinese art.

Section 2  Freehand Depictions that Capture the Spirit of Prehistoric Art In the prehistoric societies, the factors that caused the emergence and development of dance primarily include the three following aspects: First, archaic humans, observing birth, aging, declines, and deaths of clan members, as well as the births, deaths, and reproduction of the animals that were bred or hunted, felt extraordinary grief and joy. Accordingly, they developed concern for life, a love of vitality, and the pursuit of it—and subsequently enriched their emotions. Second, the instinctive impulse for games, including the longing for various sensuality and release, was the intrinsic power of prehistoric music and dance. Third, the alternation of day and night, the cycle of the four seasons, flowering in spring and fructification in autumn, as well as the flourishing and withering of plants, nourished early humans’ concepts of the flow of time and their sense of rhythm. As time went by, these factors continuously and powerfully pushed the development of prehistoric music and dance forward. Although prehistoric music and dance no longer exist today, they were doubtlessly developed to a relatively high level. In addition, they must have been remarkably popular among early humans as a form of religious ritual and entertainment.

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From the end of prehistoric society, to the Shang and Zhou dynasties, music and dance became increasingly closely combined with sorcery. Based on the popularization of music and dance, a group of professional singers and dancers emerged. They were believed to be able to communicate between human, ghosts, and spirits. Therefore, music and dance underwent a much more rapid development. In the post-Qin period, music gradually became less important. However, the spirit of prehistoric music was deeply infused. In short, Chinese art does not aim at the external reality of the objects represented. Instead, it transforms scenery into emotions and thought, »to look up and down in self-contentment and let the mind roam in Great Mystery« (俯仰自得，游心太玄), and pursue interest and charm beyond the topic at hand—as well as pursuing the truth of art. In terms of the prehistoric visual arts, among the patterns on painted pottery, geometric patterns make up a proportion of over 90 %. Almost all geometric patterns consist of lines. Several patterns indicate the traces of the beginning and the end of certain painting strokes, the tempo with which certain lines were executed, and the repetition of certain lines. All the pictorial motifs and symbols in rock art also consist of lines. Many sculptures and pottery are covered by carved patterns of diverse depths, which indicate three-dimensionality or volume. Some sculptures incorporate aspects of painting as well, since in both three-dimensional sculptures and two-dimensional paintings, smooth and continuous lines are the method and means of expression. The early humans’ unique understanding of lines, and their ability to represent images with lines, reflects the consciousness of the time and their corresponding sense of movement and rhythm. Although such consciousness and sense may have still been scanty and obscure, it was the origin of musical characteristics. The musical characteristic of Chinese art is not only formal. In short, Chinese art is the art of liv-

CHAPTER VIII CONCLUSION: THE INFLUENCE OF PREHISTORIC ART IN CHINA

ing. The pursuit of the harmonious unity of truth, kindness, and beauty approaches the characteristic of music. This originated in prehistoric art. In prehistoric China, many important features of Chinese art were still obscure and vague, because they were still emerging. But the characteristic of the freehand style was already prominent. In prehistoric art, most of the images of humans, birds, beasts, fish, and worms can be easily identified, either in paintings or as sculptures. But still, they appear markedly plain, without finely depicted shapes. Even those so-called »realistic« works bear nothing more than rough resemblances to what they depict. They merely indicate gross appearances. This can perhaps be called the state of »freehand depiction«. Prehistoric rock art mainly reflects the concept of freehand depiction. A similar concept can be recognized in the patterns of birds and beasts on painted pottery. Among the prehistoric three-dimensional artworks, the most representative ones of freehand depiction style are sculpted pottery utensils. Those vessels that were sculpted by early humans into the shapes of birds or certain domestic animals are both vessels and pottery sculptures. The »Doctrine of the Mean« (zhongyong 中庸) in pre-Qin philosophy confirms and promotes the tendency towards freehand depiction in Chinese prehistoric art. In a certain sense, it is something between concrete and abstract, or the combination of the two. The »Doctrine of the Mean« ensured that neither extreme photorealistic rendering nor the complete distortion of appearances was pursued. Instead, the way of the Doctrine of the Mean was chosen to seek for rough resemblances. In its long history thereafter, this stylistic characteristic gradually won acceptance and recognition. It is possible that, at first, it was simply an unconscious concept of style, and the product of an occasional creation. Yet, as time went by, it became increasingly conscious. Artists became increasingly focused on the overall characteris-

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tics of the images and their overall impressions; at the same time, the corresponding ideas of creation and expressive technique became increasingly perfected and refined, making the stylistic characteristic of freehand depiction an important characteristic of the Chinese arts, including painting, calligraphy, sculpture, opera, dance, etc.

Section 3  Symbolism in Prehistoric Art Symbolism was a prominent feature of the mindsets of prehistoric humans—who were accustomed to expressing their ideas by means of images of certain things or certain sensible symbols. In general, those images or symbols had nothing to do with the ideas that the humans wanted to express. Instead, they were metonymy or metaphor. They are today of course called »symbols.« The relationship expressed by such a metonymy or metaphor is the product of the imagination, and was neither real, nor regular, nor logical; but prehistoric humans, unable to distinguish the subjective imagination from the objects, regarded the subjective imagination as completely real. Due to this kind of mindset, early humans practiced sorcery to achieve certain purposes, i.  e., they applied certain spells or rituals in the hope of achieving desired results. Prehistoric songs and dances frequently were part of the rites. At first, all sorcerers were women who were good at singing and dancing. In classical Chinese, the character for »sorcerer« or »witch« (»wu« 巫) and the character for »dance« (»wu« 舞) are phonetic loan characters. This indicates the close relationship between dance and sorcery in the beginning of the humanity. In certain prehistoric dances, which were imitations of hunting scenes, the dancers adorned their bodies with animal hides, horns, and oxtails to imitate the appearance and movement of animals. They believed that such dances would allow them to catch more prey.

Section 3  Symbolism in Prehistoric Art

Other dances simulated sexual intercourses, which incorporated the belief that they would lead to good harvest. Some peoples still preserve remnants of these dances. In such dances, the dancers’ costumes, their movements, and the acted plots are not associated with their intended purposes. But the dancers were convinced that the dances would make their wishes come true. Such prehistoric dances obviously had specific symbolic significance. In the prehistoric visual arts, symbolic works make up a large proportion as well. The markedly unstable agricultural economy led early humans to believe that certain supernatural and mysterious forces were controlling the growth of the crops. Accordingly, they invented various magic and rituals, attempting to influence such supernatural powers. This nature worship, which was an unquestioned faith, infused these so-called symbols in later arts. The patterns depicting animals on prehistoric painted pottery also imply symbols. Prehistoric rock art for the most part has symbolic meanings as well. The symbolic concepts implied in the Chinese prehistoric arts are closely associated with the mindset of early humans. But this phenomenon is not unique to prehistoric Chinese humans. Archaic inhabitants of many other parts of the world also thought in the same way, and their »works« implied »symbolism« in various degrees. After humans entered civilized societies, this concept did not weaken; on the contrary, it grew. The symbolic concept implied first in the Chinese prehistoric arts was developed and enhanced over the long history of later generations, and became universal and profound—in artistic technique as well as being a characteristic feature of various categories of Chinese art. More specifically, the symbolic concept permeated the following: (1) certain ideas put forward by the pre-Qin philosophers, i.  e., »[A man of rank] regards [jade] as emblematic of the virtues«, and »The wise find pleasure in water; the virtuous find pleasure in

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mountains«; (2) contemporary symbolist art; (3) virtuality and stylization in opera; (4) the personification of the plum tree, orchid, bamboo, and chrysanthemum in Chinese painting; (5) the specific requirements for shape, style, and number in ancient architecture; (6) the colors and patterns of the costumes of the emperors and dignitaries; (7) the murals in Buddhist and Daoist temples of diverse dynasties; and (8) the widespread, auspicious motifs that fulfil either exorcistic or propitious functions. Today, as in archaic times, the concept of symbolism is not merely confined to

CHAPTER VIII CONCLUSION: THE INFLUENCE OF PREHISTORIC ART IN CHINA

arts, but also forms an interesting cultural phenomenon. The symbolic concepts in today’s arts are manifested by corresponding expressive features and techniques. A scrutiny of this concept or its features clarifies that the metaphors, which originally were illogical and unrealistic, have been established as custom and convention. However, prehistoric humans regarded these imaginary metaphors as real, and realistic. This is also the most fundamental difference between today’s artistic symbolism and the »symbolism« of the prehistoric arts.

PART TWO XIA, SHANG AND ZHOU DYNASTIES

CHAPTER I OVERVIEW OF THE ARTS OF THE XIA, SHANG, AND ZHOU DYNASTIES In the 2100s BCE, the Chinese entered the Xia, Shang, and Zhou Dynasties. Xia, Shang, and Zhou, are also commonly referred together as the »Three Dynasties.« It was a glorious era of countless legendary figures and stories, and many fascinating cultural and artistic mysteries, and a great era in which Chinese culture and arts set the tone, laid the foundation, and achieved glory. During this historical period, the social, historical, and cultural landscape of China changed dramatically, and Chinese arts also went through different stages of development as history changed.

Section 1  Social and Cultural Backgrounds of the Arts of the Xia, Shang, and Zhou Dynasties The Three Dynasties include the Xia, Shang, and Zhou dynasties, and the Zhou Dynasty consisted of two historical stages: the Western Zhou and the Eastern Zhou. The Eastern Zhou Period, in general, can be further divided into two historical periods: the Spring and Autumn Period and the Warring States Period. At each historical stage of the Three Dynasties, the nature and structure of society, as well as the spirit and form of culture, underwent hidden or obvious changes, with their own characteristics and outlook. This social and cultural transformation provided the sunlight, air, and soil with which the arts of the Three Dynasties were able to blossom brilliantly, and was the ecological environment within which the arts of the Three Dynasties grew and continued to develop and change.

The Three Dynasties Period was an important stage of development in Chinese history. If we say that the late primitive Chinese societies, especially the Yangshao Culture, Longshan Culture, Liangzhu Culture, among others, are the first dawn of Chinese civilization, then the Three Dynasties Period saw the formation of Chinese civilization. In this period, Chinese civilization was already like the rising sun, full of color and vitality. The basic elements of a civilization generally agreed upon by scholars, including the use of metals, the formation of the writing system, the emergence of cities and states, the emergence of wealth and class differences, and the formation of more complex rituals, whose origins although can be found at the end of primitive society, saw their final formation accomplished within the long historical period of the Three Dynasties. It can be said that, whether in terms of social production methods, social structure and form, or social spirit and culture, the Three Dynasties Period was marked by fundamental change and progress when compared with primitive society. Yu the Great, in prehistorical legend, was not only the last great chief of the primitive Datong (»Great Unity«) Society but is also regarded as the founding monarch of the Xia Dynasty. In fact, the historical legends of the abolition of the »voluntary abdication« system and the implementation of the hereditary system from Yu to his son Qi reveal the fundamental change that occurred in society at that time. On the other hand, the economic, political, intellectual, and cultural landscape of society during the Three Dynasties Period was significantly different from that of Chinese society after the Qin Dynasty, and had historical charac-

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teristics unique to their period. If we were to summarize the basic outlook and characteristics of the period in one word, we could build on the consensus in academia and call it the »Bronze Age« of China. The concept of a Bronze Age not only accurately reflects the historical level of development of production tools and production methods at that time, but also graphically summarizes the overall level of social development as well as the historical outlook and stylistic characteristics of culture and arts in that era.

1. The Bronze Age in Chinese History The Bronze Age is a term held in comparison with the Stone Age and the Iron Age. The history of the discovery and use of copper metal can be traced back to around 10,000 BCE. However, the copper used at that time was not bronze, which is an alloy made by smelting copper and tin, but natural copper. In around 3,000 BCE, humans began making bronze objects. To be precise, this is when the Bronze Age of mankind really began. The Bronze Age in China emerged a little later, starting at around 2,000 BCE. However, the Bronze Age of China is famous in the history of the world for the production of a large number of exquisite and elegant ceremonial vessels, weapons of various types and characteristics, production tools of various uses, many practical miscellaneous objects, and more. It has written a brilliant page in the Bronze Age of human civilization. In particular, its unprecedented artistic achievements have become the eternal pride of the Chinese nation and occupy an irreplaceable place in the history of world art. China began to enter the Bronze Age in the Xia Dynasty, reached its first historical peak during the Shang and Western Zhou dynasties, and its second historical peak during the Spring and Autumn and Warring States periods. What we call here the Chinese Bronze Age in general terms refers to the entire Three Dynasties Period including the Xia, Shang, Western Zhou and Eastern Zhou,

CHAPTER I OVERVIEW OF THE ARTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

i.  e., the Spring and Autumn Period and the Warring States Period. Ancient Chinese historical texts on the evolution of China’s historical dynasties generally start from the Xia Dynasty. With excavations conducted after 1949, archaeological remains of what is termed as »Erlitou Culture« was found in the western part of Henan Province. This culture type has been identified as a culture between the Longshan Culture and the early Shang Dynasty. Its distribution area and time of existence (the Erlitou Culture has been dated to about the 21st–16th centuries BCE) correspond to the central area and historical period in which the legendary Xia Dynasty was located. It is generally accepted in Chinese historical circles that Phases I–III of the Erlitou Culture belong to the Xia Culture. The level of historical development of this culture type belongs to the Bronze Age. The discovery of bronze artifacts in the remains gives a certain degree of confirmation to the legendary and historical accounts that »nine tripods were cast in Xia,« i.  e., that the Xia dynasty was able to cast and use bronze artifacts. The Shang and Zhou periods were the peak of the Bronze Age in China. During this period, the bronze smelting technology in ancient China reached its historical peak. Using a highly developed bronze casting technology, the Shang (Yin) Dynasty created a glorious bronze culture, and bronze art. With ceremonial vessels as the most glorious representatives, a series of bronze art and artifacts that included complex categories of ceremonial vessels, weapons such as axes, wine vessels, food vessels, musical instruments, agricultural tools, and miscellaneous vessels came into being. The famous Shang Dynasty vessel, the Simuwu Ding, sometimes known as the Houmuwu Ding, unearthed at Yinxu, was a symbol of the inviolability of the Shang Dynasty’s divine and royal powers. As the most important ceremonial vessel of this period, it is also an outstanding representative of bronze ceremonial vessels.

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In the late Spring and Autumn Period, iron played an increasingly important role in social life, but it did not lead to the rapid decline of bronze casting and bronze art. On the contrary, due to the further development of bronze casting technology, as well as social changes and the increasingly active ideological and cultural atmosphere, the second peak of Chinese bronze art appeared in the middle and late Spring and Autumn Period and the Warring States Period, with the emergence of bronze masterpieces such as the Rectangular Hu Vessel with Lotus and Crane, which gives off both liberating secular color and a solemn atmosphere.

2. The Formation, Development, and Disintegration of Slave Society, and the Transition to Feudal Society In terms of the level of productivity, the Three Dynasties was a time when bronze was the main tool of production. In terms of the mode of production and the nature of society, the Three Dynasties was distinctly different from the primitive communal system that preceded it and the centralized government system that was later laid down by the Qin and Han dynasties, and had characteristics unique to that period of history. In »Conveyance of Rituals« (»Liyun« 礼运) of the Book of Rites, the period before the Three Dynasties was referred to as a society of »Great Unity« (Datong 大同), and the Xia, Shang, and Zhou dynasties were referred to as a society of »Moderate Prosperity« (Xiaokang 小康). What is called the society of »Great Unity« was clearly a vivid depiction of the primitive communal system in which there were no hierarchical differences, no class antagonisms, no exploitation and privileges, and the means of production were publicly owned. In the society of »Moderate Prosperity« beginning with the Three Dynasties, private ownership of the means of production and the hereditary system of the privileged class emerged, and the superstructure and social ideology that maintained the hereditary system of emperors also emerged.

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The nature of this society of »Moderate Prosperity« is pointed out in »Conveyance of Rituals,« which states that »those in high places pass on in generations is the rite,« i.  e., it essentially a »hereditary society.« It is generally considered by historians as a slave society and hence the first classbased society in Chinese history. Among them, the Xia Dynasty was the period when the initial slave-state was established, the Shang Dynasty was the period when slavery further developed, the Western Zhou Dynasty was the period when the slave-state flourished, and the Spring and Autumn and Warring States Periods was when the slave society gradually disintegrated and transitioned to the new feudal society.

3. The Formation and Transformation of Ritual and Music Culture The Three Dynasties Period not only underwent historically profound changes in the level of development of material productivity and social structure, but also fundamental changes in spiritual culture and ideology. During the various historical stages of the Xia, Shang, and Western Zhou dynasties and the Spring and Autumn and the Warring States periods, the respective cultural outlooks and spiritual structures of each period were also in constant movement, development, and flux. The spiritual culture and social ideology of each specific historical stage of the entire Three Dynasties Period on the one hand demonstrates a level of consistency and continuity, but on the other hand they are also distinctive and evolving. The consistency of the spiritual culture and ideology of the Three Dynasties is that that they share essential characteristics. Most importantly, the culture of the Three Dynasties can be summarized as a »ritual and music culture« in a broad sense. There is no doubt that the ritual and music culture of the Three Dynasties reached its peak during the Western Zhou Dynasty, and the so-called »making of rituals and music« of the Duke of Zhou reflects this cultural development. However, as the

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cultures of the Three Dynasties succeeded each another, there is a certain level of inherent coherence and consistency among them. As Confucius said in »The Practice of Government« in The Analects: »The Yin rites are based on the Xia rites, and the gains and losses can be known; the Zhou rites are based on the Yin rites, and the gains and losses can be known.« This is also echoed in »Implements of Rites« of the Book of Rites: »The rites of the Three Dynasties were one, and the people were governed by them.« However, although the cultures of the Three Dynasties all belong to the same broad category of ritual and music culture, there are still differences in the specific content and expression of their spiritual culture and ideology due to the different levels of historical development at each specific stage of history, and there is a trajectory of their continuous development and evolution. In ancient texts, there are many comparisons of the cultural differences and characteristics of each period of the Three Dynasties. According to Confucius’ view, as recorded in »Record on Example« in the Book of Rites, there were at least some differences in the spiritual culture and ideology of the Yin and Zhou societies compared to the Xia (or Yu Xia). First, the social and class tensions reflected in the Yu Xia Culture were not yet as intense and acute as they were later on, and the historical tradition of mutual love and trust in primitive societies was still more or less in force. In the Yin and Zhou Dynasties, however, the social contradictions and class relations between the supreme ruler and the common people, the noble class and the slave class, were already very tense and sharp, and it was impossible to achieve harmony, and rewards, punishments, and other means of rule were implemented to »force people« and »ask for perfection from people.« Secondly, the culture of Yu Xia was simple and unpretentious, while the culture of Yin and Zhou was elegant and refined; The former reflects the historical characteristics of the transition from a primitive and chaotic state

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to a civilized society, while the latter shows that under the new socio-historical conditions, after a baptism of blood and fire, the creative ability of national culture was improved to an unprecedented degree and reached a completely new historical level. »Record on Example« in the Book of Rites also considers that the culture of the Xia Dynasty was a culture of »respecting fate,« the culture of the Yin and Shang dynasties was a culture of »respecting gods,« and the culture of the Zhou people entered a whole new realm, namely, a culture of »respecting rites.« The most distinctive symbol of the Zhou people’s culture of respecting rites is the »making of rituals and music« of the Duke of Zhou, the great statesman of the early Western Zhou Dynasty, of which has been much written throughout history. Dan, the Duke of Zhou, was the half-brother of King Wu, the founding monarch of the Zhou dynasty. He assisted King Wu in the war against the King Zhou of Shang and created the Zhou Dynasty, and was granted a dukeship; after the death of King Wu, he was a regent for seven years and later returned the government to King Cheng. During this period, the Duke of Zhou developed a political and legal system and social ideology, the »ritual and music« system, based on the original culture and system of the Zhou Dynasty while taking into account some of the Yin rites, which was suitable for the rule of the slave-owning class at that time. This is called the »making of rituals and music.« When history entered the Spring and Autumn Period of the Eastern Zhou Dynasty, the royal family was weak, the vassals were fighting for hegemony, wars were frequent, and society was in rapid turmoil. Not only did the economic structure and political system of the society change significantly, but the thought, ideology, and spiritual culture of the society also underwent drastic transformations, and the old ritual and music system encountered unprecedented doubts and destruction. This is the situation that traditional

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Confucianism lamented as »the collapse of rituals and music.« Yet this era of »the collapse of rituals and music« was precisely a time of great change for the emancipation of the mind. The gradual awakening of the rational consciousness of man since the Western Zhou Dynasty led to the increasing dilution of the concept of sacrifdices to ghosts and gods, and the establishment of the idea of »respecting heaven and protecting the people,« which further developed into a strong »people-oriented thinking« in the Spring and Autumn Period. This was marked by the replacement of the Yin concept of a single God with the Mandate of Heaven during the Western Zhou Period, and raising the suspicion that »the Mandate of Heaven is not consistent.« However, at that time, people did not dare to have any fundamental doubts about the Mandate of Heaven, and they adopted the attitude of »respecting heaven,« that is, they treated »heaven« with respect and distanced themselves from it. However, in the Spring and Autumn Period, people generally believed that »the people are the lords of the deities,« »good fortune and bad luck are determined by man,« »evil is raised by man,« and »what the people want, heaven will obey.« The relationship between man and heaven and man and god was reversed. At the same time, the institutionalized patriarchal hereditary system, rites and orders, and ritual and music system in the Western Zhou Dynasty began to be shattered with the weakening of the royal family and the rise of the lords. In addition, due to the changes and advances that occurred in the socio-economic and political system, the scholar class rose to play a major role in social structure during the Spring and Autumn Period. They critically inherited the achievements of ritual and music culture after the Three Dynasties, especially since the Western Zhou, and showed great creativity, with great thinkers such as Confucius and Mozi founding schools of thought and culture such as Confucianism and Mohism, which had a

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profound influence on later generations, opening the way and laying the foundation for the advent of the era of »a hundred schools of thought« and cultural prosperity during the Warring States Period. During the Warring States Period, many great thinkers emerged and contended. The situation of the downward shift of public philosophy and the rise of private learning, which started since the late Spring and Autumn Period with people like Confucius and Mozi, further developed during the Warring States Period, forming a lively cultural situation full of vitality with active liberation of ideas and the disappearance of intellectual confinement, creating a great era of unprecedented prosperity of ideas, splendid art and culture, and brilliant achievements. Laozi and Zhuangzi created the school of Daoism, which rivalled with Confucianism in later times; Mencius and Xunzi enriched and developed the school of Confucianism started by Confucius from the doctrine of benevolence and righteousness and the doctrine of ritual and music, respectively; Yang Zhu created the doctrine of »self-preservation«; Shang Yang and Han Fei systematized the thought of Legalism; Zou Yan developed the doctrine of the five elements of yin and yang. In addition, there were also logicians, diplomats, military strategists, agriculturalists, occultists, and syncretists—as represented by the Master Lü’s Spring and Autumn Annals—which together formed the intellectual and academic landscape of the Warring States Period. The literary and artistic achievements of the Warring States Period formed in this ideological and cultural background, including the distinctive and outstanding cultural and artistic achievements created by the people of Chu, were so colorful and brilliant that they are the most dazzling page in the history of Chinese spiritual and cultural development. The cultural development and achievements of the Spring and Autumn and Warring States periods, which is the last stage of the Three Dynas-

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ties, not only have an important status and significance, but also have a pivotal position and value as to the whole historical process of Chinese cultural development. Some scholars refer to this period as the »Axial Age« in the development of Chinese civilization. This shows that the Spring and Autumn Period, marked by »the collapse of rituals and music,« and the Warring States Period, when »a hundred schools of thought contended,« played a crucial role in the history of Chinese civilization. Ritual and music culture, which was both consistent and constantly changing throughout the Three Dynasties, was the closest spiritual and cultural climate and soil within which the new content and new historical styles of the arts of the Three Dynasties were formed.

Section 2  Basic Characteristics and Transformations of the Arts of Xia, Shang, and Zhou Dynasties The evolution of the social production methods and the social structure as well as the change of spiritual and cultural atmosphere of the Three Dynasties are the human and social conditions on which the arts of the Three Dynasties grew. Although the evolution of the arts of the Three Dynasties cannot be separated from this larger social and cultural context, their formation and development undoubtedly had its own trajectory, which reflected the changing spirit of the times in a way unique to the arts. In the following, we will examine the significance, characteristics, and evolution of the arts of the Three Dynasties from several aspects, including basic historical types, artistic spirit and style, and categories of art.

1. The Establishment of New Types of Arts Art is unique, an aesthetic spiritual production, a form of cultural creation that is different from

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other cultural forms. We can divide the entire history of human artistic development into three basic historical types based on the connection between artistic production and material production as well as artistic production and the history of other spiritual production and cultural forms. One type is »material and utilitarian art« that primarily serves the purposes of real material life, another type is »spiritual and utilitarian art« that primarily serves other ideological and spiritual fields of production, and the third type is »aesthetic and non-utilitarian art« that has aesthetic as its main purpose. In terms of the actual historical development of arts, the »pre-art« created in the early human era, that is, human prehistory, could not have been the spiritual and utilitarian art that met people’s various spiritual needs, much less the aesthetic and non-utilitarian art whose main purpose was the aesthetic appeal. This is because the division of labor between material and spiritual production had not yet emerged, and the various elements of human spiritual life were still in their infancy and in a primitive mixed state. Material production and practical activities to meet human survival needs were the most basic way of living at that time. Various factors of spiritual production, including artistic creation, were mixed with this basic way of life of people at that time. Under such historical conditions, the first type of art created by human beings could only be material and utilitarian. In late primitive society, especially in the transition to class society, a certain degree of social division of labor and class differentiation emerged, people’s spiritual life became richer and more complex than in the past, and primitive religious concepts, primitive ethical and moral concepts, primitive scientific and technological knowledge, primitive aesthetic concepts, etc., were indistinctively fused together and gradually developed. When class-based society finally established itself and the first slave state was born, a social

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class, which was separated from the field of material production activities and specialized in state management, class rule, and creative activities in the field of spiritual culture, was formed, and a clear social division of labor between material and spiritual production began to appear in human history. However, at this time, there had not yet been a further division of labor within spiritual production, and there was no clear distinction between the various categories of religion, science, art, and morality, and the various elements of spiritual production were still mixed and indiscriminately combined. Art at this time was, functionally speaking, art with a practical purpose, being one of the organic elements subordinate to and serving this spiritual production. In the historical process of the development of arts, the higher historical type is art as a special kind of spiritual production, i.  e., the transition was from utilitarian art created in the past primarily to serve different material and spiritual purposes to non-utilitarian art created primarily to satisfy a special spiritual need of humankind, namely, the need for aesthetics. This type of art is a historical type that could only emerge on the premise that there was a further division of labor within spiritual production and that each of the various fields of spiritual production gained relatively independent development. Its emergence indicates the great enrichment of human spiritual life and the diversified and comprehensive development of different categories of the spiritual life, as well as the fact that the development of the arts has entered a higher, independent stage of history. As far as the historical development of Chinese art is concerned, the art created throughout most of the Paleolithic and Neolithic periods basically belonged to the first historical type, i.  e., utilitarian art for material purposes. For example, the elaborate stone tools, bone tools, and, later, potteries, were produced to meet people’s material and practical needs. Around the late Neolithic period,

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the spiritual life of the primitive Chinese ancestors was already quite rich and complex, and in the field of art, a new historical type emerged in budding form. The spiritual element has gradually risen to dominance in the art of jade and stone tools, as seen in the bone flute from the Jiahu Site in Wuyang, the painted pottery basin with dancing motifs from the Shang Sunjiazhai Site in Qinghai, and the jade and stone art represented by jade cong and other artefacts in Liangzhu Culture. However, the spiritual elements contained in this type of art are obviously still only in a mixed state, and the spiritual purpose it aims to achieve is also mixed, which can be said to be of a strong primitive magical and religious nature. This is a prelude to the second historical type of art. In the history of Chinese art, the real establishment of the historical status of the second major historical type of art, i.  e., the utilitarian arts for spiritual purposes, was accomplished in the specific historical period of the Three Dynasties. As pointed out in the previous section, the culture of the Three Dynasties Period was a ritual and music culture. The arts of the Three Dynasties, which grew and developed in this social and cultural context, can also be summarized based on the essential characteristics of »ritual and music arts.« The Three Dynasties Period was the period when the arts of ritual and music, represented by bronze art and music and dance, flourished. This ritual and music arts is in essence a typical form of »spiritual and utilitarian art.« The Three Dynasties was the period when this new historical type of art was established. The arts of the Three Dynasties, as far as the dominant type is concerned, undoubtedly surpassed, on the one hand, the historical type of material and utilitarian art of the ancient period; on the other hand it was still far from having surpassed other spiritual, practical purposes—its main purpose was not in aesthetic appeals and it was not yet an aesthetic, non-utilitarian type of art. Nonetheless, we must not underestimate the historical

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status and great significance of the arts of the Three Dynasties. Quite to the contrary, it can be said that the arts of the Three Dynasties established a new historical type, one that fulfills practical yet spiritual needs, and became the intermediary link in the transition from the ancient material and utilitarian arts to the third art historical type, non-utilitarian art for aesthetic purposes. In the history of the development of Chinese art, the Wei and Jin dynasties were another historical period of great significance. This period is known as the era of »artistic self-awareness.« It can be said that this is the period when the third basic historical type, the aesthetic and non-utilitarian type of art, really established itself. However, we should also see that the establishment of this new historical type was not achieved overnight. In fact, during the Three Dynasties Period, especially in its latter part, that is, the Spring and Autumn and Warring States Period, with the collapse of the old ritual system and the development of arts, attempts and efforts to transcend the all-encompassing ideology of the time, li (rites), had already taken place. Arts began to strive to break out of the historical type of utilitarian art for spiritual purposes, and aesthetics and artistic forms were greatly enhanced, nurturing a new historical type of art. This new style and new type of arts is marked by the poetic writings of Qu Yuan and Song Yu, the creation of »new sounds« in music and dance, the new style of works in bronze art and other forms of plastic art, and the emergence of the »play jade« objects created for aesthetic appeal rather than ritual or practical function. For example, the pair of Rectangular Hu Vessels with Lotus and Crane excavated in Xinzheng, Henan Province, with their elegant white cranes in the center of the lotus petal-shaped lid and their fine openwork patterns, became the representative of a new style in the history of bronze art. In terms of its function, it broke through the box of ritual art, that is, utilitarian art for spiritual purposes, and

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highlights the increasingly important value and role of aesthetic appeal in bronze art. The »new music« which was widely popular among the people and even increasingly popular among some of the nobility, was very different from the »ancient music,« which was listened to »with fear of lying down [and falling asleep].« The reason that »new music« was denounced by those who defended the old system of ritual and music as being out of line was also because they transcended the old system of ritual in a different way, and the aesthetic and entertainment elements were greatly enhanced. Although this new type of art has not yet become the dominant type of the period, it was an essential precursor to the real artistic self-awareness of the Wei and Jin dynasties, hundreds of years later. From this alone it can be said that the art of the Three Dynasties has an important place in the history of Chinese art and even in the art history of the world.

2. The General Characteristics of the Arts of the Xia, Shang, and Zhou Dynasties, and Their Transformations over Time As Liu Xie put it in The Literary Mind and the Carving of Dragons: »The change of literature is tainted by the world, and [its] rise and fall is tied to the order of time.« It is one of the main tasks of the history of art to explore the evolution of artistic styles, especially in the context of the development of the social background and cultural environment of a certain era. A basic perspective for examining the development of the arts of the Three Dynasties is to describe how the unique artistic styles of each period changed in response to the social and cultural development and changes at various stages in history. 1. Xia: The Beauty of the Simple and Raw Due to the historical distance of the Xia Dynasty from the present epoch and the lack of archaeological excavations, it is difficult to clearly describe the overall historical outlook of the arts of the Xia

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Dynasty. However, based on written records and the excavated materials available so far, it can be inferred that the art of the Xia Culture was a kind of art in transition from primitive society to the beginning of class-based society. On the one hand, it still retains some of the styles of the primitive arts; on the other hand, a new style of art, adapted to the historical characteristics of the new Bronze Age and its class society, has begun to emerge, its outline more and more clear. The arts of this period all share a simple and raw style, which corresponds to the overall appearance of Xia culture, which is »close to people and loyal,« »simple and unadorned,« prioritizing the »content« over decoration and »respecting fate.« 2. Shang to Western Zhou: Solemn and Mysterious Shang Culture revered the gods and believed in ghosts, and mysterious worship rituals were dom-

2.1.1  The Houmuwu Ding

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inant in the spiritual life of the people. As a reflection of the spiritual and cultural atmosphere of the time, art of the Shang Dynasty in general has a solemn, mysterious, and majestic style. This style continued into the early Western Zhou Period. In terms of music and dance, this style is most evident in the ritual music and dance that predominated in the Shang Dynasty, such as the Sanglin 桑林, Da Hu 大濩, and Jie 祴 dances, the rain dance, and other ritual music and dance. In terms of plastic arts, the most distinctive expressions of this style are the bronze artworks symbolizing divine and royal power, including ceremonial vessels decorated with severe and gruesome animal and human face patterns, and bronze ritual or battle axes. Some of the most important examples are the Houmuwu Ding (Fig. 2.1.1) and the Large Beast-Faced Axe (Fig.  2.1.2) excavated from the Tomb no. 1 of the Subutun Site in Yidu, Shandong Province.

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2.1.2 The Large Beast-Faced Axe

The former is mainly decorated with animal-face patterns, weighing 875 kg (832.84 kg according to some sources), with the height measuring from the handle 133  cm, the length 110  cm, and the width 78 cm. It is the largest bronze object excavated in China, symbolizing the supremacy of the king’s power. The axe, on the other hand, is decorated with the face of a beast, with its protruding eyes and large ears, fangs, a bull’s nose, and horns, which gives the axe, already a symbol of the royal power, the artistic effect of majesty that evokes awe. 3. Late Western Zhou Dynasty to Early Spring and Autumn Period: Elegant and Refined The culture of the Zhou people was different from that of the Shang, in that the rational consciousness of man overtook the religious consciousness, and the concept of ritual and music replaced that of ghost-and-god worship as the dominant ideology. Non-religious human feelings and interpersonal relationships became the subject of art. Although the bronze ritual vessels decorated with animal-face motifs still followed the traditional

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style of the Shang in the early Western Zhou Period, their spiritual connotations and decorative forms were quietly changing with the times. Especially in the late Western Zhou Dynasty, the style of arts was predominantly free from the constraints of the mysterious spiritual atmosphere of the Shang Dynasty, and reflected a rational spirit and the pursuit for elegance. In terms of music and dance, for example, Tai Wu 大武, representative of the court music and dance of the Zhou Dynasty, is already very different from the sacrificial music and dance of the Shang Dynasty. In Tai Wu, the religious atmosphere found in music and dance of the past has disappeared, and the work mainly expresses praise of the merits of the founding monarch, King Wu of Zhou. Although the tone of the music and dance is still powerful and majestic, as Tai Wu originated from the military song and dance during King Wu’s conquest of King Zhou of Shang, what is expressed is no longer the mysterious power of the supernatural realm, but the indestructible and invincible aura and power of the king of the human world. The poems of the Zhou in Classic of Poetry, regardless of the genre, all reflect the awakening of the rational consciousness of the earthly world and the increasing dilution of the religious concept. In terms of artistic expression, art from the late Western Zhou to the early Spring and Autumn Period often has a kind of elegant beauty of literary quality, grace, and nobility (Fig. 2.1.3). The art of the Three Dynasties passed through the simple and unadorned stage of the Xia Dynasty, and then through the fiery and fervent spirit of the Shang Dynasty—developing in the Western Zhou Period into an aesthetic that favored harmony and elegance. According to »Eight Dancers,« in Analects of Confucius, Confucius could not help but exclaim when he talked of the flourishing of Zhou’s ritual and music culture, its elegance and harmony, and the quality of its literature: »Zhou borrowed from the Two Dynasties [Xia and Shang], and developed a brilliant culture! I would follow Zhou.«

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4. Middle and Late Spring and Autumn Period to Early Warring States Period: Fresh and Open With »the collapse of rituals and music,« the rise of people-oriented thinking and further emancipation of the mind brought the liveliness and openness of artistic styles and expressions from the late Spring and Autumn Period to the early Warring States Period. This openness of the era is manifested in several ways. First of all, the spiritual content expressed in arts was new, breaking through the shackles of the ritual and music ideological system that reached its height during the Western Zhou Period. For example, some of the works in the »Airs of the States« section in Classic of Poetry, which were produced during the Spring and Autumn Period of the Eastern Zhou Dynasty, are fresh and vivid in content and show humanitarian tendencies, which is a reflection of the gradual openness of the spirit of the times.

Second, some of the artistic norms and formal techniques that had been formed in the past and had long been inherited as traditions were broken through, and new artistic forms and artistic languages emerged. For example, there was a trend of pursuing beautiful and fine ornamentation on bronze wares, and new ornaments began to replace the old, dull, and monotonous ones. A pair of bronze rectangular hu vessels with lotus and crane unearthed in Xinzheng, Henan Province (Fig. 2.1.4), which, according to Guo Moruo’s interpretation, »has a fresh and handsome white crane in the center of the lid in the shape of a lotus petal, standing on its own, spreading its wings to fly and stretching its neck to sing, breaking away from the old tradition,« became a symbol of the spirit of the times. Again, the hierarchical order prescribed by the ritual and music system in the past was broken, and most of the ritual vessels and ritual music that used to be exclusively

2.1.3  Cicada-Patterned Bronze Ding Tripod with Cover

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2.1.4 Rectangular Hu Vessel with Lotus and Crane

for the royal family were now commonly owned by vassals; in the past, the bronze ritual vessels were mostly for the royal family and its subjects. Finally, with the downward cultural shift and the development of secular spiritual and cultural life, the trend of secularization in the arts of music and dance as well as plastic arts began to emerge. The distinction between elegance and vulgarity in arts was thus formed, and became one of the basic threads of the development of arts throughout later generations.

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5. Middle and Late Warring States Period: Brilliant and Splendid The arts of the middle and late Warring States Period was influenced by people-oriented thinking, ideological emancipation, and artistic styles and forms since the Spring and Autumn Period, and deepened its development to become more colorful and brilliant. In terms of music and dance, after the collapse of rituals and music during the Spring and Autumn Period, the former yayue system declined further in the late Warring States Period, and secular music and dance became prosperous in all aspects. The different states were competing with luxuriousness in court music, so much so that there was such an astonishing phenomenon: the tomb of Marquis Yi of the State of Zeng, which was only a small vassal state of Chu at that time, was buried with more than 7,000 pieces of bronze ritual vessels, gold objects, and jade objects. Among them, musical instruments made of metal and stone alone counted 8 different types, with more than 100 pieces in total. In particular, a complete set of bronze chime bells has been unearthed, astonishing the world. These glorious and incomparable metal and stone musical instruments constitute an underground music hall, representing the musical achievements of the Warring States Period and the Three Dynasties. As the arts of secular music and dance flourished, the folk music and dance of various states, regions, and ethnicities, such as the that of the northern states and that of the State of Chu, also showed rich and splendid colors. Qu Yuan created Chu Ci 楚辞 on the rich soil of Chu folk songs and dances to bring a beautiful, mysterious, fantastic, romantic landscape to the arts of the Warring States Period. The paintings of the Warring States Period, such as Chu lacquer painting and Chu silk painting, especially Silk Painting of a Man Riding a Dragon, unearthed from the Zidanku Chu Tomb in Changsha, and Silk Painting of Figure, Dragon, and Phoenix, unearthed from the Chenji Dashan Chu Tomb in Changsha, are important works of

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gorgeous beauty that combine myth and reality, romantic imagination with stylistic realism. The bronzes of the Warring States Period also saw new developments in decoration and modeling, with a prevalence of engraved bronzes showing stylistic realism. They used engraving and inlay techniques to incorporate painting into their decorative patterns, depicting realistic scenes of life such as feasting, hunting, warfare, agriculture, rituals, and more. The richness of the life depicted, the subtlety of the figures, and the high artistic achievements are admirable. Bronze Hu Container with Decorations Showing Water and Land Attacks, now housed in the Palace Museum in Beijing, is a representative work in this regard. In addition, the Warring States Period also saw amazing artistic achievements in lacquerware craftsmanship as well as figure and animal carving. The arts of the entire Warring States Period, whether in various fields of plastic arts, music and dance, or literature, embodies a radiant and splendid beauty that could only have been produced in that era. In short, the arts of each historical period of the Three Dynasties corresponds to the ideological, cultural, and spiritual outlook of the society at each stage of history in terms of the overall style of the period. However, we should also see that there was an imbalance between art and other cultural forms, and between various artistic styles. Therefore, the changes in art and the development of social thought and culture were not perfectly synchronized, but rather proceed at a quicker or slower pace; the induction of various categories of art to the change of the spirit of the times was not uniform and consistent, but rather there were earlier, later, and multi-directional changes.

is another important way to study the history of the arts. Looking at the characteristics and development of the arts of the Three Dynasties from this perspective, we can more clearly understand their unique status and their important roles in the history of Chinese arts.

3. The Development of Art Forms from Mixed to Differentiated During the Xia, Shang, and Zhou Dynasties Examining the development of art through the transformations of different categories and genres

1. Mixed State in the Prehistoric Period The arts of the long prehistorical period were, generally speaking, mixed and undifferentiated, without the kind of development of different forms of arts that would come into being later. This mixed state was mainly manifested in the fact that independent forms and categories of various arts, such as literature, music, dance, painting, sculpture, calligraphy had not yet been established, and that instead there were various complexes consisting of different categories. Prehistoric society’s painted pottery, plain pottery, ceremonial jade, etc., can be said to be a form of art that combines sculpture, painting, inscription writing, crafts, and other elements; primitive music and dance was a mixed state of song, dance, and poetry. The art of the Three Dynasties was born from the mixed state of the primitive arts. More specifically, at least in the Xia, Shang, and Western Zhou dynasties, it still had not escaped from this primitive mixed state in terms of overall appearance. The characteristics of music and dance art and bronze art, the representative art styles of the Three Dynasties Period, illustrate this point. The music and dance art of the Three Dynasties was still a mixed form of poetry, music, and dance; the bronze art of the Three Dynasties was a mixture of various elements including painting, sculpture, calligraphy, and crafts. The major artistic achievements of the Three Dynasties, which opened up a new generation of styles, such as the art of ceramics, jade, and lacquer ware, also appeared in the form of combinations.

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2. Two Major Series Although arts of the prehistoric and Three Dynasties Periods were in a primitive mixed state and did not develop into the separate categories of later times, the arts of the time naturally followed two different threads and constituted two different creative fields. The first was the arts of music and dance; the second was composed of bronze art, jade art, and ceramic art. If we compare these two series, we can find that they are different in many ways. First of all, in terms of the materials and means of communication used for artistic creation, the arts of music and dance mainly use what is possessed and can be expressed by the human body, such as in body movements, voice, language, etc., while the second series mainly uses materials external to the human body, such as bronze, jade, clay, tortoise shells and animal bones, and natural pigments, for artistic creation. In terms of the forms in which artworks were displayed, the former was ephemeral, existing in a dynamic performance process, while the latter was static in nature, existing in a fixed and unchanging form. In terms of spatial-temporal relationships, the former existed in spatial-temporal form, while the latter existed only in a spatial form. In terms of the way people perceive the two sets of arts, the former was an audio-visual art, while the latter was only a visual art. The natural distinction between two different sets of arts in prehistorical and early historical times is not unique to Chinese arts but a common phenomenon in the universal development of arts. In ancient Greece, for example, there was a distinction between the art of the muse and the applied arts. In its early period, Chinese arts followed this common trend of development, but its manifestation was unique. In the first series, yayue, a system of elegant court music and dance represented by the »Dance of the Six Dynasties« and »Six Small Dances« came into being during the Zhou Dynasty. In the second series, splendid forms of bronze, jade, ceramics, and lacquer ware were created.

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3. Initial Divergence During the Three Dynasties Period, which spanned more than 18 centuries, overall, art was still in a state of primitive mixture and naturally developed into two major series, but a new trend emerged in the development of types and genres in the later part of this period. Especially in the Spring and Autumn and Warring States periods, the first signs or tendencies of divergence appeared in both. In the first series, music gained a relatively independent status from the original mixture of music, dance, and poetry, as marked by the peak of the metal-and-stone music, the high-level development of the theory of the tone-system, and the emergence of purely instrumental music in the form of solo performances, such as qin zither music. The »Three Hundred Poems« were originally combined with music and dance as a collection of lyrics that could not be separated from certain tunes, but once recorded and organized, they took the form of a language art independent of music and dance, and became the earliest collection of poetry and literature in China, the Classic of Poetry. According to the records in the Zuo Zhuan and other historical texts, in the Spring and Autumn Period, there were different occasions when the poems were sung, chanted, or recited, indicating that they could exist separately from music (singing) and dance on specific occasions. In the Warring States Period, verses written by Qu Yuan and others were generally said to be able to be performed with music or in combination with music and dance, but they could undoubtedly be chanted and recited without music as well. That is to say, it also had a relatively independent form as literature and as a type of language art. This shows that literature, an important art category, had been initially differentiated from the mixed forms of primitive music and dance art in the Spring and Autumn Period and Warring States Period. In plastic arts, painting and sculpture, as independent forms, also gradually separated from the mixed forms of pottery, bronze, and other arts and

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crafts. For example, the Chu silk paintings of the Warring States Period, Silk Painting of a Man Riding a Dragon and Silk Painting of Figure, Dragon, and Phoenix, are masterpieces among the newly independent art category of painting. In sculpture, as early as the Xia and Shang dynasties, there were a number of animal and figure sculptures, which was the germination of sculpture as an independent form. In the Spring and Autumn Period and Warring States Period, there were a large number of outstanding animal sculptures, such as the bronze reclining deer of the Warring States Period, the deer-horned crane from the Tomb of the Marquis Yi of Zeng, the Warring States Period bronze zun in the form of a rhinoceros with cloud patterns in gold and silver inlays, etc. There were also vivid and fascinating figurines of dancers, and acrobatic performers, marking the great development of sculpture as an independent art form. The initial divergence of art types during the Three Dynasties Period, especially during the Spring and Autumn and Warring States periods, and their development toward separate categories, is of great significance to the history of Chinese arts. It shows that during the Three Dynasties Period, Chinese arts had reached a considerable level in terms of the evolution and development of artistic categories, and had entered a new stage of historical development. This laid the initial cornerstone for the further subdivision of art categories and the change from old to new art types thereafter.

Section 3  The Achievements and Historical Significance of the Arts of the Xia, Shang, and Zhou Dynasties During the Three Dynasties, the great creativity of the Chinese people glowed unprecedentedly, with dazzlingly achievements in material culture, productivity, social structure, thought, and culture.

SECTION 3 THE ACHIEVEMENTS AND HISTORICAL SIGNIFICANCE OF THE ARTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

In the arts, the people of the Three Dynasties left numerous legacies in many fields, such as music, dance, and the plastic arts, with masterpieces created with passion and imagination, forming the first peak in the history of Chinese art and laying the foundation for the development of art in later periods.

1. The Brilliant Accomplishments of the Arts of Music and Dance, and Bronze Art The glorious achievements of the Three Dynasties were represented by the arts of music and dance, a dynamic form of expression combining music, dance, and poetry, and a static bronze art featuring ritual vessels. During the Three Dynasties Period, the combined arts of music, dance, and poetry, which was generally referred to as »music« (yue 乐), occupied an important position in and penetrated all aspects of the social life at the time. It was a pivotal part of the arts and could be said to be the representative of the arts at the time. The main achievements of the arts of music and dance in the Three Dynasties are reflected in the ritual music used by the court to worship ghosts and gods as well as ancestors, and to sing the praises of the merits of the previous and current kings. Each dynasty has left classic works for future generations: Tai Xia 大夏 sings the praises of Yu the Great and Jiushao 九韶 was used for sacrifices in the Xia Dynasty; Sanglin 桑林 and Tai hu 大濩 were the formal music of the Shang Dynasty; the famous Tai Wu 大武, which was newly created in the Zhou Dynasty, together with a compilation of music passed down from previous generations in praise of the sage kings of the past, including Yunmen 云门 (the music of the Yellow Emperor), Tai Xian (the music of Yao), Jiushao (the music of Shun), Tai Xia (the music of Yu), and Tai hu (the music of Shang), constitute the system of »Six Musics« (»Dance of the Six Dynasties«). In addition, there were also the so-called »Six Small Dances,« namely Silk Banner Dance, Feather Dance, Imperial Dance, Yak’s Tail Dance, Shield Dance, and

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Sleeve Dance, in the court music of the Zhou Dynasty. The establishment of the music and rites system in the early Zhou Dynasty led to the most complete and systematic development of rites and music, and the highest achievements were also made in the Zhou Dynasty. During the Spring and Autumn and Warring States periods, the system of rites and music collapsed, the hundred schools of thought contended, ideas were liberated, and concepts changed. Court music declined, secular and folk music and dance further flourished, and music and dance solely for performance and entertainment developed. The nobles of various states broke the hierarchical constraints of ritual music and ritual vessels in pursuit of luxury and extravagance, and pushed the music of metal and stone instruments to its peak, which results in the emergence of music halls like the Tomb of the Marquis Yi of Zeng, with its organized chime bells that reflected the highest level of musicology at that time. This world-shattering discovery was unparalleled in the entire world 2,400 years ago, both in terms of the level of musicology and instrument-making, and in terms of the huge scale of the court orchestra it reflected. As a typical representative of the plastic arts of the Three Dynasties, the brilliant artistic achievements of the bronze art are even more universally recognized. The bronze art of the Three Dynasties is represented by the heavy bronze vessels that symbolize the unity of divine and royal power, supremacy, and sanctity, such as the giant square tripod ding vessels and the giant ritual and battle axes decorated with horrific, mysterious, and fantastic animal face and human face patterns, among which the Houmuwu Ding, the Square Ding with Human Face Pattern, and the Large Axe with Animal-Face Pattern are exemplary works. Furthermore, the bronze art of the Three Dynasties also wrote a glorious page in the history of plastic arts of the world with its wide variety of types, diverse functions, and the co-existence of multiple regions and styles. In terms of its classifi-

CHAPTER I OVERVIEW OF THE ARTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

cation by function, the bronze vessels of the Three Dynasties not only included many bronze ritual vessels, but also a large number of weapons, musical instruments, agricultural and handcraft tools, wine vessels, cooking and food vessels, water vessels, and miscellaneous daily utensils, which penetrated all aspects of and played a great role in social life at the time. In terms of the regional development of bronze art in the Three Dynasties, it was not developed only in a single region, the Central Plains, but also in the northern grasslands, the Yangtze River valley in the south, and the Yunnan, Guizhou, Guangdong, and Guangxi regions, forming different artistic achievements and regional characteristics through mutual influence and exchange. For example, the artistic achievements of the bronze wares excavated at the Sanxingdui (Fig.  2.1.5) in Sichuan Province have astonished the world. During its long history, the bronze art of the Three Dynasties went through several different stages of development and formed two major historical peaks, the first being from the late Shang Dynasty to the early Western Zhou Dynasty and the second from the mid-Spring and Autumn Period to the Warring States Period, and many brilliant works of art from these periods have survived (Fig. 2.1.6).

2. The Enduring Values of the Classic of Poetry and Verses of Chu The Classic of Poetry is a collection of poems from the Zhou Dynasty and the foundation of the Chinese language arts, especially poetry. The »Three Hundred Poems« were originally in an interconnected form of poetry, music, and dance, which could be played with music, sung, and danced to, as illustrated by the description: »300 poems for recitation, 300 poems for strings, 300 poems for song, and 300 poems for dance.« However, once they were recorded, they became a collection of poetry and contributed greatly to the development of literature as an independent category of arts. The Classic of Poetry is divided into three categories

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2.1.5 Bronze Human Face from Sanxingdui

based on the genre: airs (feng 风), court hymns (ya 雅), and odes (song 颂); in terms of methods of expression, it is known for three stylistic devices: straightforward narrative (fu 赋), comparison (bi 比), and »atmospherical introductions« (xing 兴). The poems cover a broad and rich range of subject matter, including ritual sacrifices, history, social satire, love, agricultural activities, feasting and banquets. The artistic ideals of the Classic of Poetry are the harmonious beauty of »joy without being licentious, sorrow without being hurtfully excessive,« and perfection in unity of both content and form, known as »refinement in both the rhetoric and the core.« These not only contributed to the high prosperity of Tang poetry and Song ci verses in the Tang and Song dynasties respectively, but also opened a broad artistic path and

contributed greatly to the formation of the basic spirit of Chinese art as a whole. The realistic spirit and humanistic thought of the Classic of Poetry, as expressed in lines such as »The hungry sings about their food and the laborers sings about their affairs,« provided inexhaustible spiritual nourishment for later generations of artists. In the late Warring States Period, Qu Yuan, a great official in the state of Chu, actively absorbed the creative techniques and spiritual nourishment of the art of the Central Plains’ Classic of Poetry in the atmosphere and soil of Chu Culture, where shamanism flourished, and composed a large number of poetic works, such as Li Sao, Tianwen, Jiuge and Jiuzhang. These works and some of the same types of works, composed by Song Yu and others, were later compiled into a collection

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2.1.6  Bronze mythical beasts

called Verses of Chu (Chu Ci 楚辞). Verses of Chu is another great collection of poetic works produced during the Three Dynasties Period after the Classic of Poetry, and has held an important position and great significance in the history of Chinese literature and Chinese arts that should not be underestimated. Qu Yuan is undoubtedly the most distinguished writer of the Verses of Chu, whose great achievements are highlighted in the following aspects. In terms of creative method, he pioneered an artistic path different from the realistic tradition of the Classic of Poetry, reflecting an idealistic spirit. It has become a model for future generations of idealistic artists, with its outstanding artistic characteristics of a magnificent imagination, romantic passion, and the combination of myth and reality. In terms of the content of his creation, the au-

thor’s fervent patriotic sentiment and the character of a gentleman who is pure, who strives for the ideal and never retreats, have left an extremely valuable spiritual wealth for Chinese arts. Furthermore, Verses of Chu is important for its known authorship. Although there are signs suggesting individual creators behind some earlier works, including certain poems in the Classic of Poetry, the literary arts before the emergence of Verses of Chu were mostly collective creations pertaining to a »nameless history.« However, since Qu Yuan, this »nameless history« has ended, and the »history of known artists« began. In the history of Chinese art, Qu Yuan’s works can be said to be the first truly individualistic creation.

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3. Achievements in Various Other Categories 1. Architecture of the Three Dynasties Ancient Chinese architecture has distinctive styles and its artistic achievements have been well recognized. The cornerstone of this unique architectural art, with its norms and principles, was laid in the Three Dynasties Period. This is well illustrated by the characteristics of the courtyard palace sites of Erlitou Culture. Chinese architecture has always maintained three basic elements, namely, the foundation, the columns and beams, and the roof. These three elements are already present in the palace architecture of the Erlitou Culture. The remains of the site suggest that the main hall has a solid and wide rammed earth foundation and steps, a wooden structure with beams and pillars, on top of which stands a majestic hip-and-gable roof with double eaves. The palace building of Erlitou Culture also embodies another basic feature of Chinese architecture, namely its central symmetry and quadrangle layout. The pursuit of the principle of balance and symmetry reflects the basic spirit of »harmony and impartiality« shared by all Chinese arts. The emergence of palace architecture in the Erlitou Culture was, of course, a development based on the achievements of primitive architecture. In the architectural sites of the Yangshao and Longshan cultures, certain elements that became elements of later Chinese architectural art can be found, such as the foundation of rammed earth, the building materials mainly made of earth and wood, the sloping roof and even the hip-and-gable roof. However, the palace complex of Erlitou Culture has achieved a significant advancement. Compared with the primitive buildings, which were generally underground or semi-underground, the Erlitou palace buildings have a wide and thick rammed earth platform. Its appearance is undoubtedly of great significance in the history of architecture, as it greatly expands the internal

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space of the building, protects the wooden structure from moisture and corrosion, and greatly enhances the visual aesthetic effects, making the buildings appear more spectacular and majestic, and strengthening specific ideological function. The characteristics of the palace architecture of the Erlitou Culture are also evident in other architectural sites of the Three Dynasties Period, such as the Shang Dynasty palace site at Panlongcheng, in Huangpi, and the Shang Dynasty site at Yinxu. This suggests that a solid foundation for Chinese architectural art was laid in the Three Dynasties Period. 2. The Art of Calligraphy and Painting In the history of ancient Chinese arts, calligraphy and painting are two sister arts with a close intrinsic connection, and since ancient times China has had the artistic tradition of »calligraphy and painting sharing the same origin« and »calligraphy and painting being one.« These two art forms developed and influenced each other during the Three Dynasties, forming their respective styles and norms and making early achievements, paving the way for their greater development thereafter. The long-established and time-honored distinctive art of Chinese calligraphy matured and flourished during the Qin, Han, and Jin dynasties, but during the long Three Dynasties Period the art of writing and engraving scripts had already taken shape and developed. The writing system of the Three Dynasties has a long history. As early as in the Yangshao, Longshan, and Liangzhu cultures, primitive writings or engraved writing symbols have been found on the painted potteries, jade objects, and tortoise shells. Most of these symbols have the characteristics of pictographs, and they share an evolutionary relationship with Shang and Zhou scripts. However, to date, the earliest, truly mature and systematic writing we have discovered and recognized are the inscriptions on oracle bones and bronze metals of

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the Shang and Zhou dynasties. In the Spring and Autumn and Warring States periods, writing developed in the direction of multiple regions, styles, and scripts, with the artistic pursuit of ornamentation and formalization, as well as the trends of practicality and abstract symbolization. The emergence of the clerical script marked a major change in the history of Chinese characters and the art of Chinese calligraphy, with abstract characters starting to replace the pictographic symbols that blended writing and drawing. During the development of the art of writing in the Three Dynasties Period, there were not only different forms of writing, such as handwriting and engraving, but also a variety of scripts, especially in the Spring and Autumn and Warring States periods, such as the bird-worm seal script, the scripts of the Six States, the great seal script, the small seal script, the »ancient script,« and the jade-pillar script, among others. As for the material carriers of writing, besides oracle bones and bronze vessels, writings were also found on stones, potteries, silks, and bamboo slips. The multifaceted development of the art of writing in the Three Dynasties laid a solid foundation for the brilliant heights of the calligraphic art in later periods. During the Three Dynasties, painting was generally not an entirely independent form of art, but was mainly attached to the dominant arts and crafts of the time, such as bronze, ceramics, lacquer, and jade, being the decorative patterns on these plastic arts. However, in some ancient tombs of the Shang and Zhou, remnants of wall paintings have been found. This shows that records and legends about large-scale wall paintings in the palaces and temples in ancient literature are somewhat credible, although it is not possible to see them in their entirety today. However, we can clearly see the glorious achievements made by the art of painting in the Three Dynasties Period through the unearthed lacquer paintings and Chu silk paintings from the Warring States Period. The color painting on a Warring

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States lacquer case unearthed from the great tomb at Baoshan and the color painting on the Chu se zither unearthed from the Changtai Pass, in Xinyang, both show a high degree of skill in depicting objects, composition, use of color, abstract expressions, and atmospheric rendering. The silk painting of the Chu State from the mid to late Warring States Period has made even higher artistic achievements. For example, Silk Painting of a Man Riding a Dragon, unearthed from the Zidanku Chu Tomb in Changsha, and Silk Painting of Figure, Dragon, and Phoenix, unearthed from Chenji Dashan Chu Tomb in Changsha, were basically independent forms of art, no longer subordinate to other forms of plastic arts. Their emphasis on vividness, maturity in line drawing, and the use of concise and contrasting hues all indicate that the painting of the Warring States Period laid the foundation for Chinese painting, both in terms of the spirit, the basic principles, the painting techniques, and the artistic language. 3. Other Arts and Crafts In addition to the main categories of arts introduced above, there were also other arts and crafts during the Three Dynasties Period, such as ceramics, jade and stone work, lacquer work, bone and ivory carving, textiles and weaving, gold and silver work, and glass work. Most of them had already existed in the primitive society, and some had even passed their peak, but there were nonetheless new developments in the Three Dynasties Period. Among them, jade art, ceramic art, and lacquer art are most notable for their outstanding achievements (Fig. 2.1.7).

4. The Formation of the Fundamental Traditions of Ideas about Art in China The Three Dynasties Period not only made brilliant achievements in the practice of art creation, but also in philosophy and theories of art, which laid down the fundamentals of the tradition of the philosophy of art in ancient China. This basic pat-

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2.1.7 A set of jade face masks

tern consists of the Confucian tradition, founded by Confucius and developed in different ways by Mencius and Xunzi, and the Daoist tradition, founded by Laozi and Zhuangzi. The two schools of the philosophy of art coexisted and complemented each other. In the Spring and Autumn and Warring States periods, in addition to the Confucian and Daoist schools of the philosophy of art, multiple other trends of thought emerged, including Mozi’s »condemnation of music,« the utilitarian artistic

views of Legalism as represented by Han Fei, the »cultivation of mind and health« of the Song and Yin schools of thought, and the artistic thought of the Syncretists as embodied in Master Lü’s Spring and Autumn Annals. In short, in the field of the philosophy of art, as in the greater field of thought and culture, there was a scholarly landscape in which a hundred schools of thought rose and contended, and which became the most magnificent and brilliant chapter in the history of the ancient Chinese philosophy of art.

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES The arts of music and dance form one of the most important categories among the arts of rites and music in the Xia, Shang, and Zhou Dynasties. In terms of their performative content and form, they did not only inherit the prehistoric arts of music and dance, but also transformed significantly alongside the profound social transformations of the Three Dynasties, birthing numerous unprecedented qualities. The arts of music and dance occupied an important position in the social life in the Three Dynasties and permeated various aspects of it. Their great achievements were mainly reflected in the court ritual and music that were used as offerings in sacrifices to spirits, gods, and ancestors, and that glorified the merits and virtues of the former and current kings. The Xia, Shang, and Zhou Dynasties left their respective classics for later generations—however, in the Spring and Autumn Period and the Warring States Period, such court music (gongting yayue 宫廷雅乐) declined, the ritual system collapsed, and musical performances dried up. At the same time, secular music as well as folk music and dance flourished. Therefore, the arts of music and dance specifically aimed at performance, and entertainment was further developed. The nobles of various states broke the hierarchical bondage of ritual and music, pursuing luxury and ostentation, and bringing music performed on metal and stone instruments to its climax.

Section 1  Music and Dance of the Xia Dynasty 1. Music and Dance in Honor of Yu the Great Around 2,000 BCE, ancient Chinese society entered a new stage due to the foundations of the first Chinese dynasty, the Xia Dynasty. Legend has it that Qi, the son of King Yu the Great of the Xia Dynasty, transformed the traditional system of shanrang (禅让, abdication and handing over the throne to a successor who is not a member of the former royal family) into the system of hereditary rulership. It is generally thought that the establishment of the ideology of »All under heaven [belonging to] one family« (»jiatianxia« 家天下) in the Xia Dynasty was the sign of the beginning of slave society in ancient China. The tremendous transformation of society had a profound influence on the arts of music and dance of that time, as indicated by ancient legends. It is said that the music and dance of the Xia Dynasty inherited prehistoric music and dance, but at the same time demonstrated certain new factors and content. For instance, the content of the dance of the YueFlute of Xia (Xia yue 夏龠), also known as Tai Xia 大夏 (the Great Xia), no longer reflected the worship of any mysterious supernatural forces. Yu the Great clearly determined the content and purpose of the work, i.  e., to praise him as the ruler and »to proclaim his achievements.« As reflected by the dance, the control of the floods by Yu embodied great human effort in the conquest of the nature. This differs from the Yellow Emperor’s dance of

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the Cloud Gate, which was the »imitation of the Eight Winds«, i.  e., primarily a depiction of natural forces and the worship of them. The transformation of content that took place in the process of the creation of the Yue-Flute of Xia must have been closely associated with the development of the productivity, i.  e., the improvement of the human ability to control nature. Apparently, unlike the Yellow Emperor’s dance, in which the emperor was regarded as a representative of his tribe, the Yue-Flute of Xia regards the control of the floods as the individual effort of Yu the Great, and ascribes all the great deeds achieved by people under his leadership to him alone. Therefore, Yu’s dance was intended to extol his personal achievements, rather than to be part of the »sacrifice to the gods.« This reflected the development of private ownership at that time, and directly reflects the fact that Yu had gained absolute sovereignty.

2. Legends of Heavenly Music and Dance 1. King Qi’s Possession of Heavenly Music and Dance After the death of Yu, Yi, from the tribe of the Eastern Yi, was originally selected to succeed him. But Qi drew upon his father Yu’s achievements in the control of the floods, ad usurped the leadership of Yi. According to the chapter »Wan Zhang, Part I« (»Wang Zhang shang« 万章上) in Mencius (Mengzi 孟子), Qi’s advocates »did not praise Yi but praised Qi, saying: ›He is the son of my lord‹« to demonstrate their support. Therefore, songs were not only used to sing praise for the leadership, but also applied as a tool of public opinion in power struggles. These functions were not demonstrated by music and dance prior to the Xia dynasty. According to the chapter, »Placing the Self First« (»Xian ji pian« 先己篇) of The Annals of Lü Buwei, shortly after Qi usurped the throne, the Youhushi tribe took up arms against him and fought fiercely with his army in Ganze (the southwest of today’s

Section 1 Music and Dance of the Xia Dynasty

Huxian County, Shaanxi Province). The beginning of the war was disadvantageous for the army of Qi. Upon introspection, Qi believed that the reason for his military failure was that his »moral power was slight and his teaching unappealing for lack of goodness«. Thereupon, he honored worthies, employed the abled, and intensely restrained the entertainment brought by music and dances. It was said that he rested upon a single mat in his residence and ate food with simple seasoning. The qin-zithers [qin 琴] and se-zithers [se 瑟] were not strung, the bells and drums were not arrayed, and the women did not adorn themselves [the term for ›adorn‹, i.  e., chi 饬, is written as shi 饰 in Taiping yu lan 太平御览, juan 卷 279]. And he treated his relatives with the kindness due relatives, and his elders with the respect due the old.

A year later, he finally defeated Youhushi. This passage indicates that Qi originally heartily enjoyed the entertainment of music and dance. And after the consolidation of his power, Qi indulged in pleasures brought by music and dances again. His favorite works included the Nine Strophes (Jiubian 九辩) and the Nine Songs (Jiuge 九歌), and legend has it that he stole these arts of music and dance from the Sovereign of Heaven (tiandi 天帝) for his own pleasure. Apart from the mystery that veils the legend, the true core must have been that Qi pretended to act on the will of the heaven, i.  e., he took solemn and graceful music and dance for his own enjoyment, though they were originally offered in sacrifice to the Sovereign of Heaven. This was a momentous event. The music and dance in the Prehistoric Period were folkloric and had intensively religious and magical characteristics. Qi’s monopoly of sacred music and dance was not only used to strengthen his theocracy and consolidate his status, but also to satisfy his own enjoyment. The tribal ritual music and dance that had been solemn and sacred past became the daily enjoyment of the ruler. The collective music and dance

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that members of prehistoric tribes performed to entertain both the gods and themselves became performances perceived and enjoyed by one ruler alone. This means that the nature of the music and dance, the perceiving subject, and the way of the perception were all transformed greatly. This was an unprecedented, and a significant transformation in the history of music and dance as well. 2. The Influence of »Heavenly Music« As ritual music was created in the early Zhou Dynasty, the Nine Changes (Jiushao 九韶), one of the »Six Pieces of Music« (i.  e., six pieces of dance music from six ynasties, respectively), was used as offering to the gods of mountains and rivers. According to »Basic Annals of the First Emperor of Qin« in The Grand Scribe’s Records, the First Emperor created his own shrine in the second year after his unification of all under heaven. As he still lived, he personally selected the Changes and the Martial Prowess (Wu 武, renamed later as Five Elements) as the cultivated dance and the martial dance, respectively, to be performed as post-mortem offerings in his shrine. In the Han Dynasty, the Changes were renamed as the Origin of the Civilization (Wenshi 文始), which, together with the Five Elements (Wuxing 五行), belonged to the shrine music of Emperor Gaozu 高祖 and Emperor Wen 文. Later dynasties revised their suburban shrine music, though they nevertheless included these two dances. What remains of this music today are merely the above-mentioned titles, which were indispensable symbols of the legal inheritance (the so-called »orthodoxy«) of the ritual music of those dynasties.

3. The Indulgences of King Qi and King Jie After King Qi of the Xia Dynasty took possession of music and dance that were formerly owned collectively, he indulged in the pursuit of pleasures brought by them. This has been fiercely criticized in historical records. For instance, the chapter of »Condemnation of Music, Part I« (»Fei yue shang«

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

非乐上) in Mozi 墨子, for instance, states that King Qi indulged in pleasures and was addicted to banquets, songs, dances, and concerts that included large-scale wind instruments and string instruments. Loud enough to shake the heavens, his music was disadvantageous for the people and at the same time disliked by the gods; therefore, in order to promote the advantages and get rid of the harm, such »music« (dance) ought to be forbidden. At the end of the Xia Dynasty, the King Jie 桀 (King Lügui 履癸) was dissolute and immoral. He enjoyed music that increasingly expressed extravagance and self-indulgence, and was even called »extravagant music«. For instance, the section »Extravagant Music« in The Annals of Lü Buwei accuses King Jie of the Xia Dynasty as well as King Zhou 纣 of the Shang Dynasty: »They created extravagant music. In the sounds of gigantic drums, bells, lithophones, flutes, and pipes, they regarded the large to be beautiful and the many to be wonderful. They first created strange and exotic things that ears had never before heard and eyes never before seen. They strove after ever greater effect, employing neither rule nor measure.« The section »Esteem and Neglect [in Economic Policies], Part I« (»Qing Zhong jia« 轻重甲) in Guanzi 管子 states that King Jie had »thirty thousand female musicians, the sound of whose music played at the south gate at dawn could be heard as far as within three thoroughfares.« The number »thirty thousand« is not necessarily exact; it represents a large number. It seems that the court music of King Jie did not only have a large scale, but was also subdivided into various types. According to certain pre-Qin texts, there were bronze instruments such as bells that were called yong or zhong in the Xia Dynasty. But so far, these sources have not been verified by any archaeological evidence. Musical instruments of the Xia Dynasty that have been discovered archaeologically include pottery clapper-bells, chime stones, and xun-flutes, etc. In addition, bronze clapper-bells

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have been discovered as well. Combined with the above-mentioned legend, it can be speculated that in the class society of the Xia Dynasty, numerous slaves specialized in performances of music and dance for the pleasure of their rulers. The types and materials of the musical instruments in the Xia Dynasty were also developed greatly in comparison with those of earlier times.

4. Exchanges in Music and Dance Among Central Plains States and Surrounding Tribes The Si 姒 tribe, which was the ruling tribe in the Xia Dynasty, spread over a wide area. It significantly influenced the numerous vassal states and peoples in its surroundings. For instance, the ancient Yue 越 people in the vast region of Southeast China had contact with the Xia culture. It is said that Yu the Great was buried in Kuaiji (Shaoxing, Zhejiang). At that time, vassal states and further tribes frequently paid tributes to the Xia Dynasty. During their audience in the Xia court, they performed music and dances of their respective local characteristics. They may also have made gifts of their music and dance instruments to the Xia court. These gifts remained there and became part of the court music and dance. This promoted the cultural exchange of music and dance among various vassal states, tribes, and the Xia dynasty. Furthermore, it also promoted the multilateral development of music and dance. At the end of the Xia Dynasty, diverse social conflicts became increasingly acute. In particular, King Jie »treated the country outrageously, taxing immoderately so that the people were in great distress.« In this way he aroused great resentment and revolt against him among the people, so that they cursed him in song. It was said that even the officials of King Jie expressed their dissatisfaction through song.

Section 2  Music and Dance of the Shang Dynasty

Section 2  Music and Dance of the Shang Dynasty 1. Sacrificial Music and Dance of the Shang Dynasty 1. The Custom of Honoring Spirits and Offering Sacrifices In 1,600 BCE, the Shang 商 tribe, rising from the east and led by King Tang 汤, destroyed the Xia Dynasty and established the Shang Dynasty. The Shang people, being remarkably superstitious, »put first the service of the spirits and last the usage of rites, and led the people on to serve the gods.« They practiced divination before their daily lives, and regarded sacrificial activities as »[one of] the most important things of the state.« They held ceremonies with great frequency and solemnity. Throughout the year, there seldom was a day in which no sacrifice was carried out. Music, songs, and dance, being part of the important ceremonial content of the rituals, were obligatorily conducted by sorcerers who excelled at singing, dancing, and communicating between humans and gods. Such sorcerers became the leaders and organizers of court music, dances, and sacrifices during the Shang Dynasty. The clergy included sorcerers and scribes, and did not only monopolize the sacrifices and dominate the political arena, but also became the mediators of cultures. They taught young nobility rites, music, archery, and chariot-steering. Among them, the scribes were primarily in charge of personnel management, while the sorcerers primarily served spirits and gods, and were responsible for music, singing, dancing, and curing disease. The culture of sorcerers and scribes laid the foundation for the gradual prosperity of Shang culture, and exerted a profound and far-reaching influence on the later development of Chinese culture and art.

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2. Dance of the Mulberry Bush The Mulberry Bush (Sanglin 桑林), regarded as the music of King Tang, was one of the most important sacrificial dances of the Shang Dynasty. Based on a bush at Mulberry Mountain (Sangshan 桑山), at which King Tang would pray for rain, both the Shang Dynasty and the later Song 宋 Duchy in the Spring and Autumn Period held the bush as a holy place. They set up shrines there to offer sacrifices to gods. Legend has it that the Shang kings were descendants of Qi, who descended from Emperor Ku. It is said that Jiandi, the mother of Qi, swallowed an egg of a black bird (i.  e., a swallow) before she gave birth to Qi. Therefore, the black bird became the totem of the Shang people. The Mulberry Bush was the sacrificial music of the Shang people, more precisely, it was the dance that was performed during the sacrifices to their male ancestor’s (the black bird) totem and to their female ancestor, Jiandi. 3. Dance of the Great Protection The Great Protection (Tai huo 大濩) was music and dance created in praise of King Tang’s achievement founding the Shang Dynasty. It was also one of the most important representative dances of the Shang Dynasty. In later times, it was juxtaposed with dances such as the Nine Changes, the Great Xia, etc., and called together with them the »Six Pieces of Music.« There is a legend about the creation of the Great Protection: during King Tang’s reign, there was a drought that lasted seven years. Thereupon, King Tang, clad in tabby woven from bast fibers and wearing white thatch, rode an unadorned chariot that was pulled by white horses to the Mulberry Bush, in order to make himself a sacrifice in a ritualized prayer for rain. Tang’s prayer was successful: in the heavens, »the clouds collected densely, they send down torrents of rain. The year then turned out very fruitful and All under Heaven was delight«. Thereupon, people created the dance of the Mulberry Bush (i.  e., the Great Protection). Every year, they danced in

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

offering. The Great Protection was primarily used as an offering in sacrifice to the former kings of the Shang Dynasty. Formerly, it was said that the ode, »Ample« (Nuo 那), among the »Sacrificial Odes Of Shang« (»Shang song« 商颂) in the Classic of Poetry (Shijing 诗经) was a song performed during sacrifice to King Tang. Its text describes the ceremonious and magnificent scene of the sacrifice: musical instruments such as drums, pellet drums, yongbell, and chime stones sounded simultaneously, the dance team was in high spirits, while the vocal team would sing solemn sacrificial songs as King Tang’s descendants offered sacrifices. This description corresponds with the Shang people’s custom of offering three strophes of music before sacrifices (Fig. 2.2.1). 4. Polearm Dance Oracle-bone inscriptions frequently refer to a dance called »gaiwu« 祴舞. Sometimes the character »gai« is written »jie« (戒), which has the shape of two hands holding a ge-polearm (ge 戈). Therefore, »gaiwu« must have been performed with the dancers holding ge-polearms, i.  e., it was a martial dance. 5. Rain Dance The agriculture of the Shang Dynasty was relatively developed and played a significant role in people’s lives. Many records of music and dance associated with praying for rain have been found among the records of divinations on the oracle bones of Yinxu 殷墟, indicating that the humans at that time were remarkably concerned with whether rainfall was timely and whether precipitation was appropriate. The Chinese character for dance, wu 舞, used to be written as »wu« , i.  e., with the additional radical »yu« (雨) that means »rain«. Hence, the latter character refers to a dance performed in prayer for rain. It has similar meaning with another character, »yu« (雩), i.  e., »sacrifice for rain«. Scholars

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Section 2 Music and Dance of the Shang Dynasty

2.2.1 Bronze drum (imitation of a drum with two membranes made of animal hide) unearthed in Chongyang, Hubei

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CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

of Subjugating Ghosts. The exorcist wore a demon’s head and peculiar clothes, held a weapon in a hand, and entered rooms acting as if he were fighting with and beating ghosts—in order to scare them away. This custom has been preserved, and is often accompanied by performances of music, dance, and even opera (nuo opera).

2. The Luxurious Music and Dance of the Shang Rulers

2.2.2 Single-piece chime stone patterned with a tiger motif, unearthed at Wuguan Village

believe that the character »wu« among the oracle bone inscriptions of the Shang Dynasty was a variant of the character »yu« (雩), which was a dance performed in sacrifice during droughts in the Zhou Dynasty. 6. Other Types of Sacrificial Music and Dance There were many types of divination and sacrifice in the Shang Dynasty. Accordingly, there were numerous types of music and dance as well. One striking written character among the oracle bone inscriptions, which looks like a human wearing a mask, refers to one type of dance. The forehead of the mask is pointed and high. Its ears, like two horns, have pointed upper edges and suspended large earlobes. The front of the mask bears two square holes. Some scholars think that the character is the original written form of »qi« (魌). According to Shuowen 说文, »Qi means ugly […] Nowadays, it refers to an exorcist who wards off epidemics and wears a mask.« Therefore, qi was the dancing exorcist called »fangxiang« (方相), who wore a mask in the ancient rite of nuo (难, also written nuo 傩) that was for exorcizing ghosts and warding off epidemics. The exorcising rite of nuo was later commonly known as the Festival

The Shang rulers lived a luxurious life based on the brutal oppression of the slave class, including female »musicians.« In 1950, the large tomb of an aristocrat, dating to the early stage of the Yinxu site, was unearthed at Wuguan Village, Anyang City, Henan Province. The discovery evokes an extremely tragic scene that took place 3,000 years ago: inside the tomb chamber alone, more than 80 slaves and concubines were sacrificed. To the south of the tomb, four rows of burial pits were found, containing 152 headless corpses. On the second-tier ledge to the west of the tomb chamber, there were further 24 female skeletons, together with three small bronze gepolearms bearing traces of silk or bird feathers, and a single-piece chime stone patterned with a tiger motif (Fig.  2.2.2). Archaeologists believe that the small bronze ge-polearms were not real weapons but props applied in the Dance of Shield and Feathers. This means that a portion of the deceased females were slaves that performed music and dance. Their owner would order them to play music and dance, and then cruelly sacrificed and buried with him. The ruler’s pursuit of perpetual pleasure contrasts sharply with the miserable fates of his slaves! Such barbaric and cruel mass human sacrifices have been repeatedly uncovered in the former Shang capital and various other regions. In addition, oracle bone inscriptions also include records of killing and burying male and female slaves in activities such as offering sacrifices to the river gods and laying the foundations of ancestral temples.

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The tyranny and extravagancy of the last king of the Shang Dynasty, King Xin 辛 (or King Zhou), reached an extreme point. A passage in the chapter of »Annals of Yin« (»Yin benji« 殷本纪) in The Grand Scribe’s Records reads: »He indulged in wine and licentious music and was fond of women. His partiality for Daji 妲己 caused him to carry out whatever she desired… He slighted the spirits and gods… As he amused himself at Shaqiu, he made a pond of wine, hung the trees with meat, made men and women chase each other about naked, and drank the whole night long.« Drinking was a custom in the Shang Dynasty. Many of the kings and nobles abandoned themselves to wine. King Zhou went to extremes with his wine pond and meat forest. His excessive and tyrannical conducts aroused the anger of both the heavens and the people, where »the people murmured in sullenness and the nobles rebelled«. In 1046 BCE, King Wu of Zhou (Zhou Wuwang 周武王) revolted against King Zhou. Thereupon, the Shang Dynasty quickly crumbled. The chapter »Annals of Yin« also states that the official musicians, together with the senior and junior tutors, »took the sacrificial and musical implements and hastened to the Zhou State«.

Section 3  Music and Dance of the Western Zhou 1. The Establishment of the Ritual and Music System of the Zhou Dynasty 1. The Establishment of the Zhou Dynasty and the Creation of Ritual and Music by the Duke of Zhou The Zhou people were an ancient tribe that lived in northwestern China. After living off agriculture for generations, King Wu of the Zhou Dynasty revolted, destroyed the Shang Dynasty, and es-

SECTION 3 MUSIC AND DANCE OF THE WESTERN ZHOU

tablished the Zhou Dynasty (Western Zhou) with Haojing (south of today’s Xi’an) as their capital. According to the patriarchal clan system which »took the clan kin as the internal [bond] and the in-laws as the external [bond]«, they »distributed power and granted domains to kinsmen and in-laws as a hedge and a screen for Zhou.« The Western Zhou Dynasty witnessed great economic development and entered its prosperous period of slavery. The Zhou culture was derived from but superior to the Shang. The Yin people »revered spirits and gods«, i.  e., they respected gods and believed in spirits. Accordingly, they piously maintained various sacrificial rites. But for the Zhou people, it was impossible to abandon the gods all at once. Nevertheless, judging by the »example of the Shang Dynasty«, which demonstrates that the Shang people, who were pious in their services to the gods, could not avoid the revolt at Muye, the Zhou people learned that the awesome powers of the world lay in the people rather than in heaven. Therefore, »respecting the heavens and protecting the people« became the core idea of the Zhou people, who were characterized by their veneration of the civilization and compliance with the rites. They worshiped spirits but distanced themselves from them, focusing on the surficial etiquette of worshiping the heavens and paying lip-service to the gods. In fact, this was merely a strategy for the Zhou rulers to apply religious concepts as a tool to fool the peoples(such as the Shang tribe) in order to reign over them, who were superstitious. It is said that the Duke of Zhou (Zhougong 周公) »created ritual and music« and designed a complete system of canons and regulations concerning politics and culture, in order to consolidate the royal rule. The »ritual« refers to the ritual system, which was associated with two systems that correlated with each other, i.  e., the patriarchal clan system and the hierarchical system. The »music« refers to music, songs, dances, and orchestra in accordance with ritual ceremonies and

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hierarchy. The ritual and music indeed embodied the hierarchy and strata, with patriarchy as the core through ritual music and dance. Therefore, ritual musical instruments, songs, and dances were also symbols of status. In order to distinguish the superior from the inferior, there were strict regulations concerning the scales, number of musicians, and types of musical instruments applied in music and danced performed for individual social strata. No trespass was permitted. However, the elaborate system of ritual and music recorded in texts such as the Rites of Zhou (Zhou li 周礼) could not have been entirely created by the Duke of Zhou. Although the available data of archaeologically discovered, intact Zhou tombs equipped with ritual implements and musical instruments are still scarce today, it is clear that even the tombs belonging to the same social stratum were not equipped with the same types and numbers of ritual implements and musical instruments. In addition, the types and numbers of such tomb goods gradually increased towards the end of the Zhou Dynasty. This indicates that the system of ritual and music was not strict at the beginning of the Zhou Dynasty; after a long period of development, it was gradually completed and perfected; and the musical instruments were also transformed and increased with the development of music. 2. Content and Characteristics of Classical Court Music One of the important contributions in the creation of music in the early Zhou Dynasty was the establishment of the first relatively fixed system of classical music in Chinese history, i.  e., the accompanying music and dances performed during activities such as the suburban sacrifice to the God of the Soil, rites in ancestral temples, rites at the court, rites of communal archery, and military ceremonies. The most important classical music and dance were called the »Music of the Six Dynasties«, the representative musical dances of the

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

»holy« Kings of the Six Dynasties, from archaic times to the early Zhou Dynasty. They are also referred to as the »Six Pieces of Music« or the »Six Dances« (liu wu 六舞). They are: The music of the Yellow Emperor: Cloud Gate, also called The Grand Scroll of the Cloud Gate; The music of King Yao: Great Salt (Tai xian«大咸), also called Salt Pond (Yanchi 咸池) or Great Strophe (Tai zhang«大章); The music of King Shun: Great Changes (Tai shao 大韶 or Tai shao 大㲈), also called Changes (Shao 韶), Nine Changes, Changes Played by the Vertical Flute (Xiao shao 箫韶), etc.; The music of King Yu: Great Xia; The music of the Shang Dynasty: Great Protection; The music of the Zhou Dynasty: Great Martial Prowess (Tai wu 大武); Apart from Great Martial Prowess, which was a new creation at the beginning of the Zhou Dynasty, the other five pieces of dance derived from the preceding dynasties and glorified the sacred kings of those dynasties. Later Confucians categorized the »Six Pieces of Music« into two types, i.  e., the civilized and the martial types. Since the Yellow Emperor and the kings Yao, Shun, and Yu, convinced their subjects of their »civilized virtues,« the above-mentioned music and dance ascribed to them belong to the civilized type. In contrast, since King Tang subdued King Jie, and King Wu conquered King Zhou with »martial powers,« their music and dance belong to the martial type. In those dances belonging to the civilized type, the dancers held flutes made of reed pipes and pheasant feathers; while in those dances belonging to the martial type, the dancers held weapons such as shields and battle-axes. The two types of dance were together referred to as »Dances of Shields and Feathers.« The above-mentioned music and dance formed sets that were performed during ceremonies and sacrifices at the court of the Zhou Dynasty. The ceremonial system and the occasions of their per-

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formances were clearly stipulated; negligence was not permitted. Performed by the heirs of the Zhou royal family and the nobility, they were applied in diverse sacrificial ceremonies. According to the entry »Grand Director of Music« (»Tai siyue« 大司 乐) in the chapter of »Ministry of Spring« (»Chunguan« 春官) in the Rites of Zhou, the Cloud Gate, Salt Pond, Great Changes, Great Xia, Great Protection, and Great Martial Prowess were performed during sacrifices to the heavenly gods, the earthly gods, the spirits of the four cardinal directions, mountains and rivers, the female ancestors, and the male ancestors, respectively. Apart from the Great Martial Prowess, those pieces of music and dance praising the Yellow Emperor and the kings Yao, Shun, Yu, Tang, etc., were originally traditional music and dance that were individually preserved in various clans as offerings to their ancestors. In the Zhou Dynasty, the Duke of Zhou, as a conqueror, compiled that music and dance for the court, and recomposed them. Together with the newly created Great Martial Prowess, they were performed during the sacrificial rituals of the Zhou people. At the same time, the Zhou people also drew on the event to proclaim their »sacred king whose virtue was the correlate [of heaven and earth]« and who legally inherited the »orthodox« reign of the preceding generations of the sacred kings. The »Music of the Six Dynasties« was regarded as the highest model of classical music by later Confucians. According to some later literature, besides the »Six Pieces of Music«, the classical court music composed in the Western Zhou Dynasty included the »Six Minor Dances,« i.  e., the Streamer Dance, the Phoenix Dance, the Shield Dance, and the Sleeve Dance. They were also valued by the rulers of the Zhou Dynasty and formed, besides the Six Major Dances (i.  e., the Six Pieces of Music), part of the learning material of the children of nobles. Judging by the Streamer Dance and others in which the dancers held oxtails and bird feathers

SECTION 3 MUSIC AND DANCE OF THE WESTERN ZHOU

2.2.3  A jade zhang-tablet bearing the patterns of a group dance on one side, unearthed at Sanxingdui

and wore headdresses of feathers, the »Six Minor Dances« may have directly inherited certain prehistoric dance characteristics. In 1986, a jade zhang-tablet bearing the patterns of a group dance on one side (bianzhang 边璋), dating to the Shang or the Zhou dynasty, was unearthed from Sacrificial Pit no. 2 at the Sanxingdui 三星堆 site in Guanghan, Sichuan Province (Fig. 2.2.3). The complete length of the zhang-tablet is 54.4 cm and the top and bottom widths are 8.8  cm and 6.8  cm, respectively. Its carved side bears two symmetrical groups of patterns on its top and bottom. Each group can be divided into five registers separated by horizontal lines. According to the entry »Keeper of Seal Tablets« (»Dianrui« 典瑞) in the chapter of »Ministry of Spring« in the Rites of Zhou, certain scholars believe that this zhang-tablet was an offering in a sacrifice to mountains and rivers; that its patterns demonstrate the group dance performed during that sac-

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rifice; and that the dancers’ eardlobes in shapes of small clapper-bells or two double rings and their ankle bracelets were used to regulate the dancing steps, since they would rattle if the dancers stamped their feet. To sum up, the zhang-tablet bears valuable patterns demonstrating music and dance in a sacrificial ceremony. During the banquets in which guests feasted and were entertained, »Miscellaneous Music« (sanyue 散乐) and »Music of the Four Barbarian Peoples« (siyi yue 四夷乐) were performed. The »Miscellaneous Music« comprised folk music, dance, and acrobatics; while the »Music of the Four Barbarian Peoples« consisted of the music of the minor ethnic groups and tribes. The yayue 雅乐 »classical music« which originated in the Western Zhou Dynasty was widely used in the history of Chinese art. It refers to »elegant and pure« lyrics, music, and dance, and distinguished itself from »secular music« (suyue 俗 乐). The odes in the Classic of Poetry, for instance, are categorized into feng 风 (airs of states), ya 雅 (court hymns), and song 颂 (eulogies). Apart from a few exceptions, all the odes of ya were created in the Western Zhou capital. The Zhou people of this area were referred to as the Xia 夏, which was a phonetic loan of the character »ya« in pre-Qin times. Therefore, the name of the court hymns possibly came from the place name that was homonymous with the Xia people, as are the cases of Chu 楚 music and Zheng 郑 music. The official language of the Zhou people was called the »Ya tongue.« In the Spring and Autumn Period, Confucius often used the »Ya tongue« to discuss and read the Classic of Poetry and the Book of Documents. Therefore, the earliest classical music was the traditional music of the Zhou people. In addition, from the Western Zhou Dynasty to the Spring and Autumn Period, the character for »ya« also meant »orthodox«. Accordingly, the classical music was the same as the orthodox music, i.  e., what was called »Chinese orthodox music« (huaxia zhengsheng 华夏正声) later on.

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

The classical music was used in solemn ceremonies, highlighting its content of glorification and cultivation. Its main purpose was not to flatter the ear. According to the Huainanzi 淮南子, criticism of classical music existed already during the Han Dynasty, i.  e., »with the zithers equipped with vermilion strings and penetrating sound holes, one singer intoning while three others humming in harmony, [the classical music] can be heard but cannot please«. In addition, since the sacrificial music in ancestral temples handed down up to the present (such as the sacrificial music in the Dacheng Halls of the Confucius Temples) was played mainly in unison and had simple tunes and slow beats, some people consider that the ancient music (»classical« music) had the same characteristics as well. But it is perhaps difficult to infer the style of ancient court music from that of later generations. Since the Western Zhou court music originated from folk music, it was not completely monotonous and dull. Furthermore, according to Wang Guowei’s 王国维 textual research, among the three parts of the Classic of Poetry, »the eulogies are slower in pace than the airs of states and the court hymns.« This also indicates that the »airs of states« and the »court hymns« (i.  e., classical music) were at any rate not as sluggish and slow as the »eulogies.« 3. Creation of Great Martial Prowess Among the Six Pieces of Music, only the Great Martial Prowess was a new work created in the Western Zhou Dynasty. As performative court music and dance, it was likely inspired by battle scenes from the beginning of the Western Zhou Dynasty. Its creation was aimed at the glorification of the dynasty’s achievements, the commemoration of the past, and admonitions for future generations. The Great Martial Prowess was the most important music and dance in the Zhou Dynasty. As Jizha 季札, a prince of the Wu 吴 State, was invited to the Lu 鲁 State to witness the music of

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the Zhou Dynasty, he praised the Great Martial Prowess as follows: »Beautiful indeed! The rise of Zhou to greatness must have been like this!« The dance of the Great Martial Prowess imitated the battle scenes in the military campaign of King Wu against King Zhou. Its dancers, according to the chapters of »A Summary Account of Sacrifices« (»Jitong« 祭统) and of »The Places in the Bright Hall« (»Mingtang wei« 明堂位) in the Book of Rites, held »red shields and jade axes.« »Red shields« were painted shields; while »jade axes« were dance props shaped as axes and sacrificial implements at the same time. According to the chapter of the »Record of Music« in the Book of Rites, the Great Martial Prowess had all together six strophes (sections): The Great Martial Prowess begins [in the first strophe] with the proceeding [of the Zhou people] towards the north; the second strophe demonstrates their extinction of Shang; the third shows their return march to the south; the fourth demonstrates their laying out of the southern duchies; the fifth shows how Duke of Zhou and Duke of Shao were put in charge of the states on the left and right; the sixth shows that [the states] again unite to offer their homage to the Son of Heaven.

More precisely, the first section describes King Wu’s expedition; the second describes his conquest of Yin (another name of the Shang Dynasty); the third shows his expedition in the south; the fourth describes his conquest in the south by laying out new duchies; the fifth demonstrates how the Duke of Zhou and the Duke of Shao ruled over the east and the west, respectively; and the sixth describes the return and reunion of the Zhou powers after their victory.

SECTION 3 MUSIC AND DANCE OF THE WESTERN ZHOU

2. Institutions and the Hierarchical System of Music and Dance 1. Gigantic Institutions and Palace Music and Dance Education The system of ritual and music needed to be reinforced by a corresponding administrative institution and staff. According to the chapter, »Ministry of Spring or of Rites« (»Chunguan zongbo« 春官 宗伯) of the Rites of Zhou, the Ministry of Spring or of Rites, which was »in charge of the ritual of the state«, was also known as the Office of Rites (liguan 礼官), which was held by one minister, to whom the institution of music and dance as well as its staff were subordinate. This indicates that music belonged to the rites. The institution of music and dance was led by the »Grand Director of Music« and had functions such as the administration, performance, and education of music and dance. The Grand Director of Music, also called the Grand Governor of Music (tai yuezheng 大乐 正), was in charge of the »Great College« (taixue 大学) and acted as the head of the court musicians. The musicians that were subordinate to them were all called the Minor Directors of Music, were in charge of the »Primary School« (xiaoxue 小学), and formed the deputy head of the court musicians. And there were also the masters, i.  e., the senior musicians. Apart from an unknown number of dance leaders who held banners made of yak’s tail, while performing folk music and dance, the documented members of the staff in the institution amount to more than 1,500. These members included a small number of low-level nobles such as grandees (dafu 大夫) of the middle and the lower grades and ordinary officers (shi 士) of the upper, middle, and the lower grades; nearly 1,300 slaves who occupied the positions of assistants (xu 胥), attendants (tu 徒), and blind musicians (gu 瞽) of the upper, middle, and lower grades; assistants of the blind musicians (shiliao 眡瞭), dancers (wuzhe 舞者) and so forth. However, their numbers in the Rites of Zhou may have

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be exaggerated, judging by the economic level at the beginning of the Zhou Dynasty. The system of ritual and music in the Western Zhou Dynasty was developed and perfected over the course of its history. Therefore, the institution of ritual and music must have been developed, expanded, and perfected gradually as well. The chapter of »Ministry of Spring or of Rites« also specified stipulations concerning the duties of the Grand Director of Music and of the court musicians subordinate to him. Already since the Xia Dynasty, blind persons began to serve as court musicians. The chapter, »Punitive Expedition of Yin« (»Yin zheng« 胤征), in the section »Book of Xia« (»Xiashu« 夏书) in Book of Documents, states that »The blind musicians beat their drums.« Concerning this passage, the commentary of Kong Anguo 孔安国 states that »those blind persons were court musicians«; and Kong Yingda’s sub-commentary states that »blind persons were employed as court musicians, because their lack of eyes made them more sensitive to sound.« This means that blind people were appropriate musicians because their blindness made their sense of hearing more acute. The profession of musicians in the Zhou Dynasty was frequently occupied by blind persons, who also cooperated with officials such as the Grand Director of Music to conduct education of music and dances for the children of nobles. The education of music and dance originated relatively early in ancient China. As early as the Shang Dynasty, schools at all levels, such as the »Primary School« and the »Great College«, had been set up. They must have been teaching institutions in which the children of nobles were trained in martial arts and culture (including sacrificial music and dance). The chapter, »The Places in the Bright Hall,« states that »the College of the Blind was a school of the Shang Dynasty.« Zheng Xuan commented that »the College of the Blind was a college for blind musicians. The ancients made those virtuosi among the blind per-

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

sons teach [music], awarded them posthumously with [the title of] the founders of music, and made sacrificial offerings to them«. This indicates that certain Shang schools were in the charge of blind court musicians. Their curriculum was obviously related to music and sacrifice, which belonged to the duties of those blind musicians. The Grand Director of Music in the Zhou Dynasty »governed the Great College,« which was an institution as well as school for music and dance. The target of such training was primarily the »princes« and »sons of the nobles«. The curricula included music, singing, and dance in theory and practice. 2. Hierarchy of Music and Dance in the Zhou Dynasty In the Zhou Dynasty, there were clear sumptuary regulations of music and dance towards social strata, from the Son of Heaven to the Ordinary Officers. The regulations involved the staffing of the dance teams (the number of the rows of dancers), the equipment of musical instruments including chime bells and chime stones (the art of their suspension), the materials of musical instruments, costumes, dance props, the musical repertoire, etc. The chapter of »The 5th year of the Reign of Duke Yin« in the Zuo Tradition refers to the number of the rows of dancers as follows: Before Duke Yin conducted a sacrifice to his deceased mother with an offering of the Wan Dance, he asked Zhong Zhong [众仲] about the proper number of dancers that were to hold feathers during the dance. Zhong Zhong replied that the Son of Heaven employed eight rows, the Vassal Lords employed six, the Grandees four, and the Ordinary Officers two. The duke followed this. Thereupon, for the first time, they offered six rows of feathered dancers. This was the beginning of using six rows.

Although this event took place during the Spring and Autumn Period, the hierarchical stipulation concerning the number of the rows of dancers referred to by Zhong Zhong must have been a histor-

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ical convention since the Western Zhou Dynasty. In terms of the exact number of dancers in each row, there have been two opinions: one states that each row always consisted of eight dancers; the other states that each row contained up to eight dancers and that the number reduced successively by two with the descending levels of the social strata, i.  e., each row could have comprised eight, six, four, or two dancers, respectively. The materials of the musical instruments, costumes, and props also demonstrated hierarchical differences. For instance, although the dance of the Great Martial Prowess could be performed in the courts of the emperor and of the vassal lords, respectively, there were differentiated stipulations: in terms of the suspension methods of the percussion instruments used in the dance, the emperor was entitled to the »palace suspension« (gongxuan 宫悬), while the vassal lords were entitled to the »awning suspension« (xuanxuan 轩 悬); in addition, the emperor was entitled to jade chimes, while the vassal lords were entitled to stone chimes. The repertoire used for individual social strata varied as well. 3. Significance and Impact of the Creation and Establishment of Ritual and Music in the Early Zhou Dynasty on the History of Art The main purpose of creating ritual and music in the early Zhou Dynasty was to learn lessons from the »example of the Shang Dynasty,« in order to consolidate the reign of the new dynasty. This momentous move had a significance in and created a profound impact on the history of Chinese culture and art. The Zhou people cherished their cultural and artistic traditions. Representative music and dance of all historical periods from the time of the legendary Yellow Emperor on (including the Shang Dynasty, which was succeeded by the Zhou Dynasty), were valued and respected. As some researchers have pointed out, due to the compilation and collation of that music and dance at the

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beginning of the Zhou Dynasty, ancient dances such as the Great Changes, the Great Xia, and the Great Protection could have been handed down for hundreds or even thousands of years and were still be performed in the Spring and Autumn and the Warring States periods. In addition, after the establishment of various vassal states by the Zhou people, those music and dances were gradually spread from the court of the emperor to those states, greatly promoting the development and exchange of the culture of music and dance in various regions. »The great affairs of a state lie with sacrifice and warfare.« These dances, after being compiled, collated, and added to a new creation of the Zhou Dynasty, became solemn »classical music.« The classical music was not only honored, but also closely related to the system of hierarchy within patriarchal clan society. Since it was used to separate the superior from the inferior within the social hierarchy, it was strictly distinguished from entertaining music and popular music (folk music). These differences are known as the socalled »distinction between classical and secular music« or »distinction between classical music and music of the Zheng State«. The Zhou people attached great importance to the role of ritual and music in their political life. Inheriting the tradition of the Shang Dynasty, they emphasized the education of music and dance to the children of nobles. They »gave honor to four subjects of instruction [i.  e., poetry, documents, ritual, and music], and arranged the lessons in them«, i.  e., they underlined the educational function of music and dance. The Confucian »school« founded by Confucius in the Spring and Autumn Period inherited and developed this idea, emphasizing that »ceremonies, music, and punitive military expeditions proceed from the Son of Heaven« (chapter »Jishi« 季氏 in The Analects) and that »when propriety and music do not flourish, punishment will not be properly awarded… the people do not know how to move hand or foot« (chapter

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»Zilu« 子路 in The Analects). Hence, the Confucians also attached great importance to the education of music and dance. The conception and stipulations aaround ritual and music that were established by the Western Zhou Dynasty were promoted later by Confucius, and became a tradition handed down from generation to generation. It did not only influence the court music and dance of various dynasties, but also deeply influenced people’s thoughts and behavior. This led to the long-term dominance of honoring the ancients and disapproving of contemporaries, respecting the classical and demeaning the secular in Chinese history.

Section 4  Music and Dance in the Spring and Autumn Period 1. The Destruction of the Hierarchical System of Music and Dance At the beginning of the Western Zhou Dynasty, the emperor enjoyed enormous authority. »Ceremonies, music, and punitive military expeditions proceeded from the Son of Heaven,« and all the vassal states regularly paid audience and tribute to him. Canons on techniques, handicrafts, and culture were mainly concentrated in the Zhou royal house, forming a dominant and unified culture with the royal house as the orthodoxy. In the Eastern Zhou Dynasty, however, with the decline of the powers of the Zhou royal house, it was no longer able to control the competition for hegemony among the vassal states. The so-called »800 vassal states« enfeoffed in the early Zhou Dynasty annexed each other and merged into more than 170 vassal states in the Spring and Autumn Period. The smaller states became vassals of the bigger states, while the bigger states fought for hegemony and »coerced the Son of Heaven in order to command the other vassal states.« As a result,

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

five hegemonic states successively appeared, which were known as »the five hegemons in the Spring and Autumn Period.« In the second half of the Eastern Zhou Dynasty, it even went so far that »the government was in the hands of the grandees« and »policies came from the grandees.« The aristocratic ruling order since the Western Zhou Dynasty was completely disrupted, the old hierarchical systems lost their binding force, and the hierarchical system of music and dance was despised and destroyed. This is what is known as the »collapse of the ritual system and the destitution of musical performance.« During the Spring and Autumn Period, the vassal lords and rising social classes of various regions followed one another to »usurp ritual and music.« Although the old system of ritual and music still prevailed, it faced with various challenges. For instance, the usurpation of ritual by Ji Kangzi 季 康子, the most powerful of the three ministers of the State of Lu 鲁, was representative. As the representative of the rising powers, he openly disregarded the sumptuary regulations of music and performed the Dance in Eight Rows (ba yi 八佾), which was reserved for the emperor, in his courtyard. According to the chapter, »Dance in Eight Rows,« in The Analects, Confucius was infuriated about this event but was unable to stop it; instead, he could only utter the following verbal condemnation: »If he can bear to perform the Dance in Eight Rows in his own court, what won’t he do?« Innumerable such usurpations were practiced in numerous vassal states. This indicates that the phenomenon of »the collapse of ritual system and the destitution of musical performance« had already existed for a long period and had become increasingly common. The rigid regulations of ritual and music of earlier times were openly despised and infringed upon at will in a turbulent and fragmented society. The usurpation of ritual and music was a public display of the rise of new social powers, improvement of social status, and the seizure of political power.

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2. Cultural Decentralization While the imperial culture of ritual and music of the Eastern Zhou Dynasty declined, the culture and art of various vassal states flourished. The migrations of former royal musicians to the vassal states and the moves of musicians among vassal states resulted in the decentralized or mutual spread of the music culture of the royal house and the vassal states. The leading position of the »royal culture« was gradually replaced by the rising »culture of the vassal states.« This is what is called »cultural decentralization« by certain art historians. The Eastern Zhou royal house, together with the Song 宋 and Lu states, formed the three cultural centers. As the settlement of the noble descendants of the Shang Dynasty, the Song State preserved relatively many Shang cultural traditions. Lu was the fief of Boqin 伯禽, the eldest son of Dan 旦, i.  e., Duke of Zhou. King Cheng of Zhou (Zhou Chengwang 周成王) selected for him a gift of an entire set of canons and cultural relics, which preserved the culture of the ritual and music of the Western Zhou Dynasty. However, among the three centers, the Zhou royal house still had the greatest cultural influence on the vassal states. The Chu Kingdom, in the south, had a long history. Its cultural origin can be traced back to the legendary times of Zhurong 祝融 and the Three Miao (San Miao 三苗). Due to their valor and martial skill, the Chu people rose gradually. Successively annexing 45 vassal states during the Spring and Autumn Period, they became the state with the largest territory. Located in the middle reaches of the Yangtze River, the Chu Kingdom covered the region including approximately present Hubei and Hunan, as well as parts of Henan, Anhui, and Jiangxi. The Chu Kingdom had vast fertile land, meandering mountain ranges and rivers, and a mixture of ethnic groups. Although the Chu King and his subjects called themselves barbarians, the mainstream of the Chu culture was indeed the cul-

SECTION 4 MUSIC AND DANCE IN THE SPRING AND AUTUMN PERIOD

ture of the Xia people, with cultures of the minor ethnicities as its tributaries. The Chu culture had peculiar characteristics but was still relatively undeveloped. In 520 BCE, Wang Zichao 王子朝, the eldest son among the non-inheriting children of King Jing of Zhou (Zhou Jingwang 周景王), raised an army to fight for the throne of Zhou, joining forces with several officials of his father and various craftsmen. After his defeat, he »fled to Chu, carrying with him Zhou’s canonical documents.« This was the largest migration of the culture of the Eastern Zhou royal house. The migrations of numerous Zhou people and canons promoted the development of the Chu culture. As a result, Chu became one of the cultural centers alongside Song and Lu, replacing the Eastern Zhou royal house. In the states of Lu, Song, and Chu, respectively, the Confucian school founded by Confucius, the Mohist school founded by Mo Di 墨翟, and the Daoist school founded by Li Er 李耳 emerged successively. The subject of the cultural exchange between countries included music and dance. After Confucius heard Changes in Qi 齐, he »did not know the taste of flesh for three months.« According to the chapter, »Treatises of Ritual and Music« (»Li yue zhi« 礼乐志) in Book of Han (Han shu 汉书), in the Spring and Autumn Period, »Wan, a son of the Duke of Chen, fled to Qi. Since he was a descendant of Shun, he could preserve the music of the Changes.« This indicates that the music of Changes, which was heard by Confucius in Qi, was first brough there by Wan from Chen. This is an example of the exchange of music and dance among vassal states. Furthermore, a passage in the chapter »Weizi« (微子) in The Analects reads: The Grand Master, Zhi, went to Qi; Gan, [the Master of the Band at] the Second Meal [yafan 亚 饭], went to Chu; Liao, [the Band Master at] the Third Meal, went to Cai; Que, [the Band Master at] the Fourth Meal, went to Qin [秦]; Fang Shu, the Drum [Master], withdrew to the north of the river; Wu, [the Master of] the Hand Drum, withdrew to

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the Han; Yang, the Junior Master, and Xiang, [the Master of] the Chime Stone, withdrew to an island in the sea.

Some scholars believe that the above-mentioned persons were musicians from the State of Lu in the late Spring and Autumn Period. The »river«, the »sea«, and »Han« refer to the Yellow River Basin, the coast of the East China Sea, and the Jianghan 江汉 River Basin. As a summary, this indicates that there was migration and exchange of musicians among vassal states. Cultural decentralization and the migration of persons among vassal states did not only destroy the old hierarchical system of music and dance, but also greatly promoted the exchange of music and dance. It should be pointed out that in the »collapse of the ritual system and the destitution of musical performances« and the »usurpation of ritual and music by the vassal states,« the social strata of relatively low levels took the examples of the Zhou King, the royal house, or the vassal lords of the higher levels, competing with each other in luxury and making efforts to develop all kinds of ritual implements and music. For instance, Tomb no. 2 at Xiasi 下寺 in Xichuan 淅川, a Chu tomb dating to the late Spring and Autumn Period in Henan Province, yielded a set of chime bells of Gao, a grandson of a Chu king. The set consists of 26 yong-bells. The tomb belonged to Chancellor Zigeng, who was also known as Wang Ziwu of the Spring and Autumn Period (Zigeng died in 552 BCE, and the chime bells must have been cast before his death). This set of chime bells is likely a true reflection of the »usurpation of ritual and music by the vassal states« at that time. At that time, many small states and even weak states, unwilling to lag behind, had obviously made breakthroughs and developments in the quantity and quality of instruments. Some of them even made astoundingly brilliant achievements.

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

3. The Preservation and Development of Folk Music and Dance In the Spring and Autumn Period, much sacrificial music and dance that had existed since the Shang Dynasty were still preserved among the people. For instance, since crops would not grow without water, divination about »rain« and the rain dance frequently took place in the Shang Dynasty; and in the Spring and Autumn period, the agriculture and irrigation was greatly developed, though »great sacrifices for rain« remained frequently mentioned in historical records. According to the chapter of »The Men of Former Times« (»Xianjin« 先进) in The Analects, as Confucius made his disciples discuss their wishes, Zeng Dian said that he longed for a scene which would take place »in the last month of spring, in which the dress of the season was complete. Along with five or six young men who have assumed the cap, and six or seven boys, he would wash in the Yi River, enjoy the breeze at the site of rain dances, and return home singing.« On hearing this, Confucius praised him the most and said, »I agree with Dian!« Originally, all the activities of bathing, singing, and dancing at the Yi River had the religious connotation of sacrificial rite, because »the bath in the Yi River« implied the action of wading to arrive at the rain altar on its southern riverbank, thus symbolizing the intention to draw a dragon out of the water to bring rain. It is important to note that in Zeng Dian’s mind, beyond the solemnness and passion during the sacrificial rain dance, it was important that these activities had become an extremely relaxed spring outing for pleasure, and brought about good feelings among people. It is possible that the element of entertainment and the aesthetics of the activities focused on the rain dance had gradually outweighed and replaced the religious and sacrificial elements that had previously predominated the rite. The Classic of Poetry, China’s first poetry collection, contains 305 works representing poetical

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creations over a period of over 500 years that ended in the middle of the Spring and Autumn Period. These poems reflect activities of music and dance in the Western Zhou and the Eastern Zhou dynasties, primarily those in the Eastern Zhou Dynasty. Several poems indicate certain aspects of traditional folk music and dance in their respective eras. For instance, the poem »Wanqiu« (宛丘) in the »Air of the Chen State« expresses the love of the poet for a woman, probably a sorceress who presented song and dance in sacrificial rites to the gods; the poem »White Elms at the East Gate« (»Dongmen zhi fen« 东门之枌) describes the coming together and dancing of men and women in the marketplace. This was a special custom in the Chen State, a state known for the popularity of song and dance. A combined analysis of these two poems allows the conjecture that there were sights to visit near the East Gate of Wanqiu. They resembled a marketplace due to the large number of tourists. Young men and women gathered there all year round to dance, socialize with each other freely, and date each other. A similar custom is known among today’s young men and women of certain Chinese ethnic minorities, who often have singing and dancing activities that are referred to as »dage« (打歌, »sing performance«), »tiaoyue« (跳月, »dance in the moon«), and »youfang« (游 方, »touring party«). The Wanqiu Assembly may have had a long history which was closely associated with religious and sorcery activities. But in the era described in the Classic of Poetry, the atmosphere of its religious mystery had gradually decreased, and the music and dance concerned may have become a customary activity.

4. The »New Music« That Became Popular Across States In the Spring and Autumn Period, a variety of secular »new music« emerged and became increasingly popular. It was not only popular among the ordinary folk, but also became more and more favored by numerous members of the ruling class.

SECTION 4 MUSIC AND DANCE IN THE SPRING AND AUTUMN PERIOD

This had a great impact on the declining classical music. For instance, a passage in the chapter of »Discourses of Jin, Part VIII« (»Jinyu ba« 晋语八) of the Discourses of the States (Guoyu 国语) reads: »Duke Ping [of Jin] was fond of the new music. Shi Kuang commented as follows: ›The Duke’s house is probably going to decline!‹« Shi Kuang, also known under his full age name Ziye 子野, was the chief musician and Grand Master of Jin and a famous musician in the Spring and Autumn Period. He believed that court music (classical music) was used to establish customs and glorify virtue, to convince people near and far. Therefore, Duke Ping’s (reigned 557–532 BCE) distaste of classical music and preference for »new music« made Shi Kuang worry that it would lead to the decline of Jin. Another example is that of Duke Jing of Qi (Qi Jinggong 齐景公, reigned 547–489 BCE), who was addicted to wine and music, and who built a platform called Changlai 长庲 for enjoying music and dance. Confronted by his officials, including Master Yan (Yanzi 晏子), Duke Jing made a public declaration: »It is only music, why must I choose the old pieces!« The so-called »old pieces« were classical music, while the »new music« that was enjoyed by Duke Jing all night long was popular secular music. Among the new music that was popular in various states from the Spring and Autumn Period to the Warring States Period, the most prominent was the music of Zheng and Wei 卫. It originally referred to the regional folk music of Zheng and Wei (today’s Xinzheng and Huaxian counties in Henan Province). It was also known as »music among the mulberry trees and above the Pu River.« According to the chapter, »Record of Music,« in the Book of Rites, those who criticized the music of these regions asserted that it was the music of King Zhou of the Shang Dynasty and was so decadent that it ought to be called »the music of a state going to ruin« and »the music of a world in disorder.« According to the chapter of »The Ten Faults« (»Shi guo« 十过) in Han Feizi, as Duke Ling of Wei paid

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a visit to the State of Jin, he stayed the night at the Pu River and heard someone playing the »new music.« He was so extraordinarily pleased by it that he ordered Shi Juan, the court musician who accompanied him, to re-play it with his qin-zither. After they arrived Jin, they had a merry banquet with the ruler of Jin and his subjects. When Shi Juan played this song at the banquet, Shi Kuang, the chief musician of the Jin court, immediately stopped him, asserting that it was »the decadent music« created by Shi Yan for King Zhou of the Shang Dynasty. However, the mysterious legend told by Shi Kuang is not plausible. The music of Zheng and Wei was popular folk music that originated in and became widespread in the Spring and Autumn Period. Its title of »new music« was, on the one hand, a counterpart of the old classical music; on the other hand, it also implied that it differed from the traditional music of Zheng and Wei. Some scholars point out that after the fall of the Shang Dynasty, Zheng and Wei occupied and divided its territory into two states. Therefore, the music of Zheng and Wei may have inherited certain characteristics of the music of the Shang Dynasty due to regional affinity; but it could not have been the music of the Shang Dynasty, let alone King Zhou’s »decadent music« or »the music of a state going to ruin.« An analysis indicates that in the musical forms of Zheng, a new scale (heptatonic scale) was applied. It emphasized artistic skill, applying a sophisticated tone and a rapid meter, and expressing primarily sorrowful and nostalgic melodies with high and exited tones. It was performed by both men and women. In short, its content and form, being »licentious« rather than »harmonious,« differed from those of the glorifying classical music—such as the Changes and the Martial Prowess. They were regarded by the advocates of classical music as being as harmful as floods, ferocious beasts, and the »the music of a state going to ruin.« This exactly demonstrates that such music had a strong infectious appeal and vitality. The crux of

CHAPTER II OVERVIEW OF THE ARTS OF MUSIC AND DANCE IN THE XIA, SHANG, AND ZHOU DYNASTIES

the problem was, therefore, that Confucius, being confronted with »the collapse of the ritual system and the destitution of musical performances,« and dearly wishing to defend the system of the ritual and music of the Zhou Dynasty, was infuriated that the »new music« produced shock and eliminated traditional classical music, and that those rising powers usurping the regulations of ritual and music preferred Zheng music. But he was not able to turn the tide against the decline of classical music; instead, he could only vent his anger on the popular music of Zheng and Wei, which threated the position of classical music. In fact, the distinction between classical music and Zheng music reflects ethnic and regional conflict, i.  e., the deep conflicts between the Zhou people with their music (classical music derived from the Zhou capital) and other tribes with their music in other regions, as well as the conflicts between contemporary reform and the traditional order. Later Confucians tried hard to suppress the music of Zheng and Wei, which they often associated with female music. For instance, in the chapter of »Record of Music« in the Book of Rites, Zixia answered the question of »what is vile music« of Marquis Wen of Wei, saying: »The music of Zheng goes to a wild excess, and debauches the mind; the music of Song tells of slothful indulgence and women, and drowns the mind; the music of Wei is vehement and rapid, and perplexes the mind; and the music of Qi is violent and depraved, and makes the mind arrogant. The music of those four states all stimulate libidinous desire and are injurious to virtue. They should therefore not be used at sacrifices.« A passage in the chapter »Discourse on Music« (»Yue lun« 乐论) in Xunzi 荀子 reads, »The music of Zheng and Wei causes the hearts of men to dissipate.« A passage in the chapter »Making Life the Foundation« (»Bensheng« 本生) in The Annals of Lü Buwei reads: »Languid limbs and gleaming teeth are the music of Zheng and Wei— people are devoted to these for the pleasure they

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give, but they should be called ›axes that hack at one’s inborn nature‹.« These critiques, emphasizing the relationship between Zheng music and music performed by women, are especially noteworthy. Those female court musicians, who were closely associated with the so-called »new music« as well as the »Zheng music,« were also known as »musician beauties.« They commonly performed secular music, songs, and dances, which were highly entertaining. In the Spring and Autumn Period and the Warring States Period, due to the vassal lords’ pursuit of and indulgence in sensual pleasure, female court music developed significantly. Folk music and dance flourished in Zheng, Wei, and elsewhere. In those regions, numerous musicians and dancers emerged with outstanding talent and intercultural fame. They were known as »Zheng courtesans« and »Zheng ladies,« and so on. Many of them entered the courts of various states and were admired and pursued by vassal lords and other nobles. The outstanding female music, song, and dance of Zheng and Wei formed an important channel within which the new music of Zheng and Wei became widespread and influenced the arts and fashions of the courts of other states. However, it must be noted that the folk music of Zheng and Wei was not the same as the so-called »music of Zheng and Wei.« It was a gradual process whereby the music originating among the local folk of Zheng and Wei was transformed and degenerated in the luxury and indulgence of the rulers into a music of true decadence and »the music of a state going to ruin« in their palaces. In other words, it was not »Zheng music« that was licentious; instead, the licentiousness of the vassal lords and the rich who made them indulge in the Zheng music (consisting of music and beautiful females). It was not the folk music of Zheng and Wei that caused the corruption of the ruling class and the tragic fall of states; instead, the corruption and decadence of the ruling class resulted in the creation of dec-

SECTION 5 MUSIC AND DANCE OF THE WARRING STATES PERIOD

adent music and »the music of a state going to ruin.« Those among the later generations who defended the orthodox classical music repeatedly opposed and attacked the music of Zheng and Wei. But they were merely shadows. They had no way of knowing the true music of Zheng and Wei in the pre-Qin Period. Infinitely expanding the concept of »the music of Zheng and Wei,« they extended it to include all the folk music and popular music that they were dissatisfied with, and that was different from classical music. They repeatedly emphasized the distinction between classical music and Zheng music (or folk music), worshiped classical music, and humiliated folk music on a variety of formal occasions. Their worship of so-called classical music and their rejection and suppression of the so-called »music of Zheng and Wei« made the distinction between the two kinds of music a core problem, which was repeatedly debated and remained unclear for a long period in the history of Chinese music and culture. However, this problem had nothing to do with the real folk music of Zheng and Wei in the pre-Qin Period.

Section 5  Music and Dance of the Warring States Period 1. Further Deterioration of Classical Music and the Full Prosperity of Secular Music In the Warring States Period, the arts of the orchestra of metal and stone instruments and dance became unprecedentedly prosperous. Its outstanding characteristics are as follows: on the one hand, the traditional classical court music further declined, but the increasingly secularized »orchestra of metal and stone instruments« in the courts developed brilliantly. On the other hand, folk music and dance prospered; many special-

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ized and skilled musicians and dancers emerged, making remarkable contributions to the development of entertaining music and dance, that were favored by the ruling class as well as rising powers. 1. Further Decline of Classical Music In the Warring States Period, the influence of secular in the courts of various vassal states outweighed the increasingly rigid, traditional classical music and became the mainstream of court music. For instance, according to the chapter of »Strategies of Wei, Part I« (»Wei yi« 魏一) in the Strategies of the Warring States (Zhanguo ce 战 国策), the Marquis Wen of Wei (reigned 446–396 BCE), a ruler also a professional in music, pointed out that some of the chime bells in the concert were mistuned, as music was performed during one of his drinking sessions. He pointed out immediately: »The sounds of the bells mismatch, don’t they? The pitches of those on the left side are too high.« King Xuan of Qi also loved music, favoring folk music and popular music. In a dialogue between he and Mencius recorded in the chapter of »King Hui of Liang, Part II« (»Liang Huiwang xia« 梁惠王下) in the Mencius, he admitted that he disliked classical music but was instead fond of secular music, and felt embarrassed about that. But Mencius comforted the king, saying that as long as the king liked music so much, his state would do well—because the music that was popular today was the same as the music of the ancients. Later, Mencius also took the opportunity to make his point that as long as the king would entertain together with the people, he would be able to convince all, and gain their allegiance. That is, it did not matter what kind of music and dance the ruler liked; as long as he did not forget to run the state well. Mencius’ view that »contemporary music is the same as the music of the ancients« differs obviously remarkably from that of Confucius, who highly honored the classical music of the Western Zhou Dynasty. This indicates that

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Mencius, as a Confucian, had to adopt a flexible, adaptable attitude, as he was faced with the prosperity of secular music. 2. Various Vassal Lords »Increased Their Pleasure and Joy« The vassal lords of the Spring and Autumn Period and the Warring States Period indulged in sensual pleasures. They »increased their pleasure and joy« by filling their harems with female musicians, singers, and actors. For instance, after King Zhuang of Chu had been on the throne for three years, he had not issued any orders. Day and night, he indulged in pleasure, »putting his left arm around a beauty from Zheng and his right arm around a woman from Yue and sitting amidst bells and drums.« Although the music and dance that King Zhuang among others indulged in involved bells and drums, they obviously did not belong to classical music. In various vassal states, it was common that the vassal lords »increased their pleasure and joys. According to the »Fourth Question« in the section of »Questions, Part II« in the »Inner Chapters« of The Spring and Autumn Annals of Master Yan (Yanzi chunqiu 晏子春秋), Master Yan answered a question of Duke Jing of Qi, saying: »Duke Huan … had Bao Shuya on his left hand and Elder [Guan] Zhong on his right. Today, you, my lord, have singers at your left hand and actors on your right, slanderers before you and flatterers behind. How can you possibly follow in the footsteps of Duke Huan?« Of course, Duke Jing of Qi was not the only ruler who had singers and actors at his side and was surrounded by slanderers and flatterers. A bronze hu-jar dating to the Warring States Period in the collection of the Palace Museum in Beijing bears engraved scenes of banqueting, music performance, fishing, and hunting (Fig.  2.2.4). The scenes concerning the entertainment include motifs such as female musicians playing chime bells, chime stones, sheng-panpipe, vertical flute, drum, etc. in the noble court.

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The rulers of various vassal states cherished secular music and competed in the ostentatious display of music and dance. Accordingly, music and dance activities became unprecedentedly extravagant. For instance, a passage in the chapter of »Inner Congeries of Sayings« (»Neichu shuo« 内 储说) in Han Feizi reads: »Whenever King Xuan of Qi ordered men to play the yu-panpipes, he always had three hundred men in the orchestra. Thereupon, a private gentleman from the southern suburb of the capital asked to play yu-flute for the King. Delighted with him, the king fed him together with several hundreds of musicians. Upon the death of King Xuan, King Min ascended the throne and wanted to listen to each one of them. The gentleman from the southern suburb went away.« King Xuan of Qi was fond of music but valued superficial noise and ostentatiousness. Due to his fondness of having three hundred men in the orchestra when he enjoyed music of yu-panpipes, the gentleman from the southern suburb had a chance to pretend to be part of the orchestra.

2.2.4  A Bronze hu-jar bearing engraved scenes of banqueting, music performance, fishing, and hunting

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3. The Culmination of the Orchestra of Metal and Stone Instruments As the most important performing arts in the courts of Zhou King and the vassal lords, the orchestra of metal and stone instruments and dances (i.  e., music of chime bells and chime stones, as well as dances) most pompously and ostentatiously manifested their status and power. A bronze lian-mug (lian 奁) unearthed from a tomb dating to the Warring States Period in Jixian County, Henan Province, bears engraved scenes of music and dance performance, including the motif of a group dance with long-sleeved dancers accompanied by a barrel drum mounted on a pole, chime bells, sheng-panpipes, and yu-panpipes. This exemplifies the luxurious life of the ruling class entertained by music and dance. A bronze jian-basin (jian 鉴) bearing engraved scenes of banqueting, music performance, shooting, and hunting (Fig.  2.2.5) was unearthed from the Warring States Period Tomb no. 1 at Zhaogu Village in Huixian County, Henan Province. The engravings also include a dance scene in a palace, accompanied by motifs of metal and stone instruments. In addition, the engraved scenes of banqueting, music performance, fishing, and hunting on the above-mentioned bronze hu-jar also include motifs of chime bells, chime stones, sheng-panpipes, vertical flutes, drums, and so forth. It is worth noting that in the above-mentioned engravings, all the motifs of the performers of musical instruments such as chime bells and chime stones are women instead of blind persons. They wear long skirts and have narrow waists. One of them, holding drumsticks with both arms, is raising her arms and twisting her waist; another person leaves her long sleeves hanging down; yet another person is raising one drumstick. It seems that they are playing music while dancing, indicating that the orchestra of metal and stone instruments was widely applied as secular music during banquets, singing, and dancing. Under the strong pursuit of rulers, the music of metal and stone instruments flourished and fi-

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2.2.5 A scene of music and dance performance on a bronze jian-basin bearing engraved scenes of banqueting, music performance, shooting, and hunting

nally reached an unprecedented height of magnificence and splendor during the Spring and Autumn Period and the Warring States Period. The tomb of Marquis Yi of Zeng in Suixian County, Hubei Province, is known as an underground treasury of musical instruments. It yielded altogether 125 musical instruments including chime bells, chime stones, a barrel drum mounted on a pole, a paixiao-panpipe (paixiao 排箫), a flute with eight stone holes, a sheng-panpipe, a qin-zither, a se-zither, etc. In addition, 25 young females were buried as sacrifice in the tomb, including probably musicians who had performed music and dance. Furthermore, numerous precious goods were buried as well. The discovery of these instruments truly demonstrates the magnificence of the music of metal and stone instruments in that period.

2. The Burgeoning Scene of Folk Music and Dance 1. Prosperity of Folk Music and Dance in the Northern Vassal States During the Warring States Period, with the increase of productivity and great transformations

in society, folk music in various vassal states gradually detached itself from the influence of the courts and the royal house, and demonstrated a new, burgeoning scene. Among the engraved scenes of music and dance performances on the lid of a bronze lian-mug unearthed from a tomb dating to the Warring States Period at Liulige 琉璃阁 in Huixian County, Henan Province, there are females »picking mulberry leaves.« One of the females is raising her arms, swinging her sleeves, and bending down to twist her waist and dance. A similar »scene of picking mulberry leaves« can be seen on the neck of a bronze hu-jar with inlaid patterns, which was unearthed in an early Warring States Period tomb at Baihuatan 百花潭 in Chengdu, Sichuan Province. Among the many females picking mulberry leaves, a tall female with her arms raised high, her sleeves hoisted, her waist twisted, one hip side protruding out, the upper body slightly bent, is dancing happily. The two females at her left and right sides, one of whom has already put her basket of mulberry leaves on the ground, while the other of whom is still carrying her basket with her head, are both facing the dancer and applauding

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as her accompaniments. Judging by the attire of the women, it seems that they are aristocrats. It is possible that this scene depicts a certain ceremony of prayer, but it nevertheless reflects to some extent how the ordinary folk sang and danced during their labor. The music of Qin, Chu, and Yue, the songs of Wu and Cai, as well as the dances of Zheng, etc., that, according to certain ancient texts, were performed in the courts of various states mostly refer to various local folk music. This does not only reflect the prosperity of the folk music and dance in various cultural circles and the gradual formation of distinct local characteristics but also embodies the frequent exchange of music and dance in various states. 2. Songs of Chu and the Custom of Sorcery in Chu Chu Culture had its heyday in the Spring and Autumn Period and the Warring States Period. It put forth the Daoism that was founded by Laozi 老 子 and Zhuangzi 庄子, sweeping literature that is magnificent and magical, and performing arts which had strong national and local characteristics. An example of these performing arts is showcased by a piece of brocade from a tomb dating to the middle or late Warring States Period, i.  e., Tomb no. 1, excavated in 1982 at Mashan 马山, Jiangling, Hubei Province. The brocade is patterned with symmetric pairs of dancing figures who wear caps and girdled long robes and who are slinging their long sleeves over their heads. This is the earliest brocade pattern that represents music and dance. It provides a glimpse into Chu music and dance. The Chu people were extremely reverent towards the achievements of their ancestors and devoted themselves to their memory. Furthermore, they extremely piously provided sacrifice to the gods and spirits. Their »licentious shrines,« in which the custom of sorcery and dance prevailed, spread from the palace to the folk. Sorcery was much

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higher valued by the Chu people than by the other peoples of the Central Plains. Entertaining the gods and pleasing the spirits formed such an important part of their lives that the people were inseparable from the spirits. Towards the end of the Warring States Period, the custom of sorcery in Chu was still intense. As a result of this custom, the music and dance of Chu had an inseparable relationship to »the music of sorcery,« which had a core of songs and dances for worshipping the gods. Qu Yuan 屈原 was a great poet of Chu, in the Warring States Period. His magnificent and passionate songs in the »style of sorrow« (a style of the songs of Chu) were composed in accordance with the songs of Chu. He had been promoted to zuotu 左徒 (a position in charge of the consultancy of the Chu King and the reception of distinguished visitors from the other vassal states) but was finally ostracized by treacherous courtiers and a dim-witted king, and was exiled between the Yuan River and the Xiang River. Qu Yuan’s »Nine Songs« (»Jiu ge« 九歌) are verses that were adapted from magical folk songs and applied as the lyrics of sacrificial song and dance. Their performers were primarily sorcerers that were in charge of sacrifices. As is frequently mentioned in the literature of Chu, Chu preserved numerous ancient melodies. For instance, a passage in Qu Yuan’s »On Encountering Sorrow« (»Lisao« 离骚) reads: »We played the ›Nine Songs‹ and danced the dances of Changes, borrowing the time to make a holiday.« It is possible that the music and dance of the Changes were still preserved in Chu. Legend has it that certain of the Nine Songs had already appeared in the Xia Dynasty. But the »Nine Songs« in Chu must have been magical songs that were performed during sacrifices. They are not necessarily associated with the music of the Xia. Although titled »Nine Songs,« these songs amount to eleven. Therefore, the »Nine Songs« are the specific title referring to a large-scale musical work composed of eleven songs and dances.

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It is not necessary to stick to the number »nine.« Each of the first ten songs was dedicated to a god, while the last song, »Honoring the Dead« (»Li hun« 礼魂), was used to see off the god after the sacrifice was complete. The first song, »The Great Unity, God of the Eastern Sky« (»Donghuang taiyi« 东皇太一), was dedicated to a heavenly god who was the head of all gods. Most of the other songs concern deities of nature, including »The Lord Within the Clouds« (»Yunzhongjun« 云中君) dedicated to the deity of clouds, »The Lord of the Xiang River« (»Xiangjun« 湘君) and »The Lady of the Xiang River« (»Xiangfuren« 湘夫人) dedicated to the deities of the Xiang River, »The Lord of the East« (»Dongjun« 东君) dedicated to the sun god, »The River Earl« (»Hebo« 河伯) dedicated to the god of the river (i.  e., the Yellow River), and »The Mountain Spirit« (»Shangui« 山鬼), dedicated to the god of mountains. In addition, there are »The Great Master of Fate« (»Da siming« 大司命, i.  e., a deity in charge of life expectancy) and »The Lesser Master of Fate« (»Shao siming« 少司命, i.  e., the deity in charge of offspring). The »Hymn to the Fallen« (»Guo shang« 国殇) was more unique, since it was dedicated to deceased soldiers who sacrificed themselves defending the state. Some scholars believe that the song was composed by Qu Yuan as he was holding the position of the Grandee of Three Clans during the reign of King Huai of Chu, and had the duty of overseeing ancestral temples and sacrifices; in addition that this song expresses his own patriotic thoughts. The Chu people offered sacrifices to the deities of the sun, the clouds, the mountains, and the rivers to pray for good weather and good harvest, or to protect their territories. But the gods envisioned in the »Nine Songs« are, just like human beings, full of human emotions. They have their pains and pleasures, as well as strong desires and pursuits. Due to the unique setting for relationships among the gods and sorcerers in the sacrifices and entertainment dedicated to the gods of Chu, most of the »Nine Songs« adopt the form of folk love songs to

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describe the love life of the gods. In his Critical Annotations to the Songs of Chu (Chu ci bianzheng 楚辞辩证), Zhu Xi states: »In ancient times, sorcerers made the gods descend […] This is probably because that they have the bodies of sorcerers and the hearts of gods.« This means that each sorcerer had merely one body, though two minds. The description of the relationships between gods and human beings in the »Nine Songs« embodies the unique understanding of the Chu people towards gods and sacrificial rites, and at the same time reflects the real lives of the Chu people. The »Nine Songs« are written from various perspectives, including lyrics from the perspective of gods, hymns from the perspective of the performer of a sacrifice, dialogue between gods, and emotional communication between gods and human beings. The performance of sacrificial songs involved many forms, including aria performed by a sorcerer or a sorceress, or choir with a leader. The performance of dances involved many forms as well, including group dances, solo dances, dance with singing accompaniment, and so forth. The individual songs form a variety in terms of the rhythm and atmosphere of the music and dance matched to them. For instance, the music performed during the sacrifice to »The Great Unity, God of the Eastern Sky« was slow and melodious; the music and dance performed during the sacrifice to the »The Lord of the East,« or the sun god, were exciting and passionate; while the song and dance of »Honoring the Dead,« performed while seeing off the gods, ended in a joyous atmosphere. Chu was one of the overlords of the Spring and Autumn Period. King Zhuang of Chu had marched into the Zhou suburbs of Luoyang and asked about the size and weight of the ding-cauldrons of the Zhou Kingdom. In the Warring States Period, Chu expanded in all directions. Its territory reached the Wushan Mountains in the west and included the Jiuyi Mountains, which are also called Cangwu Mountains, in the south. Accordingly, its territory

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reached the north of today’s Guangxi. In the late Warring States Period, Chu destroyed Yue and extended its power to the lower reaches of the Yangtze River. Although Chu was finally destroyed by Qin, a revolt led by two former Chu subjects, Chen Sheng and Wu Guang, broke out within 15 years after the First Emperor of Qin unified the six remaining states. Later, Xiang Yu and Liu Bang, who were both former Chu subjects, fought with each other for the throne. After the establishment of the Han Dynasty, the Chu songs and Chu dances received extraordinary attention. Thereafter, the Chu Culture persisted, from the Western Zhou Dynasty on, for more than a thousand years. The southern culture represented by the Chu Culture had a durable and important impact on the development of Chinese music and dance. 3. Exchange of Music and Dance among the States In the cultural exchanges of various states and among various peoples, the exchange of music and dance, which among others most easily attracted attention and was often rapidly accepted and adopted, was particularly active. For instance, in the Western Han Dynasty, after Zhang Qian officially connected the Western Regions to the Han Dynasty for the first time, the music, dance, and musical instruments of the Western Regions soon spread to the Central Plains and flourished in the imperial court. The long-distance cultural exchanges promoted by Zhang Qian took place suddenly over a short period and were thus remarkably striking, with a novel nature. In contrast, the daily, short-distance exchanges of music and dance among peoples who lived in neighboring regions were less conspicuous, just like the spring rain that »drifts in with wind all through the night and silently drench everything in sight«; but such exchanges were more extensive, comprehensive, and profound, and spread like rippling waves. During the Spring and Autumn Period and the Warring States Period, there were frequent exchanges

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of music and dance among various states in both of the above-mentioned ways. At the same time, there were exchanges among the courts and the upper classes, as well as among the commoners and the lower classes. At that time, folk musicians and female dancers traveled long distances to migrate in other regions. Furthermore, the courts of individual states often exchanged musicians and musical instruments for political and diplomatic purposes. At the same time, this also promoted the mutual learning and exchange of the arts of music and dance among these states, including exchange among the states of the Central Plains as well as exchange between those countries and the surrounding peoples. For instance, as stated in chapter  5, »The Annals of Qin« (»Qin Benji« 秦本纪), in The Grand Scribe’s Records, in 626 BCE, the Duke Mu of Qin made a gift of 28 female musicians to the ruler of the Xirong 西戎 people to drive a wedge between the king and his virtuous consultant, Youyu. This move enticed the ruler to indulge in music and beautiful sights year after year. Finally, Qin defeated Xirong. In addition to exchanges in daily life and friendly interactions, the expansion of territory, and plunder through wars, were also important ways to promote the exchange of music and dance. Such exchanges were important channels for the music and dance of states such as Zheng and Wei to enter the court of Qin.

3. New Achievements in the Art of Dance 1. Highly Developed Performative Entertaining Dances The old hierarchical system of ritual and music was seriously damaged in the following ways: the rulers of the vassal states »enlarged their bells and drums,« »increased their pleasure and joy,« and even instrumentalized female musicians, song, and dance—for their political and diplomatic struggles for hegemony. The flourishing of all kinds of folk music and dance eclipsed the

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ancient music and classical dance, in addition, the pursuit of pleasure by the new rich class created remarkably suitable external conditions for the development of performative dances purely for entertainment. In particular, the rapid development of commercial folk music and dance in the Warring States Period fostered a large number of professional musicians and dancers with relatively high skills (such as female musicians, musical instrument makers, and actors). This promoted the remarkable development of performative music and dance. Large scale and solemn classical dances performed at rituals, such as the Dance in Eight Rows and the Wan Dance, were gradually replaced by entertaining music and dance performed at banquets—but with a higher artistic level. Female musicians such as the »Zheng courtesans,« »Zhao ladies«, and so on from the states of Zheng, Wei, Zhao, Qi and Zhongshan, were regarded as a kind of »production« no different as local commodities such as fish, salt, lacquer, and silk. In order to make a living, they had to work hard to improve their singing and dancing skills, and then travel thousands of miles to »charm the rich and the vassal lords« and to capitalize on their beautiful appearance and skill. Although their social status was still remarkably low, they were nevertheless mobile, which led to a certain degree of freedom. This distinguished them to a certain degree from slaves, who had been enslaved for generations and were born with no personal freedom at all. The artistic productivity derived from their singing and dancing skill was more liberated when compared with that of pure slavery. This kind of professional singers and dancers derived from the folk, but their careers gradually brought them to the deep palaces and private quarters of the rich and the vassal lords. The existence and growth of their profession were inseparable from the social needs of the ruling class, who pursued sensual pleasure. On the one hand,

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these artists brought the »new music« from the folk to the courts; one the other hand, their artistic development could not help but be influenced and restricted by rulers’ hobbies and fashions. According to the chapter »Two Handles« (»Er bing« 二柄) in Han Feizi, it was the fashion in the Chu court that a female dancer was deemed beautiful if she had a slim waist. For instance, King Ling of Chu particularly liked slim waists. Therefore, during his reign, the state was full of half-starved people on diets. Accordingly, the images of dancers among the unearthed cultural relics of Chu mostly have long sleeves and slender waists. In addition, their long skirts with flared hems emphasize their graceful and slender posture. This indicates that the ruler’s preference seriously affected the development of social fashions and performative dances. In the Warring States Period, the Long Sleeve Dance (changxiuwu 长袖舞) had already reached a remarkably high artistic level. The following words even became a proverb at that time: »[If you have] long sleeves, [you’ll be] good at dancing; [if you have] lots of money, [you’ll be] good at business.« Accordingly, the most common images of dancers among the unearthed pictorial materials dating to the period between the Warring States Period to the Han Dynasty have long sleeves and slim waists. The Long Sleeve Dance has been handed down to today, and is one of the most famous representative dances in China. A comb patterned with a scene of a Long Sleeve Dance performance was unearthed from Tomb no. 53 at Fenghuangshan 凤凰山 in Jiangling, Hubei Province (Fig. 2.2.6). This tomb dates back to the Qin or the Han Dynasty, but the scene of the dance and the images of the dancers still reflect the traditional characteristics of the Chu culture. An oval bei-cup of the Warring States Period, which was unearthed in Xinyang, Henan Province, bears an engraved dance scene during a feast in a palace (Fig. 2.2.7). Two long-sleeved dancers with crowns danced to the accompaniment of musical

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2.2.6 A comb patterned with the scene of music and dance performance, unearthed at Fenghuangshan, Jiangling

2.2.7 An oval bei-cup bearing an engraved scene of a dance scene during a feast in the palace, dating from the Warring States Period

instruments including chime bells, a se-zither, and a barrel drum mounted on a rack in the shape of two birds. Judging from the two small trees between the two dancers, the dance must have been performed in the open garden or in the wild. In this scene, the rack in the shape of two birds does not have a socket. Drum racks that have been unearthed from Chu tombs are commonly equipped with sockets in the shapes of tigers, deer, etc. They are part of the characteristic musical instruments of the Chu culture. The above-mentioned scene with dancers who have long sleeves and slim waists may have been a depiction of a certain entertaining Chu dance.

the former entertained the gods with music, while the latter entertained humans with music; the former worked primarily with songs and dance, while the latter worked primarily with banter; the former could have been male or female, while the latter was always male. The actors’ performances included primarily »ridiculousness and banter,« but they were also good at singing, dancing, and impersonations. The modern scholar Wang Guowei 王国维 considers the origin of opera in the chapter, »Opera between Prehistory and the Five Dynasties« (»Shanggu zhi Wudai zhi xiju« 上古至五代之戏剧) in his Examination of the Operas of the Song and Yuan Dynasties (Song Yuan xiqu kao 宋元戏曲考). He points out that the Chu sorcerers sang and danced in order to play the roles of the gods to whom sacrifices were brought, impersonating their clothes, appearances, and movements. Wang Guowei believes that this kind of »impersonator« (lingbao 灵保), whose task was »either to stand tall and erect to impersonate a god or to dance about to entertain a god,« was where the operas of later generations originated. For instance, »The Lord of the East« in the »Nine Songs« describes a sacrifice to the sun god, in which a sorcerer played the role of the sun god and a sorceress acted as

2. The Development of Actors and Miscellaneous Entertainment and the Nascent Opera Combining Singing and Dancing Performance professions that first emerged at the end of the Western Zhou Dynasty and developed further in the Spring and Autumn and the Warring States periods included the profession of actors as well, who were referred to as »you« (优), »changyou« (倡优), or »paiyou« (俳优). This profession was mostly occupied by dwarves. The difference between an actor and a sorcerer is that

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2.2.8a Figures of musicians and dancers unearthed from a tomb dating to the Warring States Period at Nülangshan, Zhangqiu

the chief priest. The song was sung by the sorcerer and the sorceress together during their dance as a couple. Its first and third strophes were sung by the sorcerer in the role of the Lord of the East, and the second by the sorceress in the role of the chief priest. It can be inferred that the two roles would perform certain actions. Furthermore, the »Lord of the Xiang River« and the »Lady of the Xiang River« were the deities of the Xiang River that were widely worshiped in the customs of the Chu folk. In the sacrificial ceremony described in »The Lord of the Xiang River« in the »Nine Songs«, a sorcerer impersonated Shun, while a sorceress acted as the chief priest and impersonated Ehuang and Nüying. The sorcerer and the sorceress sang a duet and performed a couple’s dance. The duet has five strophes, of which the first, the third, and the fourth were sang by the sorceress, while the second and the fifth were sang by the sorcerer. It is a sad but melodious song that

describes a romantic tragedy. In its first scene, the lady wanders at the river and seems to wait for someone. Glancing at the figure of the lord, she takes a boat made of the wood of sweet osmanthus to meet him, and blows sheng-panpipe to call his attention. Finally, the lord descends, riding a dragon. Wading the waves of Dongting Lake and cutting through the mouth of the river, he sees the lady sigh, longing for him. He seems to want to say something, but says nothing. The lady drives the boat to follow him, breaking ice and pushing snow. But she cannot get closer to him because their love is not deep enough. At his departure, the lord throws a jade pendant into the river and makes a gift of East Asian pollia to the lady. Foreboding that they are never going to meet again, the lord then wanders for a while by the river. Throughout the song, the Lady of Xiang River ardently longs for the Lord of the Xiang River, while the lord remains relatively indifferent. Hence, this

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2.2.8b Figures of a band accompaniment unearthed from a tomb dating to the Warring States Period at Nülangshan, Zhangqiu

set of sacrificial song and dance involves various specific roles, demonstrates complex and mutual emotions, and has a narrative as well as a sense of dramatic conflict. Therefore, it already had the archetypical form of opera, including singing and dancing. Most of the »Nine Songs« were similarly displayed as the above-mentioned, i.  e., the roles of specific gods and humans (i.  e., the chief priests) described in them were acted by sorcerers or sorceresses who sang and danced at the same time. But the narratives in the songs were about individual complicity. Sometimes, laymen participated in the performances as well. These kinds of sacrificial songs and dances with certain dramatic elements embodied a new development in

ancient music and dance. In his Examination of the Operas of the Song and Yuan Dynasties, Wang Guowei states that »the operas of later generations probably derived from the professions of the sorcerer and sorceress.« His viewpoint is realistic. Ancient sacrificial song and dance, sorcery operas, and the »ridiculousness and banter« of the actors formed an important resource for the art of Chinese opera. 26 figures of musicians, five musical instruments, and eight auspicious birds were unearthed from a large tomb dating to the Warring States Period at Nülangshan 女郎山, Zhangqiu, in Shandong Province. They completely demonstrate a scene where song, dance, and music performances at that time where combined together (Fig. 2.2.8).

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES Section 1  Song of the Xia and Shang Dynasties 1. Song Before Xia All peoples used song in their earliest stages of development. This means that the art of singing came into being remarkably early and had an extraordinarily extensive and significant influence on the social and cultural lives of early human beings. As can be observed among certain contemporary peoples who maintain relatively moderate social and cultural development, the ancient songs handed down from generation to generation have preserved and developed their ageold knowledge of history and culture. It can be inferred that in the long period between Chinese prehistory and the Xia and Shang dynasties, singing was very popular as well. Scattered legends and fragmentary historical records provide indirect glimpses of that period—but that is merely a drop in the ocean. 1. The Legend of the Birth of Song It is generally believed that archaic music and dance mingled closely and combined with each other. Particularly in the Prehistoric Period, music and dance were »mixed and not yet divided.« Singing, dancing, and music formed an inseparable trinity. However, this trinity only refers to the most essential and most prevalent ways of singing, dancing, and playing music—which nevertheless differ from each other in terms of artistic media and ways of expression. In the long period since prehistory, these three artistic forms have not only cooperated and progressed together, but

have also frequently developed separately—taking shape gradually, and independently. Therefore, already in an early period, humans could observe those closely integrated artistic forms. For instance, the section »Music of the Ancients« in The Annals of Lü Buwei refers to legends concerning archaic music, paying special attention to singing and dancing activities of remote eras. It describes the music of the Getian clan as follows: »Three men waved ox-tails and stamped their feet while singing the Eight Stanzas«. It also contains the following passage: »The Sovereign Ku ordered Xianhei to compose songs.« Furthermore, it refers to the following legend about the music of King Yao: »When Sovereign Yao ascended the throne, he commanded Kui to create music. Kui thereupon made song in imitation of the sound of the forest and valley, he covered fou-pots with milu-dear hide and beat on them, and he slapped stones and hit rocks to imitate the sounds of the jade stone chimes of the Supreme Sovereign, with which he made the hundred beasts dance. In the legend, the music of King Yao is specified as including song, music (instrumental music), and dance, respectively. More precisely, they include songs that imitated the sound of the mountains and valleys; performances of a variety of percussion instruments included the beating and clapping (dabbing) of stone chimes and the beating of earthen drums made of fou-pots covered by milu-dear hide; as well as primitive dances in which the dancers were disguised as various birds and beasts.

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2. Songs from Archaic Times to the Xia Dynasty Some of the archaic songs have been passed down from generation to generation and preserved in later documents. They are not precisely dated, but it is believed that they are remarkably old. For instance, the Book of Changes, or Zhouyi 周 易, an ancient divinatory book, is generally dated from the Warring States Period. Some of its hexagram statements (guaci 卦辞) and line statements (yaoci 爻辞) are melodious songs handed down from archaic times. For instance, the case of »The Second SIX, Divided« (»Liu’er« 六二) among the line statements of »Zhun« is a short song: »[The Second SIX, divided, shows its subject] distressed and obliged to return; [even] the horses of her chariot [also] seem to be retreating. [But] not by a spoiler [is she assailed], but by one who seeks her to be his wife.« This song describes the active social life at that time vividly: a man went to a woman’s home, majestically riding a horse; at first, the woman thought he was a robber, but later she learned that he had come for a proposal. This indicates that in archaic times, the social status of women outweighed that of men. The case, »The Sixth SIX, Divided« (»Shangliu« 上六) among the line statements of »Guimei« states that »[The sixth SIX, divided, shows] the lady bearing the basket, but without anything in it, and the gentleman slaughtering the sheep, but without blood flowing from it.« In ten Chinese written characters, the song is able to describe a labor scene with a man shearing sheep and a woman receiving the wool with a basket. In addition, the case »The Third SIX, Divided« (»Liusan« 六三) among the line statements of »Zhongfu« is a short song of ten Chinese written characters that vividly portray revelry after victory in battle: »[The third SIX, divided, shows its subject] having captured his enemies. Now he beats his drum, and now he leaves off. Now he weeps, and now he sings.«

SECTION 1 SONG OF THE XIA AND SHANG DYNASTIES

2. Legendary Songs of the Xia Dynasty 1. A Love Song of the Xia Dynasty Love between the sexes has existed since the birth of mankind. Certain ancient legends about songs expressing love indicate that singing could have begun with love. The following legend recorded in the section of »The Origins of Tunes« (»Yinchu« 音 初) in The Annals of Lü Buwei concerns a primitive love song of the Xia Dynasty: »While inspecting his work for controlling the floods, Yu [the Great] saw a girl of the Tushan clan; but before he could formally propose to her, he left to make a tour of inspection of the southern lands. The girl ordered a female slave to wait for Yu at the southern slopes of Mount Tu. The girl then composed a song that went, ›Waiting for a man, ah!‹ This marked the beginning of tunes in the southern style.« This »song« of four Chinese written characters includes two exclamatory words, xi 兮 and yi 猗 (»xi« was read »ah« in ancient times, while »yi« was read »xi«). This demonstrates certain characteristics of primitive songs, i.  e., they had the rhythm as the main factor, their tunes were dull and lyrics remarkably simple, often involved the continuous repetition of the same exclamation or the same words. The above-mentioned song may resemble a sigh, though it came into being through an individual art form, song. It originated in the southern periphery of the territory of the early Xia Dynasty. According to the chapter of »The Records of the Lands [of Yue]« (»Ji di zhuan« 记地传) in Glory of Yue (Yuejue shu 越绝书), Mount Tu is in the northwest of today’s Shaoxing, Zhejiang. It is probable that the tune of the song demonstrated distinct local characteristics around Mount Tu. As a result, legend has it that it marked the beginning of »tunes in the southern style.« 2. Other Songs of the Xia Dynasty The last chapter mentions that after the death of Yu the Great, Yi of the tribe of the Eastern Yi was originally supposed to take over the throne—but

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Qi, Yu’s son, abolished the system of shanrang (i.  e., »abdication and handing over the throne to a successor who is not a member of the former royal family«), seized the position of the chieftain, and began the hereditary monarchy. A passage in the chapter »Wan Zhang, Part I« of Mencius states: »Yu died. When the three years’ mourning expired, Yi withdrew from the son of Yu to the north of Mount Qi. The subjects who wanted to pay audience or settle disputes went not to Yi, but they went to Qi, saying, ›He is the son of our sovereign.‹ The singers did not sing to Yi, but they sang to Qi, saying, ›He is the son of our sovereign.‹« This means that the advocates of Qi applied »paeans of praise« towards Qi as a means of the power struggle. This special purpose for songs had not been known before. According to the section of »The Origins of Tunes« in The Annals of Lü Buwei, Kongjia, a sovereign of the house of Xia, »composed a song entitled Grinding an Ax, which marked the beginning of the tunes in the eastern style.« But no lyrics of that song were recorded. At the end of the Xia Dynasty, the state was in decline, and various social conflicts became increasingly acute. In particular, King Jie »treated the country outrageously, taxing immoderately so that the people were in great distress.« This aroused great resentment and the resistance of the people. The chapter, »Speech of Tang« (»Tang shi« 汤誓), in the Book of Documents states that the people uttered fierce curses by singing: »When wilt thou, O sun, expire? We will all perish with thee.« This is an obvious indication of the deep hatred that the people bore against Jie. As a battle song expressing the extreme hatred of the people and their vow to fight to the death to oppose tyranny, this song also emerged as folk song during the Xia Dynasty. The Xia Dynasty was finally buried in the song curses of the people. Under the leadership of King Tang, the Shang Dynasty was established on the ruins of the Xia Dynasty.

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

3. Songs of the Shang Dynasty A legend of the Shang tribe has it that a »black bird« (a swallow) with the Mandate of Heaven sent down an egg, which was swallowed by a woman of the tribe of Yousong. Thereupon, she gave birth to the prime father of the Shang tribe. Therefore, black bird became the totem of the tribe. Accordingly, the ode »Black Bird« (»Xuanniao« 玄鸟) among the »Eulogies of Shang« (»Shang song« 商颂) in the Classic of Poetry include the following verse: »Heaven commissioned the swallow to descend and give birth to [the father of our] Shang.« The section of »The Origins of Tunes« in The Annals of Lü Buwei provides a more detailed account of this story: The tribe of Yousong had two princesses and built the Terrace of Nine Tiers for them to live in. They needed drums played whenever they ate or drank. The Supreme Sovereign (Gao You 高诱 states in his ›commentary‹ as follows: ›This refers to Heaven.‹) ordered a swallow to spy on them. Its cry sounded like ›jik-rik‹. Loving this, the two girls struggled to catch the swallow. Covering it with a jade canister, they would take it out to look at it for a short time. The swallow, having laid two eggs, flew off to the north, never to return. The two girls wrote a song, with a refrain that went, ›Swallow, swallow, flew away.‹ This marked the beginning of the tunes in the northern style.

Known as the beginning of »the tunes in the northern style«, this song of two princesses of Yousong must have been an ancient song performed in sacrifice to the totem of the Shang tribe.

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Section 2  The Art of Song in the Western Zhou and the Spring and Autumn Period 1. The Classic of Poetry, a Collection of Lyrics from the Western Zhou to the Spring and Autumn Period 1. The Classic of Poetry Compiled by the Royal Musicians of the Zhou Dynasty Based on the »creation of ritual and music« and the flourishing development of folk music, dance, and song in the Zhou Dynasty, the Classic of Poetry, the first collection of Chinese poetry, came into being. Comprising »three hundred poems,« the Classic of Poetry was compiled by royal musicians and was probably edited by the Grand Master, a musician-official of the Zhou Dynasty. The purposes of the compilation of poems by the Zhou royal house included the need for »song« during »the creation of ritual and music,« as well as for understanding folk customs and thinking. The »three hundred poems« formed merely a small part of the court songs and popular folk songs between the Western Zhou Dynasty and the Spring and Autumn Period. Those poems that were not included in the Classic of Poetry were called the »lost songs« (yishi 逸诗), some of which are scattered throughout pre-Qin literature. In addition, many songs that were performed in the musical activities in the court and among the folk are neither included in the Classic of Poetry nor in the other transmitted text. 2. Classification in the Classic of Poetry: Airs of States, Court Hymns, and Eulogies All the poems in the Classic of Poetry would have been accompanied by music and dance. The Classic of Poetry is divided into three categories: feng or »Airs of States,« ya or »Court Hymns,« and song or »Eulogies.« These categories were named after the music that was composed for them, i.  e., they

SECTION 2 THE ART OF SONG IN THE WESTERN ZHOU AND THE SPRING AND AUTUMN PERIOD

were actually musical classifications. Feng means local sounds, i.  e., the local music of individual places. »Guofeng« (国风) thus means the folk music of individual states. As Yu Guanying 余冠 英 has pointed out, expressions of the ancients such as »feng of Qin,« »feng of Wei« and »feng of Zheng« are comparable to the modern expressions of »tunes in the Shaanxi style,« »tunes in the Shanxi style« and »tunes in the Henan style,« i.  e., feng means the style. The Classic of Poetry includes the tune styles of 15 states. However, the so-called states Bei 邶, Yong 鄘, and Wei 卫 belonged all to the State of Wei 卫. All the poems of the »Airs of States« were produced in Shaanxi, Shanxi, Henan, Hebei, Shandong, and northern Hubei. The »Court Hymns« in the Classic of Poetry are further divided into »Greater Court Hymns« (daya 大雅) and »Minor Court Hymns« (xiaoya 小雅). Apart from a few exceptions, all the court hymns are poems originating in the capital of the Western Zhou Dynasty. The official language of the Zhou people was called the ya tongue, i.  e., the classical tongue. Accordingly, their music was called ya music, or classical music. Furthermore, ya also means »orthodox.« Hence, classical music was orthodox music. The eulogies were music and songs used in sacrifice in the ancestral temple. They are divided into »Eulogies of Zhou« (»Zhou song« 周颂), »Eulogies of Shang« (»Shang song« 商颂), and »Eulogies of Lu« (»Lu song« 鲁颂). Even a few poems concerning agricultural activities in the »Eulogies of Zhou« were sung during worship of the ancestors and votive offerings to the gods. In short, the eulogies combine sacrificial music, dance, and song. In terms of musical characteristics, the modern scholar Wang Guowei points out in his »On the Eulogies of Zhou« (»Shuo Zhou song« 说周颂) that »the eulogies are slower in pace than the aira of states and the court hymns.« Wang Guowei’s argument is plausible because although the eulogies are mostly unrhymed, short in length, and

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thus not subdivided into strophes, their performances were remarkably long, according to the Book of Etiquette and Ceremony (Yili 仪礼). The Classic of Poetry is a collection of poetical works between the beginning of the Western Zhou Dynasty and the end of the Spring and Autumn Period. The works categorized as court hymns and eulogies originated relatively early, i.  e., mostly in the Western Zhou Dynasty, although the »Minor Court Hymns« also include poems of the Eastern Zhou Dynasty. The works categorized in »Airs of States« were mostly created in the Eastern Zhou Dynasty. In addition, apart from a few works created by nobles, most of the works in the Classic of Poetry were folk songs between the Western Zhou and the Eastern Zhou, mainly of the Eastern Zhou.

2. Main Types of Song in the Classic of Poetry In terms of the common classification of songs in modern musicology, the songs in the Classic of Poetry generally fall into the following categories. 1. Labor Songs Only a few poems directly describe the process of labor. The poems »Plantains« (Fuyi 芣苢) and »Among Their Ten Acres« (»Shimu zhijian« 十亩 之间) in the »[Air of] Zhou and the South« (»Zhou nan« 周南) and the »Air of Wei« (»Wei feng« 魏 风), respectively, describe females at harvest. The former poem describes the harvest of plantains and was hence probably directly created during the process of the labor. It has three strophes consisting of twelve sentences altogether, which involve merely six verbs but demonstrate the progress of how the harvest grows. The modern scholar Wen Yiduo 闻一多 elucidated this poem in his »Letter Composed in the Studio of Kuangzhai« (»Kuangzhai chidu« 匡斋尺牍) as follows, »I could imagine that it was a summer as all plantains were bearing fruits. The valley was filled with women harvesting plantains as well as with

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

their songs.« This song created a free and cheerful atmosphere. The latter poem describes a relaxed and joyous scene of a return accompanied by song from the labor of picking mulberry leaves. Furthermore, the poems »Gathering the White Southernwood« (»Cai fan« 采蘩) and »Gathering the Large Duckweed« in the »[Air of the] Shao and the South« (»Shao nan« 召南) mention labor as well. But they reflect the compulsory labor of nobles’ slaves. 2. Love Songs Most of the folk songs in the Classic of Poetry are about love and marriage. There are songs that reflect the love mutually expressed by young men and women, such as »The Zhen River and the Wei River« (»Zhen Wei« 溱洧) in the »Air of the Zheng State,« and »White Elms at the East Gate« in the »Air of the Chen State.« Resembling two genre paintings, these two songs describe a spring outing with young men and women at the Shangsi Festival in the Zheng State, and a party for both sexes with song and dance in the Chen State, respectively. Another two such songs are »Papaya« (»Mugua« 木瓜) and »Ah, Withered Leaves« (»Tuo xi« 萚兮) in the »Air of the Wei State« and the »Air of the Zheng State«, respectively. They describe the exchange of love tokens by a young man and woman at labor, and the mutual invitation of a song duet by another pair in order to express their feelings, respectively. Yet another two such songs are »In the Wild There is a Dead Antelope« (»Ye you si jun« 野有死麕) and »In the Wild There is Creeping Grass« (»Ye you mancao« 野有蔓草), in the »[Airs of the] Shao and the South« and »Air of the Zheng State,« respectively. Both songs describe sexual intercourse during an accidental encounter between men and women, demonstrating an intensive sense of primitiveness. There are also songs that expressed unrequited love, such as »The Reeds and Rushes« (»Jianjia« 蒹葭) in the »Air of the Qin State« (»Qin feng« 秦风). For the Zhou Dynasty, prehistory was no remote past.

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Therefore, many primitive customs of marriage and love were still preserved, and the interaction between men and women was still relatively unrestrained. Produced with such a social background, many love songs in the Classic of Poetry reflect the characteristics of the era, i.  e., they are mostly plain, passionate, and bold. There were also songs used in wedding activities, such as »The Peach Tree is Young« in the »[Airs of] Shao and the South« and »Binding Tightly« (»Choumo« 绸缪) in the »Air of the Tang State« (»Tang feng« 唐风). The former expresses felicitation to a bride, while the latter describes the activity known in later generations as »the bedding ceremony.« There are many songs concerning happiness or unhappiness after marriage, such as the two most famous pieces about abandoned wives, »Valley Breeze« (»Gufeng« 谷风) in the »Air of the Bei State« (»Bei feng« 邶风) and »Lad« (»Mang« 氓) in »Air of the Wei State.« 3. Satirical and Exhortatory Songs The satirical songs are ironic and invective songs through which the masses directly criticized their rulers and mercilessly tore off their hypocritical masks. For instance, »New Terrace« (»Xintai« 新 台) in »Air of the Bei State« satirizes that Duke Xuan of Wei coerced his daughter-in-law into being his own concubine; »The Tribulus Grows on the Wall« (»Qiang you ci« 墙有茨) in »Air of the Yong State« (»Yong feng« 鄘风) revealed the incest between Wan, the son of a duke, and his mother; and »Look at a Rat« (»Xiang shu« 相鼠) in the »Air of the Yong State« satirizes rulers’ for having vile character and being inferior to mice— and utters a curses that the rulers will die as soon as possible. There were works written by the aristocratic class, officials of the lower or middle classes, and literati as well. They belong to political allegorical poems, i.  e., a form of poetical song that was used to advise or criticize rulers. These poems were mostly written between the end of the Western Zhou and the beginning of the Eastern

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Zhou. This is associated with the increasing decline of government and the intensifying conflicts in the inland and abroad from the reigns of king Yi and Li of the Western Zhou, respectively. Furthermore, King You was killed during the invasion of the tribe of Quanrong, and the Zhou capital fell thereafter. With the help of the vassal states, King Ping moved eastward to Luoyang—but the Eastern Zhou Dynasty never recovered. »Vast« (»Dang« 荡), in »Greater Court Hymns,« allegedly a poem of admonition from the Duke of Shaomu to King Li, proposed that »the [bad] example of the Shang Dynasty is not distant; it is in the age of the [last] sovereign of Xia.« This passage admonishes King Li to learn a lesson from the history and to change the course of his behavior. There were more poems satirizing King You, such as »Lofty is that Southern Hill« (»Jie Nanshan« 节南山), »The First Month« (»Zhengyue« 正月), »The Conjunction [of the Sun and Moon] in the Tenth Month« (»Shiyue zhijiao« 十月之交), »Nonstop Rain« (»Yu wuzheng« 雨无正), and »Minor Heaven« (»Xiao min« 小旻) in the »Minor Court Hymns«; as well as »Looking up« (»Zhan yang« 瞻卬) in the »Greater Court Hymns.« In addition, the Classic of Poetry includes many songs of military campaign, traditional narratives, sacrifices, and banquets, etc. The above-mentioned classification of songs is primarily based on type of song. But the distinct content in the songs is not unique.

3. Some Speculations about Song Style in the Classic of Poetry Between the Western Zhou Dynasty and the Spring and Autumn Period, people used various techniques of musical composition and developed numerous song forms to express different content and rich emotion. For instance, what was called »poetical recitation« (fushi 赋诗) in the Spring and Autumn Period involved the recitation of a whole song or merely one or two strophes of a song. This indicates that such a song has a

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complete musical form on the one hand; on the other hand, its individual strophes can also form relatively complete smaller forms and exist independently. After an analysis of the existing songs in the Classic of Songs in his Manuscript of the History of Ancient Chinese Music (Zhongguo gudai yinyueshi gao 中国古代音乐史稿), Yang Yinliu 杨 荫浏, a music historian, points out that the »Airs of States« and »Court Hymns« involve the following ten individual song forms: (1) The repetition of a single tune (or melody). An example is demonstrated by »The Peach Tree is Young« in the »[Airs of] Zhou and the South.« (2) The application of a refrain after a tune. An example is demonstrated by »Grandly Rolls the Thunder« (»Yin qi lei« 殷其靁) in »[Airs of the] Shao and the South.« In the song, the verses vary slightly, while the refrains remain unchanged. (3) The subdivision of a tune into a former refrain and a latter verse. An example is demonstrated by »The Hills of the East« (»Dongshan« 东山) in the »Air of the State of Bin« (»Bin feng« 豳风). (4) The partial change of the beginning of a certain strophe between the repetitions of a tune. This technique was further developed later and called »replacing the head« (huantou 换 头). For instance, this technique was applied in the first two sentences in the third strophe of »The Flowers of the Bignonia« (»Tiao zhihua« 苕之华) in the »Minor Court Hymns.« (5) The application of a prelude (yinzi 引子) before a multiple repetition. An example is demonstrated by »The Dew on the Path« (»Xing lu« 行露) in the »[Airs of the] Shao and the South.« (6) The application of an epilogue (weisheng 尾 声 or luan 乱) after a multiple repetition. An example is demonstrated by »In the Wild There is a Dead Antelope« in the »[Airs of the] Shao and the South.«

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

(7) The composition of a song with two tunes that are multiple repetitions, respectively. An example is demonstrated by the »Plump« (»Feng« 丰) in the »Air of Zheng.« (8) The composition of a song with two tunes that are regularly alternated several times. An example is demonstrated by the first four strophes of the »Great Illumination« (»Taiming« 大明) in the »Greater Court Hymns.« (9) The composition of a song with two tunes that are irregularly alternated several times. An example is demonstrated by the first six strophes of »This Brook« (»Si gan« 斯干) in the »Mino Court Hymns.« (10) The framing of the multiple repetition of a tune with a prelude and an epilogue. An example is demonstrated by »The Net with Its Nine Bags« (»Jiu yu« 九罭) in the »Air of the State of Bin.«

4. The Use of the Songs of the Classic of Poetry in Social Life The songs compiled in the Classic of Poetry were widely used in the social life of the aristocrats in various states between the Western Zhou and the Spring and Autumn Period. Furthermore, they were used for individual purposes and had individual significance. These songs awere mainly used in ceremonies, as means of satirizing and admonishing, for recitation, and in speech. 1. The Use of Song in Ceremonies The Zhou royal house compiled more than 3,000 poems from various countries between the beginning of the Western Zhou and the middle of the Spring and Autumn Period. Most of these songs were collected and kept by musicians. The court musicians were the most important singers of these songs. Furthermore, since »the schools were accommodated in the government,« the musicians were also the teachers of these songs. The ceremonies in which poetical music was used in the royal and the vassal courts included

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sacrifices and banquets, i.  e., sacred and secular activities. This is indicated by the songs »Thick Grew the Tribulus« (»Chu ci« 楚茨), »There are the Blind Musicians« (»You gu« 有瞽), and »Ample,« all in the »Minor Court Hymns,« and »Eulogies of Zhou« and »Eulogies Of Shang.« These poetical songs describe either orchestral ensembles with performances of percussion, wind, and string instruments during sacrifices, or the reasons and the circumstances of sacrifices as well as the prayer texts of the liturgists—or even the praising hymns of guests after sacrifices. The »Court Hymns« in the Classic of Poetry were mostly used in large-scale and solemn ceremonies. Many kinds of song in the Classic of Poetry were used in various banquets or ceremonies. The chapters of »District Symposium« (»Xiang yinjiu li« 乡饮酒礼), »The Banquet« (»Yanli« 燕礼), »District Archery Meeting« (»Xiang sheli« 乡射 礼), and »The Great Archery Meeting« (»Tai she« 大射) in the Book of Etiquette and Ceremony mention that musicians sang certain songs from the Classic of Poetry. 2. Satires and Admonitions Transmitted literature, such as the Zuo Tradition and the Discourses of the States, frequently mentions that poetry was sometimes created as a kind of satire or admonition. The satires or admonitions of the dukes, ministers, and officers of various classes were specifically created and presented to rulers, while commoners’ criticisms were inquired into by the officials and reported to the government. The origins of such poems of satire or admonition can be traced back at the latest to the Western Zhou Dynasty. For instance, the chapter of »The 12th Year of the Reign of Duke Zhao« (»Zhaogong shi’er nian« 昭公十二年) in the Zuo Tradition mentions that Yi Xiang, the Scribe of the Left of the Chu Kingdom, said that as King Mu of Zhou was once about to spontaneously travel around the world, Mofu, the Duke of Zhai, composed the poem »Prayer Summons« (»Qi

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zhao« 祈招) to dissuade him from his idea. It is evident that songs such as »The First Month« and »Nonstop Rain« in the »Minor Court Hymns« were created by grandees or officers in order to present their satires and admonitions by singing. 3. Recitations In activities such as diplomatic events, social interaction among the elite, and banquets, participants often chose poetical songs to express themselves and exchange emotions, i.  e., »poetry was the expression of earnest thoughts.« In this context, the singing of such poems was referred to as the recitation of poems. The »musical expression« of the Western Zhou Dynasty belonged to this peculiar means of expression. Different from the sacrificial and ritual poems that had to comply with strict rules in terms of repertoire and sequence, poems for recitation were flexibly selected from those ready-composed poems (mainly songs from the Classic of Poetry), mostly according to individual occasions and the audience. In the Spring and Autumn Period, recitation was paid special attention and was widespread. The occasions in which poems were recited include the establishment of a friendship, the proposal of a request, the grant of a request to be satisfied, etc. 4. Speeches In the above-mentioned three situations, the poems in the Classic of Poetry were sung. In contrast, when poems were quoted in speeches, they were spoken out loud and mixed with other words. In pre-Qin times, people often quoted poems and proverbs that were widespread. They used them as proof of their own opinion or as authoritative sources that could underscore their own words and convince other parties. There are many examples of such quotations, similar to quotations of classical writings or famous sayings by modern people. These examples must however be omitted due to their lack of direct association with singing.

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According to the entry »Grand Director of Music« in the chapter of »Ministry of Spring« in the Rites of Zhou, the Grand Director of Music »taught the sons of the state musical expressions such as evocative trope, conductive trope, irony, recitation, utterance, and response.« Hence, the contents taught included not only the recitations and expression of earnest thoughts, but also proficient citation from the Classic of Poetry. This belonged to the essential cultural and artistic education of the children of nobles between the Western Zhou and the Spring and Autumn Period.

5. The Many Styles and Forms of Singing the Classic of Poetry 1. Various Styles in the Classic of Poetry The songs compiled in the Classic of Poetry date from the time span between the Western Zhou Dynasty and the Spring and Autumn Period and were mainly composed by the common folk or the poets among them in various tribes in northern China. These songs were mostly collected by the office of Collector of Poems from the local folk through interviews. And, of course, a few songs were preserved by the royal house as traditional songs of its own tribe. The lyrics, rhymes, tunes, and accompaniments of the songs may have been revised and edited to some extent. For instance, they may be changed from songs without musical accompaniment to those accompanied by music to meet the needs of their performance in the court. But the various local musical styles were still more or less preserved. In the chapter of »The 29th Year of the Reign of Duke Xiang« (»Xianggong ershijiu nian« 襄公二 十九年) in the Zuo Tradition, Jizha, a prince of the Wu State, was invited to the Lu State to witness the »music of the Zhou Dynasty.« The musicians of Lu performed songs from the Classic of Poetry as well as small-scale and large-scale dances. Jizha commented these performances one by one, involving both the content of the melodies and lyrics as well

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

as the artistic quality of the music. He could not only identify individual musical styles of different countries and regions at once, but could also accurately evaluate the musical characteristics through his own perception. Judging from his following questions, he did not know exactly in advance what songs were going to be performed: »Is it the style of Wei?« »Is it the style of the East Zhou?« His inference of the provenances and categories of the songs and music were merely based on his differentiation of individual local characteristics. Hence, the prince of Wu, a state in Southeast China far from Lu, was remarkably familiar with the music and dance that originated in various regions of the Central Plains in the Yu 虞, Xia, Shang, and Zhou dynasties, and were preserved in the state of Lu. Furthermore, he was able to make accurate comments relating the music and dances with their cultural and historical connotations. This provides a circumstantial evidence of the popularity of poetry and music as well as the flourishing and in-depth exchange of music and culture in various regions in his era. Individual styles created requirements for singers in terms of their character. For instance, in the chapter »Record of Music« in the Book of Rites, Zigong asked Yi, a music master, about music. Yi pointed out that a singer must live within his means, i.  e., he should choose songs complying with his own character. Only in this way could a singer perform the songs to his advantage. 2. Various Forms for Performing Songs There were various forms of singing, the most common of which was recitation by musician. There was also the singing form that was called »performing the poems,« i.  e., the singing of the poems was accompanied by the music of bells and drums. In addition, there were also the forms known as the »poem with sheng-panpipe« (shengshi 笙 诗), »poem with guan-pipe« (guanshi 管诗), and »poem with yue-panpipe« (yueshi 龠诗). Appar-

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ently, these forms of singing were categorized according to the instruments that accompanied the singing. For instance, six »poems with sheng-panpipe« are mentioned in the chapter »District Symposium« in the Book of Etiquette and Ceremony. Although the concerning instrumental music at least involved both chime stones and sheng-panpipes, it was called »poem with sheng-panpipe« because sheng-panpipes provided the leading performance. Three of these poems, »The Southern Steps« (»Nangai« 南陔), »White Blossoms« (»Baihua« 白华), and »The Millets in Flower« (»Huashu« 华黍), originally were part of the »Minor Court Hymns« in the Classic of Poetry, but they did not survive. The other three poems, »All in Their Kind« (»Yougeng« 由庚), »Hills in the South« (»Chong qiu« 崇丘), and »All to Their Best« (»Youyi« 由仪) did not survive, either; it is said that »their meanings have not been heard.« The lyrics of the six songs did not survive, but their accompanying music by sheng-panpipe seems to have existed longer and their titles are still preserved. In the timespan between the Western Zhou Dynasty and the Spring and Autumn Period, performances of court music were divided into those »in the elevated hall« (tangshang 堂上) and those »[in the courtyard] below the hall« (tangxia 堂 下). More precisely, »the singers went upstairs into the hall to sing,« while »the musical instruments were suspended [on racks] in the courtyard below the hall.« This can be corroborated by the following passage in the chapter of »The Single Victim at the Border Sacrifice« (»Jiao tesheng« 郊 特牲) in the Book of Rites: »The singers were [in the hall] above, and the musical instruments were [in the court] below; the honor being thus given to the human voice.« This distinction also indicates that vocal music had been particularly honored in court music at that time. In addition, there were »songs with string instruments« such as qin-zither and se-zither. This was a common form of singing for individual singers or for the common folk.

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In terms of the singers, the songs may have been distinguished between male and female songs. Furthermore, there have possibly been other singing forms, such as aria, lead-singing, singing in harmony, etc.

6. Other Folk Songs of the Spring and Autumn Period 1. The Emergence and Influence of »New Music« Songs in the Spring and Autumn Period The rise and growing popularity of the »new music« and »new sound« in the Spring and Autumn Period were evident in terms of song. The secular »new music« flourished, and was not only popular among the folk, but also increasingly favored by the ruling class. This had a great impact on the collapsing classical music. The presence of singers of the new music in the courts of various vassal lords not only evidenced the popularity of the new music, but also indicated that the art of singing became increasingly mature and gradually became an independent and developed performance art. And as has been mentioned above, the rise of the so-called »music of Zheng and Wei« and its enormous influence demonstrated an important aspect of the new music. 2. Other Folk Songs Transmitted literature such as the Zuo Tradition records numerous folk songs in the time span between the Western Zhou Dynasty and the Spring and Autumn Period. Some of these songs derived directly from the labor of the lower social classes. For instance, the chapter of »The 17th Year of the Reign of Duke Xiang« (»Xianggong shiqi nian« 襄 公十七年) in the Zuo Tradition mentions a Song of the Builders. This must have been a kind of labor song. In terms of the singing of such songs, there was a lead singer and singers who harmonized each other. The types of such songs varied according to the nature and rhythm of the indi-

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vidual labor. The section of »On Making Persuasion Agreeable« (»Shun shuo« 顺说) in The Annals of Lü Buwei mentions that when Guan Zhong was captured by the Lu State, the people of Lu »tied him up, put him on a litter, and carried him back to Qi by corvée labor.« The corvée laborers chanted and sang as they pulled him. Fearful that the rulers of Lu might change their mind and kill him instead, Guan Zhong was anxious to arrive quickly. Thereupon, he told the corvée laborers, »I will be the lead singer and you provide the harmony.« Then he sang a song that could speed up the pace. As a result, »the corvée laborers did nor tire out and made the trip very quickly,« finally reaching Qi safely. This song must have been a kind of work song in the form of a »chanty.« Folk songs were often recreated with new lyrics that directly satirize the rulers. For instance, the chapter of »The 14th Year of the Reign of Duke Ding« (»Dinggong shisi nian« 定公十四年) in the Zuo Tradition mentions that a commoner in the countryside composed a song that satirized the adultery between Chao, a son of the Duke of Song, and Nanzi, a favored concubine of Duke Ling of Wei. Furthermore, the chapter of »The 2nd Year of the Reign of Duke Xuan« (»Xuangong er nian« 宣 公二年) in the Zuo Tradition mentions that the builders of the city walls sang a song to satirize Hua Yuan, a defeated general. At that time, there was a specific funeral song that was called the Repose of the Preliminary Buried Deceased (Yu bin 虞殡). As recorded in the chapter of »The 11th Year of the Reign of Duke Ai« (»Aigong shiyi nian« 哀公十一年) in the Zuo Tradition, the troops of Lu and Wu met for a military campaign against Qi. Before the battle, Gongsun Xia, the general of Qi, ordered his troops to sing the Repose of the Preliminary Buried Deceased in order to swear his resolution to win or to die. Hence, although certain later scholars may have thought that the genre of elegy was first created by the followers of Tian Heng, in the early Han Dynasty, it existed already in the Spring and Autumn Period.

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

Section 3  Vocal Arts of the Warring States Period 1. The Flourishing of Folk Singing 1. The Widespread Prosperity of Folk Singing in the Warring States Period After the Spring and Autumn Period, the old patriarchal clan system collapsed, and the conflict and turmoil caused by territorial fragmentation and the annexation of vassal states took place frequently. Nevertheless, the regional characteristics of various cultures, especially those in Qi, Lu, Chu, Wu, Yue, Qin, and the three Jin, continued to develop. In the Warring States Period, the folk music of individual regions gradually flourished, demonstrating its own characteristics. For instance, records of the »music of Qin,« the »music of Chu,« and the »music of Yue« in the »Biography of Zhang Yi« (»Zhang Yi liezhuan« 张仪列传) in The Grand Scribe’s Records as well as records of the »songs of Wu« and the »songs of Cai« in the »Summons of the Soul« (»Zhaohun« 招魂) in the Songs of Chu generally refer to folk music with distinctive local characteristics. At that time, folk music including singing spread throughout the markets and the vast rural areas. For instance, people sang when they ground grains with pestle and mortar, and when they strolled through the streets. The »Biographies of the Assassins« (»Cike liezhuan« 刺客列传), Juan no.  86 of The Grand Scribe’s Records, mentions that as Jing Ke arrived in Yan »he drank with the dog butcher and Gao Jianli in the marketplace of Yan every day. After they were well into their cups, Gao Jianli would strike his zhu-lute and Jing Ke would sing in harmony in the middle of the marketplace. They would enjoy themselves.« This provides insight into the daily life of the market at that time. Singing was so common and took place so frequently that a decree was necessary to stip-

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ulate that people should stop singing when there was a funeral in their neighborhood. Folk music and dance prospered remarkably in the Qi State. In its capital, Linzi, which had as many as 70,000 households, »not one of the people does not play the flute, strum the se-zither, strike the qin-zither, hit the strings of the zhu-lute, fight cocks, race dogs, play the board game liubo, or kick a ball.« In addition, the people in the other parts of Qi also enjoyed singing. For instance, because the famous singer »Mian Ju lived in Gaotang,« »the people in the parts of Qi in the west became skilled at singing.« Foreign singers such as Han E came to Qi to »trade their songs« for a living and at the same time promoted the development of singing at the Yong Gate. Furthermore, there is also the story of Feng Huan, a guest of Lord Mengchang who tapped his sword and sang »long blade let us go home, for food there is no fish« and »for travel there is no carriage.« Furthermore, as Qi was conquered by Qin, the people of Qi, who were anxious about the destiny of their country, sang the Song of Pines and Cypress (Song bai zhi ge 松柏之歌). With the prosperity of folk singing, ancient classical music was no longer popular. The Classic of Poetry that had flourished between the Western Zhou Dynasty and the Spring and Autumn Period declined obviously. In the literature of the Warring States Period including Strategies of the Warring States, the activity of reciting poems is basically not mentioned. Even though a few Confucian scholars made their best effort to preserve ancient music and study ancient poetry, they could not stop its decline. And although later Confucian scholars including Mencius often quoted from the Classic of Poetry, they only read the poems—instead of singing them. Hence, poetry and music became separated from each other. Furthermore, the meanings of the poems were often subjectively and erroneously interpreted. Mencius, who wished to enforce the »way of kings,« heard that King Xuan of Qi was fond of music. Before discovering what kind of music the king was fond of,

SECTION 3 VOCAL ARTS OF THE WARRING STATES PERIOD

he immediately said, »Qi is near a state of good government!« As the king admitted that his favorite music was secular music instead of the music of the former kings, Mencius said at once: »The music of the present day is just like the music of antiquity.« This statement obviously goes against Confucius’ idea of honoring ancient music. 2. The Ying People and the Song of a Yue Man The culture of the Chu Kingdom was a fusion of the culture of the Chinese Central Plains with the »barbarian« culture of the South. In the Warring States Period, Chu made unique achievements, including the Daoist thoughts of Laozi and Zhuangzi, magnificent and romantic literature, marvelous and sophisticated music and dance, as well as the bronze metallurgy, silk weaving, and lacquer art. Drums mounted on a rack with sockets in the shapes of tigers (or deer) belong to the unique musical instruments of Chu (Fig. 2.3.1). An air of music prevailed in the Chu Kingdom, the art of singing was greatly developed, and folk singing activities were widespread. The following passage in the »Reply to Questions of the Chu King« (»Dui Chuwang wen« 对楚王问), which was ascribed to Song Yu 宋玉, indicates the passion and diversity of folk singing in the Chu capital of Ying 郢: »There was once a guest who sang in Ying. As he started with songs like Small Villages and People in Ba, thousands of the citizens gathered and sang in harmony with him; as he sang [Mount] Yang’e and Dew on the Onion Leaves, hundreds of citizens gathered and sang in harmony with him; as he sang Sunny Spring and White Snow, only several dozen citizens gathered and sang in harmony with him; and as he stretched the shang-notes, accentuated the yu-notes, and mixed the notes with gliding zi-notes, merely a handful gathered and sang in harmony with him. Therefore, the higher his pitches went, the fewer people could sing in harmony with him.« The story underlines how the folk in the Chu capital sang in harmony with each other: the singing

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CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

2.3.1  A drum mounted on a rack with a socket in the shape of two tigers (or deer), belonging to the unique musical instruments of Chu

of one person could mobilize thousands of people to sing in harmony. The popular folk songs there included local tunes of the Chu people as well as songs of other tribes (such as the Ba people). There were songs of diverse levels of difficulty, including Small Villages, People in Ba, Sunny Spring, White Snow, etc. They demonstrated a diversity of songs that included classical and folk songs, which were of various levels of difficulty in terms of artistic skill. The book Songs of Chu is undoubtedly a magnificent product and brilliant representative of the poetry, music, and dance of the Chu people, as

has been introduced above concerning song and dance in works such as Qu Yuan’s »Nine Songs.« In the lower reaches of the Yangtze River, great vassal states such as Wu and Yue also had their own distinctive songs. For instance, the Spring and Autumn Annals of Wu and Yue mentions Song of a Fisherman (Yufu ge 渔父歌). It is said that as Wu Yuan fled from Chu to Wu with pursuers closely behind him, he called to a fisherman in the Yangtze River. Willing to ferry him, the fisherman sang an appointment as follows: »The sun and the moon shine brightly, your pursuers have already gone past. I will meet you in the reed-beds.« As

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Wu Yuan met him in the reed-beds, the fisherman sang again as follows: »The sun has already set, your heart is sad; the moon has already risen, why do you not cross the river? Matters are pressing, what is to be done?« After he had ferried Wu Yuan across the river, the fisherman capsized his boat and sank himself into the river. The section »Virtuous Speech« (»Shanshuo« 善说) in the Garden of Persuasion (Shuo yuan 说 苑) records Song of a Yue Man (Yueren ge 越人 歌), which is also called Song of a Yue Boatman (Bangyi Yueren ge 榜枻越人歌). According to this section, as Zixi, the Lord of E, once travelled by a boat steered by a Yue man, he heard the latter singing in his Yue dialect. Thereupon, Zixi translated the song in his own Chu dialect as follows: »Oh! What a night is tonight, we are rowing on the river. Oh! What kind of day is today? I get to share a boat with a prince. The prince’s kindness makes me bashful, I take no notice of the people’s mocking cries. Ignorant, but not uncared for, I made acquaintance with a prince. There are trees in the mountains and there are branches on the trees—I adore you, oh! You do not know.« 3. Expressive Techniques in Jing Ke’s Song of the Yi River Both the chapter »Strategies of Yan, Part III« (»Yan ce san« 燕策三) in the Strategies of the Warring States and the chapter »Biographies of the Assassins« in The Grand Scribe’s Records describe how Jing Ke took leave of those who sent him off at the Yi River before setting off to assassinate the first Emperor of Qin: »They departed. The prince and guests who knew of Jing Ke’s mission were all dressed in white mourning robes and caps to see him off. They went with him as far as the Yi River. He made sacrifice to the gods of the place to grant him a good journey. Gao Jianli struck the strings of his zhu-lute and Jing Ke sang in harmony with him in a sad key of bianzi. All the officers who listened wept. Then he walked away singing: ›Harshly soughs the wind, oh—cold the waters of

SECTION 3 VOCAL ARTS OF THE WARRING STATES PERIOD

the Yi. The knight who leaves you now, oh—you shall nevermore see.‹ Shifting to the key of yu, he became more energetic and the eyes of the knights glared and their hair bristled beneath their caps. Thereupon, Jing Ke mounted his carriage and left, never once looking back.« Between the bianzi-key and the yu-key, there is an interval of a minor third. Jing Ke was not a professional singer, though he could sing such a tragic and stirring song. Furthermore, he was able to change keys in his songs to create a variety of tunes, expressing a more exciting and intoxicating mood and leading his singing to a climax. This indicates that the composition of songs already demonstrated a rich variety of expressive techniques, and that singing skill in social life was at a high level of artistic expression in terms of mood and content. The preliminary knowledge of the concrete shape and structure of a zhu-lute, as the one played by Gao Jianli, was gathered after one of such musical instruments was unearthed from Han Dynasty Tomb no. 3 at Mawangdui, Changsha, Hunan Province.

2. The Emergence of Famous Folk Singers during the Warring States Period During the Warring States Period, various famous folk musicians emerged. Active among all social strata, they had exquisite skill and made important contributions to the arts. Several of them were favored by the vassal lords and other nobles, while others were active among the folk. They often took singing as their profession and were no longer dependent on the courts. Hence, they had considerable personal freedom and room to maneuver. Their singing performances and teaching activities in various states and regions received wide acclaim and had a relatively large influence on social life. For instance, Chunyu Kun told Mencius that the people living to the west of the Qi River in the Wei State could sing particularly well because Wang Bao, a good singer in the state, lived near the river. And the people in the

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west of the Qi State could sing particularly well as well because Mian Ju, another good singer, lived in Taotang in that region. Furthermore, Qin Qing, a folk singer who made the teaching of singing his profession, emerged at that time as well. The historical records of these famous pre-Qin singers are important indications that the art of singing was becoming increasingly mature. During the Warring States Period, several singers were especially favored by their rulers. For instance, the chapter »Zhao: Hereditary House« (»Zhao shijia« 赵世家) in The Grand Scribe’s Records mentions that Marquis Lie of Zhao favored two singers, whose names were Qiang and Shi, and wished to grant them prominent positions. Unsuccessful, he again wished to give each of them 10,000 acres of arable land. It became difficult for Gong Zhonglian, the chancellor, to oppose the marquis directly. As a result, he adopted the tactic of »deliberate procrastination,« where he granted the marquis his request but did nothing. In response to the repeated reminders of the marquis, the chancellor simply declared that he could not go to work due to illness. The favors that those two singers received from the marquis were not related to any other further reason beyond their singing skill. It seems that the particular hobby and intense favor of the marquis for the singing art played a role on the one hand; on the other hand, those two singers stood out among numerous artists around the marquis due to their extraordinary virtuosity. The chapter »Outer Congeries of Sayings: Upper Left« (»Waichu shuo zuoshang« 外储说左上) in Han Feizi mentions an interesting test of the effect of the singing of two singers, Ougui and Sheji. Furthermore, the chapter of »Questions of Tang« (»Tang wen« 汤问) in Master Lie (Liezi 列子) records the stories of two famous folk singers, Qin Qing and Han E. Qin Qing had superlative singing skills and made the teaching of singing his profession. Xue Tan, his student, thought that he had completely mastered his teacher’s skills,

CHAPTER III SONG AND THE ART OF SINGING IN THE XIA, SHANG, AND ZHOU DYNASTIES

and asked to graduate from the singing school ahead of schedule—so that he could return home. Qin Qing did not retain him, but instead held a banquet in the suburbs to see him off. During the banquet, the teacher »sang a sad air while beating the time.« His sang so loudly and sonorously that »the sound shook the trees in the forest, and the echoes stilled the drifting clouds.« Xue Tan realized his superficiality, and apologizing immediately and earnestly to the teacher, he asked to be allowed to stay with him and continue his studies. And for the rest of his life, he never dared to speak of going home. Han E, a female folk singer, went eastward to Linzi, the Qi capital. Running out of provisions, she had to trade her songs for a meal at Yong Gate. Her voice was so beautiful that even after she was gone, »the lingering notes curled round the beams [of the gate] and did not die away for three days,« making bystanders think that she was still there. Once, as she stayed at an inn and was bullied by someone there, her »mournful wailing in long drawn-out notes« unexpectedly made »all the people in the quarter, old and young, look at each other sadly with tears dripping down their faces, and they were unable to eat for three days.« As she was trying to go away, she was quickly hurried after. After she was brought back, she »sang them a long ballad in drawn-out notes again.« On hearing the ballad, which this time was happy, the people could not help but skipping with joy and dancing to handclaps. From then on, the people at Yong Gate were good at melodious wailing, for which they became widely known. This was the result of their imitation of Han E’s singing.

3. The Songs of Chu The poems in the Classic of Poetry (including the epic songs in the »Eulogies«) are mostly short. In contrast, the Chu poems that were compiled in Songs of Chu include numerous magnificent, profound, and extensive works. Despite their lengths, the works of Qu Yuan and Song Yu in Songs of

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2.3.2 One of the painted Chu chime stones unearthed in Jiangling, Hubei Province, dating from the Warring States Period

Chu are lyrics that were sung and accompanied by music. Among them, the »Nine Songs,« »Nine Pieces« (»Jiu zhang« 九章) and »Nine Strophes« belonged to formal music and were melodious songs accompanied by music and dance ceremonies (Fig. 2.3.2). As mentioned above, Qu Yuan’s »Nine Songs« are sacrificial songs that were adapted from the folk songs of sorcery. In Chu, the »Nine Songs« also belonged to dance music. The »Nine Pieces« were also songs that were accompanied by music. The music and dance of Chu was closely associated with the music of sorcery, which had a canon of song and dance for worshipping the gods. Songs of Chu demonstrates an intensive air of sorcery. Certain individual strophes in Songs of Chu are marked for »vocal accompaniment« (shaoge 少歌),

»main theme« (chang 倡) and »epilogue« (luan 乱). The »epilogue« forms the end and climax of an entire song. Sometimes, an epilogue was sung in choir. The three marks are musical terms specifying the natures of individual strophes. In Songs of Chu, they were designed and clearly marked by the poets themselves. This indicates that Songs of Chu was originally a musical and literary work, which was meant to be accompanied by music. It had a variety of singing forms as well. The singers were males (sorcerers) and females (sorceresses). There were male and female arias as well as duets. In addition, there were also choirs with lead singers and harmonies sung by a crowd of bystanders or an audience.

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES The art of instrumental music in the Xia, Shang and Zhou Dynasties formed one of the great peaks in the history of the development of Chinese instrumental music. The court music of these Three Dynasties as represented by music of metal and stone instruments underwent a long development, culminating in a glorious peak in the Spring and Autumn Period and the Warring States Period. At present, the instruments of the Xia Dynasty that have been discovered include percussion instruments such as wooden drums, chime stones, pottery and bronze clapper-bells, as well as wind instruments such as pottery xun-flutes. This indicates that although the instruments of the Xia Dynasty were still in an early stage of development, they were a prelude to the splendid era of the music of metal and stone instruments in the history of Chinese music. Compared with the Xia Dynasty, the Shang Dynasty witnessed a much greater development in the art of instrumental music and the production of musical instruments. Accordingly, the excavated or handed-down musical instruments of the Shang Dynasty demonstrate a much greater diversity. The Western Zhou Dynasty already witnessed numerous types of musical instruments. Based on the vigorous development of instrumental music and the creation of many new instruments, the Zhou Dynasty produced the first classification system for musical instruments in China, the »Eight Sounds.« This term refers to eight materials of musical instruments: metal, stone, earth, animal hide, silk, wood, gourd, and bamboo. This classification system enjoyed important status and was significant not only in the history of Chinese mu-

sical instruments, but also in the global history of musical instruments. During the Spring and Autumn Period and the Warring States Period, »the collapse of the ritual system and the destitution of musical performances« led to the decline of the hierarchy of ritual and music as well as the old system of classical music on the one hand. On the other hand, it resulted in the more extensive and free usage of music of metal and stone instruments. Furthermore, the violation of the regulations of bell and drum music became a common phenomenon. Another phenomenon that became increasingly exaggerated is that the rulers and aristocrats of various vassal states increased their pleasure and joy and enlarged their bells and drums. This resulted in a great improvement in the scale and the level of instrumental music, and of the production of musical instruments, culminating in a glorious peak in the Spring and Autumn Period and the Warring States Period. The musical instruments unearthed from the tomb of Marquis Yi of Zeng, including chime bells, chime stones, etc., demonstrate astounding achievements and are a brilliant representative of the music culture of the pre-Qin Period, in terms of their sheer variety, large scales, and the high achievements in the musical lore inscribed on the chime bells and chime stones. During the Spring and Autumn Period and the Warring States Period, folk instrumental music also developed greatly. The unique art of the music of the qin-zither was unique in the art of instrumental music in this period.

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Section 1  Instrumental Music and Musical Instruments in the Xia and Shang Dynasties 1. Instrumental Music and Musical Instruments of the Xia Dynasty There are numerous important archaeological discoveries of instruments dating from the Xia Dynasty (or slightly earlier). Among them, those that are dated from the early stage of the Xia Dynasty or earlier include: (1) the alligator-drums and chime stones unearthed at a site of the Longshan Culture at Taosi in Xiangfen County, Shanxi Province; (2) the copper clapper-bells unearthed from tombs of the late phase of the Taosi Culture; (3) chime stones unearthed a site of the late phase of the Longshan Culture at Nansong in Wenxi County, Shanxi Province. These instruments are closely or perhaps even directly associated with the musical culture of the Xia Dynasty. The pottery xun-flutes unearthed at the Shaogou site in Yumen, Gansu Province, amount to more than 20 pieces. Hand-molded from red clay and sometimes painted, they are shaped like flat eggs that are hollow. Each individual xun-flute has a round embouchure hole on the top and three round finger holes on either shoulder and on the lower left side of the belly of its recto. Many of the xun-flutes have tails shaped like flat fishtails at their bottoms. The holes on the tails on either side of the embouchure holes were used for suspension. The Erlitou Culture discovered in places such as Yanshi, Henan Province, is a culture that can be chronologically ordered between Longshan Culture and early Shang Culture. Radiocarbon dating indicates that this culture existed between the 21st and the 17th century BCE, within the Xia Dynasty. More precisely, the latest research indicates that the first three phases of Erlitou Culture belonged to Xia Culture, while the fourth phase belonged

SECTION 1 INSTRUMENTAL MUSIC AND MUSICAL INSTRUMENTS IN THE XIA AND SHANG DYNASTIES

either to Xia Culture or to early Shang Culture. The musical instruments that were unearthed from the cultural layers of the second and the third phases of Erlitou Culture in Yanshi include wooden drums (merely traces), copper clapper-bells, pottery clapper-bells, pottery xun-flutes, etc. In conclusion, the musical instruments of the Xia Dynasty that were archaeologically discovered include percussion instruments such as wooden drums, single-piece chime stones, and clapper-bells, as well as wind instruments such as xunflutes, etc. It is worth noting that archaeologically discovered bells dating to the period between late Yangshao Culture and Erlitou Culture in Yanshi, Henan, including pottery clapper-bells, pottery yong-bells (yong 庸), copper clapper-bells, and the Erlitou clapper-bells, underwent the following transformation in their shapes: the horizontal cross-sections of the interior cavities of those musical instruments evolved from an oval shape into the »shape of two clasped barrel-tiles.« The latter form of the interior cavity was widely used for bronze musical instruments such as chime bells and bo-bells (bo 镈) in the Shang and Zhou dynasties and thereafter. If the copper bells of Taosi Culture and the pottery yong-bells of Keshengzhuang in Chang’an were merely the prelude to the advent of the era of music of metal and stone instruments, then the instruments of Erlitou Culture, including the bronze clapper-bells, chime stones, and xunflutes, formed the beginning of that splendid era.

2. Instrumental Music and Musical Instruments of the Shang Dynasty Ancient literature, divination texts on oracle bones, and unearthed musical instruments indicate that the instrumental music of the Shang Dynasty developed greatly compared with that of the Xia Dynasty. In the sacrificial activities and daily entertainment of court aristocrats, instrumental music performances took place frequently and had rich content. The types of musical instruments increased, the scales of the music ensembles were

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enlarged, and the performance skills were greatly improved. In the late Shang Period, chime bells and chime stones appeared in the Central Plains, indicating that they had evolved from simple rhythm instruments to melodic instruments. This inevitably promoted the diversification of the forms of instrumental ensembles. In addition, the southern peoples at that time also created their own distinctive bronze bells such as bo and yong. 1. Instrumental Music and Instruments of the Shang Dynasty Reflected in Oracle Bone Inscriptions In the Shang Dynasty, sacrificial rites took place frequently. Sacrificial music dances were often accompanied by musical instrument. Such musical instruments that are mentioned in the divination texts include chime stones, he-panpipes (he 龢 or he 和, a kind of small sheng-panpipe), yongbells (originally perhaps called nao 铙), yue-panpipes (yue 龠), drums, feng 酆, etc. Among them, drums, chime stones, yong-bells, and feng belong to percussion instruments, while yue-panpipes and he-panpipes belong to wind instruments. 2. Unearthed and Handed-Down Musical Instruments of the Shang Dynasty a. Alligator Drums Ancient legends refer to a unique kind of tuogu 鼍鼓, drum made of the hide of alligator. A big tomb in a cemetery of the early phase of Longshan Culture in Xiangfen, Shanxi Province, yielded an alligator-drum with a wooden shell that probably had one single drumhead made of alligator hide. The traces of an alligator-drum with a wooden shell dating to the late phase of Yinxu culture were discovered in a large tomb numbered 1217 at Xibeigang 西北冈 in Houjiazhuang 侯家庄 in Anyang, indicating that such drums that existed since the Xia Dynasty were still cherished by the nobles of the Shang Dynasty. Judging by the traces, the drum was placed horizontally; its two heads were

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made of alligator hide; its belly bulged in the shape of a barrel and was painted with a beast face pattern and a pattern of alligator hide. The overall height of the shell was about 68 cm, the diameter of the belly about 68 cm, and the diameter of either drumhead about 60 cm. The traces of a drum rack, which was about 150 cm high, were found as well. It seems that the alligator-drum was a »suspended drum« with two drumheads made of alligator hide, i.  e., it used to be performed after it was suspended on the rack. b. Bronze Drums Two bronze drums of the Shang Dynasty have been hitherto discovered. One is characterized through two top knobs shaped as birds. Unearthed at an unknown site, it has been exported to Japan. It has a barrel-shaped shell that is placed horizontally, two drumheads that incline slightly toward each other, two birdshaped knobs on its top, and four feet at its bottom. Its full height is 81.5  cm and its diameter 44.5 cm. The drumheads are decorated with alligator hide patterns, and either end of the drum shell bears patterns that imitate three rows of button-cap nails affixing the hide drumhead. This drum must have been a product of the late phase of Yinxu culture. The other drum, which has a saddle-shaped knob at its top, was unearthed at the bank of Dashi River at Wangjiazui in Chongyang City, Hubei Province. Its shape is similar to that of the above-mentioned specimen, apart from the saddle-shaped knob. It has oval drumheads and a hollow cuboidal foot with recesses. Its total height is 75.5 cm and its diameters are 36–39.5 cm. The drumheads with un-patterned surfaces are probably in imitation of drumheads made of cowhide. Either end of the drum shell bears the patterns of three rows of button-cap nails. The whole surface of the shell is engraved with patterns of deformed beast faces. Both bronze drums are imitations of wooden drums, which could be performed as »suspended drums« (xuangu 悬鼓) as well as »drums supported on feet« (zugu 足鼓).

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c. Clapper-bells Only a few of the discovered clapper-bells dating from the early phase of Shang culture have been identified as musical instruments. Most of the remaining ones may have been accessories for wheeled vehicles, horses, dogs, and elephants. Many bronze clapper-bells of the late Shang Dynasty have been unearthed, though none can be confirmed as musical instrument. Each of these clapper-bells has a shank and the shape of two clasped barrel-tiles, inheriting the basic features of the clapper-bells of Erlitou Culture but demonstrating certain changes as well. d. Chime Stones The single-piece chime stones dating from the early Shang Dynasty, such as those discovered at Dongxiafeng 东下冯 in Xiaxian County, Shanxi Province, and at Xiaoshuangqiao 小双桥 in Zhengzhou, Henan Province, were chipped out. Their sizes are relatively large. In the late Shang Dynasty, the production techniques progressed, and after a chime stone had been chipped out, it was carefully polished. For instance, such a single-piece chime stone patterned with a tiger motif, dating to the second phase of Yinxu Culture, was unearthed from Tomb no.  1, a large tomb at Wuguan Village in Yinxu. It is made of white and greenish marble that was carefully polished. It is 84 cm long, 43 cm high, and 2.5 cm thick. Its body is glossy and smooth. Of an even thickness, it has the shape that resembles a whale head. One of its sides is engraved with the pattern of a tiger with its mouth open. The tone of the chime stone is deep and lingering. Sets of chime stones began to appear in the second phase of Yinxu Culture in the Shang Dynasty. About five sets of chime stones have been hitherto identified, all from tombs in Yinxu. The collection at the Palace Museum includes a set of three pieces of chime stones bearing inscriptions that have not yet been deciphered completely. Made of black sedimentary rock, each chime stone has a flat base and a curved upper part. The shapes and the sizes of individual chime stones vary only

SECTION 1 INSTRUMENTAL MUSIC AND MUSICAL INSTRUMENTS IN THE XIA AND SHANG DYNASTIES

slightly. The length of the largest piece is 40 cm, its height 12 cm, and thicknesses are 2.4–3.1 cm. The chime stones produce tones that are lingering, capable of composing the following two tone rows: g a c (zi yu gong) d’ e’ g’ (shang jue zi)

e. Xun-flutes Xun-flutes of the early and middle Shang Dynasty have only been rarely discovered. Those of the late Shang Dynasty are more numerous, with mostly five finger holes each (three in the recto and two in the verso). Most of them are made of clay, while some of them are made of bone. They primarily produce tone rows consisting of four tones each; occasionally, five tones and two altered tones (altered gong and altered zi) are applied. Two xun-flutes, made of animal bone and white pottery, respectively, were unearthed from tomb M100 at Xibeigang, Houjiazhuang, Yinxu. Dating to the second phase of Yinxu Culture, both are engraved with patterns of large beast faces on their rectos and versos. Tone tests indicate that they can produce twelve tones within a minor tenth. Being the one that is slightly larger among the two, the white pottery xun-flute produces tones that are a major third lower. A tomb of the second phase of Yinxu Culture in Huixian County in Henan Province has yielded three pottery xun-flutes, including a big one and two small ones. They each can produce eleven tones within a major third. The tomb of Fu Hao at Yinxu also yielded two xun-flutes, a big one and a small one. The bigger one, which has undergone a tone test, can produce twelve tones within a major ninth. This indicates that xun-flutes of that time had been preliminarily serialized in two forms, i.  e., big and small. This further indicates that the Shang people had certain notions of pitch or even of absolute pitch. The form and structure of Chinese xun-flutes had been basically established by the late Shang Dy-

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nasty. Xun-flutes of the later generations basically inherited the Shang system, apart from slight increases or decreases of certain parts. f. Yong-bells Pottery yong-bells had already appeared in the late Neolithic. The late Shang Dynasty witnessed the emergence of the bronze yong-bell, which was the main bronze percussion instrument of the time. It was called nao for a long time (Fig.  2.4.1), though textual research indicates that yong was its original name. A yongbell is composed of two parts, a body with a flared mouth and a tubular shank. There are two types of yong-bells, those with short bodies and those with long bodies. When performing a yong-bell, the performer must hold the shank with one hand or plant the shank in the ground (or on a base) and strike the bell at the protrusion at the rim along the midline of its bell-face (i.  e., protrusion at the striking area of the bell-face) with the other hand. Yong-bells were often unearthed in groups of three pieces of the big, middle, and small sizes, respectively. Each group would form a set of chime yong-bells, such as those unearthed from Tomb no. 765 in the western zone of Yinxu. There are also sets consisting of five pieces each, such as the set from the tomb of Fu Hao at Xiaotun 小 屯 in Anyang. g. Yong-bells The term yong 镛 refers to a largescale yong-bell (yong 庸), which was formerly called large nao (danao 大铙). Two etymological works, Erya 尔雅 and Shuowen 说文, state that »a big bell is called a yong [镛].« Accordingly, Chen Mengjia called big bells yong 镛. Among such bells, those that were archaeologically discovered were distributed in the middle and lower reaches of the Yangtze River Basin, especially in Hunan, indicating that yong 镛 was a unique musical instrument in ancient Yue. The yong 镛 unearthed from a Shang tomb in Dayangzhou town, Xingan County, Jiangxi Province, is dated to the early or middle phase of Yinxu culture. It is the earliest

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specimen among those yong 镛 unearthed from tombs. Due to the large size of those without shanks, they could only have been planted on sockets to be performed. As a contrast, those with shanks can have been suspended during performances. The inner surfaces of the bodies are smooth, without any traces of filing that came into being by tuning, indicating that they are monotone instruments. h. Bo-bells Bo-bell was a type of bronze musical instrument of the ancient Yue tribe in southern China. A bo-bell has a shank, a flat mouth, and a wing on the spine ofeither side. Earlier bo-bells are shaped similarly to the clapper-bells of the Shang Dynasty. One of such examples, bearing spiral patterns and beast face patterns (Fig. 2.4.2), was unearthed from a late Shang Dynasty tomb at a dune in Chengjia Village, Xingan, Jiangxi. It has a shank in the shape of a square bracket, a flat top, a flat mouth, and a wing on either side. A bird is cast on either side of the flat top. The total height of the bell is 37 cm.

Section 2  The Development of Instrumental Music and Musical Instruments during the Western Zhou 1. The Numerous Zhou-dynasty Musical Instruments in Historical Records and the Classification System of the »Eight Sounds« The period between the Western Zhou Dynasty and the Spring and Autumn Period already witnessed numerous types of musical instruments. The Classic of Poetry alone mentions 29 types of musical instruments: gu-drum (gu 鼓), gao-drum (gao 鼛), ben-drum (ben 贲), ying-drum (ying 应), tian-drum (tian 田), suspended gu-drum, alligator-drum, tao-drum (tao 鞉), zhong-bell (zhong

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2.4.1 Yong-bell (nao-bell) from Yinxu

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2.4.2 A bo-bell of the ancient Yue tribe in southern China, unearthed at Dayangzhou Cillage in Xingan, Jiangxi

钟), yong-bell (yong 镛), nan-bell (nan 南), zhengbell (zheng 钲), chime stone, fou-pot, ya-bucket (ya 雅), zhu柷 (an instrument to give the sign for commencing), yu 圄 (or yu 敔, an instrument to give the sign for stopping), he-bell (he 和), luan-clapper-bell (luan 鸾), ling-clapper-bell (ling 铃), huang 簧, xiao-panpipe (xiao 箫), guanflute (guan 管), yue-panpipe (yue 籥), xun-flute, chi-flute (chi 篪), sheng-panpipe, qin-zither, and se-zither. Among them, the gu-drum, gao-drum, ben-drum, ying-drum, tian-drum, suspended gu-drum, alligator-drum, tao-drum, zhong-bell, yong-bell, nan-bell, zheng-bell, chime stone, foupot, ya-bucket, zhu, yu, he-bell, luan-clapper-bell, and ling-clapper-bell belong to percussion instruments; the xiao-panpipe, guan-flute, yue-panpipe, xun-flute, and chi-flute belong to wind instruments; the qin-zither and se-zither belong to string instruments; and the huang, a special

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

plucked string instrument, corresponds to the mouth organ that is still widely used today. Certain statistics even indicate that the Zhou musical instruments that are recorded in transmitted literature amount to around seventy. This provides a glimpse of the diversity of the musical instruments during the Zhou Dynasty and reflects the vigorous development of the art of instrumental music during that dynasty. Based on the vigorous development of instrumental music and the emergence of numerous new instruments, the Zhou Dynasty created the first classification of Chinese musical instruments, i.  e., the »Eight Sounds.« A passage in the chapter of »Ministry of Spring« in the Rites of Zhou reads: »The Grand Master masters the six-pitch scale that corresponds to six entities, [i.  e., Heaven, Earth, and the Four Cardinal Directions… The five notes] are materialized with the Eight Sounds, i.  e., metal, stone, earth, animal hide, silk, wood, gourd, and bamboo.« Zheng Xuan’s comment to this passage reads: »Metal refers to zhong-bells and yong-bells [yong 镛], stone denotes chime stones, earth stands for xun-flutes, animal hide concerns gu-drums and gao-drums, silk specifies qin-zithers and se-zithers, wood connotes zhu and yu, gourd represents sheng-panpipes, and bamboo signifies guan-flutes and xiao-flutes.« According to the chapter of »Discourses of Zhou, Part II« (»Zhouyu xia« 周语下) in the Discourses of the States, as Ling Zhoujiu talked about music, he referred to categories of musical instruments including metal, stone, silk, bamboo, gourd, pottery (i.  e., earth), animal hide, wood, etc. Hence, the system of the Eight Sounds divides musical instruments into eight categories, according to their material. In the history of the ancient musical instruments of the world, there have been various categorization systems for musical instruments. For the ancient Greeks, for instance, musical instruments were divided into string instruments, aerophones, and percussion instruments. Written in ancient

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India about 1,500 years ago, Natya Sastra states that string instruments, aerophones, and animal hide instruments form three individual groups. In addition, the Buddhist classics propose a classification of musical instruments into five categories, while the Jain classics suggest a classification into four categories. The Chinese notion of the Eight Sounds obviously belongs to one of the earliest classifications. The Eight Sounds, emphasizing the differences in the materials of musical instruments, bears profound cultural and historical connotations. Ancient Chinese musical instruments, compared with those in ancient Egypt, Persia, and Greece, were characterized by their numerous types; the large proportion of bronze instruments such as yong-bells, zhong-bells, and zheng-bells; as well as their grand scales. Due to the difficulty in obtaining raw materials and casting them in the Shang and Zhou dynasties, bronze objects were remarkably precious. People paid specific attention to many further materials of musical instruments as well. For instance, chime stones were optimally made of stone from the banks of the Si River. And sometimes precious stones and jade were also involved in the production of musical instruments. The classification of Eight Sounds according to the materials is also associated with the hierarchical system of ritual and music of the Zhou Dynasty. The types of musical instruments made of bronze and stone, their quantity, their materials, their combination, the number of dancers in a dancing row, and the repertoire were all manifestations of the identity and status of the person who was enjoying the music. There were sumptuary regulations for the emperor, vassal lords, grandees, and ordinary officers. No trespass was allowed. Therefore, it was no coincidence that people valued the materials and classified musical instruments accordingly. Although the classification of Eight Sounds is afflicted with deficiencies from the perspective of

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the modern taxonomy of musical instruments, and is therefore seldom used any more, it is not only one of the earliest classifications of musical instruments in the world, but also one of the longest-used and most influential classifications in Chinese history.

2. Western Zhou Musical Instruments Through Archaeological Findings Certain musical instruments of the Shang Dynasty, including chime stones, bo-bells, xunflutes, etc., were inherited and developed in the Western Zhou Dynasty. But certain instruments that were popular in the Shang Dynasty, such as yong-bells (yong 庸), soon declined and were replaced by newly emerging and rapidly developing sets of yong-bells (yongzhong 甬钟) and niu-bells (niuzhong 钮钟). 1. Chime Stones The number of chime stones in a set in the Western Zhou Dynasty may have amounted to no less than five. Those largest sets contain about ten chime stones each. 2. Bo-bells During the Western Zhou Dynasty, bo-bells developed considerably and spread from southern China to the Guanzhong region in northern China, becoming precious implements of the Zhou aristocracy. Sets of three bo-bells came into being. For instance, a set unearthed at the West Zhou hoard in Yangjiacun 杨家村 in Meixian County, Shaanxi Province includes three bo-bells with tiger-shaped wings (Fig. 2.4.3). This set was obviously based on the archetypes of bo-bells of the Yue tribe that were originally produced in Hunan, but it also had prominent features known for the cultures of central China. 3. Yong-Bells Yong-bells (yong 庸) almost disappeared after the beginning of the Zhou Dynasty. So far, only two

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specimens of single-piece yong-bells of the Western Zhou Dynasty rather than sets have been archaeologically discovered. One of them (Fig. 2.4.4) that was unearthed from an early Western Zhou tomb (M13) at Zhuyuangou 竹园沟 in Baoji, Shaanxi Province, inherited the yong-bells of the Shang Dynasty in terms of shape, structure, and the pattern of large beast faces on the upper part of either face. But the frontal side of the shank is equipped with a circular »suspension ring« (gan 干) at its middle, indicating that the bell would have been suspended when it was being performed. This was an important development in the shape and structure of yong-bells.

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

yong-bell (yongzhong 甬钟). Its shape, structure, and performance demonstrated the following prominent characteristics: the shank is equipped with a suspension ring, which was used to suspend the bell with its mouth downwards as it was being performed; and the body of the bell is equipped with protruding »bosses« (mei 枚) (Fig.  2.4.5). Those bells that were performed in sets soon became popular in both northern and southern China.

4. Yong-bells An important new type of bronze musical instrument emerged in the Western Zhou Dynasty, the

5. Niu-bells On the cusp of the late Western Zhou Dynasty and the Spring and Autumn Period, sets of niu-bells emerged, which were equipped with arc- or loopshaped suspension devices instead of shanks. Together with yong-bells (yongzhong 甬钟), they formed the most important metal musical instru-

2.4.3 One of the bo-bells with tiger-shaped wings in a set unearthed at Yangjiacun, Meixian County

2.4.4 A single-piece yong-bell unearthed at Zhuyuangou in Baoji

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SECTION 2 THE DEVELOPMENT OF INSTRUMENTAL MUSIC AND MUSICAL INSTRUMENTS DURING THE WESTERN ZHOU

1. Structure of Bells in Clasped Double-BarrelTile Shapes and the Physics of Bitonal Bells All of the ancient Chinese bronze instruments, such as yong-bells (yongzhong 庸钟), yong-bells (yongzhong 镛钟), yong-bells (yongzhong 甬钟), niu-bells, and duo-bells, have oval horizontal cross sections. They produce unique tones that differ completely from western European bells and Buddhist bells with round horizontal cross sections. Shen Kuo, a scholar of the Northern Song Dynasty (Beisong 北宋), has already discussed the differences between the oval and round bells. In the chapter of »Additional Essays« (»Bu bitan« 补笔谈) in his Dream Pool Essays (Mengxi bitan 梦 溪笔谈), he points out that due to the unremitting reverberation of the round bell, if such bells would be used to perform music, tones of diverse pitches would reverberate and blend with each other so

2.4.5 One of eight bells from a set made by Zhongyi, unearthed at Qijia Village in Fufeng

ment between the Zhou Dynasty and the Qin and Han dynasties (Fig. 2.4.6). Furthermore, the unearthed musical instruments dating from the Western Zhou Dynasty also include duo-bells (duo 铎) and xun-flutes.

3. Representative Achievements in the Musical Acoustics of Western-Zhou Instruments Most of the traditional Chinese musical instruments derived directly from the pre-Qin Period. Some of the unique achievements in the acoustics of musical instruments that are remarkable in China’s or even the world’s history of musical instruments had already emerged and took shape in the Western Zhou Dynasty. In the following, a few examples with brief introductions will be given.

2.4.6 One of the niu-bells unearthed from Tomb no.1 at Xiasi in Xichuan, Henan Province

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that they would not differ from each other, and no melody could be discerned. In contrast, the ancient Chinese oval bell avoids excessively long reverberation due to a body shape that resembles two clasped barrel-tiles. Therefore, such bells could form sets that produced clear melodies. Today’s acoustic scientists point out that if an ordinary round bell is stimulated by an external force, the first sound that can be heard is a harmonic tone that is above the pitch of its fundamental tone (in the twelve-tone system). Only after this harmonic tone has attenuated, the fundamental tone will be gradually revealed. Therefore, a set of round bells would create not only sounds that are chaotic, but also the illusion of parallel fifths (or parallel twelfths). The clasped double-barrel-tile shape of the horizontal cross section of a pre-Qin chime bell is composed of a pair of arcs, the intersection angle of which is acute. The vertices of the angles formed by the two arched faces of a bell are crowned with two spines. These spines accelerate the attenuation of the tones on the one hand; and on the other hand, they create conditions to produce two different tones with one bell, as they form restrictions during the vibration of the bell walls and thus account for the special vibration mode of the bell body. In the West, people tried to resolve this defect of the mixed pitches of round bells, but they never found an ideal way comparable to ancient Chinese bells. Since the middle of the Western Zhou Dynasty, another characteristic of the clasped double-barrel-tile shaped bell is that the striking areas on the bell-face and on its side can clearly produce two fundamental tones that are a major third or a minor third apart from each other. This phenomenon, which never happens with a round bell, did not come into being accidentally or coincidentally. It was designed intentionally by ancient instrument makers, who had already professionally mastered the properties of the bells. As has been gradually revealed by modern musicologists, the physics of a bitonal bell depends on its clasped-

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

double-barrel-tile shaped structure and the structure of indentations (yinsui 音隧) or protrusions (yinji 音脊 or yinyuan 音塬) in its interior. In addition, the structure of indentations and protrusions that gradually came into being on the interior walls of the chime bells of the pre-Qin Period was also an important means to ensure the accurate production of the two fundamental tones. In order to produce these two different tones accurately, the difference between the thicknesses of the protrusions and indentations needed be appropriate. Accordingly, traces of filing for tone adjustment are mainly concentrated at the protrusions and indentations. This indicates that when the result of a bronze casting failed to achieve satisfactory distribution of the weight of a bell and hence affected its intonation, ancient musicians and artisans with practical experience were able to master the directions of the pitch lines and accordingly file the correct positions, thereby accurately adjusting the bitonality of the bell in conformity with the pitches of the remaining chime bells in a set. The remarkable skills based on the physics of acoustics ensured the accuracy of the tones of the whole set. The other parts of the bell body, its specific shape and structure, its size and proportion, its material, etc., are also closely associated with the tone production of the bell. For instance, the bosses on the bell are more than mere decorations. Scientific tests indicate that they, as part of the loads of sound waves in the vibration area, accelerate the attenuation of high-frequency tones, and promote the start of a steady vibration mode of the chime bell. The bitonality of a chime bell enriches its tone scale, expands its expressivity, and embellishes its tones. It is of great significance in numerous aspects, including the history of music, musical instruments, metallurgy, acoustics, etc. It is still of practical value today. As early as more than 2,000 years ago, Chinese musicians and skilled artisans had invented and skillfully performed bitonal

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bells. This is clear evidence of the brilliance of ancient Chinese civilization and an embodiment of the wisdom of our Chinese ancestors. 2. Physics of the Acoustics of the Shengpanpipe and Yu-panpipe: »Coupling between the Vibrating Reed and the Pipe Resonator« Sheng-panpipes have a long history. There are legends of the creation of sheng-panpipes by Nüwa in ancient times. According to certain research, the term »he« (龢) in the oracle bone inscriptions of the Shang Dynasty refers to a kind of small sheng-panpipe. In the Zhou Dynasty, sheng-panpipes and yu-panpipes were already widely used, as indicated by numerous descriptions in the Classic of Poetry. Today, the sheng-panpipe is still one of the most common folk instruments in China. The minority peoples still use many forms of sheng-panpipes, such as those made of gourds and reeds. Sheng-panpipes that are widely popular in countries in East and Southeast Asia are closely akin to the ancient sheng-panpipes and yu-panpipes of ancient China. The sheng-panpipe, which is a wind instrument consisting of multiple reed pipes, creates acoustics based on peculiar physics. It is equipped with rectangular free reeds, each of which is originally carved out of bamboo (later of copper). A reed has three sides that are free-standing and a remaining side that is connected with a pipe. When a reed vibrates, there is no obstruction that would stop its three free-standing sides from vibrating back and forth beyond the reed frame. In other words, a reed is a rectangular elastic body with one end fixed and the other end free to move. Modern reed aerophones such as the clarinet have reeds that cannot vibrate back and forth freely. Therefore, they only create sounds when being played by blowing. In contrast, a sheng-panpipe creates sound with a reed vibrating back and forth, no matter if it is played by blowing or by drawing. The sheng-panpipe can not only produce clear and rich tones, but is also able to perform harmony freely with strong expressivity. Sheng-panpipes

SECTION 3 THE DEVELOPMENT OF THE ART OF INSTRUMENTAL MUSIC DURING THE SPRING AND AUTUMN PERIOD AND THE WARRING STATES PERIOD

were introduced early to Korea, Japan, and countries in Southeast Asia. In addition, they were also introduced to Persia via the Silk Road. In 1777 CE, Jean Joseph Marie Amiot, a French missionary, brought a sheng-panpipe to Europe. Its distinctive physics of acoustics attracted the attention of musicians and scientists. Allegedly, after Johann Wilde played a Chinese sheng-panpipe in Saint Petersburg in Russia in 1780, Franz Kiršnik, a Danish organ maker who lived in Russia, first created organs with free-oscillating reeds, imitating the physics of acoustics of the Chinese free reeds of sheng-panpipes. It was not until then that organs were equipped with the free reeds that account for pleasant tones and enhanced expressivity, and became »the overture of modern music.« Later, inspired by the physics of acoustics of the sheng-panpipes, Gabriel-Joseph Grenié, a French musical instrument maker, created a harmonium in 1810. Christian Friedrich Ludwig Buschmann, a German, invented the harmonica in 1821 and the accordion in the following year. Therefore, ancient sheng-panpipes have exerted a positive influence on the improvement and innovation of reed aerophones in the modern West. Hence, Chinese folk musical instruments have also positively contributed to the development of the modern musical instruments of the world.

Section 3  The Development of the Art of Instrumental Music during the Spring and Autumn Period and the Warring States Period 1. The Collapse of the Ritual and Music System and the Development of the Music of Metals and Stones In the Spring and Autumn Period and the Warring States Period, »the ritual system had collapsed,

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and musical performances were destitute.« The »destitution of musical performances« was most obviously manifest in the more casual performances of metal and stone instruments, the gradual decline of classical music, and the increasing popularity of »new music« and the »music of Zheng and Wei.« With the decline of the old, classical music, the vassal lords of various states competed in upsetting ritual and music and pursued luxury and ostentatious styles, promoting the rapid development of music performed on metal and stone instruments. In the Warring States Period, various states increasingly engaged themselves in »enlarging their bells and drums.« Conspicuous examples include a few large yong-bells (yong 镛) that were unearthed in Ningxiang, Changsha, and other places in Hunan Province. Each piece weighs between 100 and 300 kg; as well as the chime bells weighing almost 2,600 kg in total from the tomb of Marquis Yi of Zeng. Luxurious ritual bronze implements and musical instruments were made on behalf of the rulers for purposes of their application in the sacrificial rites of the courts, in feasts for entertainment, as well as in burial rites, i.  e., they were buried together with large numbers of other goods in the tombs of the rulers. Especially in the late Spring and Autumn Period and the Warring States Period, the number of burials that upset the hierarchy of »distinction between noble and mean and identification of rank« increased remarkably, and the trend of rich funerals became increasingly common. For instance, the tomb of Marquis Zhao of Cai, which dates from the end of the Spring and Autumn Period and was unearthed in 1955 in Shouxian County, Anhui Province, was furnished extremely luxuriously with all kinds of goods. Among these tomb goods, bronze implements alone amount to 486 pieces, including cooking vessels, dining vessels, vessels for wine, vessels for hand-washing, and musical instruments. Each category of good

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consists of several groups or sets for different purposes. Hence, the tomb furnishing far exceeded the standard to which a vassal lord was entitled, although by the funeral of the marquis the Cai State was on the verge of collapse. Furthermore, gifts or bribes of metal and stone instruments were frequently made between the states. For instance, the famous set of chime bells of Marquis Yi of Zeng includes a bo-bell, which is nearly 1 m high and weighs 134.8 kg. It was cast on behalf of Xiong Zhang, a Chu King, as a funerary gift for the deceased marquis and as part of his tomb goods. The numerous ritual implements, musical instruments, and other utensils in the marquis’ tomb were unprecedented in magnificence.

2. A Thriving Folk Instrumental Music Scene In Linzi, the capital city of Qi, which already had 70,000 households during the Warring States Period, »not one of the people did not play the flute, strum the se-zither, strike the qin-zither, hit the strings of the zhu-lute, fight cocks, race dogs, play the board game liubo, or kick a ball.« This indicates that folk instrumental music was remarkably prosperous. Only on such a basis, huge instrumental ensembles—such as that of King Xuan of Qi, which »always had three hundred performers of yu-panpipes«—could emerge. The »Biographies of the Assassins« in juan no. 86 of The Grand Scribe’s Records mentions that Jing Ke »drank with the dog butcher and Gao Jianli in the marketplace of Yan every day. After they were well into their cups, Gao Jianli would strike his zhu-lute and Jing Ke would sing in harmony in the middle of the marketplace. They would enjoy themselves, then after a while they would weep, as if there was no one around.« This provides a glimpse of the music and daily life of the marketplace in the capital of Yan. These scenes can be pieced together to create a panorama of the flourishing folk music, singing, and dancing activities in various states at that

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time. Gu Jiegang has said that the Warring States’ music had a focus on »instrumental music« as opposed to »singing.« There is some truth in his remark. The poetical music and the recitation of poems that were popular in the Spring and Autumn Period gradually declined in the Warring States Period. In contrast, instrumental music indeed underwent conspicuous development both among the folk and in the court during the Warring States Period. The popularity and prosperity of folk instrumental music promoted the development and improvement of performance skills. Many outstanding performers emerged, among whom Gao Jianli was one of the representative figures. He was a »good performer of zhu-lute« among the folk in Yan and drank with Jing Ke in a marketplace in Yan. They sang in harmony and enjoyed themselves as if there was no one around. The »Biographies of the Assassins« in juan no. 86 of The Grand Scribe’s Records mentions that before Jing Ke set off to assassinate the King of Qin, the prince and the guests who knew of Jing Ke’s mission were all dressed in white mourning robes and caps to see him off. They went with him as far as the Yi River. »Gao Jianli struck the strings of his zhu-lute and Jing Ke sang in harmony with him in a sad key of bianzi. All the officers who listened, wept. Then he walked away singing: ›Harshly soughs the wind, oh—cold the waters of the Yi. The knight who leaves you now, oh—you shall nevermore see.‹ Shifting to the key of yu, he became more energetic and the eyes of the knights glared and their hair bristled beneath their caps. Thereupon, Jing Ke mounted his carriage and left, never once looking back.« This story has been frequently used as a subject in the stone carvings of the Han Dynasty. Between the bianzi-key and the yu-key, there is an interval of a minor third. This indicates that as Gao Jianli performed his zhu-lute, he successfully applied expressive skill such to match his singing and express a clear emotional transformation of the melody.

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3. The Unique Music of the Qin-Zither 1. Court Music of the Qin-zither in the Spring and Autumn Period The skills of performing the qin-zither developed rapidly in the Spring and Autumn and the Warring States periods. Among the court musicians in various states of the Spring and Autumn Period, there were numerous famous qin-zither performers, such as Shi Xiangzi of the Lu State, from whom Confucius learned to play the qinzither; Shi Cao of the Wei State, who taught the palace ladies of Duke Xian of Wei to play the qinzither. This indicates that the music of qin-zither was also popular in harems. Shi Kuang, the chief musician in the Jin State, represented the highest level of the music of qin-zither at that time. Shi Kuang, whose courtesy name was Yiye, is known through numerous legends between the pre-Qin Period and the Han Dynasty. These legends outline his primary flourishing period between the reigns of Duke Dao and Duke Ping of Jin (572–532 BCE), i.  e., slightly earlier than that of Confucius. He was not only a famous musician, but also exerted a positive influence on the political life of his time. Although he was blind, he had a good sense of hearing and distinguishing sounds. The section »Farsightedness« (»Changjian« 长见) of the chapter »Almanac for the Second Month of Winter« (»Zhongdong ji« 仲冬纪) of The Annals of Lü Buwei records that after King Ping of Jin had cast a set of chime bells, all musicians thought it well done, except for Shi Kuang, who thought it unproperly tuned and asserted that it should be recast. Later, as Shi Juan of Wei came to Jin, he listened to it and confirmed that Shi Kuang’s judgment was correct. Shi Kuang could sing and play many kinds of musical instruments. For instance, according to the Lost Book of Zhou, he could play se-zither. But he was especially good at playing qin-zither, as indicated by numerous magical legends about his qin-zither skills in transmitted literature. For instance, the chapter of »The Ten

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Faults« in Han Feizi includes such a legend. Apart from the deification of Shi Kuang, it indicates that qin-zither music was valued and cherished in the diplomatic activities in the courts of various states at that time, that Shi Kuang’s qin-zither art was respected in the pre-Qin Period, and that there were quite a few pieces of pure instrumental music performed by qin-zither at that time. Zhong Yi was another famous qin-zither performer who predated Shi Kuang. According to the chapter of »The 9th year of the Reign of Duke Cheng« (»Chenggong jiunian« 成公九年) in the Zuo Tradition, as the marquis of the Jin State surveyed the arsenal he saw Zhong Yi, a Chu prisoner at that time. He asked about him and found out that he held the hereditary »musician« office of his ancestors. Thereupon, he gave him a qin-zither, with which he played exclusively southern tunes. The marquis praised him for not forgetting his hometown and not abandoning his profession. After that he sent him back to Chu with courtesy. This story indicates that qin-zither music became popular remarkably early in various southern and northern states. The court of Chu, which called itself »barbarian,« did not only have qin-zither performers on a hereditary basis, but also developed distinctive qin-zither music in local styles. 2. Qin-zither Music and the Social Stratum of Ordinary Officers in the Spring and Autumn Period A passage in the chapter »Summary of the Rules of Propriety, Part  II« (»Quli xia« 曲礼下) in the Book of Rites reads: »Without a proper cause, an ordinary officer will not remove the qin-zither and se-zither [from his studio].« In the Spring and Autumn Period and the Warring States Period, the social stratum of the ordinary officers, which became increasingly stronger, had the closest relationship with qin-zithers. The ordinary officers originally formed the lowest level of the aristocracy. They were literate because they were educated in rites, music, calligraphy, and numerol-

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ogy; in addition, they also had martial prowess. At ordinary times, they acted as household aids of the ministers (qing 卿) and the grandees, and thus had the power to rule over the commoners. In wartime, they served as officers of the lower grades and had the duty to fight. Because they were warriors at times, qin-zither music was widespread in the army as well. According to the chapter of »The 24th year of the Reign of Duke Xiang« (»Xianggong ershisinian« 襄公二十四年) in the Zuo Tradition, Zhang Ge and Fu Li of the Jin State, as well as Shequan, who was the grandson of the Duke of Zheng and the charioteer sent out by the Zheng State, rode chariots and challenged the Chu troops. They carried out a thrilling and heroic raid: at first, Shequan proceeded with a »broad chariot« (guangche 广 车, i.  e., an attacking chariot), followed by Zhang Ge and Fu Li riding their »ordinary chariot« (chengche 乘车, i.  e., daily chariot). As they were about to reach the Chu troops, Zhang and Fu also got onto the broad chariot with Shequan. They both perched leisurely on a horizontal beam at the back of the chariot, playing their qin-zithers. As the broad chariot approached the Chu camp, Shequan dashed in without notifying them. Zhang and Fu quickly laid down their qin-zithers, took out their armor and helmets and put them on. Together with Shequan, they got out of the chariot and threw themselves at the enemy soldiers. They bravely seized the soldiers and pushed them back. After they seized some captives, they clamped them under their arms. At that point, Shequan got on the chariot and sped out of the ramparts, without notifying the other two. Zhang Ge and Fu Li hurriedly followed him and jumped on the chariot. Drawing out bows and arrows on the chariot, they shot at the enemy chasing them. Having escaped from the danger zone, they again perched on the horizontal beam at the back of the chariot. Playing their qin-zithers, they asked Shequan: »Noble Grandson of the Duke! We all rode the

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same chariot and fought like brothers. Why did you fail to confer with us both at the attack and at the retreat?« Shequan replied, »The first time I was so preoccupied entering the enemy camp that I had no time to confer with you. Then, seeing the enemy outnumbered us, I became afraid and could not wait anymore.« Knowing that this was an excuse, they laughed boldly and teased him, saying, »What a hasty temperament the noble grandson of the duke has!« In a concise and vivid manner, the Zuo Tradition depicts the brave and heroic images of the three warriors. In such a fierce battle, they still did not forget to play their qin-zithers, indicating the close relationship between the ordinary officers (warriors) and qinzither music at that time. Between the late Spring and Autumn Period and the Warring States Period, the society transformed dramatically, fundamentally changing the social status and the composition of the ordinary officers. During this period, numerous distinguished persons stood out from the growing stratum of the ordinary officers, who maintained the tradition of cherishing qin-zither music. For instance, Confucius was very fond of playing qin-zither. »He used to sing all 305 poems in the Classic of Poetry, playing a string instrument as accompaniment.« In addition, he carefully learned from Shi Xiangzi to play qin-zither. He taught disciples from all social strata the »Six Arts,« including among others music. Singing with his disciples all day long, he set a model for the later Confucian school, »without a proper cause, an ordinary officer will not remove the qin-zither and se-zither [from his studio].« This promoted the popularization of qinzither music. Boya, a famous qin-zither player among the folk, was active in the late Spring and Autumn Period. The personal dates of his life cannot be reconstructed. The earliest story about him is recorded in the chapter of »An Exhortation to learning« (»Quanxuan« 劝学) in Xunzi: »When Boya played the zither, the six horses [of the carriage of the em-

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peror] looked up from their fodder.« This passage reflects the charm of Boya’s music art with the behavior of horses. The section of »Fundamental Tastes« (»Benwei« 本味) in the chapter of »The Examination of Filial Conduct« (»Xiaoxing lian« 孝行览) of The Annals of Lü Buwei records the following famous story of the encounter between Boya and his »soul mate,« Zhong Ziqi: Whenever Bo Ya played qin-zither, Zhong Ziqi would listen to him. Once when he was playing the lute, his thoughts turned to Mount Tai. Zhong Ziqi said, »How splendidly you play the qin-zither! Lofty and majestic like Mount Tai.« A short time later, when his thoughts turned to rolling waters, Zhong Ziqi said, »How splendidly you play the qin-zither! Rolling and swelling like a rushing river.« When Zhong Ziqi died, Bo Ya smashed his qin-zither and cut its strings. To the end of his life, he never played qin-zither again because he felt that there was no one in the world worth playing for. Listening to the qin-zither music of Boya, Zhong Ziqi resonated with him and used the words »lofty and majestic like Mount Tai« and »rolling and swelling like a rushing river« to describe the purport and yearning in Boya’s music. This is a rare and fascinating story of someone »knowing music.« After Zhong Ziqi died, Boya was willing to destroy his qin-zither and never play qin-zither again. The resonance between the two friends in terms of their understanding of music became the model of highly tacit understanding in friendship, which has incessantly aroused envy from later generations (Fig. 2.4.7). Even though the story of Boya and Ziqi may have been recomposed in the process of its transmission, it is no coincidence that the ideal of a »soul mate,« i.  e., the perfect communication between musicians and listeners in the aesthetic process of perceiving music, has been proposed, and that this ideal was specifically realized through the qin-zither music. The premise of the story must have been the reality that the aesthetic appreciation of music and the expressivity of qin-zither

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2.4.7 Boya Playing Qin-zither, Yuan Dynasty, Collection of the Palace Museum

music in the pre-Qin Period had been highly developed. Although it is difficult to verify the personal data of Boya and Ziqi, the core of their story of aesthetic appreciation is likely based on similar events that actually took place. 3. The Burgeoning of the Qin-zither Music of the Warring States Period During the Warring States Period, the composition of the stratum of ordinary officers changed constantly, but the love of this stratum for qinzither music never decreased. On the basis of the universal development of music culture, including qin-zither music in the Warring States Period, famous folk qin-zither musicians such as Zou Ji and Yongmen Zhou emerged. They were not only good at playing qin-zither, but also used the qinzither as the vehicle for metaphor, respectively, with which they successfully presented their political ideas to their lords. According to the chapter »The Hereditary House of Tian Wan with Jingzhong as Posthumous Name« (»Tian Jingzhong Wan shijia« 田敬仲完世家) in juan no.  46 of The Grand Scribe’s Records, Zou Ji, relying on his skills of performing qin-zither, beseeched King Wei of Qi for a meeting. The king liked him so much that he let him live in a chamber to the right side of his own in the palace. After a

while, as King Wei began to play qin-zither, Zou Ji opened the door and praised him, »Well played!« Regarding him as a common sycophant, the king flew into a rage, pushed aside his qin-zither and held his sword at Zou Ji, saying: »How can you praise aloud anything when you don’t even know much about it?« Zou Ji calmly replied: »In general, the bass sounds of your thick strings appear gentle, embodying the image of a ›lord‹; the high-pitched sounds of your thin strings appear clear, embodying the image of a ›prime minister‹; your technique of ›snap‹ grips deeply, while your technique of ›release‹ is relaxing and restful, resembling ›government decree‹; your notes in individual scales sound harmoniously, with the loud and subtle sounds coordinated with each other and varying richly without interfering with each other, resembling the ›four seasons‹. This is how I know that you are playing the qin-zither well.« Agreeing with him, King Wei said: »You know well how to talk about music.« Zou Ji replied: »Was it only about music? My remarks involved the principles of governing a state and the appeasement of the people as well.« This argument made the king unhappy again, saying that how could music performed by an instrument made of strings and paulownia tree involve the principles of governing a state and the appeasement of the people. Zou

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Ji then used music as the vehicle of a metaphor to argue that governing a state was like playing a qin-zither. If the emperor, the prime minister, and the government decrees would achieve the state of »a tuned harmonization of the sounds and mutual supports between the big and the small parties,« i.  e., a state of thorough coordination, then a great peace would prevail. The king decided that his argument was good. As a result, »Master Zou Ji was entrusted the seal of the prime minister after meeting [the king] over three months.« This story indicates that at that time, there were also vassal lords and kings who loved qin-zither music and were even themselves good at playing it. Because King Wei of Qi was fond of music, could play qin-zither, and was good at receiving remonstrations, Zou Ji was able to take the opportunity to present his political ideas, using the qinzither as the vehicle of a metaphor. And as Zou Ji explained later, he praised the king for being »good at playing qin-zither,« not completely by motivation of flattery or disguise, i.  e., King Wei must have presented extraordinary qin-zither skills. According to the section »Virtuous Speech« in the Garden of Persuasions, Yongmen Zhou was also a folk qin-zither player who got his name from his dwelling place at the West Gate (called Yongmen then) in Linzi, the Qi capital. Relying on his qinzither skills, he went to meet Tian Wen, the Lord Mengchang. Tian Wen asked, »Sir, could you make me feel sad with your qin-zither performance?« Yongmen Zhou pointed out that listeners needed to have experienced a variety of misfortunes to resonate with a piece of sorrowful music. But a musician, no matter how skilled he was, could normally never make Lord Mengchang feel sad, who »lived in a stately residence with chambers deep inside,« was »surrounded by musicians, actors, and dwarfs,« and »welcomed by the sounds of chime bells and drums when entering any deep palace.« After Lord Mengchang had agreed with him, Yongmen Zhou went on to analyze his sit-

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uation, saying that since he had offended both Qin and Chu, he was in danger of ruin. Furthermore, he tried his best to depict sad scenes after the envisioned destruction of his state and family. His words touched Tian Wen’s heart so much that he »appeared grievous, with unshed tears on his eyelashes.« At that moment, Yongmen Zhou »held out his qin-zither and played it. Gradually changing the key from gong to zi, subtly added the yu-key and the jue-key, he abruptly brought it to an end and finished the tune.« Lord Mengchang »shed tears profusely and sobbed increasingly, and then turned to Yongmen Zhou, saying: »Sir, your qin-zither performance made me feel like one whose state has been ruined and whose city lost.« The success of Yongmen Zhou’s convincing speech was indispensable from his outstanding qin-zither skills. 4. Works of Qin-zither Music The previous chapter introduced parts the songs accompanied by qin-zither music (or songs with the accompaniment of string instruments) in the Spring and Autumn Period. In the Warring States Period, such songs decreased with the decline of the recitation of the Classic of Poetry, but they did not disappear. The composition of qin-zither songs was still common. For instance, the chapter of »The Great and Most Honoured Master« (»Da zongshi« 大宗师) in Zhuangzi describes the behavior of two of the friends of Zisang Hu after his death as follows: »one had composed a ditty and the other was playing on his qin-zither. Then they sang together in unison, ›Ah! come, Sang Hu! ah! come, Sang Hu! Your being true you’ve got again, while we, as men, still here remain, Oh!‹« This account is a realistic portrayal of activities concerning qin-zither songs. Legend has it that qin-zither music emerged extremely early on. For instance, according to the chapter »The Hereditary House of Song Weizi« (»Song Weizi shijia« 宋微子世家) in The Grand Scribe’s Records, as the admonition of Qizi was

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not accepted by King Zhou of Shang, »[Qizi] then let his hair down, pretended to be mad, and acted like a slave. Thereupon, he lived as a hermit and often plucked a zither to take pity on himself. For these reasons, [the music he played] was handed down and called the Fidelity of Qizi.« The above-mentioned case of Zhong Yi, a Chu prisoner who played »southern tunes« with a qin-zither for the marquis of the Jin State, also indicates that there were already qin-zither works embodying the musical characteristics of individual states in the Spring and Autumn Period. According to the chapter »The Hereditary House of Confucius« (»Kongzi shijia« 孔子世家) in The Grand Scribe’s Records, Confucius himself had composed a piece of qin-zither music that is called the Fidelity of Zou, to mourn two virtuous Grandees killed by Zhao Jianzi. This kind of qin-zither music without song was already a relatively independent form of pure instrumental music. Some of the works of qin-zither music in the Spring and Autumn Period already contained rich artistic content. Only through study with great concentration could a qin-zither player deeply explore the artistic character and aesthetics of those works. According to the chapter »The Hereditary House of Confucius,« Confucius learned qin-zither from Shi Xiangzi. Once he held fast to an old lesson and was reluctant to begin a new lesson for ten days. Through his unremitting study, he did not only manage to »get the mathematic [structure of music],« »its ideal meaning,« but also »[the demeanor of] the person [depicted in the music],« i.  e., he was not content with himself until the image of King Wen who was described in his qinzither music became apparent for the listeners. Originally, he did not know the title of the piece of qin-zither music, which he had learned. From the music itself, he gradually comprehended the subject described by the music. Shi Xiangzi, the court musician who supervised him in playing qin-zither music, could not help but admire him. Moving a little from his mat, he bowed to

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

Confucius. At the same time, he recalled that his teacher had told him that the song was indeed called the Fidelity of King Wen. Shi Xiangzi had repeatedly told Confucius that he »might go on learning more,« indicating that he had neglected the Fidelity of King Wen on the one hand and that he still had many pieces of qin-zither music to teach on the other hand. And Boya’s two pieces of qin-zither music, which were »lofty and majestic like Mount Tai« and »rolling and swelling like a rushing river,« respectively, must have been pure instrumental music without any lyrics or vocal accompaniment that would indicate their content. In ancient Greece, music was regarded as an adjunct to poetry. To the ancient Greeks, music originally referred to a theory of harmony, instead of vocal or instrumental performances. Western music historians point out that although the ancient Greeks had musical instruments such as diaulos and harp, they did not have works of pure instrumental music. It is said that in Europe, music was not detached from poetry until the advent of Christianity. Before that, music was regarded as a subordinate part of poetry, and it was thought that its effect on the mind was due to its association with poetry. But the Spring and Autumn Period in China already witnessed independent instrumental music represented by qinzither music, which was the glorious embodiment of the overall improvement of Chinese music and the high development of the art of instrumental music. To date, qin-zithers dating from the period between the early Warring States Period and the Western Han Dynasty have been exclusively unearthed in Hunan and Hubei provinces, which had been under the influence of the Chu State. They include the following specimens: (1) A qin-zither from the tomb of Marquis Yi of Zeng in Suixian county, Hubei Province. Dating from the early Warring States Period, it has a total length of only 67  cm, and ten strings;

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(2) A qin-zither from Tomb no.1 at Guodian Village, Jingmen, Hubei Province. Dating from the middle Warring States Period, it has a total length of 82 cm, and seven strings; (3) A painted qin-zither (seriously fragmented) from a Chu tomb at Wulipai 五里牌 in Changsha, Hunan Province. Dating from the late Warring States Period, it has a total length of about 80 cm, and up to nine strings; (4) A qin-zither from Tomb no.3 at Mawangdui in Changsha, Hunan Province. Dating from the early Western Han Dynasty, it has a total length of 82 cm, and seven strings. An ancient legend has it that the most original qin-zithers used to have five strings each. A legend in the Clear Sounds of Qin-zithers has it that »King Yao added two strings [to the original five].« Huan Tan stated in the chapter of »The Dao of Qinzither« (»Qin dao« 琴道) in his New Discussions (Xin lun 新论) that King Wen and King Wu of Zhou added one string each to the original five strings, resulting in the creation of the seven-string qinzither. Archaeological materials indicate that, in the early or middle Warring States Period, there was no fixed form of the seven-stringed qin-zither.

4. Various Developments of Instrumental Music and Musical Instruments 1. Increasing Types of Musical Instruments and New Combinations of Music Ensembles A pattern of regional cultures took shape gradually in the Spring and Autumn Period and the Warring States Period. This was is also reflected in the art of instrumental music, and in the musical instruments. Various musical instruments have come to light through archaeological excavations, including the goudiao-bell bearing an inscription that indicates its denotation as qici 其次, which is a characteristic instrument from the area of Wu an Yue; flat yong-bells (yongzhong 甬钟) that were popular with the Ba tribe in Sichuan and the

2.4.8 A bronze drum unearthed at Wanjiaba in Chuxiong, Yunnan Province, dating from the mid-Spring and Autumn Period

western parts of Hunan and Hubei; bronze bells (Fig.  2.4.8), niu-bells with round tops and flat mouths, goat-horn-shaped pan-bells (panzhong 鋬钟), bronze sheng-panpipes in the shapes of gourds, etc., of certain southwestern peoples. This indicates that instrumental music had developed greatly among various peoples in South China as well. This was the result of these southern peoples absorbing beneficial factors of the music culture of other regions, including the Central Plains, and making innovations based on their local cultural character. These instruments greatly promoted the diversity of the styles of music cultures in the pre-Qin Period and enriched the variety and depth of Chinese art. Certain instruments, such as yong-bells (yong 镛), gradually disappeared after the Spring and Autumn Period. They were replaced by musical instruments such as chime bells, which demonstrated more ideal musical properties and were sought after as a new fashion. During the Warring States Period, musical ensembles demonstrated forms that were more diversified than before. For instance, several new ensembles of grand scales appeared. The above-mentioned favorite performance of King Xuan of Qi,

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which »always had three hundred performers,« was a grand ensemble of panpipes in the category of sheng-panpipes. King Xuan of Qi’s straightforward fondness of luxury and bustling activities enabled the gentleman from the southern suburb to take advantage of a loophole, pretending to be part of the ensemble of yu-panpipes. Furthermore, a large-scale ensemble would also bring about new problems. For instance, it was a problem to tune and adjust the tones of sheng-panpipes and yu-panpipes, consisting of more than ten or even of dozens of pipes each in an ensemble of hundreds of performers. Although there were occasionally imposters passing themselves off as performers, the production and tuning of musical instruments could not have taken place without standards. Additional problems included how to unify the rhythm, how to commence, and how to finish a performance. The solutions to those problems would inevitably have promoted the overall development of the production of musical instruments, the performance, and the cooperation of ensembles. New combinations of musical instruments of martial music also emerged. In addition to the ordinary bells and drums that were indispensable in military campaigns, zheng-bells, duo-bells, chunyu-bells, and other instruments came into use. 2. Increasingly Sophisticated Production Techniques During the Warring States Period, techniques of producing musical instruments made great progress as well. In practice, people achieved considerable understanding of the relationship between sound and the vibration of an object, including understandings that were remarkably profound and unique. The section of »Xu Wugui« in Zhuangzi includes a record about »tuning se-zithers,« indicating that people at that time had already observed the phenomenon of the resonance of two se-zithers, where certain strings shared the

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

same pitches, such as strings producing the gongkey and the jue-key. Furthermore, they also observed the phenomenon of the resonance between the fundamental tones and the overtones of a sezither, i.  e., if the pitch of one string was successively changed, the vibration of that string would cause the resonance of other strings. In addition, people also noticed the influence of the thickness and length of a string as well as of the size and the thickness of a bell on the pitch of those instruments. This has been richly discussed in Records of the Examination of Craftsmanship (Kao gong ji 考工记), an official account from the Qi State of the early Warring States Period. In this period, the production of musical instruments underwent a great development in terms of their forms, styles, materials, production processes, and decorations (including lacquer-coating). Archaeologically discovered instruments dating from the late Spring and Autumn Period, such as the stone panpipe; and those dating from the Warring States Period, including a suspended drum with a tiger-shaped socket and a birdshaped rack, a lacquered se-zither, a painted set of chime stones, etc., demonstrate their own characteristics in material, shape, and decorations. The performance properties of the musical instruments were also greatly improved. The states that violated the hierarchical stipulations of ritual and music in pursuit of more luxurious and grand ensembles of metal and stone instruments greatly promoted the development and breakthrough of the scale, number, and performance properties of bells and chime stones in ensembles. In terms of the scale of ensembles of bells and chime stones, the Spring and Autumn Period and the Warring States Period had already exceeded the Western Zhou Dynasty. Sets of nine or more than ten chime bells emerged, including new combination of bells, such as yong-bells (yongzhong 甬钟) and niu-bells. The chime bell set of Marquis Yi of Zeng from Suixian County in Hubei, a set dating from the early Warring States Period, is particularly

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brilliant, with a total of 64 chime bells including yong-bells and niu-bells. From the Spring and Autumn Period, the influence of new music on court music increased, chime bells underwent a rapid transformation into melodic instruments, and the structures of tone rows became more complex. Certain individual chime bell sets in the early Spring and Autumn Period were able to perform complete pentatonic scales on the striking areas in the lower thirds of the blee-faces, while certain individual chime bell sets in the late Spring and Autumn Period were able to perform hexatonic or heptatonic scales. In the early Warring States Period, the scales of certain chime bell sets, containing altered notes, went beyond heptatonic scale. Astonishingly, the central part of the chime bell set of Marquis Yi of Zeng even comprised the gamut of twelve pitch-standards (shi’erlü 十二律), with a total chromatic range of five octaves and at least six mutations of the gamut through the change of keys. Among the archaeologically discovered qin-zithers, there are various forms, including those with seven strings each, those with ten strings each, etc. Their materials include the tree species catalpa ovata, paulownia, catalpa bungei, toona sinensis, and even the mulberry tree. It is said that the region called »Kongsang« (空桑, or Qiongshang 穷桑) in the State of Lu produced trees that were the most suitable material for qin-zithers and se-zithers.

5. Representing the Glory of Pre-Qin Musical Culture: Instruments from the Tomb of Marquis Yi of Zeng The music of metal and stone instruments in the pre-Qin Period reached a brilliant peak between the end of the Spring and Autumn Period and the early Warring States Period. In 1978, musical instruments, including chime bells, chime stones, etc., were unearthed from the tomb of Marquis Yi of Zeng in Suixian County, Hubei Province. In terms of their sheer variety, large scale, and the

SECTION 3 THE DEVELOPMENT OF THE ART OF INSTRUMENTAL MUSIC DURING THE SPRING AND AUTUMN PERIOD AND THE WARRING STATES PERIOD

high achievement of the lore of musical temperament embodied in the inscriptions on the chime bells and chime stones, they demonstrated the astounding achievements of the music of metal and stone instruments and became a brilliant representative of the musical culture of the pre-Qin Period. In the early years of the Warring States Period, the State of Zeng was only a small vassal state of Chu. However, the tomb of Marquis Yi of Zeng surpassed several known tombs of kings or marquis, including Marquis Zhao of Cai, in terms of the number, the weight, and the quality of tomb goods. The large-scale tomb of Marquis Yi of Zeng was divided into four chambers, i.  e., the western, northern, eastern, and central chambers, covering a total area of 220 m2. The unearthed tomb goods amount to more than 7,000 pieces, including ritual bronze objects, utensils, musical instruments, weapons, parts of wheeled vehicles, horse harnesses, as well as gold articles, jades, and lacquered wooden wares. With a total weight of ten tons, the bronze objects from the tomb demonstrate not only a large variety, but also exceptional refinement. Therefore, it was an extremely rare discovery in the history of unearthed bronze objects. The metal and stone musical instruments from the tomb amount to 125 pieces that belong to eight categories, i.  e., bell, chime stone, drum, chi-flute, sheng-panpipe, vertical flute, qin-zither, and se-zither. Hence, the tomb resembled a large underground palace of music of the early Warring States Period. It is more than 2,400 years old. A grand ensemble of 115 metal and stone instruments was deposited in the central chamber. The most splendid among the instruments is a well-preserved set of chime bells (Fig. 2.4.9), consisting of 45 yong-bells, 19 niu-bells, and one bobell of a Chu king. The whole set of 65 bells weighs 2567 kg. The largest yong-bell is 152.3 cm high and weighs 203.6 kg. The whole set of chime bells is divided into eight groups, which are suspended in three tiers in a huge rack with an L-shaped hor-

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izontal cross-section. The yong-bells, forming five groups, are suspended under the beams of the middle and lower tiers of the rack. The niu-bells, forming three groups, are suspended under three beams of the upper tier. The rack is about 3  m high and has a total length of nearly 11 m. Both the upper and the lower parts of each pillar of the rack are shaped as bronze human figures, who wear swords and carry the huge wooden beams with exquisite paintings. With its L-shape placed on the southern side and alongside the western wall of the central chamber, the rack demarcated the stage of the ensemble. Individual bells bear inscriptions, most of which are inlayed with gold, making the whole set of chime bells appear resplendent and particularly magnificent. The bell set has a beautiful timbre. At the time of excavation, all the bells could sound and their tones were well preserved. The large bells in the lower tier have deep and rich sounds with great volumes and long lingering final notes. The bells in the middle tier have full and bright timbre. In

2.4.9 The chime bell set from the tomb of Marquis Yi of Zeng

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

comparison with the smaller bells, their sounds are crisper and briefer. The small niu-bells in the lower tier sound transparent and pure. The chime bells, chime stones, and their accessories bear inscriptions that amount to a total of some 4,000 characters, including more than 2,800 characters on the chime bells; the fragmentary inscriptions of some 600 characters on the chime stones; as well as the inscriptions on the beams of the bell rack, the suspension devices, and the case of the chime stones. The contents of the inscriptions can be divided into three parts, i.  e., commemorative inscriptions, musical notes, and the relationships of musical temperament. Judging by the formerly unearthed materials and repeated test performances using replicas of the chime bells, it became apparent that the chime bell set would have been performed on by five musicians. Two of the performers would have stood in front of the bell rack, hitting the large bells in the lower tier with a mallet each; while the remaining three performers would have stood be-

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SECTION 3 THE DEVELOPMENT OF THE ART OF INSTRUMENTAL MUSIC DURING THE SPRING AND AUTUMN PERIOD AND THE WARRING STATES PERIOD

2.4.10 Chime Stones and their rack unearthed from the tomb of Marquis Yi of Zeng

hind the rack, hitting the bells in the middle and upper tiers with two bell sticks each. Besides the 65 chime bells, the central chamber of the tomb yielded 32 chime stones, three drums, seven se-zithers, four sheng-panpipes, two xiao-panpipes, and two chi-flutes. Furthermore, the percussion devices of the chime bells, chime stones, and drums were also unearthed. The double-layered rack of the chime stones is supported by two bronze beasts with wings, each of which has a dragon’s head, a crane’s neck, a bird’s body, and a turtle’s feet (Fig.  2.4.10). Deposited in front of the northern wall of the central chamber, the chime stones formed together with the chime bells a scene, in which suspended metal and stone instruments were arranged on three sides, while instruments of silk and bamboo were presented in the middle. This indicates the basic structure of a huge court ensemble and the arrangement of musical instruments during live

performances. A large number of exquisite wine vessels were placed in front of the eastern wall of the central chamber, i.  e., opposite the music area surrounded by the bells and chime stones. It can be supposed that this position corresponds to the position in which the marquis and his guests would have enjoyed music during banquets. The chime stones amount to 32 pieces and are made of limestone. They are suspended in two tiers, each with 16 stones, which are further divided in two groups of six stones and ten stones, respectively. Together with them, two T-shaped chime stone hammers were found. During the performance of these instruments, the musician sat facing the audience, holding a hammer in either hand, and hit the sides of the stones. The unearthed xiao-panpipes have 13 pipes each. One of them could produce a hexatonic scale, although only seven or eight of its pipes could sound (Fig. 2.4.11).

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The three drums in the central chamber have a wooden shell and two drumheads each, but their shapes and structures differ from each other. The largest drum, which was mounted on a pole, has a barrel-shaped shell made of the tree species pterocarya stenoptera and two drumheads made of animal hide. By a long wooden pole that penetrates through the middle of its shell, the drum is held in a horizontal position over a bronze pedestal in the shape of coiled dragons. Painted with red and black lacquer, the shell has a length of 106 cm, the drumhead a diameter of 90 cm, and the pole a length of 365  cm. The pedestal has a height of 54  cm and a base with a diameter of 88 cm. This is an example of how the courts of the Warring States »enlarged their bells and drums.« The remaining two drums have a handle and a flat shape, respectively.

2.4.11 One of the two xiao-panpipes unearthed from the tomb of Marquis Yi of Zeng

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

The chi-flutes are made of the bamboo species pleioblastus amarus. Closed at both ends, each flute has one embouchure hole in its pipe at one end, a tone hole at the other end, as well as five finger holes. If the pipe is placed in a cylindrical coordinate system with a longitudinal axis through its hollow center and a polar axis through its embouchure hole, all the finger holes have the angular coordinate of 90°. Performed by ordinary finger techniques, the replica of the flute can produce ten half-notes. The musical instruments from the eastern chamber of the tomb amount to nine pieces, including five se-zither, one qin-zither, two sheng-panpipes, and one drum. In addition, a tuner of the chime bells, which was called junzhong 均钟, was discovered there as well. Hence, the instruments in the eastern chamber seem to have demonstrated the structure of a bedchamber ensemble. A mandarin-duck-shaped box unearthed in the western chamber of the tomb bears depicted scenes of beating a drum and hitting bells, reflecting the circumstances for performances of drums mounted on poles, chime bells, as well as chime stones. Various aspects concerning the chime bells and the chime stones, including their designs, production, tuning, suspension, etc., had reached a new level of development. This also held true for many other instruments. Musical instruments such as chime bells and chime stones and their inscriptions about musical temperament demonstrate brilliant achievements. For instance, the rang of the entire set of chime bells spans five octaves and a major second. The tone test of the chime bells indicates the existence of accurate absolute pitch at that time. The inscriptions on the chime bells and the chime stones reveal the denotations of twelve half-tones. The central range of the chime bells comprises a gamut of twelve pitch-standards, which can form a complete chromatic scale over three octaves. The restored chime stones can also produce twelve

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half-notes. This is evidence that the instruments of the pre-Qin Dynasty were capable of transposition through the change of keys. The tone test of the chime bells indicates that their keys can be transposed to form at least six mutations of the gamut. Music archaeologists have used the chime bells to successfully play music pieces composed by modern techniques such as harmony, polyphony, and modulation. It is indeed one of the wonders in the world’s history of music that ensembles and musical instruments of the 5th century BCE had already demonstrated such a magnificent scale and remarkable performance properties. Such luxurious and magnificent music of metal and stone instruments were owned by Marquis Yi of Zeng, a vassal lord of a small country. Accordingly, the luxury and vast scale of the court music and dance in the stronger vassal states are beyond the modern imagination. The ensemble in the central chamber may have required up to 20 musicians. In the tomb of Marquis Yi of Zeng, 21 young women aged between 13 and 26 were buried. Among them, eight were discovered in coffins beside the main coffin in the eastern chamber and the remaining 13 in coffins in the western chamber. It can be surmised that the women sharing a chamber with the tomb occupant were his concubines, while those who were buried in the western chamber were female musicians. And it is also possible that several of the concubines were musicians as well. The magnificent and spectacular ensemble of metal and stone instruments in the tomb of Marquis Yi of Zeng would have been performed by females, therefore, the nature of the music concerned was neither ancestral temple music that was offered to the former kings and that accompanied ritual performances such as »offering wines to the ancestors and between hosts and guests as well as gargling with wine«, nor was it »ancient music« to be listened to by Marquis Wen of Wei »in his square-cut dark robes and cap«; instead,

SECTION 3 THE DEVELOPMENT OF THE ART OF INSTRUMENTAL MUSIC DURING THE SPRING AND AUTUMN PERIOD AND THE WARRING STATES PERIOD

it must have been a kind of »female music« and »new music« that was intensely artistic and entertaining. In enumerating the brilliant achievements of the Xia, Shang, and Zhou dynasties in music, great importance has to be attached to the system and theory of musical temperament, since the people at that time had achieved high levels in this regard. However, due to the high professionalism and profundity of these problems as well as the space constraints, the present book does not include a separate chapter on this issue. Instead, a brief introduction will be given below. In the long course of the development of music in prehistoric China, the musical tones of diverse pitches gradually formed the musical tone system favored and commonly used by various primitive tribes. And the knowledge of musical temperament gradually increased, and was enriched. Musical instruments can produce timeless musical tones. Therefore, musical instruments mean something immortal, fixed, and tangible in the art of music. Archeological discoveries of primitive musical instruments provide some valuable clues to the development of archaic musical tone series in China. It is known that the 6,000 or 7,000-yearold Neolithic xun-flutes and whistles unearthed represent the relatively primitive form of pitched instruments. A number of bone flutes with multiple tone holes that were unearthed at Jiahu in Wuyang, Henan Province—the earliest one is nearly 9,000 years old—date from an earlier period than the above-mentioned pottery xun-flutes and bone whistles, but they have optimal shape and functionality. They represent the more developed forms of pitched instruments. They are the earliest and most important discoveries from prehistoric China in the history of the development of musical temperament. In the late Shang Dynasty, chime stones and chime yong-bells (bianyong 编庸) appeared, indicating that monophonic rhythm instruments began to be developed into sets of melodic instruments.

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From the middle or late Western Zhou Dynasty to the Warring States Period, the court music of chime bells and chime stones was highly developed. People’s understanding of musical temperament also entered the stage of the normalization of concepts and the calculation of relationships of measurement. Certain theories of musical temperament began to take clear shape: certain research indicates that pentatonic and heptatonic scales as well as the gamut of twelve pitch-standards appeared in the Western Zhou Dynasty. During the Spring and Autumn Period, the theory of musical temperament was intensified and summarized, forming an astounding mathematical structure for musical temperament. A prominent feature in music practice and theory at that time

CHAPTER IV THE ART OF INSTRUMENTAL MUSIC IN THE XIA, SHANG, AND ZHOU DYNASTIES

is the domination of the pentatonic scale that emphasized the position of the gong-key in the pentatonic scale. This also became a basic feature of Chinese traditional music. During the Warring States Period, brilliant achievements were made in the lore of musical temperament. The »tuning method« (shenglü fa 生律法) of »alternatively adding and subtracting a third« (sanfen sunyi fa 三分损益法) not only made a valuable contribution to the musical history of China but is also of great significance to the world. The inscriptions on musical instruments, such as the chime bells and chime stones unearthed from the tomb of Marquis Yi of Zeng, amply demonstrate the high levels reached by pre-Qin musical temperament.

CHAPTER V OVERVIEW OF BRONZE ART IN CHINA Section 1  The Origin of Bronze Art in China and the Formation of the Traditional Characteristics 1. The Emergence of Bronze Art 1. Early Bronze Products and Bronze Technology In the world’s history of metallurgical technology, the first metal that was widely used to make utensils was copper. So far, four copper objects dating to the Yangshao Period have been discovered in China. In the Longshan Period following the Yangshao Period, the number of coper products increased significantly and they were distributed across a larger area. More than ten sites yielded copper products. However, the manufacture of copper products in the period was still in its infancy. The manufacture of bronze products in the Xia Dynasty was improved greatly in comparison with that of the previous Longshan Period. Both in the Central Plains and in the northwest, the Xia bronze products outmatch those of the Longshan Period in terms of their number and quality. In the Central Plains, the Erlitou Culture, which is considered by many scholars to be the Xia Culture, demonstrated the highest level and the most representative processing technology for bronze. For instance, a typical site of this culture at Erlitou in Yanshi (which is the site with the densest concentration of unearthed bronze products) yielded bronze weapons and tools such as axes, ge-polearms, knives, awls, arrowheads, clapper-bells, and hooks unearthed

since 1959. In addition, bronze vessels such as jue 爵 and jia 斝, as well as bronze products combining various processing techniques, such as mirror-shaped bronze products and decorative bronze plaques inlaid with turquoise, were discovered. In the Xia Dynasty, the Central Plains had already left the Chalcolithic, and entered the Bronze Age. Its metallurgy and casting techniques for bronze products led the way in comparison with the other parts of China. But even those Erlitou bronze products that are remarkably complicated are relatively clumsy and not balanced enough. Most of the bronze products are undecorated; only a few of them are decorated with simple patterns of animal heads, sequin beads, diagonal plaids, spirals, etc. This phenomenon indicates that although the bronze technology of the Xia Dynasty had its own characteristics, it did not exceed the bronze technology of the initial phase much. Since the metal products in the early phases of both the Erlitou and the Qijia cultures are dominantly made of copper and those in the late phases of both cultures are made of bronze, China must have entered the Bronze Age in the Xia Dynasty—more precisely, China completed the transition from the Copper Age to the Bronze Age between the early and the late Xia Dynasty. 2. Time and Place of the Origination of Chinese Bronze Art The earliest Chinese bronze objects are knives discovered at Linjia 林家 in Dongxiang 东乡 County, Gansu Province. They are dated from a period between the Yangshao Culture and the Longshan Culture. Being simple and crude, the bronze knives were made for practical function rather

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than aesthetic appearance. Therefore, even when bronze products already appeared at the end of the Yangshao Period, they were not bronze art. Chinese bronze art must have originated later than those bronze products, i.  e., after the Longshan Period. In the Xia Dynasty, metallurgy underwent a great transition. This was first reflected in the widespread use of bronze products. The Glory of Yue (juan 11), which is ascribed to Yuan Kang 袁康 of the Western Han Dynasty, states that before the Xia Dynasty, weapons were made of jade and stone; while »in the era of King Yu, tong 铜 [the term can refer both to ›copper‹ and ›bronze‹] was used to create weapons«. Since copper is soft and not suitable for making weapons, the term tong, as a material of weapons, must refer to bronze, which is of a higher density. Legend has it that King Yu, the ancestral god of the Xia people, used copper to create weapons. This reflects the understanding of ancient humans of the technological achievements of the Xia Dynasty. Bronze products made up a large proportion of the metal products in the Xia Dynasty and basically replaced copper products in many areas, completely changing the Longshan custom of the primary usage of copper. Bronze products of this dynasty have been unearthed from various sites, from the Dazuizi site in Jinxian County at the southern end of the Liaodong Peninsula in the east to the Qugong site in Lhasa in Tibet, in the west. In this dynasty, relatively refined bronze products were no longer rare. A typical bronze vessel of the jue-type of the Erlitou Culture in the Central Plains has »a front part like a beak, a rear part like a tail, feet that are slim and pointed like ge-polearms, and two column-shaped protuberances like ears.« Scholars in the Song Dynasty thought that its shape was relatively similar to an abstract bird. This is the reason that it was called a jue, a small bird. A typical vessel of the jia-type has a shape similar to but slightly larger than jue. In addition, unlike the jue, it has neither a spout nor a tail. Ob-

Chapter V Overview of Bronze Art in China

2.5.1 Erlitou bronze plaque inlaid with turquoise forming beast-face pattern

viously, these two types of container shapes were not merely created for the sake of holding wine— instead, they were abstract artistic creations that bear certain meanings. A typical bronze plaque inlaid with turquoise in the Erlitou Culture was a type of decorative accessory that would be tied to the chest or waist of a nobleman at that time. Its basic shape, with a pattern frame, would be made of bronze, and its surface inlaid either with mosaic turquoise that filled out the frame or formed patterns such as beast faces. The bright decorations, peculiar perspective, and symmetry of the composition of the patterns reflects the level of bronze technology achieved in the Xia Dynasty (Fig. 2.5.1).

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In the Central Plains of the Xia Dynasty as well as the later Shang and Zhou dynasties, the major types of bronze vessels were those with ceremonial significance, and the expression of bronze art was mainly abstract or symbolic. Even animal-shaped objects or animal patterns often underwent conceptual and stylistic transformations, so that they demonstrate a certain mystery. These are the unique and most representative features of the styles of Chinese bronze art in the Xia, Shang, and Zhou dynasties. In the period corresponding to these Three Dynasties, bronze products of northwest China already demonstrated certain common features of the bronze products of the later pannorth. For instance, the types of the bronze products include primarily small tools and accessories; as a contrast, large sacrificial vessels were lacking, and the shapes of the products (especially those in animal shapes) tended to be realistic. These features differ significantly from the bronze art of the Central Plains but are basically identical with those of the later pan-northern styles of the bronze art that spread in the area that is demarcated in the north by southern Siberia and in the south by the later Great Wall. Therefore, Chinese bronze art must have originated in the region of the Central Plains and the region of Gansu and Qinghai in the Xia Dynasty. These two regions developed mutually independent fundaments of bronze technology, traditions of bronze art, and distinctive styles of bronze art. These traditions and styles formed the sources of two bronze art systems, i.  e., the system in the Central Plains and the system of North China, which always occupied the major positions in the bronze art of Chinese Bronze Age.

2. The Formation of Bronze Art Traditions in China 1. The Bronze Art System Centered in the Central Plains Judging by the hitherto discovered materials of the bronze art of the Xia, Shang, and Zhou dynasties

SECTION 1 THE ORIGIN OF BRONZE ART IN CHINA AND THE FORMATION OF THE TRADITIONAL CHARACTERISTICS

in China, there were at least three large bronze art systems and several small systems or subsystems with differentiated styles and traditions of bronze art. Among the three major systems, the one in the Central Plains was an independent system originating and developed locally. It was rarely influenced by foreign art and developed the most stable tradition. The system in North China was transcultural, with bronze art bearing numerous and intense steppe characteristics similar to the bronze art in southern Siberia or even at the coast of the Black Sea. The system in South China (more specifically, in the Yunnan-Guizhou Plateau and the Lingnan 岭南 area) was transcultural as well, producing bronze art styles with numerous similarities to the styles of Southeast Asia. Among these three systems, the one in the Central Plains dominated as an independent, most representative, and unique system of Chinese bronze art. The bronze art systems in further-off areas were either variants of the system in the Central Plains or were shared bronze cultures of several states. They cannot be regarded as representatives but instead merely as one of the constituent factors of Chinese bronze art styles. 2. The Unique Traditions of Chinese Bronze Art Artistic tradition refers to relatively stable symbolic thinking modes and aesthetics that were developed by humans in certain natural and social environments over a long period of time. Regarding the bronze art system in the Central Plains as a typical representative of Chinese bronze art and considering the positions and roles of the other systems, the characteristics of Chinese bronze art can be primarily summarized as follows: First, there was highly developed bronze technology, and various bronze art forms. Among the world’s ancient civilizations, China did not develop the earliest metallurgy in bronze. However, due to the natural environment and for ideological reasons, bronze was not only widely

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used and cast in astounding quantities in China, but also formed bronze products of a rich variety and distinct regional characteristics. In the Central Plains, a large amount of bronze was used to produce ritual vessels, musical instruments, and weapons, reflecting the idea that »the great affairs of the state lie with sacrifice and warfare.« On the contrary, bronze figures of humans, animals, and plants, as well as bronze tools for agricultural production were relatively sparse. Second, the forms of bronze art were relatively stable and durable. Since its formation, Chinese bronze art demonstrated cultural characteristics and unique artistic expressive techniques that were inherited by later generations, as well as regional diversity that remained relatively stable in later times. In the Central Plains, the shapes of the bronze products and the composition of patterns focused on conceptualized animal figures that could communicate between gods and humans. Their stylistic forms include generally abstract and exaggerated mystification and stylized technique. As a result, modern observers cannot clearly completely understand the meanings of these shapes and patterns. Therefore, records about the shapes of the bronze products of the Three Dynasties, such as »to cast cauldrons with images of various creatures« and »the Xia souvereign had the yi-vessel [yi 彝] in the shape of a chicken,« could hardly be explicated by later generations. In addition, mythological denotations of bronze decorations, such as the taotie 饕餮 (gluttonous monster), kuilong 夔龙 (kui-dragon), fengniao 凤鸟 (phoenix), chihui 螭虺 (hornless dragon), qiequ 窃曲 (qiequ-coil), and feiyi 肥遗 (feiyi-snake), came into being. Being imitated and used, these shapes and patterns survived a long period after they had emerged. Third, the dominant process of bronze casting was the mold casting. The method of casting with a mold has been practiced in China at the latest since 3,000 BCE. For instance, the bronze knives of Majiayao Culture unearthed at Linjia

Chapter V Overview of Bronze Art in China

in Dongxiang in Gansu Province were cast with a type of bipartite mold. Since then, this casting method became the basic and most widely used method for bronze casting in China. Both in the Central Plains and in the surrounding areas, the mold-casting method was always the main casting method. But in some areas in the south and north, stone molds were used instead of clay or pottery molds. The combination methods of molds mainly include single-side molds, double-side molds, and compound molds. In order to cast bronze products with complicated shapes and decorations, nesting molds were also applied. The variety of combined molds and the diversity of casting methods, such as the molding of the main body and accessories as a single piece, the separate molding of the main body and accessories before they were cast together (sometimes the main bodies and sometimes the accessories were cast first), and the separate molding of the main body and accessories before they were welded together, were supplemented by processes such as jade, gold, and silver inlaying; gilding; and lacquer painting. This resulted in the high development of the mold casting in China. The lost-wax method emerged relatively late in China. The earliest known specimens cast in this method include the bronze zhan-vessel (zhan 盏) of Xiong Shen 酓审, a Chu King, which is now in the collections of the Metropolitan Museum in the United States, and the footed bronze jin-table (jin 禁) and the bronze serving li-vessel (li 鬲) (Fig. 2.5.2) excavated from a tomb at Xiasi in Xichuan, Henan Province. The bronze zhan-vessel, dating from the late part of the middle Spring and Autumn Period, was made by King Gong of Chu (Chu Gongwang 楚共王). The bronze jin-table and the bronze serving li-vessel, dating from the late part of the middle Spring and Autumn Period or the joint of the middle and the late Spring and Autumn Period, were unearthed from the tomb of Yuan Zipeng 薳子倗, a Chu nobleman whose name appears in transmitted literature. It is much

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SECTION 2 THE HISTORICAL DEVELOPMENT OF BRONZE ART IN CHINA

2.5.2 An eared bronze serving li-vessel unearthed at Xiasi

easier to cast bronze by the lost-wax process than by the mold-casting process. Theoretically, the former process can be used to cast any shape, as well as extremely complex patterns. But due to the Chinese system of hereditary craftsmanship, artisans used the mold-casting process, a relatively unwieldy process, for generations and perfected it to produce objects with extremely complex shapes and patterns. Therefore, after the relatively advanced lost-wax process appeared in China, it was not widely used for a long period of time, and instead was only used as a supplement to the traditional mold-casting process. Due to the unevenness of the cultural developments in China, the formation of the above characteristics of Chinese bronze art took place during a relatively long process, and the bronze art traditions in the Central Plains emerged at the latest in the late Xia Dynasty. In the late phase of the Erlitou Culture, distinctive shapes of bronze ritual vessels, such as bronze jue-vessels and jia-vessels that were characteristic for the Central Plains had

already come into being. However, at that time, traditions of bronze art demonstrating characteristics of the regional cultures in North and South China did not emerge yet—they did not emerge until the late part of the early Shang Dynasty. The above-mentioned general characteristics constituted the basic traditions of Chinese bronze art. They were widely inherited by later generations.

Section 2  The Historical Development of Bronze Art in China If the emergence of those bronze vessels and their ornaments with symbolic significance indicated the emergence of Chinese bronze art, the Xia Dynasty can be regarded as the initial stage of the development of Chinese bronze art. As a category of art, bronze art did not end with the end of the Bronze Age. Historians generally believe that the Chinese Bronze Age existed between the Xia

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Dynasty and the joint of the Spring and Autumn Period and the Warring States Period, or between the Xia Dynasty and the unification of the Qin Dynasty. However, in the Qin and Han dynasties after the Chinese Bronze Age, bronze art was still developing slowly, and bronze manufacturing technology and the art of creating and decorating bronze products made further progress and innovations. For instance, the Qin and Han bronze wheeled vehicles and horses that are vividly shaped and exaggeratedly expressive, the Han bronze lamps and incense burners that were made by exquisite skills and unique craftsmanship, and the Qin and Han bronze mirrors that were created by diverse techniques and bear archaic patterns, etc., demonstrate a relatively high level of bronze art. In addition, in areas such as the Yunnan-Guizhou Plateau, bronze art reached its peak in the Qin and Han dynasties. Numerous, realistic, and vivid bronze artifacts such as the bronze products of the Shizhaishan 石寨山 Culture were created. Even in the Sui and Tang dynasties, bronze technology underwent a relatively large development in regard to the religious statues and bronze mirrors. The development of Chinese bronze art was by no means limited to the Xia, Shang, and Zhou dynasties or to the Bronze Age. Nevertheless, in terms of the widespread use of bronze products as well as the status and role of bronze art among various art categories, these Three Dynasties are undoubtedly the most important periods in the development of Chinese bronze art.

1. Periodization of Bronze Art in China Since its emergence, especially after the formation of its own distinctive characteristics and traditions, Chinese bronze art maintained its own characteristics and styles with strong and tenacious vitality for a long period of time. However, besides general artistic traditions, Chinese bronze art underwent constant transformations with the times, technological progress, and the transition of aesthetic interests. Such transformations took

Chapter V Overview of Bronze Art in China

place both slowly and gradually, but sometimes they occurred drastically and with a bounce, forming the distinct rhythm of the evolution of Chinese bronze art. The development of Chinese bronze art can be clearly divided into the following six stages. 1. The Stage of Origination This stage roughly corresponds to the late Xia and early Shang dynasties in Chinese history (i.  e., between the late phase of the Erlitou Culture of the Xia Dynasty and the early phase of the Erligang Culture of the Shang Dynasty or c.  1,800–1,500 BCE). During this stage, bronze cultures emerged pervasively in the Yellow River Basin and the eastern coastal areas. Among those cultures, the Qijia Culture and the Siba 四坝 Culture in the upper reaches of the Yellow River, the Erlitou Culture and the Xiaqiyuan 下七垣 Culture in the Central Plains, as well as the Yueshi 岳石 Culture and the lower layer of the Xiajiadian Culture in the Bohai 渤海 Rim Region yielded bronze products in varying quantities. Among these cultures, the Erlitou Culture in the Central Plains yielded bronze products of the most numerous types and the highest artistic levels. The Siba Culture in Gansu and Qinghai yielded the most densely distributed bronze products, of which the technical levels were no less than that of the Central Plains. Therefore, these two cultures formed two centers of early Bronze technology in China. The system of bronze culture of the Central Plains came into being and gradually took shape in this stage (Fig. 2.5.3). 2. The Stage of Development and Maturity In the stage between the late part of the early Shang Dynasty and the early part of the late Shang Dynasty (i.  e., the upper layer of the Erligang site of the Shang Dynasty and the early stage of the Yinxu site or the absolute dates of c. 1,500–1,250 BCE), Chinese bronze art gradually grew mature. During this stage, the system of bronze culture of the Central Plains had taken shape and expanded

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2.5.3  Chinese bronze art in the stage of origination

 

to the peripheries rapidly, i.  e., the advanced technology of bronze metallurgy in the Central Plains spread to all directions with the expansion of Shang Culture. The solemn and mighty bronze ritual vessels of the Central Plains, decorated primarily with motifs of beast face patterns, have been unearthed in the coast of the Bohai Sea in the east, in Xining in Qinghai Province in the west, at Xar Moron River in the west, as well as in the Xiang River Basin and the Gan 赣 River Basin in the south. Around the Central Plains, bronze cultures of increasing numbers began to rise as well, and the regional discrepancies of the bronze art became increasingly obvious. In South China, various bronze cultures flourished, including those that existed since the Xia Dynasty, such as the Sanxingdui Culture in the Sichuan Basin and the Maqiao Culture in Jiangsu and Zhejiang Provinces, and those bronze cultures that emerged newly in the Shang Dynasty, such as the Zaoshi



皂市 Culture in Hunan Province, the Wucheng 吴 城 Culture in Jiangxi Province, and the Hushu 湖 熟 Culture in the south of Jiangsu Province. Based on the combination of the bronze art of the Shang Culture in the Central Plains and the local traditions, these cultures gradually developed bronze art of their own characteristics, i.  e., a combination of solemnity, mightiness, and soft and gentle lines. The unearthed sites yielding bronze products dating to this stage outnumber those sites dating to earlier stage. In addition, they are distributed across a much vaster area. Certain sites of concentrated bronze discoveries and typical bronze ensembles were excavated. The most famous among them are the Zhengzhou Shangcheng 郑州商城 site in Henan Province, the Panlongcheng site 盘龙城 in Huangpi 黄陂 in Hubei Province, the pits of Sanxingdui site in Guanghan in Sichuan Province, and the Dayangzhou site in Xingan in Jiangxi Province, etc. (Fig. 2.5.4).

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2.5.4 The Development and maturity of Chinese bronze art (1) Shapes of bronze vessels (2) Patterns of bronze vessels (3) The late phase of the Erligang Culture (4) The early phase of the Yinxu Culture (5) The late phase of the Erligang Culture (6) The early phase of the Yinxu Culture

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3. The Stage of the First Peak After the development in the last stage, Chinese bronze art reached a peak between the late Shang Dynasty and the early Western Zhou Dynasty (i.  e., the middle and the late phase of the Yinxu site of the Shang Culture and the early period of the Zhou Culture or the absolute dates of c. 1,250–900 BCE). This is the stage of the first peak in the history of Chinese bronze art. In this stage, the distribution area of the system of bronze culture in the Central Plains was smaller than that in the previous stage, and the transition from the Shang Culture to the Zhou Culture was basically completed. The number of bronze products, their wide distribution, and their fine workmanship outmatched those in the previous stage. To the north of the Central Plains, a system of the northern bronze culture, which was relatively widespread, had emerged. During this stage, stable artistic styles of the bronze products of the northern system had been formed. The combination of a bronze battle axe with a tube for installing a grip, a bronze short sword with a quillon in the shape of two teeth, and a knife with an arched back and a teeth-shaped quillon became relatively stable. This, in addition to the three-dimensional animal figures on the flat sides of these bronze weapons and the animal-head-shaped pommels, constituted the distinctive features of northern bronze art. With the formation of the circle of pan-northern bronze culture, the northern bronze art began to exert its influence on the surrounding areas, reaching deep into the Gaotaishan 高台山 Culture in Northeast China and the Yanbulake 焉不拉克 Culture in eastern Xinjiang. In South China, the bronze cultures underwent various transformations during this stage as well: for instance, the Shi’erqiao 十二桥 Culture in the Sichuan Basin outmatched the previous Sanxingdui Culture in terms of the popularity of their typical bronze products; the Zaoshi Culture in Hunan reached its peak, with the emergence of sites such as Ningx-

iang yielding concentrated bronze products and of a large number of bronze products which are comparable with those most exquisite ones in the Central Plains; the Wucheng Culture in Jiangxi was on the brink of decline with no succeeding bronze culture that has been hitherto discovered; the Hushu Culture in the southern part of Jiangsu completed its transformation to the post-Hushu Culture. The bronze products in South China were still by and large imitations of those of the same stage in the Central Plains, but they were limited to several sporadic types (for instance, in the Shi’erqiao culture, arrays of bronze lei-vessels formed the main ritual vessels; and in Hunan, animal-shaped bronze vessels and large-scale percussion instruments were favored). Therefore, the local characteristics of the bronze art in South China were not as apparent as those in North China. More bronze products dating to this stage were unearthed than those of the previous stage and their types were more diverse. Important sites of bronze discoveries include Yinxu in Anyang in Henan Province, Harqin Zuoyi Mongol Autonomous County in Liaoning Province, Ningxiang in Hunan Province, Baoji in Shaanxi Province, etc. Typical discoveries of ensembles of bronze products include the ensemble in the tomb of Fu Hao at Yinxu, etc. The overall styles of bronze art of this stage are massive, heavy, delicate, and lavish (Fig. 2.5.5). 4. The Stage of the Stylistic Transition After reaching its first peak, Chinese bronze art began to decline and entered a valley between two peaks. This happened in a stage between the late part of the middle period of the Western Zhou Dynasty and the early or middle period of the Spring and Autumn Period (absolute dates c.  900–650 BCE). It was a stage when the Zhou Dynasty gradually declined. Nevertheless, it was also a stage when the characteristics of the Zhou Culture in the Central Plains took shape and spread to a relatively wide area. In this stage, the factors of

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Zhou Culture in the Central Plains had basically replaced the factors of Shang Culture, i.  e., the traditional bronze wine vessels of the Shang Culture were about to disappear, while an ensemble of new bronze food vessels and water vessels began to be established. The types of bronze vessels decreased but their forms were standardized. A strict system of combinations of bronze ritual vessels came into being, i.  e., the vessel types of ding-cauldron, gui-vessel (gui 簋), hu-jar, yi-ewer (yi 匜), and pan-tray became a basically fixed combination of ritual vessels. The bronze culture in North China pervasively entered a period of decline. But the Shuangfang 双房 Culture, a bronze culture in northeast China, began to enter a prosperous period and its bronze products developed their own styles. For instance, a kind of uniqueshaped short sword with a short grip and curved blades spread to a relatively wide area. During this stage, the bronze cultures in South China mostly declined. As a summary, the bronze casting in this stage focused on the pursuit of quantity and the casting process tended to be simplified. Bronze art of this period appears steady, uniform, concise, and lively (Fig. 2.5.6).

styles, though, there were obviously discrepancies among the subcultures of the states Jin, Qin, Chu, Qi, and Yan—which formed together with the Zhou Kingdom a so-called culture zone of the states of the Central Plains. Furthermore, certain further ancient states around this culture zone were remarkably active as well. In the north, the ethnic groups of Rong and Di 狄, which had threatened the Central Plains, gradually became highly mobile horse-riding peoples, creating a widespread new bronze culture with certain common features in the northern steppes and a system of the new northern bronze products. In the northeast, the system of bronze culture, which flourished since the Western Zhou Dynasty, maintained its cultural characteristics and had not yet been strongly impacted by the system of the bronze culture in the Central Plains. In the northwest, the Xirong people of the ethnic groups of Di 氐 and Qiang basically dispersed and disintegrated under the attack of the powerful Qin. Those who acknowledged allegiance to Qin migrated to the Hexi Corridor or the Western Sichuan Plateau. From that time, the thousands-year-old cultural tradition in the region of their origin was interrupted. In the south, the ethnic groups of Wu, Yue, and the Baiyue in the southeast were also remarkably active during this stage, creating prosperous cultures of Wu, Yue, and Baiyue successively; while the ancient states such as Ba and Shu 蜀 in the southwest also appeared frequently on the historical stage, with their cultures that demonstrated the final glory of the system of the bronze culture in the Sichuan Basin. With all the above-mentioned cultural background, the production technology of bronze was innovated and improved, the styles of bronze products were refreshed and varied, the regional characteristics became more

5. The Stage of the Second Peak After experiencing a trough of development, Chinese bronze art began to recover rapidly and reached the second peak between the middle Spring and Autumn Period and the joint of the middle and late Warring States Period (absolute dates 650–350 BCE). During this stage, the Zhou King in the Central Plains had lost his status of the lord of All Under Heaven, and several large vassal states began to rise, resulting in a geopolitical group centered on them. The bronze culture of the Central Plains had basically identical

bronze art during its first peak of development ◂ 2.5.5 Chinese (1) Shapes of bronze vessels (2) Decorative patterns on bronze vessels (3) The middle phase of Yinxu Culture (4) The

late phase of Yinxu Culture (5) Early Western Zhou (6) The middle phase of Yinxu Culture (7) The late phase of Yinxu Culture (8) Early Western Zhou

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2.5.6 Chinese bronze art in the stage of stylistic transitions (1) Shapes of bronze vessels (2) Decorative patterns on bronze vessels (3) Late Western Zhou (4) Early Spring and Autumn Period (5) Late Western Zhou 6) Early Spring and Autumn Period

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obvious, and the manufacture of bronze products appeared in a brand-new fashion. Ensembles of bronze products, including those discovered in Xinzheng in Henan Province, in the Chu tombs at Xiasi in Xichuan, in the tomb of a marquis of the Cai State in Shouxian in Anhui Province, at Jinsheng village in Taiyuan in Shanxi Province, and in the tomb of Marquis Yi of Zeng in Suixian County in Hubei Province, reflect the brilliance of bronze metallurgy in this stage. In this stage, the casting technology developed from the previous relatively simple mold-casting to a new emerging technology, i.  e., a combination of mold-casting as the major method and the lostwax casting as a supplement. The decoration technology of bronze products was no longer limited to a single method of cast patterns. New decorative techniques such as carving; inlaying with jade, gold, and silver; lacquer filling; and lacquer painting were widely used. These new techniques and new processes resulted in the diversity and extraordinary beauty of the bronze products of this stage. The status of traditional bronze ritual vessels was declining, new vessel types emerged or successively became popular, and the shapes of the bronze products changed frequently, producing a large number of bronze works with novel and unusual shapes, such as the square hu-jars with decorative figures of lotus flowers and cranes from Xinzheng, the bronze zun-vessel and its tray as well as the square jian-vessel (jian 鉴) of Marquis Yi of Zeng, and the bronze hu-jar with a gold lid from Nanyaozhuang. The contents and forms of the ornamentation were also constantly innovated, resulting in the detachment of the styles of bronze products from the mystery and harshness of the Shang Dynasty and the early Western Zhou Dynasty as well as the monotonousness and the roughness of the late Western Zhou Dynasty and the early Spring and Autumn Period. The bronze vessels of this stage were particularly embellished through the simplified but refined patterns of

mythical animal (such as panhui 蟠虺, panchi 蟠 螭, and sanhui 散虺), vivid patterns concerning the social life, various geometrical patterns, realistic animal patterns that have patterned layouts, as well as decorative inscriptions (Fig. 2.5.7). 6. The Stage of Decline and Transition This stage corresponds to the period between the late part of the middle Warring States Period and the mid-Han Dynasty (absolute dates c. 350–220 BCE). After more than two thousand years of development and evolution, on the one hand, the status of bronze products in the daily life was in constant decline at this stage. On the other hand, the trend of unification, the establishment of the powerful Qin and Han Empires, the rise of the Xiongnu 匈奴 Kingdom in the vast steppe area in the north, and the high development of bronze culture in the south, all brought new phenomena concerning bronze products. Representative ensembles of bronze products of this stage include those unearthed at Jincun 金 村 in Luoyang in Henan Province, in the tomb of a king of the Zhongshan State in Pingshan 平 山, Hebei Province, a Chu tomb at Baoshan in Hubei Province, a large tomb at Zhujiaji 朱家集 in Shouxian County in Anhui Province, the tomb of a king of the Nanyue 南越 State at Xianggang 象 岗 in Guangzhou, and the tomb of Liu Sheng 刘胜 and his wife in Mancheng 满城, Hebei Province. Since the middle or late Warring States Period, the styles of Chinese bronze products began to undergo important transitions. New casting techniques, new combinations, and new decoration techniques of bronze products gradually became the mainstream, resulting in the following distinctive features of the bronze products in this stage. First, many types of traditional bronze products in the Central Plains almost disappeared. Second, this stage witnessed a large number of new vessels, some of which were more popular than the others, such as the bronze fu-cauldrons (fu 釜), zun-wine vessels (zun 樽), he-vessels (he盉),

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dou-dippers (dou 斗), eared cups (erbei 耳杯), lamps, incense burners, mirrors, weights, belt hooks, etc., in the Central Plains; bronze drums, pails, containers of cowries, round-topped chime bells, goat-horn-shaped chime bells, etc., of the Shizhaishan Culture and the Nanyue Culture in the south; as well as bronze belt accessories and post accessories decorated with figures of beasts fighting or playing with each other in the Xiongnu and Xianbei 鲜卑 cultures in the north. Third, in terms of the decorative styles of bronze products, the traditional patterns of cast reliefs that used to dominate became rare. Instead, engraving and color painting became the main decorative techniques, while techniques such as gold and silver inlaying, gilding, and line engraving became more popular than in the previous stages. Fourth, un-patterned bronze products began to become fashionable. It was not until this stage that artistically shaped writing characters with decorative function were engraved or inlaid in the surfaces of bronze products (Fig. 2.5.8). Throughout the development of Chinese bronze art, the following phenomena are apparent: First, the overall styles of bronze products transformed from simple, light, and thin to massive and heavy, and then to complex, exquisite, light, and plain. Second, the types of ritual vessels evolved from few and simple to complex, diverse, and various, and finally and gradually decreased to two main types (i.  e., ding-cauldron and hu-jar). Third, the shapes of bronze products generally transformed from thin and long to short, and their centers of gravity moved from high to low. Fourth, the decoration motifs changed from the relatively ferocious animal patterns to more abstractly shaped animal patterns and geometric patterns. The

meanings of the patterns transformed from clear to vague, and their decorative purpose became increasingly obvious. Fifth, the constituents of decorative patterns transformed from simple line engravings and raised lines to slightly raised main patterns in background of fine lines, then to main patterns consisting of broad flat lines, and finally to extremely complicated reliefs or even fretwork patterns. These phenomena reflect the basic development lines of Chinese bronze art.

2. Characteristics and Causes for the Transformation of Bronze Art in China 1. Characteristics of the Transformation of Chinese Bronze Art First, through its long process of development and transformation, the bronze art of the Xia, Shang, and Zhou dynasties can be categorized into three systems, i.  e., those of the Central Plains, North China and South China. However, the developmental rhythms of these individual systems demonstrated a certain degree of synchronicity— as the bronze art of the Central Plains took shape, the bronze art in North China also originated; as the bronze art in the Central Plains reached its first peak, an archaic northern system of bronze art styles came into being, and the bronze art in the Yangtze River Basin in the south also developed certain characteristics of its own; as the bronze art in the Central Plains entered a valley, the bronze art in the north was in the doldrums, while the bronze art in the Yangtze River Basin in the south suffered under the phenomenon of the so-called »development lag«; and as the bronze art in the Central Plains reached its second peak, a novel northern system of bronze art styles came

bronze art in the stage of its second peak ◂ 2.5.7 Chinese (1) Shapes of bronze vessels (2) Decorative patterns on bronze vessels (3) Middle Spring and Autumn Period (4) The

joint of the Spring and Autumn Period and the Warring States Period (5) Early Warring States Period (6) Middle Spring and Autumn Period (7) The joint of the Spring and Autumn Period and the Warring States Period (8) Early Warring States Period

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2.5.8 Chinese bronze art in the stage of decline and transition (1) Shapes of bronze vessels (2) Decorative patterns on bronze vessels

into being as well, and the relatively independent bronze art in the regions of Lingnan and the Yunnan-Guizhou Plateau in the South suddenly flourished. This phenomenon of the synchronous developments of bronze art in the South, North, and Central China can be regarded as a prominent feature of the art transformation in the Three Dynasties. Second, Chinese bronze art, like bronze culture, demonstrates the development pattern of the »tradition of refinement and progress.« In the culture of archaeology, this tradition refers to a developmental pattern of cultural structure in which cultural characteristics or properties were incessantly reenforced and became increasingly complicated,

following a single development path. For instance, the bronze art of the Central Plains, which was the main body of Chinese bronze art, maintained its basic characteristics from its formation, although its scope of influence gradually expanded and its contents enriched. Although the Xia, Shang, and Zhou dynasties differed from each other in many aspects in terms of their cultural landscapes and artistic styles, the artistic traditions of the Three Dynasties were neither interrupted nor redirected; the cores of the bronze art of the Three Dynasties were continuously inherited, i.  e., the main characteristics of the bronze art remained the ensembles of bronze ritual vessels with ding-cauldrons as highlights, bronze ritual vessels in the shapes

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of abstract animals, stylized animal patterns, etc. The transformation of the bronze art in the Three Dynasties was merely manifested in its supplementation and development with the passage of time, resulting in its increasing perfection and complexion. This is also the reason why a clear division of the development process of the bronze art of the Three Dynasties is difficult. Generally, the earlier art forms already contained certain elements that became popular later, and the later art forms often comprised earlier elements for a long period of time. Therefore, another feature of the transformation of the bronze art in the Three Dynasties is the continuity in the development of bronze art, i.  e., there were no distinct boundaries between individual developing stages. Third, the development of Chinese bronze art underwent two peaks and a big valley, rather than a simple process from the origination to a flourishing period and then to the decline. In fact, after the second peak in the development history of Chinese bronze art, there was not only a gentle slope, but also small valleys and small peaks. After reaching its second peak between the middle or late Spring and Autumn Period and the early Warring States Period, bronze art was brought to a standstill and recession due to the impact of among others large-scale annexation wars in the late Warring States Period. A large amount of bronze was used for military purposes, among others. As a result, bronze utensils for daily use decreased in number; delicately decorated bronze products became even rarer; as a contrast, undecorated utensils of practical purposes became more popular. But in the early Western Han Dynasty, bronze technology was revived with the recovery of social economy. Numerous bronze products of extraordinary workmanship appeared. In terms of their artistic achievements, those widely acclaimed works were no less accomplished than those created in the stages of the peaks of bronze art, including the famous pieces from the tomb of Liu Sheng, the Prince of Jing of Zhong-

shan and his wife at Lingshan 陵山 in Mancheng in Hebei Province, such as a bronze hu-jars with gold and silver inlays and inscriptions of bird seal script (niaozhuan 鸟篆), a bronze incense burner with gold and silver inlays, a gilded bronze palace lady holding a lamp of the Changxin Palace, a bronze lamp in the shape of a phoenix, etc. Those pieces unearthed from an accompanying pit of the Maoling 茂陵 Mausoleum at Douma 豆马 village in Xingping 兴平 in Shaanxi Province, including a gilded bronze lamp with a long shaft shaped as a bamboo culm, gilded bronze horses, etc. The phenomenon of the flourishing of exquisite bronze products indicates the relatively complicated and tortuous process of the transformation of Chinese bronze art. Therefore, another noteworthy feature of the transformation of bronze art in the Three Dynasties is the tortuousness and complexity of the trajectory of its development. 2. Factors Influencing the Transformation of Bronze Art Among the factors restricting the transformation of Chinese bronze art, the primary one is the influence of the technological development level on the form and style of artistic expression. Bronze art is based on the most complicated and advanced bronze metallurgy and casting technology of the Xia, Shang, and Zhou dynasties. Hence, the emergence of each new technique and new process as well as each progress of the traditional techniques and processes exerted a direct or indirect influence on the transformation of bronze art. In these Three Dynasties, the mold-casting method was brought to perfection. Numerous delicate bronze products were indeed created with this method, although some scholars do not think it possible that they came into being without the lost-wax method. Such bronze products include three square he-vessels bearing the inscriptions of zuo 左 (left), zhong 中 (middle), and you 右 (right), respectively (Fig.  2.5.9); a large square zun-vessel decorated with four ram heads unearthed in

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2.5.9 A square bronze he-vessel bearing the inscription zuo

Hunan Province; a hu-jar (or you 卣) with a handle possibly unearthed in Hunan, in the shape of a tiger seizing a human; etc. Nevertheless, the mold-casting method must have been remarkably laborious for casting extremely complex objects, and it was incapable of casting certain bronze products such as those with fretwork. Therefore, after the lost-wax method, a relatively simple new casting method, emerged, those bronze products that used to be difficult or impossible to cast became relatively simple or at least possible to cast. After the late Spring and Autumn Period, the creation of those extremely lavish bronze products was closely associated with the emergence of the lost-wax method. In addition, the development and transformation of

Chapter V Overview of Bronze Art in China

bronze art was also influenced to varying degrees by the emergence of new techniques including the embedded-mode process; the progress of mold creation; the change of the proportion of copper, tin, and lead in the copper alloy; and the development of new processes. For instance, in the Central Plains, the tendency of lavishness and refinement of the bronze products began around the late Shang Dynasty, obviously in association with the flourishing of separate molding, the three-dimensional bronze ornamentation of the early Western Zhou Dynasty could only have been cast by the embedded-mold technique. The elaborate and meticulous bronze ornamentation between the late Spring and Autumn Period and the early Warring States Period was closely associated with the proportional change of the copper alloy and the progress of techniques in creating molds, and in the middle and late Warring States Period, the surficial color effect rather than the sculptural effect was emphasized in a certain association with new techniques such as gold and silver inlaying, lacquer painting, etc. (Fig. 2.5.10). Another important factor restricting the development of bronze art was the alternation of the dominant ancient tribes, and the resulting changes in creative concepts and aesthetics. The Xia, Shang and Zhou dynasties, which reigned over all with the Central Plains as their domains were founded by three ancient tribes, respectively. They worshiped heavenly deities and ancestral gods of completely different systems, resulting in the differences of their bronze ritual vessels in terms of the types and shapes. These differences are reflected in certain transmitted literature indicating that these Three Dynasties own distinct types of sacrificial vessels. In fact in each of these dynasties some new bronze vessel types emerged and others disappeared; as well as in the opinion of certain bronze vessel researchers that the Shang and the Zhou peoples emphasized the ensembles of bronze wine vessels and the ensembles of bronze food vessels, respectively.

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2.5.10 Changes in the appearance of bronze products brought by new bronze casting techniques

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In North China, the mainstream of the population during the Three Dynasties consisted of alternating ancient tribes. According to certain transmitted literature and certain bronze inscriptions, the powerful states or tribes to the north of the boundaries of the Shang and Zhou dynasties in the Central Plains include Guifang 鬼方, Xianyun 猃狁, Northern Di (Beidi 北狄), and Xiongnu 匈奴, which flourished in approximately the late Shang Dynasty, the late Western Zhou Dynasty, the Eastern Zhou Period (Dongzhou 东周), and from the late Warring States Period, respectively. Distributed in the regions in which these ancient tribes flourished, the northern bronze products demonstrate rhythms of development and transformation that roughly corresponded to those of the rise of these ancient tribes—for instance, the classical period, in which the earlier system of the northern bronze products emerged, corresponded roughly to the most powerful period of Guifang. The new period, in which the later system of the bronze products emerged, corresponded approximately to the period, in which the Northern Di raided the Central Plains, while the watershed and transition between these two periods coincided with the long period of the confrontation between Xianyun and the Western Zhou Dynasty. It is apparent that the alternation of the dominant ancient tribes led to the transformation of bronze products and their artistic styles. In the Sichuan Basin in the south, the alternation of the dominant ancient tribes was also closely associated with the styles of bronze art. According to certain research, the Sanxingdui Culture of the Xia and Shang dynasties may have been the remnants of the Baiguan 柏灌 tribe and the Yufu 鱼 凫 tribe, in the legends through ancient history. In the bronze art of this culture, importance was attached to the subject of sacrifices and the forging of the statues of the participates and animals in sacrifices; zun-vessels were the primary bronze ritual vessels and sacred sacrificial vessels. In the subsequent Shi’erqiao Culture and the Qingyang-

Chapter V Overview of Bronze Art in China

gong 青羊宫 Culture (Bashu 巴蜀 Culture), which may have been associated with the Duyu 杜宇 tribe and the Kaimin 开明 tribe in the legends, the bronze statues of the Sanxingdui Culture disappeared; lei-vessels instead of zun-vessels became the primary ritual vessels; and in parallel with the »ding-cauldron ensembles« of the Zhou Culture in the Central Plains, »lei-vessel ensembles« came into being. Furthermore, the social customs of individual eras, which are associated with the above-mentioned factors, formed another factor that influenced the transformation of the styles of bronze art. In the history of the Xia, Shang, and Zhou dynasties, the greatest social changes occurred during the Xia Dynasty and the Warring States Period. From the time the Xia Dynasty was established, the early Chinese dynasties, which had the powers to rally supporters and coordinate the surrounding states, began to impose their wills, religious thoughts, and artistic concepts onto their vassal states. Over time, these vassal states would consciously or unconsciously pursue the etiquette and norms established by these central dynasties and their artistic forms, thus forming the widespread and influential characteristics of Chinese bronze art that emphasized certain ritual vessels. By the Warring States Period, with the increasingly fierce annexation wars between the great powers, the old political and economic systems, ideologies, and cultures, which had been handed down for thousands of years, could no longer meet the needs of society. In terms of the political system, the traditional system of hereditary succession had been destroyed and the stratum of Ordinary Offices became unprecedentedly active. It became common that members of this stratum rose and became leading powers in civil and military affairs. In terms of the economic system, the old system of enfeoffment, the well-field system (jingtianzhi 井田制), and the system of »officially run handicrafts and mercantile trades« declined.

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Various states reformed successively, abolishing the well-field system, »[creating arable lands] by opening up the paths and ridges that marked the boundaries of the fields,« and rapidly privatizing handicrafts and commerce. In terms of the ideology and culture, the inherent thought of ruling by the virtue of king (wangdao 王道) was no longer honored. In the ingrained traditional rites and etiquette, not only the »rites« declined, but also the »etiquette« was no longer observed. This transition of social customs is reflected in the bronze art. Due to the abandonment of the traditional ritual system, bronze ritual vessels were replaced by more practical and more embellished vessel types, the shapes and decorative styles of bronze vessels became renewed and diverse, and the regional characteristics became more obvious. After the middle Warring States Period, the new styles of bronze vessels formed a sharp contrast to the previous traditional styles, opening up a new era. Finally, changes in the natural environment exerted influences on bronze art as well. This factor caused indirect changes in artistic styles, which were gradually reflected through a series of chain reactions. From the artistic point of view, when the surrounding environment changes, the natural objects imitated by the artists will also change; furthermore, the changes of the natural environment cause the transition of the human characters, which may also change the thinking modes of artistic creation and the expressive forms of artworks. For instance, during the Yangshao Period, a relatively warm and humid climate suitable for the growth of crops prevailed in the environment of northern bronze art, thus forming a prosperous agricultural culture on an endless plateau. But since the Longshan Period, temperatures, humidity, and rainfall decreased slowly. Around 1,500 BCE, the climate in the north became cold and dry, the formerly, relatively wet and rainy period was replaced by a dry and rainless period, and the ecological environment gradually deteriorated.

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Therefore, the previously developed agricultural economy in this region began to decline, and the formerly agriculture-oriented economic form was replaced by a semi-agricultural and semi-pastoral or pasturage-oriented economic form. This was reflected in the bronze art. For instance, the style of bronze art of the northern system emerged, which was characterized by the decorations of three-dimensional animal figures such as ram’s heads or standing rams on portable implements such as bronze short swords, knives with arched backs, battle axes with tubes for installing grips, etc. While the climate grew drier and colder during the Western Zhou Dynasty, the remnants of agriculture to the north of the boundary corresponding to the later Great Wall disappeared largely, the so-called nomads rose on the endless grassland and the deserts, herding cattle and sheep. These herders did not only adorn themselves with bronze products, but also decorated their mounts and horse-drawn vehicles with bronze accessories cast with patterns from their daily life—fierce tigers devouring sheep or deer, standing or lying sheep and deer, tame cattle and horses, etc. This demonstrates the influence of environment on bronze art.

Section 3  Regional Differences of Bronze Art in China According to the results of the archaeological research to date, the corpus of the Chinese bronze culture can be divided into nine relatively independent cultural systems, i.  e., the systems of the bronze culture in the Central Plains, areas in Qinghai, North China, northeast China, Sichuan Basin, areas in Hunan and Jiangxi, southeast China, South China, and the Yunnan-Guizhou Plateau. From the perspective of bronze products, these nine systems can form three major systems in most of the Xia. Shang, and Zhou dynasties. There

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are significant regional differences in bronze art, forming diverse regional characteristics of Chinese bronze art.

1. Rooted on the Loess Ground: Bronze Art of the Central Plains The system of the bronze products of the Central Plains was remarkably comprehensive, including a large number of solemn and exquisite bronze ritual vessels, bronze weapons, bronze tools, and bronze accessories. It not only included bronze products cast by craftsmen in the Central Plains or those unearthed exclusively in the Central Plains, but also those based on the technical achievements and artistic forms invented and created in various periods in the Central Plains, as well as the bronze types, forms, and decorations that were first designed and created by the bronze craftsmen there. The bronze products of the Central Plains spread to other regions through various channels, and the local bronze artisans of those regions made bronze products in imitation of the popular styles in the Central Plains. Therefore, the characteristics of the bronze art in the Central Plains are reflected by these bronze products with basically the same characteristics distributed in regions centered in the Central Plains. These characteristics can be summarized in the following aspects. First, bronze vessels had a dominant position among the forms of bronze products. In the Central Plains, the main types of bronze products included vessels and musical instruments mainly used in sacrificial rites, as well as weapons. This reflects the idea that »the great affairs of the state lie with sacrifice and warfare.« In contrast, relatively few bronze statues and tools (especially farm tools) have been discovered. Second, the huge volume and weight of bronze ritual vessels are conspicuous. Since bronze ritual vessels in the Central Plains played the role as indications of rank and status, they often have astounding size and weight. In order to display

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their power and wealth, high-rank aristocrats spared no materials to cast bronze ritual vessels. A huge bronze ritual vessel gives a strong sense of volume, stability, and gravity, which indicate the solemnity, grandeur, and incomparable strength of the owner. Several bronze vessels remain awesome in their magnificence today, including the two rectangular bronze ding-cauldrons dedicated to two queens of the Shang Dynasty, bearing the inscriptions Houmuwu 后母戊 and Houmu Xin 后 母辛, respectively; the bronze gui-vessel of Hu 胡, i.  e., King Li of the Western Zhou Dynasty; and the bronze fou-pots of Marquis Yi of Zeng, the sovereign of the Zeng State in the Eastern Zhou Period. Third, the decorative patterns of the bronze products are primarily images of mysterious animals. The most important and ordinary of these animal patterns include those known as the »beast face patterns« (or taotie pattern), i.  e., the frontal views of the heads of certain animals, the species of which is difficult to identify; those known collectively as kui-dragons or separately as »dragons« and »kui,« respectively, i.  e., the profile views of the full-body patterns of certain divine, fourlegged or one-legged animals, respectively; and those called »bird pattern,« »phoenix pattern« or »phoenix bird pattern,« i.  e., the profile views of specifically connotated birds, of which the archetypes include several bird species. These three animal patterns and their variants usually occupy the main positions among the patterns. The spaces around them are often filled with small geometric patterns such as water vortex pattern or curled cloud pattern known as the »cloud thunder pattern,« bestowing an air of sophistication and mystery on the bronze patterns. Fourth, the bronze patterns are mainly represented by convex or concave »blocks« and smooth »lines.« The primary patterns are usually shaped as convex blocks, while the surrounding backgrounds are correspondingly concave, creating an artistic, relief-like impression. Apart from the

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2.5.11 A bronze belt-buckle in the shape of a tiger devouring a sheep

engraving patterns, which had merely a shortterm appearance in the Eastern Zhou Period, carved bronze patterns with lines as the primary means (including incised lines and relief sinuous lines) are rare. Some bronze products have highlighted color effects through techniques such as turquoise, gold, or silver inlaying; gold or silver gilding; lacquer-coating; painting; etc. They may have been very compelling in certain periods, but throughout the Chinese Bronze Age most of them appeared only in a period of time in the late Eastern Zhou Period. Therefore, these decorative techniques merely had a secondary significance in the Xia, Shang, and Zhou dynasties.

2. Redolent of the Steppe: Bronze Arts of the North In the present work, the so-called northern part of China commonly refers to the vast area to the north of the Central Plains in a broad sense, including mainly Inner Mongolia, northeast China,

the Shanxi-Shaanxi Plateau and Ningxia. Around the middle Shang Dynasty, bronze products in the north began to demonstrate their own artistic styles, which are mainly reflected in the following aspects: First, the types of the northern bronze products concentrates on a few weapons, tools, and accessories closely related to daily production and life. They are small in size, portable, or wearable. The bronze weapons include mainly battle axes and hatchets with tubes for installing grips as well as short swords and knifes that have grips with ends shaped as beast heads, rings, or clapper-bells (sometimes, the grip end has the shape of two rings, which are actually the simplified forms of two bird heads). The bronze tools mainly include awls with clapper-bell-shaped grips and cylindrical containers of needles and threads. The bronze accessories mainly include belt buckles in the shapes of tigers or rings (Fig.  2.5.11); beadwork; adornments in the shapes of double animal heads,

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single animal heads, rabbit heads; as well as three-dimensional animal sculptures used as post caps on wheeled vehicles or walking staff caps. Second, commonly, either the bronze products or their accessories have the shapes of animals. The species of the animals concerned are those that were most common in North China, including sheep, horses, deer, camels, etc. The sculptures depict these animals as individuals or pairs, as standing or lying figures. The decorative accessories are sometimes shaped as whole bodies of animals; but more frequently they, especially those acting as the grip ends of weapons and tools, are shaped as animal heads. Sometimes the animal head-shaped accessories became gradually and increasingly stylized in the long-term and frequent casting processes so that features of the animal species are no longer distinguishable. Third, most of the animal images are shaped naturalistically, unlike the abstract animal images that

2.5.12 Bronze deer unearthed at Sujigou

Chapter V Overview of Bronze Art in China

are most frequently seen on the bronze products of the system of the Central Plains. On the bronze belt-buckles with space constraints, the animal shapes are exaggerated and deformed a little, though they still remain naturalistic. The animal shapes and patterns are faithful to the original appearances of the animals, i.  e., they bear no patterns beyond the textures of their furs. This differs significantly from the practice of applying various animal and geometric patterns on the surfaces of animal sculptures and in animal patterns on the bronze products of the system of the Central Plains (Fig. 2.5.12). The bronze art forms such as those above-mentioned of the northern system are in sharp contrast to the bronze art of the Central Plains. As representative art forms in the steppe regions of Asia and Europe, they are prevalent in North China, northwest China, South Siberia and even at the coast of the Black Sea.

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3. Born Amidst the Waters and Mountains: Bronze Arts of the South Bronze products of the southern system refer to those with distinct characteristics distributed in the Yangtze River Basin and the vast areas to its south. These areas extend from the Sichuan Basin in the west to the coast in the southeast, including Central and South China. In the Neolithic, these regions yielded the earliest Chinese rice cultivation. During the Chalcolithic, they cradled splendid ancient civilizations with a forest of walled cities, magnificent public buildings, huge sacrificial centers, and cemeteries demonstrating a huge hierarchical differentiation. However, in the late phase of the Longshan Period, some civilizations in these areas suddenly interrupted (such as the Liangzhu Culture), others gradually declined (such as the Qujialing and Shijiahe Cultures). Due to the introduction of the advanced bronze metallurgy of the Central Plains after the rise of the Xia Dynasty, South China entered the Bronze Age. The temporal differences between the advent of the Bronze Age in individual areas in the south are relatively large. More precisely, the Bronze Age began between 2,000 and 1,500 BCE, or at the earliest in the Xia Dynasty in Jiangsu and Zhejiang in the lower reaches of the Yangtze River and in the Sichuan Basin in the upper reaches of the Yangtze River. In Jiangxi and Hunan in the middle reaches of the Yangtze River, bronze metallurgy developed and flourished under the influence of Shang Culture in the Erligang Period. And the areas to the south of the Yangtze River Basin entered Bronze Age even later. For instance, the Lingnan area mastered the bronze metallurgy at the end of the Shang Dynasty or the early Western Zhou Dynasty. The relatively developed industry of bronze metallurgy emerged no earlier than in the Spring and Autumn Period, resulting in a bronze culture with its own characteristics. Although bronze metallurgy in the south came into being under the influence of the Xia and

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Shang cultures in the Central Plains, the shapes and decorative patterns of certain bronze products of the southern cultures demonstrate factors of local traditions as well. In addition, innovative types and shapes of bronze products were created on the basis of the bronze metallurgy of the Central Plains and the local cultural traditions, resulting in fresh southern local styles of bronze products. This accounts for the following general characteristics of bronze products in the south. First, while imitating the types of bronze ritual vessels of the Central Plains, regional differences in terms of the choice and emphases can be observed. For instance, from the Shang Dynasty to the early Western Zhou Dynasty, solemn wine vessels such as zun-vessels and lei-vessels were preferred in the Sichuan Basin (Fig.  2.5.13), vessels in animal shapes were preferred in Hunan, while ding-cauldrons, the core ritual vessels of the Central Plains, were preferred in Jiangxi. In the later period of the Western Zhou Dynasty, the southern bronze vessels were primarily wine vessels that were no longer popular in the Central Plains, i.  e., zun-vessels, lei-vessels, and hu-jars with handles. Second, bronze percussion instruments in particular flourished in South China. Their types include yong-bells (yong 镛 or nao), bo-bells, zhongbells, zheng-bells, goudiao-bells, chunyu-bells, bells with sockets, etc. Among them, zheng-bells and goudiao-bells are bronze instruments that merely flourished in the south. The earliest yongbells and bo-bells were discovered in the south. Chunyu-bells and bells with sockets did not originate in the south, although the discoveries of them were distributed mostly in the south. It is important to note that bronze instruments such as yong-bells may have had a specific significance in the south, judging by their volume and weight. For instance, the bronze yong-bell with patterns of beast faces and elephants unearthed at Zhuan’erlun 转耳仑 in Ningxiang of Hunan Province has a height of 103.5  cm and a weight of 221.5  kg. It

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2.5.13  A bronze lei-vessel with a tall ring foot and three decorative ram heads from Sanxingdui

is possible that the larger and the heavier a yongbell was, the more powerful its owner was and the higher his status was, similar as the case of the later bronze bells of the Yunnan-Guizhou Plateau and the Lingnan area. Third, numerous bronze tools, especially bronze farm tools rarely seen in Central China, have been discovered in South China. The soil in the south was difficult to cultivate due to its stickiness and hardness, resulting in the indispensability of bronze tools. And the abundance of copper mines

and the introduction of bronze metallurgy made it possible to produce these tools. As a result of these overall features, the bronze art in South China remained in a conflict between imitation and innovation. Both the shapes and the decorative patterns of the bronze products demonstrate traces of imitation. But these imitations are not rigid; frequently, imitations are merely manifest in the contours, but the details of the bronze products are full of their own characteristics.

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA During the nearly two thousand years of their development in the pre-Qin Period, Chinese bronze products developed from a few categories at the beginning of the Longshan Period to a considerable corpus of various types and diverse forms in the late Shang Dynasty. After bronze products had undergone a process of relative simplification and concentration into a few types following the Western Zhou Dynasty, their types in the Spring and Autumn Period and the Warring States Period increased, forming several large and orderly series of bronze products. Among them, creative bronze artworks can be primarily divided into three categories. The first category concerns mainly bronze ritual objects of the Central Plains, which formed the core of the bronze products of the Xia, Shang, and Zhou dynasties. The second category refers to bronze statues in the forms of human beings or animals, which are occasionally seen among the bronze products of the southern system. They are rare among the bronze products of the Three Dynasties and are thus especially precious. The third category comprises bronze accessories mainly seen among the bronze products of the northern system and the system of the Central Plains. These accessories are of various types, reflecting diverse aesthetic tastes. These three categories of bronze artworks emphasize either the solemnity and orderliness of the overall forms or the depiction and decoration of details. These constitute the main characteristics of bronze art, which attaches equal importance to shape and quality.

Section 1  Majestic Bronze Ritual Objects Bronze ritual objects formed the main body and representative of Chinese bronze plastic art in the Xia, Shang, and Zhou dynasties. In Discussing Writing and Explaining Characters (Shuowen jiezi 说文解字) by Xu Shen 许慎 in the Eastern Han Dynasty, the character li 礼 means »that which is applied to serve the gods and bring blessings,« indicating that ritual objects were originally objects used to worship and serve gods and spirits. In the conception of the rulers of the Three Dynasties, humans of the world and illusionary gods were closely associated with each other, while the Sovereign Above (shangdi 上帝) in heaven and the human kings of the earth were akin to each other. For instance, the Shang people thought that Jian Di, their female ancestor, gave birth to Qi 契, their forefather, after she had swallowed an egg brought by a black bird commissioned by the heavenly sovereign; the Zhou people thought that Jiang Yuan, their female ancestor, conceived Qi 弃, their forefather, after she had trod on the footprints of the heavenly sovereign. Furthermore, the Shang and the Zhou peoples believed that after their kings had died, they were aligned »on the left and the right of the [heavenly] sovereign«, helping him to reign over the human world. Under this influence, the rulers of the Three Dynasties attached great importance to the bronze objects used for offering sacrifice to their gods and ancestors. They propagated the worship of gods and the kinship of their ancestors with gods, shaping the so-called »rites« that focused on »giving honor to the most honorable« and »showing affection

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to kindred.« These »rites« were complemented by »etiquette«, i.  e., a diversity of denoted objects including bronze ritual objects that reflected and expressed the concept of rites, as well as a variety of agreed behaviors as signs of kinship and rank among the nobility of the people who used those objects. These rites and etiquette originated at the beginning of or even before the Xia Dynasty, but they did not become complete until the Zhou Dynasty. Ritual objects used in the rites for serving the gods and worshiping the ancestors were created during the origination and formation of the ritual system. At the latest, in the Eastern Zhou Dynasty, liqi 礼器 (ritual objects), and the specific denotation of those objects, had already emerged. Bronze ritual objects form the largest proportion of the bronze products of the Xia, Shang, and Zhou dynasties. They were given distinct significance. In the categorization of the bronze objects of these Three Dynasties, the function was originally the primary criterion and morphology of the secondary criterion. In terms of function, bronze ritual objects can be roughly categorized into four individual series, i.  e., food vessels, wine vessels, water vessels, and musical instruments. Apart from the instruments, each series can be further divided into several categories according to their detailed usages. For instance, food vessels included cooking vessels and food containers; the wine vessels included wine containers, wine warmers, wine vessels with spouts, and drinking vessels; the water vessels included water pourers and water containers; in addition, there were meat servers, wine dippers, etc. In terms of morphology, bronze ritual vessels can be categorized into various levels. In view of the forms, they can be divided into two categories, i.  e., geometric and representational vessels. Among them, the geometric vessels can be divided into three large series according to their foot shapes and body shapes: those with ordinary feet,

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those with ring feet, and those with flat bottoms. Each vessel with ordinary feet has either a horizontal cross section that is centrosymmetric and two symmetrically arranged handles on its rim, or a non-centrosymmetric but balanced horizontal cross section and a spout on one side as well as a handle on the other side. Those vessels with ring feet have centrosymmetric or non-centrosymmetric shapes as well. The centrosymmetric vessels are either tripartite, i.  e., each consisting of a neck, a body, and a ring foot; or bipartite, i.  e., each consisting of a body and a ring-foot. Those vessels with flat bottoms have centrosymmetric or non-centrosymmetric but balanced shapes as well. Among the vessels with ordinary feet, there are five types: ding-cauldrons, li-vessels, yan-steamers (yan 甗), zhan-vessels, and dui-vessels (dui 敦). These vessels have centrosymmetric, rigorous, and solemn forms and were highly valued at the time. The non-centrosymmetric vessels with ordinary feet include jue-vessels, jiao-vessels (jiao 角), jia-vessels, he-vessels, yi-ewers, etc. Their forms are balanced and diverse. The forms of those vessels with ring feet are generally centrosymmetric, only a few are non-centrosymmetric. Those tripartite centrosymmetric vessels include zun-vessels, lei-vessels, gu-vessels (gu 觚), hu-jars, etc. And the bipartite centrosymmetric vessels include gui-vessels, xu-vessels, hu-vessels (hu 瑚), pan-trays, dou-vessels, and pu-vessels (pu 铺), etc. Those vessels with flat bottoms are mostly centrosymmetric as well. The centrosymmetric ones of them include bi-dippers, pen-basins, jian-vessels, footless lei-vessels, footless he-vessels, and footless pan-trays. Only those gourd-shaped hu-jars (huhu 瓠壶) and yi-vessels have non-centrosymmetric shapes. Most of those representational objects are »vessels shaped as birds or beasts.« They include rhinoceros-shaped zun-vessels, elephant-shaped zun-vessels, owlshaped zun-vessels, etc. Among these vessels, those shaped as birds have either exposed or hidden spouts. As shapes of the other vessels, the

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beasts are either centrosymmetrically conjoined pairs or individuals that are not centrosymmetric. Those shaped as conjoined beasts are rare. Two such specimens are in the collections of the Nezu Museum in Japan and the British museum, respectively. Each of them has the shape of two conjoined rams. Those shaped as individual animals are more numerous, including those with exposed or hidden spouts. The species of the animals concerned include bovine animal, caprine animal, tiger, deer, horse, rabbit, etc. The above-mentioned morphological categorization system of the bronze ritual vessels is not flawless. First, it divides certain vessels of the same denotation and the same function into separate series. For instance, he-vessels and lei-vessels are categorized into those with ring feet and those without, respectively; and pan-trays and yi-ewers are categorized into those with ordinary feet, those with ring feet, and those without, respectively. Each of the above-mentioned vessel types is subdivided within this categorization system. Probably for this reason, researchers of bronze objects and archaeologists generally do not prefer this categorization system. Second, in terms of archaeological morphology, this categorization system is not meticulous enough. For instance, ordinary feet of the centrosymmetric vessels can be further divided into massive, columnar feet—such as those of certain ding-cauldrons—and hollow, pouch-shaped feet, such as those of certain li-vessels or yan-steamers; the mouth sizes of the tripartite, centrosymmetric vessels with ring feet can be further divided into big, medium, and small; and the hu-jars can be further categorized into those with loop handles and those with double lateral handles (the former is more often called you 卣). However, despite the above-mentioned problems, in comparison to the categorization in terms of function and denotation, the morphological categorization of the bronze ritual vessels of the Three Dynasties is more conform to the needs of the studies in art history. At any rate, any cate-

Section 1 Majestic Bronze Ritual Objects

gorization method observes bronze vessels in a static way, although the forms of bronze vessels changed constantly in the process of their development. Judging by the above-mentioned morphological categorization, the bronze ritual vessels differ primarily in their shapes, i.  e., whether they are geometric or animal-shaped; secondarily, they differ in their ways of standing, placement, and in their general profiles; and finally, they differ in the shapes of the individual parts of their profiles. In this way, it is possible to analyze and observe the plastic art of bronze ritual vessels from various levels. The morphological categorization of bronze ritual objects and their functional categorization are closely related to each other, because the differences in the shapes of ritual objects are largely determined by the differences of their usages. For instance, the body of a footed bronze ritual vessel is supported by three or four relatively tall feet with ample space in between, which can accommodate fuel that heats the body. Hence, vessels with ordinary feet, such as ding-cauldrons, li-vessels, jue-vessels, etc., were commonly used to heat or cook food. In order to increase the heating area, the feet of vessels such as li-vessels, yan-steamers, and certain types of the jia-vessels and he-vessels are commonly made into thick, hollow pouchshapes. In terms of function, bronze ritual vessels with ring feet can be further categorized as food vessels, wine vessels, and water vessels. The food vessels among them include gui-vessels, hu-vessels, xu-vessels, dou-vessels, pu-vessels, etc. Although the forms of these vessels vary greatly from square to round, they share one characteristic: they all have centrosymmetric cross sections that are stable; non-centrosymmetric forms have never been seen among them. For instance, both the vertical and the horizontal cross sections of the hu-vessels and xu-vessels among others are centrosymmetric. But some of the wine vessels that acted as liquid containers differ from water vessels. They have also solemn and stable forms,

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though, and only their horizontal cross sections are centrosymmetric; their vertical cross sections are bilaterally symmetric. Such wine vessels include zun-vessels, lei-vessels, and bu-vessels (bu 瓿). But each vessel fulfilling the function as a pourer of wine or water, such as jue-vessels, he-vessels, yi-ewers, etc., has of course each a groove-shaped or tubular spout, i.  e., a device that constrains the gush of drink, on one side, as well as a handle on the opposite side. Therefore, such vessels have horizontal cross sections that are non-centrosymmetric. There are many more such examples, all of which clearly demonstrate the close relationship between the shapes and the functions of bronze ritual objects.

1. Ding and Other Objects with Supporting Feet Tripod or quadrupod vessels form the most distinctive series of forms among the bronze ritual objects of the Xia, Shang and Zhou dynasties. In this series, ding-cauldrons undoubtedly form the largest and heaviest vessel type with the most numerous specimens, and the type that was handed down for the longest duration. Bronze ding-cauldrons emerged already in the early Xia Dynasty, and were still widely used until the Qin and Han dynasties. Later in ancient Chinese society, ding-cauldrons made of bronze or other materials were designed as incense burners, which were used in rites of praying to and worshiping various gods. The typical features of a bronze ding-cauldron of the three dynasties include two arched handles on the rim, a flared mouth, a deep belly, and three or four ordinary feet. These forms probably derived from the pottery cooking vessels that had been popular since prehistoric times. They were originally exclusively used for cooking food, but after such objects were relatively fixedly used for the purpose of cooking and serving sacrificial offerings, they gradually became associated with sacrifices and gods. According to certain transmitted literature, the Xia Dynasty combined »tribute

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metal« and »depicted creatures« from peoples of remote regions to »cast ding-cauldrons with images of various creatures.« In this phrase, the term »creatures« (wu 物) was originally a general denotation of sacrificial animals. But the phrase does not mean that ding-cauldrons were merely decorated with cast images of sacrificial animals; instead, it also means that the typical forms of ding-cauldrons were likely abstracted from the appearances of sacrificial animals. More precisely, the ordinary feet of bronze ding-cauldrons are commonly shaped as beasts’ feet. In addition, a type of ding-cauldron denoted as a »ding-cauldron of pure-colored sacrificial animal« in the Eastern Zhou period is decorated with a sculpted beast head at one side of its mouth and a grip shaped correspondingly as a beast tail at the opposite side. Although this type of ding-cauldron is round and has three feet, it is apparently cast in imitation of a four-legged beast. This can be regarded as a manifestation of the return to simplicity and essentiality in the forms of such ding-cauldrons (Fig.  2.6.1). The bronze ding-cauldrons of the Three Dynasties are symbols of sacrificial animals based on the simplification and abstraction of the appearances of those animals. The complex and diverse forms of the bronze ding-cauldrons of the Three Dynasties can be divided into distinct morphological types. In terms of the shapes of their horizontal cross sections, they can be divided into square and round types. Those square ding-cauldrons include a standard subtype with square-cut corners and a subtype with rounded corners and four slightly bulging walls. In addition, ding-cauldrons with squarecut corners can be further divided into those with columnar feet and those with flattened feet. According to the shapes of their bottoms, the round ding-cauldrons can be divided into those with flat bottoms, those with rounded bottoms, and those with bifurcated bottoms. Ding-cauldrons with flat bottoms or bifurcated bottoms flourished merely for a short period of time and their numbers are

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relatively small. Ding-cauldrons with rounded bottoms, forming the mainstream, can be divided into those with columnar feet and those with flattened feet. Furthermore, ding-cauldrons with rounded bottoms and columnar feet can be further divided into those with hoof-shaped feet and those with cylindrical feet. There are numerous specimens of the former subtype dating from the Eastern Zhou period, with or without lids. In addition, the shapes of the lids and the ways how the lids are fitted to the ding-cauldrons are also closely associated with the classification and the denotations of ding-cauldrons. Among the many subtypes of ding-cauldrons, the forms of the square ones seem to be the most solemn and stable. They were owned by the high nobility. Their number is small and most of them are huge and heavy. The forms of ding-cauldrons transformed obviously with the passage of time in the Xia, Shang,

2.6.1  Bronze ding-cauldron from Wuli

Section 1 Majestic Bronze Ritual Objects

and Zhou dynasties. In general, similar as the other bronze ritual vessels of the Three Dynasties, the forms of ding-cauldrons underwent a development process from tall and thin to short and squat, and from large to stable. In terms of form, li-vessels and yan-steamers belong to the same category as ding-cauldrons. In a sense, li-vessels are quasi-ding-cauldrons that are without handles. A yan-steamer consists of a li-vessel and a zeng-vessel (zeng 甑). Both li-vessels and yan-steamers are vessels that have centrosymmetric horizontal cross sections and mostly three ordinary feet. But a few of those vessels are quadrupedal, including the quadrupedal bronze yan-steamer unearthed in a big tomb at Dayangzhou in Xingan, Jiangxi province. The forms of ding-cauldrons are both simple and diverse. Based on the simplest circle and square shapes that are matched with three or four feet, they evolved into numerous basic geometric

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shapes. In terms of the process of their origination, round ding-cauldrons are reminiscent of both the prehistoric pottery tripods and painted potteries in terms of their decorative structure with the principle of equally trisecting the circumference of a circle; in terms of their formation and development, square ding-cauldrons are reminiscent of the basic measurement methods of later periods. These two basic forms are exactly the shapes determined by the tools that are called gui (规, i.  e., compasses) and ju (矩, i.  e., try square) in China. In particular, the forms of square ding-cauldrons have become the most distinctive and influential basic forms in China. Various types of ding-cauldrons were produced in the process of their development and transformation, resulting in a variety of transformed square and circular spaces, such as rectangular space, funnel-shaped space, ellipse space, etc. These space shapes became the most basic spatial forms and influenced the forms and styles of all Chinese artifacts in later periods. The characteristics of the forms of ding-cauldrons, such as their dignity, solemnnity, stability, etc., have always acted as the most common, the most perfect, and the most noble perceptive forms that are deeply rooted in the cultural psychology of the Chinese peoples.

2. Solemn and Centrosymmetric Objects with Ring Feet Bronze ritual vessels that have centrosymmetric horizontal cross sections and ring feet form the most varied series of ritual objects with the most types in the Xia, Shang, and Zhou dynasties. They include two subseries: One subseries is characterized through a tripartite structure of a flared or straight neck-shoulder part, a relatively bulging belly, and a ring foot that resembles a base. This subseries mainly includes bronze ritual vessels used as wine vessels, such as zun-vessels, lei-vessels, square yi-vessels, hu-jars, gu-vessels, zhi-vessels (zhi 觯), etc. They share certain common features, i.  e., they are relatively tall and, apart from

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the hu-jars with loop handles (you), they do not have handles on their rims or at their body sides. In terms of morphology, this subseries can be clearly divided into two groups, i.  e., one group including zun-vessels, gu-vessels, and zhi-vessels that are characterized through large mouths and long necks; and the other group including lei-vessels, square yi-vessels, hu-jars that are characterized through small mouths as well as relatively short and straight necks. The other subseries is characterized through its bipartite structure of a wide mouth and a ring foot. It includes mainly food vessels such as gui-vessels, hu-vessels, xu-vessels, dou-vessels, and pu-vessels; and water vessels that include merely pan-trays. In terms of the morphology, this subseries can be clearly divided into two groups. One group includes gui-vessels, hu-vessels, and xu-vessels that are relatively large in size and have relatively short ring feet as well as symmetric double handles. The other group includes dou-vessels and pu-vessels that are smaller in size, have high ringer feet and generally do not have handles. All the above-mentioned bronze ritual vessels with ring feet are relatively simple in form and were evolved from practical vessels made of pottery, lacquer, or bamboo. For instance, the early form of zun-vessel may have derived from the guan-pot with a large mouth and a round bottom; the basic form of gui-vessel is an imitation of the pottery pen-basin with a ring foot; and the form of pu-vessel is clearly an imitation of the form of a lacquer tray placed on a bamboo ring foot. The forms of these vessels are solemn and stable, and their horizontal cross sections are centrosymmetric. These bronze ritual vessels played essential roles in various periods, and some of them even acted as the focus of bronze ritual vessels in certain areas. Zun-vessels are the most representative type of the tripartite vessels with centrosymmetric horizontal cross sections and ring feet. Zun as a specific denotation refers to a type of bronze ritual vessel with a trumpet-shaped top part formed by a long

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2.6.2  A set of a bronze zun-vessel and a bronze pan-tray of Marquis Yi of Zeng

neck and a big mouth, a middle part formed by the bulging shoulders and a belly, and a bottom part formed by a high ring foot. According to the ritual classics of the Zhou Dynasty, zun was a wine vessel for holding fragrant spirits that were used in libations. And it was often used in combination with a pan-tray. The most exquisite bronze objects unearthed from the tomb of Marquis Yi of Zeng in Suixian County, Hubei Province, dating from the early Warring States Period, include a famous set of a bronze zun-vessel and a pan-tray supporting it. The body of the zun-vessel is slender, with a long neck and a flared mouth, a round belly, and a high ring foot. The pan-tray has a shallow belly, a flat bottom, and four beast-shaped feet. The surface of the plate is covered with extremely complex patterns of coiled dragons or coiled hornless dragons in relief or double-layered fretwork. The patterns with hundreds of these thin and tiny animals intertwining in each other are dazzling (Fig. 2.6.2).

Bronze zun-vessels are conventionally categorized into two subtypes, i.  e., those in geometric shapes and those in shapes of birds or beasts. Zun-vessels of the latter subtype, which are shaped distinctly from ordinary bronze ritual vessels, are not always denoted as zun in the historical documents of the Xia, Shang, and Zhou dynasties. Instead, most of them are called yi. Therefore, in the present work, these vessels are excluded from the type of zun and will be analyzed specifically later. The geometric zun-vessels can be divided into two sorts, i.  e., those with angular shoulders and those without shoulders. The zun-vessels of the first sort, which emerged earlier, can be further divided into two subsorts, which are characterized through their square and circular horizontal cross sections, respectively. Many of the square zun-vessels are qualitative pieces since they were often preferred by the high nobility. The round zun-vessels with angular shoulders emerged in the early Shang Dynasty and became popular in

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the late Shang Dynasty. They became rare in the Western Zhou Dynasty. The earliest known square zun-vessels with angular shoulders were discovered in the tomb of Fu Hao in the early part of the late stage of the Shang Dynasty at Yinxu in Anyang. Such zun-vessels were used until the Western Zhou Dynasty. Zun-vessels without shoulders emerged relatively late, i.  e., in the late part of the late stage of the Shang Dynasty. They were relatively widespread in the early Western Zhou Dynasty. Later, they tended to disappear in the Central Plains. However, they remained popular in South China for a long time until the Warring States Period. The forms of the bronze zun-vessels are stable with centrosymmetric horizontal cross sections, and their profile contours are diverse. They were the most valued wine vessels used in sacrificial activities. Some ancient states and peoples even made zun-vessels the focus of their bronze ritual vessels, bestowing a sacred air on them. For instance, the bronze ritual objects of the Sanxingdui culture of the Shang Dynasty and the Shi’erqiao culture in the Sichuan Basin mainly consist of zun-vessels and lei-vessels. Pit No.  2 of the Sanxingdui site yielded a small, kneeling bronze statue that has a height of more than 10 cm. The statue depicts a person carrying a zun-vessel with the head. The person, poking his head into the ring foot of the zun-vessel with rounded angular shoulders and beast face pattern and supporting the belly of the zun-vessel with both hands, kneels on a round platform with forged fretwork. His posture indicates that he was anxious about whether the zun-vessel would fall from his head. This vividly reflects the status and function of bronze zun-vessels at that time. In terms of function, bronze sacrificial vessels similar to zun-vessels include lei-vessels, bu-vessels, fou-pots, and square yi-vessels; while in terms of shape, bronze sacrificial vessels similar to zun-vessels include gu-vessels and zhi-vessels. More precisely, gu-vessels and zhi-vessels are

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much similar to those shoulder-less zun-vessels with bulging bellies and those with sagging bellies, respectively. But they are drinking vessels and are much smaller in size than zun-vessels. However gu-vessels and zhi-vessels are not imitations of the shapes of zun-vessels. On the contrary, it is possible that the forms of those round, shoulder-less zun-vessels are imitations of the shapes of gu-vessels and zhi-vessels. Gu-vessels have been widely used at the latest in the early stage of the Shang Dynasty. Those early ones have the shape of a sandglass (the vessels dating from the early Shang Dynasty can be broad or barrow, while those dating from later periods are always narrow). It was not until the late Shang Dynasty that the standard shape of a tripartite gu-vessel with a bulging belly in its middle came into being. Then in the mid-Western Zhou Dynasty, the bellies of the gu-vessels became unobvious and slender again. Hence, the transformation of their forms seems to have evolved in cycles. Zhi-vessels include two subtypes, i.  e., those of broader bodies with oval horizontal cross sections and those with circular horizontal cross sections. Both emerged in the late Shang Dynasty and became more widely spread in the early Western Zhou Dynasty. Due to their solemn shapes and small sizes, gu-vessels were easy to be cast in large quantities. In the Shang culture, the number of gu-vessels owned by an aristocrat, usually corresponding to the number of the jue-vessels owned by him, was an important symbol of his noble status. Due to their significance among bronze ritual vessels, many of the gu-vessels in Shang culture are of high quality. A representative of the broad gu-vessels of the early Shang Dynasty discovered at Lijiazui 李家嘴 in Panlongcheng in Huangpi 黄 陂 of Hubei Province is denoted as gu-vessel with angular spiral pattern (leiwen 雷纹) in fretwork. It is decorated with beast-pattern at its belly, angular spiral pattern in fretwork in the upper part of its ring foot, as well as diagonal cloud-eye pattern (yunmuwen 云目纹) on the lower part of its ring

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foot. The decorative patterns consist of single-layered, thick lines and combine fretwork with lines. They appear archaic, simple, airy, and flexible, and demonstrate high level of craft. A relatively rare specimen of the broad gu-vessel of the late Shang period was unearthed at Yinxu in Anyang of Henan Province. It bears the inscription of Tian ce Fu Ji 天册父己 (Father Ji commissioned by Heaven) and four broad spines in triangular prismatic shapes, the upper parts of which taper into venation shapes that are enclosed by banana leaf patterns. This arrangement allows a firm grip and combines three-dimensional adornments with two-dimensional patterns. The design and casting are full of artistry (Fig. 2.6.3). The bronze hu-jar is a relatively special form of wine vessel with a centrosymmetric horizontal cross section and a ring foot. Its form is characterized by a lid over the mouth, a handle on either side of the neck-shoulder part, a bulging belly, and a ring foot. Generally, hu-jars are divided into two subtypes, i.  e., the subtype with a ring grip at either side that allow a rope to thread through it or with two joined ring grips at either side and the subtype that is also called you, which has a loop handle fixed on its shoulders. But indeed, both two subtypes of vessels must be called hujars instead of you-vessels. The latter vessels are more likely those that are called gong-vessels, i.  e., beast-shaped, vessels with non-centrosymmetric horizontal cross sections and ring feet. In certain transmitted literature of the pre-Qin Period, hujars are referred to as wine vessels. For instance, the ode »Grand is Han« (»Han Yi« 韩奕) among the »Greater Court Hymns« in in the Classic of ­Poetry includes the verse »a hundred vases of clear spirits« (qingjiu baihu 清酒百壶). In terms of morphology, hu-jars can be divided into those with loop handles (which can be short or long) and those without (with horizontal cross sections that are either circular or rounded square). Among the vessels of the latter subtype, those rounded square ones emerged at the latest in the

Section 1 Majestic Bronze Ritual Objects

late Western Zhou Dynasty and became since then the main form of the hu-jars buried in tombs of the higher nobility. Until the Warring States Period, this subtype was still used. For instance, a pair of hu-jars of Lady Wuxu of Zeng (Zeng ji Wuxu曾 姬无恤) of this period still adopted the rounded square shape. Square or rounded square hu-jars, like other square vessels, were used by the high nobility in the Shang and Zhou dynasties. Accordingly, they were often created in pairs, like other square vessels as well. They are usually remarkably tall, large, and richly and luxuriously decorated. For instance, a pair of rounded square hu-jars with dragon-shaped handles and dragon-shaped feet from a Chu tomb of the Eastern Zhou period at Xiasi in Xichuan of Henan Province (Fig. 2.6.4) and a pair of rounded square hujars with lotus-shaped lids and tiger-shaped handles unearthed from a Jin tomb at Jinsheng village in Taiyuan of Shanxi Province, are tall and stately decorated. The bronze gui-vessel is the representative of vessels with centrosymmetric horizontal cross sections, ring feet, and bipartite profiles. According to certain transmitted literature, gui is a vessel type that was used to serve cooked proso millet, foxtail millet, and rice. Its basic shape is like a round pen-basin or yu-vessel with a ring foot. Gui-vessels did not emerge until the Shang Dynasty. The earliest known gui-vessel is one without handles discovered at Lijiazui in Panlongcheng, Huangpi of Hubei Province. This gui-vessel has a deep belly and an archaic and simple form. The earliest gui-vessels with handles are dated from the early phase of the Yinxu site at the end of the early stage of the Shang Dynasty. In the late Shang Dynasty, the number of gui-vessels increased, and they became more widely spread, indicating that they became important bronze ritual vessels. Together with the bronze ding-cauldrons, they formed the focus of the bronze ritual vessels of the Zhou culture. In the Western Zhou Dynasty, the status of gui-vessels rose more rapidly among

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2.6.3 A masterpiece among the bronze gu-vessels of the Shang Dynasty: The gu-vessel bearing the inscription of Tian ce Fu Ji from Yinxu

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ritual vessels, since the discovered gui-vessels account for more than 20 % of the total vessels ascribed to Zhou culture, making them second only to the ding-cauldrons in terms of number. The number of the gui-vessels of an aristocrat varied with that of his ding-cauldrons. These two vessel types became the core vessels indicating the hierarchy within the aristocracy. The number of gui-vessels in a set ranges from two to eight, usually increased successively by two. Since about the reigns of King Yi and King Li of the Western Zhou Dynasty, sets of gui-vessels of identical size, shape, and decorations became popular. At present, the earliest known set consists of four gui-vessels besides five ding-cauldrons. Yielded by the tomb of Yubo at Rujiazhuang 茹家庄 in Baoji of Shaanxi Province, they are dated from the period around the reign of King Mu of the West Zhou Dynasty. After the middle of the Spring and Autumn Period, the scope of the usage of gui-vessels as sacrificial vessels was reduced. Accordingly, their number decreased sharply. The forms of gui-vessels are diverse. Their diversity is mainly manifested in two aspects: First, in terms of their structures from above to below, there are gui-vessels without lids and with flared mouths, those with lids and tapered mouths, and those with square bases; second, in terms of their structures from left to right, there are gui-vessels without handles, those with two handles, and those with four handles; and there are three variations of handles, i.  e., handles with pendants, handles on the rims, and ring handles; furthermore, those handles with pendants differ from each other through the lengths of the pendants. In terms of form, gui-vessels can be primarily classified by their mouth shapes into two subtypes, i.  e., those with flared mouths and those with tapered mouths; and either subtype can be subdivided into those with and those without bases; furthermore, gui-vessels without bases can be divided into those with and those without small ordinary feet below the ring feet; finally, the differences of

Section 1 Majestic Bronze Ritual Objects

2.6.4 A rounded square hu-jar with dragon-shaped handles and dragon-shaped feet from Xiasi

the pendants of the handles form the last criterion to further divide gui-vessels. Bronze pan-trays dating to the Xia, Shang, and Zhou dynasties are mainly round water containers with big mouths and shallow bellies. According to the Rites of Zhou, they were mainly used for washing the hands in combination with yi-ewers, i.  e., a yi-ewer was used to pour water on the hands, while a bronze pan-tray was used to catch the water as it fell off the hands. Bronze pan-trays emerged at the latest in the Shang culture of the early Shang Dynasty. For instance, Tomb no. 2 at Baijiazhuang 白家庄 in Zhengzhou of Henan province yielded

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a bronze pan-tray. In the Shang Dynasty and the early Western Zhou Dynasty, bronze pan-trays were not yet popular; in the mid-Western Zhou Dynasty, they became widespread and were often combined with bronze he-vessels into sets of water vessels. The pan-trays dating from the Shang Dynasty and the early Western Zhou Dynasty have ring feet that can be large or small. Those dating from the late Western Zhou Dynasty mainly have large ring feet with additional, small ordinary feet of various forms. The small feet on the later vessels gradually evolved into taller and larger feet and eventually became independent tripods, replacing the ring feet. However, the joints between the tray bodies and the feet appear unnatural, and the forms of the trays are not as elegant as that of the trays with ring feet. Therefore, in the Warring States Period, flat pan-trays without feet became popular in various states. Since they were used as water vessels, their inner bottoms are often decorated with patterns of aquatic animals such as coiled dragons, swimming fish, turtles, frogs, etc. Sometimes, these patterns are a combination of two-dimensional forged motifs and three-dimensional or relief motifs, i.  e., sometimes the head of a dragon protrudes upward from the middle of the tray, distinguishing itself from its two-dimensional body; sometimes the middle of the tray bears a three-dimensional frog or turtle, which is surrounded by two-dimensional or bas-relief swimming fish. In general, the pan-trays of the early Western Zhou Dynasty are mainly patterned, while the pan-trays of the late Western Zhou Dynasty and the early Spring and Autumn Period are more likely to be decorated with long inscriptions on their inner bottoms. The forms of bronze ritual vessels with centrosymmetric horizontal cross sections and ring feet needed to fulfil the important requirement of the stability and the solemnity. While creating these forms, craftsmen of the Xia, Shang, and Zhou dynasties not only inherited the basic techniques of pottery making in Prehistoric Period, but also

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created many new techniques. For instance, various arcs and polylines were aligned horizontally, and various encircling band patterns were applied on the surfaces of the vessels, etc. In terms of the shapes of the vessels, curves and arcs of the contours as well as angular bellies were the main ways to create a rich variety of vessels, making Chinese vessels more diverse than those of any other regions or peoples. These modes of forms exerted influences on almost all kinds of artifacts of later generations. As one of the miracles in the history of plastic arts, many of these basic forms and styles remain unchanged to the present.

3. Non-Centrosymmetric Forms with Profound Meanings The geometric bronze ritual vessels with non-centrosymmetric horizontal cross sections, such as jue-vessels, jia-vessels, you-vessels (usually called gong), he-vessels, yi-vessels, etc., were mainly used to contain or pour wine or water. Most of them belong to the vessels with ordinary feet and those with ring feet, and a few of them belong to those without feet. But irrespective of the forms of their feet, they have a common characteristic: apart from certain individuals, each of them has on one side a protruding »spout« that constrains the gush of wine or water and on the opposite side a balancing »tail« or a handle, which is shorter and placed lower than the spout. In general, such a vessel has a non-centrosymmetric horizontal cross section but a balanced form that is higher on one side and lower on the opposite side. These forms have profound symbolic meaning. Generally, if the form of an art has a certain meaning itself, this meaning often bestows a higher aesthetic value on the art. In the following, the symbolic meanings of the bronze vessels with non-centrosymmetric horizontal cross sections in the Xia, Shang, and Zhou dynasties will be analyzed. The earliest known bronze ritual vessels among the vessels with non-centrosymmetric horizontal cross sections are the jue-vessels that have been

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discovered in a relatively large number in the Erlitou culture of the Xia Dynasty. On the one hand, jue is a generic term of drinking vessels in the PreQin period; on the other hand, it is also a specific denotation of a certain type of wine vessel. As a specific denotation, it refers to a ritual drinking vessel made in the shape of a bird. Jue-vessels have complicated forms, which can be divided into two subtypes. One subtype has an angular belly and a flat bottom (or a bottom protruding slightly outwards). The other subtype has a curved and rounded belly as well as a hemispheric bottom. The body of a flat-bottom jue-vessel can be divided into two parts, an upper part that tapers into the waist and a lower part that bulges into the belly. This subtype emerged already in the Xia Dynasty and remained still the main form of the jue-vessels in the early Shang Dynasty. It did not completely disappear until the late phase of the Yinxu site in the late Shang Dynasty. The subtype of round-belly jue-vessel cannot be obviously divided into distinct parts. It emerged in the early phase of the Yinxu site in the late part of the early stage of the Shang Dynasty. In the late Shang Dynasty, it replaced the subtype of flat-bottom jue-vessel and became the main form of bronze jue-vessel, which was inherited by the Zhou culture of later times. He-vessel is another type of bronze ritual vessel that symbolizes a bird. In general, it is regarded as a vessel that held warm water for adjusting the alcohol strength and the temperature of wine. He-vessels have various shapes. Their most basic features include a mouth at the top, a tubular spout on one side, and a handle on the opposite side. He-vessels have complicated forms, but their morphological evolution is obvious. Although the shapes of he-vessels distanced themselves gradually from those of chickens or other birds with the passage of time, they still bear remnants of such shapes. Yi-ewers are bronze ritual vessels that have a groove-shaped spout on one side for pouring

Section 1 Majestic Bronze Ritual Objects

water, a handle on the opposite side, and an ordinary foot or a ring foot. Bronze yi-ewers had already emerged in the late Shang Dynasty. The earliest known specimens are a pair of animal-shaped, quadrupod yi-ewers that bear the inscription Houmu Xin 后母辛 and were discovered in the tomb of Fu Hao at Yinxu in Anyang, Henan Province. Either yi-ewer consists of a lid and a body that form together the shape of a fourlegged animal bearing a resemblance to a caprine animal. The mouth of the vessel stretches from the muzzle of the animal to its tail, which acts as a handle. Judging from these specimens, the early bronze yi-ewers must have been imitations of animals. Since their original function was to hold water for adjusting alcohol strength, they sometimes bear the inscription »he« (盉) that can be rendered as yi. Later, yi-ewers were exclusively used for pouring water in the ritual washing of hands. Since it was no longer obligatory to prevent dust from falling in the yi-ewers, their lids were no longer necessary. Instead, merely their lower parts remained, which were no longer necessarily shaped realistically as parts of animals. As a result, the shapes of yi-ewers gradually dissociated from those of animals but remained merely symbolic. It is possible that this symbolism remained widely known, so that later in the Spring and Autumn Period, a few yi-ewers were made into their archaic animal shapes again. But on most of the later yi-ewers, merely the spouts preserve the shapes of animal heads for decorative purposes. In summary, yi-ewers demonstrate the following trajectory of development: In terms of their sizes, they evolved from large to small and from long to short; in terms of their feet, they evolved from those with four beast feet to those with four flattened feet, with three hooved feet, and finally those with ring feet or without feet. Hence, their forms dissociated increasingly from the animal shapes. Another type of bronze ritual vessel associated with the yi-ewer is commonly called gong-vessel.

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It has the shape of an animal as well. On its one side, its lid and its neck form together the animal head with a spout; and on its opposite side, it has a handle that facilitates the action of pouring out liquid; on its bottom, it has a ring foot that enables its stable placement. However, according to certain research, those vessels that used to be called gong must be called you instead. You-vessels dating to the early Shang Dynasty have been seldom discovered. You-vessels did not become popular until the late Shang Dynasty. For instance, a pair of you-vessels in the shapes of tiger-owl-hybrids and another pair with dragon-head-shaped spouts were excavated from the tomb of Fu Hao. In terms of the shapes of their horizontal cross sections, you-vessels can be divided into two subtypes: oval and rectangular you-vessels. Oval you-vessels were used in the period between the Shang Dynasty and the mid-Western Zhou Dynasty, while all rectangular you-vessels are dated from the early or mid-Western Zhou Dynasty. The spouts of these you-vessels have the head shapes of dragons, tigers, elephants, caprine animals, etc. The overall forms of these you-vessels evolved from those dynamic forms with their centers of gravity in their front parts to those forms with more balanced centers of gravity. This was due to the transformation of their forward stretching spouts to raised spouts and the shifting of their haunches backward. The number of the unearthed you-vessels is remarkably small. Their forms and patterns appear luxurious, but their volumes are not excessively large. For instance, the rectangular bronze you-vessel of Qi 旂 of the Western Zhou Dynasty is seldom one chi 尺 high. The front part of its lid is shaped as the head of a caprine animal with two exposed fangs and two downward bent horns. The forehead and the head of the animal bear patterns of small beast faces and beast heads that are complicated and solemn. The body of the animal bears primarily beast face patterns supplemented by coiled dragon patterns and angular spiral patterns. In addition, the ridges of the body and the central

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parts between the ridges bear protruding spines. In summary, this you-vessel, bearing exquisite and elaborate decorations, can be regarded as the representative of bronze you-vessels (Fig. 2.6.5). All the above-mentioned ritual vessels, whether in the shapes of birds or beasts, bear connotations of sacrifice. In sacrificial activities, they even played the dual role as servers and »sacrifices« at the same time. As a result, their artistic tastes and values are often higher than those objects that have no symbolic meanings. At the same time, the transformations in the forms of such objects reveal the development process of how human ancestors dealt with the relationships among the image, the concept, and the utility. This also provides ideas that act as reference for the plastic arts of later generations. The human ancestors were good at handling the relationship between the image and the function through the medium of social and cultural concepts. For instance, the image of the »rim« shaped as a »muzzle« is combined with the function of a »spout,« the image of the »vessel feet« shaped as the »animal limbs« is combined with the function of »standing,« the image of a »tail« is combined with the function of a »handle« or a »grip,« etc. In the process of creating the vessel forms, these relationships have been integrated with the intermediary of human emotions and understandings through skillful transformations, reaching a social and cultural consensus. In this way, the process from the seeing of the image to the abstracting of its meaning was ignored or omitted. The forms of the bronze objects of the Xia, Shang, and Zhou dynasties vividly indicate this process. The techniques of creating these bronze objects and their hidden cultural spirits have become part of the most precious basic spirits of Chinese arts in later periods.

4. Vivid Animal Forms In prehistoric times, humans tried to make containers for liquid and food into animal forms. For instance, a practical pottery zun-vessel in a

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Section 1 Majestic Bronze Ritual Objects

2.6.5 Bronze you-vessel of Qi

vivid shape of eagle was unearthed at a site of the Yangshao Period at Taipingzhuang 太平庄 in Huaxian County, Shaanxi Province. In the Xia, Shang and Zhou dynasties, with the progress of plastic arts and the needs in sacrificial rites, a variety of bronze ritual vessels in shapes of animals emerged, for instance, zun-vessels in shapes of pure-colored bovine animals or elephants as well as yi-vessels in shapes of tigers, monkeys, chickens, other birds, etc. The bronze ritual vessels shaped as wild or domestic beasts often demonstrate those animals in static, standing postures. These vessels have mouths that are designed according to their individual functions in different ways on the backs of the animals. It is inappropriate to design excessively large mouths on vessels for the storage of wine, which could be scooped up with a bronze dipper. Each bronze vessel used for pouring wine

or water either utilizes the muzzle of the animal as a spout; or it is divided into an upper half acting as a lid and a lower half as the vessel body with a spout. Those vessels for the storage of wine are commonly called animal-shaped zun-vessels, while those vessels for pouring wine or water must be distinguished from the zun-vessels and called animal-shaped yi-vessels instead. However, several vessels have the standard animal shapes of zun-vessels on the one hand, and have spouts shaped as muzzles that bear holes on the other hand, i.  e., they have similar functions to and the overall forms of yi-vessels as well. Animal-shaped zun-vessels and yi-vessels are the most numerous among the bronze vessels shaped as animals. The species of animals imitated by these vessels include mainly bovine animal, caprine animal, elephant, tiger, deer, horse, tapir, rabbit, etc. Bovine animal-shaped zun-vessels

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2.6.6 Rhinoceros-shaped zun-vessel of Yu, the Junior Servant of a king

belong to the so-called zun-vessels in shapes of »pure-colored« sacrifices, which included sacrificial bovine animals or wild rhinoceros. These animals, especially bovine animals (set of sacrifices) and sheep specifically raised for sacrificial purpose, could be used as media for sorcerers to communicate between humans and gods, and were therefore often used in sacrificial activities. Accordingly, the surfaces of these animal-shaped vessels are usually covered with patterns such as beast faces, coiled dragons, phoenix, and angular spirals that are not found on the coats of real animals, making the vessels look gorgeous and beautiful. The rhinoceros-shaped zun-vessel of Yu 艅, the Junior Servant of a king in the late Shang Dynasty, is peculiar because it is un-patterned. Its overall shape is a standing rhinoceros with a horn on its nose, two transversely erecting ears, a corpulent body, and four short stocky feet. With an appearance as vivid as a real rhinoceros and a surface as plain and un-patterned as the skin of a real rhinoceros (Fig. 2.6.6), it is a masterpiece of the bronze zun-vessels of the pre-Qin Period. Bovine animal-shaped zun-vessels form one subtype

of the so-called »six subtypes of zun-vessels« in transmitted literature of the Zhou Dynasty. But among the bronze vessels discovered up to date, most of those referred to as »zun-vessels in bovine animal shapes« or »zun-vessels in pure-colored bovine animal shapes« are indeed yi-vessels instead of zun-vessels. The bovine animals are commonly cast in a standing posture. The bovine-animal-shaped yi-vessel discovered in Hengyang 衡 阳 of Hunan Province is dated from the late Shang Dynasty or the early Western Zhou Dynasty and belongs to the Zaoshi culture. It consists of two parts, i.  e., a body and a lid that form together the complete shape of a bovine animal. The body has four feet and a mouth with a spout, which can be covered by the lid. The corpulent and large bovine animal has a raising head, a drooping tail, four stout feet, and two flat and curved horns. A small tiger standing on its back forms the knob of the vessel lid. Except for its head and its four hoofs, the surface of the bovine animal is full of decorative pattern. Although the shape of the bovine animal is a little too corpulent, it is stable and well-proportioned. And the surface of the

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2.6.7a A bronze yi-vessel shaped as a bovine animal from Hengyang

2.6.7b A bronze yi-vessel shaped as a bovine animal from Hejiacun

Section 1 Majestic Bronze Ritual Objects

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vessel bears gorgeous patterns. Hence, the vessel still belongs to the first-class bronze artefacts of the Shang Dynasty (Fig. 2.6.7a). The bovine-animal-shaped yi-vessel discovered at Hejiacun 贺 家村 in Qishan 岐山 of Shaanxi Province belongs to the Zhou culture and is dated from the mid-Western Zhou Dynasty. The bovine animal depicted is a strong water buffalo with a slender body, forward stretched head and neck that act as the spout, and a downward coiled tail that acts as a handle. Its back bears a square vessel mouth adapted to a lid, and the knob on the lid is shaped as a fierce tiger pouncing on a prey. Either flank of the water buffalo is decorated with the patterns of deformed dragons and cloud scroll patterns. This yi-vessel demonstrates both the bovine animal and the tiger with a slight stiffness in their postures. Its decorative patterns are rough but fluent. It differs obviously from the yi-vessel in the shape of the corpulent bovine animal of the Shang Dynasty (Fig. 2.6.7b). Bronze zun-vessels in elephant shapes are often mentioned in transmitted literature of the Zhou Dynasty. The number of such zun-vessels handed down or unearthed is relatively big as well. The earliest known and largest specimen among them is now in the Guimet Museum in Paris, France. It is possibly dated from the early Shang Dynasty. The elephant is standing with a slightly forward leaning posture. Its shape is clumsy with a relatively short and raised trunk, horizontally spreading ears, a small, rightward coiled tail, and four stout feet. Another specimen, which was discovered at Shixingshan 狮形山, belongs to the Zaoshi culture of Hunan Province and is dated slightly later, i.  e., in the late Shang Dynasty or the early Western Zhou Dynasty. It is one of the most vividly shaped and exquisitely cast bronze zun-vessels in animal shapes found at present. Its lid is lost, leaving an oval vessel mouth on the back of the elephant. The trunk of the elephant is swung up, with its end part stretching forward. The trunk actually acts as a spout, since its end bears a though hole leading

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

2.6.8 A bronze zun-vessel in rabbit shape from the family cemetery of the marquis of Jin

to the belly. It seems that the zun-vessel demonstrates a young bull elephant that suddenly stops rushing. In terms of form, an elephant-shaped bronze zun-vessel bearing kui-dragon patterns in the collections of the Freer Gallery of Art in Washington, D.C., is extremely similar to the specimen from Shixingshan. It was allegedly also unearthed in Hunan. These two zun-vessels were probably produced in the same period and in the same region. The knob on the lid of the zun-vessel of the Freer Gallery has the same elephant shape as its body. The zun-vessel from Shixingshan dates probably to a slightly earlier period than that of the Freer Gallery. The former, with the lower part of the forelimbs leaning slightly outward and the hoofs looking much longer and thicker, appears more stable and elegant than the latter. Another specimen dating to a later period, i.  e., the mid-Western Zhou Dynasty, was discovered at Rujiazhuang in Baoji, Shaanxi Province. This zun-vessel is obviously lower than the earlier specimens. It demonstrates an elephant that has a corpulent body, four remarkably short legs, a highly raised trunk with a coiled tip, and a tail drooping naturally. The form of the elephant is relatively unique, with its body forming a curved and smooth contour line.

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Bronze zun-vessels and yi-vessels in further animal shapes dating to the Shang and Zhou dynasties can be roughly divided into two groups. The vessels of one group, like those in shapes of bovine animals and elephants, have animal shapes that are slightly exaggerated on the basis of the essential features of the animals and combined with certain parts of other animals; their surfaces are fully covered with patterns of sacred animals, background geometric patterns, etc., which are not existent on the coats of real animals. The vessels of the other group, like the rhinoceros-shaped zun-vessel of Yu, are more faithful imitations of animal shapes with relatively realistic superficial patterns. Some of these animal-shaped vessels, such as three zun-vessels in rabbit shapes unearthed from the family cemetery of the marquis of Jin at Beizhao 北赵 in Quwo 曲沃 of Shanxi rovince, merely bear round patterns on the flanks of the animals. The largest one of these rabbit-shaped zun-vessels has a trumpet-shaped mouth on the back of the rabbit, the belly of which is hollow. Furthermore, it has a short, rectangular ring foot, which is shaped as the feet on which the rabbit body is lying prone (Fig. 2.6.8). Several bird-shaped bronze ritual vessels (such as duck- and goose-shaped vessels) that have wide, webbed feet can stand without additional support, since their centers of gravity can be well balanced. Apart from these vessels, the problem of the stability of the other bird-shaped objects was solved in the following three ways. The first solution was to create a stable bronze vessel in the shape of two joined birds with four legs in total. The owl-shaped bronze vessels with loop handles that were popular in the late Shang Dynasty, such as the hu-jar unearthed in Yingcheng 应城 and the hu-jar discovered from Tomb no. 539 at Dasikongcun village in Yinxu in Anyang of Henan Province, indicate this solution. The bronze hu-jar from Dasikongcun has the shape of two owls standing upright with their backs joined together. The heads of the two owls form the bulging lid of

Section 1 Majestic Bronze Ritual Objects

the vessel, their protruding beaks act as the handles, their shoulders and bellies bulge out, and the part below the two bellies tapers into a rounded bottom. Altogether, the vessel body resembles two owl bodies with wings folded and chests raised. The stout four legs of the owls act as the feet of the vessel. The decorative patterns on the surface of the vessel, including wing feathers and belly feathers, are mainly those that refine the appearances of the owls. In addition, the remaining surficial space is also filled with patterns such as phoenix, beast faces, kui-dragons, etc., with angular spirals as background. These patterns are well combined with the shape of the bronze vessel. The second solution was to add a pole under the bird’s body to form, together with the two legs of the bird, a stable triple support. The duck-shaped zun-vessels unearthed both in Haidaoyingzi 海岛 营子 in Machanggou 马厂沟 in Kazuo of Liaoning Province and from the stone chamber tomb with an earthen mound at Muzidun 母子墩 in Dagang 大港, Dantu 丹徒 of Jiangsu Province indicate this solution. The zun-vessel from Muzidun belongs to the Hushu culture dating from the late Western Zhou Dynasty. It is shaped as a standing duck bearing a trumpet-shaped vessel mouth on its back. The duck stands with its neck curved and its wings folded. It has a half-ring-shaped crest on its head and a short, flattened tail. In order to maintain balance, a pole bearing screw thread under the rear part of the duck provides further support besides the feet. The surface of duck is un-patterned. Among the several duck-shaped bronze zun-vessels of the Western Zhou Dynasty that have been discovered up to date, this specimen has the most vivid and lovely form. It is a bronze handicraft article that optimally combines function with art. The third solution was to elevate the head of the bird and lower its tail, which would then support the vessel body together with the feet. This means was applied by the most bird-shaped bronze vessels to properly solve the problem of their stabil-

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ity, for instance by an owl-shaped bronze you-vessel from the tomb of Fu Hao at Yinxu in Anyang of Henan Province; a handed-down, chicken-shaped bronze hu-jar of a Grand Guardian (taibao 大保) with a loop handle; and a bird-shaped bronze hu-jar from the tomb of a Jin minister at Jinsheng village in Taiyuan of Shanxi Province. The you-vessel from the tomb of Fu Hao is shaped as an owl standing with its feet together, its head held high, its chest raised, its wings folded, and its tail drooped. The back of the bird’s head bears the vessel mouth with a semi-circular lid. The drooping tail and the stout feet support together the weight of the vessel. Owl-shaped ritual vessels were popular in the late Shang Dynasty. Combining the surficial patterns with the overall shape, the you-vessel from the tomb of Fu Hao can be regarded as a model representative of bird-shaped bronze vessels in the late Shang Dynasty. The hu-jar of the Grand Guardian is usually referred to as the you-vessel of the Grand Guardian. It belongs to the bronze objects of the Zhou culture in the early Western Zhou Dynasty. It is shaped as a squatting rooster with its head held high, its crest drooped, its chest raised, its wings folded. Its bent feet and its drooping short tail form the three feet of the vessel, which remarkably stabilize the vessel and enliven its appearance. As a result, the shape of the rooster and the function of the vessel are skillfully combined (Fig. 2.6.9a). The hu-jar of Jinsheng illage, which is sometimes referred to as a bird-shaped zun-vessel, is a masterpiece of bronze objects of the State of Jin during the Spring and Autumn Period and the Warring States Period. In terms of quality, it is comparable to the bronze hu-jar bearing the inscription »Zi zuo nong niao« (子乍弄鸟, i.  e., a pet bird made by the viscount) in the collections of the Freer Gallery of Art. The hu-jar of Jinsheng village is shaped as a bird standing with its head held high and its chest raised. The lower part of its beak, which is the spout of the vessel, is fixed, while the upper part can flap freely. Therefore, the

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

2.6.9a A chicken-shaped bronze hu-jar of a Grand Guardian with a loop handle

beak opens when pouring liquor. This design is remarkably intelligent. The back of the bird bears a tiger shaped handle and an oval vessel mouth with a lid, the knob on which is shaped as a ring. A chain connects the hindlimbs of the tiger with the ring knob. The bird stands with two straight legs. In addition, a further support in the shape of a small tiger, appearing a little redundant, is added under its tail. The vessel body is richly decorated with fine, scale-shaped feathers and cloud scroll patterns, which are arranged orderly (Fig. 2.6.9b). Among the animal-shaped, representational bronze ritual vessels of the Xia, Shang, and Zhou dynasties, a hu-jar shaped as a tiger seizing a human (also known as the »you-vessel in the shape of a tiger devouring a human«) has the most unique shape. It was allegedly discovered in

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Section 1 Majestic Bronze Ritual Objects

2.6.9b A bird-shaped hu-jar from Jinsheng Village

the region of Anhua 安化 or Ningxiang of Hunan Province, and is now in the collections of the Sen-oku Hakuko Kan in Japan. The bronze hu-jar represents a fierce tiger squatting on the ground. The tiger’s hindlimbs and short tail form the stable three feet of the vessel. Its forelimbs raise and embrace a person, whose head is stuffed in the mouth of the tiger. The lidded mouth of the vessel itself is on the nape of the tiger. The knob of the lid is shaped as a standing deer. The unusual shape of the vessel has attracted much attention in the academic world. In general, a vessel in the shapes of a four-footed animal obtains the largest stability if the animal is forged in its standing posture. This is the reason why this posture was the most preferred in casting such vessels. However, the tiger shape of this vessel is cast in a squatting posture, i.  e., with its forelimbs raised and its hindlimbs bending like the postures of certain bird-shaped bronze vessels. This posture

is admittedly associated with the conventional requirement of the shape of the hu-jar with a loop handle. But, more essentially, its shape was restricted by the symbolic significance that the bronze vessel was meant to express. The »sacred vessel in a tiger shape« (huyi 虎彝) is the only vessel type beyond those in bird shapes among the »Six Sacred Vessels« (liuyi 六彝) mentioned in the chapter of »Ministry of Spring« in the Rites of Zhou. Accordingly, it can be assumed that the posture of the tiger standing on its hindlimbs might symbolize that it would take off to soar like those birds. Scholars have proposed various explanations of the meaning of this posture: Some of them think that it reflects the primitive religious phenomenon of the summoning magic or of the sacrificial offering and praying to the ancestors; others refer to the ancient concept of using animals as the medium of communication between humans and gods, i.  e., the image of the tiger embracing

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a person reflects the ancient sorcery concept of communicating with gods through the tiger. In summary, the creation of artistic images based on realistic objects is the most basic reflection and embodiment of the cultures of various peoples in their arts. The animal-shaped, representational forms of the bronze objects of the Xia, Shang, and Zhou Dynasties indicate the understanding, perception, and conception of the Chinese peoples towards the images of objects in the long process of historical development. This way of conception determines an important characteristic of Chinese plastic art: importance is not only attached to the surficial features and postures of the objects, but also to the cultural characteristics and social identity reflected by the superficial appearances, as well as to the concepts and functions conveyed by said postures. This important characteristic has influenced the concepts and techniques of creating forms of the Chinese peoples of later periods and has become one of the essential features of Chinese art.

Section 2  Mysterious Bronze Statues Bronze statues refer to three-dimensional bronze objects in shapes of human beings or animals; based on certain needs, they were created independently. They include neither ritual vessels in the shape of human beings or animals, nor sculpture in the round or high reliefs that act as accessories attached to certain bronze objects. Bronze statues dating from the Xia Dynasty have not been discovered up to date, and those dating from the Shang and Zhou dynasties are rare. Their number is seldom comparable to the large number of bronze ritual vessels in these Three Dynasties. However, bronze statues are of high artistic values because they are mostly free-standing and are not restricted by utilitarian functions like those of the bird- and beast-shaped bronze ritual vessels.

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At present, the discovered bronze statues of these Three Dynasties mostly scattered in the Yangtze River Basin in South China. For instance, the Sanxingdui site of the Sanxingdui culture in Guanghan of Sichuan Province yielded the most numerous, most diverse, and largest statues. The remainder of the sites in South China produced merely sporadic findings of bronze statues. In two of the pits filled with objects at the Sanxingdui site (some scholars believe that they are sacrificial pits), hundreds of bronze statues have been unearthed. They can be divided into four categories, i.  e., human statues (including deity statues in human appearances), animal statues (including imaginary animals), plant images, and statues combining these categories.

1. Frightening Bronze Statues of Deities The numerous bronze statues of humanlike shapes can be clearly categorized into deity figures in human appearances, ordinary human figures, and superhuman figures who communicate the relationship between humans and gods, as manifested by the forms and the depiction of details of these statues. In terms of the features of their ears, eyes, and accessories, these bronze statues can be divided into three groups: The statues in the first group demonstrate faces that have vitreous bodies protruding out of the eyeballs as well as large and pointed ears without perforations for earrings. Their horizontal cross sections have the shape of the Chinese character au (凹, i.  e., concave). Their appearances deviate from real human physiognomies. These face statues are remarkably large. Proportionally, they are the largest of all the bronze statues at Sanxingdui. In terms of the head shapes and the features of the ears and eyes, these faces are identical with the head of the human-bird hybrid on the so-called bronze »altar« of Sanxingdui. Therefore, these faces must represent imaginary deities rather than humans. The bronze human statues in the second group basically depict the forms and details of real humans, but

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their eyes are slightly unproportionally large and bear transverse edges in their middles. Except for several individuals that are proportionally almost as large as those in the first group, the statues in the second group are basically life-size. They include standing bronze statues, a large number of bronze heads, and a small number of bronze faces. Generally, these statues are thought to have been engaged in activities of entertaining gods or serving gods. They probably represent wizards who played intermediary roles between humans and gods. In addition, those statues that are almost as large as those in the first group may represent the ancestors of the kings of the ancient Shu people and founders of the Sanxingdui culture. The statues in the third group include only a few small sitting or semi-kneeling human figures. Except for one specimen with an ugly face, these statues resemble those in the second group; but their eyes are either forged or painted. They must represent ordinary people. The one with the ugly face most likely did not belong to the ancient Shu people. Among the bronze humanlike statues popular in the Central Plains and other regions, the most numerous and most popular ones are those of the faces including ears. These statues can be divided into two groups: The statues in the first group have hideous and terrifying looks with angry, wide-open eyes; broad noses; jug ears; and wideopen mouths with exposed teeth. Such statues have been discovered in tombs at Chenggusu 城 固苏 Village, at Hejiacun Village in Qishan, at Laoniupo 老牛坡 in Xi’an of Shaanxi Province; and at Liulihe 琉璃河 in Fangshan 房山, Beijing. Compared with a two-faced bronze statue discovered at Dayangzhou in Xingan of Jiangxi Province, these statues have similar basic features. But the statue of Dayangzhou has two horns on its head and two fangs sticking out of its mouth. Obviously, it does not represent a human but a deity. The statues in the second group have obvious corners of eyes and sometimes exposed teeth. Their physiognomies are close to those of real human faces.

Section 2 Mysterious Bronze Statues

Such bronze statues are sparsely found, including merely those discovered at Yinxu in Anyang of Henan Province and at Liulihe in the Fangshan district of Beijing. It is worth noting that statues of faces in styles of both the first group and of the second groups were discovered in the tomb of Ke 克, a marquis of Yan, at Liulihe. The numbers of faces in these two styles are similar (five in style of the first group and four in style of the second group). These two styles of face statues used to be fixed on lacquered shields to intimidate the enemies and protect the warriors carrying them. It is also possible that the two groups of bronze statues had meanings that are totally different from each other. In the ancient Chinese artistic forms, ghosts and deities are often depicted in a dynamic, lively, and animated way, while humans are often portrayed as rigid and timid figures. This seems to correspond with the following observation of the ancients: »Dogs and horses are difficult [to paint], while ghosts and deities are easy [to paint]. Dogs and horses can be commonly seen in the world, and ghosts and deities have strange and uncommon appearances.« In the Xia, Shang, and Zhou dynasties, ghosts and deities were respected, although some of the thinkers of the Eastern Zhou period had the thought that »the Way of Heaven is remote and the Way of humans is close«. It is obvious to which extent people of these dynasties worshiped ghosts and deities, judging by the circumstances of the worship reflected in numerous written sources including the oracle bone inscriptions of Yinxu, the bronze inscriptions of the Western Zhou Dynasty, the covenant texts (zaishu 载书) of the Eastern Zhou Dynasty, and the Curse on the Chu State Inscription (Zu Chu wen 诅楚文), as well as indicated by the large amount of wealth spent in sacrificial pits that came into being through sacrifices to various deities and spirits by the ruling class. Among the large number of bronze statues of Sanxingdui, merely three represent deities, all

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2.6.10 The statue of a large face with protruding eyes from Sanxingdui

of which are depicted as face images. These statues are remarkably large, with the largest measuring 0.65 m in height and 1.38 m in width, i.  e., twice or more than twice the size of the head of any other bronze statue. Each of the face statues has rectangular perforations in the center of the forehead and on either face side, indicating that it used to be a mask nailed to the face of a wooden idol. Each mask has wide eyebrows, big eyes, a big nose, a wide mouth with a mysterious smile indicated by the upturning corners of the mouth. Most strikingly, the cylindrical pupils of each mask protrude from the eyeballs, and the ears are long and pointed. In addition, a streak of cloud rises between the eyes of one of the masks (Fig.  2.6.10). Undoubtedly, these bronze masks represent no ordinary humans, but a particular

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

deity. Which deity? What does its complete image look like? Many researchers noticed the pupils that protrude from the eyeballs of these bronze masks. Some scholars associate these masks to a record in the chapter of »Chronicles of Shu« in the Chronicles of the State of Huayang (Huayangguo zhi 华阳国志) and believe that they represent Cancong 蚕丛 (literary »a collection of silkworms«), the Shu people’s ancestral deity, »whose eyes are vertical.« However, Cancong is not the only deity with uncommon eyes in ancient Chinese myths and legends. Another famous deity whose name is Zhulong 烛龙 or Zhuyin 烛阴, which is also associated with the Shu State, has a similar appearance to that of Cancong. This deity must also be worth considering in speculating the identity of these bronze masks. According to certain ancient documents, Zhulong is a powerful deity capable of controlling the sunrise, sunset, moonrise, moonset, and the cycle of the seasons. It is a hybrid with a human head and a snake body. Although its head looks like human, his eyes have uncommon features—they are vertical and have square zheng 朕 (according to Shuowen xinfu 说文新附, zheng means the essential of the eyes, i.  e., the pupils). Since the character zhu in the term Zhulong and the character shu share the final sound, Zhulong might have originally been Shulong. In addition, a palaeographic variation of the Chinese character shu is remarkably reminiscent of the image of Zhulong, who has »a human face and a dragon’s body without feet.« Indeed, in the oracle bone inscriptions, the character shu resembles a snakelike reptile with a large eye and a curled body. Shuowen jiezi interprets the character »shu« as follows: »Shu means a silkworm in the mulberry tree. It has the radical that stands for worm [chong 虫]. The upper component that stands for the eye [mu 目] resembles the head shape of the silkworm, and the middle component looks like its wriggling body.« This indicates that the character shu was closely associated with silkworm. Therefore, it is

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not difficult to understand that Zhulong and Cancong bear similarity in terms of their appearance and their natures. The three bronze masks unearthed at the Sanxingdui site can represent Zhulong or Cancong, whose images are both characterized through human heads and dragon or snake bodies. But there is another possibility about the archetype of these masks, i.  e., a creature with a human head and a bird’s body. In the transmitted genealogy of the clans that reigned ancient Shu, i.  e., the western Sichuan Basin, in the pre-Qin Period, only Cancong and Kaimingshi 开明氏, the earliest founding ancestor and the last king of the Shu people, respectively, are not known for worshiping birds. There are clear indications that all the remaining dynasties had birds as the totems standing for their ancestral deities. For instance, the denotations of the ruling tribes Baiguan 柏灌, Yufu 鱼 凫, and Pubei 蒲卑 derive from the denotations of certain birds. Many cultural relics of the Sanxingdui culture, which was born in the bird-worshipping environment, bear elements about birds as well. For instance, among the carved images on the gold coating of a bamboo scepter unearthed from Pit No.1, two pairs of birds are arranged symmetrically above the image of a king. And the largest animal statue among the objects in Pit No. 2 is a large bird with a hooked beak. And it is particularly noteworthy that on the bronze model of an »altar,« the square zun-shaped bronze vessel worshipped by numerous sorcerers bears on its shoulders an image with a human head and a bird’s body. The human head has pupils that protrude from the eyeballs, like those on the above-mentioned three masks. Therefore, it can be concluded that at least one of the bronze masks must have belonged to a deity with a human head and a bird’s body. Maybe all three masks belong to such a deity instead of one with a human head and a dragon’s or a snake’s body. The emphasis of the eyes of deity statues is a universal feature in the art associated with the prim-

Section 2 Mysterious Bronze Statues

itive worship in the pre-Qin Period. For instance, the eyes of the painted, clay »goddess« of the Hongshan Culture, discovered in the »Goddess Temple« at Niuheliang of Liaoning Province, has particularly salient eyes made of turquoise inlays. The freestanding bronze statues of the Shang and Zhou dynasties, such as those of the double-faced deity from a large tomb at Dayangzhou in Xingan of Jiangxi Province, the deity unearthed at Chenggusu Village in Shaanxi, etc., share the characteristics of prominent round eyes and pointed ears. Sometimes their pupils are made of non-bronze materials (for instance, the statue of Dayangzhou). The bronze statues in shapes of human faces unearthed from certain tombs at Laoniupo in Xi’an and at Hejiacun in Qishan of Shaanxi Province, at Liulihe in Fangshan of Beijing, etc., are deity statues that used to be fixed on the shields to intimidate the enemies. They also have wide-open, round, and prominent eyes that are distinct from those of ordinary humans. In addition, since the most common beast-patterns on bronze objects of the pre-Qin Period represent a »medium« that was used to communicate between humans and heavenly (or belowground) deities, they have to a certain extent a sacred nature that elevates them from ordinary animals. Therefore, the ancients endeavored to highlight their eyes while depicting them; sometimes they even omit their contours, leaving only their eyes. And deities with human heads and bird bodies belong to the common deity images in legends of the pre-Qin Period. For instance, the Classic of Mountains and Seas records a large number of such deities or sacred animals. The three bronze masks of Sanxingdui, which may have belonged to one of such deities, are huge in size and solemn in shape. They must have been the subject of worship for the people who cast them. Whether these three bronze masks belonged to a human-faced deity with a dragon’s (or snake’s) body or one with a bird’s body, they can be associated with the ancestors of the ancient Shu people,

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such as Cancong. It is highly possible that these masks with protruding eyes and pointed ears represent the images of their ancestral deities. The bronze statues of Sanxingdui demonstrate deities with local characteristics in the Sichuan Basin. Their forms and symbolic significance probably differ from those of the deity statues in other regions. In the Xia, Shang, and Zhou dynasties, the most universal form of deities is represented by the double-faced bronze statue unearthed from the large tomb at Dayangzhou in Xingan of Jiangxi Province. The statue of Dayangzhou belongs to the Wucheng Culture in the early Shang Dynasty. More than half a meter high, the statue depicts a hollow head, which bears two identical faces on its front and back sides. It has a pair of long horns that wind outward in angular spirals and bear angular spiral patterns on their surfaces. Between the horns, there is a tubular hole, which probably used to bear an insertable accessory that indicated the head’s sacred nature. Each face has an approximately trapezoid shape with the longer base at the top, two round eyes, a broad nose, and a mouth with exposed teeth. The lower canine teeth are long and coil outwards, unlike those of ordinary humans. Below the face, there is a square tube, indicating that the statue probably used to be mounted on a wood pole. If this double-sided statue was held high on a wooden pole, the faces would be visible to worshipers from two sides. The face of the deity is ferocious and has distinct features. Similar images can be seen on bronze weapons dating to the early Shang Dynasty or later from diverse regions and cultures. The bronze statues of human faces from Chenggusu Village in Shaanxi Province, Laoniupo in Xi’an, Hejiacun Village in Qishan, and Liulihe in Beijing are not as detailed and complex as the statue from Dayangzhou, but their basic forms and features are identical with that from Dayangzhou. Therefore, they must represent one and the same deity. Each of these bronze statues has bulging eyes

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

consisting of double concentric circles and a large mouth with exposed teeth. Some statues have serrated teeth as well as curved fangs. The deity represented by these statues must be Taishui 太 岁, a deity associated with warfare. In ancient China, it was imagined as an evil deity and the negative counterpart of the Great Unity, i.  e., the sun god. The negative correlations of these two deities may be manifested in many aspects, such as the relationships between male and female, yin and yang, etc. Judging by the in-situ locations of these rounded bronze statues, they were mostly fixed on lacquered shields to intimidate the enemies and protect the warriors holding the shields. Therefore, they represent the deity associated with warfare.

2. Elegant and Dignified Bronze Human Figures The bronze human statues of Sanxingdui include full-length figures, head figures, and face figures of diverse sizes and forms. Those full-length figures are standing, half-kneeling, or kneeling (referred to as ji 跽 in ancient China). The hairstyles and headdresses of these figures differ obviously from each other, but their facial expressions are completely identical. All of them have oblong faces with square jaws, broad eyebrows, ovalshaped eyes, wide noses, and large mouths. The protruding ridges in the middles of their eyes lead to the assumption of many researchers that they are wearing masks. The postures of these figures are relatively stylized as well. Each standing figure usually raises the clenched hands in front of the chests. Each kneeling figure is either half-kneeling and turning the upper body sideward; or kneeling and keeping the upper body straight. If a kneeling figure has nothing in the hands, the hands are put in front of the belly, appearing remarkably devout. Only a small bronze figure has the standard sitting position of the people in the Central Plains of the pre-Qin Period, i.  e., kneeling with the legs apart, hands touching knees, and the buttocks resting

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on the heels. This figure is depicted as extremely ugly, which probably indicates a deliberate, negative view of the people of the Central Plains by the ancient Sanxingdui artist. The largest bronze figure of Sanxingdui has a height of 260 cm including its pedestal. The figure itself is approximately life-size. It wears a ji-hairpin (ji 笄) that fixes the hair, as well as a crown with petal-shaped decoration. It has thick eyebrows, big eyes, elongated ears with piercings for earrings, and a wide mouth. Its slender body wears a short-sleeve robe with dragon patterns and with its right lapel covering the left one, as well as a long-sleeve inner robe with two pointed hem edges. Either arm of the figure is bent and raised to the chest, with the hand clenched into a hollow fist, as if holding something. The figure is barefoot. Wearing anklets, it stands on a double-layered square pedestal. The upper part of the pedestal is a platform carried by the heads of four beasts with trunks. Lanky and slender, the standing figure has robust and huge hands, demonstrating a certain similarity to the artistic forms of the Chu Culture (Fig.  2.6.11). Majestic, dignified, and gorgeously dressed, the figure is the most striking among the many bronze statues from the pits of Sanxingdui Culture. Researchers have provided various interpretations about the object that this bronze statue used to hold and about its identity. Some suppose that it used to hold a jade cong-tube in either hand, and the two jade cong-tubes were skewered with each other through a wooden pole symbolizing a connection with Heaven. Others believe that the object concerned was a sacred tubular container made of wood or bamboo with similarity to that owned by bimo (a shaman of the Yi people). The bronze figure itself has been identified as a chief wizard or a king, or both (i.  e., a religious and secular leader). Yet others believe that the figure used to carry a thick ivory tusk. Judging by the shape of the cavity in either clenched hand, the object that was held must have had a cylindrical shape, un-

Section 2 Mysterious Bronze Statues

2.6.11 A large bronze statue of a standing figure from Sanxingdui

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like the shape of a typical cong-tube. Furthermore, the axes of the cavities in the two hands do not form a line, i.  e., neither a straight wooden pole nor a sacred cylindrical container could have gone through both cavities. And although the hands could have held a curved tusk, it was doubtful whether a heavy tusk was suitable for holding in hands. Several small bronze figures discovered in the tomb of Yubo at Rujiazhuang in Baoji of Shaanxi Province demonstrate features that are strikingly similar to those of the above-mentioned figure. One of those figures holds the clenched hands widely apart at either side. Obviously, it used to hold in his hands two objects rather than one. The same may hold true for the large bronze figure of Sanxingdui. In terms of appearance and costume, the large bronze figure of Sanxingdui is remarkably similar to the figures of clerics from the same site, one of which carries a bronze zun-vessel on its head and others hold the branches of sacred trees. All of them must represent the magicians who worshiped the ancestors and served the gods in the ancient Shu state. The most bronze figures of Sanxingdui are bronze heads of various types. They amount to over 50. They are approximately life-size, with diverse hairstyles and various crowns. The hollow neck below each head tapers into a triangular shape, which enables the head to be attached to a torso of another material or a wooden post. Each eye of the bronze heads bears a transverse ridge in its middle, instead of a cylindrical pupil protruding from the eyeball. The ears are similar to those of the humans, unlike those long, pointed ears of the bronze figures of the deities. In addition, their earlobes bear perforations for earrings. Like all the other bronze statues of Sanxingdui, the faces of these bronze heads have oblong shapes with square jaws, wide eyebrows, wide eyes, and large, closed mouths. They differ from the faces of the peoples of the world, and this must be the result of the artistic exaggeration of the face shapes by the ancient Shu artists.

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

In terms of the physiognomies and facial expressions, these bronze heads are remarkably similar and appear stylized. Their group diversity or individual features are mainly manifested in their hairstyles and hairdressers. Most of the bronze heads wear plaits of hair. Among them, some have the standard plaits that hang behind their heads, and others have casual updos with plaits. Besides these, some bronze heads have their forelocks shaved into three parts, others have updos on both sides of the head, yet others keep merely the topmost hairs, which are tied with a bow at their backs. As a contrast, it seems that the forms of

2.6.12 A bronze head adorned with gold foil from Sanxingdui

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crowns on these bronze heads seem relatively simple. Each crown has commonly a short cylindrical shape with a flat top. But judging by the crowns on the bronze heads of other types, such a crown may have originally be covered by another crown with petal-shaped adornments, as the one worn by the largest standing bronze figure; or by another crown with quadripartite angular adornments, as those worn by the four magicians carrying the bronze »altar« of Sanxingdui; or by another crown shaped as a bird’s head, as the one worn by a magician dressed as a bird from the same site. Among these bronze heads, several subtypes look especially striking. The heads in the first subtype are coated in gold foils and can be further divided in two groups, i.  e., those with flat tops and plaits of hair and those with shaved temples and topmost hair tied together. The heads of the latter group, which have holes on their backs for inserting ji-hairpins, have physiognomies that do not differ from those of the most ordinary bronze figures of Sanxingdui. But the skins on these heads are represented by gold foils, making the contours of their eyebrows and eyes particularly distinct. The gold foils were glued to the bronze surfaces with lacquer before they were treated with the supplementary technique of hammering. They fit tightly to the bronze surfaces, as if the surfaces were gilded (Fig. 2.6.12). The heads in the second subtype amount to three. They wear hair bands. Their physiognomies do not differ from those of the most ordinary bronze figures of Sanxingdui, either. But their hairstyle is the most peculiar among others. They merely keep their topmost hairs, which are arranged backwards and tied together with ribbons that form butterfly-shaped bows. Their forms are delicate and elegant, and the casting of their ribbons is associated with complicated techniques. Therefore, these are the model representatives of the bronze head figures of the Sanxingdui culture. All the bronze figures in Sanxingdui look slender, gallant, and elegant, with an archaic aesthetics

Section 2 Mysterious Bronze Statues

that are reminiscent of the Buddhist statues of the Northern Wei Dynasty. Those full-length standing figures have elongated heads, lanky bodies, robust arms, and large hands. Each head figure has a broad forehead, a square jaw, broad and upward eyebrows, rhomb-shaped and upturned large eyes, a transverse ridge in the middle of either eyeball, and a closed large mouth with clear corners. They are no simple depictions of individual heads, but syncretized and stylized forms created by artists after their contemplation about the requirements of the forms. Such stylized forms are reminiscent to those stylized bronze masks that have angry, wide-open eyes, and wide-open mouths with exposed teeth. The bronze statues of Sanxingdui represent the artistic style of human statues during the Shang and Zhou dynasties in the Sichuan Basin in Southwest China. But in the Central Plains and its surrounding areas, discoveries of bronze figures dating to the Shang Dynasty are rare. Their examples include the forged reliefs of human faces on the four sides of a square ding-cauldron dating to the Shang Dynasty and unearthed in Hunan Province. Each face has two horns and is flanked by two claws (several scholars believe that these faces symbolize the Yellow Emperor with four faces), indicating that these faces represent a deity with a human head and an animal body. These faces are, however, are depicted realistically, totally unlike the bronze faces of the contemporary Sanxingdui culture. In general, bronze human figures of the Central Plains have a mostly naturalistic style. Among the bronze human figures of the Eastern Zhou Dynasty, the most realistic one is the bronze warrior statue unearthed at the Gongnaisi River in Xinyuan, Xinjiang. The statue wears a tall hat with a broad brim and a pointed top bending forward. Bare to the waist and barefoot, the figure is on its knees. Wearing a short skirt, it perhaps used to hold a weapon in its hands. The indifferent expression on the face as well as the muscular body convey an air of Greek sculptural art in obvious

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2.6.13 Two bronze cranes of the Eastern Zhou Period (a, b)

distinction from the realistic art of bronze statues in the Chinese Central Plains. Its form is more accurate than those forms of the bronze human figures in the Central Plains.

3. Bronze Animal Figures with Double Meanings There are many more bronze statues of animal figures than those of human figures dating to the Xia, Shang, and Zhou dynasties. It seems that the artists at that time were much more interested in depicting animals than depicting humans. In their long-term practices in daily life and in artistic creation, the ancient bronze artists were remarkably well-informed about the morphological characteristics of many animals and were able to create remarkably vivid bronze statues of those animals. As a result, the bronze animal statues demonstrate a much larger individuality than that

of the bronze human figures, and a large number of bronze masterpieces in animal shapes were produced in these Three Dynasties. Among these bronze animal statues, there are two obviously different forms, i.  e., imaginary statues with exaggerations and symbolic significances, and realistic statues. The animal images in the first form differ to a certain extent from real animals. They are either patchworks of the characteristics of several animals or are based on certain animal forms, which are extended with certain accessories demonstrating their sacredness. The power and sacredness of these animals were often highlighted by means of the deformation and the exaggeration of their features as well as the decoration of their bodies with certain ornamentations. For instance, the bronze hybrid of a standing crane with antlers from the tomb of Marquis Yi of Zeng in Suixian County of Hubei Province, dating to in the early

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2.6.14 A winged bronze beast with silver inlays from the tomb of Cuo, a King of Zhongshan

Warring States Period, stands on a low bronze base with its head held high and its wings outstretched, as if it were going to take off. The bronze hybrid, created mainly with the features of a crane, has deer antlers on its head. Compared to a crane, its beak was deliberately twisted upward, its neck was elongated, and its legs and especially its wings were greatly shortened. Obviously, it is no longer a simple imitation of the cranes in nature, but a sacred bird bearing a certain meaning and coming into being through the deliberate modification and innovation on the basis of a real crane. The State of Zeng, located in a region mainly under the influence of the Chu culture, was a vassal of

Chu. Deer antlers and the so-called »tomb guardian beasts« (zhenmushou 镇墓兽), i.  e., lacquered wooden statues with antlers, were often deposited in Chu tombs. Although researchers have controversial opinions about the symbolic meaning and function of the antlers and the »tomb guardian beasts,« they generally agree that they are associated with the deities and magic of certain primitive religions. Accordingly, the hybrid with deer antlers must possess certain supernatural powers as well (Fig. 2.6.13a). Another example is a pair of winged bronze beasts with silver inlays, dating to the mid-Warring States Period and unearthed from the tomb of a King of Zhongshan

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in Pingshan, in Hebei Province. Either beast has its head raised high and turned to one side, bent forelimbs, hindlimbs raising the haunches, and a long and feather-like tail drooping in a gentle bent. Either beast has a posture indicating that it is rising from a crouch, with its body forming a curved line that rises twice and falls twice from its head to its haunches. Either beast has a head like that of a tiger, a long neck, feathered wings, haunches like those of an ox, and a long tail like that of a pheasant. They have features of diverse animals because they represent imaginary animals rather than real ones (Fig. 2.6.14). Bronze animal statues belonging to the second form are imitations of real animals. There are only a few bronze statues of this form in the Central Plains. The earliest known example is the double-tailed bronze tiger dating from around the Shang Dynasty and unearthed from a large tomb at Dayangzhou in Xingan, in Jiangxi Province. The bronze tiger belongs to the Wucheng Culture. Demonstrating a rising posture from a crouch, the tiger has an open mouth, exposed teeth with especially prominent fangs, protruding eyes, thick eyebrows, erecting ears, a chunky neck, a sagging belly, a protrusion on the back, and two drooping tails. A short-tailed bird, which is perching on its back, has a pointed beak and round eyes. Statues of tigers are common in the large tombs of Xingan. For instance, several striking ding-cauldrons have tiger-shaped handles. But compared with these tiger-shaped accessories, the double-tailed tiger with a bird on its back is more peculiar. It is not only huger with a length of more than half a meter, but also more vividly shaped in the posture of rising from a crouch, with a tiny bird perching on its back. The ferociousness of the tiger and the docility and loveliness of the tiny bird create the impression of »static in motion and motion while static.« The main body of the bronze tiger is basically realistic, but its two tails go beyond the empirical. Hence, the bronze tiger may be a statue with a certain marking function. It is a

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

bronze artwork created mainly in a realistic style but with a change in the tail. Another example of bronze animal statue in a realistic style of the Shang Dynasty is a bronze rooster discovered in a pit of the Sanxingdui site, dating to the same period as that of the Dayangzhou tomb. The rooster is not big. Its overall shape as well as details are faithful to a realistic rooster that perches in the canopy of a tree, with its head held high, its chest raised, and its feathers shimmering brightly. Such realistic form of depiction was developed throughout the Xia, Shang, and Zhou dynasties. Although free-standing animal statues of these Three Dynasties have been rarely handed down, the realistic style in bronze technology at that time can still be glimpsed in animal-shaped accessories on bronze objects. For instance, the famous bronze square hu-jars with decorative figures of lotus flowers and cranes from Lijialou is a typical bronze vessel of the State of Zheng at the joint of the middle and the late Spring and Autumn Period. Its lid has a knob shaped as a crane. The lid per se is an individual bronze statue of a crane standing on a low pedestal. The crane has unfolded wings as if it would take off. Its appearance and posture are shaped vividly, in a sharp contrast with the bronze crane in the tomb of Marquis Yi of Zeng. It is a representative work of animal statures in a realistic style in the Eastern Zhou Dynasty (Fig. 2.6.13b).

4. Bronze Sacred Trees with Symbolic Significance Two relatively large bronze trees were also unearthed in Pit no.  2 at Sanxingdui. They have roughly the same shape, i.  e., each tree, standing on a disk-shaped base, consists of three curved diagonal support feet in its lower part and a large and straight trunk with multiple branches extending from it. The basic structure of one of the trees, which is about 5 m high, has been largely restored. The trunk has three internodes, each of which bears three branches. The whole tree has

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nine branches, with one bird perched on each branch. The fragmented tip of the tree presumably used to bear another bird. Therefore, the tree used to bear ten birds altogether. And there is another animal in the tree, i.  e., a remarkably large dragon hanging upside down from the branches. Furthermore, scattered bronze or gold ornaments such as clapper-bells, flowers, leaves, and cowries perhaps also used to be parts of the tree (Fig. 2.6.15). On the base of the other bronze tree, which is more fragmented, three figures in the appearances of magicians are kneeling equidistantly from each other, facing outwards. As is known, the ancients believed that the dragon was a deity between heaven and earth. Accordingly, trees with dragons coiling around them are no ordinary trees, but trees with a certain sacredness. This is the reason that the magicians are waiting under them. These two bronze trees are tall and large, with complex forms. They are particularly unique among the bronze statues that do not include many plant motifs in the Three Dynasties. Therefore, they are worth special attention and a reasonable interpretation of their symbolic meaning. In ancient Chinese legends, the most famous sacred trees are called jianmu 建木, fusang 扶 桑, ruomu 若木 and taodu 桃都. In terms of their shapes and functions, the bronze sacred trees of Sanxingdui are undoubtedly the most reminiscent of the fusang and the ruomu among these four sacred trees. In ancient Chinese legend, there were ten suns in the sky. All these suns, according to some of the legends, were carried on the back of the »Three-Legged Crow«, a sacred bird. According to other legends, these suns were either themselves birds or had birds as their incarnations. But all legends indicate that the suns as well as the sacred birds rested on the fusang and the ruomu. The ancients often conflated the fusang and the ruomu because they had similar shapes, i.  e., either had ten branches (including the top of the tree) and each branch accommodated a bird. Nevertheless,

Section 2 Mysterious Bronze Statues

2.6.15 A large bronze sacred tree of Sanxingdui

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fusang and ruomu are not two denotations for one and the same sacred tree, even though the shapes of the trees associated with these denotations are similar, and even though the ancient variations of the Chinese characters sang 桑 and ruo 若 are similar. The fusang, which was located in the eastmost spot in the world imagined by the ancients, cannot be confused with the ruomu, which was located in the westmost spot. The two bronze sacred trees with similar shapes unearthed at Sanxingdui must represent the fusang and the ruomu, which symbolize the eastmost spot and the westmost spot, respectively. This can be corroborated by a silk painting from one of the Han tombs at Mawangdui in Changsha, Hunan province. A fusang tree with soft and spreading branches and leaves is depicted in the upper right corner of the painting. At the top of the tree, there is a sun with a Golden Crow (jinwu 金乌) inside; and the branches bear a number of smaller suns. Furthermore, a giant dragon coils up around the tree trunk. In comparison with this depicted tree, one of the bronze trees of Sanxingdui has a taller and straighter trunk (due to the material of bronze) and bears ten crows rather than suns. But despite these two discrepancies, the bronze tree of Sanxingdui, like the fusang tree in the painting, also bears a bronze dragon of a considerable size on its trunk. This similarity indicates that the bronze trees of Sanxingdui must symbolize the fusang and the ruomu that accommodated the suns, which are the products of the ancient Chinese concept of the universe. The ancient Chinese concepts of the universe mainly include the »celestial sphere theory« (huntianshuo 浑天说) and the »heavenly dome theory« (gaitianshuo 盖天说). In the Xia, Shang, and Zhou dynasties, which belonged to the period of pre-»celestial sphere theory,« people imagined that Heaven was above the earth and covered it like a dome; and the earth was square like a carriage floating on water. Therefore, the ancients called Heaven the lid of a carriage, and the earth

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

the carriage. In legends based on this theory, the earth is surrounded by seas, and there were three sacred trees from east to west: »The fu[sang] tree in Yang Prefecture is baked by the sun’s heat. The jianmu 建木 tree on [Mount] Duguang, by which the gods ascend and descend [to and from Heaven], casts no shadow at midday. If one calls [from that place], there is no echo. It forms a canopy over the center of the world. The ruomu tree is to the west of the jianmu tree. On its branches are ten suns; its blossoms cast light upon the earth« (chapter on »Terrestrial Forms« in the Huainanzi). This means,there were originally three sacred trees in the world. The middle one was the jianmu tree, which connected the heaven and earth; and the ones in the east and the west were the fusang tree and the ruomu tree, respectively, which accommodated the suns. The jianmu tree was felled by Chong Li 重黎 and its position of connecting Heaven with the earth was taken by Mount Kunlun 昆仑, which was regarded as a ladder to Heaven, or by certain birds and beasts that were regarded as the media that enabled the communication between humans and gods. Hence, irrespective of the jianmu tree, merely two sacred trees, i.  e., the fusang and the ruomu, were worshiped. Both of the sacred trees are associated with the sun. The bronze trees symbolizing the fusang and the ruomu in the Sanxingdui culture indicate that the ancient people of the Sanxingdui culture must have worshiped the sun god in their primitive religion. As a culture distributed in the territory of the ancient State of Shu and a culture known for the worship of the sun god, the Sanxingdui culture is reminiscent of »Kaimingshi« (开明氏), the name of the royal tribe of the last dynasty of the Shu State. The term kaiming is used in the poem »Questions to Heaven« (Tian wen 天问) in the Songs of Chu to describe the opening of the Heavenly Gate (tianmen 天门), which let the sun out. The Kaiming clan of the Shu State chose this term as its name to boast that it was the descendant of

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a great deity who regulated the sun’s movement. It was also due to the tradition of worshiping the sun god by the ancient people of Sichuan province, Chang Qu 常璩 named his book about the history of Sichuan the Chronicles of the State of Huayang, with the term huayang referring to the ten suns that used to be tree blossoms that cast light upon the earth.

Section 3  Vivid and Flexible Bronze Ornaments 1. Magnificent and Exaggerated Bronze Parts in the Forms of Mythological Beasts It was a time-honored tradition in the Xia, Shang and Zhou dynasties to use bronze mythological beasts to decorate objects of other materials. The building site at Xiaoshangqiao 小商桥 in Zhengzhou of Henan Province, a site dating from the early Shang Dynasty, yielded bronze parts in shapes of beast faces that were used as the ends of beams and tie-beams. Since the mid Shang Dynasty, bronze parts shaped as three-dimensional mythological animals gradually increased in number. For instance, a large number of bronze sacred birds and beasts have been unearthed in pits of the Sanxingdui site. Among the bronze parts in animal shapes, the most peculiar one is a two-layered bronze drum rack in the shape of two monsters, one of which stands on the other. It was unearthed from a Chu tomb at Xujialing in Xichuan, Henan Province. This drum rack has a unique shape and complicated adornments. It combines the stable functionality necessary for a rack with the ornamental purpose. Nevertheless, its decoration is not excessively disparate. The chime stone rack discovered in the tomb of Marquis Yi of Zeng has bearers shaped as two winged bronze beasts. Each beast has the head of a dragon, the neck of

2.6.16 A winged bronze beast from the chime stone rack discovered in the tomb of Marquis Yi of Zeng

a snake, the body of a tiger, the feet of a turtle, a short tail, and the wings of a crane. Obviously, they are mythological beasts with the features of a variety of animals. In order to bear the weight of the two beams of the rack full of suspended chime stones, the center of gravity of each beast’s body was made remarkably low and its four legs are stout and stretched out. In order to make enough space for the two beams, the necks of the beasts were made remarkably long, and their heads are crowned with the curved ends of the lower beam.

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2.6.17 A buffalo-shaped bronze pedestal bearing gold and silver inlays from the tomb of Cuo, a King Zhongshan

In order to prevent the heads and necks of the beasts to bar the way during performances, the heads of the monster were deliberately twisted outward, making their forms more varied. These two mythological beasts have vivid forms, simple decorations, and more concise and lively appearances in comparison to the beast from Xujialing (Fig. 2.6.16).

2. Realistic Animal-shaped Bronze Parts As a contrast to the above-mentioned bronze parts in mythological animal shapes, there are bronze parts demonstrating animal shapes of a realistic style. Numerous such parts have been identified in the system of bronze objects in the Central Plains and the system in North China, while a few have been identified in the system of bronze objects in South China. Only a few bronze parts in animal shapes dating to the Shang Dynasty and the Western Zhou Dynasty belong to the bronze system of the Central Plains. They are not detached from the mystery and ferociousness of classical bronze art. They include a bronze tiger inlaid with turquoise and two bronze tiger heads mounted on jade cylinders that may

have been parts of certain lacquered wooden objects unearthed from the tomb of Fu Hao at Yinxu in Anyang, in Henan Province. They demonstrate mainly the heads and the curly tails of the tigers, omitting their bodies and hindlimbs. Therefore, they do not completely belong to those realistic animal forms. As a contrast, the tiger-headshaped bronze pins fixing the yoke bars to the drought poles of wheeled vehicles and the horsehead-shaped ends of yoke bars unearthed at the Liulihe site of Fangshan in Beijing are remarkably realistic. Such realistic forms of animal statues are relatively common among the bronze objects dating from the Warring States Period (especially in the late Warring States Period) and belonging to various states. In addition to the animal-shaped parts of certain bronze objects, many bronze pedestals are shaped as animals or combinations of humans and animals. The most exquisite pedestal of this type is a pair of animal-shaped bronze pedestals from the tomb of Cuo, a King of Zhongshan, in Pingshan, Hebei Province. One of them has the shape of a rhinoceros and the other the shape of a water buffalo. Either of them carries on the back a square tube

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that was used to receive a wooden pole, which was decayed at the excavation. These pedestals presumably used to be the supports on both ends of a lacquered wooden screen with a try-squareshaped horizontal cross section. Due to their function as pedestals, the legs of both animals were made remarkably short to lower their centers of gravity and avoid toppling. Both animals have long necks, short feet, and slender tails. They are shaped in a freehand style in comparison to real rhinoceros and buffaloes. The buffalo has the posture of a sudden stop in running, stretching its four limbs forward and inclining its haunches backwards. In its static posture, it demonstrates a tendency of motion. Its long, drooping tail acts as a fulcrum and increases the stability of the pedestal. The whole bodies of both animals are covered with gorgeously shimmering gold and silver inlays, reflecting the characteristics of the animal statues in the Central Plains (Fig. 2.6.17). The most splendid bronze pedestal combining a human figure and an animal figure is a bronze lamp holder riding a bronze camel from a Chu tomb at Wangshan in Jiangling, Hubei Province. It consists of two parts: The upper part is a saucer-shaped oil container with an elevating pole, and the lower part is a lamp holder riding a camel. The camel stands peacefully on a square base, with its neck forming a U-shape and its back bearing two high humps. It appears gentle and tame (Fig. 2.6.18).

3. Light and Exquisite Bronze Parts and Adornments for Belts Bronze parts and adornments were used for purposes of fixation and decoration in combination with belts for humans or leather straps for horses. Since a remarkably early period, people began to use the strongest and relatively good-looking materials such as bronze to make components and adornments for belts or straps, and gradually developed a distinctive type of handicraft among the bronze ornaments.

Section 3 Vivid and Flexible Bronze Ornaments

2.6.18 A bronze lamp held by a camel rider, discovered at Wangshang

There are many kinds of bronze parts and ornaments of belts worn by humans. Both their forms and patterns can be relatively exquisite. In terms of their functions and forms, they can be roughly divided into four categories, i.  e., bronze part that was fixed at either end of a belt, facilitating the making of a knot and embellishing the belt; bronze buckle that was fixed at one end of a belt and had the similar function as that of a belt hook of the Central Plains, although it has a completely different appearance as the belt hook; bronze belt

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hooks; and bronze belt plaque, an ornament that can be threaded by a belt. A bronze belt hook, appearing relatively striking, was hooked up at the waist of a person. The belt hooks of the high aristocrats are extremely exquisite. In addition to the belt hooks made of fine bronze and gilded or inlaid with jade, gold, and silver, there are those made of gold, silver, and jade. These beautiful bronze belt hooks that were popular in the Central Plains also influenced the fashions of the surrounding areas. Some of the powerful members in the ancient nomadic tribes of the North also made bronze belt hooks in their own styles. For instance, the body of a bronze belt hook unearthed at Xietun 谢屯 village of Ansai 安塞, in Shaanxi Province, dating from the early Warring States Period, has the shape of a tiger fighting with snake. More pre-

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

cisely, a tiger, the most frequently used motif of the bronze belt ends in North China, forms the main part of the belt hook; two snakes that link the tiger’s head, feet, and tails up bite each other’s tails; in addition, a ring chain on the body of the hook can connect it with other utensils. The shape of this bronze belt hook is the product of the combination of the Central Plains’ style of belt hooks and the northern style of the belt ends. The spiral pattern and joined cowry pattern on the tiger’s body derive from the patterns on bronze objects of Jin Culture in the Central Plains at that time as well. This reflects the cultural exchanges between the Central Plains and the northern regions at that time. These bronze belt parts have vivid shapes, optimally combining the decorative and the practical functions.

2.6.19  A square bronze zun-vessel with accessories in the shapes of four dragons and four elephant heads unearthed at Guojiazhuang

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Section 4  Calculated Bronze Decorations 1. Major Techniques of Bronze Decoration 1. Three-Dimensional Accessories on Bronze Objects One of the features of the bronze objects of the Xia, Shang, and Zhou Dynasties was to add three-dimensional accessory decorations of various animal or geometric shapes on the bronze surfaces. The three-dimensional accessories on the bronze vessels of the Central Plains mainly include those in bird and beast shapes and those in geometric shapes. Those bird- and beast-shaped accessories are usually applied on the shoulders and the lids of the tripartite vessels with centrosymmetric horizontal cross sections. They include those that demonstrate the full-length statues of birds and beasts, such as the accessories in the shapes of lotus flowers and cranes, dragon-shaped ears, and dragon-shaped feet on the two bronze square hu-jars from Lijialou in Xinzheng of Henan Province. Unearthed in a large tomb of the Zheng State and dating to the late part of the mid stage of the Spring and Autumn Period, either vessel has a ring foot placed on the backs of two crouching dragons, two handles as well as four spines in the shapes of clutching dragons looking backward, and a lid knob shaped as a standing crane with its wings unfolded as if flying in the center of the lid. There are many three-dimensional bronze accessories that merely demonstrate the heads of animals. It is possible that such animal-head-shaped accessories and those animal head patterns on the bronze vessels of the Shang Dynasty and the Western Zhou Dynasty shared similar symbolic meanings and artistic orientations. Among the numerous bronze vessels with accessories, a pair of square bronze zun-vessels unearthed at Guojiazhuang 郭家庄 village at Yinxu in Anyang of Henan Province are the most richly decorated.

2.6.20 A bronze hu-jar with a loop handle from Daijiawan

Either zun-vessel has accessories in the shapes of four dragons and four elephant heads. They belong to the wine vessels of the highest quality in the late Shang Dynasty. The center of each edge of the shoulders bears a dragon head with two horns like palm-shaped leaves, and each of the four corners of the shoulders bears an elephant head with long tusks and a long, coiled, and raised trunk (Fig. 2.6.19). The most common three-dimensional accessories are geometric. Those geometric accessories shaped as long convex spines are commonly arrayed vertically along a casting seam or between two casting seams. Separating the main patterns from each other or playing the role as axes of symmetry, they are often referred to as feileng«(扉 棱, i.  e., spines) by researchers of bronze objects. These spines became increasingly lengthened since the late Shang Dynasty, spreading gradually from the mouths to the feet of the vessels

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and becoming relatively wide and thick at the end of the Shang Dynasty. In the early Western Zhou Dynasty, the spines developed to an extreme, becoming even wider, thicker, and longer, often with their upper ends extending beyond the mouths of the vessels. Some of the bronze vessels have not only extremely thick spines on their surfaces, but also long geometric three-dimensional accessories protruding from their walls, as if they had long horns (Fig. 2.6.20). The three-dimensional accessories on bronze vessels of the Central Plains have double significance in the bronze art, i.  e., they enrich and complicate the simple contour lines, and standardize and restrict the layout and composition of the ornamentation on the bronze surfaces. This is the reason that circular bands of recursive patterns were merely sparsely applied, even on circular bronze surfaces; and the application of the whole bronze surfaces for free compositions of pictures is even rarer. Instead, the contents of the bronze decorations are more often demonstrated in symmetrical compositions and repetitive compositions in horizontal registers. The bronze objects of the Northern system often bear three-dimensional accessories as well. For instance, the grips of bronze weapons and utensils are shaped as heads of animals including primarily caprine animals, horses, etc. In addition, many bronze objects are decorated with fulllength statues of animals. 2. Surficial Ornamentation of Bronze Objects The main decorative means of the bronze objects of the Xia, Shang, and Zhou dynasties was forged patterns, i.  e., various patterns forged on the surfaces of the bronze objects. These forged patterns, as the most important type of the surficial ornamentation of the bronze objects of the Three Dynasties and the type that was inherited by later generations, make use of incised lines, relief lines, and varied thickness of the lines to demonstrate the priority of the motifs. Apart from

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

these patterns, merely another decorative means was applied in the Xia and Shang dynasties, i.  e., the inlaying of turquoise, which was applied only on a few small-scale bronze objects, such as decorative plaques and bronze swords. It was not until the Eastern Zhou Dynasty, or more precisely, after the late Spring and Autumn Period, that the decorative techniques of bronze objects underwent great transformations. In addition to the monotonously forged patterns, a variety of decorative techniques, including the inlaying of a single material, gold foiling, engraving, inlaying of more than one material, gilding, silver plating, lacquering, etc., were developed. Accordingly, the surficial decoration of the bronze objects evolved from monotony to diversity, from patterns consisting of engraved and relief lines to those comprised of various colorful lines and blotches, from the archaic and elegant sculptural effect to the colorful painting effect. Among the various decorative techniques of bronze objects, the inlaying of a single material is the earliest known. Mirror-shaped objects and plaques inlaid with turquoise of the Erlitou culture of the Xia Dynasty have been discovered. Since the Erlitou Period, this technique maintains its vitality. In the Eastern Zhou period, the techniques of inlaying copper and jade were developed. The gold foiling, i.  e., to glue thin gold foil on the surface of an object, is also a remarkably old decoration technique. It bestows a magnificent appearance of gold on the objects. In a similar decorative process, i.  e., gold cladding, the surface of a bronze object was covered with gold foil as well, but the adhesion force between the gold foil and the bronze surface was produced when the gold foil was pressed against the surface. The technique of line engraving produces engraved, smooth line patterns with a sharp tool on the surfaces of bronze objects with remarkably thin walls. On those relatively soft bronze vessels with thin walls, the carvings can freely demon-

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2.6.21  A bronze mirror inlayed with gold and silver patterns of fighting animals unearthed at Jincun Village

strate all kinds of patterns and images reflecting motifs of the social life. The technique of the inlaying of more than one material produces the most striking type of patterns. It involves the casting or engraving of grooves that form certain patterns on the surface of an uncolored bronze object, the filling of the grooves with metal wires of different colors, and the burnishing of the inlaid surface. The materials that were inlaid include gold and silver. Therefore, the inlays concerned are specifically called »gold and silver inlays.« The earliest application of this technique had the purpose of emphasizing the inscriptions on bronze vessels. The earliest known inscriptions involving this technique include the four inscribed characters of »Zi zuo nong niao« on the bird-shaped bronze vessel dating from the late Spring and Autumn Period in the collections of the Freer Gallery of Art, as well as the bird-worm seal scripts on weapons of the Wu and Yue states

of the same period. Since the late part of the early stage of the Warring States Period, this technique became the primary method for the decoration of high-level bronze objects. Numerous bronze objects with gold and silver inlays with smooth lines, rich content, and distinct colors were produced. Their representatives include a spouted bronze ding-cauldron inlayed with gold and silver flowers and a bronze mirror inlayed with gold and silver patterns of fighting animals unearthed from an ancient tomb of Jincun village in Luoyang, Henan Province (Fig. 2.6.21). 3. Combination of Three-dimensional and Two-dimensional Ornaments In the ornamentation of Chinese bronze objects, attention was paid not only to the symmetry and rhythm of two-dimensional patterns, but also to the spatial variations and layers. Such attention originated from the unification of the animal

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below its shoulders bears a standing ram. The heads and the upper bodies of the rams protrude from the surface of the vessel, while their feet extend to the foot of the vessel. As the primary motifs on this vessel, the ram heads are three-dimensional, while their bodies and four feet are basically two-dimensional, creating the impression that the four rams support together the weight of the square body of the zun-vessel (Fig. 2.6.22).

2. Basic Types of Decorative Patterns on Bronzes

2.6.22 A square zun-vessel with accessories shaped as four rams

shapes of the bronze ritual vessels and their surficial animal patterns in the Central Plains. Such bronze vessels are either imitations of certain animal shapes or are abstracted forms of those animal shapes, and they often bear patterns of those animals as well. As a result, the patterns on the objects became associated with the three-dimensional forms of the objects in a natural way. The combination of three-dimensional and two-dimensional ornaments of the bronze objects in the Xia, Shang, and Zhou dynasties is most thoroughly represented by the separate arrangement of the heads from the bodies of certain animals in the bronze ornaments. As a typical technique combining three-dimensional and two-dimensional ornaments, craftsmen of these Three Dynasties often created three-dimensional animal heads besides their two-dimensional bodies. A typical example of such is the bronze zun-vessel with accessories shaped as four rams unearthed from Zhuan’erlun in Ningxiang of Hunan Province. The zun-vessel has angular shoulders. Each of the four corners

1. Mysterious and Ferocious Animal Patterns Animal patterns are the most important motifs in the ornamentation of Chinese bronze objects from the Xia, Shang, and Zhou dynasties. They can be divided into three groups, i.  e., the beast-face patterns that mainly consist of the frontal views of the heads of sacrificial animals, kui-dragon patterns that mainly consist of images of the mythical kui-dragons, and phoenix-bird patterns that are images of an animal between reality and ideal. Further animal patterns, including the profile views of the above-mentioned beast face patterns, were unimportant among the bronze patterns of the Three Dynasties. They were generally used as supplements of the main patterns. a. Beast-Face Patterns Among all the animal patterns on bronze objects, the beast-face patterns are the earliest known, the most commonly applied, and the most distinct. Such patterns are called »taotie-patterns« by epigraphers since the Song Dynasty, coined from the following passage in the chapter »The Examination of Foreknowledge« in The Annals of Lü Buwei: »The ding-cauldrons of the Zhou Dynasty are decorated with the taotie-patterns. It has a head but no body. It devours people. But since it can never swallow them, its actions bring harm to itself. This expresses the principle of retribution.« In fact, beast-face patterns are the frontal views of the sacred sacrificial

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they obvious differ from the later beast face patterns. The depicted animals have pointed and long muzzles, and their bodies extend above their heads, as if those animals’ whole bodies were flattened on the ground. Hence, they are substantially different from the typical beast-face patterns after the Shang Dynasty. The composition of the beast face patterns is characterized by a strict, bilateral symmetry. The bridge of the nose and the philtrum of the mouth of each beast form the axis of symmetry of the arrangement of the horns, ears, eyebrows, eyes, whiskers, and cheeks of the beast. If the body of the animal is also represented, it is bisected into the left and the right halves, which are also arranged symmetrically at the two sides of the axis. Sometimes, the body merely consists of four limbs and a tail, which are bisected into two parts, which are arranged symmetrically at both sides of the huge head as well. Almost all kinds of the beast faces are shaped according to this pattern. As a result, their images have been highly abstracted,

animals that communicate between gods and humans. The ancient artists of bronze artefacts enlarged, exaggerated, and abstracted the heads of these animals, creating a stylized and fixed pattern. The frontal views of the exaggerated heads of these animals basically conceal their bodies. Even if their bodies are sometimes depicted, they seem negligible in comparison to their enlarged heads. In addition, since each depicted body of such animals is generally bisected into two halves, which are placed at the two sides of the head, the body, in a certain sense, has become the decoration and supplement of the head. In the prehistoric art of China, patterns with similarities to the beast face patterns became first popular as decorations on jade and stone objects of the Liangzhu Culture in the southeastern coastal areas. At present, the earliest known beast-face patterns are formed by inlaid turquoise on bronze plaques from the Erlitou Culture. They are not conventional beast-face patterns. Although they highlight the heads of certain animals as well,

















2.6.23 The types of beast-face patterns on bronze objects in the Shang and Zhou dynasties 1. Face patterns deriving from tiger heads; 2. Face patterns deriving from bovine animal heads; 3. and 6. Face patterns deriving from caprine animal heads; 4., 5., 7., and 8. Face patterns deriving from dragon heads (1.–3. Patterns of beast faces alone; 4.–8. Patterns of beast faces combined with their bodies)

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patterned, and stylized. Even if the heads derive from diverse animal species, they are depicted in almost the same form. Merely certain detailed features of individual heads reveal the species that they belong to. The most prominent of these features are the animals’ horns. Accordingly, the beast faces can be divided into several types in terms of whether they have horns and the shapes of the horns that they have (Fig. 2.6.23). The face patterns of the first type derive from the faces of bovine animal. Each of such beast face patterns has relatively short and thick horns that extend horizontally, with their roots turning inwards and their tips pointing outwards. The shapes of the horns are to a certain extent reminiscent of those of the horns of water buffalos. Although some of these beast-face patterns have claws and fangs like those of tigers, they still demonstrate bovine animals rather than tigers. The square ding-cauldron with bovine animal patterns unearthed from Tomb no.  1004 at Houjiazhuang village at Yinxu in Anyang of Henan Province is decorated on each of the four outer sides with a motif of a beast face with horns shaped as those of a bovine animal. In addition, it bears an inscribed pictograph for »bovine animal« (niu 牛) in its interior. A similar bronze ding-cauldron with ornaments of bovine animal heads is in the collections of the Penn Museum, in the USA. Although each beast face motif on ­either vessel seems to be that of a tiger, the patterns and the knob on either vessel’s lid as well as either vessel’s handles are shaped as the heads of bovine animals. In addition, either vessel bears an inscribed pictograph for »bovine animal« in its interior as well. This corroborates that the horned beast-face patterns on the outer walls of the two vessels are indeed symbols of bovine animals used as sacrificial animals, although they deviate largely from the real images of bovine animal heads. Bovine animals used to be the most important sort of sacrificial animals in the preQin Period. They formed the most essential part

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

of the »Greater Set of Sacrifices« (tailao 大牢). Therefore, images of bovine animals mostly appear on those important bronze vessels, and the number of their images is relatively small. The face patterns of the second type derive from the faces of caprine animals. The two horns of each of these face patterns wind up and then downward, either in inward or outward spiral shapes. Some of those horns winding outward are relatively large, forming spirals in angular shapes. The animal face patterns with such horns undoubtedly represent caprine animals, as corroborated by the shapes of the caprine animals on certain vessels, including the square bronze zun-vessel with accessories shaped as four rams and the bronze zun-vessel with accessories shaped as two rams. In the pre-Qin Period, caprine animals belong to the main sorts of sacrificial animals. They were included in both the »Greater Set of Sacrifices« and the »Lesser Set of Sacrifices« (shaolao 少牢). Therefore, beast-face patterns with horns of caprine animals are those that are most frequently seen on ancient bronze vessels. These horns have diverse forms. Some of them rise high, others wind outwards in angular shapes, yet others form natural spirals. The face patterns of the third type may derive from the heads of tigers. Each of these face patterns has two ears but no horns. The ears on these tiger faces erect remarkably exaggerated. In terms of shape, there is a slight resemblance between the tigers’ ears and the caprine animals’ horns that spiral inwards. Nevertheless, they can be distinguished from each other: A tiger’s ear is smaller, with both ends rounded up and closed; as a comparison, a horn of a caprine animal has a wide root and a pointed tip. There are merely a few examples of tiger face patterns. The above-mentioned bronze ding-cauldron at the Penn Museum bears an inscribed pictograph for »bovine animal« as well as three-dimensional accessories shaped as bovine animals’ heads, but its main patterns seem to represent tigers’ heads. This indicates that it is possi-

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ble that the so-called tiger face pattern is indeed a kind of bovine animal pattern; and the ear-shaped parts of such patterns are indeed deformed horns of bovine animals. The face patterns of the fourth type derive from the heads of dragons. As a type of dragon, the kui-dragon is a mythical animal. Each three-dimensional image of the kui-dragon on the bronze objects of the Xia, Shang, and Zhou dynasties has a pair of relatively broad horns shaped like the stalks of certain mushrooms. Therefore, those beast-face patterns with pairs of short, stalkshaped horns must represent dragon faces. In addition, the »T«-shapes of certain beast horns are indeed a simplified form of the stalk-shapes. Such horns can be seen on the heads of those kui-dragons in profile views. The face patterns of the fifth type derive from the heads of deer. They have easily discernible features, i.  e., their forked antlers. Deer face patterns are relatively rare. A square ding-cauldron unearthed from Tomb no. 1004 at Houjiazhuang in Yinxu in Anyang of Henan Province bear motifs of such deer face patterns. In addition, it bears an inscribed pictograph for »deer« (lu 鹿), corroborating the species of the animals represented by its patterns. There are obviously two different forms of the artistic representation of the above-mentioned beast face patterns, i.  e., the demonstration of a beast face alone and the demonstration of a combination of a beast face and its body, with two feet and a tail on either side of the beast face (sometimes the tail is omitted). Beast-face patterns are mostly used as the main patterns that are distributed in the most prominent positions of the bronze surfaces. In this regard, the second form of the beast face patterns can more easily fill out the units of space for decoration and is therefore more widely used. But since there are bronze objects of various shapes and sizes, the units of space for beast face patterns vary in size as well. As a result, the individual forms of beast face patterns of the same

Section 4 Calculated Bronze Decorations

type vary greatly, even if they are all applied as the main motifs. b. The Kui and the Dragon Patterns There are kui patterns as well as dragon patterns. According to ancient legends, »a dragon is born in water. It wears the Five Colors and can swim, hence it is sacred. It can transform at its will to the size of a silkworm or the size that would fill all the space under Heaven. It can go anywhere at its will, rising up high in the clouds or plunging deep in springs. Its transformations and its whereabouts do not depend on time« (chapter of »Waters and Terrain« in the Guanzi). Judging by the ancient Chinese character for »dragon,« a dragon was thought to be a deified animal with a large head, spiked horns, and a snake-like body. Indeed, people of the Xia, Shang, and Zhou dynasties thought that a dragon differs from a snake mainly because it had horns. A dragon may or may not have feet. In ancient China, a dragon with only one foot was often called »kui«. The dragon patterns of the Three Dynasties are mostly represented in profile views which usually emphasize their heads, but do not clearly demonstrate the numbers of their feet. Sometimes it is difficult to determine whether a pattern represents a dragon with hindlimb and a simplified forelimb or a kui, i.  e., a dragon with merely a hindlimb. In the present book, the patterns of any dragon-shaped animals with horns and slender bodies are collectively referred to as kui-dragon patterns. The kui-dragon patterns must have originated remarkably early. A so-called coiled dragon pattern is painted on a pottery pan-tray unearthed at a site of the Longshan Culture at Taosi in Xiangfen of Shanxi province. The painted dragon does not have horns and looks like a snake, differing from the typical dragon patterns. The pattern of a double-body kui-dragon is painted on a pottery vessel of the Erlitou Culture of the Xia Dynasty. The two bodies of the kui-dragon are stretched out, in resemblance to the double bodies of a kui-

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dragon pattern forged on the shoulder of a bronze zun-vessel bearing dragon and tiger patterns discovered at the Yue’erhe 月儿河 site in the late part of the early stage of the Shang Dynasty. This seems to have been a form of depicting the kuidragon patterns of the Three Dynasties. Since a kui-dragon pattern has a relatively large head and a relatively long body, it can cover a large surface. Furthermore, there are numerous variations of the kui-dragon pattern. According to the number of kui-dragons in a pattern, there are three types of kui-dragon patterns, i.  e., patterns of single-body kui-dragons, those with two kui-dragon bodies each, and those of several combined kui-dragons. Each type of the kui-dragon patterns can be further divided into different sub-types according to their morphology (Fig. 2.6.24). (1) Patterns of single-body Kui-dragons Patterns of single-body kui-dragons are the most numerous and the most varied subtype of kuidragon patterns. Some of such kui-dragons seem to creep forward, others seem to look backward, yet others coil like snakes. In addition, the bodies of the individual kui-dragons curve in various postures. There are those that look forward and seem to be swimming (these can be further divided into figurative and abstract ones), others look backward, yet others are coiled (these can be divided into those in frontal views and those in profile views), etc. Among the single-body kui-dragons, the most peculiar ones are the snail-shaped kui-dragons and the cloud-scroll-shaped kui-dragons. The former was once popular in the Guanzhong area in the early Western Zhou Dynasty. In general, a pair of snail-shaped kui-dragons are demonstrated

Section 4 Calculated Bronze Decorations

face to face on the belly of a bronze vessel. The shape of such dragon pattern resembles a snail, with merely its head and its forelimbs highlighted and its body simplified as a vortex. A cloud-scrollshaped kui-dragon is generally demonstrated in the middle of the striking area of a bronze bell in the late Western Zhou Dynasty. Such dragon patterns are largely deformed, forged in smooth and complicated lines, and arranged into close pairs, creating a strong sense of patterning. (2) Patterns with two Kui-dragon bodies A pattern with two kui-dragon bodies includes altogether two dragon bodies. Such a pattern can include different numbers of dragon heads, for instance, one, two, and four. (3) Patterns of combined Kui-dragons Patterns of combined kui-dragons are seamless and complicated patterns consisting of multiple kui-dragons. As their basic units, the individual kui-dragons are commonly remarkably small, simplified, and abstract. Many of them do not demonstrate detailed features of kui-dragons except for their snake-shaped bodies and their approximate head shapes. According to ancient Chinese conventions, dragons with no horns are called chi 螭, and animals resembling snakes but are smaller in size are called hui 虺. Therefore, a pattern of small kui-dragons entangled together is usually referred to as the pattern of »coiled chi« or »coiled hui.« Another pattern consisting of small, snake-like dragons that are scattered like tiny grains of sand instead of entangled with each other is called the pattern of »scattered hui.« These combinations of kui-dragon patterns became popular in the middle of the Spring and Autumn Period and soon be-

of kui-dragon patterns on the bronze objects of the Shang and Zhou dynasties ◂ 2.6.24 Types 1.–7. Patterns of single-body kui-dragons looking forward; 8.–13. Patterns of single-body kui-dragons looking backward; 14.–16. Patterns of coiled single-body kui-dragons; 17. and 18. Patterns of double-body kui-dragons; 20. Pattern of two single-body kui-dragons; 19. and 21. Patterns of two double-headed kui-dragons; 22. and 23. Deformated kui-dragon pattern; 24. and 25. Pattern of narrowed kui-dragons

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2.6.25 The types of phoenix bird patterns on bronze vessels in the Shang and Zhou dynasties 1. Pattern of a short-tailed phoenix bird looking forward; 2. and 3. Patterns of drooping-tailed phoenix birds looking forward; 4.–6. Patterns of long-fork-tailed phoenix birds looking forward; 7. and 8. Patterns of long-fork-tailed phoenix birds looking backward; 9. Patterns of fluttering-tailed phoenix birds looking forward; 10. and 11. Patterns of curled phoenix birds looking forward; 12.–15. Patterns of curled phoenix birds looking backward

came the main decorative patterns on the bronze objects of the Central Plains (except in Qin) and in South China. They disappeared gradually in the late Warring States Period. The emergence and the popularity of the combined kui-dragon patterns meant the fall of the traditional kui-dragon patterns and the phoenix-bird patterns. As a result, the style of bronze objects underwent great changes. The traditional boundaries of the compositional units of ornamentation on bronze objects were blurred, and the motifs of patterns and their symbolic meanings fell into oblivion. Instead, patterns with purely decorative functions became the mainstream of the ornamentation on bronze objects as well as objects of other materials. The pattern known as qiequ 窃曲 among the animal patterns of the Zhou Dynasty is actually a product of the abstraction and patterning of the kui-dragon pattern as well. This pattern has two

variations. One variation has a lengthened and rewound palate (sometimes shaped as another dragon head); a shortened body that coils inwards, opposing the palate (sometimes the end of the tail is shaped as another dragon head as well); and a head reduced to a large eye, which forms the center of the rewound palate and the coiled body. If a pattern of this variation has its either end transformed into a dragon head, then it can be called the »pattern of dragon’s eye« (longmuwen 龙目纹); and if a pattern has its either end curled up like a cloud scroll, it can be called a »cloud-eye pattern.« The other variation has a head that is reduced to merely one eye and a body that is abstracted into a cloud scroll pattern; the eye is either within the cloud scroll or separated from it. Sometimes, this variation does not have any »eye«, consisting merely of angular spirals that are interlocked with each other. Such qiequ-patterns emerged in the mid-Western Zhou

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Dynasty and became popular in the late Western Zhou Dynasty. They usually form bands that are located in positions where the kui-dragon patterns formerly used to be on the bronze objects. c. Phoenix-Bird Patterns Ancient Chinese believed that phoenix was a kind of sacred bird with magnificent feathers and crest. But its images are not as clearly recognizable as those of the kui-dragons on bronze objects. In the present book, the patterns of phoenix as well as those of the other birds will be referred to collectively as phoenix-bird patterns. Birds were of special significance in many ancient tribes of the Xia, Shang, and Zhou dynasties. For instance, legend has it that the Shang people were the descendants of a black bird. In the oracle inscriptions from Yinxu,











Section 4 Calculated Bronze Decorations

the names King Hai 亥 and King Gen 亘, who are the ancestors of the Shang Kings, are both marked with the symbols of birds, indicating the importance of birds in communicating between humans and gods. But although bird patterns already emerged in the early Shang Dynasty, they were not popular in all the Shang Dynasty. Their wide application as the main motif of patterns on bronze objects took place in the Western Zhou Dynasty, especially in the late part of the early stage of the Western Zhou Dynasty. In the late Western Zhou Dynasty, phoenix-bird patterns declined. In the late Shang Dynasty, the phoenix-bird patterns were only used as motifs of the supplementary patterns that demarcate the borders of the main patterns on bronze objects. They did not become main motifs until the Western Zhou Dynasty.















2.6.26 Examples of geometric patterns on bronze objects of the Shang and Zhou dynasties Text under the illustration: 1. and 9. Angular spiral patterns; 2. Rhomboid grid pattern in combination with pattern of button cap nails; 3. Whorl patterns; 4., 6., 11. Patterns of linked-angular spirals; 5. Bead pattern; 7. Pattern of opposite cloud scroll; 8. Double ring patterns; 10. Pattern of diagonal cloud scrolls; 12. Wave band pattern

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As they were used as supplementary patterns, the body shapes of the phoenix birds can be of individual sizes. But as they became main motifs, each of them was no longer shaped as a slender figure that was elongated horizontally; instead, its long tail was raised before it winds down, and sometimes its crest and wings were lengthened so that they droop forward. In this way, the pattern of a phoenix bird is transformed into a curled pattern that can fill out a unit of decorative space. But the most important changes in the shape of such a phoenix bird pattern, whether as a main motif or as a supplementary motif, are reflected in the head and the tail. Normally, the pattern of a phoenix bird looking forward appears natural, while the pattern of one with its head turned back appears more deformed. Their tails can be short or long. Those long tails can be drooping, pointing upward, or fluttering (Fig. 2.6.25). 2. Seamless Geometric Patterns Geometric patterns are regular patterns consisting of geometric images. They highlight structural variations in their forms. In the period when the beast face patterns, kui-dragon patterns, and phoenix-bird patterns were prevalent, geometric patterns were rarely used as the main motifs. They were merely used as motifs supplementing the animal motifs or as background patterns. Only as those animal motifs were declining did geometric patterns emerge in large numbers. They became the main motifs in the late Western Zhou Dynasty. After the mid Spring and Autumn Period, although deformed animal patterns in small units became the main motifs on bronze objects, the decorative function of geometric patterns did not cease. In addition to their role as main motifs on certain bronze objects, their types increased largely as supplementary patterns. Together with the animal patterns, these geometric patterns embellished and diversified the bronze objects (Fig. 2.6.26).

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

a. Geometric Patterns as the Main Motifs The layouts of geometric patterns on the surfaces of bronze vessels mainly include the »pattern bands« under the vessel mouths and the »pattern surfaces« occupying the main parts of vessel surfaces. Among the »pattern bands,« there are only a few types of pure geometric patterns, such as the double ring pattern. The »pattern surfaces,« in contrast, include multiple types of patterns, such as the stripe patterns, horizontal tile pattern, wave band pattern, rhomboid grid pattern in combination with the pattern of button cap nails, pattern of linked-angular spirals, etc. A pure geometric »pattern surface« on a vessel often coexists with a band of animal patterns or deformed animal patterns under the vessel rim; but if the band under the rim consists of a double ring pattern, the main motif of the »pattern surface« never includes other geometric patterns. Therefore, it can be assumed that although geometric patterns can occupy the main position on the surfaces of certain vessels, they are far less important in comparison to the animal patterns. When animal patterns or even those deformed animal patterns comprise an inconspicuous pattern band on a vessel, it is still likely that the band represents the main motifs, while the geometric patterns that occupy the main space of the vessel surface play a supplementary role. As the main motifs or quasi-main motifs, the above-mentioned geometric patterns were popular between the late Western Zhou Dynasty and the early Spring and Autumn Period. They form part of the characteristics of the decorative bronze art in this period. b. Geometric Patterns as Supplementary Motifs The main motifs of animal patterns of the Xia, Shang, and Zhou dynasties are commonly surrounded by the background of fine, supplementary geometric patterns consisting of fine swirling lines. Among these patterns, those composed of lines winding in rounded spirals in resemblance to

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the ancient Chinese character for »cloud« (yun 云) are called cloud scroll patterns; while those composed of lines winding in angular spirals in resemblance to the ancient Chinese character for »thunder« (lei 雷) are called thunder-patterns—which are primarily described as angular spiral patterns in the present work. As these cloud-thunder patterns emerged in the late part of the early stage of the Shang Dynasty, their lines were still thick and rough and therefore rarely distinguishable from the main motifs of the beast face patterns. By the late Shang Dynasty, the cloud-thunder patterns began to become slender, forming the background patterns that fill the gaps of the main motifs such as beast face patterns, kui-dragon patterns, and phoenix-bird patterns. After the mid Spring and Autumn Period, as the animal motifs became smaller and finer, the cloud-thunder patterns began to differentiate from each other. Part of them gradually became main motifs themselves. For instance, the triangular cloud-thunder patterns with sparse lines sometimes occupy the prominent positions on the surfaces of bronze vessels. And the other part of the cloud-thunder patterns formed units that shrank increasingly, remaining the patterns supplementing the animal patterns. The animal patterns at that time already became remarkably small; accordingly, the background patterns became even smaller, like grains of sand. The last remnants of the cloud-thunder patterns that supplement the main motifs around the early Warring States Period were those scattered dot patterns belonging to the scattered hui-patterns. c. Geometric Patterns as Demarcations of the Main Patterns Those geometric patterns that demarcate the main patterns include bead patterns, whorl patterns, cord design patterns, etc. The bead pattern consists of small circles closely arrayed in a horizontal direction. It is one of the oldest geometric patterns on bronze objects. For instance, the jue-vessels and the jia-vessels of the Erlitou Culture bear such patterns in single or

Section 4 Calculated Bronze Decorations

2.6.27 A bronze he-vessel with a lid shaped as a human face

double lines, which are demarcated by string patterns. In the early Shang Dynasty, bead patterns were extremely popular. Most of them, consisting of small hollow circles, demarcate the upper and lower boundaries of the beast face patterns. After that, they were rarely used. The whorl pattern is also called the fire pattern or the sun pattern. According to certain records in transmitted literature, such as the record that »fire is represented by a circle« in the chapter of »Records of Examination of Craftsmanship« in the Rites of Zhou, certain researchers believe that the whorl pattern is a symbol of the sun. It is characterized by a slightly raised circle in the middle that is surrounded by four to eight arcs forming a whorl, indicating the flow of flame. Whorl patterns are mostly arranged equidistant from each other on the shoulders of bronze objects, and the space between them is usually decorated with other patterns. They

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CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

2.6.28 The unfolded patterns of banqueting, music performance, fishing, and hunting on a bronze hu-jar

emerged already in the early Shang Dynasty, became more popular in the late Shang Dynasty and the early Western Zhou Dynasty, and were used until the Warring States Period. The cord design pattern and the threaded cowry pattern are popular patterns demarcating the main patterns in the Eastern Zhou Period. The former resembles a twisted rope, and the latter resembles a string of cowries. It is possible that they were created in im-

itation of utensils such as horse bridle decorated with cowries. 3. Vivid and Simple Human Figure Patterns Patterns of human figures are rarely applied on bronze objects. The patterns and accessories on bronze objects of the Xia, Shang, and Zhou dynasties are mainly shaped as »creatures,« which refers to all kinds of animals used for sacrifices.

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There are merely a few examples of bronze sacrificial vessels bearing the main motifs of human images in the Shang Dynasty. One is the square ding-cauldron bearing the inscription of taihe 大禾 (large standing grain) that was possibly unearthed from Ningxiang County in Hunan Province. Produced at the end of the Shang Dynasty, it has a medium size, a funnel-shaped body with four thick walls that taper slightly downwards. The center of each wall bears a relief of human face with an approximately mongoloid physiognomy in apparent distinction from their contemporary bronze human figures of the Sanxingdui site. There is no sign of sacredness on the human faces themselves. But at the sides of each face, there are two horns, two ears, and two claws, indicating that the face probably belongs to a sacred human-beast hybrid. In addition, a bronze he-vessel normally referred to as the »bronze you-vessel with a lid shaped as a human face« in the collections of the Freer Gallery of Art (Fig. 2.6.27) has a lid shaped as a human face, which has thick eyebrows and big eyes, a broad nose, a wide mouth, and two mushroom-shaped horns like those of the kui-dragon patterns and accessories. The body of the vessel bears cloud scroll patterns and angular spiral patterns as its background patterns, as well as the main motif of the body of a coiled dragon winding around the vessel from top to bottom. The upper part of the dragon body touches the human-face-shaped lid, and two bent dragon limbs with claws occupy the two side of the neck-shoulder part of the vessel. Diagonally, above either claw, there is a small kui-dragon pattern. The two kui-dragons are snatching at the spout with their open mouths. Apparently, although this vessel is sometimes called the »he-vessel with a humanface-shaped lid and a ring foot« as well, the human face and the dragon body or snake body must indeed form a sacred hybrid. In pre-Qin myths and legends, numerous deities, including the Yellow Emperor, Gonggong 共工, Fuxi, Nuwa, the Thun-

Section 4 Calculated Bronze Decorations

der God, as well as many mountain gods, have human faces and dragon bodies or snake bodies, as indicated by ancient books such as the Classic of Mountains and Seas. Therefore, in a strict sense, the above-mentioned human face patterns do not necessarily represent the images of real humans. Patterns of real human images emerged no earlier than the Eastern Zhou period. The earliest patterns of real human images appeared with the emergence of new styles of bronze vessels and the development of new decoration techniques of bronze vessels after the mid-Spring and Autumn Period. Engraved with sharp knives on plain, thin bronze surfaces, they are patterns reflecting the social life of that time. Originating in the late Spring and Autumn Period in the South, i.  e., in the Yangtze River Basin, such patterns became popular in the early Warring States Period. Probably due to the influence of these carving patterns, patterns of human figures consisting of inlays made of metals such as copper became popular in the early Warring States Period. Numerous high-quality bronze vessels bearing inlaid patterns with main motifs of human figures that reflect the social life at that time were created. For instance, the »bronze hu-jar with patterns of banqueting, music performance, fishing, and hunting« unearthed at Baihuatan 百花潭 in Chengdu, Sichuan Province, having a height of no more than 40 cm, bears on its surface various patterns inlaid with copper with a purple-red hue. The body of the vessel is divided into three registers by diagonal bands of cloud scroll patterns. The upper register consists of two scenes, i.  e., the gathering of mulberry leaves (right) and the training of shooting (left). The right part of the middle register demonstrates a banquet scene, and the left part a scene of wild geese shooting and target shooting. The right part of the bottom register demonstrates the scene of a battle on land aiming at the conquest of a city, and the left part the scene of a battle on water using boats. Below these scenes, there are bands of abstract beast

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patterns and hanging-leaf-shaped discs bearing pairs of abstract beast patterns. These patterns are rich in content, vividly reflecting the cultures of the era, in which agriculture and warfare were advocated, and demonstrating diverse scenes of the social life at that time (Fig. 2.6.28). Obviously, the above-mentioned decorative patterns demonstrate one of the most important

CHAPTER VI CATEGORIZED DISCUSSIONS OF BRONZE ART IN CHINA

peculiarities of the bronze art of the Xia, Shang, and Zhou dynasties. The transformations of these patterns involved remarkably diverse techniques and styles in those two thousand years of the developing process of bronze decorative patterns. The influences that they have exerted both on the perception of the artistic forms and the thinking modes in China cannot be overlooked.

CHAPTER VII CRAFTS OF THE XIA, SHANG, AND ZHOU DYNASTIES Bronze products including bronze sculptures of the Xia, Shang, and Zhou dynasties are crafts that came into being through multiple complex processes, in which the material structure and external forms of bronze were transformed. They were the most representative art form of the highest development level and the widest usages in these Three Dynasties. The present chapter mainly discusses the following crafts, which originated or perhaps had become popular in the Neolithic, and underwent a new development in the Three Dynasties: Jade craft, in which the natural colors of jade are made use of and their external shapes are changed to fulfil aesthetic purposes; the work of lacquered wooden products, in which the shapes of wood are changed and colorful lacquer is applied to the wooden surfaces to fulfil aesthetic purposes.

Section 1  Jade Work of the Xia, Shang, and Zhou Dynasties In ancient China, »jade« and »stone« are two terms that are not unambiguously distinguishable from each other. In the pre-Qin Period, »jade« was endowed with a wide range of meanings, referring not only to real jade that has hard and fine-grained texture as well as glossy and translucent hues, but also to all the stones of fine textures and gorgeous appearances. Jade products are handicrafts, while jade carving is a special art of stone carving. The production of jade objects involves techniques of engraving, carving, grinding, and polishing. The works produced with these techniques in the Xia,

Shang, and Zhou dynasties seldom include monumental stone statues. Therefore, jade products are in a sense representative of the carving techniques of the Three Dynasties. Ancient Chinese believed that before the age of »making bronze weapons,« there was an era of »making jade weapons.« Due to the phenomena that large numbers of jade and stone products emerged in several early Chinese civilizations predating the Three Dynasties as well as the records of the ancients, certain Chinese archaeologists have proposed that the Longshan Age can be called the »Jade Age.« In view of art history, the establishment of the Jade Age, as an important stage in the history of Chinese art, is in line with the laws governing the development and the characteristics of Chinese art history. The region corresponding geographically to modern China is one of the first regions in which jade products were created and made use of. In the long process of creating and using jade products, ancient artisans developed unique jade carving techniques and applied them to every corner of their social lives. In the Yangshao era, in 5,000–6,000 BCE, jade or stone accessories including jue-open-rings (jue 玦) emerged in the Xinglongwa Culture of the Liaohe River Basin in Northeast China. In the Hongshan Culture of the Yangshao Period, jade and stone products were commonly included in the tombs of the occupants who had special statuses, and their types became more diverse. By the time of the Longshan Culture, jade and stone products had been widely used in China, becoming luxuries pursued by powerful members of society and tools for offering sacrifices to gods and spirits. It

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is probable that jade products were the first type of objects that acquired a sacred and noble status. As a result, they became the main portion of ritual objects. Many records about the usage of jade by the nobility in the oracle bone inscriptions from the Yinxu site and in the bronze inscriptions of the Western Zhou Dynasty indicate that jade products were used at that time to be made offerings to gods and spirits in sacrifices or in declarations of oaths, made gifts to superiors, offered as rewards to subordinates, exchanged as gifts in social interactions among the nobility, and made accessories of other objects (such as drums). The denotations of jade products include gui-tablet, zhang-tablet, bi-disc, huang 璜 (arch-shaped jade pendant), and more. Sometimes the denotation of a jade product is difficult to determine. The focus on and the favor for jade resulted in the emphasis of the exploitation of the natural colors and the shapes of jade in the artistic creations. For instance, ordinary stone materials suitable for carving but without appealing colors were not valued. Therefore, in the Xia, Shang, and Zhou dynasties, relief stone carvings like those of the Han Dynasty and three-dimensional sculptures were seldom produced. In ancient China, no material was as consistently cherished as jade. Jade was not only the embodiment of nobility but could also bring auspiciousness and ward off evil, relying on the power of the deities resting in it. According to the chapter of »The Jade-bead Pendants [of the Royal Cap]« in the Book of Rites, »in ancient times, men of rank did not fail to wear jade… All wore a jade pendant at the girdle, excepting during the mourning rites… A man of rank was never without this pendant, excepting for some sufficient reason; he regarded the pieces of jade as emblematic of the virtues [which he should cultivate].« This metaphor of personality and morality was associated with former tradition as well as with the texture, color, and sound of jade itself. Therefore, Confucius said,

CHAPTER VII CRAFTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

In ancient times, superior men found the likeness of all excellent qualities in jade. Soft, smooth, and glossy, it appeared to them like benevolence; fine, compact, and strong—like intelligence; angular, but not sharp and cutting—like righteousness; hanging down (in beads) as if it would fall to the ground—like [the humility of] propriety; when struck, yielding a note, clear and prolonged, yet terminating abruptly—like music; its flaws not concealing its beauty, nor its beauty concealing its flaws—like loyalty; with an internal radiance issuing from it on every side—like good faith; bright as a brilliant rainbow—like heaven; exquisite and mysterious, appearing in the hills and streams—like the earth; standing out conspicuous in the symbols of rank—like virtue

(chapter »The Meaning of the Interchange of Missions between Different Courts«, in the Book of Rites) For these reasons, classical jade craft could maintain further development and innovation, and reach a peak of its development in the Three Dynasties, in which bronze art emerged.

1. The Peak Development of Jade Carving 1. Tradition of Jade Craft in the Xia, Shang, and Zhou Dynasties Before the emergence of bronze products, several distinctive areas of early jade craft came into being in China: Northeast China (represented by the Hongshan Culture), Southeast China (such as the Hemudu Culture in Yuyao, Zhejiang Province; the Majiabang Culture and the Songze Culture of the Yangshao Culture; and the Liangzhu Culture, in which the prehistoric jade craft was developed to perfection) and the middle reaches of the Yangtze River centered in the Jianghan Plain (such as the Daxi Culture and the Qujialing Culture). Judging by these main distribution areas, prehistoric jade products were generally popular in the peripheries of the Central Plains in the Three Dynasties. Among these peripheries, Northeast China remains up to present the main source of the jade type Xiuyan 岫岩; the Jianghan Region is located

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next to the source of a historically important jade type, the jade of Dushan 独山 in Nanyang; in Southeast China, the widespread jade products of the Liangzhu Culture came from jade sources including that at Xiaomeiling 小梅岭. Primarily due to the relative lack of jade sources, the prehistoric jade craft in the Central Plains was not as developed as that in the surrounding areas. The rise of jade craft in the Central Plains in the Three Dynasties was closely related to the establishment and expansion of the early dynasties and the formation and establishment of a cultural center in the Central Plains. And in the formation and development of the jade craft tradition in the Central Plains, the processing and carving techniques of the surrounding primitive cultures must have played an important or even decisive role. The jade products of the Three Dynasties in the Central Plains did not only derive from the surrounding areas, but also inherited the traditions of jade techniques of the above-mentioned distribution regions. Except for gui-tablets, the main geometric jade ritual objects of the Three Dynasties, such as zhang-tablets, bi-discs, huang, cong-tubes, and jue-open-rings, originated in the primitive cultures around the Central Plains. For instance, the jade zhang-tablets of the Three Dynasties originated in the Jianghan Region and in northern Shaanxi, jade bi-discs, huang, congtubes, and jue-open-rings may have two originations, i.  e., North China and South China; jade cong-tubes evidently originated in the Liangzhu Culture in Southeast China. Similarly, representational, animal-shaped jade objects of the Three Dynasties may also have associated with representational jade objects of prehistoric times. For instance, there are indications that the jade turtles and softshell turtles of the Three Dynasties are imitations of those of the Hongshan Culture of Northeast China; the jade deity faces, cicadas, coiled phoenix birds, and jade pendants in shapes of dragons and phoenixes of the Three Dynasties are imitations of those of

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

the Shijiahe Culture in the Jianghan Region; while the flat sculptures of jade birds in frontal views with unfolded wings and coiled jade dragons of the Three Dynasties are imitations of those of the Hongshan Culture and those of the Shijiahe Culture. The tradition of jade craft was inherited by jade artisans from generation to generation in the officially run handicrafts and mercantile trades of the Three Dynasties. It was maintained even at the joining of the Western and the Eastern Zhou. 2. Characteristics of the Jade Sculptures of the Xia, Shang, and Zhou In the course of the nearly 2,000 years of their development in the Xia, Shang and Zhou dynasties, jade sculpture was constantly transformed. However, such transformation took place remarkably slowly. Apart from the prehistoric characteristics maintained by the jade products of the Xia Dynasty and the early Shang Dynasty, and from those that preluded certain characteristics of the Han jades in the late Warring States Period, most of the jade products dating from the Three Dynasties demonstrate relatively solidified characteristics, forming the distinctive style of ancient jades. This style is manifested in the following aspects. First, the jade products of the Xia, Shang, and Zhou dynasties are primarily ritual jades and jade pendants of various geometric shapes. Second, the forms of the jade products dating from dynasties, even those shaped as humans and animals, are strongly circumscribed. Ritual jades, as the majority of the jade products, have stable forms. For instance, the basic forms of gui-tablets and zhang-tablets have elongated shapes, the bidiscs (rings, yuan-discs 瑗) and jue-open-rings are circular, while huang and heng 珩 (a roof-shaped jade pendant) are shaped as halves or thirds of circles. The traces of the historical transformations of these jades are reflected only in their details and decorations. The jade products of the highest artistic levels, i.  e., representational forms such as

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human and animal figures, also have roughly fixed patterns of shapes: Almost every relief of a standing human figure has a frontal view, which is symmetrical and relatively rigid; almost every relief of a human figure in a profile view has a squatting posture with both the head and the legs bending backward, making the figure difficult to recognize; and almost every three-dimensional human figure has a kneeling posture, sitting on the heels with their hands resting on their knees. Each jade dragon is either coiled with its head and tail opposing each other, in resemblance to those prehistoric jade dragons, or curved into an S-shape. Each jade bear has a kneeling posture with its forelimbs resting on its knees, in resemblance to kneeling human figures. Each jade bovine animal has a crouching posture with its forelimbs bending backward. Each jade deer has either a crouching posture, looking forward with all fours pointing forward; or a standing posture, looking backward. The jade birds include many subtypes, though they are normally demonstrated in several modes of forms, including the standing position in a profile view, the prone position in a frontal view, the posture with unfolded wings, etc. Some of the above-mentioned modes of forms originated already in prehistoric times. Numerous animal figures of such forms were created both in the Shang and the Zhou dynasties, demonstrating an intensive consistency. Third, the jade products of the Three Dynasties are characterized through abstract animal patterns and geometric patterns applied on the smooth jade surfaces. Even if the real animals do not have any patterns in their coats, jade images of such animals bear decorative carvings on their bodies, in close resemblance to the animal-shaped bronze products of the Central Plains. The decorative

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

carvings are always stylized, taking into account of the shapes of the jades themselves. The linked cloud scroll patterns were popular on jade products of any shapes in the Shang Dynasty, while the dragon and phoenix patterns and the diagonal cloud scroll patterns were preferred as jade ornamentation between the Western Zhou Dynasty and the early Spring and Autumn Period. After the mid Spring and Autumn Period, the small entangled spiral patterns, cloud-thunder patterns, and coiled hui-patterns that are intensively abstract prevailed on the surfaces of the jade products. Jades bearing these seamless patterns differ not only from the prehistoric jades with un-patterned surfaces or with partial ornamentation, but also from the typical jades of the Han Dynasty that are covered thoroughly with patterns that are divided into individual units of tiny reed mat patterns combined with boss decorations. Hence, these seamless patterns can be regarded as one of the typical, classical styles of the jades of the Three Dynasties. 3. The Development and Evolution of the Jade Products of the Xia, Shang, and Zhou Dynasties Jade craft developed to a new stage in the Xia Dynasty, in which the prehistoric jade products were replaced by classical jade products. Judging by the transformations of the artistic styles of the jades of the Three Dynasties, it is obvious that the techniques of processing jade underwent four major development stages that basically coincide with the stages of the development of bronze art (Fig. 2.7.1). The stage between the Xia Dynasty and the early Shang Dynasty is the initial stage of the development of jade carving of the Three Dynasties. In

stages of the development of the jade products of the Xia, Shang, and Zhou dynasties ◂ 2.7.1 The (1) The stage between the Xia Dynasty and the early Shang Dynasty (2) The stage between the late Shang Dynasty and the early Western Zhou Dynasty (3) The stage between the late Western Zhou Dynasty and the early Warring States Period (4) The stage of the late Warring States Period (5) The early stage (6) The late stage

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view of the whole history of the development of Chinese jade craft, this stage must be incorporated into the development stage of prehistoric jade products belonging to the category of early jade craft. The stage between the late Shang Dynasty and the early Spring and Autumn Period is the peak of the Chinese jade carving technique. The style of classical jade products originated, became popular, and was developed in this stage. In this stage, circular or arc-shaped jades increased greatly in number, while rectangular or angular jades reduced in number. The categories of jades became comprehensive, including ritual jades, jade jewelry, burial jades, and jade bibelots. The styles of jades became diverse, including those in reliefs and those in the round. Jade figures of both humans and animals became popular. Gui-tablets, zhang-tablets, bi-discs, huang, and cong-tubes prevailed as ritual jades, corresponding to five of the so-called »Six Jades« of later periods. There were jade vessels such as gui-vessels in imitations of bronze ritual vessels. The types of jade jewelry became diverse as well, including the bidisc, huang, heng, jue-open ring, chongya 冲牙 (flat fang-shaped jade pendant), and beads. Among them, the huang, as the most important components among the grouped jade jewelry, appeared either as single components with their concave sides upward or as pairs of components side by side with their concave sides opposing each other. There are various motifs of jade bibelots, including tigers, bovine animals, caprine animals, deer, elephants, rabbits, birds, turtles, softshell turtles, fish, etc. Those animal motifs such as the owl and those motifs of human-beast hybrids were seldom inherited in later periods. Each standing human figure has a symmetric posture with either arm hanging down on one side of the body. The surfaces of most of these jades are completely covered with decorative patterns of engraved, double-contour lines. The individual compositional units are relatively large. In general, two to three composi-

CHAPTER VII CRAFTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

2.7.2 A white jade horse from Wangfutai

tional units can cover the whole surface of a jade product. The decorative patterns include mainly kui-dragon patterns, phoenix-bird patterns, linked cloud scroll patterns, diagonal plaids, etc. In this stage, the techniques of processing jade gradually became mature and complete. In the stage between the mid-Spring and Autumn Period and the mid-Warring States Period, the style of the jade sculptures underwent a transformation, i.  e., the classical style of jade sculptures began to transform into the typical style of jade sculptures in the Qin and Han dynasties. In this stage, jade products were widely applied. Even the commoners favored stone products in imitations of jade products. The type of »jade tiger« (hu 琥) based on the characteristics of a dragon form, i.  e., a backward-looking head, a bowed back, and a curled tail, was remarkably popular in this period. It was the only type shaped as an animal among the »Six Jades.« From the late Warring States Period on, the classical style of jade products was basically replaced by the new, Qin and Han style of jades. In this stage, the jade human figures transformed from

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the formerly symmetrical standing postures that are rigid and formal to the vivid dancing postures with twisting waists and swinging long sleeves. As a motif of jade pendants, these dancers are often in pairs side by side, which accounts for the symmetry of the individual pendants. More attention was paid to the vividness of the forms instead of the refinement of the decorative patterns of the jade animals except for the »jade tigers,« which bear certain ritual characteristics. For instance, the white jade horse unearthed from a tomb at Wangfutai 望父台 in Qufu 曲阜 of Shandong Province has a bowed head, a bent neck, a raised chest, and short feet. It has already the stylistic charm characterized by those horse sculptures of the Han Dynasty (Fig. 2.7.2). In this stage, jade carving techniques, which already became relatively mature, and types of decorative patterns, approximated those of the Han jades remarkably.

2. Types of Jade Objects of the Xia, Shang, and Zhou Dynasties In terms of function, the jade products of the Xia, Shang, and Zhou dynasties include primarily four categories, i.  e., ritual jades, jade jewelry, burial jades, and jade bibelots. In addition, there were certain jade tools and utensils. In terms of artistic form, the jade products of the Three Dynasties can be divided into two categories, i.  e., geometric jades and representational jades. Either category can be subdivided into three-dimensional jade sculptures and reliefs. The art of the jade carvings of the Xia, Shang, and Zhou dynasties was per se a craft of clearly utilitarian purposes. In its development and evolution process, the ritual jades, jade jewelry, burial jades, jade bibelots, as well as geometric and representational jades are associated with each other, instead of being definitively distinguished from each other. In the following, the significance of the forms of the main types of jade products of the Three Dynasties and their cultural background will be briefly analyzed.

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

1. Ritual Jades as Symbols of Power Ritual jades generally refer to jades used in ceremonial activities such as the offerings of sacrifice to natural and ancestral deities, the rites of initiation to adulthood and of marriage, and those ceremonies that maintained the relationships among nobles at all levels. In the Zhou Dynasty, they mainly included the »Six Jades« and the »Six Auspicious Signs« (Fig.  2.7.3). The denotations and the functions of the Six Jades are specified in the entry »Senior Minister of Rites« in Rites of Zhou: »The grey bi-disc, the yellow cong-tube, the bluish-green gui-tablet, the red zhang-tablet, the white jade tiger, and the black huang were used as offerings to heaven, the earth, the east, the south, the west, and the north, respectively.« The functions of the Six Auspicious Signs are specified in the Rites of Zhou as well: »Jade is made into the Six Auspicious Signs that classify the [ranks in] the states, i.  e., the king holds a gui-tablet of one chi and two cun, each duke holds one that is nine cun, each marquis holds one that is seven cun, each viscount holds a bi-disc with boss decoration, and each baron holds a bi-disc with bulrush pattern.« According to these explanations expressed in the late Zhou Dynasty, the Six Jades are jade products of six different shapes that were offered to the deities of heaven, earth, the four cardinal directions, or anthropomorphic deities. Except for the »white tiger,« which was a representational jade product shaped likely as a tiger, all of them are geometric. The Six Auspicious Signs include two types of geometric jade products that were believed to be essential for the safety of the state and were used to mark individual rank. One of these types, the gui-tablet consists of four subtypes of individual sizes. And the other type, the bi-disc, consists of two subtypes bearing different patterns. In terms of form, the individual gui-tablets or the individual bi-discs among the Six Jades and the Six Auspicious Signs do not differ from each other, because they all belonged to solemn ritual jades that are

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2.7.3  Geometric ritual jades as stone carvings of the Han Dynasty and geometric ritual jades among the cultural relics of the Eastern Zhou Period

regularly shaped. These ritual jades played roles in making sacrificial offerings to gods and spirits as well as marking the ranks of the nobles, etc. Like bronze ritual vessels, they had significance as symbols of the divine right of kings and of their powers. Therefore, they were highly valued in ancient times. Among the ritual jades, the most important types are jade gui-tablets and jade zhang-tablets. They are not only sacrificial jades that were applied in sacrifices to heaven, earth, the cardinal directions, and the ancestral deities, but also the tokens of the reception of the Mandate of Heaven

and the appointments of the vassal lords. Due to the differences in size and length, they were also used as symbols of status and rank. In terms of form, gui-tablets and zhang-tablets are similar. Xu Shen of the Eastern Han Dynasty states in his Discussing Writing and Explaining Characters: »A half gui-tablet is a zhang-tablet.« His explanation of the relationship between the gui-tablet and the zhang-tablet is basically corroborated by the images of these two types of jades depicted in the stone carving of the »Figures of the Six Jades« of the Eastern Han Dynasty, since a bisection of the depicted gui-tablet alongside its

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2.7.4 Jade huang shaped as a two-head dragon from Yanggong town

axis produces two zhang-tablets. Judging by archaeological excavations, the zhang-tablet must have been an important type of ritual jade of the Xia people, but it seems that the Shang people did not attach much importance to this type of jade object. However, the contemporaries of the Shang people in the southwest of the Sichuan Basin and the southern region of Shaanxi Province (certain transmitted literature and archaeologically discovered materials indicate that the people of these two regions had close relationships with the Xia people) treated the zhang-tablet as the most important type of ritual jade. They made not only jade zhang-tablets but also bronze replicas of them, as corroborated vividly by a small bronze human figure holding a zhang-tablet unearthed in a pit at Sanxingdui in Guanghan. In terms of shape, the circular bi-disc and the huang differ clearly from the polygonal gui-tablet and zhang-tablet. A bi-disc is a disc with a round hole in its center. The ancients gave different denotations to such discs, according to the size ratio between the central hole and the whole disc. In

the present book, such discs are generally referred to as bi-discs, irrespective of the size ratios. In the Xia, Shang, and Zhou dynasties, jade bi-discs played the role of sacrificial jades as well, like jade gui-tablets and jade zhang-tablets. For instance, they were applied in sacrifices to the Sovereign of Heaven, the Great Master of Fate, etc. They were also frequently used in the social interactions and presentations of gifts among nobles. The huang is a part of the bi-disc, as indicated by the following entry in the section of the »Jade Radical« (»Yu bu« 玉部) in Discussing Writing and Explaining Characters: »Huang is a half of a bi-disc.« In fact, the individual huang of the Three Dynasties corresponds normally merely a third of a bi-disc. Although not as important as the gui-tablet, zhang-tablet, and bi-disc, huang was an important type of ritual jade. But, obviously, not all jade huang was used in ceremonial activities such as sacrifices. The ordinary ones acted primarily as components of the grouped jade jewelry that acted as the accessories of living persons or as adornments of the deceased (Fig. 2.7.4).

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The cong-tube is a special type among the ritual jades. Unlike the flat and geometric forms of other jades, it is a three-dimensional hollow tube that appears square outside and round inside. Jade cong-tubes prevailed in the Liangzhu Culture in Southeast China in prehistoric times. A large number of them were discovered in tombs. The congtube was far less popular in the Three Dynasties than in prehistoric times, but it was still classified as one of the »Six Jades« that were »offered to the earth« and used in funeral rites until the late Zhou Dynasty. 2. Various Types of Jade Jewelry The aristocrats of the Three Dynasties used to wear jades. Wearing jades was a symbol of noble status and virtue, and a piece of jade jewelry could consist of a variety of jade articles that were arranged according to certain combination patterns. The combination patterns of jade jewelry transformed with the alternation of the dynasties and the development of society. The combination patterns of the jade jewelry in the Zhou Dynasty were probably more complicated than those described in the transmitted literature. Especially in the mid and late Warring States Period, the forms and combination patterns of the jade components underwent great changes. The fashion of wearing jades spread from the upper strata to the ordinary strata of the aristocracy. Even certain musicians and maidservants wore jades. Accordingly, the lacquered wooden figures buried in certain Chu tombs dating from this period wear grouped jades. The grouped jades worn by persons of individual social strata differ relatively largely from each other in terms of their components: Some members of the lower strata of the aristocracy worn only a bi-disc or a huang each, while some members of the higher strata worn jade jewelry of consisting of various components including heng, bi-disc, huang, chongya, pendants of various forms, etc. For instance, the grouped jades unearthed from a cemetery at Jincun village in

CHAPTER VII CRAFTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

Luoyang of Henan Province consist of, from top to bottom, several jade tubes, a pendant in fretwork in the shape of two dancers, a heng, and two chongya. These components are threaded together by a plaited gold chain. The three jade tubes over the pendant bear linked hook patterns. The lower end of the gold chain is connected with another jade tube, under which the heng is suspended. The heng is shaped as a dragon with two heads opposing each other, with bared teeth and claws. Either end of the heng is connected with a chongya, which is shaped as a coiled dragon. The whole piece of jade jewelry has an ingenious composition and exquisitely carved individual components. With its gold and jade components complementing each other, it appears extremely gorgeous. It was worn by a high noble at that time (Fig. 2.7.5). 3. Burial Jades as Protection of the Deceased Like bronze art, the jade art of the Xia, Shang, and Zhou Dynasties was a typical noble art. Jades were used by the »men of rank« at that time, and these nobles used jades during their lifetime and after their deaths; in quest of immortality through the power of jades, jades were used to adorn their corpses and buried in their tombs. Jades that were specifically used for burials originated in the Zhou Dynasty. In the family cemetery of the Jin marquis at Beizhao in Quwo of Shanxi Province, eight generations of the Jin marquis and their wives were buried between the early or mid-Western Zhou Dynasty and the early Spring and Autumn Period. The eldest generation of the couple among them already had their mouths and hands filled with jades or their bodies adorned with jades. But threaded jade masks for the faces of the deceased and large number of jades covering the corpses (Fig. 2.7.6) were not applied until the late part of the middle phase of the Western Zhou Dynasty. Therefore, the typical burial jades emerged and became popular after the mid-Western Zhou. This phenomenon took

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2.7.5  A piece of jade jewelry with a golden chain from Jincun Village

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

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2.7.6 The threaded jade mask of the wife of Marquis Wen of Jin

place parallel to the transition of the bronze vessels from the Shang system to the Zhou system in the mid-Western Zhou. 4. Small and Lovely Jade Bibelots Jade bibelots were jades to be toyed with. Fulfilling neither specifically ritual functions nor decorative functions, they did not belong to the mainstream of the jade products of the pre-Qin Period and were seldom comparable to ritual jades, aus-

picious jade tokens, and jade jewelry in terms of their importance. But they were neither subject to the restrictions of rites and customs at that time nor necessary to accord with any regulations, unlike the other categories of jades such as ritual jades. Accordingly, the artisans creating them had much latitude for their free imaginations and creations. Therefore, those bibelots have the highest artistic qualities among jade products. It is probable that they embody the achievements in jade

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carving, and are representative of the sculptural art of the Three Dynasties. There are mainly two groups of archaeologically unearthed jade bibelots dating from the Three Dynasties. One group is from the tomb of Fu Hao at Yinxu. The other group is from the tomb of a wife of Marquis Mu of Jin in the marquis’ family cemetery at Beizhao in Quwo of Shanxi Province. The owners of both groups of jades were noblewomen. In general, jade bibelots are shaped as various animals. For instance, those from Fu Hao’s tomb are shaped as humans, dragons, phoenixes, tigers, elephants, bears, deer, monkeys, horses, bovine animals, caprine animals, birds, turtles, softshell turtles, mantises, cicadas, etc.; those from the tomb of the wife of Marquis Mu of Jin are shaped as humans, bovine animals, horses, caprine animals, bears, deer, eagles, owls, turtles, and birds of uncertain species. They are mostly three-dimensional sculptures and have beautiful shapes and vivid postures, demonstrating the diversity of the types of jade bibelots between the late Shang Dynasty and the late Western Zhou Dynasty. They are representatives of the craft of animal-shaped jade carvings in the classical period of China. Most of the bibelots were carved out of flat jade scraps. Such bibelots, which are portable, could be suspended from girdles. Jade scraps, of which the thicknesses were limited, could impossibly be used to create three-dimensional sculptures. Instead, they could represent either the front and the back sides or the two profiles of a figure. The jade artisans of the Xia, Shang, and Zhou dynasties decided to demonstrate the front and back sides of two-legged figures, such as humans and birds, and the profiles of four-legged or legless figures, such as beasts and fish, respectively, with jade scraps. Fish and birds are the most frequently used motifs of such flat jade figures in the Shang and Zhou dynasties, and their forms are the most diverse. The forms of jade fish and jade birds depended on the shapes of the jade scraps. For instance, long and straight jade scraps were carved

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

into static fish, arc-shaped jade scraps were carved into dynamic fish, as if they were leaping out of the water. Similarly, some birds that have frontal views have unfolded wings, as if they were soaring; while others that have profile views have a perching posture with folded wings or a soaring posture with unfolded wings. Jade birds in profile views, which are much more numerous than those in frontal views, have long or short tails that are raised or drooped. They are shaped vividly but compactly. Further jade animals, which are less common, do not have the casual style like the most frequently carved fish or birds. But they include many excellent works precisely because there was no fixed pattern for the jade artisans to follow. For instance, the standing jade crane from the tomb of Fu Hao is carved with a long neck bent downward, short wings slightly unfolded, and two feet kept together, as if it had just swam to a bank to preen its feathers. A jade deer unearthed from a Western Zhou tomb at Qucun Village in Quwo of Shanxi Province is in a peaceful, prone position, but it has its head turned backward, as if it had noticed something and were ready to jump away at any moment. The deer’s body, which does not bear patterns that are common on the bodies of the jade animals of the Three Dynasties, appears plain and realistic. Its appearance is vivid. In addition to flat animal figures, there are also flat jade human figures dating from the Three Dynasties. There are two human figures in frontal views from the family cemetery of the Jin marquis at Beizhao. Either of them has a standing posture that is bilaterally symmetric. Seeming to be female, either figure has voluminous hair and regular facial features. Either figure wears a short upper part and a dress with broadbands hanging in front of the knees. One figure has its hands drooped down at the sides, while the other has the hands clasped together in front of the belly. Those figures in profile views, which are usually relatively compact, have basically squatting postures. Among them, those earlier ones dating from

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the later Shang Dynasty, such as those from the tomb of Fu Hao, are more realistic, with clearly recognizable bent limbs. Those later ones dating to the late Western Zhou Dynasty, such as those from the tomb of the wife of Marquis Mu of Jin, have upper limbs abstracted into the shapes of dragon heads, and heads and bodies decorated by patterns such as kui-dragons, demonstrating a certain sacredness. All these flat jade figures are represented as silhouettes in a typical posture, highlighting the accuracy and realism of the overall outlines but focusing little on the details, which are represented sometimes only by a few engraved lines. There were far fewer three-dimensional jade sculptures created out of blocks of jade than the flat jade sculptures. But they were more cherished because they could more sufficiently meet the requirements of the visual sensation due to their three-dimensionality. Three-dimensional jade or stone sculptures with motifs of persons mainly emerged in the late Shang Dynasty. Except for a stone sculpture sitting on the floor with the legs stretched out, which was allegedly unearthed at Simopan in Yinxu, all the sculptures have the relatively rigid posture of kneeling on the ground with the hands on the knees and the hips on the heels. Among them, the sculpture demonstrating the highest level of carving skill is a seated stone figure, of which the head is fragmented, from the Yinxu site. The figure appears to be a noble woman wearing a robe with a full lappet and broad hemlines with embroidered linkedhook patterns, a broad girdle, and a patterned skirt with drooping stripes over the knees. It appears calm, solemn, glamorous, and splendid. Among the three-dimensional sculptures with animal motifs, the most obvious difference in the forms is demonstrated by biped birds and quadruped beasts. The sculptures of birds of prey, including owls, eagles, certain strange birds, etc., have normally long, hooked beaks. Almost each of them has a standing posture with a raised

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chest, a raised head, and three or four supporting fulcrums formed by two feet and a short tail. Their forms are characterized though their large sizes and uprightness, as demonstrated by the jade eagle unearthed from the tomb of the wife of Marquis Wen of Jin. In comparison, sculptures of birds of mild characters have mostly short and pointed beak. Standing or lying, they have heads that are stretched forward and tails that are tilted backwards. As a result, their shapes appear elongated and lowered, as demonstrated by the jade sparrow unearthed from the tomb of the wife of Marquis Wen of Jin. In general, the animal sculptures have three postures, i.  e., the standing posture, the sitting posture, and the prone position. The standing animals include mainly bovine animals, horses, and elephants. Their numbers are small, and their shapes are monotonous. The sitting animals include bears, tigers, and beasts with eagles’ beaks. Commonly, the bears stand or sit like humans and the tigers sit square on their haunches. However, the tigers from Yinxu often have a puzzling, kneeling posture like that of certain human figures. The majority of the animal sculptures are demonstrated in a prone position. They include bovine animals, caprine animals, deer, tigers, rabbits, etc. Some of them have their heads and necks stretched forward, while others have their heads turned backward. Some have their forelimbs bent backward, while others have theirs stretched forward. Some are characterized through their realistic forms, while others are vivid through the emphasis of their characteristic features. Some bear popular the ornamentation of their time; while others are without any ornamentation but highlight the colors and hues of the raw materials of jade instead. These jade bibelots of various forms of animals indicate that the three-dimensional jade sculptures entered a new stage of development. They reflect the forms of visual art at that time, indicating that the artisans had certain understandings

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of sculptural forms and certain sculptural skills. They reflect the ways how jades were decorated, demonstrating various social and cultural concepts associated with them. They belong to the most classic works of plastic art in ancient China and exerted profound and durable influences on the development of Chinese art.

3. Artistic Achievements of Jade Carving of the Xia, Shang, and Zhou Dynasties 1. The Constant Improvement of Jade Carving Technique Jade craft of the Xia, Shang, and Zhou dynasties was based on the development of prehistoric jade craft of various cultures and in various regions, and it demonstrated obvious development and progress compared with that of the prehistoric times. In terms of the choice of raw materials of jade, the sources of jade were relatively widespread. Many jade products are made of the jade of Hetian 和田, a qualitative source of nephrite, indicating that the delicate, glossy, and elegant texture of jade was already amply cherished by people of that time. In addition, Shaanxi, Gansu, and Henan provinces were also important sources of jade, while turquoise mainly came from Hubei. In the Three Dynasties, there were already jade workshops of relatively large scales as well as numerous experienced jade craftsmen. For instance, at Yinxu, in Anyang, of Henan Province, the site of a building yielding semi-finished products made of jade and stone was discovered. It was probably a workshop in which jade and stone products used to be burnished. In addition to local products, there were also tributary jade and stone products provided by certain vassal states to the royal house. For instance, a large jade gui-tablet unearthed from the tomb of Fu Hao in Yinxu bears written characters indicating its origin. At that time, the jade carving technique already reached a remarkably delicate and meticulous level; the raw materials of jade were used according to cer-

SECTION 1 JADE WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

tain regulations; and the jade carving tools underwent a significant progress, because the application of bronze tools greatly improved the quality of jade carvings. The progress of jade carving techniques led to the increasing diversity and complication of the jade products of the Three Dynasties in comparison with those of prehistoric jades. Numerous jade forms and patterns that could not have been created by prehistoric jade techniques emerged. One of such examples is a jade sculpture of a deity with a bird’s head and a human body unearthed from a large tomb at Dayangzhou in Xingan. It is a three-dimensional sculpture made of yellowish brown pyrophyllite. Although some of the lines on the body of the sculpture appear slightly clumsy, the ring chain connected with its crown is in fretwork with movable links, demonstrating a considerable, technical challenge (Fig. 2.7.7). There are numerous jade products in fretwork dating from the Three Dynasties, including simple flat jade carvings in fretwork dating from the Western Zhou Dynasty and complicated, three-dimensional jade carvings in fretwork dating from the Eastern Zhou Dynasty. Some of these works already demonstrate a remarkable complexity associated with high levels of carving skill. 2. Jade Forms Making Effective Use of Raw Materials Unlike ordinary stone, jade is precious stone with a remarkable hardness. It seems difficult to arbitrarily remove part of a jade block and use it for other purposes. The most famous raw material of ancient Chinese jade is the Hetian jade produced in today’s Yutian County, Xinjiang Province. The mountains that produced this type of jade are referred to as the Kunlun Mountains or Kun Mountains. At the foothills, there used to be the ancient states such as Bactria and Yuezhi 月氏 (Yushi 禺氏). Therefore, jade produced in that region was also known as the »jade of the Kun Mountains« or the »jade of Yushi« between the pre-Qin

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Period and the Han Dynasty. Due to its exquisite and pure quality as well as glossy and beautiful color, this type of jade was cherished since ancient times by people living to the east of this region. It became the first choice of raw materials for jade products. The examination results of the material samples from several large-scale jade discoveries, such as the tomb of Fu Hao at Yinxu and a large tomb at Dayangzhou in Xingan, of Jiangxi Province, indicate that most of the raw materials of jade were not exploited near their discovery sites; instead, they came from the distant Kunlun Mountains. These raw materials of jade were transported to the Central Plains and their surrounding areas through trade routes on the Loess Plateau, before

2.7.7 A jade sculpture of a deity with a bird’s head connected to a chain and a human body, unearthed at Dayangzhou

CHAPTER VII CRAFTS OF THE XIA, SHANG, AND ZHOU DYNASTIES

they were provided or sold to jade carving workshops. In these workshops, they were carved and polished, and made into various handicrafts that met the needs of sacrificial rituals and daily life of the aristocrats. Due to the preciousness of the materials, while conceiving the overall form of a jade carving, an artisan commonly chose a piece of raw material of jade that was in line with the approximate shape of his initial conception; according to the shape of the raw material, he refined his conception; and finally, he applied his carving techniques to materialize the conception. The method of conceiving the shape of the jade sculpture according to the shape of the raw material of jade could have emerged as early as in the prehistoric times. Generally, however, it was not necessary to use this method that early, because the early prehistoric jade products had mostly simple forms and were carved out of preprocessed jade plates. The jade carvings of the Three Dynasties were complex and diverse. In order to meet the manifold requirements of the aristocrats, the jade artisan had to choose suitable raw material of jade according to the motif on the one hand and strive to make the shape of the sculpture in line with the shape of the raw material of jade on the other hand. There are numerous examples of jade products that demonstrate the ingenious usage of this method in the Three Dynasties. When cutting the raw material of jade, the ancient jade artisans often created jade tubes, and then divided them into multiple raw shapes of jade bi-discs, which were sometimes further segmented into multiple raw shapes of jade huang. The artisans often skillfully carved those raw shapes of jade bi-discs into coiled kui-dragons and those raw shapes of jade huang into rainbow-shaped dragons or leaping fish. This method was applied for three-dimensional jade carvings as well. For instance, the green jade tiger unearthed from the tomb of Fu Hao at Yinxu was carved out of a rectangular cuboid. It is a crouching tiger with an elongated body and short limbs.

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2.7.8 Jade tiger from the tomb of Fu Hao

The head of the tiger is disproportionately large, occupying one third of the length of the whole sculpture, while the tail is relatively short. Such a deformation of the tiger motif is, to a certain extent, an exaggeration of the relatively elongated body of the tiger. But from another perspective, it was a rational use of the raw material of jade as well as a frugal use of labor (Fig. 2.7.8). There are numerous jade carvings in pairs dating to the Three Dynasties. Before producing such a pair, the artisans took into account the number and shapes of the motifs before preprocessing the raw material of jade, i.  e., a piece of jade was bisected for the creation of two jade carvings of basically the same shape. For instance, two jade tigers unearthed from a Chu tomb dating from the late Spring and Autumn Period at Xiasi in Xichuan, Henan Province, derive from one piece of jade raw material. The shapes of the tigers were identical. Either of them has a posture that was popular at that time, with a bowed waist, a protruding back, a bowed head, and a drooping tail, resembling the shape of a huang. The craftsman firstly carved a two-sided tiger shape out of one piece of raw material of jade, and then bisected the shape into two

halves, each of which bears a tiger’s shape on one side. Such practices were common in the Shang and Zhou dynasties, indicating that the jade artisans made relatively careful considerations to the choice and use of raw materials of jades and indeed made the most effective use of the raw materials. Both in terms of the shapes and the colors, the forms of the jade products of the Three Dynasties and their raw materials are closely associated with each other. Jade artisans at that time skillfully made use of the various natural colors of the raw materials of jade and created the so-called »smart color« (qiaose 俏色) jade sculptures that excellently combined forms and colors. There are several »smart color« jade sculptures dating from the late Shang Dynasty. For instance, a three-dimensional stone tiger unearthed at Xiaotun village in Yinxu in Anyang was carved out of a piece of reddish-brown raw material of jade demonstrating stripe patterns. The artisan used the natural color stripes of the raw material to shape the stripes of the tiger’s coat. Merely simple cuts were applied to carve out the approximate outline of

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the tiger without extra cuts that would indicate the patterns of the tiger’s coat. Other examples of the smart color jades include the jade softshell turtles that were unearthed at Xiaotun village as well. These softshell turtles have distinct black and white colors. More precisely, their backs are black, while their bellies, heads, and limbs are white, basically in line with the colors of real softshell turtles. Their ingenuity is due to the careful selection of the raw materials of jade, which reflects the meticulous conception and perfection of the jade sculptures at that time (Fig. 2.7.9). This selection method became the most important, basic method of creating Chinese sculpture in later times and determined the basic characteristics of applying materials in Chinese arts and crafts. 3. The Reconciliation Between Representation and Abstraction On the one hand, the creation of jade sculptures required the ability of the representational depiction of motifs, which reflected the artisan’s perception of the forms of the motifs as well as his

2.7.9 Smart-color jade turtles of Xiaotun

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knowledge about the motifs and demonstrated his skill level in depicting the motifs. On the other hand, it required a high degree of ability in abstraction, which enabled the artisan to grasp the most essential and the most characteristic features among the complex appearances of the objects that were to be depicted, and to make best use of the shapes and colors of the raw materials of jade. The jade sculptures of the Xia, Shang, and Zhou dynasties embody the dualism between the representational and abstraction, between realism and innovation, and between the reflection of physical forms and the expression of decorative concepts, which are complementary to each other. In such conciliations of the forms, the jade craft of the Three Dynasties underwent incessant development and progress. Completely representational jade sculptures dating to the Three Dynasties are rare. Most of those representational jade sculptures have relatively representational shapes, but their ornamentations are completely adapted to the popular patterns at that time, such as the linked-hook cloud

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pattern. Examples of such sculptures include a pair of jade elephants from the tomb of Fu Hao at Yinxu. Made of brown jade, both elephants have basically the same forms and decorations. Relying on in-depth observations of the body characteristics of elephants, the jade artisan accurately grasped the elephants’ basic features including their long trunks, big ears, corpulent bodies, as well as stout and short limbs, and adequately exaggerated and deformed these features, making the jade elephants appear particularly artless, lively, and charming. Representational jade sculptures that have a certain degree of abstraction and spontaneity formed the mainstream of jade carving in the Xia, Shang, and Zhou dynasties. They have a common feature, i.  e., the head of each jade animal is extremely exaggerated and meticulously carved, so that its basic features are accurately demonstrated; while the rest of the body is perfunctorily depicted, demonstrating merely its basic contour. The most representative work of the sculptural art with a certain abstraction in the Three Dynasties is the jade caprine animal unearthed from the tomb of the wife of Marquis Wen of Jin at Beizhao. In this case, the jade artisan perpetuated the glimpse of a caprine animal turning its head backward as if it were frightened, and highlighted its large head and big curly horns. But he merely perfunctorily carved the rest of its body. For instance, he merely made a few cuts to indicate its bent limbs. The form of the caprine animal has a freehand style that is pursued by certain contemporary artists. The jade sculptures of the Three Dynasties have remarkably small sizes. Great importance was attached to the harmony of the shapes and decorations. Like representational bronze vessels, most of the representational jade animal sculptures bear popular ornamentations instead of reflecting the real coat colors. However, the decorative patterns on them are not uniform. Instead, the content of the decorative patterns and the course of the lines are often arranged according to the re-

SECTION 2 LACQUER WORK OF THE XIA, SHANG, AND ZHOU DYNASTIES

quirements of the creation of individual animals. For instance, the root of each wing of the jade birds generally bears a big swirl pattern, while the rest of the wing usually bears roughly parallelly carved lines that meet at the tip of the wing. The details of the jade sculptures are represented by line carvings or perforations. The eyes of the animals or persons are remarkably large; and the details of feathers or the decorations of clothes bear resemblance to the ornamentations on certain bronze products, i.  e., they are seamless patterns consisting of double-lines of hooks or of scrolls. These patterns integrally combine the details and contours of the sculptures, forming a splendid and harmonious artistic style. The motifs of numerous jade sculptures are »conceptual motifs« such as the dragon and phoenix. They are neither representational nor abstract, but a kind of social and cultural concept materialized in jade sculpture. Therefore, they are not only shaped according to certain basic rules that are immutable, but also demonstrate certain intrinsic rules of forms. The artisans of the Xia, Shang, and Zhou dynasties appropriately mastered the basic forms of decorative patterns and their applications in a natural way, differentiating the jade sculptures from the other arts and crafts such as the bronze art. They laid the foundation of the sculpting principles and the basic methods of the jade carving as one of the most important arts in China, making jade carving a durable representative and typical style of Chinese arts in later times.

Section 2  Lacquer Work of the Xia, Shang, and Zhou Dynasties Lacquer work is a craft in which the sap tapped from natural lacquer trees is used as the adhesive, reinforcing material and color coating, and applied to the surface of the cores made of other materials to create various types of utensils.

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1. Innovation and Development of Lacquer Work during Xia, Shang, and Zhou Dynasties

mother-of-pearl as well as the technique of burnisheding with gold and silver inlay, originated in the Three Dynasties.

According to transmitted ancient Chinese documents, the origin of lacquerware can be traced back to a period before the Three Dynasties. Lacquerware appeared remarkably early in China, i.  e., their earliest usages predated the time of Yao, Shun, and Yu. The lacquer products dating from the Yangshao Period are remarkably few, while those dating from the Longshan Period indicate their pervasive usage at the time. Among the latter, the lacquerware of the Liangzhu Culture and that of the Taosi Culture represent two systems of lacquer work of the Longshan Period on the eve of the Xia Dynasty in the south and north, respectively, and they exerted important influence over the formation of lacquer work in the Three Dynasties. With the establishment of the early states, the progress of techniques, and the development of production, lacquer work entered a new period of development in the Three Dynasties. The adhesiveness of lacquer was more widely utilized in this period, and lacquerware with molded fabric cores, i.  e., lacquered linen core, was developed. The decorative function of lacquer was further developed, and the colors of lacquer became more abundant, resulting in the increasing expansion of the application fields of lacquer. Lacquer work became an independent category of handicraft. The inventions and innovations of lacquer work in the Three Dynasties mainly are reflected in the surficial decorations of lacquerware. The decoration techniques of lacquerware became far more diverse than in prehistoric times. In addition to the traditional line-drawing technique, new techniques such as sculpting cores, inlaying mussel shells, installing bronze buckles, and applying gold foils came into being, breaking through the previous unsophisticated decorative means. Various lacquer techniques that were commonly applied in later times, including the application of

2. Solemn and Dignified Classical Lacquer Art 1. Basic Features of Classical Lacquerware As early as in the Longshan Era, two different traditions of Chinese lacquer work came into being in North China and South China. In the north, red lacquerware that was either un-patterned or bore simple patterns depicted in other colors dominated. In the south, in addition to the purecolor lacquerware, there was also lacquerware with jade inlays. The two types of lacquer work developed in parallel throughout the Three Dynasties and flourished alternately. Between the late Shang Dynasty and the early Spring and Autumn Period, lacquerware inlaying techniques dominated the south. The technique of inlaying lacquerware with jade, which originated in the prehistoric times in the south, developed and evolved into techniques of inlaying lacquerware with mussel shells and with bronze fittings. These inlays were created by techniques of the same category. The technique of line-drawing with various colors on lacquerware as the main decorative means in the mid Spring and Autumn Period must have been the continuation and development of the traditional lacquer technique originated in the prehistoric times in the north. After the Three Dynasties, the alternating prosperity of individual lacquer techniques continued. For instance, the lacquerware in the Han and Wei Dynasties can be regarded as the succession of the painted lacquerware in the Spring and Autumn Period and the Warring States Period. The gorgeous lacquerware inlaid with mother-of-pearl and the burnished lacquerware with gold and silver inlays in the Sui and Tang Dynasties were obviously the revival and further development of these lacquerware with mussel shell inlays and gold foils.

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The lacquerware with mussel shell inlays is the most representative lacquerware that underwent the longest development in the Three Dynasties. They and two other types of lacquerware originated in the same period, i.  e., lacquerware with bronze fittings and lacquerware with gold foils, demonstrate distinctive archaic styles that did not appear again in the later periods, both in terms of their shapes and decorative patterns. Therefore, these types can be called classical lacquerware, in distinction from prehistoric lacquerware and the lacquerware of the Qin and Han dynasties. The artistic style of classical lacquer is determined by the forms of the wooden cores, decorative techniques, and decorative patterns. According to the function and the conception of the forms of the lacquerware, the wooden cores were roughly shaped, chiseled, carved, and polished, in order to be made into the required shapes. Like the bronze ritual vessels of the same period, most of the forms of the classical lacquer ritual vessels, commonly including gu-vessels, dou-vessels, lei-vessels, hujars, etc., appeared tall and straight. In terms of decorative technique, the most distinctive decorative means of classical lacquerware include line-drawings, line-carvings, and inlaying of mussel shells. The engraving of lines on the surfaces of the wooden cores and the subsequent lacquering of the surfaces resulted in the three-dimensionality of the surficial patterns, like those of the bronze vessels. These techniques were widely used in the Shang Dynasty and the Western Zhou Dynasty. The inlaying of mussel shells is the most important and the most characteristic technique of creating classical lacquerware. This technique created an effect resembling jade inlays. But compared with jade inlaying, it was much easier to process mussel shells and to adhere them to the vessel surfaces. Furthermore, in comparison with translucent jade, the opaque mussel shells created a better decorative effect on the lacquer surfaces because they demonstrate distinctly white color on a black or red background, without revealing

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the color of the wooden core or of the background lacquer. The decorative patterns of classical lacquerware are also remarkably characteristic. Their types include mainly the beast-face pattern, kui-dragon pattern, angular cloud-scroll pattern, vertical leaf pattern, whorl pattern, etc. They are either black on red background or red on black background. 2. Features of the Forms Emphasizing Ritual and Music Before the origination of bronze ritual vessels in the prehistoric times, jade products played a decisive role in offering sacrifices to ancestral spirits and communicating between humans and gods. However, in sacrificial activities, vessels containing wine and food to be offered to the gods were not easily created out of jade. Instead, pottery or lacquered wooden vessels were used. Lacquerware thus became one of the most important types of ritual object at that time. In the Three Dynasties, with the rise and development of bronze metallurgy, heavy and robust bronze vessels created with complicated processing techniques basically dominated as ritual vessels, while lacquer vessels took a secondary place. However, throughout the Three Dynasties, even at the culmination of the Bronze Age, bronze ritual vessels never completely replaced lacquerware. Some of the ritual vessel types were always made of lacquer, while others were once made of bronze, but gradually changed back to lacquer after the Zhou Dynasty. Therefore, one of the characteristics of the classical lacquerware in the Three Dynasties was that the types and forms were always closely associated with the ritual functions of lacquerware. Lacquer meat-trays (zu 俎) were always part of ritual lacquerware sets. As a utensil used while cutting and serving meat, its shape resembles that of an armrest, but the size is smaller. As an indispensable type of ritual lacquerware, it was usually combined with the bronze ding-cauldron in the feasts in the ancestral temples. Its func-

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2.7.10  A lacquer gu-vessel with gold foils from Liulihe

tion in the rituals was closely associated with the ding-cauldron. Therefore, the number of meattrays in a ritual was usually in accordance with the number of ding-cauldrons. The dou-vessel is another type of lacquerware that was part of the sacrificial vessels for a long time. As the most common utensil in the Three Dynasties, it was indispensable in the daily life and sacrificial feasts. According to pre-Qin literature, a large number of dou-vessels were used at that time. But there were only a few bronze dou-vessels used as ritual vessels during the Xia, Shang and Western Zhou dynasties. Instead, dou-vessels in that period were mainly made of pottery or lacquered wood. Even the forms of bronze dou-vessels were imitations of lacquered wooden dou-vessels. As supplements of bronze ritual vessels, the lacquer wares mainly include gu-vessels, bei-cups (zan-dipper 瓒), hu-jars, lei-vessels, etc. Among

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them, the drinking gu-vessels and the bei-cups were the most numerous. Since drinking vessels were held by hand, they were not supposed to be too heavy. Therefore, the relative light lacquerware could meet this requirement. The most beautiful lacquer gu-vessel among those dating to the Three Dynasties is one discovered at Liulihe in Fangshan with stone inlays, gold foils, and kuidragon patterns (Fig.  2.7.10). It has a sand glass shape, red background color that is common for gu-vessels, and three bands made of gold foils. Between the lower two bands at the ring foot, there are kui-dragon patterns consisting of line-engravings and line-drawings in black lacquer. Inlaid turquoise forms the dragons’ eyes as well as the decorations in the gold foil bands that frame the kui-dragon patterns. The turquoise eyes of the dragons remind of the famous story of painting a dragon and adding its eyes as the vital finishing touch. The creation of this lacquered gu-vessel involved the skillful usage of techniques such as the application of gold foils, the inlaying of turquoise, the carving, etc. The vessel is colorful, gorgeous, exquisite, and is different as but comparable with those magnificent bronze gu-vessels. The classical lacquerware was further developed during the Eastern Zhou Dynasty. In addition to these drinking vessel types, certain types of food vessels that were originally cast in bronze were also created as lacquerware.

3. The Splendid Lacquer Art of the Eastern Zhou 1. Classical Lacquerware of the Jin Culture The Jin Culture was a Bronze Age culture centered in the Jin State or its successors the »Three Jin«, i.  e., the Han, Zhao, and Wei states that split off from Jin, which altogether dominated the northern region for the longest time in the Eastern Zhou Period. After the collapse of the Western Zhou Dynasty, King Ping of Zhou (Zhou Pingwang 周平王) moved eastward. From then on, the Jin State and

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its three direct successors dominated the Central Plains, and the Zhou royal family gradually became a quasi-vassal. Under this historical background, the center of culture and art in the northern area automatically shifted to the Jin State or its three direct successors. The lacquerware of the Jin Dynasty, which represented the lacquer work of the Yellow River Basin in this period, differs from those of the Chu Culture in the South in the same period. Up to present, three main groups of lacquerware of the Jin Culture have been discovered. One group is from the tomb of Cuo, a king of the Zhongshan state in Pingshan, Hebei Province. Another group is from a tomb at Jincun Village in Luoyang, Henan Province. Yet another group is from the tomb of a king of the Wei State at Guwei Village, Huixian County, Henan Province. All the lacquer products of the three groups date from the late Warring States Period. Most of them have metal fittings, which indicate the rough shapes of the lacquer objects themselves that are not well preserved. The cores of most of the lacquerware are likely made of wood. But judging by the large lacquer jian-vessel with molded fabric core from the tomb at Guwei Village, it is possible that a certain number of lacquerware have molded fabric cores. The types of the lacquerware include the ding-cauldron, cheng-vessel (cheng 盛), hu-jar, wan-bowl, pan-tray, pen-basin, jian-vessel, square he-box (he 盒), screen, etc. The surfaces of these vessels have mostly black background color as well as red, yellow, and green linked-hook cloud patterns and paired triangle cloud patterns. Those luxury lacquer products of high qualities are decorated with gold or silver foils shaped as double phoenix patterns with resemblance to the decoration of the burnished lacquerware with gold and silver inlays. The rims and ring feet of many lacquer vessels have bronze fittings; and the knobs on the covers, the handles shaped as beast-heads holding rings in the mouths (pushou 铺首), the vessel feet, etc., were often pre-cast with bronze

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and inserted into the cores of the lacquer products. Some of the exquisite bronze fittings of the lacquerware are gilded or with gold and silver inlays. Sometimes, the rims or the feet of the lacquerware are made of silver or jade. 2. The Rise of Lacquer Work of the Qin Culture The lacquerware of the Qin Culture refers to the lacquer products unearthed in the territory of the Qin State during the Eastern Zhou Dynasty, especially those produced by the official lacquerware workshops belonging to cities such as Xianyang in the late Warring States Period. The Qin ancestors were one of the Ying clans that were mixed with the Western Rong people in their flourishing area at the »western borders.« They were looked down upon by the states in the Central Plains and regarded as a barbarous people. It was not until Wei Yang, who was appointed by Duke Xiao of Qin, had carried out his reform, that the Qin State suddenly became so strong, prosperous, and »rich, and powerful that it disrespected the other vassal states.« Accordingly, it was not until around the reign of Duke Xiao that the lacquerware of the Qin Culture demonstrated its own characteristics that are distinct from those of the lacquerware of the Jin Culture and of the Chu Culture. The lacquer work of the Qin Culture was remarkably developed, with a wide variety of lacquerware used in daily life. In the process of the unification of the Warring States by the Qin people, the lacquerware of the Qin Culture gradually spread to the other states, exerting great influences on the lacquer work of various regions and the lacquerware production of the Qin and Han dynasties. The Qin State attached great importance to the production of lacquerware and set up lacquerware workshops and lacquer plantations operated directly by the state. With the social reform and the development of productivity, a large number of private lacquerware workshops emerged in the

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Warring States Period and the Qin Dynasty in addition to the state-run and local government-run lacquerware workshops. Their products were mostly transported and sold in the surrounding areas as commodities, which promoted the prosperity of the lacquerware of the Qin Culture. At the end of the Warring States Period and in the Qin Dynasty, the lacquer work of the Qin Culture partly absorbed the excellent practices of the lacquer work in the distribution areas of the Chu Culture, increasingly promoting the progress of its own techniques and skills. The sites that yielded the most prominent lacquerware of the Qin Culture all date from the late Warring States Period. They include a cemetery at Shuihudi in Yunmeng of Hebei Province, a cemetery at Haojiaping in Qingchuan of Sichuan Province, and others. These sites produced lacquer products that were mostly well preserved. A Qin tomb at Shuihudi yielded the most concentrated discovery of the lacquerware of the Qin Culture in the late Warring States Period and of the Qin Dynasty. Including various types, the lacquer products discovered in this tomb are exquisite and gorgeous, as if they are brand-new. The lacquer products excavated from the tombs in the above-mentioned cemeteries account for about half of the total tomb goods, indicating that lacquerware occupied a remarkably important position in the daily life of the Qin people at that time. Throughout the history of the Qin, lacquerware was increasingly frequently used in the Qin Culture. In the Spring and Autumn Period, the lacquerware of the Qin Culture mainly consisted of a few types, including furniture such as armrests and tables; food vessels such as meat-trays, heboxes, spoons, etc.; and weapons such as shields. In the Warring States Period, especially in the late Warring States Period, the types of lacquerware of the Qin Culture increased. In addition to furniture and weapons, there were daily utensils including cups with ear-shaped handles, zhimugs, cheng-vessels, long he-box with double

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ear-shaped handles, cuboid he-boxes, lian-boxes, ke-jars (ke 榼, also called flat hu-jars), bi-dippers (bi 匕), etc. The forms of lacquerware of the Qin Culture in the late Warring States Period are usually simple and practical, without any endeavors towards complexity and variation. The lines of the decorative patterns of the lacquerware are generally simple, at least not as complex as those of the decorative patterns in Chu Culture. For instance, the lacquerware unearthed from the Qin tombs at Shuihudi in Yunmeng dating to the Warring States Period clearly demonstrates the characteristics of the lacquerware of the Qin Culture. More precisely, a lacquered flat hu-jar unearthed from Tomb no. 3 at Shuihudi bears the patterns of two phoenix pairs. It has a common form of the hu-jars of the Qin Culture, i.  e., a narrowed neck; a small, round mouth; a wide, thin, and flat belly; and a cuboid ring foot. It is lacquered black outside. Either side of its belly has a thick-line frame painted in red lacquer. Within either frame, a pair of phoenixes standing on singe feet are painted with red and brown lacquer. Each phoenix has a bent neck, a raised head, a hooked beak stretching forward, two wide-open eyes, and a raised long tail. Both pair of phoenixes seems as if they were going to peck the flower bud between them. The pattern has a symmetrical composition, is depicted by the techniques of single line-tracing and evenly smearing. The drawings are simple and vivid (Fig. 2.7.11). 3. The Prosperity of the Lacquerware of the Chu Culture in the South The lacquerware of the Chu Culture refers to the lacquerware made in the Chu State and in several small southern states deeply influenced by Chu during the Eastern Zhou Period. Due to peculiar geographical conditions, burial customs, etc., the lacquerware of the Chu Culture is mostly well preserved, rich in categories, gorgeous in colors and characteristics. It is an excellent representative of the lacquerware work of the Eastern Zhou Period.

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2.7.11 A lacquer cheng-vessel bearing linkedhook cloud patterns from Yutaishan

The developed lacquer work of the Chu Culture exerted important influences on the other regions and laid a solid foundation for the prosperity of the lacquer art in the Qin and Han dynasties. The Chu Culture took shape as early as in the early Spring and Autumn Period. But merely a few lacquer products of the Spring and Autumn Period have been discovered and all those discovered date from the late Spring and Autumn Period. Since the early Warring States Period, the lacquerware production of the Chu Culture gradually prospered. It was the beginning of the wide use of lacquerware

in various fields of the production and life. The unearthed lacquer products dating from this period outnumber those dating from the earlier period significantly. A representative group of the lacquerware of this period, including 230 lacquered wooden products of a comprehensive variety of types, was unearthed from the tomb of Marquis Yi of Zeng in Suixian County, Hubei Province. In addition to the common types such as the meattray, dou-vessel, zan-dipper, bei-cup, cup with earshaped handles, zun-vessel (zun 樽), jin-table, box of wine vessel set, box of food vessel set, suitcase,

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2.7.12 A lacquered dou-vessel in the shape of a mandarin duck discovered at Yutaishan

armrest, table, etc., there are also animal-shaped lacquerware such as a box shaped as a mandarin duck and a deer in a prone position, indicating that the typical characteristics of the lacquerware of the Chu Culture came into being. Although the decorative patterns of the lacquer products were still painted in red and black lacquer, they became finer than the earlier ones. The high-level lacquer products commonly bear various fine relief patterns on their surfaces and

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accessories, in obvious stylistic distinction from the lacquerware of the Chu Culture in later periods. The peak of the development of lacquer work of the Chu Culture occurred between the mid-Warring States Period and the early part of the late Warring States Period. The unearthed tombs yielding lacquerware dating to this phase greatly outnumber those of the other phases, the proportion of lacquerware among the tomb goods increased, and numerous important groups of lacquerware of this phase have been discovered. In addition to the above-mentioned types of lacquerware, new types such as the cheng-vessel and pantray emerged in large numbers. Furthermore, lacquerware types that are especially characteristic in the Chu Culture, such as the dou-vessel in the shape of a mandarin duck, bei-cup in the shape of two mandarin ducks, bird-shaped drum rack, beast-shaped tomb guardian, socketed screen, etc., were popular. The cores of the lacquerware underwent a diversification, and their decorations became glossy and colorful, with decorative lines that were transformed from thick and stiff to fluent and leisure. Especially the diagonal lines of varied thickness and various color blocks embellish the surfaces of the lacquerware. The primary characteristic of the lacquerware of the Chu Culture is the diversity of the cores, which can be divided into wooden cores, molded fabric cores, bamboo cores, leather cores, bronze cores, and pottery cores. The forms of the lacquerware of the Chu Culture are remarkably characteristic as well. The lacquered vessels, for instance, have two main forms, i.  e., the stable and geometric form with a centrosymmetric horizontal cross section and the form of bird shape. The latter form is not represented among the lacquerware of the Jin Culture and the Qin Culture in the north. This form includes lacquerware types such as the dou-vessel in the shape of a mandarin duck, bird-shaped zan-dipper, phoenix-bird-shaped bei-cup, mandarin-duck-shaped box, etc. The lacquer box in

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2.7.13 A socketed lacquer screen in fretwork unearthed at Wangshan

the shape of a mandarin duck from the tomb of Marquis Yi of Zeng is the earliest lacquer vessel in the shape of a bird. Its head and body are separately carved and gouged out of wood. It looks like a mandarin duck in a prone position, with a fat body, a curved neck, a long beak, and slightly raised wings. Its body is hollow with a rectangular opening on its back, which makes it a vessel. The duck’s body is lacquered black as its background color, over which feather patterns and fish roe patterns are drawn in red color and yellow color, respectively. These patterns are separated into different pattern areas at the neck, wings, belly, and tail by bands of cord patterns and rhomb patterns, which are intensively decorative. Either side of the belly bears a scene. The two scenes demonstrate a deity percussing chime bells and chime stones and deities beating a drum and dancing, respectively. These scenes, which are not associated with the feathers at all, are reminiscent of the patterns on the animal-shaped bronze vessels of the Shang and Zhou dynasties. The lacquer dou-vessel in the shape of a mandarin duck unearthed at Yutaishan in Jiangling have a core made of wood. Its lid, body, shaft, and foot were carved separately and were fitted together by mortised joints. Buckled together, the lid and the

body form a huddling mandarin duck in a prone position. The mandarin duck, seeming sleepy, has a lowered head, a curled neck, folded wings, and bent feet. The inside of the vessel is lacquered in red, while its outside is painted black with feather patterns in vermillion, gold, yellow, etc. In addition, either side of the tail bears the pattern of a golden standing phoenix-bird that turns its head backwards. The main part of this dou-vessel is shaped as a mandarin duck, which is a skillful combination of the lid and the vessel body. It is unique, beautiful, lively, and vivid, radiating charm (Fig. 2.7.12). However, among the bird-shaped lacquerware of the Chu Culture, the type that best combines the function and the form is the lacquer bei-cup with a spout shaped as phoenix head. For instance, a pair of such cups were unearthed from Tomb no. 2 at Baoshan. Either has the shape resembling that of a deep-belly dou-vessel with a short foot, except for the phoenix-head-shaped spout at one side of the vessel mouth as well as a phoenix tail with a horizontal indentation and a vertical protrusion on the opposite side of the vessel mouth. The patterns on the outside of the cup are simple, i.  e., only gold, yellow, and red colors are used to depict the beautiful feathers on the chest and the

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belly of the phoenix, the wings on both sides, and the beautiful long tail at the rear. These patterns are completely in line with the shape of the vessel. This bei-cup adopts the phoenix form favored by the Chu people. It has a marvelous design, smooth contour, and gorgeous colors, achieving a perfect unity of the practicality and artistry. It is regarded as a masterpiece of the lacquerware of the Chu Culture. The lacquer products of the Chu Culture were primarily decorated by means of lacquer painting, which was combined with further techniques such as carving, layering lacquer, painting with gold powder, inlaying silver, inlaying jade, applying bronze fittings, etc. Most of the lacquer products decorated with the method of lacquer painting have black lacquered backgrounds, while the others have red, brown, or purple lacquered backgrounds. The methods of polishing and abrasing that were common in later times had

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already emerged in the Chu Culture. Besides black and red, the lacquer colors include yellow, brown, gold, etc. Most of the lacquer products bear patterns of two or more colors, appearing colorful and gorgeous. At that time, the production of various lacquer had achieved a remarkably high level, i.  e., there were not only a broad diversity of colors, but also varied shades of colors that were mastered skillfully, resulting in rich layers of the patterns. For instance, a socketed lacquer screen in fretwork unearthed at Wangshan (Fig.  2.7.13) is unprecedentedly gorgeously painted in nine colors, i.  e., red, dark red, pale yellow, yellow, brown, green, blue, white. There are a variety of motifs in the decorative lacquer paintings, including the phoenix bird, kui-dragon, cloud pattern, etc., which were cherished by the Chu people. They have numerous variations, which are either concrete and representational, or abstract and exaggerated, or are reorganized.

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES Section 1  The Rich and Varied Arts of Writing The Three Dynasties Period (Xia, Shang, and Zhou) is an important era in the development of Chinese calligraphy and painting. The importance of its calligraphy and painting is not, as in later times, about the mastery of the work itself nor the genre or author’s style, but rather in the materials used, the basic characteristics of calligraphy and painting, and the determination and formation of fundamental skills. In terms of the materials used for calligraphy and painting, the basic materials of Chinese calligraphy and painting are paper, pen, and ink. Two of the three materials appeared already in the Three Dynasties—paper was not yet invented. Before and after the invention of paper, fine and delicate silk fabrics were always important materials for scroll paintings, and silk had already been used regularly in paintings from the Three Dynasties. With regards the basic features of calligraphy and painting, Chinese artists and art historians of all eras have emphasized the integration of calligraphy and painting; the brushes and ink used for writing are also the brushes and major pigments used for painting; the strokes and rhythm of calligraphy are also fully reflected in painting, and these have also been shown in calligraphy and painting from the Three Dynasties. From the perspective of basic technique, Chinese calligraphy emphasizes the use of the brush, Chinese painting highlights the contours in a plane and focuses on the technique of brushstrokes and the application of pigment rather than chiaroscuro. These basic techniques sprouted from the Three Dynasties. Thus, we may say that the

Chinese traditional calligraphy and painting all started from the Xia, Shang, and Zhou eras. Chinese painting and calligraphy have always been deeply intertwined. Among the »Six Writings« (liushu 六書) of Chinese character classification, the category of pictograms (xiangxing 象形), according to Explaining Graphs and Analyzing Characters (Shuowen Jiezi 說文解字) by Xu Shen of the Eastern Han Dynasty, is »to draw the object based on its contour,« that is to say, to use an inflected line to imitate the object by »drawing.« Two others of the »Six Writings,« compound ideographs (huiyi會 意) and phono-semantic compounds (xingsheng 形聲), also contain pictogram elements. Drawings played an important role in the development of Chinese characters. Due to their nature and characteristics, Chinese characters (especially ancient script with many pictograms) are inseparably linked to drawings. The characters of the clan name inscriptions on the bronzewares from Shang and Zhou dynasties are ornamental to a certain degree, and the outlines of some characters were intentionally made more pictorial and aesthetic so they could stand as decorative patterns. In the history of Chinese calligraphy and painting, the development of painting is also closely related to the development of calligraphy, and whenever a new font or a new theory of calligraphy appears, a new style of painting and a new theory of painting follows. The clerical script (lishu 隸書) and stone reliefs shared a similar style in the Han Dynasty, and the innovation of calligraphy and the new painting style with rhythmicfine lines appeared together in the Six Dynasties. Those parallel emergences allowed later scholars to agree that Chinese painting and Chinese calligraphy are derived from

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the same root. The writing and the pictorial arts of the Three Dynasties were born and developed under such a cultural atmosphere.

1. From the Invention of the Writing System to the Emergence of Calligraphy Characters are the symbols that record a language. With the aid of such symbols, people can pass on knowledge to the next generation accurately and pass information further. The accumulation and exchange of knowledge is like a trickle flowing into a river, leading people from ignorance to civilization. Therefore, written language is regarded as the greatest invention in the process of human civilization and an important symbol of civilization. According to common belief, the Three Dynasties Period was the period when the Chinese writing system appeared along with written documents, and it was the transition from the Prehistoric Period without written documents to the historical period with written documents—although the documents of this period were not as rich as those after the Qin and Han dynasties. Most of the surviving pre-Qin documents are also from the Warring States Period, but a mature writing system was already formed by the end of the Shang Dynasty, and books to record the genealogy of nobles and states events appeared. The custom of writing down one’s or one’s ancestor’s illustrious deeds on bronzewares that were not easily perishable was also gradually established among the upper classes. Calligraphy appeared together with the emergence of the writing system, and through long practice, some skilled writers with strong strokes and beautiful script gradually emerged among fortune tellers and historians who specialized in writing to serve the royal family and aristocrats. The inscriptions on the bronzes, which were displayed in public for rituals and feasts, demanded a higher level of neatness in the writing. It was a long process of development, from the primitive records to the invention of a writing

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system in China. The symbols and graphics, used in the primitive records to transmit information or as memos, were probably combined with oral language—thus the earliest writing systems were born. Although those writing systems, probably not widely adopted, were short-lived and not passed down, they, together with the attempt to link primitive notational symbols to language, must have had a great impact on the emergence of writing in the Three Dynasties. No symbols which can be identified as Chinese characters have been found with the Erlitou Culture, which is identified as the site of Xia Dynasty by some archaeologists. More than 20 carved symbols were found on Erlitou pottery. Similar to symbols from many other primitive cultures in prehistoric China, either only one or a few symbols are scattered over a single piece of pottery. And no examples of multiple symbols arranged consecutively have been found. Therefore, although it is possible that writing script already existed, it is difficult to prove these symbols from the Erlitou site record the language, when only a few Erlitou symbols look similar to the oracle script from the Yinxu site. According to the excavated materials, the Chinese writing system was founded no later than the Shang Dynasty. In Erligang, Zhengzhou, Henan Province, one rib bone of buffalo was unearthed in 1953, inscribed with divination text. From what remains, ten characters can be identified. They read: »…sacrifice a goat on the second day for divination from Shou…the seventh month« (…又土羊乙丑貞從受…七月). This inscribed buffalo bone was not found during formal archeological excavation. Some scholars compared it with the oracle script from Yinxu. Based on the inscription style and the content, the bone dates to the reign of King Wu Yi (c.  1147–c.  1112 BCE) or King Wen Ding (c. 1112–1102 BCE) in the late Shang Period. Other scholars argued that this inscribed buffalo bone is from the Erligang Culture (c. 1510–c. 1460 BCE), i.  e., the early Shang Dynasty, as no remains of the

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late Shang Period have been found in that area. If the second theory is correct, then the Chinese writing system was already mature, like the oracle script from Yinxu, in the early Shang Period. From 1996 to 1997, two inscribed oracle bones were unearthed in at the Shijia site, in Huantai, Shandong Province, which date back to early Shang Dynasty. The inscriptions are heavily worn, and it is hard to read the characters, yet based on the remaining symbols they are vertically-aligned, continuous, and have the shape of Chinese characters from Yinxu. They could be oracle script of the Dongyi 東夷 people. According to these two scripts from the Shang Dynasty, the Chinese writing system should have appeared in the early Shang period, which coincides with a statement from the preQin Period: »It was the Yin ancestors who had archives and statues.« (i.  e., the Shang people began to have written records). The practice of writing in the early Shang period has laid the foundation for the succeeding Chinese writing system. By the late Shang Dynasty, a mature written system of Chinese, represented by the oracle script and the bronze inscriptions of Yinxu was in common use within the Shang Dynasty, and became the main method for people to record and exchange information. As the writing system matured, the earliest calligraphic art emerged. Although a common rule for pursuing the aesthetic perspectives of writing had not formed, the earliest calligraphic works reflect the times and the individuals’ styles, although no distinguished individual style was developed. The zeitgeist played a more important role than any individual in the calligraphy of the following era. The influence of the Three Dynasties on the writing of later generations can be seen in the following ways. The first is writing implements. The writing implements of the Three Dynasties, except for carving knives and tortoiseshell or bones used for oracle script, were usually brushes, ink (or red pigment),

Section 1 The Rich and Varied Arts of Writing

bamboo (or wooden) slips, or silk. The invention of the brush can be traced back to the formation of the Chinese writing system. Script from the Shang Dynasty and the bronzeware of the early Western Zhou Period tend to have a strong beginning while the ending is sharp and twisted. This is a typical feature of writing with a brush. The pigment used for writing is ink or red pigment, and there are oracle scripts in black and red in Yinxu, which were written on tortoiseshell or animal bones with a brush dipped in ink or red pigment. It seems that a distinction was made already between black ink and red pigment in the pre-Qin Period, and the black ink was usually used for writing general content, while the red pigment (such as vermilion) was often used for writing divine information. An oath by nobles in-between the Spring and Autumn Period and the Warring States Period, excavated in Houma, Shanxi, is written in red on a piece of jade ritual ware. Bamboo slips were the main media for writing documents before the introduction of paper. The bamboo slips were woven with ropes in the written order, called a volume (ce 冊); the bamboo slips that were woven into volumes and put on a shelf were called dian (典), and the glyphs of the ancient Chinese characters for ce and dian reflect the original meaning of these two characters very well. Bamboo must have been used as a writing material during the Shang Dynasty or even before. Zengbo (繒帛) is a general term for all kinds of silk fabrics, which are soft, smooth, light, and flat. They are lighter but also more expensive than bamboo slips, and are considered a good material for writing. There is no documented evidence on when the earliest silk as writing material appeared. The earliest writing on silk found in archaeological excavations is as late as the Warring States Period (a Chu silk manuscript from Zidanku in Changsha). It would be easy for the ancients to recognize that silk could be used as a writing material, and it should have been used as writing material just as early as bamboo slips. All these writing tools from the Three

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Dynasties were inherited by the people of the Qin and Han dynasties. Except for bamboo slips and silk, which were later replaced by paper, other tools were used until now. The second is the order of the writing. When the Chinese writing system emerged, bamboo slips were the main writing material. Due to the restrictions of their form, the characters could only be written from top to bottom, resulting in a vertical alignment: Chinese characters were written from top to bottom. In the order of the rows, the prehistoric Dinggong pottery symbols were already arranged from right to left, and the late Shang Dynasty oracle script is arranged from right to left and left to right, but this is because the turtle shell and the bull shoulder blades were divided into two halves or left and right, and the rows of inscriptions to record divination results were arranged from the center to the outside. The bronze inscriptions and the script on bones are almost always aligned in a right-to-left order, and the rows usually started from the right. From the Shang Dynasty to the unified country of the Qin Dynasty, the basic format of the writing order was from top to bottom and from right to left. When paper was invented and commonly used, although paper doesn’t have margin restrictions like bamboo slips, the writing format remained, as the habit was established—and it did not change until the modern period. The last point is regarding the morphological structure of the characters. The Chinese characters are square, and in the late Shang Dynasty the characters were already developed in form of a square (or a rectangle). This kind of square composition has a solemn and stable outline; horizontal and vertical strokes are required during writing; symmetry and proper proportions are also important. The aesthetic elements of calligraphy are also complex and diverse: the external outline of a character varies in height and width; the internal radicals of a character are written with different spatial densities, in different size with long

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

or short strokes, so may be close or far from each other. As a result, calligraphy work turns out to be highly artistic and attractive. Nowadays, while the ancient scripts of most other civilizations around the world have become simple and linear structures, the square Chinese characters, which were already popular in the Three Dynasties, are still in use. This proves strong vitality of format. The ancient Chinese characters used glyph symbols as their basic components. With the aid of additional dots or lines indicating certain concepts, or the combination of multiple glyphs, and other methods, the number of Chinese characters increased and was able to meet the needs for recording information. Pictograms and glyphs were initially composed of lines imitating shapes, and the line combination itself could be artistic, as it aimed at picturing an object. In the process of recognizing and representing these objects, and in the process of developing the images into characters, people were actually engaged in a sort of artistic activity. Even after the basic forms of the glyphs were settled, people could still reshape and recreate them to embellish and modify the characters. This art of calligraphy, which has been called »shu« (書), has been developed for a long time since the Three Dynasties and will continue to be developed further.

2. The Three Forms of the Calligraphic Arts of Xia, Shang, and Zhou Dynasties 1. Vigorous and Sharply Engraved Inscriptions The extant earliest inscriptions of the Three Dynasties that have been discovered were the most widely-used. The inscriptions were made with a knife on a relatively hard surface. Depending on the material of the inscription, there were three main types: oracle bone inscriptions, bronze inscriptions and stone inscriptions. The oracle bone inscriptions are carved into the turtle plastrons or other animal bones. The

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amount of writing required for divination records is pretty large, while the bones or the plastrons are quite hard and have cracks. Therefore, the characters to be carved needed be simple, and the strokes needed be straight rather than curved. When a stroke is easy to write with a brush yet difficult to carve with a knife, it has to be changed. The limitations of the media forced the oracle scripts engraved with a knife to be significantly different from the prevailing script written with a brush. Strictly speaking, the oracle script is just a special kind of »vulgar script« of the Shang and Zhou Period, and is relatively simple. In order to increase efficiency, the inscription carvers created a number of simplified characters and used them. They adjusted the shape and structure of certain characters, modified the brush strokes, and changed the curved strokes to straight—thus the unique characteristic of oracle bone carving was born. Among these features, the most aesthetically significant ones are the latter two, which change the round-shaped characters into squares, the filled dots and strokes to outlines, and thick strokes into slimly inscribed lines. This gives the oracle bone inscriptions a sense of straightness, consistency, and upright. As those who made the oracle bone scripts were fortune-tellers who had been engaged in inscribing, and because divination texts are quite repetitive, they were usually well-prepared for writing and inscribing. Thus it was probably not necessary for them to make a draft first with a brush, then could directly carve with a knife. As a result, the text was inscribed in a coherent style—although the characters were not well-aligned, the whole inscription still harmoniously blended together. (Fig. 2.8.1). We could say that the art of inscription developed to a fairly high level during the Shang and Zhou Period. A bronze inscription is an inscription cast or engraved on the surface of a bronzeware with a sharp tool. The surface of the bronzeware is surely harder than an oracle bone and it would be more difficult to make inscriptions with a knife. The en-

Section 1 The Rich and Varied Arts of Writing

2.8.1 Buffalo bone with divination and hunting ­inscriptions in red

graved bronze scrips appeared later than the cast ones. The emergence of engraved inscriptions may initially be related to the practice of writing on uninscribed bronzes or the removal of names from the bronze inscriptions which were originally owned by someone else. Bronze inscriptions appeared no later than the late Western Zhou. The bronze bells of Su, Marquis of Jin, unearthed from the tomb of the Marquis of Jin in Beizhao Village, Quwo, Shanxi Province, have a long inscription of 355 words (the iteration marks and abbreviations included) engraved over 16 bronze bells. It recounts that the king of Zhou fought against the eastern barbarians in the 33rd year of his reign,

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2.8.2  Engraved inscriptions on King Cuo of Zhongshan’s bronze body, iron foot ding

and that Su, Marquis of Jin, followed the king to the eastern frontier, had two victories in battle, and was rewarded by the king. The inscriptions are neatly arranged and the strokes are as fluent and curved as the bronze cast inscriptions, except that the lines are slightly thinner than those cast in the same period. This bronze inscription must have been written firstly with a brush and then with a chisel, so the style of the inscription is similar to that of a bronze cast. This has remained the common form of formal bronze script on ritual wares since the Western Zhou. As engraved inscriptions are made different from cast inscriptions, they have to be engraved on the flat parts of the bronzeware, due to the limitations of the inscribing procedure, and therefore have a strong decorative effect. The three plain bronzes excavated from the tomb of the King of Zhongshan during the Warring States Period in Hebei Province are all decorated with long inscriptions. The scripts are extremely neat and beautiful, with well-arranged composition and elongated fonts. The strokes have both sharp turns for the convenience of inscription and smooth circles, as well as dots for horizontal strokes and swirls for slanted strokes that are

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

difficult to make by engraving. The scripts are in an artistic style and represent the highest level of engraving on bronze (Fig. 2.8.2). Stone inscriptions were not popular yet in the Three Dynasties and only appeared later. They are mainly seen in the Qin. This is probably related to the popularity of stone inscriptions in the Qin Dynasty. The most famous stone inscriptions of the Three Dynasties are the »stone drum script« from Qin of the Spring and Autumn Period and »Text Cursing the State of Chu« from Qin in the Warring States Period. The stone drum inscription is an inscription carved on drum-shaped stone stelae, unearthed in Tianxing (Fengxiang, Shaanxi) in early Tang Period. They are over 1 m high, probably the remains of the architectural base. A total of ten stone drum script pieces were found, each with a four-word poem written on the drum, documenting the grand hunting and leisure activities of the Qin ruler, in a style similar to that of the Classic of Poetry. There is no doubt that these scripts are from the Qin State, but the exact date of them is yet unclear—there are different accounts for the date, such as from Duke Xiang of Qin’s, Duke Wen of Qin’s, Duke Mu of Qin’s or Duke Xian of Qin’s reign. The character composition and writing style of the stone drum script is similar to that of the stone inscriptions from Duke Jing of Qin’s reign (576–536 BCE), but is quite different from the inscription for »Text Cursing the State of Chu« in the 13th year of King Huiwen’s reign or the first year of the King Wu’s reign (312–310 BCE), suggesting that the stone drum script is probably from the late Spring and Autumn to early Warring States Period (Fig. 2.8.3). The »Text Cursing the State of Chu« was from the King of Qin, and the script was meant to be presented to the deities. It was surely presented to a number of deities, but when being presented to one deity, one stele was made. The contents on every stele are similar, the only difference is the name of the deity. During the Northern Song Dy-

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nasty, three stelae for three deities were found, namely, »To Wuxian,« »To Dashenjuejiao,« and »To Yatuo.« Both the original stelae and the original rubbings were missing, and only reproducitons can be seen now. Regarding the date of these inscriptions, most scholars believe that it was from King Huiwen of Qin or his son King Wu of Qin, while others believe that it should be King Zhao of Qin cursing King Qingxiang of Chu. If we put the stone inscription of Duke Jing of Qin, the stone drum script, and the cursing Chu text in chronological order, it is easy to see that their fundamental styles are unified yet subtly changing. The stone inscriptions of the Qin State are all neatly arranged, the font is close to bronze cast inscriptions since the late Western Zhou, the characters tend to be condensed and focus on vertical structure, the writing is formal and standardized, the brush strokes are strong and tend

2.8.3 Stone drum script of Qin

Section 1 The Rich and Varied Arts of Writing

to press down. However, in relative terms, the earlier stone drum text appears robust, while the cursing Chu script looks square and disciplined. After the unification of China in the Qin Dynasty, the engraved stone scripts from the mountains and the Qin official texts were not very different from »Text Cursing the State of Chu« in terms of calligraphic style 2. Solemn and Rigorous Cast Inscriptions Mold-casting inscription is to print the brush-written characters on the surface of a bronze ware with a mold with engraved characters and molten metal. Researchers have different accounts of how exactly the scripts were cast on the surface of the bronze. Regardless of how the bronze inscriptions were cast, bronze inscriptions should be first written with a brush before they can be engraved into the mold and then cast. Therefore, bronze inscriptions should reflect the brush-writing of the time in a reliable way. The bronze cast inscriptions and oracle bone scripts are two simultaneous types of writing with different writing carriers, different genres, and different stylistic features. The earliest bronze inscriptions appeared no later than the late stage of the early Shang period. Among the American bronzeware collections, there is a bronze ritual wine vessel, the jiao. It can date back to the period from the late period of Erlitou excavation to the early period of the Yinxu site. It has two cast characters, »Fu Jia« 父甲, to document the owner’s name. The way of addressing the name and the font are both similar to the late Shang period. If the inscription is not a fake, it is be the earliest cast inscription among all inscriptions that have been found. The characters for clan name are usually highly hieroglyphic and in a relatively large size. For the sake of symmetry and aesthetics, the characters for clan names are usually more complex than the commonly used ones, and some also add a ya (亞)-shaped frame to emphasize the special meaning of the clan name.

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The name-bearing characters functioned similarly to the clan name characters, and they were already quite popular in the late Shang Dynasty. For instance, many bronzewares with the »Fu Hao« inscription were unearthed in the well-known Tomb of Fu Hao. The clan names and person’s names are usually only a few characters. Bronze cast inscriptions with more characters showed up in the late Shang Period and were developed during the early Western Zhou Period. In the late Western Zhou, a conventional form of the inscription was already established. The inscriptions have a variety of topics, including sacrifices, wars, merits, rewards, conferring, and doctrines. The strokes of these bronze inscriptions during late Shang and early Zhou Period are varied and have the features of brush writing. From the middle Western Zhou Period, the variations of the strokes vanish, but one can still tell the inscriptions were based on brush writing. From the differences and changes, we get a glimpse of the changing strokes and writing styles, along with the individual features of the inscription writer. Besides the inscriptions on the bronzewares, all coin scripts and most xi (璽)-seal scripts also belong to cast inscriptions. Xi-seals appeared in the Spring and Autumn Period, yet they hadn’t become popular until the Warring States Period (before the reign of Qin Shi Huang, seals for ordinary people can also be called »xi«). Most seals for official or private use were bronze cast, therefore, the xi was written as »鉨,« with a component referring to metal (jin 金). The inscriptions on bronze cast seals are also based on brush-written characters, but the form of the characters were intentionally modified as the seals functioned as signatures. It would have required sophisticated artistic skill to arrange the characters clearly and tastefully in such a narrow square or rectangular space. Thus, the making of seals was never seen as an ordinary artisan’s task in China; it has been regarded as a special artform for literati and calligraphers. Another form of seals is made of pot-

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

tery, which emerged in late Warring States Period, when the seal scripts were quite popular. Mostly pottery scripts were printed with a bronze seal (usually it was the name of the pottery artisan), therefore, the pottery scripts are actually seal scripts. The layout of a pottery seal script is just like the bronze seal script—it is either squared, rectangular, or round. The number of the characters on the scripts is usually from 1 or 2 to over 10. There are both yin and yang seals, the content of the seals usually includes the name of the artisan, the administration institution, or the place of manufacturing. Since the seal scripts worked as trademarks, they are neatly arranged, well-engraved, and can be seen as one important form of written art from the Three Dynasties. 3. Brush Writing Chinese characters were written with a brush on certain writing carriers. These written characters most directly reflect the shape, style and ink or pigment of the writing practice of the time, and provide firsthand information as to the brush skills and ink choices of the writer. The written characters of the Three Dynasties are the most reliable reflections of calligraphic art at that time. Characters were mostly written on bamboo slips, silk, and banded volumes. Bamboo slips were used as a writing medium no later than the early Shang period. The using of silk fabrics might have been later. Since both bamboo and silk are prone to decay, it was difficult for the early writings to be passed on. The earliest known bamboo slip script dates back to the Warring States Period.  Almost all of the bamboo or wooden slips preserved to the present were excavated from the special burial environment of the southern Yangtze River basin or from the burial sites of the Chu Culture with special conservation methods. Many bamboo slips were found at Chu burial sites in Hubei, Hunan, and southern Henan. The earliest one among them was unearthed from  the Tomb of Marquis Yi of

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Zeng in Sui County, Hubei, and dates to the early Warring States Period (Zeng was a state close to and closely related to Chu, therefore this script can be seen as a Chu script). The characters on these Chu slips were written with brush and ink. Every slip has a line of characters. The density of the characters varies. When it is close to where the slips are bound with thread, the spacing between characters is larger. The font is in an ordinary handwriting style, the strokes start firmly and end lightly. This font is different from the upright and slender font on the bronze cast inscriptions of the same period, which was the formal style then. These characters look squarer and slightly inclined, and the strokes are cursive and soft, some of the strokes tend to be wavy or flick up. Some stroke features of the later clerical script can already be seen there. There are very few unearthed slips from the Warring States Period. The wooden slip »Revision of Statutes on Making Agricultural Fields« (gengxiu  weitian  lü  更修為田律 ), excavated from the Haojiaping Burial Site, Qingchua, Sichuan, dates back to the early stage of the late Warring States Period. The wooden slip is wider than a bamboo slip, it has three lines, 121 characters, the characters are in a slightly compressed font, the components are  simple, and the strokes are mostly straight. The stroke style is already in typical Qin clerical script style. This is the earliest physical evidence of clerical script. The clerical script initially came from such legal documents written by clerical staff. So far, only one script with a complete text from the Warring States Period has been found. It was excavated illegally from a Chu tomb in the rural area of Changsha, Hunan, and later was circulated to the United States of America. It is now collected at the Arthur M. Sackler Gallery, Washington D. C. The content of the script includes admonitions for people to »respect the sky and adapt to the times«—basically folk tales  concerning the sun, the moon, and the four seasons, together with

Section 1 The Rich and Varied Arts of Writing

some taboos. It is similar to the chapter, »Proceedings of Government in the Different Months«, in the Book of Rites, but it is more primitive. The font is wide and short, the horizontal strokes are long, rising or dropping together with other strokes. The calligraphy lacks a unified stroke style, and the writing technique does not seem to be very advanced. Zaishu (載書) is a kind of contract document for aristocrats to resolve the conflicts. The agreements in such contract documents were believed to be supervised by the deities, therefore they are usually written on jade wares in red and buried after the worship rituals. As the oaths for achieving agreements were extremely serious, the words in a zaishu would have been written by aristocrats who were skilled in writing, thus, the zaishu scripts have a high artistic value in calligraphy. A total of two batches of zaishu have been found, one at the site of Xintian, capital of the Jin State (Houma, Shanxi Province), and the other at the site of Zhangji Village, west Wen County, Henan Province. Both belong to the relics of oath rituals between nobles of the Jin  State during the turn from the Spring and Autumn Period to the Warring States Period. The characters were written with a brush dipped in vermilion, and usually there are multiple lines of text on each jade. The font is rectangular, the strokes start heavily and end lightly, and the movement of the brush seems firm and rigorous, reflecting  the formal writing style in the Jin area.

3. General Characteristics of the Calligraphic Arts of the Xia, Shang, and Zhou Dynasties 1. Hieroglyphic Ancient Scripts The characters of the Three Dynasties belong to ancient script historically, and the ancient script form differs greatly from that after the Qin Dynasty. When Chinese characters just began to develop, they had strong hieroglyphic features. For

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example, the character ri (日), which represents the sun, was written as a circle with a dot in the center; the character yue (月), which represents the moon, was based on a half-moon or a new moon; the character bu (步), which means stepping, was represented by drawing two feet one on top one on bottom or two footprints; the character huo (獲), which initially meant the capture of birds and animals, was represented by adding the symbol of a hand under the symbol of a bird…. There are many such cases. In the Shang and Zhou periods, the Chinese character form changed, and in terms of the shape it was mainly from concrete images to simple abstractions, from realistic imitations to roughly similar signs; in terms of the writing, it was mainly from a complex form to a relatively simple form. The hieroglyphic feature of ancient script is the main characteristics of the Chinese characters in the Three Dynasties Period. The aesthetics of the ancient script are based on the beauty of nature, which humans had experienced since the dawn of time. This emphasis on nature was greatly diminished in the clerical and regular scripts afterwards, and was gradually replaced by conventional rules of writing. 2. The Slender Ancient Script Style »Writing style« is comprised of method, standard and style of writing. Chinese characters are distinguished by their square shape, which has undergone a process of change for more than three thousand years: from slender to squat, then from squat to square. Although different styles of writing existed in every era, and calligraphers who were avant-garde for their times had different individual styles: slender, square, or thick, the seal script, clerical script, and regular script, popularized chronologically, also differed in their styles. The seal script, which belongs to the ancient writing system of the Three Dynasties, is often long with vertical strokes and short with horizontal strokes, thus giving the seal script its slender

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

shape. The script, as reflected in the Three Dynasties’ remaining textual materials, was dominated by rectangular script, although some squarer or even wider and shorter styles also appeared. The oracle bone inscriptions were not restricted by left and right boundaries, and the shape had a certain unique character that made it appear squarer than the bronze inscriptions of the same period. It is similar to the bronze script, which was the orthodox script from the late Shang Dynasty to the Qin Dynasty. Its basic style was always rectangular. Influenced by the style of the Three Dynasties, later calligraphers who wrote the ancient scripts also tended to make the characters rectangular in shape, highlighting their slender vertical strokes, and emphasizing the spirit of their calligraphy with vertical strokes through the whole text. 3. Emphasis on Symmetrical Structure The scripts of the Three Dynasties, whether in form of Oracle scripts, bronze inscriptions or other media, have completely different character structures from those the clerical or regular script of the later Han Period. The centroid of a character in clerical or regular scripts was usually not on a central axis, but to one side. This centroid shift was also reflected in the imbalance between upper and lower parts, the lengths of strokes. For example, the sweep strokes in clerical and regular script are usually »left light, right heavy«: the sweep stroke falls leftwards with slight curve and falls rightwards with heavy press; for the characters with three horizontal strokes, the bottom one is generally longer, while the top two strokes are shorter. The ancient script has the opposite glyphic structure. Their left and right sweep strokes tend to be symmetrical, such as the characters for sky (tian 天), big (da 大), and wood (mu 木). The lower oblique strokes in these texts form a two- or threefooted supported glyphic structure, which makes the structure extremely stable. Their horizontal stroke is also balanced, when there are several horizontal strokes, they usually are written in the

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same length, or the one in middle is shorter while the top and bottom ones are equally long. Although some characters have a thicker bottom stroke, for some reason the two upper horizontal strokes will, correspondingly, get closer—in order to reach balance with the thick stroke at the bottom, such as the characters for king (wang 王) or jade (yu 玉) cast in the bronzewares of the late Shang to the early Western Zhou Period. Those characters of the ancient style have a special symmetrical beauty. The strokes of the ancient scripts are simple and lack thickness changes. Many strokes of the later script, such as the dot, the throw away, and the press down are quite short in ancient script, which also leads the ancient scripts to emphasize symmetry in the writing in order to achieve a sense of balance, solemnity and stability. The components of the Chinese characters are usually asymmetrical in clerical and regular scripts, yet are symmetrical in the ancient script—for example, the components of ren 人. The style of the ancient script makes the shape of characters just like the jade ceremonial blade (gui 圭): the characters have a sharp and pointed upper part together with a squared bottom, and are solemn and stable. This is probably why people in the following eras tended to engrave stelae with the seal script instead of clerical or regular scripts: seal script, which belongs to ancient script, looks more symmetrical and dignified.

Section 2  The Quaint and Unadorned Art of Painting 1. The Genres and Forms of Paintings in the Xia, Shang, and Zhou Dynasties 1. Decorating Palace Walls: Mural Paintings Generally speaking, mural paintings refer to those works painted on the walls of architecture

SECTION 2 THE QUAINT AND UNADORNED ART OF PAINTING

for decorative and other purposes. Since Chinese wooden architecture has a tradition of lacquering or painting, and many building components were decorated with paintings, mural painting should have a broader meaning when discussing the initial stage of Chinese painting, and the category of mural painting should include all paintings inside buildings and on building components. Chinese mural paintings would have appeared in prehistoric times, and archaeologists have found traces of primitive mural paintings at the Majiayao Cultural Site in Dadiwan, Qin’an, Gansu, and the Longshan Cultural Site in Taosi, Xianfen, Shanxi. The remains of mural painting with geometric patterns found in Taosi Culture were very influential in terms of painting method during the Three Dynasties, and most mural paintings of the Three Dynasties are not far from the Taosi style. The surviving mural paintings on the walls of an underground house of the late Shang Dynasty in Xiaotun, Yinxu Archealogical Site, Henan, are geometric patterns painted with red lines on white wall and embellished with black dots; the mural painting remains on the walls of the Western Zhou Period tomb in Yangjiabao, Fufeng, Shaanxi Province, are also painted in white on the flat, khaki wall with a continuous band of diamond patterns. The mural paintings for the dead in the burial chambers are a reflection of the mural paintings for the living, in the palaces. Based on the painting remains from the tombs, the subject of the mural paintings at that time was no different from those in Taosi. The two above-mentioned Shang and Zhou mural paintings, both with continuous geometric patterns, thick lines that lack variation, and monotonous red, black, or white, are still in the realm of Chinese prehistoric mural painting in terms of conception and technique. The mural paintings of the Three Dynasties underwent noticeable changes during the Eastern Zhou, especially during the Warring States Period. With the advancement of architectural technology and the rulers’ longing for comfortable and ornate pal-

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aces, the palaces, temples and other buildings of the great powers became increasingly magnificent and more luxuriously decorated, and the murals thus leaped forward. The mural paintings of this period are not just geometric patterns, figures, le­ gends and historical stories had become the main subjects of the mural paintings. Confucius visited the »Bright Hall« (mingtang 明堂) of the Zhou royal family during the transitional time between the Spring and Autumn Period and the Warring States Period. He »saw the portraits of the sage-kings Yao and Shun, as well as the image of Emperor Jie and Emperor Zhou, the infamous rulers of the Xia Dynasty and the Shang Dynasty. And each portrait had a comment on their behavior and an admonishment regarding the rise and fall of the dynasty. There was also a portrait of the Duke of Zhou assisting King Cheng, holding King Cheng with his back to the screen and facing south to receive the vassal states’ rulers« (The School Sayings of Confucius: Looking at the Duke of Zhou). This text reflects the contemporary status of the palace and shrine paintings in the Eastern Zhou Dynasty. Wang Yi, a Confucian of the Han Dynasty, explained why Qu Yuan wrote his long poem, »Heavenly Questions« in Verse Commentary to the Verses of Chu. As Qu Yuan saw the mural paintings in the shrines of Chu and was inspired to write his questions, according to Wang Yi’s interpretation, the content of the mural paintings during the Warring States Period included creation myths, the deities of the four directions, the Great Flood, the origin of the ancient clans, and historical stories—and these were written about in Heavenly Questions. But these abundant murals no longer exist after the destruction of the palace and shrines, and only the walls of the elevated buildings of the time would preserve some remains. The only excavated buildings of the Eastern Zhou are the two palace sites of the Qin State in Xianyang, Shaanxi Province, built at the end of the Warring States Period. The lower part of the corridor wall of Palace Site No.3 still has some

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fragments of murals. The murals are mainly carriage and horse outings, but there are also other subjects such as figures of ceremonial events, clouds and harvests. The layout of figures, carriages, and trees is basically equidistant, with a strong patterned decorative sense. In addition to red, white and black, the mural colors also included the use of mineral pigments, such as vermilion, purple red, realgar, azurite, malachite and other mineral pigments. This mural painting is not a painting in the main hall, and the painting technique does not necessarily reflect the level of painting of the time, but based on the subject matter, the paintings of the time had been freed from the confines of the primitive mural paintings and had begun to step into the stage of the splendor of ancient painting. 2. The Earliest Painting Scrolls: Silk Paintings Silk paintings are the most important material for the study of the painting of the Warring States, and some of the main features of traditional Chinese painting have been presented on the silk paintings. Unlike other ancient civilizations in the world, Chinese painting is made with a brush on silk textiles (after the invention of paper, silk and paper were both the main media for painting), which is probably related to the fact that China was the home of silk. The silk paintings of the Warring States Period, found in Changsha, are seen as the earliest evidence of paintings made with brushed on silk. So far, two paintings have been obtained: one is a painting excavated from the Chenjiadashan Warring States Tomb, five miles southeast of Changsha, Hunan, in 1949; the other is a painting excavated from the Zidanku Warring States Tomb, Changsha, Hunan, in 1973. The Zidanku silk painting was placed in between inner and outer coffins, with a slim bamboo strip wrapped around the upper edge and a brown silk hanging cord bound to the bamboo strip. We can therefore assume that it would have been a flag that was hung during the funeral ceremony and

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hanging upright with bent body, also with head up and tail down. One foot of the dragon reaches forward, against the phoenix (Fig. 2.8.4). The size of the Dragon Riding silk painting from Zidanku is 37.5 cm × 28 cm. In the middle of the painting there is a man with his gown trailing to the ground. Having a high crown as well as a sword, he holds a rope in his hand, and rides a dragon. The dragon has its head and tail up, the body lying flat to carry the rider, and on the tail of the dragon stands a bird with its head facing the sky. The bird looks like an owl, it has a plume crown, and is facing left. In the bottom left corner of the painting there is a carp swimming the same direction as the dragon. There is a canopy over the man riding the dragon, decorated with strips blown by the wind (Fig. 2.8.5).

2.8.4 Dragon, Pheonix, and a Female Figure, painting on silk, Chenjiadashan

was buried in the tomb at the time of burial. This kind of silk painting was not for appreciation and does not represent the level of painting art at the time, but nonetheless allows us to peek into the silk paintings of the Warring States Period from another point of view. The size of the silk painting from Chenjiadashan is 28 cm × 20 cm. It depicts a female figure, a phoenix, and a bowed dragon (kui long 夔龙). The female figure stands central bottom, facing left, pressing hands bent in front as a gesture of greeting. Her hair is tied in a bun behind her head and she wears a floor-length dress with wide sleeves and a corseted waist, the dress patterned to mimic silk fabric. Above the female figure there is a phoenix that flies with its head up and tail down, and with its two legs, one curved forward and one stretched back, strong and robust. And there is also a dragon

2.8.5 Dragon Riding, painting on silk, Zidanku

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These two silk paintings mentioned above both depict a figure standing, facing left, but the composition is slightly different. The Chenjiadashan painting focuses on a female figure painted in the lower center of the picture, slightly to the right is a giant phoenix is guiding her; the dragon is relatively peripheral. The center of the Zidanku painting is a male figure standing on a giant dragon, the dragon has a long bridle under its head, and below the dragon is a carp swimming forward. This scenario seems to indicate that the male figure riding the dragon is crossing the Sky River. 3. Pictorial Descriptions Accompanying Text: Silk Manuscript Illustrations The silk manuscripts, boshu, are also called zengshu. Zeng and bo are both general terms for silk textiles. Most of the texts of the pre-Qin era were made of bamboo, and the gap between the bamboo slips could be used as a natural boundary between lines of writing—if the texts had illustrations, it would be less practical to use bamboo. Therefore, the illustrated texts were written on silk, just like those silk paintings. There might be a number of such illustrated silk texts in the pre-Qin Period. Tribute of Yu in the Book of Documents and Classic of Mountains and Seas existed until the Qin and Han dynasties. Tribute of Yu was still a work with both text and illustrations during the Eastern Han Dynasty, so it was called the Yu Gong Map, but only the text has circulated since the Han Dynasty. Classic of Mountains and Seas is a work that records mountains and rivers, the origins of ancient clans, and myths and legends in the pre-Qin Period. This kind of text, which is full of pictures that illustrate auspicious animals and the deities, was difficult to hand down during the period of hand-copying, and the pictures have been lost or deformed after being copied over many generations. Luckily, the excavated illustrated texts from pre-Qin Period preserve the original appearance of the illustrations, through

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which we can get a general idea of the illustrations on silk texts at that time. Only one of the pre-Qin illustrations have been found. The one that was excavated from the Zidankan site in Changsha, Hunan, was mentioned in the previous section. The illustration is from the same tomb as the above-mentioned Dragon Riding painting in Zidank. As Zidanku was looted by raiders, the original location of the illustration is not clear, and it was transported outside of China. Now it is in a collection at the Arthur M. Sackler Gallery in Washington, D.C., in the United States. It was probably folded and placed in a bamboo box inside the outer coffin, and was damaged due to poor preservation. It has a rectangular layout, with two paragraphs written in the center in the opposite direction, and twelve images of the monthly deities and twelve corresponding explanatory texts arranged symmetrically around it. In addition, there is a painted tree at each of the four corners. The date of the silk text, based on the analysis of excavated objects from the same tomb, is probably the late Warring States Period. 4. Decorations for Furniture and Utensils: Lacquer Paintings Lacquer paintings are originally decorative images on lacquerware, some of which cannot be separated from the original objects as complete pictures, but the techniques and subjects of the lacquer paintings, as well as the style, all reflect some characteristics of painting at that time. As the remaining painting materials from the Warring States Period are very few, lacquer paintings became an important reference for understanding the paintings from the Warring States. The Warring States lacquer paintings obtained from archaeological excavations are mostly found in the tombs of Hubei, Hunan, Henan, Shandong and other provinces. There are two broad categories of artifacts with lacquer paintings: the first category is exclusively related to the funeral system, such as lacquer coffins; the second is the utensils

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for daily life, later buried in the tombs. Artifacts of the former category, which are less frequently found, have lacquer paintings associated with primitive religious beliefs, with a strong mystical sensibility. The latter category of artifacts is found more often, due to the different types of the artifacts and their use, size and composition of the lacquer paintings vary greatly, and the range of the subjects is also profound. In addition to fictional images with mysterious backgrounds, there are also realistic scenes of daily life. They can be considered as genre paintings and deserve more attention. Eight lacquer boxes were excavated from Tomb of Marquis Yi of Zeng in Sui County, Hubei Province, including E.66, a lacquer box with a pattern of 28 stars. The interior is painted with vermilion lacquer, and the surface of the vessel is coated with a black lacquer base and painted with red patterns. The cover has a large seal script, dou (斗) is in its center—surrounded by with the names of the twenty-eight constellations in seal script, forming a rather irregular circle. On the top, the two edges are painted with the Azure Dragon and the White Tiger, respectively, and the opposite side of the Azure Dragon has large mushroom-shaped clouds and a cross pattern as well as some decorative dots; the other side of the box against the White Tiger is also decorated with dots as well as toad images; one side of the box is painted with two beasts, polka dots, and clouds; while on the other side only the edge is painted with a red band. On the E.61 box there is a picture of Houyi shooting the sun and two reverse-coiled snakes, etc., which are rich in content, and refined. They are all masterpieces of the Warring States Period. The trousseau case from Baoshan No. 2 Tomb is painted in lacquers of dark red, orange, earthy yellow, brown and green, to represent an ancient bridegroom’s travel, and welcoming scenes, showing a carriage going fast under the guidance and escort of a footman. Among them, trees, pigs, dogs and geese are interspersed with many other

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2.8.6 Outing, lacquer painting, Baoshan Tomb

images. It is rich in content and large in scale, and can be seen as a rare masterpiece of the Warring States era (Fig. 2.8.6). 5. The Inlaid and Carved Patterns on Bronzeware During the Warring States Period, bronze craftspeople borrowed the basic technique of outlining from painting, and used inlaying or carving skills to decorate the appearance of bronze objects with patterns of architecture, horses, carriages, figures, animals and deities. This resulted in a special art form, which can be considered as inlaid or carved paintings.

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The composition principles and representation styles of both inlaying and carving have many common features. First is the frontal-side composition and horizontal layout arrangement, resulting in a silhouette effect. For example, a large-scale naval battle can be simplified into two opposing battle ships; the frontal-side composition can only show one side of the ship facing the viewer, and other ships are missing. The archaic composition, the colorful images, and the decorative patterns, all present the characteristics of paintings in that era. Second, the changes of space and the flowing of time are arranged in sequence simultaneously. For instance, scenes of picking mulberry leaves depict a mulberry tree and a person standing near the tree on top, while the person who is picking the leaves was painted on the bottom so that the mulberry tree is above his head and he seems to be holding the tree in the air with his outstretched hands. When there is a four-legged animal or a two-wheeled carriage, sometimes the carriage is »cut« from the middle, and the two halves are stretched and pieced together, or the two wheels are put under the carriage together—which often leads us to mistake the painting of a two-wheeled carriage as a four-wheeled one. People standing side-by-side in the carriage can also only be drawn one in front of the other. Third, there are inlaid or needle-carved images, the scenes of which are usually spectacular, with a large number of characters—involving feasts, hunting, shooting, war and other content—which offer us a reference to imagine the complicated large scale paintings of the Warring States Period, complementing the current deficiency of silk paintings.

2. The Achievements and Features of Paintings in the Xia, Shang, and Zhou Dynasties The paintings of the Three Dynasties underwent a long and slow development, and the techniques of painting continued to advance. The distinctive features of Chinese painting had basically been

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

formed no later than the Warring States Period, and these features are shown in the following ­aspects: First, the paintings are based on outlines. Whether they are figures, carriages, or horses painted on mural paintings; or portraits, patterns of auspicious animals such as the dragon, or phoenixes on silk, their shapes all relied on a single outline. The use of lines was quite skilled, and the lines are smooth, accurate and powerful. This basic characteristic of Chinese painting was developed by the Warring States Period at the latest. Second, colors were applied to the ink outlines, and the color applications could be realistic, thoughtful and decorative. The application of color is mainly flat-coating, as color intensity variations and chiaroscuro are usually not seen in Chinese paintings. Therefore, the paintings have a strong color contrast and a simple, minimalist style. Third, a conventional pattern for figure and animal images is formed. Except for ghosts and deities, realistic figures are usually depicted from a side view. The figures in the Zidanku silk painting, Chenjiadashan silk painting, and Wangshan Chu tomb lacquer case painting, as well as the figures cast on bronzeware, were almost all from the side. These figures were already quite skillfully shaped, not only in their resemblance to real people, but also in their vivid facial expressions. Fourth, the paintings are good at expressing and portraying abstract and fantastic objects. The painters had artistic imaginations, and portrayed images of dragons, phoenixes and clouds in impressive and fascinating ways, making them merge with realistic characters and animals to depict specific content. Lastly, in terms of composition, the spatial relationship of objects is dealt with in a horizontal way, forming the uniquely Chinese composition principle where the painter seems to be standing on high ground looking down on the object to be depicted. The horizon is also placed quite high in the picture. These unique compositions

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were developed and inherited by later Chinese ­painting.

Section 3  The Art of Architecture That Sets the Foundation Ancient Chinese architectural art plays a special role in the world history of architecture, as ancient Chinese architecture is distinctive and impressive for its unique style and its exceptional artistic achievements. The main characteristics and fundamental standards of traditional Chinese architecture took shape in the Three Dynasties, during which some of the main elements of the primitive architecture of different areas began to converge, gradually forming the typical features of Chinese traditional architecture. The architecture of the Three Dynasties was mainly built with earth and wood, with buildings mainly timberwork. The façade consisted of a thick base, a wooden body with long room width and short entrance depth, as well as a large roof with short ridges and long eaves. A complete architectural structure usually included a number of individual buildings and a courtyard. Decorations in Chinese architecture depended mostly on vivid paint, as opposed to sculpture. Due to the system of gongshang shiguan工商食官 (lit. »craftspeople and merchants nourished by officialdom«), the architectural craft was passed down from father to son, and the architectural features of fortresses, palaces, and tombs embodied strict hierarchy. Such features became the main characteristics of Chinese architectural art, and formed the tradition of Chinese architecture. One palace building from Erlitou, which possibly belongs to Xia culture, has a solid and wide base and steps of rammed earth for its main hall; it has a wooden frame of beams and columns; a majestic four-pitched, double eave roof stands on top; the axial symmetry and quadrangle layout reflect the

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principles of balance, symmetry, and the philosophy of yunzhi juezhong (lit. »be impartial and righteous in your actions and words«). Such features demonstrate the distinctive style of traditional Chinese architecture. The characteristics embodied in Erlitou palace architecture can clearly be seen in the Shang Dynasty palace remains in Panlongcheng, Huangpi, Hubei, as well as the architectural remains at the Yinxu archaeological site. In short, the foundation for Chinese architecture was laid in the Xia, Shang and Zhou dynasties. Three elements related to architecture reveal the complexity of civilization during the Three Dynasties: (1) The well-planned city layout: the urban planning of the Three Dynasties shows a strict hierarchy. Cities were usually in square shape and with clear distinction between zones with different functions. (2) Palace architecture: The palaces are characterized by a clear hierarchy, with a combination of buildings around a courtyard in a variety of individual architectural styles. (3) Garden design: Classical Chinese gardens have always been known for their »natural beauty maintained through artificial design,« and this kind of garden design derived from natural landscapes. In the center of a typical Chinese garden, there is usually an earth terrace, or tai. A pond will enrich the garden with vitality, and trees and plants integrate the garden with nature. Such features started to take shape in the Three Dynasties.

1. The Formation of the Basic Characteristics of Chinese Architecture Chinese architecture is characterized by historical building forms that are based on Chinese architectural concepts, techniques and practices. Such elements in architecture that have considerable stability have been preserved and carried on as traditions. Certain features of Chinese architecture can be found in primitive architecture before the Three Dynasties, despite the variety of architectural forms that had emerged. However, the establishment of Chinese architectural character-

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istics began only in the Three Dynasties. The Xia, Shang and Zhou dynasties were formative for the Chinese architectural tradition. What can be called the traditions of Chinese architecture refer to the basic qualities of Chinese architecture that have remained stable over time. These architectural styles and cultural connotations best represent the variety of forms and styles of architecture across various regions and periods of China, and these basic qualities were refined and deepened by the accumulation of continuous development. The Three Dynasties was an important era in which many of these architectural traditions were formed and developed. During the Three Dynasties, some of the main elements of the primitive architectures of different parts of China began to merge, the traditional Chinese architectural system was founded, and the distinctive characteristics of Chinese architecture were formed. Liang Sicheng, the well-known architect, summarized these characteristics in his History of Chinese Architecture in two ways: first, in terms of the structure, there are four main features. They include »the use of wood as the main building material,« »the usage of a structural frame,« »the interlocking wooden brackets (dougong) as a key structural elements and standard component,« and »a distinguished external profile.« The last feature also includes several sub-points, including »a wing-shaped roof,« »good support from a thick base,« »a fine wooden facade,« »a well-organized courtyard,« »the application of diverse colors,« and »the balanced layout of absolute symmetry and freedom« and »the failure of stone usage.« Second, in terms of the setting and philosophy, typical Chinese architecture has four main features: »no expectation on longevity of the building,« »construction activities ruled by moral standards,« »arrangement and layout are emphasized,« and »the techniques of architecture are taught by teachers to disciples, not by books.« All the above-mentioned features, except for the dougong as a standard component—one which

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

was probably formed in the Song Dynasty—had already been revealed in the architecture of the Three Dynasties. In the main regions where early Chinese civilization arose, earth and wood were already used as the primary building materials in the Prehistoric Period. This construction principle was fully developed in the Three Dynasties Period. Except for some places in the north, the city walls were mainly built with rammed earth, and the bases and load-bearing walls of the palaces were built with rammed earth; the pillar-formed frames were made of wood, the roofs and walls were also out of wooden frames or beams together with grass, mud, and tiles; tombs were excavated pits with wooden coffins as chambers. All these materials are from earth and wood. From this perspective, we can conclude that earth and wood are the sources of traditional Chinese architecture. The architectural remains of palaces or ancestral temples at the Erlitou site in Yanshi, Henan, the palace remains in Xiaotun at the Yinxu site in Anyang, Henan, the palace remains at the Shaochen site in Fufeng, Shaanxi, as well as the palace architectures of state capitals during the Eastern Zhou period, were all built on rammed earth bases with wooden frame—although the later ones are large in size and some might be in the shape of tiered pavilions, they still reflect the traditional usage of earth and wood. During the Qin and Han dynasties, this earth-wood structure was still the basic form of giant buildings, but with the development of construction technology the role of rammed earth gradually diminished. Due to the limited length of timber, the wooden frame construction constrained the scale of buildings. Increasing the scale of a building can only be achieved by joining the basic construction components (jianjia 间架, width and depth units) together. Due to the limitations of roof beam structure and height, as well as natural conditions that blocked lighting and ventilation, it was not suitable for a building to increase the scale in four

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directions at the same time. People could only extend the scale in two directions, thus forming a narrow rectangular layout for multiple buildings, which lead to the traditional building unit of »jian« (width unit) and »jia« (depth unit). Influenced by prehistoric longhouses from Zhongyuan and the vicinity, the expansion of the architecture of the Three Dynasties mainly increases the width units to the left and right. This resulted in a tradition of architecture with long width and short depth. In order to emphasize the magnificence of the architecture to meet the need of demonstrating authority and holding ceremonies, the palaces and ancestral temples linked several individual buildings together with corridors, in addition to increasing the number of jianjia units, to increase the scale. This formed the style of the »corridor courtyard« (langyuan) architectural complex. A corridor courtyard would minimally include individual buildings such as a gate, a courtyard, a grand hall and the surrounding corridors (or walls); sophisticated examples also included side chambers. The two palace complexes from the Erlitou site are both in the form of such a corridor-courtyard architectural combination, and are axial-symmetrical. The most important buildings, such as the gate and grand hall, are arranged from south to north (i.  e., from front to back) on a central axis. Auxiliary buildings, such as corridors and side chambers, are arranged on both sides of the central axis, resulting in a strictly symmetrical architectural layout. The center of such corridor-courtyard type construction is an open courtyard, and all the buildings around the courtyard face the courtyard except for the front gate, which opens to the outside. This became a unique feature of this construction type. In order to separate the internal space better from outside, there were usually screens at the entrance. The early palaces and ancestral temples were large, so one single corridor courtyard could not fulfill the need. Therefore, it

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was necessary to combine several corridor-courtyards together. In the beginning, the combination might have been loose and unorganized, yet no later than the Shang Dynasty it became a rule that corridor-courtyards are arranged along a central axis from the anterior to posterior. The ancestral temple remains in Fengchou, Qishan, Shaanxi are one example. Such a combination makes the building at the rear of the former courtyard the first building of the latter courtyard. This approach also expands the architectural complex in the other two directions, overcoming the deficiency of long width and short depth. This layout also makes it easy to distinguish hierarchy by the number of courtyards and the size of the architectural complex. The origin of such conventions can be seen from the building remains in the Three Dynasties Period. The façade of an individual wooden structural building is composed of three parts: thick base, body of timber, and a giant roof with eaves extending beyond the body. The height of such a façade from the Three Dynasties Period was limited due to construction materials and technology. In order to make buildings taller and more spectacular, the height of the rammed earth base was increased, and sometimes people even made several bases one on top of the other, leading to a multi-storied base system. Each story was wrapped with wooden structures, which made the building look like a spectacular multi-layered pavilion. It was a good method for increasing the volume of the architecture, and it was already relatively common during the Eastern Zhou period—the remains of tall rammed earth bases and neatly arranged pillar holes and marks on the bases in ancient capitals proves this. The development of the wooden structural was a gradual process. The wooden structure for palaces was made of columns, joinery, beams, rafters and other components. Their intersections were prone to decoupling and slipping, so it was necessary to

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ᤡ

ᣩ䀂ᤡ



  2.8.7 1. Bronzeware »Shiling« gui, Western Zhou Period 2. The engraved pattern on a bronze cup, Warring States Period, Shanghai Museum 3. Lacquer plate decoration, unearthed in Linzi, Warring States Period 4. Bronze base for a lacquer table, unearthed in the Mausoleum of King Zhongshan, Pingshan

solve the problem of joining wooden components. This is how t most characteristic component of traditional Chinese wood building, dougong斗 拱, came into being. As the wooden buildings of the Three Dynasties no longer exist, it is not certain when dougong was invented. But based on illustrations from the Eastern Zhou period, such as patterns on the base of the bronzeware gui unearthed in Baimapo, Luoyang, Henan, and the palace pattern on the bronze pot unearthed in Baihuatan, Chengdu, Sichuan, from the Warring States Period, the painted palace on lacquer plate from a Warring States tomb unearthed in Linzi, Shandong, and the squared bronze table from King Zhongshan Mausoleum unearthed in

Pingshan, Hebei, the use of dougong (Fig.  2.8.7) was already illustrated. Dougong optimized the architectural structure and became a natural and decorative component. In terms of roofs, no real roof from that period remains, yet we can imagine that the hip roof (si’e 四阿) had formed already in the Shang Dynasty based on bronzeware in the shapes of buildings. Such roofs with wing-link eaves are quite impressive and have had a long impact on the architectural history. Today, people still see such roofs with large eaves as symbolic of typical Chinese or even East Asian architecture. As wood and earth were the main construction materials, surface treatment was required to pro-

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tect against moisture and decay. Such protective measures were often combined with decorative elements on the external appearance of the building to form the splendid and colorful image of traditional Chinese architecture. As early as Longshan culture in the Zhongyuan area and northern China, ash plastering for interior floors and walls was already in use—it not only strengthened earthen structures, but also functioned as moisture-proofing and interior beautification. The earthen walls of the Three Dynasties still followed the practice of lime plastering, and a layer of decorative paint was applied onto the walls. Meanwhile, lacquer painting was an important way to protect and embellish wooden components. Based on the black, red, or polychromatic coffins from Shang and Zhou dynasties, we can assume that red and black lacquer paint were the main decoration for wooden architectural components. For architecture as an applied art, its decorations were based on practical functions. From the Three Dynasties on, the decorative design of Chinese architecture has been both functional and aesthetically pleasing.

2. The Diverse Architecture of the Xia, Shang, and Zhou Dynasties In the Prehistoric Period, the variety of architecture was small and the forms of architecture were also rather simple. In contrast, during the Three Dynasties Period, a hierarchical system of cities and villages was formed. The central city was gigantic, and in addition to high walls, there were huge palaces and ancestral temples. The functional division of the city became increasingly clear. There were various types of buildings that were often clustered together to form a large and magnificent group of buildings. In addition, burials also became more and more complex. In addition, due to the development of cities and towns, the territory grew, and it was during this period that parks for outings and hunting were created. The variety of architecture in the Three Dynasties was far greater than that of primitive archi-

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tecture, and almost every type of architecture in later times could find its origin in the architecture of the Three Dynasties. In terms of architectural history and the evolution of architectural styles, the architectural style of the Three Dynasties is more closely related to the architecture of the Qin and Han dynasties (especially the Qin and Western Han dynasties). 1. City Planning with Strict Regulations a. Hierarchical Construction of Cities The monarchy was established in the Three Dynasties Period, but aristocratic influence remained highly strong, as clans linked by blood ties still existed. The early period of the Xia, Shang and Zhou dynasties still had insufficient political, economic and military power for ruling the numerous surrounding tribes in their vast territory. The central court often used a combination of direct and indirect strategies to rule the conquered areas, and the patriarchal system, hierarchy, and feudal fiefdoms had been effective at restricting construction as well as city planning. In particular, the central court of the Zhou Dynasty acted as the suzerain state. The royalty and their relatives were designated to all regions, taking charges of all aspects of the affairs in different states on behalf of the Zhou royal family. For the establishment of these feudal states, in addition to a series of ceremonies for royal bestowal of people and land, a city acting as an authoritative center of the feudal state needed establishing. Thus the Chinese character guo 国, for state, in the pre-Qin Period often referred to the central city of politics, economy, patriarchy and blood ties. The purpose of a central city was to set up a state. To some extent, the Chinese character guo has become synonymous with the national capital, as the meaning was synonymous with the city where the Zhou royal family lived. The character guo in »jiangren yingguo« 匠人营国 (lit. »craftspeople built the guo«) recorded in »Winter Officer: Artifi-

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cers’ Record« in the Rites of Zhou actually refers to the capital city of the Zhou Dynasty, as relations between the central city and the state were closer before the establishment of the first dynasty. King Wu of Zhou led the army of the Zhou and their allies to conquer Ying, the capital of Shang, resulting in the collapse of the Shang Dynasty. That clearly indicated the important political position of the capital in the early dynasties. The national capital served as the center of the early dynasties or their affiliated or feudal states. It not only gathered a large number of aristocrats, civilians and troops, but also was the place where ancestral temples, shrines of the land and the grain deities as well as national treasures (often bronzeware) that symbolized the power of the state were located. In the Zhou Dynasty, the cities with ancestral temples were not only limited to the royal family’s domain and the various sub-states, but higher officials and nobles were also allowed to build their own ancestral temples. Therefore, the establishment of the capital city acting as the political and patriarchal center of the state in the Three Dynasties (especially in the Zhou Dynasty) was determined based on the will of the highest rulers of the central court and the aristocratic hierarchy. b. Square City Planning In the ancient cosmology of China, the heavens are round, like a dome that covers the square earth. At the center of the earth stood jianmu 建木, a big tree that supported the dome and functioned as the site for human-deity communications. And the earth was surrounded by seawater. This concept had a deep influence on the planning and construction of buildings. The ancients built round umbrellas as carriage covers, and square wooden boxes as carriage bodies. And later on, carriages (cheyu车 舆) even became a synonym for the earth. Such concepts were shown in city planning, as well. There were two types of prehistoric cities in China: the first is square or rectangular; the second is cir-

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

cular or oval. During the Three Dynasties Period, the circular cities basically disappeared, and only the square ones were further developed. The scale of a city was also described by »how many square li it is.« The square city was considered the ideal city shape and structure by the ancients. According to the latest discoveries provided by archaeologists, the ancient Shang city in Yanshi, Henan Province, was the first city to have square center, namely the imperial palace. There were rectangular city walls built around the palace, and then the outer city walls built in the north. Due to the restrictions of a pond and a river in the south, it was impossible to make the city a perfect square, or to build the palace exactly in the middle. However, in terms of city planning, the craftspeople of the Three Dynasties still tried their best to build the city into a quadrangular shape, with the line in the middle of each side as the longitudinal and transverse central axis. The gates of the city were designed around the central axis and its two sides, and the main buildings were arranged on the north-south central axis and its two sides. The planning of the capital in »Winter Officer: Artificers’ Record« in Rites of Zhou is the embodiment of such idea. In terms of specific city planning and construction, the limitations of natural environment often had a crucial impact on shape and structure. If the people in the Three Dynasties Period encountered contradictions between shape and practical functions in the process of constructing cities, they often focused more on the latter, especially the defensive function. c. Clearly Defined Functional Zones The cities of the Three Dynasties were built for the purpose of ruling, and the size and layout were often determined at the beginning of the construction. Therefore, the layout of the cities in the Three Dynasties was standardized, with relatively fixed locations for palaces and ancestral temples of the rulers, high-end residences of nobles of all levels,

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ordinary living quarters for commoners, markets where goods were exchanged, handicraft workshops that met the needs of the ruling class, and even various burial areas. The different functional areas were separated from each other by walls and roads, which at the same time served to link them. 2. Spectacular Palace Architecture a. The Hierarchy of Palace Buildings In the Xia, Shang and Zhou dynasties, the most important buildings were mainly the palaces, mansions and ancestral temples of the royal family and nobles. All of these building were called gongshi (palaces) in the pre-Qin Period. The gongshi of nobles of varied ranks differed greatly in material, size, structure, appearance and decoration. Respectively speaking, »gong« (palace) is the general name for all buildings on the ground, while »shi« (room) refers to the affiliated buildings inferior to »tang« (hall) that were located in the rear of a palace architectural complex, or the rooms in the back part of a building. In the »Xianjin« chapter of The Analects, it says »You have been to the tang, but have not yet entered the shi.« This indicates the relationship between the hall and the room: room belongs more to the inner space. The hierarchical differences in palace architecture was reflected not only in the rank of the nobility, but also in the different buildings within the architectural complex. The palace complex in Fengchu, Qishan, in Shaanxi Province, was the site of an ancestral temple built in the late Shang Dynasty. There was a screen outside the main gate of the palace complex. The presence or absence of a screen was a sign to distinguish the royal family from the marquis in the architectural regulations of the Zhou people, and only the palace of a king could have a screen outside the gate. Therefore, this palace complex would have been owned by the Zhou royal family. The main building (hall or large room) behind the courtyard was

SECTION 3 THE ART OF ARCHITECTURE THAT SETS THE FOUNDATION

clearly distinguished from the secondary buildings (gatehouse, wing, and chambers) in front of, behind, and on either side of the courtyard: the main building, like the palace in Panlongcheng, was built on a rammed earth base with an openfront eave and columns to support the weight of the hip roof, while the secondary buildings, although also built on a rammed-earth base, were multi-room rows of houses, and the weight of the roof was supported mainly by wooden bones and clay walls, similar to the houses of the lower middle-class nobles and commoners in the Taixi site, Gaocheng. The main building and secondary buildings of the palace have a distinct architectural hierarchy. b. Architectural Composition with the Courtyard in Center Chinese architecture particularly values courtyards. The courtyard had already appeared in the Three Dynasties, and the two palace complexes found in the Erlitou site both have wide courtyards as their centers. Later on, in the early Shang Dynasty, the Shang palace complex in Yanshi Tazhuang also had a courtyard in front of the main building, surrounded by corridor-style buildings. But the role of courtyards was more prominent in the architectural complexes of the Zhou Dynasty. Courtyard architecture has had a great influence on Chinese architecture, as the composition of the architectural complex is centered on the courtyard. The size of the complex and the hierarchy of the building are also based on the size of the courtyard, thus forming a variety of Chinese architectural cluster types such as sanheyuan, siheyuan, single courtyard and multi-courtyards; it also resulted in terms such as »shenzhai dayuan« (deep house with large courtyard) and »haomen shenyuan« (influential family with a deep courtyard). c. Various Individual Buildings The individual buildings of palace architectural complexes in the Three Dynasties Period have different in-

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ternal structures and names depending on their location and function. These names have varied slightly over time. Contemporary archaeological discoveries accurately indicate some of the palace building types from the Three Dynasties, including halls (tangshi 堂室), gates (menshu 门塾), corridors (langwu 廊庑), terraces (loutai 楼台), pavilions (tingxie 亭榭), etc. The first three were the basic building units that are commonly found in architectural groupings, while the last two are found only in some special groups of buildings. The roofs of these buildings are not as clearly differentiated and diverse as those of later buildings, and although there are distinctions between single eave and double eaves, single slope and two slopes, hip roof, tented roof, and flat roof, it is still unclear whether these had a hierarchy. According to records from the late Zhou Dynasty, the palaces of the ancient kings were all called »si’e chongwu« 四阿重屋 (palaces with a double-eave hip roof). Based on the palace-shaped coffin covers of the Zhou Dynasty, we can assume that the palace buildings for high-level aristocrats had si’e roofs. Based on wall remains from Shang Dynasty Taixi site, in Gaocheng, Hebei, the village buildings probably had gabled roofs. And houses for ordinary people might have had single-eave roofs. Tented roofs were usually used only on top of the less-important and special houses in architectural complexes. As for flat roofs, they were probably only used for secondary buildings in some northern areas. Halls (tang, shi): Both are the primary buildings of the palace complex. The only distinction between the two in late Zhou documents is the size and the relative position. Gates (men, shu): Both are buildings at the entrance to the palace complex, but there is a significant difference in form between a normal gate (men) and other gates (shu), which were smaller in size than the halls of the same palace complex, and were for secondary buildings in the complex.

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

Corridors (lang, wu): They are the connecting component that links the above-mentioned individual buildings into a group and a whole, and can sometimes be replaced by an enclosing wall in a palace complex. A lang is a roofed passageway, which may be a single building or an outdoor porch in front of or around a hall. A wu also refers to a corridor without enclosing walls, but is narrower than a lang, usually in front of the main entrance. These corridors were passageways between main buildings, and when people entered a palace complex via corridors they could go through these corridors to other buildings for protection from wind and rain.  Terrace (lou, tai): Lou refers to the building on top of a fortress gate or a turning corner of a city wall. Tai refers to a high terrace independent of the city wall or a palace with a high terrace. These terrace remains can be found in the capitals of various states during the Eastern Zhou Dynasty. First appearing in the Jin and Chu states during the Spring and Autumn Period, they later became popular in other countries. However, so far, except for the base of the No. 1 Palace in Xianyang, Shaanxi Province, archaeologists have not excavated other palaces with high terraces, and the construction status of the upper part of the terrace is still unclear. We can only get a glimpse of the terrace from a bronze ornament in the shape of a tower, which was unearthed in Yanxiadu, Yixian, Hebei Province. This ornament mimics the image of a city wall or terrace at that period: the base is square, divided into three tiers with railings, the four sides of the lowest tier are decorated with symmetrical geometric patterns, the middle and upper tiers were cast with figure and animal reliefs, the top of it has pointed timber joints and a raised platform pingzuo  平座 (flat base). There is an octagonal arch at all the four sides of the pingzuo. A small single-chambered room lays on top of the pingzuo, and it has a single-eave roof. On top of the roof, there is a bird-shaped pattern and there is a

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dragon ridge decoration on all of the four ridges. (Fig. 2.8.8). Pavilion (ting, xie): Ting and xie respectively refer to the open-air pavilions on land or near water. This type of architecture is common in Western Zhou bronze inscriptions and the documents from and after the Eastern Zhou, but the image only exists in a large Yue State tomb of the late Spring and Autumn Period in Shaoxing, Zhejiang. It is a bronze model of a house. The model is rectangular, the base is not high, the front is open, only two pillars remain, the two side walls are lattice windows, and the back wall has a small window. The roof is a tented roof, at the top of which stands an octagonal pillar with a bird lying at the top of the pillar. Inside the house there are six round carved nude dancers. This model is an extremely rare pavilion model, providing very valuable information for architectural research on the Eastern Zhou Dynasty, and especially the architecture in the south. 3. The Emerging Art of the Garden Traditional Chinese gardens are known for bringing nature out of artifice. This kind of gardening had already been seen in the Three Dynasties Period. In the Prehistoric Period, tribes were usually quite small and people lived mainly in their natural environment. By establishing the first monarchy, large-sized central capitals came into shape, and differences between city and countryside appeared. Hunting activities functioning as military training began by the rulers. Hunting on a large scale usually took place in spacious places, and these activities were held regularly in some certain areas—so some planned and artificial construction would be necessary. This was the origin of early garden art. Compared to palaces, gardens originally housed animals, planted trees and flowers, dug or natural ponds, and even built walls. The Three Dynasties’ gardens were more like parks with pleasant natu-

2.8.8 Bronze ornament in shape of a tower

ral views and good environment, and were mainly used for hunting and outings. Due to this, the gardens were quite large, surrounded by fences and rivers, filled with dense woods, open grasslands, and a number of wild or domestic animals. There were usually high terraces inside. All these formed the typical gardening style of the Three Dynasties. a. Garden Layout with a Terrace in the Center The term tai usually refers to a square-shaped earth terrace. However, according to »Annals of Emperor Wu« in Book of Han, in the Western Han

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Dynasty, the tai in the Weiyang Palace of the capital Chang’an (Xi’an), was a 20-foot-high platform built of cypress wood. Therefore, there might also have been wooden terraces during the Three Dynasties Period. Based on historical documents from Eastern Zhou period, the tai already existed in the legendary Xia period. We can only assume that the garden layout with a terrace in the center may have appeared quite early on, and only become a key feature of Chinese gardens later. In the late Shang Period, high terraces had become the main landscape feature of gardens as well as the main entertainment space. The two most famous gardens of the late Shang Dynasty, Lutai and Shaqiu, both were located in the suburban area of the Shang capital, Yin. Lutai was in the south of Yin (today’s Tangyin, Henan) and Shaqiu was in the north of Yin (today’s Xingtai, Hebei). Lutai literally means »deer terrace,« and the Lutai Garden probably had other adjunct buildings other than the terrace itself. Based on historical records, Shaqiu also had many birds and animals. They were used as hunting areas for the imperial family of Shang. The most famous garden in the Western Zhou Dynasty is Lingyou, it was named after Terrace Ling (Lingtai 灵台), the primary site of the garden. It was first built by King Wen of the Zhou Dynasty. Lingtai is located on the south side of the Feng River in the Zhou capital, Haogjing, in the area of Keshengzhuan, Xi’an, Shaanxi. There is a wide pond in the low-lying area where you can boat and go fishing, a dense forest in the high area where you can enjoy outings and hunting, and the Qinling Mountains are to the south—so it is a good location to set up such a garden. The location of Terrace Ling is in the east of the Fenghe River, west of Kunming Pond, and south of Hao Pond, so it is obviously in the center of the Lingyou garden. During the Eastern Zhou Dynasty, a large number of high terraces were built, and the number and size of them also greatly increased. The famous

CHAPTER VIII CALLIGRAPHY, PAINTING, AND ARCHITECTURE OF THE XIA, SHANG, AND ZHOU DYNASTIES

high terraces recorded in historical documents, such as Xintai, of Duke Xuan of Wei, the Zhanghuatai of King Ling of Chu, and the Gusutai of King Fuchai of Wu, were all terraces for entertainment. b. Ponds Bring Vitality to Gardens Just like sunlight and air, water is an indispensable element for the growth of all creatures. Water also can create different sightseeing effects. Therefore, water became the main feature of garden landscaping.  The use of water in the Three Dynasties focused on the natural waters. The site was usually chosen in countryside outside the capital with natural lakes and rivers. It is said that two legendary gardens from the Three Dynasties were both near water. The Fenghe River flowed through the Lingyou Garden of King Wen of Zhou, and there were many natural ponds. In addition, during the Western Zhou Dynasty, there were Haochi Pond and Kunming Pond. These ponds in hunting and outing areas may have been artificially renovated, but most ponds at the time were still natural.  Artificial ponds appeared very early on, at the latest in the Western Zhou Dynasty. Artificial ponds were mostly round in shape or semi-circular, known as biyong and panchi, respectively. Biyong are shaped like jade bi—with a round pond, and a round island in the pond, houses called »bright halls« (mingtang) were built on them. Panchi are like a semi-circular jade huang, and requires a lower level of construction than a biyong. Such gardens were located in the suburbs, and the island was itself an island surrounded by water on four or three sides—providing a quiet and relatively isolated environment. They were used as places for the children of nobles to study.  As edges of natural lakes are naturally curved, and such areas are vast and wide, they were suitable for fishing and hunting, or just watching the »moving scene« of the landscape. Artificial ponds have neat edges, and are usually small and

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suitable for stopping by and enjoying the »static scene« on the island. Small circular artificial ponds and the terraces or pavilions were usually arranged tightly together, hidden in vast natural lakes and woods. They did not overwhelm the natural wilderness, yet formed artificial attractions. Such planning is truly remarkable. 

nese architecture in later generations. Whether it was an isolated building or a group of assembled buildings, it had to be built under the influence and constraints of this feature. The method of using wood to increase the height of a building was difficult yet offered architects considerable space to create.

c. Garden Plants Blended Perfectly with Nature During the pre-Qin Period, there were still few cultivated flowers, and the plants growing in gardens were mainly wild, with a small amount transplanted and cultivated. These natural and lush plants formed the basic feature of gardens in the Three Dynasties Period, and wildlowers and trees had a particularly important role in the formation of this feature.

3. Artistic Styles of Architecture in the Xia, Shang, and Zhou Dynasties

2. Roofs of Hierarchy and Heritage The giant roof is the most impressive feature of a Chinese building. It looks like guanmian 冠冕 (male caps and crowns for officials and emperors) in shape, and it has a rigid hierarchy—just like guanmian. During the Three Dynasties, some conventional roof forms had already been established. The wing-shaped roof style had become the fundamental shape and can be seen as the standard roof for architecture of the highest level in the Shang and Zhou dynasties. Such conventions were passed on over the following 3,000 years.

1. Wood and Earth as the Preferred Materials One of the most striking features of Three Dynasties’ architectures is the usage of wood. The role of rammed earth was of great importance in the buildings of the Three Dynasties, while the technique of manufacturing wooden components, such as pillars and beams, was not yet well developed. However, two main characteristics of wood usage in architecture had already formed: first, wood was used as the main building material; and second, buildings were expanded and their shape was formed via the wooden frame. This was crucial to the formation of typical Chi-

3. Architectural Decorations with Vivid Color and High Quality In order to enhance aesthetics, decoration was emphasized. Proper decorations could serve to highlight the function and status of a building, strengthen the structure, or conceal flaws in material and construction. Architectural decorations in the Three Dynasties mainly included painting, bronze setting, and tile decoration, in addition to jade inlays, reliefs, clay sculptures, curtains, etc. Some of the decorative traditions were inherited by later generations and have become characteristic of traditional Chinese architectural art.

CHAPTER IX THE THEORIES OF THE PHILOSOPHERS AND SCHOOLS OF THOUGHT ON THE ARTS Section 1  Confucian Theories of Art 1. Confucius’ Summary and Adaptation of Theories on Art After the Western Zhou Confucius (551–479 BCE, given name Qiu and courtesy name Zhongni) was a great philosopher and educator during the Spring and Autumn Period. He developed his school out of the inheritance of the Zhou Culture. He was also one of the originators of Chinese classical aesthetics and art theory. From prehistory to the early dynasties, China’s ancient culture changed and developed rapidly. At the beginning of Zhou Dynasty, a highly-developed system of rites and music (liyue 礼 乐) was established. Confucius’ theory of rites was based on the Zhou system, as he treasured the relics, rules, and rituals of the Three Dynasties—especially the Zhou Dynasty. He saw himself as the inheritor of Zhou Culture, and all of the efforts he made throughout his life were to prove this. In terms of the arts, he summarized Zhou thought and developed his own creative theory based on previous ideas. Prior to Confucius, there was already much thought about art from the Zhou Dynasty, especially from the Spring and Autumn Period. In short, the function of art in society was the core concern of China’s ancient theory of art. The tone of this core concern was set well before Confucius. When people talked about the arts, they mainly focused on the relationship between music and poetry, and morality, ritual and politics—for example, »dedication to ritual« (weili 为礼), »promoting morality« (yaode 耀德), and »expressing intent« (yanzhi 言志). Among the fragmented

documents that remain from the time before Confucius, another topic was also often discussed— the relationships of arts and »harmony« (he 和), which might be comparable to the Greek art theories of harmony. In addition, in historical documents such as The Zuo Tradition (Zuozhuan 左传), some art criticism of poetry and music by aristocrats and officials were recorded. For example, in »The 29th Year of Duke Xiang,« Jizha 季札, a noble of the state of Wu, went to the state of Lu to enjoy music. He praised the Zhou-style music played for him, and his comments can be seen as one of the earliest essays in art criticism. The Spring and Autumn Period was the beginning of art theory and criticism, which offered rich resources for Confucius and his school’s art theory. Confucius was a man of high artistic cultivation. He was not only a master musician, but also a great music connoisseur. He once was impressed by experiencing beautiful piece of music: »When Confucius listened to shao in the state of Qi, he forgot the taste of meat for three months and said, ›I didn’t imagine music could be so beautiful!‹« As a great thinker and a man with outstanding taste, he discussed many art forms—but mostly poetry, music, and dance. His ideas were profound and deep, and often focused on the relationship between li (rites) and yue (music). This was a further development of the liyue of the Zhou Dynasty, but also an important component of his philosophy.

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2. Main Elements of Confucius’ Theory of Art 1. Rites and Benevolence Confucius created his own system of li based on the liyue system of the Zhou Dynasty. One key feature of his theory was the usage of ren (仁, benevolence). There are two aspects to ren: First, he promoted the policy of benevolence in ruling; second, in terms of an individual’s morality, he promoted the theory of mutual affection based on familial relationships. He claimed that only with ren can the liyue system succeed. Confucius often discussed li and yue together, and he regarded liyue as a sign of the quality of governance, as liyue should be closely related to national political issues. He evaluated yue and related music and dance strictly upon the rites. As he tried to maintain the orthodoxy of the Zhou liyue system, his art theory tended to be conservative. Ideal arts for him meant the music of official ceremonies and events, and he disliked the folk music. In »The Amplification of an Important Rule of Conduct,« in The Classic of Filial Piety, it says Confucius once commented: »In terms of changing habits and improving customs, nothing works better than music; in terms of satisfying rulers and educating people, nothing works better than rites« (移风易俗，莫善于乐；安上治民，莫善 于礼), reflecting Confucius’ attitude towards the relationship between governance and liyue. 2. Utilitarianism in the Arts Utilitarianism is an important aspect of the Confucian theory of art. This kind of utilitarianism is closely related to his liyue theory. According to Confucius, music should conform to rites, and liyue should serve governance and promote morality. In addition, he also mentioned other functions of music.Confucius summarized the function of poetry in four characters: xing guan qun yuan兴观群怨. He said that poetry can »express emotions, show society, unify people, and

Section 1 Confucian Theories of Art

criticize. It can be as near as taking care of your own parents, and as far as serving the ruler. It can even help you learn the names of animals and plants.« This was a systematic theory, and the four aspects of xing, guan, qun, and yuan were not isolated—but were all related to the rites and the hierarchy of father and son, and lord and servant. As Confucian theory is actually an ethical philosophy that instructs people in daily behavior, Confucius often discussed the functions of art from the perspective of education. As far as he was concerned, arts such as poetry and music were skills are necessary to one’s education. He once said: »People find encouragement in the Classic of Poetry, enter adulthood through rites, and realize themselves via music.« Poetry can make an audience sympathetic, and therefore motivate them to improve themselves; yet people cannot find their correct positions in society without rites. However, only with rites can one still not become a complete adult, so they must learn music and internalize and fully understand poetry and rites by listening to corresponding music. Here, music, or yue, touches people and brings them feelings. Such feelings help to internalize the rational aspects of poems and rites naturally. In addition, Confucius also spoke of the you 游 function of arts. You literally means »play,« but can be understood as »enjoy« in this context: »aim at the dao, act virtuously, rely on benevolence, and enjoy art« (志于道，据于德，依于 仁，游于艺). Here you means enjoy, emphasizing that people should see the arts as something joyful and sublime. 3. Beauty and Virtue, Behavior and Morality, Style and Content In connection with his liyue theory and his utilitarian opinions on art, Confucius also discussed the relationship between style and content, and beauty and virtue—and offered his insight into this fundamental issue in art theory. Style and

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content, the beauty and virtue of ideal art, should be balanced and well-integrated. This can be seen in his comments on Shao韶 and Wu武, two pieces of classic music: Confucius highly praised Shao because it had perfect beauty and virtue, and he commented on Wu that had perfect beauty, yet not perfect virtue [translator note: It is said that Wu involved violence and content related to war]. However, when the content conflicts with the style, Confucius thought the content should outweigh style. For instance, when he said »If I summarize the 300 poems in the Classic of Poetry, it would be ›no depraved thoughts‹«—which is a comment purely about content. Sometimes he even held the idea that form and style were there to express meaning. But in general, he meant to integrate style with content, and integrate beauty with virtue. 4. The Doctrine of the Mean as Reflected in the Art The »Doctrine of the Mean« (zhongyong, 中庸) is one of the main components of the Confucian theory. Confucius said: »The Doctrine of the Mean is perfect morality.« When applying this to the field of the arts, it means to mediate all kinds of contradictory elements in the arts, and make all elements well-integrated to achieve harmony. Not only would yue be integrated with li into one, but liyue should also be in harmony with governance, and the individual should fit in the society harmoniously. Not only should artworks’ forms be consistent with content, but beauty should be aligned to virtue, and emotions expressed by words should also be moderate and not exaggerated. The chapter, »Different Teachings of the Different Kings,« in Book of Rites quotes Confucius: »Poems make one gentle and kind« and »Rites make one respectful and decent.« This represents the Doctrine of the Mean. Long before Confucius, however, people had realized the importance of harmony, and the Confucian Doctrine of the Mean can be considered as an advancement of such

CHAPTER IX THE THEORIES OF THE PHILOSOPHERS AND SCHOOLS OF THOUGHT ON THE ARTS

thought. It later became one of the fundamental theories on classic Chinese arts.

3. Status and Influence of Confucian Theories of Art Confucian aesthetics had a significant impact on ancient Chinese aesthetics and the history of art. This influence was mainly manifested in the following ways: First, Confucius’ and Confucian ideas on art were the glorious starting point for all kinds of artistic thought throughout the Spring and Autumn and Warring States periods; second, as the Confucian school became the dominant ideology of ancient China, its aesthetics thus became a dominant art theory; third, during the development of China’s ancient arts, Confucian theories together with Daoist theories formed the basis for the ancient Chinese theories of art, playing a significant role in the basic rules of the Chinese arts; fourth, the influence of Confucius and the Confucian school also went to some other East Asian countries, becoming the prototype of the East Asian theory of art. In conclusion, the Confucian theory of art is of great importance.

Section 2  Laozi and Mozi on the Arts Around the end of the Spring and Autumn Period and the beginning of the Warring States Period, when Confucius founded Confucianism and the Confucian theory of art emerged, Laozi also founded the Daoist school. Laozi was a contemporary of Confucius, or perhaps was slightly earlier. In his philosophy of the poetic concept of the dao, he often invokes aesthetics and artistic creation, laying the foundation stone for Zhuangzi’s comprehensive development and systematization of Daoist artistic thought. Somewhat later than Confucius, Mozi founded Mohism, which can be considered as the counterpart to Confucianism— as most of the theories of the Mohists targeted

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Confucian theories. Moreover, for a long period of time during the Warring States Period, Mohism and Confucianism were regarded as dominant schools.

1. Laozi on Art Laozi, surname Li, given name Er, and literary name Dan, is usually considered to have lived during the Spring and Autumn Period. As the founder of Daoism, Laozi had a significant role in the intellectual and cultural history of China. The Laozi, a work of about five thousand characters (also called the Dao De Jing), does not say much that closely relates to aesthetics and the arts. However, his aesthetics were merged into his profound and speculative system. Many of his well-known topics, although not mentioning aesthetics directly, had a great impact on subsequent aesthetics and theories of art. The few direct remarks he made concerning aesthetics and art are brief and concise—but just like aphorisms, they are packed with meaning. 1. The Theory of the Dao Laozi’s doctrine is a speculative philosophy with the dao as its core concept, and his theory reached the highest level among the many philosophers of the pre-Qin Period. His concept of »dao« mainly refers to the universal law involving nature, society, and individual morality. But in fact it has many different meanings. Sometimes, dao refers to the general rules of everything in the world, and sometimes it refers to natural, instinctive, and inevitable principles. The basic characteristic of Laozi’s dao is »nothingness« (wu 无). Its fundamental feature is a chaotic unity that Laozi described as »vague and diffuse« (weihuang weihu唯 恍唯惚). In terms of function, this kind of vagueness or »nothingness« refers to »non-action« (wuwei无为), »uselessness« (wuyong无用) and so on. Non-action is the core concept that includes other meanings of »nothingness,« according to the theory that the essence of the dao is nothing-

Section 2 Laozi and Mozi on the Arts

ness. Therefore, Laozi’s doctrine of the dao can also be understood as a doctrine of »non-action.« Laozi’s various remarks on aesthetics and the arts are all connected with this theory of the dao and non-action. 2. Revealing Dao and Wu in Art Laozi’s thoughts on dao and wu are reflected in his aesthetic theory—that is, the concepts of »dayin xisheng« (大音希声, lit. great music has no sound) and »daxiang wuxing« (大象无形, lit. a great image has no shape) that are discussed in chapter 41 of the Laozi. What is dayin xisheng? In fact, it means that great music has no music or sound (Zhuangzi’s »Supreme joys have no joy« echoes Laozi’s dayin xisheng). In terms of the way of expression, it is completely consistent with daxiang wuxing. There is no doubt that the great music and image mentioned by Laozi are inherently related to the dao (i.  e., the fundamental root or rules of the world). However, it does not refer to the dao itself, but instead refers to the way people hear sounds (including music) and the way people see images (including various kinds of arts), namely, the expression of dao in sounds and images. Since the essential feature of the dao is wu, then the dao of sound (dayin) and the dao of an image (daxiang) clearly reveal the nature of wu, that is, xisheng and wuxing. Actually, the silent great music mentioned by Laozi here refers to the principle and rule of why sound and music have become sound and music; the »great image without image« refers to the ultimate rule and principle for why all shapes and images have become shapes and images. In short, it refers to the fundamental principles of sound, music, shape, and image that cannot directly refer to hearing and vision. This is the theoretical encapsulation of Laozi’s metaphysical thought on sound and image, which also inspired the aesthetics of Zhuangzi, and also had a considerable influence on subsequent art theories and practices.

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3. »The Five Colors Blind One’s Eyes; the Five Tones Deafen One’s Ears« The nature of the dao is wu, and wuwei is the supreme principle advocated by Laozi. If this principle is implemented to the end, it will inevitably adopt a negative and exclusive attitude towards all human activities and their conscious efforts— which also applies to art. In chapter  12 of the Laozi, it says, »The five colors blind one’s eyes; the five tones deafen one’s ears.« Music composed of many tones, and decorations, engravings, and paintings composed of many colors, are undoubtedly the products of humans’ efforts, and thus contain artificial elements. However, according to Laozi, they are all harmful and all hinder people’s nature as they violate the principle of non-action. Therefore, they all should be eliminated. 4. »The Greatest Skill Seems Clumsy« Laozi’s concept of non-action, wuwei, is a summary of the nature of the world. In fact, the question of whether there should be action or non-action is meaningful only for human beings. Because of human nature, humans have consciousness, will, and the ability to engage in purposeful activities, so actions definitely exist. Therefore, when Laozi applied the principle of non-action to human society, there would inevitably be a contradiction between the nature’s »non-action« and humans’ actions. To resolve this fundamental contradiction in his ideological system, Laozi divided human activities associated with action into the following two situations: One is what he advocated—seeing the dao or nature as our teacher, and following the natural rules of the world, »abiding in a condition of non-action« or »acting non-action« as is mentioned in the Laozi, chapter 3. This kind of action can also be regarded as »non-action.« The second are practices that go against the natural principles of the world, which is what Laozi opposed. Laozi advocated the doctrine of dao and non-action—he was encouraging people to take the dao and nature

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as their teacher and to let nature take its course. Therefore, humans should abandon all their superficial cleverness, kindness, skills, and other conscious actions that actually violate the laws of nature (i.  e., subjective and arrogant behaviors), and enter the state of non-action that is integrated with the world. This idea is also embodied by the field of art, which leads to the famous idea that Laozi put forward: »The greatest skill seems clumsy« (daqiao ruozhuo大巧若拙). Whether there are great skills or not can only be the evaluation of human activities and their consequences, especially when it comes to the arts. Being skillful or clumsy isn’t the concern of the nature. However, if human activities, including art, mean to be extremely skillful, humans must truly understand the fundamental rules of things themselves, and practice and create in accordance with the inherent requirements of things. In this way, although one may have made various efforts, things still are natural. In other words, although one has carried out complicated mental work, there will be no artificial traces. That is the what is »The greatest skill seems clumsy.« This idea is a concrete expression of Laozi’s thoughts on »acting non-action.« It had a significant impact on the formation of the Chinese art tradition of embracing nature and opposing excessive craftsmanship 5. »How Does Beauty Differ from Evil?« According to the important features of Laozi’s theory, it is necessary to focus on revealing the internal contradictions and dialectical relationships of things. In terms of the relationship between beauty and ugliness, and good and evil, Laozi also had a similar idea. He asked, »How does beauty differ from evil?« and argued: »When the whole world recognizes beauty as beauty, there arises the recognition of ugliness; when the whole world recognizes good, there arises the recognition of evil.« He had the insight that there is no clear borderline between beauty and ugliness, good and

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evil, and realized that contradictory parties could transform into each other. This view is consistent with his argument on being skillful and being clumsy. Such thoughts had a profound impact on Chinese aesthetics and theories of the arts. Laozi’s revelations about beauty and ugliness, good and evil, and other contradictions, often fall into a kind of relativism that obliterates the boundaries of beauty and ugliness and good and evil. This view is consistent with the dialectics of the unity of opposites, such as the great skill and clumsiness as revealed by him. 6. The Historical Significance of Laozi’s Ideas on Art Needless to say, as the founder and the most essential figure of the Daoist school, Laozi had significant impact on Chinese intellectual history. In terms of this profound impact, only Confucius is comparable. The importance of Laozi’s thoughts on art are mainly reflected in his creation of the Daoist ideological system, which is different from both Confucianism and Mohism. Laozi also laid a philosophical foundation for the art theories and ideas of the Daoist school, and raised several key artistic concepts, such as »great music has no sound,« the »great image has no shape,« to »let nature take its course,« and »the greatest skill seems clumsy.« In particular, the direct influence of Laozi’s thought on Zhuangzi cannot be disregarded.

2. Mozi’s »Condemnation of Music« Mozi, whose original name is Di, was a Chinese philosopher of early Warring States Period. He claimed he »doesn’t have high-level tasks as the rulers, and also doesn’t need to suffer the difficulty of farming (shang wu junshang zhi shi, xia wu gengnong zhi nan上无君上之事，下无耕农之 难)«, he belonged to the craftspeople, and represented the ordinary citizens. His thoughts were mainly recorded and revealed in the book Mozi.

Section 2 Laozi and Mozi on the Arts

1. Mozi’s Criticism of Confucian Thought Mozi and his school, Mohism, emerged as a reaction to Confucianism, giving a comprehensive criticism of Confucianism. In such criticism, Mozi and the Mohist school focused on the ritual and music theory of Confucianism. Mozi and Mohist criticism of Confucius and the Confucian school was quite sharp, and often managed to hit key points of Confucianism. And based on their criticism of Confucianism, they established their own school of philosophy to compete with it. The basics of their ideological system include promoting the worthy and standards; moderation in use and burials; condemning music and fatalism; understanding ghosts and heaven’s intent, as well as universal love and condemning aggression. In art, it is expressed in the theory of the »condemnation of music« (fei yue 非乐), which is consistently interrelated with their condemnation of Confucian ritual. 2. The Condemnation of Music During the period of Spring and Autumn and Warring States periods, there was frequent war and turmoil. The ruling classes, on the one hand, fought endlessly for hegemony; on the other hand, they were extravagant and greedy for pleasure, putting ordinary people into unbearable situations. Ironically, Confucianism advocated the doctrine of benevolence and love, which tended to be people-oriented, however, it also promoted the idea of ritual and music, which helped to maintain the old hierarchy. Ritual and music justified the extravagant lifestyles of the rulers, so was not a cure for social issues. The establishment of Mozi’s theories and the Mohist school was out of the dissatisfaction with Confucianism, and the utilitarian concern for the most basic material needs of the common people. The »Condemnation of music« was one of the Mohist remedies for social problems. In Mozi’s view, all the flourishing music and dance activities could neither provide people with food and clothing nor reduce the

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chaos of the world, so they should be criticized or even prohibited: »Today, if you want to promote good values and eliminate the evils of the world, the key point is music: please ban the playing of music.« Mozi further brought the theoretical basis of his »condemnation of music« idea in the following two aspects. First was the relationship between music and governance, i.  e., the relationship between music and dance events and the governing ability of the state, coming conclusion that »when music was condemned, the world was also better governed.« Mozi compared the rulers Yao, Shun, Tang, King Wu and King Cheng of Zhou in terms of the relationship between music performance and governance, and argued that their music was prospering more from generation to generation, but that their governance level was declining: »Therefore, the more their music advanced, the less efficiently they governed. From this point of view, music is not the reason why they could govern the world.« Second, he argued from the relationship between music and the people’s interests, i.  e., the relationship between entertaining activities such as music or dance and the production of fundamental material resources. He put music into the category of »useless expenses« (wuyong zhifei 无 用之费). He insisted on eliminating all »useless expenses« based on the standpoint of »useful expenses« (youyong zhifei 有用之费). In first half of his work »On Saving,« he argued: »To cut off the useless expenses what how the sage rulers did. And that was beneficial to the world.« As one kind of »useless expense,« music was certainly negated by him. Mozi did not deny that music and dance, as well as sculptural arts and gardens have their own aesthetic, entertainment and ornamental value, but he was against them all because they were »not beneficial to the people.« Mozi also gave several other specific reasons for his condemnation of music. First of all, he believed that engaging in a variety of artistic activities requires a certain amount of manpower, and

CHAPTER IX THE THEORIES OF THE PHILOSOPHERS AND SCHOOLS OF THOUGHT ON THE ARTS

this would distract from production. Professional artists and musicians will »not be engaged in food and clothing production,« and they are like parasites, who usually only »eat fine food and dress in embroidered clothes,« costing a considerable amount of material wealth. Second, the enjoyment of arts must take up much of the time and energy that Mozi believed should be devoted to activities for the benefit of all peoples. Therefore, he argued: »If a noble man listens to music, he may lose ability to listen to the people and govern,« »If an ordinary man listens to music, he may stop accomplishing his tasks,« and »If the nobles are not focused on governance, politics will be chaotic; if ordinaries are not focusing on work, they will be poor«. 3. Remarks on Mozi’s »Condemnation of Music« Mozi’s »condemnation of music,« seen from the standpoint of »the benefit of the people,« contains some democratic elements, and is quite progressive and rare for a period of turmoil and poverty. And it criticized rulers bravely. However, Mozi’s »condemnation of music« did not follow historical trends over the long run. He only focused on the production of materialistic wealth and the most fundamental needs of people, and he opposed all creative and artistic practices that did not contribute to wealth directly—which shows a narrow-minded, extreme utilitarianism. The birth and development of arts are an inevitable part of human history, and arts are necessary in human society. Regarding this, later on in Xunzi’s Discourse on Music (Yuelun 乐论) he discussed such issues by criticizing Mozi’s theory. Although Mozi’s focus on the »condemnation of music« was full of negative remarks on the value of the arts, it still played an important role in the development of aesthetics in the pre-Qin Period. Mozi was the first to criticize Confucian theories, he established his own systematic theory of Mohism, and Mohism was a dominant school compa-

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rable to Confucianism. This can be seen as the beginning of the »Hundred Schools of Thought.«

Section 3  Zhuangzi and Daoist Theories of Art Zhuangzi (c. 369–c. 286 BCE, given name Zhou) was a philosopher of the Warring States Period. His philosophy is mostly reflected in the book Zhuangzi. Zhuangzi’s thoughts came from Laozi and he can be considered the most influential figure in Daoism after Laozi. Therefore, people often juxtapose them, and address them together as »Lao-Zhuang.« In terms of aesthetic theories, Zhuangzi further developed Laozi’s thoughts, and contributed to the Daoist aesthetics greatly. His influence on art theory is even more significant than Laozi. Just like Laozi, Zhuangzi’s philosophy also focuses on the dao and takes wuwei as his fundamental standpoint. Unlike Laozi, Zhuangzi greatly intensified his criticism of the secular world, including the secular rites and music, and expressed the artistic ideals of »zhile« (supreme happiness) and »tianyue« (heavenly music) as ways to understand and unite with the dao, highlighting the value of wuwei and wuyong, and the nature of heaven and earth—which transcends secular utilitarianism. His theory advocates the significance of the autonomous pursuit of absolute spiritual freedom that does not depend on any materialistic objects, emphasizes the essential characteristic of art as the autonomous expression of one’s true emotions, and discussing the relationship between words and meaning, and the dao and skills. His insights greatly enriched Daoist ideas on the arts.

1. Zhuangzi’s Disapproval and Criticism of Ritual Music and Secular Art The birth of Daoist wuwei can be seen as a reaction to the social issues of that period: the ruling class lived an extravagant life considered »you-

Section 3  Zhuangzi and Daoist Theories of Art

wei« (有为 with action). Simultaneously, Daoism criticized Confucian ritual and music, seeing that as youwei. In Laozi’s thoughts, there are already quite a few remarks criticizing Confucian ritual and music. The criticism from Zhuangzi is even sharper. In the chapter of The Great and Most Honored Master, there is a fictional story about Yanhui, who reached the supreme dao and found ultimate inner peace. It is quite interesting to see how Yanhui reached that point: first, he forgot benevolence and righteousness (renyi 仁义); second, he forgot ritual and music; then finally he reached the third phase, »sitting in forgetfulness« (zuowang 坐忘). All in all, secular rules such as ritual, music, benevolence and righteousness should be forgotten and criticized. Only by transcending them would one reach zuowang and truly understand the dao. Zhuangzi’s criticism of secular ritual and music led to criticism of all the secular arts. Based on the principle of wuwei, those artificial secular arts that could not reveal the nature of the dao also deserved criticism. In the chapter Heaven and Earth, he argued: »The five colors make one dizzy, unable to see clearly; the five sounds disturb one’s ears, making one unable to hear well.«

2. On Dao and Beauty 1. »Heaven and Earth Proceed in the Most Admirable Way« In contrast to Zhuangzi’s disapproval of the secular and artificial arts, he spoke highly of the beauty of nature and the dao. »Heaven and Earth proceed in the most admirable way, but they say nothing about them.« The most admirable way of beauty is the beauty of dao itself. The reason why it becomes the origin of beauty is because of non-action.

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2. »They Carve and Fashion All Bodily Forms, and Do Not Consider It An Act of Skill« As the beauty of the dao and Heaven and Earth only exist in nature, in some sort of metaphysical way, it is impossible for humans to achieve. Yet Zhuangzi was not so pessimistic, and he argued that if one learns from the dao and non-action, and becomes a sage, then they will achieve the dao and therefore achieve the beauty of the ultimate dao. This was also the prerequisite of achieving the »virtue of the sage.« In »The Way of Heaven,« it says »My master! My master! … They spread out heaven and support the earth; they carve and fashion all bodily forms, and do not consider it an act of skill.« The true »virtue of the sage,« which learns from the dao, can achieve the beauty of the dao and the beauty of heaven and earth.

cicadas in »The Full Understanding of Life,« and the allegory of the man in Lüliang 吕梁 who »followed the dao of water« in diving. These stories demonstrate that all sophisticated skills will be so natural that they seem effortless and out of instinct, simplicity, and non-action. He even concluded this in »Webbed Toes«: »There are regular principles under the heavens. And according to those principles, what is bent is not made so by the hook, what is straight is not made so by the line, what is round is not made so by the compass, what is square is not made so by the carpenter’s square.« This contrasts sharply with the conventional view that »without a pair of compasses and a set square, it is hard to draw a perfect circle and a square.« This idea had a profound impact on the formation of the tradition of treasuring natural beauty in classical Chinese theories of art.

3. The Beauty of Non-Action Because if one follows the non-action of nature one can achieve the »virtue of the sage,« which means, in an era of artistic creation, if the work follows the principle of non-action, it can also achieve real beauty. In fact, Zhuangzi made remarks on this via his fables. In the chapter »The Tree on the Mountain,« there is a story of Beigong She making suspensions for stone musical instruments. He said: »After all the carving and the chiseling, let the object return to simplicity.« Beigong She didn’t apply any other method than to follow the rules of non-action and nature. Although he carved and chiseled, the object ended simply and naturally. When Beigong She was creating the suspension for bells, he was fully lost in creation. The bell suspension was an important and complicated object for rites and music, and when Beigong She was making the suspension, he was so focused that he felt himself merge into the art itself. Other fables also illustrate how the best skills are all natural and simple, such as »Cook Ding Cutting the Ox,« »Wheelwright Bian Making a Wheel,« the story of the a hunchback catching

3. On the Highest Level of Art: The »Heavenly Music« Zhuangzi criticized music and ritual which carried secular pragmatic vales, the »five sounds« and the »five colors,« yet he didn’t mean to deny the value of art completely. He maintained that idealistic, sublime, and high-level art, which is described as a »sublime joy« and »heavenly music,« integrates with and reflects the dao. 1. The Sounds of Humans, Earth, and the Heavens Zhuangzi classified all sounds in the universe into three categories: the sounds of humans, the sound of the earth, and the sound of the heavens. In »The Adjustment of Controversies,« Zhuangzi discussed the difference between the three sounds: the sound of humans refers to the sounds that are produced by man-made musical instruments (e.  g., the bamboo flute), and is artificial; the sound of the earth refers to the sounds from all holes in the earth, which includes the sounds created by wind blowing; they are traceless and mysterious, just like a symphony of na-

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ture; the »sound of the heavens« refers to the diverse sounds from all space, and all sounds make them themselves; they are the ultimate form of »music.« Obviously, this can only be the music of the dao. It is just a metaphor to call it the sound of the heavens. In fact, the music of the dao itself is non-music. Among the three different musical categories, the sound of the heavens represents the highest level of music, while the sound of humans the lowest. 2. Music without Wearying Effects Zhuangzi spoke highly of the beauty of dao and the sound of nature, criticizing all man-made art forms. This is a natural result of his philosophical system, which sees the dao as the core of all theory. However, music and all other forms of arts are creative spiritual activities of humans, the so-called »arts« of the earth and the heavens are just metaphorically meaningful. If we agree on Zhuangzi’s (as well as Laozi’s) theories, then all arts would be meaningless. Yet that is not Zhuangzi’s point. He resolved the conflicts between the non-action of the dao and the secular world that is full of actions by telling stories of the zhiren (至, lit. the supreme human) and the shengren (圣人, the sage) who experienced the dao. Correspondingly, in the realm of art, Zhuangzi described an ideal level of zhile (至乐, supreme joy) and tianyue (天乐, heavenly music), which have completely different purposes than the secular arts. Zhile and tianyue have two meanings: first, they refer to the best possible spiritual joy, as 乐 reads le in this context; second, they may also refer to visual art as well as music according to the linguistic meaning in the pre-Qin Period, and here 乐 reads yue. For example, in chapter »The Revolution of Heaven,« the Yellow Emperor answered Beimen Cheng’s question regarding the music of Xianchi咸池—and the term tianyue refers to music just like Xianchi. In their conversation, Zhuangzi comments:

Section 3 Zhuangzi and Daoist Theories of Art

I performed first the music calculated to awe; and you were frightened as if by a ghostly visitation. I followed it with that calculated to weary; and in your weariness you would have withdrawn. I concluded with that calculated to perplex; and in your perplexity you felt your stupidity. But that stupidity is akin to the Dao; you may with it convey the Dao in your person, and have it [ever] with you. [James Legge translation]

There he describes the basic features of the heavenly music: such music offers people the complex experience of listening, including fear, tiredness, confusion, and a feeling of the dao. People experience fear because such supreme music is so abnormal and an aberration, beyond the normal acceptance of people. They feel shock and even are frightened. In terms of tiredness, this refers to changes in the Yellow Emperor’s music, where they »shared an unbroken unity, yet were dominated by an irregularity« (Bianhua qiyi, buzhu guchang变化齐一，不主故常). Therefore, such magical experience will remove the fear of the audience and relax them completely. When it comes to confusion, it is an even higher, spiritually and aesthetically: the audience becomes completely immersed in the beauty of the music and forgets everything—including themselves. In addition, such confusion also refers to a degree of stupidity (yu 愚), and only via such stupidity can one understand the dao. In other words, such music can express the essence of the dao, help the audience to unify with the dao, and is considered the most supreme kind of music as according to Zhuangzi.

4. Valuing Truth and Returning to Human Nature 1. Take the Laws of Heaven and Value the Truth According to Zhuangzi, the sages learn from the dao, and therefore unify with the dao, achieving the non-action of the dao. Similarly, if music and

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arts can attain the realm of heavenly music and supreme music by taking the laws of nature. The idea of »take the laws of Heaven« is connected with another important principle of Zhuangzi regarding human nature and art, which is to »value the truth.« In »The Fisherman,« it says: One’s truth is pure sincerity in its highest degree— without this pure sincerity one cannot move others,« and, »Rites are prescribed for the practice of the ordinary people; one’s truth is what one has received from Heaven, operating spontaneously, and is unchangeable. Therefore, the sages take their laws from Heaven, and value the truth, without submitting to the restrictions of custom.

Since Zhuangzi valued truth, he naturally held the point that all behavior should follow truth and simplicity. Then how can one return to truth? »Do not by human doing extinguish the heavenly constitution,« i.  e., follow the laws of nature, do not go against nature but the rules of human doing, that is how one can return to one’s true nature. 2. »When One’s Heart Is Pure and Real, and Carried Back to its Proper Quality« In terms of one’s spiritual life, valuing the truth and return to the truth is affirmation of one’s nature. Just as is said in »The Fisherman«: If one [only] forces themselves to wail, however sadly they may do so, it is not [real] sorrow; if they force themselves to be angry, however they may seem to be severe, they excite no awe; if they force themselves to show affection, however they may smile, they awaken no harmonious reciprocation. True grief, without a sound, is yet sorrowful; true anger, without any demonstration, yet awakens awe; true affection, without a smile, yet produces a harmonious reciprocation. (Translated by James Legge)

Such ideas of »valuing the truth (guizhen 贵真)« led to a very specific definition of art. As is said in »Correcting Nature«: »When the core is pure and real, and carried back to its [proper] quality, we have yue.« Here, yue refers to music and dance,

CHAPTER IX THE THEORIES OF THE PHILOSOPHERS AND SCHOOLS OF THOUGHT ON THE ARTS

and can represent all kinds of arts that bring joy to people. Zhuangzi meant to express that the essence of art is the truth of one’s heart. Secular arts and music served the rites, they were just tools for rites, meanwhile, the true arts echoed human nature, and were not restricted by secular rules. The story of Qing, a wood worker carving a bellstand in »The Full Understanding of Life,« and the fable regarding the »true painter« who took off his clothes and sat cross-legged in »Tian Zifang,« both reflect the artistic ideal of »the core is pure and real, and carried back to its [proper] quality.« Zhuangzi held the view that music and art should not only reflect non-action, but also the truth, honesty, and simple emotions of human beings. To some degree he implies the separation of music and rites, and the relative independence of the arts, which marks that Zhuangzi and his school already saw art as a unique spiritual activity different from other forms of spiritual activity. It was the first time that the arts were considered something that transcending secular utilitarianism and it influenced the artistic thoughts of the following generations greatly. It had an especially strong impact on the emergence of the autonomy of literature and art in the Wei and Jin dynasties. In Zhuangzi’s discussions of art, there are many valuable ideas and intepretations, such as his thoughts on the dao and skill, the dao and the arts, content and words, as well as the theory that »music comes from empty tubes« (yue chuxu 乐出虚) in »The Adjustment of Controversies,« the story of »Purposeless [Xiangwang象罔, a fictional figure who has no wisdom, no senses and no intentions] and Black Pearl [xuanzhu 玄珠, a metaphor for the dao] in »Heaven and Earth,« his mind-cleansing (xinzhai 心斋) theory of cognition, and the theory of emptiness and stillness in aesthetics. These are all artistic views linked to his metaphysical theory of the dao and wu, which have played an important role in Daoist theories of art.

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5. The Place of Daoist Theories of Art in Chinese Intellectual History Daoist art theory, with Laozi’s and Zhuangzi’s theories as its typical representatives, is one of the two major art theory systems in ancient China that parallel the Confucian system. The art theories of Confucianism and Daoism influenced, interacted with, refuted, and served each other—together forming the mainstream Chinese artistic philosophy. Daoist artistic ideas began with the philosophical foundation laid by Laozi, who initially proposed basic principles of aesthetics and art. By the time of Zhuangzi, it was carried forward and formed into a systematic philosophy of art, which had a lasting and profound influence on succeeding generations. To be more precise, the influence of Daoism, especially the artistic ideas of Zhuangzi, is mainly reflected in these aspects: First, through the criticism of the secular rituals and music with a strong utilitarian purpose, the Daoists established an ideal of »Heavenly music« and »supreme happiness« that goes beyond the rituals and music of secular art. Imitating nature and treasuring authenticity make Daoist philosophy one of the most important sources of China’s artistic ideals, focusing on the inner spiritual world and the autonomy of artists. In terms of its transcendence of secular utilitarianism, such artistic ideals were in harmony with the spirit of »pure« art as an independent creative activity, and thus this art theory was regarded as the source of the »pure« artistic spirit in China. And both of the two points had a direct and profound influence on the autonomy of Chinese art in the Wei and Jin dynasties. In addition, Daoist artistic concepts disapprove of artifice and skill, and advocate non-action and letting nature take its course, which has played a crucial role in the formation of Chinese artistic ideal: the best art echoes nature. In addition, as Zhuangzi is the most splendid aesthetic literature of the pre-Qin Period, full of magnificent imagination, rich char-

SECTION 3 FURTHER DEVELOPMENT OF CONFUCIAN IDEAS BY MENCIUS AND XUNZI

acters, an unconstrained writing style, cynicism, and the pursuit of spiritual freedom without any constraints, it was not only an epoch-making contribution to Chinese linguistic arts, i.  e., literature, but also had far-reaching influence on all kinds of art from the following generations. Generally speaking, the Daoist and Confucian ideas on the arts, to a certain degree, are opposed to each other. For example, Confucianism emphasizes the unity of ritual and music, and advocates utilitarianism, while Daoism, on the other hand, resists worldly ritual and pursues a state of transcendence; Confucian philosophy sees ethics and morality as the basis of art, while Daoism believes art and aesthetics should be found in nature and the practice of non-action. However, they also share some similarities. For instance, he (和 harmony) is considered an ideal for both Confucianism and Daoism—of course, there are still subtle differences: for Confucians, harmony refers to interpersonal relationships, and regards ethics; for Daoists, harmony indicates the relationship between humans and the heavens, nature, and the dao. In addition, both Confucian and Daoist theories of art focus on content much more than form. However, Confucianism and Daoism also share some similarities in terms of their ideas. For example, although Confucianism emphasizes the form or skill of art, it still focuses more on the content, and Daoism undoubtedly focuses mainly on the content of art when compared with form. They both led to the important tradition of Classical Chinese art: skills are never as important as content, and artworks are meant to carry the dao (either the Confucian ethical »dao,« or the Daoist metaphysical dao). The Confucian tradition of expressing one’s ambitions and emotions via the arts echo with the Daoist tradition of emphasizing natural and real thoughts. Later, they merged together and formed the tradition of Chinese arts.

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Section 4  Further Development of Confucian Ideas by Mencius and Xunzi Mencius and Xunzi were the two main representatives of Confucianism during the Spring and Autumn and Warring States periods. They further developed Confucianism from two different perspectives. In terms of their ideas on the arts, they also put forward many valuable points of view based on their own theories, which greatly enriched and developed Confucian ideas on art. In particular, Xunzi’s Discourse on Music (Yuelun 乐论), as monograph concerning arts and music, made an important contribution to Confucian ideas on the arts.

1. Mencius’s Theory on Art Mencius (372–289 BCE, given name Ke轲 and capping name Ziyu子舆), was a philosopher during the mid-Warring States Period. He was a successor of the Confucians and had a great influence on the history of ancient Chinese thought, and has been referred to as the »second Sage.« He promoted the concept of »benevolent governance« (Renzheng 仁政), advocated the people-oriented »paramount importance of the people« (Min weigui 民为贵), and created the theory of the »original goodness of human nature« (Xingsheng 性善). This represents the basic standpoint of his ideas. His thoughts are mainly reflected in the book Mencius. He enriched and developed the theories of Confucius, and was the most important representative of Confucianism after Confucius. In art theory, he also put forward a variety of views. 1. Arts Shall Embody Benevolence and Righteousness As a philosopher of Confucianism, Mencius developed the thoughts of »benevolent governance« and »benevolence and righteousness« in the Confucian school, and was the representative of the

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»benevolent governance« sub-school of Confucianism. From the perspective of his benevolence and righteousness theory, in LiLou  I 离娄上, he gave a definition for arts, yue乐, that is, »Arts shall embody benevolence and righteousness« in connection with wisdom and ritual. There he discusses the similarity between arts and other mental activities such as wisdom and ritual in humans, which is that they all need benevolence and righteousness for the foundation, content, and purpose. Also, he discussed the different characteristics of the various forms of spiritual activity by indicating that the arts are characterized by evoking emotional happiness and pleasure, which is different from the cognitive features of wisdom and the non-verbal function of ritual. Since he figured such features of arts and music, he truly valued the role of music in influencing and educating people. In Jinxin I 尽心上, he said: »Benevolent speech is not as influential as the music of benevolence. Great governance is not as effective as great education to win the people.« That is to say, great benevolent governance cannot win the hearts of the people as easily as enlightenment and education based on benevolence and righteousness. However, the promotion of benevolence and righteousness is also not as efficient as the music and performance that express benevolence and righteousness. 2. Enjoy Happiness with the People Mencius’s people-oriented thought that the people are more important than the monarch requires the rulers to implement »benevolent governance,« and the requirement of the happiness of art characterized by emotional happiness is »to enjoy happiness with the people.« In King Liang Hui I 梁惠王上, Mencius states: »The men of antiquity experienced joy together with the people, this is why they were able to be happy.« In part two he also said: »Now that the monarch can entertain the people, he is able to rule the world,« and:

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It is also wrong for the ruler to be happy and not enjoy happiness with the people. If the ruler regards the happiness of the people as his own, the people will regard his happiness as their own happiness; if the ruler regards the sorrow of the people as his own, the people will regard his sorrow as their own. It has never occurred that someone who takes the happiness and sorrow of the people in the world as his own cannot rule the world.

Based on this principle of »enjoying happiness with the people,« Mencius distinguished two other different forms of happiness, namely, »being happy with a few other people« and »being happy alone.« In his opinion, »being happy with a few other people« is not as great as »being happy with a lot of people,« and »being happy alone« is not as great as »being happy with other people,« If you disregard the people’s feelings and pursue »being happy alone,« you cannot really acquire happiness. An extreme example is »The people want to destroy the ruler even at the price of their own lives. Even if the ruler has platforms, ponds, and expensive rare animals, how can he enjoy all those alone?« 3. Same Flavor, Sound, Beauty and Heart Mencius advocated the theory of the »original goodness of human nature.« He believed that human nature is inherently good, which has a common physiological and psychological foundation. From the point of view that people all share a common physiological and psychological basis and an instinct towards goodness, Mencius indicated his views about common beauty in Gaozi I 告子上: So with the mouth and flavors, all mouths have the same preference… this also applies to their ears and eyes… Since people’s mouths share the same flavor preference, their ears share the same sounds, their eyes share the same beauty—won’t people’s minds also share the same thoughts? What is shared by all people’s minds? It is, I would say, the rational principle of our nature, and righteousness of society.

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The common sense of beauty mentioned here includes the common taste of beauty in arts, that is, »the same sound« and »the same beauty« (beauty was often used in the evaluation of arts of various styles composed of »five colors« and the appearances of people in the pre-Qin Period). He also raises the issue of the common humanity (including ethics, morality, cognitive ability, and beauty) of human beings as a unity, which is significant in the history of philosophy. Certainly, human nature includes the sense of beauty and the ability to appreciate art. There are similarities as mentioned by Mencius, and there are also differences caused by external elements such as the historical conditions and social environment. People of different age, nationality, social status, and education level require different kinds of art, which is also natural and reasonable. As early as 2,000 years ago, Mencius had already discussed the similarities and differences associated with human nature and aesthetics. This can be seen as a major contribution to the history of philosophy and art theory. Mencius’ contribution to art theory is also reflected in his two very important principles or methods for art criticism, that are still valuable today. One is »knowing the people by considering the ages in which they lived.« The other one is »tracing the meaning of a work to the artist’s mind from one’s own perspective.« In fact, Mencius’ art thought is not limited to the above-mentioned aspects. In the chapter Jinxin II尽心下, he mentions »the cultivation of qi« [yangqi 养气], and that »to become enriched with virtue is called beautiful; to be enriched with virtue and display it brilliantly is called great.« In first half of Lilou  I, he says, »A great person does not lose his or her child’s heart.« In Lilou  II, he expressed the emphasis on laws and rules in crafts and artistic creation by saying »The power of vision of Lilou and the skillful hand of Gongshu, cannot create squares and circles without the tools; An ear with great hearing ability of the music master Kuang cannot

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correct the five tones without following the six measures of sounds. Yao and Shun’s principles, without a benevolent government, could not secure the peaceful order of the kingdom.« Also, in the King Liang Hui II, he remarks that modern music and ancient music have the same values, that is, »The music of the present day is just like the music of the old times.« These are all valuable points of view and have had a positive influence on later theories.

2. Xunzi and the Systematic Theory of the »Discourse on Music« Xunzi (荀子, c. 313–c. 238 BCE, given name Kuang 况), was a thinker of the late Warring States Period. His ideas are mainly reflected in the book Xunzi. His thought was mainly Confucian, and he was a master of the Confucian school of liyue (ritual and music). But he also absorbed extensively and critically the ideas of Mohism, Daoism, the School of Names and Legalism, and became synthesized pre-Qin thought. In terms of art theory, he mainly inherited and developed the ideas of Confucius and others on ritual and music, and wrote the »Discourse on Music« (Yuelun 乐论) which was the first essay devoted to art theory in ancient China, forming a rather systematic theory of ritual and music and making an important contribution to the formation and development of the Chinese ancient art theory system. 1. Music is Joy, an Unavoidable Human Disposition An important contribution of Xunzi’s artistic thought is that it explicitly explores the essential requirement that art must express human emotions from the perspective of the relationship between art and human emotions. In »Discourse on Music,« it says, »Music is joy, an unavoidable human disposition. So, people cannot be without music.« His definition of »music« in terms of emotion is a valuable one. This definition has two aspects: first, music means that art arises from the

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inevitable joyful feelings of human beings. When people have happy feelings, they are expressed through sound, movement and dance, that is to say, artistic activities arise from emotion. Second, »music,« that is, art, can make people happy. As he says, »The gentleman guides his intentions with bells and drums. He delights his heart with the qin and se,« which means that people can have a happy emotional experience when they appreciate art such as music. Hence, art can produce happy emotions. The connection between music and human emotions, especially the emotions of happiness and pleasure, had been covered before Xunzi. The idea that music and dance activities arise from happy human emotions and that they can bring about happy emotions was already quite popular before the time of Xunzi. However, we have to admit that revealing the inevitable connection between music and happiness and human feelings and seeing that yue is both generated by human happy feelings and can bring happy feelings to people is a theoretical contribution made by Xunzi. This is of great significance to the formation of the spirit and theoretical tradition of Chinese art. 2. The Ideal Artistic Model In Xunzi’s view, art is inevitable because of human feelings. But in »The True King and the Hegemon« (Wangba 王霸), he also states: »As for people’s natural dispositions, their eyes desire the utmost in sights, their ears desire the utmost in sounds, their mouths desire the utmost in flavors, their noses desire the utmost in smells, and their bodies desire the utmost in comfort. These ›five utmosts‹ are something the natural dispositions of people cannot avoid desiring.« In other words, human feelings necessarily include innate desires, instincts and natures. According to Xunzi’s basic theory that human nature is evil (xing’e), these innate natures, desires and instincts are evil and cannot be allowed to develop freely without restraint, but must be guided by the standard of

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ritual. Thus, Xunzi’s »Discourse on Music« sets out his criteria for the ideal art, that is, an art to »guide one’s joy« (daole 导乐) and to »guide one’s virtue« (daode 导德). He says: Music is joy. The gentleman takes joy in attaining the dao. The petty man takes joy in attaining the object of his desires. If one takes the dao to regulate one’s desires, then one will be happy and not disordered. If one forgets the dao for the sake of one’s desires, then one will be confused and unhappy. And so music is the means to guide one’s joy. The instruments made of metal, stone, silk string, and bamboo are the means to guide one’s virtue. When music proceeds, then the people will turn toward what is correct. Thus, music is the height of ordering people.

He tells us that there are two fundamentally different kinds of pleasure from music, namely, the pleasure of the gentleman who has attained the dao and the pleasure of the petty man who has attained his desires. The music he affirms according to his artistic ideal is undoubtedly the music that leads people to happy feelings and to moral conduct that is in accordance with the ritual. On the other hand, music that does not lead to happiness and morality but only to unrestrained desire is considered a »treacherous sound« (Jiansheng 奸声) and »evil sound« (Xiesheng 邪声), which should be rejected. 3. The Relationship Between Music and Ritual Xunzi’s view of the relationship between music and ritual is inseparable from the reason why he believed the arts that should conform to the standards of ritual as ideal, i.  e., those that could play the role of »guiding one’s joy« and »guiding one’s virtue.« In fact, the importance of the inseparable link between music and ritual, the establishment of a system of liyue, and the formation of a preliminary idea of liyue had already taken shape in the Western and Eastern Zhou dynasties before Confucius. Confucius had already elabo-

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rated on this in many ways, forming his idea of liyue. However, after the violent impact of the historical tide of ritual and music collapse (Libeng yuehuai 礼崩乐坏) during the Spring and Autumn Period, coupled with the fact that since the Warring States, the Mohists vigorously advocated the condemnation of music, condemnation of ritual, moderation in burial and moderation in use against Confucianism, the Daoists also did their utmost to denounce Confucianism’s ideas of ritual and music and advocated non-action, praising the art of Ziqing (梓庆) and the »true painter« (zhenhuazhe真画者) who were free from worldly utilitarianism, not bound by worldly rituals and morality and have attained enlightenment. The traditional concept of ritual and music was in fact facing a great dilemma and a profound crisis at the time. As the last master of pre-Qin Confucianism, Xunzi faced this grim reality and the aggressive theoretical challenges from other schools of thought, resolving to make the problem of ritual and music the core of all his thinking, forming the school of liyue (ritual and music), as represented by him. This was a major school of Confucianism, comparable to Mencius’ school of benevolent governance (renzheng 仁政). His ideas on ritual and music incorporated some new historical content compared to those of Confucius, and were more comprehensive, systematic, in-depth, and specific. In a sense, they were a revival of Confucian ideas on ritual and music and played a dominant ideological role in China’s feudal society. The meanings of Xunzi’s »ritual« were modified and developed from Confucius. The most obvious difference is that, whereas Confucius’ ritual is antithetical to desire, Xunzi’s ritual and desire are both antithetical and unified, and even ritual can ultimately be attributed to the inevitable need for the development and the satisfaction of desire. Having made the reasonable satisfaction of individual desires a solid foundation for the establishment of ritual, Xunzi places unprecedented emphasis on the importance of ritual in the life of

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society. In his »Discourse on Ritual« (Lilun 礼论), he states: Ritual has three roots. Heaven and Earth are the root of life. Forefathers and ancestors are the root of one’s kind. Lords and teachers are the root of order… And so, ritual serves Heaven above and Earth below, it honors forefathers and ancestors, and it exalts lords and teachers. These are the three roots of ritual.

In other words, ritual is the fundamental law by which people deal with the religious relationship between man and Heaven and Earth, with the patriarchal relationship between man and his ancestors, and with the political subordination between subjects and their masters. For ritual to be of such importance, and for it to fulfil its role of regulating interpersonal relations, Xunzi believed that the relationship between ritual and music must be mutually supportive and useful. What Xunzi calls ritual and music are sometimes distinguishable from each other, and sometimes they are interpenetrative. However, in Xunzi’s view, there is a division and a distinction between the functions of ritual and music in society, as he said in »Discourse on Music«: Music, moreover, is unchanging harmony, and ritual is unalterable order. Music unites that which is the same, and ritual distinguishes that which is different. Together the combination of ritual and music governs the human heart. To penetrate to the root and encompass all change—this is the essential disposition of music. To make clear sincerity and do away with pretense—this is the guiding principle of ritual.

This means that the role of music is to reconcile social conflicts and interpersonal relationships, to bring about communication and unity between individuals and groups, while the role of ritual is to distinguish between superiority and inferiority and hierarchical order. The nature of music is to allow for the fullest possible satisfaction and expression of human desires and emotion within the limits of ritual, while the principle of ritual is

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to make the hierarchical order of society clearer and more solid through »the practice of sincerity and the removal of hypocrisy.« The combination of ritual and music constitutes the ideology that sustains the political and legal system of society and consolidates the ruling order. The harmonious use of music had been covered to a greater or lesser extent before Xunzi, but not as comprehensively as Xunzi. He also stated, And so, when music is performed in the ancestral temple and the ruler and ministers, superiors and inferiors, listen to it together, none fail to become harmoniously respectful. When it is performed within the home and father and sons, elder and younger brothers listen to it together, none fail to become harmoniously affectionate. And when it is performed in the village, and old and young people listen to it harmony, it brings together different instruments in order to ornament its rhythm, and it combines their playing in order to achieve a beautiful pattern. It is sufficient to lead people in a single, unified way, and is sufficient to bring order to the myriad changes within them. This is the method by which the former kings created music.

Xunzi discusses the »harmonious« function of music in relation to ritual, in the unity of the emotional nature of music and its rational norms, which takes Confucian thought on ritual and music a step further. Xunzi also saw an important feature of music that distinguished it from ritual. That is, »Sounds and music enter into people deeply and transform people quickly. Therefore, the former kings carefully made for these things a proper pattern,« and »music has the power to influence men deeply, and to reform their manners and customs with facility.« This reveals the uniqueness of art’s emotional and subtle approach to influence people, unlike other ideologies. 4. Harmonization of Art and Society Because of the emphasis on the close connection between music and ritual, and the harmonizing role of music in regulating social relations, Xun-

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zi’s »The True King and the Hegemon« had expressed the social ideal of what he called »the ritual system of the Son of Heaven«: To wear clothes of many colors; to eat food of many flavors; to control wealth and goods of many kinds; to bring together all under Heaven and be lord over them; to have abundant food and drink; to have grand ministers; to unify all under Heaven—these are also what people’s natural dispositions are the same in desiring, but only the rituals and regulations pertaining to the Son of Heaven are such as to be like this.

This is clearly an ideal picture of economic affluence, solid political rule and unity, and flourishing culture and arts. It is clearly different from Mozi’s social ideal of the small producer, who did not play music and was only seeking food and clothing for satisfaction, and from Laozi’s Daoist retrogressive social ideal, which was to abandon wisdom and sainthood, and to abolish culture, and from the Legalist Han Fei’s social ideal emphasizing law, power and technique to follow political utilitarian aims. Leaving aside the specific historical and class content of Xunzi’s political ideas, it is undoubtedly a profound idea with reasonable elements, judging only from its pursuit of the common prosperity and harmonious development of ritual, governance, property and music and other arts. 5. The Function of Art and its Limitations Although Xunzi noted that the art of music was different from the social ideology of ritual, such as the essential connection between art and human emotions, and the effect that music »enters into people deeply« (rurenyeshen 入人也深), his view of the function of art was still centered on ritual. He required music to conform to ritual, to serve the ritual system, and to work in tandem with ritual in order to maintain the order in reality. This view of the function of the art was adapted to the fundamental needs of the political culture of the ruling class in the long-standing feudal society and had

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its historical necessity and rationality. However, compared with the supra-utilitarian view of art advocated by Daoists such as Zhuangzi, it after all limited space for free artistic activity and was not conducive to the full realization of the aesthetic value of art. Although Xunzi was, for the most part, more liberal than Mohism and Legalism, he sometimes acted in a rather anxious manner, especially in the rejection of the formal and aesthetic value of art beyond direct utilitarianism. His understanding of the function of art was still limited. 6. Rules and Artistic Creation Xunzi believed that human nature was inherently evil. If one was to change from evil to good, one needed to learn and practice, and thus in »Human Nature is Evil« (Xing’e 性恶) he fully affirms the value of human action. This can be said to be the opposite of Daoism’s opposition to doing and human action, and its advocacy of non-action and nature. In advocating non-action, one must oppose all rules and regulations, and sharpening and refinement, whereas in affirming human action, one must affirm and praise rules and regulations, and sharpening and refinement. Xunzi praised rituals because, in his view, they were the essential rules and regulations of the world. In »Discourse on Ritual,« he states: Thus, the ink-line is the ultimate in straightness, the scale is the ultimate in balance, the compass and carpenter’s square are the ultimate in circular and rectangular, and ritual is the ultimate in the human way. Those who nevertheless do not take ritual as their model nor find sufficiency in it are called standardless commoners. Those who take ritual as their model and find sufficiency in it are called men of standards.

In »The Strong State,« he also said, »For the state there is also means of sharpening, and that is ritual, yi, regulation, and rules.« In arguing for his rites as the rules of the world and the sharpening of the state, Xunzi has pointed out the necessity

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and importance of the sharpening of rules in the process of craft making, while the »Discourse on Ritual« reveals the essential and inevitable link between the value of all beauty, including artistic beauty, and the human action. Xunzi’s emphasis on the significance of man-made rules and regulations in the creation of beauty and art, and Daoism’s opposition to refinement and the ideal of letting nature take its course, appear to be at opposite ends of the spectrum—but in fact they can play complementary roles. For art, as a human cultural creation, is inevitably marked by human subjective effort and cannot be entirely natural and inactive. This is precisely why Xunzi’s emphasis on the sharpening of rules is so justified. However, to reach a certain level, art must be free from certain established rules and regulations, without any traces of artifice, as if it were naturally formed. In this respect, Daoists have a more genuine sense of the ideal state of artistic creation. However, it is impossible to attain the ideal state of natural beauty without the artificial and artistic practice that Xunzi described, and if the rules that Xunzi emphasized are not transcended in long-term artistic practice, it is impossible to achieve a true work of art beyond craftsmanship. 7. Xunzi’s Place in the History of the Theory of Art As a synthesizer of pre-Qin thinkers, Xunzi occupies an important place in the history of Chinese thought, and his place in the history of ancient Chinese literature, art and artistic thought should also be given due attention. In terms of literary and artistic creation, Xunzi was not only a great prose writer alongside Mencius, Zhuangzi and Han Fei, but also made an important contribution to the formation of the literary genre of ci 辞 and fu 赋, represented by Qu Yuan’s Chuci, with his works such as Ritual (Lifu 礼赋), Clouds (Yunfu 云赋) and Silkworm (Canfu 蚕赋). His Working Songs (Chengxiang 成相) was the earliest work of popular speaking and singing (shuochang 说

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唱) art in ancient times. From the perspective of the development of artistic thought, Xunzi’s importance is mainly reflected in several aspects. Firstly, Xunzi’s »Discourse on Music« was the first monograph dedicated to the theory of the arts in ancient China. Secondly, through the abandonment of the Mohist idea of condemnation of music and the Daoist concept of non-action, Xunzi made Confucius’ idea of ritual and music more systematic and in-depth in the new academic background and historical conditions, which became an important part of the historical and logical link of the pre-Qin artistic thought. Thirdly, most of the artistic ideas of ritual and music in Xunzi’s »Discourse on Music« were absorbed by the later Record of Music (Yueji 乐记), and through the status of Book of Rites became the dominant thought on liyue in China’s feudal society. During the pre-Qin Period, in addition to the artistic ideas of Confucianism, Daoism and Mohism mentioned above, there were also other artistic ideas of the »Hundred Schools of Thought« that had an impact, such as the »cultivation of the mind and health« (Xiuxin yangsheng 修心养生) of the school of Song Jian (宋钘) and Yin Wen (尹文), the extreme utilitarianism of the Legalists as represented by Han Fei, as well as the ideas of syncretism, represented in Master Lü’s Spring and Autumn Annals (Lüshi Chunqiu吕氏春秋), which was a fusion of Confucianism and Daoism, and was characterized by the extensive absorption of the ideas of Mohism, Legalism and even the School of Yin-Yang, the School of Names, the followers of Shennong, and the School of Diplomacy. During the Three Dynasties, especially during the Spring and Autumn and Warring States periods, in addition to the thinkers who expressed their own artistic ideas and concepts in their writings, there were also other brilliant artistic insights. For example, the Book of Changes (Zhouyi 周易) analysis of the relationship between »meaning« and »image,« and the elaboration of the relationship between yin, yang, rigidity and flexibility, had a

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great influence on the formation of artistic concepts and aesthetics in later times. The artistic ideals and styles embodied in Qu Yuan’s Chuci, which were unique to Chu art and different from the concepts and styles of the Central Plains, have enriched the ideas and concepts of the arts of the Three Dynasties. In addition, the art theories of the Three Dynasties, of course, were dominated by theories of music and dance, but they were also rich in ideas about the plastic arts. For example, Confucius’ idea of »painting things after making the draft,« Zhuangzi’s parable of the free »true painter,« Mozi’s idea of craftsmanship, Han Fei’s parable of the »difficulty of painting dogs and horses while it is easy to paint ghosts and demons,« and in particular the rather systematic ideas of craftsmanship in the Kaogong ji 考工记, all had a profound influence on the ideas and theories of later generations of plastic arts. Over a long period of more than 18 centuries, the arts of the Xia, Shang and Zhou dynasties created one glorious achievement after another, ascending to the first peak of classical art in the history of Chinese art, making a great contribution to Chinese art and even to Chinese civilization, and occupying an important place in the history of art and civilization throughout the world. The achievements and influences of the art of Three Dynasties can be summarized in the following ways: First, the art of Three Dynasties accomplished a positive renunciation of primitive art. On one hand, the art of the Three Dynasties is derived from the art of the Neolithic Period of late primitive society, both in terms of content and subject matter and in terms of form and style. It also inherited the traditions formed by primitive art. On the other hand, compared to primitive art, the art of the Three Dynasties achieved a fundamental change and transformation, creating art that is unique to China’s Bronze Age. Second, the Three Dynasties established a new type of art in the history of Chinese art. This is the art of ritual and music, that is, the art of spiritual

SECTION 4 FURTHER DEVELOPMENT OF CONFUCIAN IDEAS BY MENCIUS AND XUNZI

purpose, which replaced the direct material purposes of the primitive period as the dominant type of art. At the same time, an aesthetic for pure art began to emerge in this period, laying the foundations for the true self-consciousness and independence of later art. Third, the art of the Three Dynasties can be said to have been the first peak of classical art in the entire history of Chinese art. The art of music was the most representative, and ritual and music (liyue) were the basic connotations and historical regulations of the art of the time. In the fields of music and dance and bronze art, it created a breathtaking artistic splendor. In the field of literature, it created the two classics: the Classic of Poetry and the Chuci, which have become models for poets and artists of all generations to follow. In the fields of architecture, calligraphy and painting, and other decorative arts, it also had great artistic achievement with Chinese characteristics, and laid the initial foundation for the further development and maturation of art in these fields. Fourth, in many ways the art of the Three Dynasties set the tone for the overall development of Chinese art in all subsequent historical periods, such as the cultural spirit and artistic principles of impartiality embodied in the architecture of the Three Dynasties and the spirit of »harmony« of the art of the Western Zhou. The artistic ideals of ritual and music, aesthetics and practicality, and the unity of content and form, which were embodied in all the arts of the Three Dynasties, especially Confucian and Daoist artistic thought, have become the basic themes for the development of the Chinese art of later generations. The Spring and Autumn and Warring States Period, a time of unprecedented intellectual liberation, extraordinary activity, but also a time of conflict, strife, and the collapse of liyue, gave us a baptism of blood and fire, and the great unified feudal empire of the Qin and Han dynasties emerged from it—bringing new achievements creating new artistic glories.